BEE-spoke-data/napierone-pdf-raw · Datasets at Hugging Face

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0293-pdf	John Larkinson Director Railway Markets & Economics 10 August 2018 Managing Directors Train operating companies using Worldline ticket engine Dear Colleague, ## Compliance With Condition 4 Of The Passenger Licence And Gb Statement Of National Regulatory Provisions: Passenger, And Consumer Law I refer to our letters1 of 23 February 2018, 8 May 2018 and 4 July 2018 regarding compliance with Condition 4 of the Passenger Licence and GB Statement of National Regulatory Provisions: Passenger (Information to Passengers2) and the Consumer Protection (from Unfair Trading) Regulations 2008 (the CPRs). We are grateful for the engagement on this issue to date, and for the meetings held with most of you in July. We are aware that since May some steps have been made towards discussing potential changes with your Ticket Issuing System supplier (in this instance Worldline3) to improve the information available to prospective passengers through online journey planners and ticket engines. We expect that all sites will show at least the same information about services to that shown on the National Rail Enquiries (NRE) website - albeit not necessarily in exactly the same format. As we have discussed, we do not think that it is reasonable for prospective passengers to have to check multiple websites to find the necessary information about the services that they plan to use. We need assurance that all reasonably practicable steps are taken in this area. This requires you to provide evidence of the new information that will be available to prospective passengers alongside a firm commitment to a delivery date that is within a reasonable timescale. By this, we mean when this information will become available to prospective passengers across your desktop website, mobile website and mobile app. For the avoidance of doubt, our expectation here is that warning information in the event of unconfirmed timetables and information relating to both planned and unplanned disruption is required to enable prospective passengers to plan and make their journeys with a reasonable degree of assurance. Where it remains unclear that companies are taking all reasonable steps to make improvement in this area we will take appropriate action to secure the necessary changes to ensure that all passengers can take informed decisions and plan their journey with a reasonable degree of assurance. To allow for the holiday season please respond by 31 August setting out: (1) Evidence of the new information that will be available to passengers and the changes that you plan to make to your information channels so that they show consistent information (both between each channel and with other rail industry sites such as NRE); and (2) The date by which the information specified above will be shown to prospective passengers using your desktop website, mobile website and mobile app. A copy of this letter and your response will be placed on the ORR website. Yours sincerely John Larkinson	en
4487-pdf	Department Family Entity Date Paid Expense Type Expense Area Slt Status Supplier Transaction Reference Amount THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 11/06/2013 PACS (IT) COMPUTER MAINTENANCE Fully Settled ACCENTURE 663300 71,601.86 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 18/06/2013 BALANCE SHEET STOCKS FINISHED GOODS Fully Settled ALLIANCE HEALTHCARE (DISTRIBUTION) LTD 668432 48,855.42 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 18/06/2013 BALANCE SHEET STOCKS FINISHED GOODS Fully Settled ALLIANCE HEALTHCARE (DISTRIBUTION) LTD 668432 363.52 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 13/06/2013 BALANCE SHEET STOCKS FINISHED GOODS Fully Settled ALLIANCE HEALTHCARE (DISTRIBUTION) LTD 672096 48,286.21 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 06/06/2013 INFORMATION TECHNOLOGY COMPUTER SOFTWARE/LICENSE Fully Settled ARDENTIA LTD 662268 46,590.64 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 20/06/2013 BALANCE SHEET STOCKS FINISHED GOODS Fully Settled BIO PRODUCTS LABORATORY 27187 39,600.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 04/06/2013 INFORMATION TECHNOLOGY CONTR OTHER EXTERNAL Fully Settled CALDERDALE AND HUDDERSFIELD FOUNDATION TRUST 27125 48,336.83 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 13/06/2013 TRUST MEDICAL PHYSICS MED & SURG EQUIP GENERAL Fully Settled CAREFUSION UK 306 LTD 663873 129,300.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 27/06/2013 PFI ACCOUNTING UNITARY PAYMENT Part Settled CONSORT HEALTHCARE (MID YORKSHIRE) LTD 671720 3,623,338.66 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 27/06/2013 PGH UTILITIES & RATES GAS Fully Settled CORONA ENERGY RETAIL 4 LTD 673404 72,828.55 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 25/06/2013 DDH UTILITIES & RATES GAS Fully Settled CORONA ENERGY RETAIL 4 LTD 673407 29,928.83 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 25/06/2013 CHIEF EXECUTIVE CHIEF EXECUTIVE Fully Settled COUNTY DURHAM AND DARLINGTON NHS FT 27373 26,916.44 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 20/06/2013 CENTRAL ESTATES MANAGEMENT EXTERNAL CONSULTANCY FEES Fully Settled DTZ DEBENHAM TIE LEUNG 670469 25,000.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 25/06/2013 PGH UTILITIES & RATES GAS Fully Settled EDF ENERGY LTD 668438 65,095.48 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 25/06/2013 PGI UTILITIES & RATES ELECTRICITY Fully Settled EDF ENERGY LTD 668442 36,062.80 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 25/06/2013 PGH UTILITIES & RATES GAS Fully Settled EDF ENERGY LTD 668445 78,742.87 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 25/06/2013 PGH UTILITIES & RATES GAS Fully Settled EDF ENERGY LTD 668459 (78,056.66) THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 25/06/2013 PGH UTILITIES & RATES GAS Fully Settled EDF ENERGY LTD 668460 78,006.86 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 25/06/2013 PGH UTILITIES & RATES GAS Fully Settled EDF ENERGY LTD 668462 (78,792.67) THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 25/06/2013 PGH UTILITIES & RATES GAS Fully Settled EDF ENERGY LTD 668469 (65,145.28) THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 25/06/2013 PGI UTILITIES & RATES ELECTRICITY Fully Settled EDF ENERGY LTD 668472 (36,112.60) THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 25/06/2013 PGH UTILITIES & RATES ELECTRICITY Fully Settled EDF ENERGY LTD 673323 81,098.62 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 25/06/2013 PGH UTILITIES & RATES ELECTRICITY Fully Settled EDF ENERGY LTD 673326 80,312.50 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 25/06/2013 PGI UTILITIES & RATES ELECTRICITY Fully Settled EDF ENERGY LTD 673328 37,140.52 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 27/06/2013 DDH UTILITIES & RATES ELECTRICITY Fully Settled EDF ENERGY LTD 673400 64,413.91 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 06/06/2013 EDMS PROJECT ELECTRICITY Fully Settled EDM GROUP LTD 662305 33,842.36 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 25/06/2013 MYHT FINANCE TEAM AUDIT FEES: STATUTORY Fully Settled GRANT THORNTON 674077 31,428.84 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 11/06/2013 BALANCE SHEET STOCKS FINISHED GOODS Fully Settled HEALTHCARE PRODUCT SERVICES-INV 939,945,971 666882 27,120.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 18/06/2013 ORTHOTIC DEPARTMENT - PONTE. APPL CONTRACT Fully Settled HUGH STEEPER LTD 671239 58,354.32 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 18/06/2013 ORTHOTIC DEPARTMENT - PONTE. PATIENTS APPLIANCES : PURCHASE Fully Settled HUGH STEEPER LTD 671239 5,249.61 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 27/06/2013 MRI SERVICE INDEPENDENT SECTOR Fully Settled INHEALTH LTD 669781 62,130.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 27/06/2013 KNOWLEDGE MANAGEMENT COMPUTER SOFTWARE/LICENSE Fully Settled INSIGHT DIRECT (UK) LTD 663533 125,381.42 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 27/06/2013 KNOWLEDGE MANAGEMENT COMPUTER SOFTWARE/LICENSE Fully Settled INSIGHT DIRECT (UK) LTD 671284 376,144.25 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 27/06/2013 KNOWLEDGE MANAGEMENT COMPUTER SOFTWARE/LICENSE Fully Settled INSIGHT DIRECT (UK) LTD 671288 (125,381.42) THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 25/06/2013 TRUST MEDICAL PHYSICS MED & SURG MAINT CONTRACT Fully Settled INTERGRATED RADIOLOGICAL SERVICES LTD 668930 51,921.60 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 13/06/2013 CLINICAL HAEMATOLOGY TRUSTWIDE CONSULTANT Fully Settled LEEDS TEACHING HOSPITALS NHS TRUST 26996 552.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 13/06/2013 ONCOLOGY TRUSTWIDE CONSULTANT Fully Settled LEEDS TEACHING HOSPITALS NHS TRUST 26996 37,755.76 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 13/06/2013 WOMEN'S MEDICAL STAFFING TW CONSULTANT Fully Settled LEEDS TEACHING HOSPITALS NHS TRUST 26996 2,548.08 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 13/06/2013 GENERAL SURGERY - TRUSTWIDE SENIOR LECTURER Fully Settled LEEDS TEACHING HOSPITALS NHS TRUST 27057 55,000.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 04/06/2013 CARDIO RESP INVESTIGATIONS PACEMAKERS Fully Settled MEDTRONIC LTD 645695 29,280.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 04/06/2013 PACEMAKERS PACEMAKERS Fully Settled MEDTRONIC LTD 645695 1,260.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 27/06/2013 SECURITY DDH CONTR PREMISES SECURITY Fully Settled MITIE SECURITY LTD 669357 24,246.08 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 13/06/2013 BLOOD SERVICE TRUSTWIDE BLOOD PRODUCTS Fully Settled NHS BLOOD AND TRANSPLANT 27041 108,090.71 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 13/06/2013 BLOOD SERVICE TRUSTWIDE BLOOD PRODUCTS Fully Settled NHS BLOOD AND TRANSPLANT 27042 37,842.07 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 17/06/2013 MYHT LOSSES AND COMPS INSURANCE COSTS Fully Settled NHS LITIGATION AUTHORITY 27308 35,396.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 17/06/2013 MYHT LOSSES AND COMPS CNST CONTRIBUTIONS Fully Settled NHS LITIGATION AUTHORITY 27309 1,043,179.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 06/06/2013 NHSP HOLDING ACCOUNT NHSP BANK CONTROL Fully Settled NHS PROFESSIONALS 663916 81,537.86 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 06/06/2013 NHSP HOLDING ACCOUNT NHSP BANK CONTROL Fully Settled NHS PROFESSIONALS 663916 12,486.46 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 06/06/2013 NHSP HOLDING ACCOUNT NHSP BANK CONTROL Fully Settled NHS PROFESSIONALS 663916 1,498.98 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 13/06/2013 NHSP HOLDING ACCOUNT NHSP BANK CONTROL Fully Settled NHS PROFESSIONALS 666338 80,999.73 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 13/06/2013 UNION STAFF NHSP BANK CONTROL Fully Settled NHS PROFESSIONALS 666338 13,072.01 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 13/06/2013 NHSP HOLDING ACCOUNT NHSP AGENCY CONTROL Fully Settled NHS PROFESSIONALS 666339 9,462.55 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 13/06/2013 UNION STAFF NHSP AGENCY CONTROL Fully Settled NHS PROFESSIONALS 666339 14,882.63 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 13/06/2013 UNION STAFF NHSP AGENCY CONTROL Fully Settled NHS PROFESSIONALS 666339 5,634.30 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 20/06/2013 NHSP HOLDING ACCOUNT NHSP BANK CONTROL Fully Settled NHS PROFESSIONALS 668497 81,998.08 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 20/06/2013 NHSP HOLDING ACCOUNT NHSP BANK CONTROL Fully Settled NHS PROFESSIONALS 668497 13,099.29 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 20/06/2013 NHSP HOLDING ACCOUNT NHSP BANK CONTROL Fully Settled NHS PROFESSIONALS 668497 992.54 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 20/06/2013 NHSP HOLDING ACCOUNT NHSP AGENCY CONTROL Fully Settled NHS PROFESSIONALS 668498 9,450.36 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 20/06/2013 NHSP HOLDING ACCOUNT NHSP AGENCY CONTROL Fully Settled NHS PROFESSIONALS 668498 10,222.30 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 20/06/2013 NHSP HOLDING ACCOUNT NHSP AGENCY CONTROL Fully Settled NHS PROFESSIONALS 668498 8,340.54 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 27/06/2013 NHSP HOLDING ACCOUNT NHSP BANK CONTROL Fully Settled NHS PROFESSIONALS 669832 80,408.06 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 27/06/2013 NHSP HOLDING ACCOUNT NHSP BANK CONTROL Fully Settled NHS PROFESSIONALS 669832 11,937.07 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 27/06/2013 NHSP HOLDING ACCOUNT NHSP BANK CONTROL Fully Settled NHS PROFESSIONALS 669832 454.85 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 06/06/2013 TRUST MEDICAL PHYSICS X-RAY EQUIP MAINT/REPAIR Fully Settled NHS SUPPLY CHAIN 26952 145,185.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 06/06/2013 TRUST MEDICAL PHYSICS X-RAY EQUIP MAINT/REPAIR Fully Settled NHS SUPPLY CHAIN 26953 426,807.80 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 06/06/2013 TRUST MEDICAL PHYSICS X-RAY EQUIP MAINT/REPAIR Fully Settled NHS SUPPLY CHAIN 26953 8,710.23 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 06/06/2013 TRUST MEDICAL PHYSICS X-RAY EQUIP MAINT/REPAIR Fully Settled NHS SUPPLY CHAIN 26954 49,788.25 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 06/06/2013 TRUST MEDICAL PHYSICS X-RAY EQUIP MAINT/REPAIR Fully Settled NHS SUPPLY CHAIN 26954 1,016.09 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 06/06/2013 BALANCE SHEET NONNHS TRADE CR < 1 YR Fully Settled NHS SUPPLY CHAIN 26957 126,233.49 \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 06/06/2013 BALANCE SHEET \| NONNHS TRADE CR < 1 YR \| Fully Settled \| NHS SUPPLY CHAIN \| 26958 \| 51,628.91 \| \|-----------------------------------------\|-----------------------------------------\|-------------------------------------\|-------------------------------\|-----------------\|----------------------------------------------\|---------\|-------------\| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 13/06/2013 BALANCE SHEET \| NONNHS TRADE CR < 1 YR \| Fully Settled \| NHS SUPPLY CHAIN \| 27053 \| 175,482.01 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 13/06/2013 BALANCE SHEET \| NONNHS TRADE CR < 1 YR \| Fully Settled \| NHS SUPPLY CHAIN \| 27054 \| 65,950.60 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 20/06/2013 TRUST MEDICAL PHYSICS \| MED & SURG MAINT CONTRACT \| Fully Settled \| NHS SUPPLY CHAIN \| 27097 \| 299,310.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 20/06/2013 BALANCE SHEET \| NONNHS TRADE CR < 1 YR \| Fully Settled \| NHS SUPPLY CHAIN \| 27104 \| 158,031.08 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 20/06/2013 BALANCE SHEET \| NONNHS TRADE CR < 1 YR \| Fully Settled \| NHS SUPPLY CHAIN \| 27105 \| 60,924.94 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 27/06/2013 BALANCE SHEET \| NONNHS TRADE CR < 1 YR \| Fully Settled \| NHS SUPPLY CHAIN \| 27167 \| 125,071.61 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 27/06/2013 BALANCE SHEET \| NONNHS TRADE CR < 1 YR \| Fully Settled \| NHS SUPPLY CHAIN \| 27168 \| 52,355.36 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 27/06/2013 TRUST MEDICAL PHYSICS \| X-RAY EQUIP MAINT/REPAIR \| Fully Settled \| NHS SUPPLY CHAIN \| 27172 \| 226,958.90 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 27/06/2013 TRUST MEDICAL PHYSICS \| X-RAY EQUIP MAINT/REPAIR \| Fully Settled \| NHS SUPPLY CHAIN \| 27172 \| 2,524.96 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 20/06/2013 CHIEF EXECUTIVE \| DIRECTOR \| Fully Settled \| NORTH CUMBRIA ACUTE HOSPITALS NHS TRUST \| 27279 \| 25,829.23 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 20/06/2013 BALANCE SHEET \| STOCKS FINISHED GOODS \| Fully Settled \| NOVARTIS PHARMACEUTICALS UK LTD \| 669206 \| 80,154.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 27/06/2013 A&E PGH & PGI \| GENERAL PRACTITIONERS \| Fully Settled \| PRIMECARE \| 671305 \| 37,320.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 27/06/2013 A&E DDH \| AGENCY OTHER MEDICAL \| Fully Settled \| PRIMECARE \| 671308 \| 30,084.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 13/06/2013 TRUST MEDICAL PHYSICS \| LAB EQUIP MAINT / REPAIRS \| Fully Settled \| RADIOMETER LTD \| 663946 \| 22,500.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 13/06/2013 TRUST MEDICAL PHYSICS \| LAB EQUIP MAINT / REPAIRS \| Fully Settled \| RADIOMETER LTD \| 663953 \| 35,990.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 20/06/2013 BALANCE SHEET \| STOCKS FINISHED GOODS \| Fully Settled \| ROCHE PRODUCTS LTD \| 669030 \| 73,332.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 20/06/2013 BALANCE SHEET \| STOCKS FINISHED GOODS \| Fully Settled \| ROCHE PRODUCTS LTD \| 669181 \| 125,733.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 11/06/2013 BALANCE SHEET \| MEDICAL EQUIP ADDITIONS PURCH \| Fully Settled \| SMITH & NEPHEW ADVANCED SURGICAL DEVICES \| 657530 \| 53,448.52 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 25/06/2013 ESTATES - HEALTH CENTRES \| CONTR ESTATE MANAGEMENT \| Fully Settled \| SOUTH WEST YORKSHIRE PARTNERSHIP NHS TRUST \| 27318 \| 49,844.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 20/06/2013 LAUNDRY DDH \| EXT CONTR LAUNDRY \| Fully Settled \| SYNERGY HEALTH (UK) LTD INV START 2000 LINEN \| 669956 \| 28,585.29 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 20/06/2013 LAUNDRY DDH \| EXT CONTR LAUNDRY \| Fully Settled \| SYNERGY HEALTH (UK) LTD INV START 2000 LINEN \| 669965 \| 40,825.85 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 20/06/2013 LAUNDRY DDH \| EXT CONTR LAUNDRY \| Fully Settled \| SYNERGY HEALTH (UK) LTD INV START 2000 LINEN \| 669966 \| 24,699.34 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 27/06/2013 BALANCE SHEET \| PAYROLL DED'NS N/S <1YR \| Fully Settled \| UNISON \| 28711 \| 71,568.71 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 13/06/2013 PGH UTILITIES & RATES \| RATES \| Fully Settled \| WAKEFIELD METROPOLITAN DISTRICT COUNCIL \| 666889 \| 215,247.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 25/06/2013 PGH UTILITIES & RATES \| WATER \| Fully Settled \| YORKSHIRE WATER SERVICES LTD \| 673292 \| 500.40 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 25/06/2013 PGH UTILITIES & RATES \| WATER \| Fully Settled \| YORKSHIRE WATER SERVICES LTD \| 673292 \| 38,240.87 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 24/06/2013 BALANCE SHEET \| PAYROLL DED'NS N/S <1YR \| Fully Settled \| EDENRED \| 25184 \| 45,215.01 \|	en
3413-pdf	# Completed Acquisition By Jla New Equityco Limited Of Washstation Limited ## Appendices And Glossary Appendix A: Terms of reference and conduct of investigation Appendix B: Industry background Appendix C: List of previous acquisitions made by JLA Appendix D: Background to the sale of Washstation Appendix E: Assessment of JLA's analysis of the effects of the Merger on JLA's and Washstation's offer Glossary ## Appendix A: Terms Of Reference And Conduct Of Investigation Terms Of Reference 1. In exercise of its duty under section 22(1) of the Enterprise Act 2002 (the Act) the Competition and Markets Authority (CMA) believes that it is or may be the case that: (a) a relevant merger situation has been created, in that: (i) enterprises carried on by JLA New Equityco Limited (and its subsidiaries) have ceased to be distinct from enterprises carried on by Washstation Limited; and (ii) the condition specified in section 23(2)(b) of the Act is satisfied; and (b) the creation of that situation has resulted, or may be expected to result, in a substantial lessening of competition within a market or markets in the United Kingdom (UK) for goods or services, including the supply of managed laundry services to higher education customers under variable rental agreements in the UK. 2. Therefore, in exercise of its duty under section 22(1) of the Act, the CMA hereby makes a reference to its chair for the constitution of a group under Schedule 4 to the Enterprise and Regulatory Reform Act 2013 in order that the group may investigate and report, within a period ending on 30 September 2018, on the following questions in accordance with section 35(1) of the Act: (a) whether a relevant merger situation has been created; and (b) if so, whether the creation of that situation has resulted, or may be expected to result, in a substantial lessening of competition within any market or markets in the UK for goods or services. Rachel Merelie Senior Director, Delivery and Sector Regulation Competition and Markets Authority 16 April 2018 ## Conduct Of The Investigation 1. We published biographies on the members of the inquiry group conducting the investigation on 16 April 2018 and on the same date the administrative timetable for the investigation was published on our webpages and updated on 16 May 2018 and on 13 September 2018. 2. The initial reference period 30 September 2018 was extended for two weeks because JLA failed (with or without a reasonable excuse) to comply with a requirement of a notice under section 109 notice of the Act by the deadline of 1 May 2018. On 15 May 2018, the Group was satisfied for the purposes of section 39(8) of the Act that JLA provided the information and documents required in the the section 109 notice request. As a result, the reference period terminates on 14 October 2018. 3. The CMA served an initial enforcement order (IEO) on 13 December 2017 and several derogations were subsequently granted. The order and redacted derogations were published on the case page. 4. On 8 May 2018, we directed JLA to appoint: (a) a monitoring trustee (MT) whose functions are to support any action, or as the case may be any remedial action, which may be required to maintain the Washstation business as a viable business and monitor compliance by JLA with the IEO. (b) a hold separate manager (HSM) whose functions are to exercise the day-today management of Washstation, so that its independence is preserved, it is maintained as a going concern with access to sufficient resources for its continued operation and development, and it is operated separately from and competes actively with JLA. 5. On 9 May 2018, we published an issues statement on our webpages, setting out the areas on which the investigation would focus. 6. We invited a wide range of interested parties to comment on the Merger. We sent detailed questionnaires to a number of suppliers, manufacturers and other stakeholders. In addition, we instructed DJS, a research company, to conduct a market research for us and its report was published on the case page on 2 July 2018. Evidence was also obtained through further written requests. We also used evidence from the CMA's phase 1 investigation into the Merger. Summaries of interviews can be found on the case page. 7. We received written evidence from the Parties and a non-confidential version of their response to the phase 1 decision and issues statement is on the case page. We also held a hearing with the Parties on 10 July 2018. 8. On 23 May 2018, members of the inquiry group, accompanied by staff, visited the premises of JLA. 9. In the course of our investigation we sent JLA a number of working papers, and other parties were sent extracts of those working papers, for comment. 10. On 10 August 2018, we published on the case page our provisional findings report, along with a notice of provisional findings and a notice of possible remedies. 11. A non-confidential version of the final report was published on our webpages on 11 October 2017. 12. We would like to thank those who have assisted us in our inquiry. ## Appendix B: Industry Background Market Overview 1. The commercial laundry sector involves the provision of commercial laundry equipment and related services to customers. It covers the supply of machinery through sales and rentals as well as the sale of related repair and maintenance services. 2. Managed laundry services are a subset of the commercial laundry sector. Customers for managed laundry services want (or need) to offer a laundry facility to their own end users1 and provide space for a managed laundry services provider to install the required machinery.2 The provider usually retains ownership of the machinery and manages the laundry operation on behalf of the customer, including providing breakdown services and responding to end-user queries. 3. Although JLA is active across the entire commercial laundry sector, the Parties overlap primarily in the supply of managed laundry services to higher education customers and therefore, this customer group is the focus of this investigation. ## Providers 4. We summarise below the main providers of managed laundry services under vend share agreements to higher education customers in the UK other than JLA and Washstation. ## Armstrong And Hughes 5. James Armstrong and Commercial Company Ltd (Armstrong) was previously a family-owned commercial laundry equipment supplier, founded in 1878. It is based in Newbury and provides commercial laundry services to healthcare, hospitality and higher education customers. 6. Armstrong has an annual turnover of approximately £[] million. 7. In January 2018, Armstrong was acquired by Hughes Electrical Limited (Hughes) 8. Hughes is also a family owned business, founded in 1921. Hughes' principal business activity is the rental and retail of consumer electrical products. Hughes offers a wider range of product categories across all types of domestic electrical equipment.3 9. Hughes has almost 1,000 employees and a turnover in excess of £110 million. According to Hughes's own website, Hughes is the fourth largest specialist electrical retailer in the country and the second largest provider of home entertainment and kitchen appliance rentals. 10. In addition to its domestic electrical equipment, Hughes also offers commercial laundry and dishwasher equipment and associated support services to businesses and operators of on-premise laundries through its commercial arm, Hughes Pro. 11. Hughes's commercial offering is a relatively new part of the business, having been established in 2012. Hughes Pro was originally part of Hughes Trade (which provides domestic electrical products to trade and business) before becoming its own department in May 2018. 12. Hughes Pro is an official Miele Professional Partner and certified service agent, serving the Midlands, East Anglia and South East of England. 13. Hughes Pro serves a wide range of customer groups including the care, hospitality, tourism and educational sectors. 14. Although publicly available data does not give us an indication of the size of Hughes Pro relative to the rest of the business, a news release regarding Hughes Pro indicated that the department employed 26 staff as of February 2018. 15. Hughes told us that it had only one commercial laundry operation in the higher education sector before the transaction with Armstrong.4 ## Goodman Sparks 16. Goodman Sparks Limited (Goodman Sparks) was established in 1971 and is a supplier of commercial laundry systems. Goodman Sparks serves a number of customers, including universities, colleges, independent schools and nursing/care homes. The company operates predominantly across the north of England and the Midlands and generates annual revenue of approximately £[] million. In 2017, Goodman Sparks generated around £75,000 of its revenue from higher education customers on vend share agreements. ## Other Providers 17. JLA told us that it considered the following providers to be competitors: (a) Brewer and Bunney Limited (Brewer and Bunney): a distributor of commercial and industrial laundry equipment in the South West of England. Brewer and Bunney is active in the sale, rental and maintenance of commercial laundry equipment and is an approved Electrolux business partner. It offers machines for sale as well as providing a fixed rental option. Brewer and Bunney is not currently active in the higher education segment. It had a couple of managed laundry services contracts with higher education customers in the past. (b) Dishwashers Direct Limited (Dishwashers Direct): part of Dishwashers Direct, Laundry Equipment Direct provides commercial machines. Laundry Equipment Direct provide maintenance contracts with its rental option and offers its Aquatec system, aimed at students. Aquatec facilitates online and cashless payments as well as allowing students to check machine availability online. (c) F.Donald Forbes & Co. Limited (Forbes): a national rental services company, offering domestic and commercial equipment for rental to customers. Forbes offers commercial laundry equipment through Forbes Professional and serves customers in the healthcare, care homes and hospitality sectors. It currently does not supply higher education customers. Forbes currently offers managed laundry services although mostly under fixed rental agreements and to the hospitality sector. Forbes indicated to the CMA that, while its preference is for fixed rental agreements, it would be willing to offer vend share agreements.5 Forbes recently []. (d) Laundry 365 Limited (Laundry 365): a regional provider of managed laundry services under fixed rental agreements, mostly to care homes. Laundry 365 provide commercial machines for sale as well as offering a fixed rental option. []. (e) MAG Equipment Limited (MAG Group): a regional distributor of commercial laundry equipment. MAG is the exclusive UK distributor for Primer laundry machines, offering machines for sale and fixed rental but it does not provide a vend share option. MAG does not operate in the supply of managed laundry services. It sold its machines to a small number of higher education customers. (f) Maxwell Adam Limited (Maxwell Adam): an Electrolux distributor and supplier of laundry equipment, mainly to care homes and boarding schools. It currently does not supply higher education customers. Maxwell Adam does not offer vend share agreements but does provide managed laundry services under the fixed rental model. (g) OPL Group Limited (OPL): a provider of commercial laundry services, commercial laundry equipment, commercial catering and associated consumables (ie chemical products for both laundry and catering). OPL was established in 1970 and supplies its services to a range of UK and international businesses including NHS trusts, universities and government. OPL offers commercial laundry machines sales as well as after-sales maintenance agreements and a fixed rental option. OPL told us that they very rarely offer vend share agreements and their fixed rental customers usually require machinery for their own internal use, rather than providing a service to end-users and collecting payments. OPL's website does, however, include information about its vend share offering.6 (h) Photo-Me International Plc (Photo-Me): a company that operates, sells and services a range of instant service equipment. While mostly known for its photobooth operation, Photo-Me also operates digital printing kiosks and selfservice laundrettes. Photo-Me entered the laundry services market in 2017 and offers full maintenance and service contracts following installation of selfservice laundry kiosks. It recently launched a new product, Revolution laundrettes. Revolution is a 24/7 outdoor self-service laundrette designed for installation in car parks, convenience stores, supermarkets and petrol station forecourts. Only one higher education customer currently uses the Revolution laundrettes in addition to washing machines and dryers from another supplier. (i) Thain Commercial Limited (Thain): a regional distributor of Miele laundry equipment based in Scotland. Thain provides commercial laundry and dishwasher equipment across a range of sectors including healthcare, hospitality and sports and leisure. Thain's product offering comprises equipment sales and fixed rentals only. Thain has never tendered to supply managed laundry services to higher education customers and has never considered starting to provide these services. (j) Wolf Laundry Limited (Wolf Laundry): a supplier of commercial laundry equipment and related services, based in Yorkshire. Wolf Laundry offers a range of OEM brands for sale and rental to various customer segments including care homes, hospitals, hospitality and leisure and housing associations. Wolf Laundry currently offers a managed laundry service under both fixed rental and vend sharing models. Until recently it did not have any direct relationships with higher education customers, but it recently won a small contract with a small private student accommodation provider . Wolf indicated that it would continue to focus on healthcare and hospitality customers and expand into the private accommodation segment. ## Appendix C: List Of Previous Acquisitions Made By Jla 1. JLA has also made a number of acquisitions in its recent history to grow its customer base (see Table A: below). Table A: JLA merger and acquisition activity (last five years) Revenue in HE Date of Acquisition Company name Nature of Business % Higher education customers [] 07 October 2013 Red Squared Foodservice & Laundry Solutions Limited Laundry Y ([5-10]% of revenue) 14 October 2013 Commercial Kitchen Maintenance Limited Catering Y ([]% of revenue) 31 October 2013 Proton (Southern) Limited Catering Y ([]% of revenue) 06 December 2013 Carford Holdings Limited Catering Y ([]% of revenue) 04 August 2014 Harmony Business and Technology Limited Catering Y ([]% of revenue) 18 February 2015 Comcat Engineering Limited Catering Y ([]% of revenue) 19 February 2015 Newco Catering Equipment Limited Catering Y ([]% of revenue) £[] 19 June 2015 Laundryserv Laundry, including vend share Y ([5-10]% of revenue) 20 April 2016 Westwells (North West) Limited Catering Y ([]% of revenue) 26 August 2016 Wilsons Laundry, including vend share Y ([0-5]% of revenue) [] £[] 18 May 2017 Washstation Limited Laundry (vend share) Y ([90-100]% of revenue) 10 November 2017 DCSW Ltd (and subsidiary Direct Catering Products Limited) Catering None noted 13 December 2017 Acer Equipment Limited Laundry Y ([0-5]% of revenue) [] 29 March 2018 Fire Bright Fire Safety Y ([]% of revenue) Source: JLA response to RFI dated 16 April 2018, Annex 7. ## Appendix D: Background To The Sale Of Washstation 1. We have provided further detail on the background to the sale of Washstation as we have received conflicting versions of events from the Parties. The initiation of sale discussions is potentially relevant to the counterfactual as a desire to sell Washstation may be an indication that the business was weakening and would support JLA's submissions regarding the competitiveness of Washstation absent the Merger. 2. However, we do not consider this to be a determinative factor in our counterfactual analysis as JLA accepts1 that the counterfactual is not Washstation's exit from the market and our view is that, in the absence of the Merger, Washstation was not likely to have exited the market. Furthermore, the evidence assessed in section 5 of the Final Report shows that, absent the Merger, Washstation would likely continue to compete as it did pre-Merger. 3. JLA told us that: (a) Mr Copley contacted Stephen Baxter, the CEO of JLA, in June/July 2016 to discuss whether JLA Group would be interested in acquiring the Washstation business; (b) rather than conduct a formal sales process, Mr Copley sought out JLA due to his prior connections with the business: Mr Copley was previously employed by JLA and had previously sold another company, Circuit Laundrette Services Limited (Circuit), to JLA in 2002; and (c) Mr Copley wished to sell the Washstation business as it was either facing, or likely to face, financial difficulties. 4. JLA told us that negotiations with Mr Copley started in August 2016 and continued to be conducted bilaterally before Mr Copley appointed Smith & Williamson as his advisers in late January 2017, and that Heads of Terms were signed on 10 March 2017. 5. JLA told us that it undertook legal and financial due diligence following the signing of Heads of Terms agreement, in order to determine the duration and expected revenue from live Washstation contracts, and not to determine the valuation of the Washstation business.2 6. JLA told us that it appointed BDO to carry out financial due diligence and that BDO identified that Washstation had accrued approximately £[] million of late commission payments due to customers and would require additional investment in equipment of around £[] million to service recently awarded contracts. 7. JLA told us that the original purchase price for the Washstation business agreed with Mr Copley was reduced by approximately £[] million from £[] million to £[] million to reflect these issues (late commission payments and additional capital expenditure required) and other debt-like items identified during the financial due diligence work.3 8. In contrast, Mr Copley told us that Mr Baxter approached him about a possible sale of the Washstation business, but that he was not initially inclined to sell the business 4. Mr Copley told us that following further conversations with JLA, the Parties reached an agreement on an acceptable sale price.5 9. Mr Copley also provided us with email correspondence leading up to the sale, including an exchange with Grant Thornton. Grant Thornton6 stated that [].This implies, as submitted by Mr Copley, that the decision to sell Washstation was not motivated by financial difficulties and he was not actively looking to sell. 10. In response, JLA submitted that: (a) Washstation's engagement with Grant Thornton clearly suggested that a process was undertaken regarding a sale of the business; and (b) Mr Copley had appointed an interim finance director to prepare the business for sale, prior to any engagement with JLA. 11. While we have received conflicting views regarding the origin of sale discussions, our view is that this is not a determinative factor in our analysis. This is because we have not seen evidence that Washstation's financial situation was such that it necessarily required the sale of the business.7 In addition, JLA has not submitted that the counterfactual should be Washstation's exit from the market. 12. JLA also provided an analysis of the Washstation acquisition price compared to other acquisitions that JLA has made in recent years.8 This shows that the price paid for Washstation was in line with other acquisitions made by JLA.9 We consider that the price paid for Washstation indicates that the business was not financially failing and was not at risk of material deterioration in the near term. We understand that JLA ultimately paid £[] million for the Washstation business. ## Appendix E: Assessment Of Jla'S Analysis Of The Effects Of The Merger On Jla'S And Washstation'S Offer 1. JLA provided some data on its own contracts and the commission rates associated with them. Their analysis of their commissions found that the Merger did not raise prices from after the completion of the Merger in May 2017 until December 2017.1 2. The dataset analysed consisted of JLA contracts that expired between January 2016 and December 2017, covering a period of 17 months before the Merger and seven months afterwards. Only those contracts which were retained by JLA and which were renegotiated are included in the analysis. The dataset includes information on the starting date of the contract, whether the contract renewal required new machines to be installed, the number of machines the contract includes, whether a card payment system was used, and the vend price for a full cycle (presumably under the new contract). The expiry date of each customer's initial contract with JLA is considered as being the renegotiation date, so those contracts which expired after the Merger are considered in the analysis to have been renegotiated after the Merger. 3. Descriptive statistics show that a greater proportion of the contracts (weighted by the number of machines) which involved new machines which were signed after the Merger were more likely to have increased commission (i.e. more money going to the customer) than those signed before the Merger. A smaller proportion involved decreases to commission levels. For contracts involving the retention of existing machines, there was a small increase in the proportion of machines for which the commission level increased, and a larger increase in the proportion for which commission levels decreased. % pre-Merger (529 post-Merger Change in commission machines) (325 machines) percent change Increase [] [] [] Decrease [] [] [] Same [] [] [] Source: CMA analysis of JLA data submitted by RBB as response of the issue letter in phase 1 investigation 14 March 2018 % pre-Merger (646 post-Merger (274 Change in commission machines) machines) percent change Increase [] [] [] Decrease [] [] [] Same [] [] [] Source: CMA analysis of JLA data submitted by RBB as response of the issue letter in phase 1 investigation 14 March 2018 4. These figures show the number of machines affected by commission decreases and increases, but not the number of contracts. We calculated the figures in terms of numbers of contracts in Figure 3 and Figure 4 below. % pre-Merger (55 post-Merger (33 Change in commission contracts) contracts) percent change Increase [] [] [] Decrease [] [] [] Same [] [] [] Source: CMA analysis of JLA data submitted by RBB as response of the issue letter in phase 1 investigation 14 March 2018 % pre-Merger (60 post-Merger (40 Change in commission contracts) contracts) percent change Increase [] [] [] Decrease [] [] [] Same [] [] [] Source: CMA analysis of JLA data submitted by RBB as response of the issue letter in phase 1 investigation 14 March 2018 5. The Parties' regression analysis shows that the number of machines a contract requires, whether new machines are installed, the vend price, and whether a card payment system is used do have an effect on the level of commission agreed, though the dummy variable on whether the agreement was reached after the Merger is insignificant. They fit a similar regression to the percentage-point change in commission levels following the Merger, finding that the post-Merger variable is insignificant, as are the other explanatory variables except the presence of a card payment system. Dependent variable Independent variables Commission rate Change in commission rate After Merger dummy [] [] New machines required [] [] Machines [] [] Vend price [] [] Card payment system [] [] Constant [] [] N [] [] R2 [] Source: RBB analysis of JLA data, submitted 16 July 2018 *//* Statistically significantly different from zero at 1, 5 and 10% confidence. Third party comments CMA customer research 6. Research respondents were asked whether the quality of service provided by their laundry supplier has changed in the last year.2 The majority (48 out of 59) said that the service has not changed, with a small number saying that the service has got worse (six respondents) or that it has improved (two respondents). Of Washstation customers, nine respondents said service was the same and one respondent said service had gotten worse. 7. Those who thought that the service had improved mentioned better engagement from the account manager and newer machines requiring less maintenance as the key improvements. 8. Those who thought that the service had got worse, named the following issues: (a) increased number of breakdowns and call-outs; (b) lengthy repair times; (c) the service being reactive not proactive; and (d) inflexibility of payment methods and confusion, since the Merger, in terms of responsibilities. 9. When asked directly what impact they expect the Merger to have on them as a customer, around half of respondents (24 out of 59) said 'neutral', around a quarter (13) said 'bad' and less than 1 in 10 (5) said 'good'3. Those who thought the impact was positive, mentioned easier management of multiple contracts and better service levels as reasons. 10. The main reasons why some customers were expecting a negative impact were lower service levels and a lessening of competition, both resulting from an increase in JLA's size. For example: (a) A private student accommodation provider said that there would be less competition in the market to keep costs down. (b) Further, a university or college said that they were unhappy with JLA's service levels and that JLA had no incentive to improve because "there is now little or no competition". 11. Those who thought the impact would be positive mentioned easier management of multiple contracts and better service levels as reasons. For example: (a) A private student accommodation provider said that the merged firm would have more resources and more experience. (b) Further, a university or college said that they have contracts with multiple suppliers, and would benefit from "discuss[ing] all issues with a single supplier". Review of the evidence submitted by JLA on pre- and post-merger service level KPIs 12. As part of its response to the working papers, JLA submitted four graphs comparing (i) the average responses times of Washstation and JLA between December 2017 and May 2018; (ii) the average response times of Washstation from December 2017 until May 2018, and JLA from May 2016 until May 2018; (iii) the proportion of 'first time fix' of Washstation and JLA between December 2017 and May 2018; and (iv) the proportion of first time fix calls for Washstation between December 2017 and May 2018, and for JLA between May 2016 and May 2018. The graphs are analysed in the paragraphs below, however the CMA noted that from the graphs it is difficult to compare JLA's and Washstation's service levels pre- and post-Merger due to a lack of Washstation data on service level pre-Merger. 13. Figure 6 and Figure 7 show that for JLA and Washstation the average response to a call remains overall constant post-Merger, being around []%. When looking at the period before the Merger (May 2016) and comparing it with the period after the Merger (until May 2018), Figure 7 indicates that JLA's average response rate has slightly increased going from between []% between May 2016 -and May 2017 to []%. However, the graphs do not report any data for Washstation's average response in the period prior the Merger and therefore it is difficult to compare how Washstation was performing pre-Merger relative to JLA. [] Source: JLA submission as response to CMA working paper [] Source: JLA submission as response to CMA working paper 14. Figure 8 and Figure 9 report the proportion of first time fix for JLA and Washstation between December 2017 to May 2018 (data relating to JLA goes back to May 2016 in Figure 9) and they show that there has been a slight decline in the proportion of the first-time fix from []% to []% between May 2016 to May 2018 for JLA. JLA submitted that this has nothing to do with the Merger itself but rather this is because there is a trend increase in the number of simpler jobs that do not need an engineer which are now increasingly fixed over the phone. It is difficult to compare Washstation's and JLA's service performance due to a lack of data for Washstation prior to the Merger. [] Source: JLA submission as response to CMA working paper [] Source: JLA submission as response to CMA working paper ## Glossary \| \| \| \|---------------------------------------------------------\|--------------------------------------------------------\| \| Act \| The Enterprise Act 2002. \| \| Alliance \| Alliance Laundry Systems LLC. \| \| Armstrong \| James Armstrong & Co Ltd. \| \| Acquisition Contracts \| Contracts with \| \| transferred to \| JLA \| \| Brewer and Bunney \| Brewer and Bunney Limited \| \| CMA \| Competition and Markets Authority. \| \| Circuit \| Circuit Launderette Services Limited \| \| Commercial Laundry \| \| \| Services \| \| \| Services in which non-domestic washing machines and \| \| \| tumble dryers (machines) are either rented or sold to \| \| \| business customers. \| \| \| Commission \| An agreed percentage of the revenues generated from \| \| end-users of the machines which are then paid to higher \| \| \| education customers by managed laundry services \| \| \| providers under vend share agreements. \| \| \| CMA customer \| \| \| research \| \| \| The CMA commissioned customer research conducted \| \| \| by DJS Research. \| \| \| Counterfactual \| Assessment of the most likely competitive situation in \| \| the absence of the Merger. \| \| \| DJS \| DJS Research Limited \| \| Current Contracts \| Contracts with \| \| held by \| Washstation \| \| arrangements. \| \| \| FFV \| Full Forward Value, which is the sum of the annualised \| \| revenue of each contract, multiplied by the remaining \| \| \| contract period. Annualised revenue reflects annual \| \| \| revenue projections for each contract plus any vend \| \| \| price increases where appropriate. Amounts are not \| \| \| discounted to present value. \| \| \| Fixed rental agreement \| An agreement where the provider rents the machine to a \| \| customer and carries out repairs and maintenance \| \| \| works; and the customer pays a fixed monthly fee and \| \| retains any payments made by end-users for use of the machine. Forbes F.Donald Forbes & Co. Limited Goodman Sparks Goodman Sparks Ltd. Greenwald Greenwald Industries, Inc. Higher education customers include: Higher education customers (a) universities and colleges; (b) private organisations that provide student housing and related services either directly to students or on behalf of a university/college via an outsourcing arrangement; and (c) management companies who manage student accommodation, but do not own the buildings. HSM The Hold Separate Manager, appointed to operate the Washstation business separately from JLA for the duration of the investigation. Hughes Hughes Electric Ltd Hughes Armstrong Armstrong under the ownership of Hughes, ie after Hughes acquisition of Armstrong in January 2018 IEO The Initial Enforcement Order served by the CMA on the Parties on 13 December 2017 under section 72(2) of the Act. IQ IQ Student Acccomodation Ltd JLA JLA New Equityco Limited and its subsidiaries. Laundry 365 Laundry 365 Limited Machines Non-domestic washing machines and tumble dryers. Maintenance and repair services agreements The customer owns the machine and the provider carries out all repairs and maintenance of the machine (these agreements are often signed alongside a sales agreement of machines). MAG Group MAG Equipment Limited MAG Merger Assessment Guidelines (CC 2 Revised), September 2010 Managed laundry services Services in which commercial laundry services are provided on fixed rental agreements and vend share agreements. This is a subset of the commercial laundry sector. Maxwell Adam Maxwell Adam Ltd Merger The completed acquisition of Washstation by JLA via its subsidiary Vanilla Group Limited. Maytag Maytag Corporation MT The Monitoring Trustee, appointed to monitor compliance by JLA with the IEO. OEM Original Equipment Manufacturer. For example, Alliance or Maytag. OPL OPL Group Limited Online services Additional services to managed laundry services, eg app-based machine monitoring. Parties JLA and Washstation Phase 1 The investigation, by the CMA, of the Merger to determine whether the statutory test for reference for an in-depth phase 2 has been met. Phase 1 decision The CMA's phase 1 decision dated 3 April 2018 to refer the acquisition of Washstation by JLA for further investigation. Phase 2 An in-depth investigation by the CMA of the Merger following the reference from phase 1. RCBs Relevant Customer Benefits within the meaning of section 30 of the Act. Provisional Findings The provional findings report published on 10 August . Remedies Notice The notice of possible remedies under Rule 12 of the CMA's rules of procedure for merger, market and special reference groups. Response to the Provisional Findings JLA's responde to the Provisional Findings of 31 August 2018 Photo-Me Photo-Me International Plc Thain Thain Commercial Limited \| UPP \| UPP Group Holdings Limited \| \|---------------------------------------------------------\|-----------------------------------------------------\| \| Vend share agreement \| The provider supplies and installs the machines and \| \| carries out repairs and maintenance works. The \| \| \| customer does not pay rent to the provider, but instead \| \| \| receives an agreed percentage of the revenues \| \| \| generated from end-users of the machines in the form of \| \| \| commission from the provider. \| \| \| The same meaning as vend share agreement \| Variable rental \| \| agreement \| \| \| Washstation \| Washstation Limited. \| \| Whirlpool \| Whirlpool Corporation \| \| Wolf Laundry \| Wolf Laundry Limited \| \| \| \|	en
2633-pdf	## Pre-Release Access To Official Statistics: National Forest Inventory Statistics For England And Aligned Areas Introduction The Forestry Commission's arrangements for pre-release access to Official Statistics are described in a Pre-Release Access Statement1. This document supplements the statement by giving the names and/or job titles of all those persons to whom pre-release access has been granted to the National Forest Inventory statistics for England and aligned areas. The report covers 2 forms of prerelease access:  Part 1 provides a list of those receiving pre-release access to the Official Statistics in their final form for briefing purposes. As this is a release covering England, the prerelease access period is limited to 24 hours.  Part 2 provides a list of those receiving pre-release access for quality assurance purposes. The justification for giving advance access to each listed recipient will be available on request. Sheila Ward Forestry Commission Lead Official for Statistics Updated August 2017 ## Part 1: Pre-Release Access To Final Form (24 Hours) (last updated by Aug 2017)  Ian Gambles, Director, Forestry Commission England  Richard Greenhous, Director of Forest Services, FC England  Simon Hodgson, Chief Executive of Forest Enterprise England  Joe Watts, Head of Sustainable Forest Management, FC England  Richard Britton, Head of Forest Services Delivery, FC England  James Pendlebury, Chief Executive, Forest Research  Mark Broadmeadow, Principal Adviser, Climate Change, FC England  Colin Whelan, Natural Environment Policy, Defra  Rebecca Waite, Policy Advisor, Local Delivery 25YEP and JOLT/aligned areas, Defra  Megan Phillips, Press Office, FC/Defra  Rachel Ford, Chief Communications Officer, Defra  Emily Beaumont, Media Relations Officer, FE England  Natasha Moor, Communications Officer, Defra  Caitlin Owers Press Office, Defra  Lee Cain, Media Special Adviser, Defra  Guy Robinson, Policy Special Adviser, Defra ## Part 2: Pre-Release Access For Quality Assurance (last updated by Aug 2017)  Richard Britton, Head of Forest Services Delivery, FC England  Peter Freer-Smith, Research Director, Forest Research  Peter Weston, Head of Inventory, Forecasting & Operational Support (IFOS), Forest Research  Keith Jones, Area Director, North West & West Midlands England, FC England  Mark Prior, Area Director, South West England, FC England  Steve Scott, Area Director, East and East Midlands England, FC England  Alison Field, Area Director, South East England Area, FC England  Crispin Thorn, Area Director, Yorkshire & North East , FC England  Sheila Ward, Statistician, IFOS-Forest Research  Craig Harrison, Partnership & Expertise Manager, London, FC England  Chris Waterfield, Partnership & Expertise Manager, North West & West Midlands England, FC England  Donna Tavernor, Partnership & Expertise Manager, North West & West Midlands England, FC England  Richard Pow, Partnership & Expertise Manager, Yorkshire & North East , FC England  Jim Smith, Local Partnership Advisor, Yorkshire & North East, FC England  David Bole, Partnerships & Expertise Manager, East and East Midlands England, FC England  Corinne Meakins, Partnership & Expertise Manager, East and East Midlands England, FC England  Matthew Woodcock, Partnership & Expertise Manager, South East England, FC England  Kate Tobin, Local Partnership Adviser, South West England, FC England	en
4553-pdf	## Comparing Pavement Condition - Feasibility Study Office of Rail and Road ## Important Notice This report was prepared by Cambridge Economic Policy Associates Limited (CEPA) for the exclusive use of the client(s) named herein. Information furnished by others, upon which all or portions of this report are based, is believed to be reliable but has not been independently verified, unless expressly indicated. Public information, industry and statistical data are from sources we deem to be reliable; however, we make no representation as to the accuracy or completeness of such information, unless expressly indicated. The findings enclosed in this report may contain predictions based on current data and historical trends. Any such predictions are subject to inherent risks and uncertainties. The opinions expressed in this report are valid only for the purpose stated herein and as of the date of this report. 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Should any third parties choose to rely on the report, then they do so at their own risk. ## Glossary \| BCD \| Base Condition Data \| \|-----------------------------------------------------------------------------------------\|------------------------------------------------------------------------\| \| CQC \| Customers Quality Cost \| \| CSC \| Characteristic Skid Resistance \| \| DBFO \| Design Build Finance and Operate \| \| DfT \| Department for Transport \| \| DMRB \| Design Manual for Roads and Bridges \| \| GPR \| Ground Penetrating Radar \| \| HAPMS \| Highways England's Pavement Management System \| \| HGV \| Heavy goods vehicle \| \| HMDIF \| Highways Maintenance Data Interchange Format \| \| IRI \| International Roughness Index \| \| KPI \| Key Performance Indicator \| \| KPI8 \| Pavement Condition metric Highways England is assessed against in RIS1 \| \| LA \| Local Authority \| \| LPV \| Longitudinal Profile Variance \| \| MPD \| Mean Profile Depth \| \| NSC \| Network Structural Category \| \| ORR \| Office of Rail and Road \| \| PMS \| Pavement Management System \| \| RCD \| Raw Condition Data \| \| RCI \| Road Condition Index \| \| RDC0120 \| \| \| DfT data tables for LA managed classified roads where maintenance should be considered, \| \| \| by LA in England \| \| \| RIS \| Road Investment Strategy \| \| RWS \| Rijkswaterstaat \| \| SCANNER \| Surface Condition Assessment for the National Network of Roads \| \| SCRIM \| Sideway-force Coefficient Routine Investigation Machine \| \| SFC \| SCRIM Skid Resistance data \| \| SKM \| Skid Resistance \| \| SMTD \| Sensor Measured Texture Depth \| \| SRN \| Strategic Road network \| \| TfL \| Transport for London \| \| TRACS \| TRAffic-speed Condition Survey \| \| TRASS \| TRAffic-speed Structural Survey \| \| TSD \| Traffic-Speed Deflectometer \| ## Executive Summary The Office of Rail and Road (ORR) have commissioned CEPA and TRL to consider the composition and level of detail of pavement condition data across highway authorities that are comparable to Highways England. The objective of this project is to assess the feasibility of making direct comparisons of pavement condition data between Highways England and these candidate comparators. To meet ORR's requirements our analysis was split into two stages, as shown in Figure 1 below. ## Assessment Of Comparators Table 1 below provides a summary of our findings regarding the feasibility of making direct comparisons of pavement condition between Highways England and the comparators. It provides an indication, by metric, of which road authorities can be compared and whether that comparison requires that the metric be modified. Metrics Parameters RIS1 RIS2 Netherlands LA Authority Highways England ✓ ✓ m ✓ ✓ Scotland m m m ✓ ✓ (some) Wales m m m ✓ ✓ (some) Local Authorities m m m ✓ ✓ (some) Netherlands m m ✓  ✓ (some) Sweden     ✓ (some) ## Key  Calculation of metric not possible, required parameters not available ✓ Calculation of metric possible or comparison of parameters possible m Calculation of a modified version of the metric possible. Further explanation of these findings is provided below. ## Feasibility Of Comparison Using Highways England Ris Pavement Metric Assessment of the feasibility of comparison between Highways England and the comparator organisations using the Highways England Road Investment Strategy (RIS) pavement metric has revealed that it is not possible to directly undertake comparisons using the RIS1 metric, or proposed RIS2 metric, without modifications to the metric calculations. Undertaking certain modifications would allow for comparisons with Figure.1: Overall project approach Wales, Scotland and the Netherlands, albeit using modified versions of these metrics and requiring bespoke modification for each road authority. The data collected and held by Sweden appears to be too different to make any comparison with the Highways England's RIS pavement metrics feasible. Whilst comparison with the Local Authorities (LAs) is possible, it is not recommended due to the level of work required to do so. ## Feasibility Of Comparison Using Netherlands Metric As was the case with Highways England's RIS pavement metrics, assessment of the feasibility of comparison between Highways England and the comparator organisations using the Netherlands metric has revealed that it is not possible to directly undertake any comparisons without making modifications to the metric calculations. The main difference between the Netherlands metric and the other comparators is around Fretting. Other authorities either do not collect Fretting data, or do not measure the parameter in the same way. Similarly, Cracking is not measured in the same way in the UK. Therefore, no comparison can be performed with the Dutch metric that includes either of these parameters. The data collected and held by Sweden appears to be too different to make any sort of comparison with the Netherlands metric feasible. Comparison with the LAs is not recommended due to the level of work required to do so. The Highways England RIS pavement metrics require different modifications for the Netherlands and Wales/Scotland/LAs. The above analysis has revealed that, unlike the RIS pavement metrics, Highways England, Scotland, Wales, LAs and the Netherlands can all be compared with one another using the same modified version of the Dutch metric, but calculated using only Rutting, Ride Quality and Skid Resistance. ## Feasibility Of Comparison Using Local Authority Metric The LA metric will allow for comparison between Highways England, Scotland, Wales and LAs, without requiring modification, pending further investigation of TRAffic-speed Condition Survey (TRACS) and Surface Condition Assessment for the National Network of Roads (SCANNER) Cracking data. This contrasts the previous metrics, which also allow for extensive comparison but require modification to the metric calculations. For the Netherlands and Sweden, a meaningful calculation of the Road Condition Index (RCI) is not possible and consequently neither is comparison with Highways England. We conclude that the LA metric (Amber) provides the most straightforward opportunity for comparison of pavement condition for the UK authorities. It does not appear practicable to include international comparators. ## Feasibility Of Comparison Using Highways England Data Comparison using components of Highways England data is the alternative option to using whole metrics. Assessment of the feasibility of comparisons using parameters of Highways England's data shows that all of the comparators can be compared with Highways England using some, but not all, of the data components recorded at an individual level. Highways England, Scotland, Wales and the LAs appear to be comparable with each other for some of the parameters. Including the Netherlands and Sweden in the majority of these comparisons does not appear possible. A parameter comparison between authorities may be used as a stand-alone measure, or alternatively, as a complementary measure to a metric comparison. The added value of the latter would depend on the parameters and authorities included in the chosen metric. Sweden and the Netherlands can only be compared with Highways England on Rutting and Roughness parameters., Texture, Skid Resistance and possibly Cracking parameters could also be compared between UK authorities. ## Considerations For Future Work Two potential issues emerge when discussing the actual undertaking of the comparisons discussed in this report, particularly between Highways England and Local Authorities. These would need to be considered during any future work. See Appendix C for further information. First, Sideway-force Coefficient Routine Investigation Machine (SCRIM) type data is not collected network wide by local authorities, presenting challenges in monitoring changes in Skid Resistance over time in these cases, as a relatively small part of the network is sampled each year. This presents a risk that the sample may not be representative of the road condition of the LA networks in any given year. Second, practice differs between LAs in terms of how the network condition of the roads not surveyed in the latest year are treated in reporting an overall measure. ## Summary We used case studies to assess the feasibility of taking forward direct comparisons of pavement conditions. This revealed that: - Regardless of whether the RIS1 or RIS2 version of the Highways England pavement metric is used, it is not possible to directly undertake any comparisons without modifications to the metric calculations. - Scotland, Wales and the LAs are already closely aligned in terms of the form and structure of the data collected, and as a group are the most feasible comparators for Highways England. - Among international comparators, Sweden is not a suitable candidate for comparisons, and the Netherlands is a more feasible candidate. - The Netherlands metric provides the opportunity for the most extensive comparison. The modifications required to undertake the comparison are the same for Highways England, Scotland, Wales and the LA. This means all comparators, except Sweden, can be included in a multicomparison. - The LA metric (Amber) provides the best opportunity for comparison of pavement condition between the UK authorities. - Highways England, Scotland, Wales and the LAs appear to be comparable using some data parameters instead of a metric to undertake comparisons, The Netherlands and Sweden cannot be included in the majority of these comparisons. - There are some potential limitations with using LAs as comparators that need to be considered during any future work. These may be rectified by selecting as comparators those LAs which manually over-write their road condition databases when improvement works are undertaken. Assessment of pavement condition between Highways England and other organisations, therefore, appears more feasible using metrics calculated by other organisations, rather than using the Highways England pavement metric. The Netherlands appears to allow for a more extensive comparison than the LA metrics. But the LA metrics are the most straightforward option for a comparison between UK authorities. A parameter comparison between authorities may be used as a stand-alone measure, or alternatively, as a complementary measure to a metric comparison. The added value of the latter would depend on the parameters and authorities included in the chosen metric. Sweden and the Netherlands can only be compared with Highways England on Rutting and Roughness parameters. Texture, Skid Resistance and possibly Cracking parameters could also be compared between UK authorities. Undertaking a comparison using the individual data parameters is a simpler process and one that allows for comparison between specific elements of pavement condition. The use of such metrics allows for a more complete picture of pavement condition to be presented in way that is easier to understand and allows for easy comparison across time. Initial cost estimates for undertaking the comparisons are presented in Figure 2 below. ## 1. Introduction Highways England is responsible for operating, maintaining and improving the Strategic Road Network (SRN) in England. The SRN is an important national asset which generates and supports the growth of the UK. The ORR monitors Highways England's performance delivery and management of the SRN through a performance scheme, which includes both efficiency and operational performance metrics, as well as investment monitoring. This performance scheme forms part of the five-year Road Investment Strategy (RIS), through which ORR advises on future strategies, evaluates proposals and monitors Highways England's performance against set targets. Highways England is nearing the end of the first road period (RIS1), which concludes in 2020, and ORR is currently involved in finalising outputs and funding, as well as the performance metrics and targets, for the second period (RIS2). One of the metrics Highways England is formally assessed against in RIS1 is KPI8, the key performance indicator (KPI) for pavement condition measured as the percentage of the network that needs no further investigation for possible maintenance. Highways England is proposing an amended version of this current pavement metric for RIS2, which would instead measure the percentage of the pavement network in good condition. ORR has commissioned CEPA and TRL to consider the composition and level of detail of pavement condition data across highway authorities that are comparable to Highways England. The objective of this project is to assess the feasibility of making direct comparisons of pavement condition data between Highways England and these comparators. This report builds on our previous work,1 which considered how pavement metrics are designed and measured across several organisations including Local Authorities (LAs), Transport Scotland, the Welsh Government and internationally. The objective of that work was to assess what other road management agencies do in terms of measuring and monitoring pavement condition, and the extent to which this can be compared to the approach adopted by Highways England. ## 1.1. Structure Of Document The remainder of the report is structured as follows: - Section 2 gives an overview of our approach; - Section 3 contains a case study on Highways England's pavement condition data and measurement; - Section 4 provides an outline of the comparators selected; - Section 5 provides a comparison between Highways England and the organisations identified for analysis; and - Section 6 outlines our findings. ## 2. Approach To meet ORR's requirements our analysis was split into two stages, as shown below and discussed in the subsequent sections. ## 2.1. Stage 1: Research The first stage of the project involved: - selection of comparators; - researching the form and detail of data held by potential comparators; and - developing a case study for each comparator. We revisited our earlier report and selected those comparators that we found to be most comparable to Highways England for the purposes of this research. The Netherlands and LAs were found to be the most comparable and might permit some form of benchmarking, if the data underlying current measures could be obtained and analysed. The highway parameters for Scotland and Wales are similar enough to Highways England's RIS1 pavement metric that a comparison can be made, though a modification would be required for both. Whilst Sweden was not considered within the previous study, its road condition data is published now online. Therefore, Sweden has also been considered in this research. Further detail is provided in Section 4. We engaged with each of these comparators, as well as undertaking desk-based analysis, in order to identify and assess the type of data collected to assess pavement condition, and the level of detail available. Table 2.1 below sets out the list of case studies compiled, along with the associated provider and type of road network. \| Jurisdiction \| Provider \| \|-------------------\|----------------------------------------------\| \| Netherlands \| Riijkswaterstaat (National Roads) \| \| Scotland \| Transport Scotland (Trunk Road Network) \| \| Local Authorities \| Various (Local Road Network) \| \| London \| Transport for London (Local and Trunk Roads) \| \| Wales \| Welsh Government (Trunk Road Network) \| \| Sweden \| Trafikverket (National Roads) \| For the remainder of Stage 1, for each comparator, we: - determined how the data could be compared between comparators, with attention paid to the pavement metric currently used by Highways England in RIS1; and Figure 2.1: Overall project approach - from this, assessed whether comparisons were feasible and what factors may hinder direct comparability. We created a standardised case study template that we used to collate our research and analysis on each comparator, as well as to facilitate comparison with our Highways England case study. By the end of Stage 1 we had developed a set of six comparator case studies which covered: - Type, form, age and structure of data collected. - Level of detail of data. - Time required and cost to collate/clean/prepare data and perform comparison. - Factors that may hinder direct comparability. - Likelihood of comparison success. - Steps required to compare data. - Feasibility of using the comparator's data to obtain a metric equivalent to Highways England's pavement metrics, Netherlands metric and LA metrics. - Feasibility of using the comparator's data to compare with Highways England data. ## 2.2. Stage 2: Synthesis Of Research In Stage 2, the case studies were compared in order to draw out the comparisons that we consider feasible. Once the case studies had been evaluated, an analysis of the data amendments and additions that are required in order to facilitate comparison between Highways England and the comparators was undertaken. ## 3. Highways England Case Study This section provides information on the form and detail of Highways England's pavement condition data, as well as outlining the KPI used to measure pavement condition in RIS1 (KPI8) and the proposed metric for RIS2. ## 3.1. Pavement Condition Assessment The general approach to pavement condition assessment comprises consideration of: - structural condition; - surface unevenness; and - surface Skid Resistance. To measure these, Highways England uses the TRAffic-speed Condition Surveys (TRACS) for surface condition, Sideway-force Coefficient Routine Investigation Machine (SCRIM) to measure Skid Resistance and Traffic Speed Deflectometer (TSD) for TRAffic-speed Surveys of Structural condition (TRASS).2 These surveys collect the following data: - TRACS (Traffic Speed Condition Survey) data: Rutting, Ride Quality (3m, 10m and 30m eLPV, and Bump Measure), Texture (SMTD), Cracking, Fretting, Images, Retroreflectivity (road markings), Ground Penetrating Radar (GPR); - SCRIM data (Skid Resistance): SFC; and - TRASS (TSD): Deflection data. A lot of this data is used for directly assessing maintenance interventions, or for using in the calculation of the RIS1 pavement metric. However, some have only been introduced quite recently (e.g. Fretting, GPR) and have not yet been established as robust, whilst parameters such as Texture are only used as proxies for others (Skid Resistance) and therefore, only the more important measure is included in the metric. ## 3.2. Ris1 Pavement Metric (Kpi8) Highways England uses the condition data that these surveys collect as the basis for its RIS1 KPI. Its Operational Metrics Manual3 describes the KPI for pavement condition as the percentage of the network that needs no further investigation for possible maintenance. The KPI is based on the condition of each 10m length of Lane 1 of main carriageway (i.e. not lay-bys, slip roads, link roads or roundabouts) on the network and excludes the part of the network managed as a part of Design, Build, Finance and Operate (DBFO) concessions, as Highways England has no direct control of maintenance works undertaken on these roads. The condition of the pavement for the RIS1 KPI is measured as part of annual TRACS and Skid Resistance surveys of Lane 1 of main carriageways (non-DBFO parts only). The data from these two surveys, which describe Rutting, (3m, 10m and 30m wavelength) longitudinal profile and Skid Resistance, are used to assess the condition of each 10m length of the network. Four categories are used to define the pavement condition measured by TRACS: - Category 1: No visible deterioration; - Category 2: Low level deterioration and no action required; - Category 3: Moderate level of deterioration and investigation is required; and - Category 4: Severe level of deterioration and investigation is required at the earliest opportunity. Highways England uses Category 3a for the RIS1 Pavement Condition Metric, mid-way between the thresholds for Categories 3 and 4. For Skid Resistance the Investigatory Level is equivalent to Category 3 (i.e. the condition is to be investigated). The target for the RIS1 KPI is to maintain at least 95% of the network (Lane 1) at a level where further investigation is not required for each year of RIS1, defined as Category 3a or better.4 Table 3.1 below provides a summary of Highways England's approach to pavement condition measurement in RIS1. \| Area of interest \| \|----------------------------------------------------------------------------------------------------\| \| Summary of \| \| techniques used \| \| by Highways \| \| England \| \| \| \| TRACS - used to measure different elements of pavement surface condition. \| \| SCRIM - measures Skid Resistance. \| \| TSD - measures the (structural) strength (expressed as the Network Structural Category) of \| \| the road pavement. \| \| GPR - data used in combination with TSD measurement in the identification of the Network \| \| Structural Category (NSC). \| \| Deflectograph - measures the pavement deflection (to show the pavement strength); used for \| \| targeted investigations only when the other surveys indicate that further investigation is needed. \| \| RIS1 Metric \| \| construction \| Data on the surface condition (Rutting and evenness) and Skid Resistance of the pavement on the network is used. Not all of the network can be surveyed in a year for a range of reasons, so the length examined is less than the total length of Lane 1 on the SRN, but the annual data coverage is high at >96%. The condition of each 10m length of Lane 1 of the main carriageways is identified using a variety of defects (Rutting, 3m, 10m and 30m longitudinal profile, and Skid Resistance). All defects in each 10m length must be in better condition than Category 3a for the 10m length to be considered as good condition for the KPI analysis. The total length without condition data is assumed to be the same condition (i.e. the percentage length in good condition) as the part of the network with condition data. The targeted condition is for 95% or more of Lane 1 to not require further investigation (i.e. condition better than Category 3a) for the KPI. Anything worse than the thresholds for Category 3a is deemed to require further investigation (i.e. in poor condition for the KPI). Records of completed maintenance are entered into HAPMS. Any 10m length that has been maintained since the condition survey is assumed to be in better condition than Category 3a. The overall % of the network not requiring further investigation is calculated as (Total length of network data not requiring further investigation / Total lane 1 length of the network) 100 Source: CEPA ## 3.3. Proposed Ris2 Pavement Metric Highways England is proposing an amended version of the RIS1 pavement metric for RIS2. Through this updated Pavement Condition metric, it aims to move from recording the percentage of the pavement network that does not require further investigation, to the percentage that is in good condition. The RIS2 pavement metric will be based on Rutting, evenness and Skid Resistance data, collected from the same survey types as in RIS1; however, it will use data from all lanes of the main carriageway and will assess performance using 100m lengths. All lengths of pavement that were renewed since the previous survey will be automatically marked as being in 'good' condition. Part of the proposed update to the pavement metric for RIS2 is the introduction of the Crash model into an altered metric process. Whereas SCRIM identifies areas of the network with Skid Resistance below the Investigatory Level, the Crash Model will now be used to perform additional, more detailed, assessments on these areas. The model results will suggest, of the areas where the Skid Resistance threshold has been breached, the areas where maintenance is likely to be needed due to a higher than normal number of accidents occurring for the type of road. These areas are then followed up with site investigations which, if a need for maintenance is confirmed, will be labelled as not in 'good' condition. Those areas where the Skid Resistance threshold is breached, but the Crash Model shows no issue, or the inspection in-fact reveals no need for maintenance, will be labelled as being in 'good' condition, unless the Rutting or evenness thresholds are also breached. It should be noted that Highways England does not yet fully understand the impact that the inclusion of the Crash model will have on the performance of the metric. ## 3.4. Ris1 Kpi Vs. Ris2 Proposal Table 3.2 provides an outline of the differences between the current RIS1 Pavement Condition Metric and the updated version proposed by Highways England for RIS2. These differences mean the approach taken to assessing the feasibility of making comparisons of pavement condition data between Highways England and comparators will differ depending on whether the RIS1 pavement metric is retained for RIS2, or if the proposed updated metric is introduced. \| Component \| RIS1 \| RIS2 \| \|------------------------------------------------\|-------------------------\|--------------------------------------\| \| % of pavement network in good condition \| Title \| \| \| % of pavement asset that does not require \| \| \| \| further investigation for possible maintenance \| \| \| \| Coverage \| Lane 1 main carriageway \| All permanent main carriageway lanes \| \| 5 \| \| \| \| \| \| \| \| Assessment length \| 10m \| 100m \| \| Reporting frequency \| Annual \| Annual \| \| Measures of \| \| \| \| condition \| \| \| \| Rutting \| \| \| \| Longitudinal profile (3m, 10m, 30m) \| \| \| \| Skidding resistance \| \| \| \| Rutting \| \| \| \| Longitudinal profile (3m, 10m, 30m) \| \| \| \| Skidding resistance \| \| \| \| Condition thresholds \| Category 3a \| Category 3 \| Calculation Length of network in good condition scaled up for missing condition data for each defect Only available data is used - no scaling up to account for missing condition data 2 years 2 years Maximum metric data age Source: Operational Metrics Manual, Highways England (2019) and Draft Strategic Business Plan - Section D: Performance, Highways England (2019). \| Condition Parameter \| Category 3a Threshold \| Category 2 to 3 Threshold \| \|----------------------------------------------------\|--------------------------\|------------------------------\| \| Rut Depth (mm) \| 15.5 \| 11 \| \| Characteristic Skid Resistance (CSC) \| \| \| \| 6 \| \| \| \| \| 0.05 Investigatory Level \| 0.05 Investigatory Level \| \| Ride Quality 3m Longitudinal Profile Variance (mm \| \| \| \| 2 \| \| \| \| ) \| \| \| \| Motorways \| 3.3 \| 2.2 \| \| Rural Dual Carriageways \| 3.3 \| 2.2 \| \| Urban Dual Carriageways \| 3.85 \| 2.2 \| \| Rural Single Carriageways \| 3.85 \| 2.2 \| \| Urban Single Carriageways \| 6.55 \| 3.8 \| \| Ride Quality 10m Longitudinal Profile Variance (mm \| \| \| \| 2 \| \| \| \| ) \| \| \| \| Motorways \| 10.6 \| 6.5 \| \| Rural Dual Carriageways \| 10.6 \| 6.5 \| \| Urban Dual Carriageways \| 15.7 \| 8.6 \| \| Rural Single Carriageways \| 15.7 \| 8.6 \| \| Urban Single Carriageways \| 27.45 \| 18.3 \| \| Ride Quality 30m Longitudinal Profile Variance (mm \| \| \| \| 2 \| \| \| \| ) \| \| \| \| Motorways \| 88 \| 66 \| \| Rural Dual Carriageways \| 88 \| 66 \| \| Urban Dual Carriageways \| 98 \| 75 \| \| Rural Single Carriageways \| 98 \| 75 \| \| Urban Single Carriageways \| 145 \| 97 \| Source: Operational Metrics Manual, Highways England, 2019 and Design Manual for Roads and Bridges, Volume 7, Section 3, Part 2, HD 29/08 The change of condition threshold from Category 3a to Category 3 means that Highways England will be subject to more stringent condition thresholds (Category 2 to 3 thresholds). This will potentially have a negative impact on reported performance, as condition will now need to be higher across the network in order to not breach the new thresholds. Despite this having a potentially negative impact on reported performance, other changes to the proposed pavement metric for RIS2 have the potential to increase reported performance, particularly relating to the coverage of the metric. Most road authorities survey the nearside lane only, as this is the lane that typically takes most of the heavy goods vehicle (HGV) traffic, which are the vehicles that do the most damage to the road. By doing this, these road authorities are assuming that the nearside lane is either representative of all other lanes, or that the other lanes are in better condition. Whilst this is not always the case (e.g. if the nearside lane has been recently reconstructed), in general, calculating a metric based on only nearside lane data is likely to give a more pessimistic view of the condition of the road network - the worst-case scenario. By using data from all lanes, the proposed metric for RIS2 may result in Highways England's network appearing to be in much better condition comparatively than it is in reality, when comparing with other authorities where only nearside lane data is available. The overall impact on reported performance as a result of the proposed changes to the RIS1 pavement metric for RIS2 may therefore, not be negative overall. ## 3.5. Data Form And Detail As mentioned above, Highways England commissions TRACS, TSD and SCRIM surveys. The survey contractors process raw condition data (RCD files) using MSP software and upload base condition data (BCD) to HAPMS database. Data, reported at 100m intervals, is available to all pavement engineers via the HAPMS database. Data reported at 10m intervals is also available in HAPMS, but special permission is needed to access this. Raw data for TRACS (longitudinal profile, transverse profile etc.) is also provided to Highways England's Pavement Team and TRL (as the survey auditor). The raw data is stored in text files (RCD files), the format of which is defined by Highways England. ## 4. Selection Of Comparators 4.1. Previous Findings ORR previously commissioned CEPA and TRL to consider how pavement condition metrics are designed and measured across road networks managed by several organisations that are in some way comparable to Highways England. Those jurisdictions studied included two LAs, London (TfL), Australia, Austria, Denmark, Netherlands, Scotland and Wales. Our research indicated that of the organisations studied, the LAs, TfL and the Netherlands were the most comparable to Highways England and might permit some form of benchmarking if the data underlying current measures could be obtained and analysed. We found that although the LAs and TfL measure similar pavement condition characteristics to Highways England, the metric used to summarise condition for LAs and TfL (the Road Condition Index) is not directly comparable to Highways England's RIS1 pavement metric. Nevertheless, some of the underlying pavement condition data collected by the LAs and reported to the Department for Transport (DfT) could be compared to Highways England. Our findings also indicated that the Dutch pavement condition metric is quite similar to Highways England's RIS1 pavement metric, but a direct comparison cannot be made on a like-for-like basis because the Dutch metric includes different components, sets different intervention levels for maintenance, and measures Skid Resistance differently. For the two metrics to be comparable, the measured values for each aspect of condition on one network would need to be converted to the scale of values used for the other network and the same indicator then calculated for both networks, or the two indicators would need to be related on a common scale. ## 4.1.1. Metrics As well as Highways England's pavement metric, the metrics briefly described below were also identified in the previous work. ## Netherlands Metric The metric for pavement condition, used for national roads in the Netherlands (including motorways and connecting roads), is measured as the percentage of the network that needs no further investigation for possible maintenance. The calculation is based on data reported over 100m lengths and the parameters used to calculate it are: - Rutting; - Ride Quality (IRI); - Skid Resistance (SKM); - Cracking (longitudinal and transversal); and - Ravelling (Fretting). Table 4.1 provides summarised thresholds that are applied by Rijkswaterstaat (RWS), the Dutch roads and waterways administration, to measurements from the Dutch road network. \| Defect \| Intervention limit per 100 m \| Remarks \| \|--------------------------------------------------------------------\|---------------------------------\|--------------------------------\| \| Rut Depth \| 17 mm \| Only measured on nearside lane \| \| IRI \| 3.5 m/km \| Only measured on nearside lane \| \| Skid \| \| \| \| Resistance \| \| \| \| 0.51 for porous asphalt \| \| \| \| 0.53 for dense asphalt \| \| \| \| Only measured on nearside lane \| \| \| \| Skid Resistance is expressed by subtracting the intervention limit \| \| \| \| of the weighted average value of the last two years. For example: \| \| \| \| The weighted average is: 0.60 \| \| \| \| The intervention limit is: 0.51 \| \| \| \| The value in the excel file is then: 0.09 \| \| \| \| Longitudinal \| \| \| \| Cracking \| \| \| \| 60 m moderate Cracking \| \| \| \| \| \| \| \| Measured on all lanes \| \| \| \| Moderate = cracks with a width of 3 - 20 mm \| \| \| \| Longitudinal Cracking also includes alligator Cracking \| \| \| \| Transversal \| \| \| \| Cracking \| \| \| \| 7 moderate transversal cracks \| Measured on all lanes \| \| \| Moderate = cracks with a width of 3 - 20 mm \| \| \| \| Ravelling \| 50 m wheel track with moderate \| \| \| Ravelling \| \| \| \| Measured on all lanes \| \| \| \| Moderate = 10 - 20 % of the stones are missing per square \| \| \| \| meter \| \| \| ## Local Authority Metric The metric for pavement condition used for local A roads in the UK, Single Data List item 130-01 (former National Indicator 168), is the percentage of principal classified roads where maintenance should be considered. This is also known as the "Red Length", where the SCANNER RCI is ≥100. The calculation is based on data reported over 10m lengths and the parameters used to calculate it are: - Rutting; - Ride Quality (3m and 10m LPV); - Cracking; and - Texture (SMTD). Some English local authorities are members of the CQC Efficiency Network, a benchmarking club of 92 local highways authorities in England. In addition to calculating the percentage of "Red" lengths on their network, these authorities also calculate the percentage of "Amber" lengths on their network (the lengths that might need to be considered for maintenance in the next few years). This metric is calculated with the same parameters as for the "Red" lengths but is where the SCANNER RCI is ≥40 but <100. ## 4.2. Comparator Selection As noted above, the organisations previously studied included LAs, Netherlands, Scotland, Wales, London (TfL), Australia, Austria and Denmark. The former four comparators were selected to be taken forward for this feasibility study. All of these organisations are responsible for a road network that is at least somewhat comparable to the SRN, considering traffic volumes, network length, surface material and climate. This creates the potential for a useful benchmarking exercise. Additionally, comparisons with Highways England pavement metrics and some parameters is possible, albeit a modified version for the former. Whilst Sweden was not considered within the previous study, the Swedish road authority, Trafikverket, now publishes its road condition data online. The road network in Sweden has limited comparability to the SRN, but some comparisons are possible with Highways England parameters. Thus, in order to include an additional international comparator, data from Sweden has also been considered in this research. A summary of whether it would be possible to perform a comparison between the data from these authorities and Highways England is presented in Table 4.2, indicating the reasons for selection. Appendix A provides further detail. Country/Road Authority Is the road network comparable? Are Highways England's metric parameters comparable? Can parameters be compared? Rutting Roughness Skid Resistance Australia No Y ~ Y Y Austria No Y ~ N Some No - N/A No Denmark No Y ~ N Some No - N/A No Netherlands Y ~ ~~ Y Yes Yes Yes* Yes Somewhat - similar network, traffic and climate, different surface material. Scotland Y Y Y Y Yes* No No Yes Somewhat - similar climate and surface material, less traffic, shorter network. Sweden Y ~ N Some No - N/A Yes Limited - similar surface material, different climate, short network, less traffic. Y Y Y† Y Yes* Yes Yes Yes UK Local authorities Variable between LAs. A-roads only (partial). Shorter network carrying less traffic, including HGVs. UK Transport for London No Y Y Y Y Yes* but comparison may be meaningless, - N/A No Metric published? Could a comparison with Highways England's pavement metrics be made? Should this authority be considered for comparison? Can metric be calculated from Highways England data? - N/A No Yes* but comparison may be meaningless, due to lack of similarity between networks. Country/Road Authority Is the road network comparable? Are Highways England's metric parameters comparable? Can parameters be compared? Rutting Roughness Skid Resistance Wales Y Y Y Y Yes* - N/A Yes Somewhat - similar climate and surface material. Less traffic, short network. ~ = somewhat - these countries calculate IRI, which can be calculated from raw Highways England data, or estimated from 3m and 10m eLPV but is not directly comparable to eLPV ~~ = somewhat - the same measurement principle is used but a different tyre and post-processing is applied, so values are subtly different. * a modified version of the metric could be calculated. † Some Skid Resistance measurements are made but only on selected lengths of the network. Metric published? Could a comparison with Highways England's pavement metrics be made? Should this authority be considered for comparison? Can metric be calculated from Highways England data? due to lack of similarity between networks. ## 5. Assessment Of Comparators This section provides an assessment of the feasibility of making direct comparisons of pavement condition data between Highways England and the comparator organisations, as well as cost estimates for undertaking the comparisons. See Appendix B for the full case studies. ## 5.1. Data Table 5.1 below gives a summary of the type of data collected/held by each organisation, as well at its form/ structure, providing an introductory overview for the assessments undertaken in the subsequent sections. \| Comparator \| Type of data collected/held \| \|------------------------------------------\|--------------------------------\| \| Form, structure and level of \| \| \| detail \| \| \| Highways England \| \| \| - \| \| \| \| \| \| TRACS (Traffic Speed Condition \| \| \| Survey) data: Rutting, Ride Quality (3m, \| \| \| 10m and 30m eLPV, and Bump \| \| \| Measure), Texture (SMTD), Cracking, \| \| \| Fretting, Images \| \| \| - \| \| \| \| \| \| SCRIM data (Skid Resistance): SFC \| \| \| - \| \| \| \| \| \| TRASS (TSD): Deflection data \| \| \| Scotland \| \| \| - \| \| \| \| \| \| SCANNER data (i.e. Rutting, Ride \| \| \| Quality (LPV), Texture, Cracking, Edge \| \| \| Deterioration, Texture Variability) \| \| \| - \| \| \| \| \| \| SCRIM data (Skid Resistance): SFC \| \| \| - \| \| \| \| \| \| Deflection data (Deflectograph) \| \| \| Wales \| As with Scotland, the survey \| \| contractors deliver processed data \| \| \| over 10m reporting lengths and this \| \| \| is stored in the Welsh pavement \| \| \| management system (PMS). Raw \| \| \| data is not stored but may be \| \| \| requested from the contractor, in \| \| \| special circumstances. \| \| \| Local Authorities \| \| \| Survey contractors either deliver \| \| \| HMDIF files, which contain \| \| \| processed data and can be loaded \| \| \| into the pavement management \| \| \| system (UKPMS) by the authority, \| \| \| or the contractors load processed \| \| \| data straight into the pavement \| \| \| management database. The data is \| \| \| provided over 10m reporting \| \| \| lengths. The authorities may be able \| \| Survey contractors process raw condition data (RCD files) using MSP software and upload base condition (BCD) to HAPMS database. Data is reported at 100m intervals. Data reported at 10m intervals is also available in HAPMS. Raw data for TRACS is stored in text files (RCD files), the format of which is defined by Highways England. Survey contractors deliver processed data over 10m reporting lengths and this is stored in the Scottish pavement management system (PMS). Raw data is not stored but may be requested from the contractor, in special circumstances. \| Comparator \| \|-------------------------------------------\| \| Form, structure and level of \| \| detail \| \| Netherlands \| \| - \| \| \| \| Surface condition data (Rutting, Ride \| \| Quality (IRI), Cracking (longitudinal and \| \| transversal), Ravelling) \| \| - \| \| \| \| Skid Resistance data \| \| - \| \| \| \| Calculated residual life span for each of \| \| the defects. \| \| Sweden \| \| - \| \| \| \| Surface condition data (IRI, Edge \| \| Deterioration, Texture (MPD), Rutting) \| \| - \| \| \| \| 5 years forecast data (IRI, Rutting, Edge \| \| Deterioration). \| Source: CEPA analysis In terms of the comparators' willingness to engage, all either publish the data publicly (LAs and Sweden), therefore removing the need for engagement, or were willing to cooperate in a comparison study and were eager to see the results (Scotland, Wales and Netherlands). This provides confidence that data access issues should not present a large issue if undertaking the below comparisons was required in the future. ## 5.2. Feasibility Of Comparison Using Highways England'S Ris Pavement Metrics Assessment of the feasibility of comparison between Highways England and the comparator organisations has revealed that it is not possible to directly undertake any comparisons using the RIS1 pavement metric, or proposed for RIS2, without modifications to the metric calculations. The steps required to undertake the comparisons using the RIS1 metric, or proposal for RIS2, can be found in the case studies in Appendix B. Undertaking certain modifications would allow for comparisons with Wales, Scotland and the Netherlands, albeit using different modified version of the RIS1 and RIS2 metrics and therefore, not allowing comparison across the three comparators and Highways England (see Appendix B for the steps required to undertake the comparisons). The data collected and held by Sweden appears to be too different to make any sort of comparison with Highways England's pavement metric feasible. Comparison with LAs, whilst in theory possible, is not recommended due to the high amount of work required to do so. The methods used by Wales, Scotland and LAs to measure and calculate Rutting are very similar to that used by Highways England, and the methods used for Skid Resistance are identical. For all three comparators however, the SCANNER surveys only collect 3m and 10m Longitudinal Profile Variance (LPV), whilst the RIS pavement metric also requires 30m. Calculation of a modified metric, excluding 30m LPV, would therefore to request raw data from the contractors. Processed (parameter) data for 100m section lengths is stored in the Rijkswaterstaat (RWS) database, along with the residual life span for the 5 years ahead. Raw data is stored separately but is not readily accessible for most people. Processed data for 20m lengths of all the roads managed by Trafikverket are stored in the PMSv3 pavement management system, which is free and open to public, research asset management and commercial use. Forecasted individual parameter data for the each of the next 5 years are calculated and provided for 100m lengths. Raw data is stored separately - not readily accessible to all. be required in order to undertake a comparison of pavement condition between Scotland, Wales, LAs and Highways England using the RIS1 pavement metric, or RIS2 proposal. To provide robust data from such a comparison however, several LAs should be considered, requiring permission to be sought to use their data. To obtain a sufficient amount of SCRIM data for the LAs would require a large amount of effort as this is not collected network-wide by LAs - a relatively small part of the network is sampled per year. This presents a risk that the sample may not be representative of the road condition of the LA networks in any given year. This additional data collection may outweigh the benefit of performing a comparison given the lack of similarity between the SRN and the much of the local road network. It is therefore recommended that LAs are not included in the comparison using Highways England's pavement metrics. As is the case with Wales and Scotland, comparison of a modified version of Highways England's RIS1 or RIS2 pavement metric should be possible for the Netherlands. The Dutch data is reported over 100m lengths whilst the RIS pavement metric is calculated for every 10m length of the network, but the Rutting, Roughness and Skid resistance data collected is somewhat similar to that collected by Highways England, although all require alterations, set out in Appendix B, to enable comparison. In Sweden, data is reported for every 20m length, whereas Highways England's pavement metrics require reporting lengths of 10m lengths, and Skid Resistance data is not collected. Comparison is possible, but only through the use of two individual parameters, (Rutting and Roughness) which would be used to calculate a modified version of the pavement metrics. As is the case with the LAs, a significant amount of effort would be required to complete a comparison between Sweden and Highways England using the RIS1, or proposed RIS2, pavement metric, and may not provide additional benefit relative to comparing individual data parameters directly. Comparison is therefore not recommended. ## 5.3. Feasibility Of Comparison Using Netherlands Metric As was the case with the Highways England metrics, assessment of the feasibility of comparison between Highways England and the comparator organisations using the Netherlands metric has revealed that it is not possible to directly undertake any comparisons without making modifications to the metric calculations. The main difference between the Netherlands Metric and the other comparators is around Fretting, with other authorities either not collecting Fretting data, or not measuring the parameter in the same way. Similarly, Cracking is not measured in the same way in the UK. Therefore, no comparison can be performed with the Dutch metric including either of these parameters. See Appendix B for the steps required to undertake the comparisons. The data collected and held by Sweden appears to be too different to make any sort of comparison with the Netherlands metric feasible, and comparison with the LAs is not recommended due to the high amount of work required to do so. As described previously, the Highways England metrics required different modifications for the Netherlands and Wales/Scotland/LAs. The above analysis has revealed that, unlike the RIS1 and proposed RIS2 metrics, Highways England, Scotland, Wales, LAs and the Netherlands can all be compared with one another using the same modified version of the Dutch metric, calculated using only Rutting, Ride Quality and Skid Resistance. For Highways England, a comparison using the Dutch metric, calculated using only Rutting, Ride Quality and Skid Resistance should be possible. RWS in the Netherlands has provided data from all the highways it manages, which should enable an equivalent metric to be calculated for the Dutch road network and a comparison between Highways England and the Netherlands. The Rutting data collected by Highways England is very similar to that collected by the Netherlands. The Roughness and Skid Resistance data collected by Highways England is different, but an adjustment for both can calculated. The Dutch Cracking and Ravelling (Fretting) measurements and parameters are very different from those reported by Highways England. It is, therefore, not appropriate to try to include these parameters in the metric without a further understanding of any relationship that exists between them. Any comparison to determine if a relationship existed between these parameters would require either the current TRACS device to collect survey data on the Dutch road network, or for the Dutch device to survey some of the SRN. It likely that the cost and effort involved for this would outweigh the benefit of this analysis. The Rutting data collected in Wales and Scotland, and by LAs, is very similar to that collected by the Netherlands. The Roughness and Skid Resistance data collected is different, but an adjustment can be calculated for both. The Dutch Cracking measurements and parameters are very different from that reported by Wales, Scotland and LAs, and Fretting is not a parameter that any of these comparators collect at a network level. For Scotland, Wales and LAs, a comparison of a modified metric, calculated using only Rutting, Ride Quality and Skid Resistance, should be possible. However, as was the case with the Highways England pavement metrics, to provide robust data from such a comparison, several LAs should be considered, requiring permission to be sought to use their data. To obtain a sufficient amount of SCRIM data for the LAs would require a large amount of effort as this is not collected network wide by LAs - a relatively small part of the network is sampled per year. This presents a risk that the sample may not be representative of the road condition of the LA networks in any given year. This may outweigh the benefit of performing a comparison given the lack of similarity between the SRN and the local road network. It is therefore recommended that LAs are not included in the comparison using the Netherlands metric. In Sweden, data is processed and reported over 20m lengths, while the Dutch data is over 100m lengths, and the Skid Resistance, Cracking and Ravelling data used to calculate the Dutch metric is not collected. As was the case with the Highways England pavement metrics, comparison is possible but only through calculation of a modified Netherlands metric using two individual parameters (Rutting and Roughness). A significant amount of effort would be required to make this comparison and may not provide additional benefit relative to comparing individual data parameters directly. Comparison is therefore not recommended. ## 5.4. Feasibility Of Comparison Using Local Authority Metric The LA metric (RCI) will allow for comparison between Highways England, Scotland, Wales and LAs, without requiring modification, pending an investigation of TRACS and SCANNER Cracking data. This contrasts the previous metrics which also allowed for extensive comparison but required modifications to the metric calculations. For the Netherlands and Sweden however, a meaningful calculation of the RCI is not possible and therefore, neither is comparison with Highways England. The LA metric provides the most straightforward opportunity for comparison of pavement condition for the UK authorities. However, it does not appear suitable for inclusion of international comparators. Highways England's pavement condition data is available in HAPMS at either 10m or 100m reporting lengths, meaning the 10m reporting lengths needed to calculate Red and Amber length are available. The measurement and calculation of Rutting used by Highways England is very similar to that carried out by LAs, and the measurement and calculation of Texture is the same. The measurement of Roughness, however, is different, as is the equipment used to measure Cracking, meaning the parameter delivered may be fundamentally different. A brief investigation will be needed, using TRACS and SCANNER Accreditation data, to determine comparability. A comparison between LA road networks and the SRN using the Red Length metric should be possible if the Cracking data is comparable, as the Red Length metric for each English LA is published annually by the DfT. If Cracking data is not comparable, the RCI could be calculated excluding Cracking, which would require individual LAs being approached in order to use their data to calculate this modified metric. Skid Resistance, an important measure for the SRN due to the speed of traffic, is not included in the Red Length metric. Both Transport Scotland and Wales commission surveys that are very similar to the SCANNER surveys used on local roads. Therefore, all parameters used to calculate the RCI are available in Scotland and Wales and are the same as those for the LAs. Calculation of the RCI and a comparison, using both the Red and Amber Length metrics, should be possible for both Scotland and Wales, with the focus on Amber (see box below). ## Focus On Amber Road Condition One finding from the CQC Efficiency Network has been that reliance on DfT road condition data for LA managed roads (RDC0120) is not ideal for benchmarking. This is for two reasons: 1. The date of publication of the RDC0120 single data list metrics is substantially after the financial year end for any given year. For example, the road condition measure for 2017/18 is only available in January 2019. This presents challenges for incorporating most recent data in benchmarking 2. More fundamentally, the reliance on the Red measure appears to be incompatible with a more proactive asset management strategy. In general, a cost minimising proactive asset management strategy will intervene on roads before they deteriorate to the Red level, as interventions to this condition of roads is very expensive. As such it makes more sense to focus on the green/(amber + red) trade-off as opposed to the red/(green + amber) trade-off. The focus should therefore be on green/not green (Amber) rather than the significantly deteriorated parts of the network, but ideally all three measures would be available for analysis. To address these two issues, the CQC Efficiency Network requests data directly from participating LAs. The majority of authorities can supply the Amber road condition for A roads. More challenging is Amber road condition for the unclassified network due to the use of a variety of surveying methods, but that is not relevant for comparison with Highways England. Permission for the release of this data could be sought from CQC Efficiency Network members for the next stages of this work. The Netherlands pavement condition data is available at 100m reporting lengths but 10m lengths are needed to calculate Red and Amber Length of RCI. The measure of Roughness in the Netherlands cannot be split out into similar measures to 3m and 10m LPV and therefore, the Roughness calculation within the RCI would not be possible. Similarly, the measurement of Cracking is fundamentally different to the LAs, and Texture is not routinely delivered. Therefore, given the reporting length and lack of comparable parameters, a meaningful calculation of the RCI and therefore either the Red or Amber Length, is not possible for the Netherlands. Swedish pavement condition data is available at 20m reporting lengths, Cracking data is not measured, and the Roughness parameter used is different. Therefore, it would only be possible to calculate the RCI based on Rutting and Texture data. Overall, given the reporting length and lack of comparable parameters, a meaningful calculation of the RCI, and therefore either the Red or Amber Length, is not possible. ## 5.5. Feasibility Of Comparison Using Highways England Data Comparison using components of Highways England data is the alternative option to using whole metrics. Assessment of the feasibility of comparisons using parameters of Highways England's data shows that all of the comparators can be compared with Highways England using some, but not all, of the data components recorded at an individual level. In terms of undertaking a multi-comparison, Highways England, Scotland, Wales and the LAs appear to be comparable with each other for some of the parameters. Including the Netherlands and Sweden in the majority of these comparisons, however, does not appear possible. For Scotland, Wales and the LAs, most of the main parameters collected are similar to those collected on the SRN (Rutting, Roughness (eLPV or LPV), Texture (SMTD), Skid Resistance (SCRIM)). Cracking is slightly different, but comparison may be possible. The data these comparators collect from the Deflectograph surveys is not generally comparable to that from Highways England's TSD. Overall for Scotland, Wales and the LAs, a comparison of parameter data on Rutting, Roughness, Texture and Skid Resistance should be possible, and a comparison of Cracking data may be possible. A brief investigation will be needed, using TRACS and SCANNER Accreditation data, to determine comparability. Several LAs would need to be approached in order to use their data for this comparison, and as for the above metrics, the effort required for this might outweigh any benefit obtained. In the Netherlands, whilst the measurement of Skid Resistance is similar (sideway-force coefficient measurement), only sections below the Skid Resistance intervention limit are reported in the database. Therefore, a comparison of Skid Resistance data would be very limited and is unlikely to be helpful and would not be recommended. The same is the case for the Netherlands Cracking and Ravelling (Fretting) parameters, but a comparison using Rutting and IRI data should be possible. Swedish data reporting length is 20m, while Highways England's data reporting length is 10m or 100m, and Skid Resistance is not routinely measured, with Texture (MPD) instead being recorded. Highways England also measures Texture on the SRN, reporting the MPD parameter. Whilst it is therefore possible to compare MPD values, this may not be a fair comparison as acceptable Texture values can vary depending on the pavement surfacing used. Cracking and Fretting are also not measured in Sweden, and a single Ride Quality parameter (IRI), which cannot be directly compared to Highways England, is used. A comparison between Rutting and IRI on the Swedish and Highways England networks should be possible though. Table 5.2 below provides a summary of what data parameter comparisons are possible using components of Highways England's data. Country/Road Authority Rutting Roughness Skid Resistance Cracking Texture Netherlands Y ~ ~~ N N Scotland Y Y Y Y* Y Sweden Y ~ N N Y** UK Local authorities Y Y Y† Y* Y Wales Y Y Y Y* Y ~ = somewhat - these countries calculate IRI, which can be calculated from raw Highways England data, or estimated from 3m and 10m eLPV but is not directly comparable to eLPV ~~ The same measurement principle is used but a different tyre and post-processing is applied, so values are subtly different. Unlikely to be helpful, therefore not recommended. * A brief investigation will be needed, using TRACS and SCANNER Accreditation data, to determine comparability. Possible put difficult to interpret. † Some Skid Resistance measurements are made but only on selected lengths of the network. ## 5.6. Cost Of Comparisons An initial high-level estimate of the costs to undertake these comparisons is presented in Figure 5.1 below. These figures are subject to considerable uncertainty which is reflected in the ranges given. Preparing the data for comparison has a separate cost for each authority, depending on the format of the data. This step is required regardless of the comparison(s) chosen, with the cost varying depending upon the number of comparators selected. Depending upon the selection of comparisons that are to be taken forward, these cost estimates can be further refined. Figure 5.1: Indicative cost estimates for comparisons ORR would be able to select any combination of possible comparisons to undertake. The associated cost will be dependent upon the number of authorities within the comparison, in addition to the level of parameter comparability and associated modifications across authorities. The comparisons would be carried out in a spreadsheet structured so that it can be easily added to going forward. This would need to be accompanied by a detailed description of the modifications that have been made to enable replication of the comparisons in future. Additionally, we consider that the analysis should then be quality assured, and findings presented in a report. The estimates provided are inclusive of all these costs. ## 5.7. Considerations For Future Work To facilitate meaningful, and therefore robust comparisons, there needs to be alignment between data in (at least) two key dimensions: - geographical coverage - cost and quality should cover the same assets; and - temporal coverage - cost and quality should cover the same time period and, as importantly, be resampled at the same rate. Two potential issues emerge when discussing the actual undertaking of the comparisons discussed in this report, particularly between Highways England and LAs, that would need to be considered during any future work. See Appendix C for further information. ## 5.7.1. Geographical Coverage SCRIM type data is not collected network wide by LAs. This presents challenges in monitoring changes in Skid Resistance over time in these cases, as a relatively small part of the network is sampled each year. This presents a risk that the sample may not be representative of the road condition of the LA networks in any given year. Also, not all A roads are sampled each year, although this is less of issue assuming that roads are being sampled in a systematic method unrelated to their underlying condition, at least within road class. ## 5.7.2. Temporal Coverage Most surveys are annual and occur at similar time in the year. This means comparisons in road condition and cost should be valid over time and, perhaps with adjustments to systematic road condition reflecting sampling at different times of year, valid between infrastructure managers. There is a very important interaction between temporal coverage and geographical coverage. Where the network is not sampled in entirety, there is a challenge to capture changes in road condition which is potentially exacerbated by different data base management processes between infrastructure managers. This issue emerged with specific work undertaken by the CQC Efficiency Network for LAs, highlighting the limitation of relying on data on road condition based on partial surveys of the network. Limited interview work undertaken as part of the CQC Efficiency Network indicated that practice does differ between LAs in terms of how the network condition of the roads not surveyed in the latest year are treated. Some LAs simply roll over the previous year's survey data, which introduces lags in the response of the road condition measure. Other LAs implement a policy of manually adjusting their PMS system to reflect when they have undertaken improvement work on a road section flagged in the last survey as in need of repair, somewhat circumventing the lag problem. As such, one solution could be to select LAs for comparison which manually over-write their road condition databases when improvement works are undertaken. ## 6. Summary We used case studies to assess the feasibility of taking forward direct comparisons of pavement conditions. This revealed that: - Regardless of whether the RIS1 or RIS2 version of the Highways England pavement metric is used, it is not possible to directly undertake any comparisons without modifications to the metric calculations. - Scotland, Wales and the LAs are already closely aligned in terms of the form and structure of the data collected, and as a group are the most feasible comparators for Highways England. - Among international comparators, Sweden is not a suitable candidate for comparisons, and the Netherlands is a more feasible candidate. - The Netherlands metric provides the opportunity for the most extensive comparison. The modifications required to undertake the comparison are the same for Highways England, Scotland, Wales and the LA. This means all comparators, except Sweden, can be included in a multicomparison. - The LA metric (Amber) provides the best opportunity for comparison of pavement condition between the UK authorities. - Highways England, Scotland, Wales and the LAs appear to be comparable using some data parameters instead of a metric to undertake comparisons, The Netherlands and Sweden cannot be included in the majority of these comparisons. - There are some potential limitations with using LAs as comparators that need to be considered during any future work. These may be rectified by selecting as comparators those LAs which manually over-write their road condition databases when improvement works are undertaken. Assessment of pavement condition between Highways England and other organisations, therefore, appears more feasible using metrics calculated by other organisations, rather than using the Highways England pavement metric. The Netherlands appears to allow for a more extensive comparison than the LA metrics. But the LA metrics are the most straightforward option for a comparison between UK authorities. A parameter comparison between authorities may be used as a stand-alone measure, or alternatively, as a complementary measure to a metric comparison. The added value of the latter would depend on the parameters and authorities included in the chosen metric. Sweden and the Netherlands can only be compared with Highways England on Rutting and Roughness parameters. Texture, Skid Resistance and possibly Cracking parameters could also be compared between UK authorities. Undertaking a comparison using the individual data parameters is a simpler process and one that allows for comparison between specific elements of pavement condition. The use of such metrics allows for a more complete picture of pavement condition to be presented in way that is easier to understand and allows for easy comparison across time. Initial cost estimates for undertaking the comparisons are presented in Figure 6.1 below. ## Comparator Selection Australia The Australian road network is not comparable to the SRN. The network is much longer, more dispersed and carries less traffic than the SRN. The road authority uses equipment that is, to a considerable degree, comparable to the equipment used on the SRN and the measurements of pavement characteristics are very similar, apart from the measurement of Roughness. There is no published metric and, currently, each state tends to use their own indicator to determine condition. It may be possible to calculate a version of Highways England's pavement metrics using Australian data, with modification to account for the different Roughness parameter. However, as the network is so different, it is unlikely that this would enable direct comparison to Highways England. A comparison between data from Australia and Highways England is not recommended. ## Austria The Austrian motorway network is not comparable to the SRN, being shorter in length and with much lower traffic volumes. The pavement type is also different. Similar equipment to TRACS is used to measure surface condition but very different equipment is used for Skid Resistance and deflection. Thus, whilst the parameters delivered describe similar pavement characteristics, they are not similar enough to enable a comparison. A comparison with Austria's motorway network is not recommended. ## Denmark The Danish road network is somewhat comparable to the SRN, as are the measurement systems used. The measurements made are very similar. But they do not have a pavement network condition indicator, and it would not be possible to calculate Highways England's pavement metrics, as their Skid Resistance measurements are different. Thus, whilst the parameters delivered describe similar pavement characteristics, they are not similar enough to enable a comparison. A comparison with the Danish road network is not recommended. ## Scotland The network in Scotland is somewhat comparable to the SRN, with similar construction materials, but is shorter in length and has lower traffic volumes. The equipment used to measure condition is the same as that used for the UK local road network, hence similar to that used for the SRN. The metric calculated in Scotland includes data from Deflectograph surveys (pavement strength), which are not routinely carried out on the SRN. Thus, it would not be possible to perform a direct comparison with Highways England using the Scottish metric. However, the data collected is similar enough to enable comparison using other metrics e.g. Highways England's pavement metrics. A comparison between motorways and major A roads in Scotland and the SRN should be possible. ## Sweden Sweden was not considered in the previous research but the national road authority (Trafikverket) publishes the condition data collected annually on their road network.7 The Swedish motorway network has limited comparability to the SRN as the traffic volumes are much lower. Also, since the network is covered by snow for a large part of the year, the approach to maintenance and monitoring is different e.g. they do not currently measure Skid Resistance. The published data includes Rutting, Roughness (IRI), Texture (MPD), and Edge Deterioration, reported over 20m lengths. Not enough parameters are available to calculate any of the considered metrics (e.g. Highways England's pavement metric) but the parameters are similar to those collected by Highways England and thus some comparison should be possible. A comparison between the parameters collected on the Swedish motorway network and the SRN should be possible. However, a comparison of metrics would not be possible. ## The Netherlands Of the authorities considered for the previous work, the Netherlands has the most similar network to Highways England in terms of characteristics. The network lengths, climates, and traffic levels are comparable but the surface materials, mainly porous asphalt, used in the Netherlands are not actively used by Highways England, where porous asphalt is permitted but not common. The pavement characteristics measured are similar but, whilst Skid Resistance is measured using the same principle as in the UK, different tyres are used, thus the values are subtly different. The Roughness parameter is also different from Highways England. A modified version of the RIS1, or proposed RIS2, pavement metrics, using different thresholds applied to skid data and accommodation of the different Roughness parameter, would need to be calculated in order to perform a comparison. The Dutch calculate a metric based on similar parameters to Highways England's pavement metrics (Rutting, Roughness, Skid Resistance) but with Cracking and Fretting parameters included in addition. The Roughness parameter is different but can be calculated from Highways England data. However, the Cracking and Fretting parameters are different to those collected by Highways England. Thus, a modified version of this metric would need to be calculated to enable a comparison. Thus, a comparison between the Dutch national road network and the SRN should be possible. ## Uk Local Authorities Cornwall and South Lanarkshire were considered in the previous work, but most LAs take a very similar approach to measurement of condition. The A roads in most UK LAs are comparable with A roads on the SRN to a degree. However, traffic volume and the number of HGVs using the roads are much lower, and only the more major roads could be considered comparable. Many authorities use equipment that is, to a considerable degree, comparable to the equipment used on the SRN and the measurements of pavement characteristics are very similar. The DfT publish the metric used on local roads annually, so it should be possible to perform a comparison with the metric, calculated with equivalent data for A roads on the SRN without needing to involve individual LAs. Therefore, a comparison between major A roads in a local authority and A roads on the SRN should be possible. ## Transport For London The major A roads in Transport for London's network are comparable with A roads on the SRN, but the proportion of HGVs using the roads is lower. The equipment used to measure condition is comparable to a considerable degree and the parameters describing pavement characteristics similar. Thus, the data collected is similar enough to enable a comparison. Whilst DfT publishes the metric used on all roads owned by LAs, no metric is published for TfL. The condition of the TfL network is likely to be similar to other UK LAs and thus the effort required to obtain a metric for TfL's network is unlikely to be outweighed by any benefit gained. Therefore, a comparison with Transport for London's network is not recommended. ## Wales The situation is very similar for Wales as in Scotland, in that the major road network is comparable to the SRN, but traffic volumes are lower. The pavement characteristics measured, and parameters delivered are similar enough to enable a comparison. Therefore, a comparison between motorways and major A roads in Wales and the SRN should** be possible. ## Detailed Case Studies England Country: England (Highways England) Data Type of data collected/held TRACS (Traffic Speed Condition Survey) data: Rutting, Ride Quality (3m, 10m and 30m eLPV, and Bump Measure), Texture (SMTD), Cracking, Fretting, Images, Retroreflectivity (road markings), GPR; SCRIM data (Skid Resistance): SFC; TRASS (TSD): Deflection data. Form, structure and level of detail of data TRACS, TSD and SCRIM surveys are commissioned by the Highways England. The survey contractors process raw condition data (RCD files) using MSP software and upload base condition (BCD) to HAPMS database. Data, reported at 100m intervals, is available to all pavement engineers via the HAPMS database. Data reported at 10m intervals is also available in HAPMS, but special permission is needed to access this. Raw data for TRACS (longitudinal profile, transverse profile etc.) is also provided to Highways England's Pavement Team and TRL (as the survey auditor). The raw data is stored in text files (RCD files), the format of which is defined by Highways England. Would the road authority be willing to engage? Highways England have given their permission to use their data only for the purposes of this specific project in accordance with the agreed specification. Permission allows access to the raw RIS1 metric data if the analysis and interpretation is conducted by TRL. Common steps required to compare data Obtain TRACS and SCRIM data (including SCRIM categories) at 10m and 100m reporting intervals. Obtain section category data from HAPMS and align this with TRACS/SCRIM data. TRL have access to HAPMS, and thus this data. Total: 24 hours (£2,963) Time required and cost to collate/clean/pre pare data for potential comparison ## Comparison Of Ris1 (Kpi8) And Proposed Ris2 Metrics Steps required to compare data - What calculations would need to be undertaken on the data? Results of the current RIS1 metric (KPI8) calculation are published by the DfT. However, it is not possible to calculate the true metric from other authority's data, so any comparisons performed using KPI8 will require calculation of a modified metric from Highways England's data. It would, however, be worthwhile calculating KPI8 and comparing with published results, to ensure understanding of the metric and correct calculation. Calculate the proposed RIS2 metric. It is suggested that only Lane 1 data is used (as with current metric), as all lane data is not available from other authorities. Also, that Skid Resistance is assessed as currently, without consideration of the Crash Model. No other authority measures 30m eLPV, so this will also need to be excluded from the calculation. Time required and cost - Calculate the RIS1 metric and compare with results published by DfT: 4 hours (£494). - Calculation of the proposed RIS2 metric excluding 30m eLPV: 4 hours (£494). - Calculation of the proposed RIS2 metric: 4 hours (£494). Total: 12 hours (£1,481). ## Country: England (Highways England) Feasibility To Use The Country'S Data To Obtain A Metric Equivalent To Netherlands Metric What factors regarding the data used the road authority may hinder direct comparability The Rutting data collected by Highways England is very similar to that collected by the Dutch. Thus, it would be appropriate to apply the Dutch threshold to Highways England data (i.e. 17mm). The Roughness data collected by Highways England is different but an approximation for IRI can either be calculated using eLPV data or can be calculated directly from raw profile data. Thus, it would be appropriate to apply the Dutch threshold to IRI calculated from Highways England data (3.5 m/km). A formula to convert eLPV values to IRI is given in TRL CPR 1553: IRI ≈max⁡imum(√(10 ∗3m⁡eLPV)/3 +⁡√10m⁡eLPV −0.1, 0) The Skid Resistance values collected in the Netherlands are likely to be 4-8% higher than UK ones, due to the different test tyre used. Also, the values are reported for a speed of 80km/h, not 50km/h and they do not apply the 0.78 adjustment factor used in the UK. Therefore, it would not be appropriate to apply the Dutch threshold directly to UK data: It is proposed that a reduced value is used 0.530.781.083/1.06 = 0.42. The Dutch Cracking and Ravelling (Fretting) measurements and parameters are very different from those reported by Highways England. Thus, it is not appropriate to try to include these parameters in the metric, without further understanding of any relationship that exists between them. Any comparison to determine if a relationship existed between these parameters would require either the current TRACS device to collect survey data on the Dutch road network, or for the Dutch device to survey some of the SRN. It is unlikely that the cost and effort involved for this would be outweighed by the benefit of this analysis. Therefore, it is recommended that the Dutch metric is calculated using only Rutting, Ride Quality and Skid Resistance. Likelihood of success - How possible is the comparison? A comparison using the Dutch metric, calculated using only Rutting, Ride Quality and Skid Resistance should be possible. RWS in the Netherlands have provided data from all the highways managed by them, which should enable an equivalent metric to be calculated for the Dutch road network. Hence it should be possible to perform a comparison of Highways England and Dutch data. Calculate IRI values - either use estimate based on eLPV values or recalculate from raw profile data (more robust approach/challengeable dataset). Obtain SCRIM values from previous year and calculate the average. Apply thresholds to Rutting, IRI and Skid Resistance values and calculate the percentage of the network where none of these parameters exceed the thresholds. Recalculate Netherlands metric using only Rutting, IRI and Skid Resistance from Dutch data. Steps required to compare data - What calculations would need to be undertaken on the data? - Calculation of IRI parameter: o Estimating from eLPV values - 8 hours (£988); or o Calculating from raw data - 24 hours (£2,963); or Time required and cost to perform comparison o Both of the above - 32 hours (£3,950). - Obtaining average SCRIM values: 6 hours (£741). - Calculate Dutch metric using Highways England data: 5 hours (£617). - Calculate Dutch metric using Dutch Rutting, IRI and Skid Resistance data: 5 hours (£617). Total: 24 hours (£2,963), 40 hours (£4,938) or 48 hours (£5,925). ## Feasibility To Use The Country'S Data To Obtain A Metric Equivalent To Local Authority Metrics Highways England pavement condition data is available in HAPMS at either 10m or 100m reporting lengths, thus the 10m reporting lengths needed to calculate Red and Amber length are available. What factors regarding the data used by the road authority ## Country: England (Highways England) may hinder direct comparability The measurement and calculation of Rutting used by Highways England is very similar to that carried out by local authorities. Similarly, the measurement and calculation of Texture is the same. Thus, these parameters can be used directly for the calculation of Red or Amber lengths. However, the measurement of Roughness is different - the eLPV parameter is used by Highways England, whilst LPV is used on the local road network. LPV was replaced by eLPV on the SRN in 2004. LPV data may be calculated from the raw data, or equivalent thresholds determined for eLPV. The equipment used to measure Cracking is also very different and therefore, the parameter delivered may be fundamentally different. A brief investigation will be needed (using TRACS and SCANNER Accreditation data) in order to determine comparability. If the Cracking data is not determined to be comparable, then a version of the RCI, excluding Cracking data, could be calculated. Likelihood of success - How possible is the comparison? A comparison of the Red Length metric should be possible, if the Cracking data is comparable, as the Red Length metric for each English Local Authority is published annually by the DfT (https://assets.publishing.service.gov.uk/government/uploads/system/uploads/attachment_data/file /775446/rdc0120.ods). If Cracking data is not comparable, it has been suggested that the RCI could be calculated excluding Cracking. If this is needed, individual local authorities will need to be approached in order to use their data to calculate this modified metric. A comparison of Amber should be possible with countries for which the RCI is being calculated by TRL (i.e. Scotland, Wales). However, there will be a need to obtain permission to use several CQC local authorities' data should comparison with LAs be required. Steps required to compare data - What calculations would need to be undertaken on the data? Determine how comparable the Cracking data is (use data from SCANNER and Accreditation tests for this work) - are they similar enough to apply the same thresholds? Obtain LPV data (this will require processing raw TRACS data) or apply equivalent thresholds to the eLPV data (thresholds for both LPV and eLPV are given in the DMRB). If the Cracking is comparable, calculate the RCI and the percentage of 10m lengths where RCI ≥100 for Highways England data, download the published results for LAs. If the Cracking is not comparable: - If comparison with local authorities is required, contact a selection of local authorities to ask permission to use their data, obtain data and calculate RCI excluding Cracking. - Calculate the Highways England RCI excluding Cracking and the percentage of 10m lengths where this modified RCI ≥100. A comparison of Amber (i.e. where 100>RCI ≥40) should be possible with countries for which the RCI is being calculated by TRL (i.e. Scotland, Wales) If there is a need to compare Highways England Amber with local authorities, there will be a need to obtain results from several LAs in the CQC. - Determine comparability of Cracking data using existing data from vehicle QA: 12 hours (£1,481). - Obtain LPV data: 24 hours (£2,963) or 1 additional hour (£123) if combined with IRI calculation. Time required and cost to perform comparison o OR Apply equivalent thresholds to eLPV data: 0.5 hours (£62). - Calculate the RCI if Cracking is comparable: 6 hours (£741). - If the Cracking is not comparable: o If comparison with local authorities is required: 24 hours (£2,963). o Calculate Highways England RCI excluding Cracking: 6 hours (£741). - Calculation of Amber length: 0.5 hours if in addition to Red Length calculation (£62). - If Amber comparison with local authorities required: 2 hours (£247), additional to any hours required for Red Length comparison. ## Country: England (Highways England) Total: 18.5 hours (£2,284) to 68.5 hours (£8,456) depending on comparability of Cracking and the options chosen ## Scotland Country: Scotland (Transport Scotland) Data Type of data collected/held SCANNER data (i.e. Rutting, Ride Quality (LPV), Texture, Cracking, Edge Deterioration, Texture Variability); SCRIM Skid Resistance data (SFC); Deflection data (Deflectograph). Form, structure and level of detail of data SCANNER, Deflectograph and Skid Resistance surveys are commissioned by the Transport Scotland. The survey contractors deliver processed data over 10m reporting lengths and this is stored in the Scottish pavement management system (PMS). TS do not store the raw data themselves but may be able to request this from the contractor, in special circumstances. Transport Scotland (TS) have given their permission to use their data to investigate the feasibility of the comparison, on the provision that they can have a copy of the report. Would the road authority be willing to engage? Common steps required to compare data Obtain latest SCANNER and SCRIM data, at 10m reporting intervals. As SCANNER auditor, TRL has access to this data but SCRIM data would need to be obtained from TS or directly from the survey contractor. Inform TS that their data is going to be used for benchmarking and publishing the results. Confirm that they are happy with this. - Obtain latest SCANNER data: 12 hours (£1,481). - Obtain latest SCRIM data, plus SCRIM categories: 16 hours (£1,975). - Inform TS of data use and confirm participation: 0.5 hours (£62). Total: 28.5 hours (£3,518) Time required and cost to collate/clean/prepare data for potential comparison ## Feasibility To Use The Country'S Data To Obtain A Metric Equivalent To Highways England'S Ris Pavement Metric What factors regarding the data used by the road authority may hinder direct comparability The measurement and calculation of Rutting used in Scotland is very similar to that carried out by Highways England. Similarly, the measurement of Skid Resistance is identical and thus these parameters can be used directly in the calculation of the RIS1, or proposed RIS2, metric. The measurement of Roughness used for assessment (LPV) is different but eLPV data is also calculated from SCANNER data, thus should be available for Scotland. SCANNER surveys only collect 3m and 10m eLPV, whereas 30m eLPV is also used to calculate the RIS1, or proposed RIS2, metric. Thus, a modified metric, excluding 30m eLPV would need to be calculated for both TS and Highways England data. It should be possible to calculate a modified version of the RIS1, or proposed RIS2, metric (excluding 30m eLPV) for Scottish motorways and major A roads. Likelihood of success - How possible is the comparison? Steps required to compare data - What calculations would need to be undertaken on the data? Calculate the RIS1 metric excluding 30m eLPV. To enable comparison using the proposed RIS2 metric: Obtain TS data at 100m reporting lengths (calculate average); Calculate modified proposed RIS2 metric, excluding extra steps for Skid Resistance data and excluding 30m eLPV. - Calculate the RIS1 metric excluding 30m eLPV: 4 hours (£494). - Obtain TS data at 100m reporting lengths, then calculate the proposed RIS2 metric: 6 Time required and cost to perform comparison hours (£741). Total: 10 hours (£1,234) ## Country: Scotland (Transport Scotland) Feasibility To Use The Country'S Data To Obtain A Metric Equivalent To Netherlands Metric What factors regarding the data used the road authority may hinder direct comparability The Rutting data collected by TS is very similar to that collected by the Dutch. Thus, it would be appropriate to apply the Dutch threshold to TS data (i.e. 17mm). The Roughness data collected by TS is different but an approximation for IRI can be calculated using eLPV data, assuming this is available. Thus, it would be appropriate to apply the Dutch threshold to IRI calculated from TS data (3.5 m/km). The Skid Resistance values collected in the Netherlands are likely to be 4-8% higher than Scottish ones, due to the different equipment and test tyre used. Also, the values are reported for a speed of 80km/h, not 50km/h and they do not apply the 0.78 adjustment factor used in the UK. Therefore, it would not be appropriate to apply the Dutch threshold to UK data. It is proposed that a reduced value is used: 0.530.781.083/1.06 = 0.42. The Dutch Cracking measurements and parameter are very different from that reported by TS. Also, Fretting is not a parameter collected at a network level by TS. Thus, it is not appropriate to try to include these parameters in the metric. A comparison of a modified metric, calculated using only Rutting, Ride Quality and Skid Resistance should be possible. Likelihood of success - How possible is the comparison? Steps required to compare data - What calculations would need to be undertaken on the data? Obtain TS data at 100m reporting lengths (calculate average from 10m data); Calculate estimated IRI values using eLPV. Apply thresholds to Rutting, IRI and Skid Resistance values and calculate the percentage of the network where none of these parameters exceed the thresholds. Recalculate Netherlands metric using only Rutting, IRI and Skid Resistance from Dutch data. - Obtain TS data at 100m reporting lengths: 4 hours (£494) (may have already been done as part of the proposed RIS2 metric calculation). Time required and cost to perform comparison - Calculate estimated IRI values using eLPV: 4 hours (£494). - Calculate metric: 5 hours (£617). - Recalculate modified Netherlands metric using Dutch data: 0 hours (will have already been done for Highways England comparison). Total: 13 hours (£1,605) ## Feasibility To Use The Country'S Data To Obtain A Metric Equivalent To Local Authority Metrics TS commissions surveys that are very similar to the SCANNER surveys used on local roads. Thus, all parameters used to calculate the RCI are available in Scotland and are the same as those for the local authorities. What factors regarding the data used by the road authority may hinder direct comparability Likelihood of success - How possible is the comparison? Calculation of the RCI should be possible, thus a comparison of the Red Length metric should be possible. A comparison of the Amber length metric should also be possible between Highways England and TS. Calculate the RCI (possibly modified, if TRACS/SCANNER crack data not comparable). Calculate the percentage of 10m lengths where RCI ≥100. Calculate the percentage of 10m lengths where 100>RCI ≥40. Steps required to compare data - What calculations would need to be undertaken on the data? - Calculate the RCI: 5 hours (£617). Time required and cost to perform comparison ## Country: Scotland (Transport Scotland) - Calculate the percentage of 10m lengths where RCI ≥100 and 100>RCI ≥40: 1 hour (£123). Total: 6 hours (£741) ## Feasibility To Use The Country'S Parameter Data To Compare With Highways England Data What factors regarding the data used by the road authority may hinder direct comparability Most of the main parameters, collected on the TS road network, are similar to those collected on the SRN (Rutting, Roughness (eLPV or LPV), Texture (SMTD), Skid Resistance (SCRIM)). Cracking is slightly different, but it may still be possible to compare values. Data from Deflectograph surveys is not generally comparable to that from the TSD. Likelihood of success - How possible is the comparison? A comparison of Rutting, Roughness, Texture and Skid Resistance parameter data should be possible. A comparison of Cracking data may be possible. A brief investigation will be needed (using TRACS and SCANNER Accreditation data) in order to determine comparability. Include Cracking parameter in the analysis, if this has previously been shown to be comparable. Analyse the distributions of values for each parameter considered. Apply appropriate thresholds (RIS1 or proposed RIS2 metrics, RCI). Steps required to compare data - What calculations would need to be undertaken on the data? Total: 12 hours (£1,481) if Cracking included in analysis, 10 hours (£1,234) otherwise. Time required and cost to perform comparison ## Wales Country: Wales (Welsh Government) Data Type of data collected/held SCANNER data (i.e. Rutting, Ride Quality (LPV), Texture, Edge Deterioration, Texture Variability); SCRIM Skid Resistance data (SFC); Deflection data (Deflectograph). Form, structure and level of detail of data SCANNER, Deflectograph and Skid Resistance surveys are commissioned by the Welsh Road authority's (part of the Welsh Government (WG)). As with Scotland, the survey contractors deliver processed data over 10m reporting lengths and this is stored in the Welsh pavement management system (PMS). WG do not store the raw data themselves but may be able to request this from the contractor, in special circumstances. Welsh Government (WG) have given their permission to use their data to investigate the feasibility of the comparison and would like to see the results. Would the road authority be willing to engage? Common steps required to compare data Obtain latest SCANNER and SCRIM data, (including SCRIM categories), at 10m reporting intervals. As SCANNER auditor, TRL has access to this data but SCRIM data would need to be obtained from WG or directly from the survey contractor. Inform WG that we plan to use their pavement condition data for benchmarking purposes and confirm that they are still happy for this. - Obtain latest SCANNER data: 12 hours (£1,481). - Obtain latest SCRIM data, plus SCRIM categories: 16 hours (£1,975). - Inform WG of data use and confirm participation: 0.5 hours (£62). Total: 28.5 hours (£3,518) Time required and cost to collate/clean/prepare data for potential comparison ## Feasibility To Use The Country'S Data To Obtain A Metric Equivalent To Highways England'S Ris Pavement Metric What factors regarding the data used by the road authority may hinder direct comparability The measurement and calculation of Rutting used in Wales is very similar to that carried out by Highways England. Similarly, the measurement of Skid Resistance is identical and thus these parameters can be used directly in the calculation of the RIS1, or proposed RIS2, metric. The measurement of Roughness used for assessment (LPV) is different but eLPV data is also calculated from SCANNER data, thus should be available for Wales. SCANNER surveys only collect 3m and 10m eLPV, whereas 30m eLPV is also used to calculate the RIS1, or proposed RIS2, metric. Thus, a modified metric, excluding 30m eLPV would need to be calculated for both Welsh and Highways England data. It should be possible to calculate a modified RIS1, or proposed RIS2, metric (excluding 30m eLPV) for Welsh motorways and trunk roads. Likelihood of success - How possible is the comparison? Steps required to compare data - What calculations would need to be undertaken on the data? Calculate RIS1 metric excluding 30m eLPV for both Highways England and Welsh data. To enable comparison using proposed RIS2 metric, will need to: Obtain Welsh data at 100m reporting lengths (calculate average); Calculate the proposed RIS2 metric, excluding extra steps for Skid Resistance data and excluding 30m eLPV. - Calculate RIS1 metric excluding 30m eLPV: 4 hours (£494). - Obtain WG data at 100m reporting lengths, then calculate proposed RIS2 metric: 6 hours Time required and cost to perform comparison (£741). ## Country: Wales (Welsh Government) Total: 10 hours (£1,234) ## Feasibility To Use The Country'S Data To Obtain A Metric Equivalent To Netherlands Metric What factors regarding the data used the road authority may hinder direct comparability The Rutting data collected by Welsh Government is very similar to that collected by the Dutch. Thus, it would be appropriate to apply the Dutch threshold to Welsh data (i.e. 17mm). The Roughness data collected by Welsh Government is different but an approximation for IRI can be calculated using eLPV data (assuming this is available). Thus, it would be appropriate to apply the Dutch threshold to IRI calculated from Welsh data (3.5 m/km). The Skid Resistance values collected in the Netherlands are likely to be 4-8% higher than UK ones, due to the different equipment and test tyre used. Also, the values are reported for a speed of 80km/h, not 50km/h and they do not apply the 0.78 adjustment factor used in the UK. Therefore, it would not be appropriate to apply the Dutch threshold to UK data: It is proposed that a reduced value is used 0.530.781.083/1.06 = 0.42. The Dutch Cracking measurements and parameters are very different from that reported by Welsh Government. Also, Fretting is not a parameter collected at a network level by Welsh Government. Thus, it is not appropriate to try to include these parameters in the metric. Likelihood of success - How possible is the comparison? A comparison of a modified metric calculated using only Rutting, Ride Quality and Skid Resistance should be possible. TRL as auditor has access to Welsh SCANNER data, but Skid Resistance (SCRIM) data would need to be obtained from WG or directly from the SCRIM survey contractor. Steps required to compare data - What calculations would need to be undertaken on the data? Calculate estimated IRI values using eLPV. Apply thresholds to Rutting, IRI and Skid Resistance values and calculate the percentage of the network where none of these parameters exceed the thresholds. Recalculate Netherlands metric using only Rutting, IRI and Skid Resistance from Dutch data. - Obtain TS data at 100m reporting lengths: 4 hours (£494) (may have already been done as part of the proposed RIS2 metric calculation). Time required and cost to perform comparison - Calculate estimated IRI values using eLPV: 4 hours (£494). - Calculate metric: 5 hours (£617). - Recalculate modified Netherlands metric using Dutch data: 0 hours (will have already been done for Highways England comparison). Total: 13 hours (£1,605) ## Feasibility To Use The Country'S Data To Obtain A Metric Equivalent To Local Authority Metrics Welsh Government commissions surveys that are very similar to the SCANNER surveys used on local roads. Thus, all parameters used to calculate the RCI are available in Wales and similar to those for the local authorities. What factors regarding the data used by the road authority may hinder direct comparability Calculating the RCI should be possible, thus enabling comparison of the Red Length metric with Highways England. Similarly, for the Amber length metric. Likelihood of success - How possible is the comparison? Calculate the RCI. Calculate the percentage of 10m lengths where RCI ≥100 and where 100>RCI ≥40. Steps required to compare data - What calculations would need to be undertaken on the data? ## Country: Wales (Welsh Government) - Calculate the RCI: 5 hours (£617). - Calculate the percentage of 10m lengths where RCI ≥100 and 100>RCI ≥40: 1 hour Time required and cost to perform comparison (£123). Total: 6 hours (£741) ## Feasibility To Use The Country'S Parameter Data To Compare With Highways England Data What factors regarding the data used by the road authority may hinder direct comparability Most of the main parameters, collected on the Welsh road network, are similar to those collected on the SRN (Rutting, Roughness (eLPV or LPV), Texture (SMTD), Skid Resistance (SCRIM)). Cracking is slightly different, but it may still be possible to compare values. Data from Deflectograph surveys is not generally comparable to that from the TSD. Likelihood of success - How possible is the comparison? A comparison of Rutting, Roughness, Texture and Skid Resistance parameter data should be possible. A comparison of Cracking data may be possible. A brief investigation will be needed (using TRACS and SCANNER Accreditation data) in order to determine comparability. Determine how comparable the Cracking data is (use data from SCANNER and Accreditation tests for this work). Analyse the distributions of values. Apply appropriate thresholds (RIS1, or proposed RIS2, metric, RCI). Steps required to compare data - What calculations would need to be undertaken on the data? Total: 12 hours (£1,481) if Cracking included in analysis, 10 hours (£1,234) otherwise. Time required and cost to perform comparison ## Local Authorities Uk Local Authorities (Dft) Data Type of data collected/held SCANNER data (i.e. Rutting, Ride Quality (LPV), Texture, Edge Deterioration, Texture Variability); Skid Resistance data (SFC, SCRIM); Deflection (Deflectograph). Form, structure and level of detail of data SCANNER surveys are carried out by all English local authorities. The survey contractors either deliver HMDIF files, which contain processed data and can be loaded into the pavement management system (UKPMS) by the authority, or the contractors load processed data straight into the pavement management database. The data is provided over 10m reporting lengths. The authorities may be able to request raw data from the contractors, but this would be a special request and the raw data is not generally stored by the local authorities. Skid Resistance (SCRIM) surveys also deliver data reported over 10m lengths and the data stored in UKPMS. Raw data is not generally stored by the local authorities. Would the road authority be willing to engage? DfT publishes the Red Length metric calculated for each local authority in the UK. Should comparison of other metrics or parameters be required, several local authorities would need to be approached to request permission to use their data. Common steps required to compare data Download the published results from https://assets.publishing.service.gov.uk/government/uploads/system/uploads/attachment_d ata/file/775446/rdc0120.ods Should comparison of other metrics or parameters be required, and local authorities give permission to use their data, there would be a need to obtain the most recent SCANNER and SCRIM data, at 10m reporting intervals. As SCANNER auditor, TRL has access to this data but SCRIM data would need to be obtained from the local authority or directly from the survey contractor. - Download published results: 0.5 hours (£62). - Obtain permission for data use from local authorities: 4 hours (£494). - Collate SCANNER and SCRIM data: 24 hours (£2,963) Total: 0.5 hours to 28.5 hours (£62 - £3,518) Time required and cost to collate/clean/prepare data for potential comparison ## Feasibility To Use The Country'S Data To Obtain A Metric Equivalent To Highways England'S Ris Pavement Metric What factors regarding the data used by the road authority may hinder direct comparability The measurement and calculation of Rutting used in LAs road networks is very similar to that carried out by Highways England. Similarly, the measurement of Skid Resistance is identical and thus these parameters can be used directly in the calculation of the RIS1, or proposed RIS2, metric. However, SCRIM surveys are usually only carried out on selected lengths of the network, not the whole network and thus there may be a limited amount of this data, which could be misleading if it only represents arbitrary perceived problem points on the network. The measurement of Roughness used for assessment (LPV) is different but eLPV data is also calculated from SCANNER data, thus should be available for a LA. SCANNER surveys only collect 3m and 10m eLPV, whereas 30m eLPV is also used to calculate the RIS1, or proposed RIS2, metric. Thus, a modified metric, excluding 30m eLPV would need to be calculated. Likelihood of success - How possible is the comparison? To provide robust data from such a comparison, several LAs should be considered and this would require permission to be sought from these LAs, in order to use their data. To obtain a sufficient amount of SCRIM data would require a large amount of effort. This may not be outweighed by the benefit of performing such a comparison, given the lack of ## Uk Local Authorities (Dft) similarity between the SRN and the local road network. Thus, this comparison would not be recommended. Steps required to compare data - What calculations would need to be undertaken on the data? Request permission from several Local Authorities to use their data for RIS1, or proposed RIS2, metric calculation, benchmarking and publishing the results. Identify LAs that have SCRIM data. Obtain SCANNER data (TRL have access to this) and SCRIM data (this will need to be either from the individual Local Authorities or the survey contractor). Calculate a modified RIS1 metric (excluding 30m eLPV). To enable comparison using the proposed RIS2 metric, will need to: Obtain data at 100m reporting lengths (calculate average); Obtain data at 100m reporting lengths, then calculate modified proposed RIS2 metric, excluding extra steps for Skid Resistance data and excluding 30m eLPV. Time required and cost to perform comparison - Obtain permission for data use: 8 hours (£988) - Identify LAs that have SCRIM data: 4 hours (£494) - Obtain SCANNER data: 8 hours (£988) - Obtain SCRIM data: 12 hours (£1,481) - Calculate a modified RIS1 metric (excluding 30m eLPV): 4 hours (£494). - Obtain data at 100m reporting lengths, then calculate a modified proposed RIS2 metric: 6 hours (£741) Total: 42 hours (£5,184) ## Feasibility To Use The Country'S Data To Obtain A Metric Equivalent To Netherlands Metric What factors regarding the data used the road authority may hinder direct comparability The Rutting data collected by LAs is very similar to that collected by the Dutch. Thus, it would be appropriate to apply the Dutch threshold to LAs data (i.e. 17mm). The Roughness data collected by LAs is different but an approximation for IRI can either be calculated using eLPV data (assuming this is available). Thus, it would be appropriate to apply the Dutch threshold to IRI calculated from LAs data (3.5 m/km). The Skid Resistance values collected in the Netherlands are likely to be 4-8% higher than UK ones, due to the different equipment and test tyre used. Also, the values are reported for a speed of 80km/h, not 50km/h and they do not apply the 0.78 adjustment factor used in the UK. Therefore, it would not be appropriate to apply the Dutch threshold to UK data. It is proposed that a reduced value is used: 0.530.781.083/1.06 = 0.42. The Dutch Cracking measurements and parameters are very different from that reported by LAs. Also, Fretting is not a parameter collected at a network level by LAs. Thus, it is not appropriate to try to include these parameters in the metric. Likelihood of success - How possible is the comparison? To provide robust data from such a comparison, several LAs should be considered and this would require permission to be sought from these LAs, in order to use their data. To obtain a sufficient amount of SCRIM data would require a large amount of effort. As for the RIS1, or proposed RIS2, metric, the effort required for this might outweigh any benefit obtained. Thus, this comparison would not be recommended. Steps required to compare data - What calculations would need to be undertaken on the data? Request permissions from LAs to allow using their pavement condition data for benchmarking purposes. Identify LAs commissioning SCRIM surveys and obtain this Skid Resistance data (either from LAs or survey contractor). Calculate IRI values - use estimate based on eLPV values. Apply thresholds to Rutting, IRI and Skid Resistance values and calculate the percentage of the network where none of these parameters exceed the thresholds. Recalculate Netherlands metric using only Rutting, IRI and Skid Resistance from Dutch data. ## Uk Local Authorities (Dft) Time required and cost to perform comparison - Obtain LA data at 100m reporting lengths: 4 hours (£494). - Calculate estimated IRI values using eLPV: 2 hours (£247). - Calculate metric: 5 hours (£617). - Recalculate modified Netherlands metric using Dutch data: 0 hours (will have already been done for Highways England comparison). The following steps are only needed, if comparison of the RIS1, or proposed RIS2, metric values has not been performed: - Obtain permission for data use: 8 hours (£988) - Identify LAs that have SCRIM data: 4 hours (£494) - Obtain SCANNER data: 8 hours (£988) - Obtain SCRIM data: 12 hours (£1,481). Total: 11 hours (£1,358) if RIS1, or proposed RIS2, metric comparison already performed or 43 hours (£5,308) otherwise. ## Comparison Of Local Authority Metrics Likelihood of success - How possible is the comparison? The Red Length metric for each English Local Authority is published annually by the DfT (https://assets.publishing.service.gov.uk/government/uploads/system/uploads/attachment_d ata/file/775446/rdc0120.ods). Thus, comparison with these published results is possible. Whilst the Amber Length metric is not published, it may be possible to obtain this statistic from some of the LAs in the CQC. Access the data provided by the DfT. If a comparison with Amber lengths is required, request this data from several LAs in the CQC. Steps required to compare data - What calculations would need to be undertaken on the data? Time required and cost to perform comparison - Access the data provided by the DfT: 0.5 hours (£62). - If a comparison with Amber lengths is required: 4 hours (£494). Total: 0.5 to 4.5 hours (£62 to £555) ## Feasibility To Use The Country'S Parameter Data To Compare With Highways England Data What factors regarding the data used by the road authority may hinder direct comparability Most of the main parameters, collected on the LAs major roads network, are similar to those collected on the SRN (Rutting, Roughness (eLPV or LPV), Texture (SMTD), Skid Resistance (SCRIM)). Cracking is slightly different, but it may still be possible to compare values. Data from Deflectograph surveys is not generally comparable to that from the TSD. Likelihood of success - How possible is the comparison? A comparison of Rutting, Roughness, Texture and Skid Resistance parameter data should be possible. A comparison of Cracking data may be possible. A brief investigation will be needed (using TRACS and SCANNER Accreditation data) in order to determine comparability. Several LAs would need to be approached to use their data for this comparison. As for the RIS1, or proposed RIS2, metric, the effort required for this might outweigh any benefit obtained. Request permissions from several LAs to allow using their pavement condition data for benchmarking purposes. Obtain SCANNER data (TRL have access to this) and SCRIM data (this will need to be either from LAs or the survey contractor). Steps required to compare data - What calculations would need to be undertaken on the data? ## Uk Local Authorities (Dft) Determine how comparable the Cracking data is (use data from SCANNER and Accreditation tests for this work). Analyse the distributions of values. Apply appropriate thresholds (the RIS1, or proposed RIS2, metric, RCI). Time required and cost to perform comparison Analysis of parameter data: 12 hours (£1,481) if Cracking included in analysis, 10 hours (£1,234) otherwise. The following steps are only needed, if comparison of RIS1, or proposed RIS2, metric values has not been performed: - Obtain permission for data use: 8 hours (£988) - Identify LAs that have SCRIM data: 4 hours (£494) - Obtain SCANNER data: 8 hours (£988) - Obtain SCRIM data: 12 hours (£1,481). Total: 10-12 hours (£1,234 to £1,481) or 42-44 hours (£5,184 to £5,431) ## The Netherlands Country: The Netherlands (Rijkswaterstaat) Data Type of data collected/held Surface condition data (Rutting, Ride Quality (IRI), Cracking (longitudinal and transversal), Ravelling); Skid Resistance data (sideway-force coefficient values below intervention limit) Calculated residual life span for each of the defects (rut depth, IRI, Skid Resistance, Cracking, Ravelling). Form, structure and level of detail of data Processed (parameter) data for 100m section lengths is stored in the Rijkswaterstaat (RWS) database, along with the residual life span for the 5 years ahead. Raw data is stored separately but is not readily accessible for most people. Would the road authority be willing to engage? Yes - RWS have provided data from all of the highways managed by them to enable comparison of Highways England and Dutch data. They would like to see the results of the comparison. Calculate the Dutch metric excluding Fretting and Cracking. Common steps required to compare data 3 hours (£370) Total: 3 hours (£370) Time required and cost to collate/clean/prepare data for potential comparison ## Feasibility To Use The Country'S Data To Obtain A Metric Equivalent To Highways England'S Ris Pavement Metric What factors regarding the data used by the road authority may hinder direct comparability Reporting length: Dutch data is reported over 100m lengths, whilst the RIS1, or proposed RIS2, metric is calculated for every 10m length of the network. Rutting: The Rutting data collected by RWS is very similar to that collected by Highways England. Roughness: The Netherlands use IRI as a single Roughness parameter, whilst the RIS1, or proposed RIS2, metric includes 3 parameters - 3m, 10m and 30m eLPV. IRI is related to both 3m and 10m eLPV (TRL CPR 1553) but is not correlated with either individual parameter. Additionally, there is no relationship between IRI and 30m eLPV. So, to include Dutch Roughness measurements in this comparison would require new thresholds to be determined for IRI and also for a modified version of the RIS1, or proposed RIS2, metric to be calculated for the SRN using IRI values, not eLPV. It is possible to use the estimate of IRI from eLPV (TRL CPR 1553) to calculate equivalent thresholds that could be applied to IRI in order to calculate a modified RIS1, or proposed RIS2, metric. A 100m length is considered in "good" condition if the value of both 3m eLPV and 10m eLPV are below the Category 3.5 threshold. Thus, the threshold for IRI has been calculated as the smallest value for which 3m or 10m eLPV might exceed their respective thresholds: IRI m/km Motorways and rural dual carriageways 3.3 Urban dual carriageways 3.6 Rural single carriageways 3.6 Urban single carriageways 4.7 ## Country: The Netherlands (Rijkswaterstaat) Skid Resistance: The measurement of Skid Resistance is similar but different devices and test tyres are used for the measurement. These give Skid Resistance values that are 4-8% higher than the tyres used in the UK. Also, for historical reasons, an adjustment factor of 0.78 is applied to UK data. Additionally, Dutch data is reported for a speed of 80km/h, whereas UK data is reported for 50km/h. An equation for correction to a speed of 50km/h is given in the DMRB (HD28/15): SR(50) = SR(v)(-0.0152v${}^{2}$ + 4.77v + 799)/1000 So, for Skid Resistance measured at a survey speed of 80km/h, the correction factor to obtain Skid Resistance at 50km/h would be 1.083. Thus, any threshold(s) applied to UK data would need to be suitably increased before being applied to the Dutch data, using the following correction factor: 1.06/(0.781.083). Different investigatory levels are defined in the DMRB (HD28/15) for Skid Resistance depending on the site category e.g. a carriageway with two-way traffic will normally have a higher Skid Resistance requirement than a carriageway with one-way traffic. The RIS1, or proposed RIS2, metric is calculated by applying a threshold of the investigatory level - 0.05 to the measured Skid Resistance for each 100m length. Since the Dutch apply only a single threshold to their skid data, they do not store site category information and thus it would not be possible to apply different thresholds for different sites. It is suggested that the threshold applied to non-event carriageways with two-way traffic in the UK (0.40) be applied. As discussed above, this would need to be adjusted for speed, differences due to test tyres and the correction factor, before being applied to the Dutch data i.e. using a threshold of 401.06/(0.781.083) = 0.50 would be suggested. In the Netherlands, Skid Resistance values for 100m lengths are calculated by subtracting the intervention limit from the weighted average value of the last two years, whilst the RIS1, or proposed RIS2, metric uses measured Skid Resistance data of one year only. Only road sections that are below the intervention limit have a value reported in the database, therefore Skid Resistance thresholds that are lower than the Dutch thresholds could not be applied to the full Dutch dataset. Since the threshold suggested above (0.5) is lower than the Dutch thresholds (0.51 and 0.53), it would be possible to use Dutch data for RIS1, or proposed RIS2, metric calculation. Comparison of a modified RIS1, or proposed RIS2, metric should be possible. Likelihood of success - How possible is the comparison? Steps required to compare data - What calculations would need to be undertaken on the data? Calculate modified RIS1, or proposed RIS2, metric using Dutch data, applying the thresholds suggested above. Obtain IRI values (100m lengths) from Highways England data (either estimate using eLPV or calculate from raw data). Calculate the same modified RIS1, or proposed RIS2, metric as for the Dutch data: Consider 100m reporting lengths, apply a single threshold of 0.4 to SCRIM data and the thresholds suggested above to IRI. - Calculate modified RIS1, or proposed RIS2, metric using Dutch data: 4 hours (£494) - Obtain IRI values (100m lengths) from Highways England data: 1 hour (£123) (assuming Time required and cost to perform comparison that IRI has already been calculated for previous comparisons). - Calculate modified RIS1, or proposed RIS2, metric for Highways England data: 5 hours (£617). Total: 10 hours (£1,234) ## Comparison Of Netherlands Metric Steps required to compare data - What calculations would need to be undertaken on the data? Other authorities either do not collect Fretting, or do not measure this parameter in the same way. Similarly, Cracking is not measured in the same way in the UK. Thus, the parameters are unlikely to be comparable. Therefore, no comparison can be performed with the Dutch metric including either of these parameters. Thus, there is a need to calculate the Dutch metric excluding these parameters. ## Country: The Netherlands (Rijkswaterstaat) Calculation of the Dutch metric for 2018 found that the percentage of the network falling below the threshold for individual parameters was: Defect Percentage below intervention limit Rut Depth 0.02 % IRI 0.21 % Skid Resistance 0.52 % Cracking 0.11 % Ravelling 0.65 % Calculate modified Dutch metric: 4 hours (£494) Time required and cost Total: 4 hours (£494) ## Feasibility To Use The Country'S Data To Obtain A Metric Equivalent To Local Authority Metrics What factors regarding the data used by the road authority may hinder direct comparability Dutch pavement condition data is available at 100m reporting lengths but 10m lengths are needed to calculate Red and Amber length of RCI. Also, the contribution of Roughness to the SCANNER RCI is calculated as follows: Roughness contribution = maximum (3m LPV contribution, 10m LPV contribution). The measure of Roughness in Netherlands is the IRI. This cannot be split out into similar measures to 3m and 10m LPV and thus the above calculation would not be possible. Similarly, the measurement of Cracking is fundamentally different to both Netherlands and the local authorities, and Texture is not routinely delivered. Given the reporting length and lack of comparable parameters, a meaningful calculation of the RCI and therefore either the Red or Amber length, is not possible. Likelihood of success - How possible is the comparison? N/A Steps required to compare data - What calculations would need to be undertaken on the data? N/A Time required and cost to perform comparison ## Feasibility To Use The Country'S Parameter Data To Compare With Highways England Data What factors regarding the data used by the road authority may hinder direct comparability Whilst the measurement of Skid Resistance is similar (sideway-force coefficient measurement), only sections below the Skid Resistance intervention limit are reported in the database. Therefore, a comparison of Skid Resistance data would be very limited and would be unlikely to be helpful. Thus, it would not be recommended that such a comparison is performed. The Netherlands use IRI as a single Ride Quality parameter. If IRI is estimated from eLPV values or calculated from raw Highways England data, it would be possible to compare IRI from the two networks. The Dutch Cracking and Ravelling (Fretting) measurements and parameters are very different from those reported by Highways England. Thus, it is not appropriate to try to include these parameters in the metric. A comparison between Highways England and Dutch Rutting and IRI data should be possible. Likelihood of success - How possible is the comparison? ## Country: The Netherlands (Rijkswaterstaat) Calculate IRI values using Highways England data - either use estimate based on eLPV values or recalculate from raw profile data. Analyse the distributions of values. Apply appropriate thresholds (RIS1, or proposed RIS2 metric, RCI, Dutch metric). Steps required to compare data - What calculations would need to be undertaken on the data? - Calculation of IRI parameter from Highways England (likely to have already been done for other comparisons): Time required and cost to perform comparison o Estimating from eLPV values - 8 hours (£988); or o Calculating from raw data - 24 hours (£2,962). - Analysis of parameter data: 12 hours (£1,481) if Cracking included in analysis, 10 hours (£1,234) otherwise. Total: 10-36 hours (£1,234 - £4,444) or 16-32 hours (£1,975 - 3,950) if IRI needs to be calculated from Highways England data as part of this task ## Sweden Country: Sweden (Trafikverket) Data Type of data collected/held Surface condition data (IRI, Edge Deterioration, Texture (MPD), Rutting); 5 years forecast data (IRI, Rutting, Edge Deterioration). Level of detail within data Processed data for 20m lengths of all the roads managed by the Swedish Transport Administration (Trafikverket) are stored in the PMSv3 pavement management system, which is free and open to public, research asset management and commercial use (https://pmsv3.trafikverket.se/). Forecasted individual parameter data for the each of the next 5 years are calculated and provided for 100m lengths. Form and structure of data Swedish pavement condition data is available to the public online (https://pmsv3.trafikverket.se/). Rutting, Roughness (IRI), Texture (MPD), and Edge Deterioration data is reported over 20m reporting lengths. The survey contractor delivers processed data to Trafikverket but VTI (the Swedish equivalent of TRL) also store the raw data. This is only available to those with permission. Yes - the data is publicly available. Would the road authority be willing to engage? Access https://pmsv3.trafikverket.se/ and download the data for Swedish motorways. Calculate data for 100m reporting lengths Common steps required to compare data - Download data and extract motorway sections: 12 hours (£1,481) - Calculate data over 100m reporting lengths: 2 hours (£247). Total: 14 hours (£1,728) Time required and cost to collate/clean/prepare data for potential comparison ## Feasibility To Use The Country'S Data To Obtain A Metric Equivalent To Highways England'S Ris Pavement Metric What factors regarding the data used by the road authority may hinder direct comparability Swedish data is reported for every 20m length, whereas the RIS1, or proposed RIS2, metric requires reporting lengths of 10m lengths. Sweden does not collect any Skid Resistance data. Sweden use IRI as a single Ride Quality metric. This could be incorporated into a modified version of the RIS1, or proposed RIS2, metric, as for the Dutch data. Likelihood of success - How possible is the comparison? Comparison is possible but only using two individual parameters (Rutting and Roughness) to calculate a modified RIS1, or proposed RIS2, metric. A lot of effort would be required to make this comparison and may not provide benefit over just comparing the individual parameters directly. Obtain Highways England Rutting data over 20m reporting lengths (average 10m lengths). Obtain Highways England IRI data for 20m reporting lengths. Calculate a modified version of the RIS1, or proposed RIS2, metric including only Rutting and IRI from Swedish and then Highways England data. Steps required to compare data - What calculations would need to be undertaken on the data? - Highways England Rutting data over 20m reporting lengths: 1 hour (£123) - Highways England IRI data for 20m reporting lengths: 1 hour (£123) in addition to Time required and cost to perform comparison calculating IRI values (see previous) - Calculate a modified version of the RIS1, or proposed RIS2, metric including only Rutting and IRI from Swedish and then Highways England data: 8 hours (£988). ## Country: Sweden (Trafikverket) Total: 10 hours (£1,234) ## Feasibility To Use The Country'S Data To Obtain A Metric Equivalent To Netherlands Metric Swedish data is processed and reported over 20m lengths while the Dutch data is over 100m lengths. Sweden does not collect Skid Resistance, Cracking and Ravelling data which is used to calculate the Dutch metric. What factors regarding the data used the road authority may hinder direct comparability Likelihood of success - How possible is the comparison? Comparison is possible but only using two individual parameters (Rutting and Roughness) to calculate a modified Netherlands metric. A lot of effort would be required to make this comparison and may not provide benefit over just comparing the individual parameters directly. Hence a comparison would not be recommended. Obtain Swedish data over 100m reporting lengths (average 20m lengths). Calculate a modified version of Netherlands metric including only Rutting and IRI from Swedish, Dutch and also, Highways England data. Steps required to compare data - What calculations would need to be undertaken on the data? Time required and cost to perform comparison - 100m reporting lengths: 2 hours (£247). - Calculate a modified version of Netherlands metric using Swedish data: 4 hours (£494) - Calculate a modified version of Netherlands metric using Highways England data: 4 hours (£494) - Calculate a modified version of Netherlands metric using Dutch data: 4 hours (£494) Total: 14 hours (£1,728) ## Feasibility To Use The Country'S Data To Obtain A Metric Equivalent To Local Authority Metrics Swedish pavement condition data is available at 20m reporting lengths, Cracking data is not measured, and the Roughness parameter used is IRI. Thus, it would only be possible to calculate the RCI based on Rutting and Texture data. What factors regarding the data used by the road authority may hinder direct comparability Given the reporting length and lack of comparable parameters, a meaningful calculation of the RCI and therefore either the Red or Amber length, is not possible. Likelihood of success - How possible is the comparison? N/A Steps required to compare data N/A Time required and cost to perform comparison ## Feasibility To Use The Country'S Parameter Data To Compare With Highways England Data What factors regarding the data used by the road authority may hinder direct comparability Swedish data reporting length is 20m while Highways England's data reporting length is 10m or 100m. Sweden does not routinely measure Skid Resistance on their road network, instead measuring Texture (MPD). If MPD is lower than 0.5 on a length, this means that further investigation of the Skid Resistance is needed. Highways England also measures Texture on their network and the SMTD and MPD parameters are reported. Whilst it would be possible to compare MPD values, this may not be a fair comparison, as acceptable Texture values can vary depending on the pavement surfacing used. Cracking and Fretting are not measured in Sweden. ## Country: Sweden (Trafikverket) Sweden use a single Ride Quality parameter IRI, which cannot be directly compared to eLPV. Likelihood of success - How possible is the comparison? A comparison between Rutting and IRI on the Swedish and Highways England networks should be possible. A comparison of MPD values would also be possible but may be difficult to interpret, due to lack of information of surfacing type on the Swedish network. Steps required to compare data - What calculations would need to be undertaken on the data? Resample Swedish data to 100m reporting lengths. Calculate IRI values from Highways England data - either use estimate based on eLPV values or recalculate from raw profile data. Analyse the distributions of values. Apply appropriate thresholds (RIS1, or proposed RIS2, metric, RCI, Dutch metric). - Resample Swedish data to 100m reporting lengths: 2 hours (£247). - Calculation of IRI parameter from Highways England (likely to have already been done for Time required and cost to perform comparison other comparisons): o Estimating from eLPV values - 8 hours (£988); or o Calculating from raw data - 24 hours (£2,963). o Likely to have already been done for other comparisons, so no additional cost - Analysis - 6 hours (£741). Total: 8 hours (£988) or 16-32 hours (£1,975 - £3,950) if IRI needs to be calculated from Highways England data as part of this task. ## Reflections On The Use Of Road Condition Data For Benchmarking This Appendix has been prepared by Dr Phill Wheat of the University of Leeds Institute for Transport Studies, drawing on his experiences of implementing road benchmarking through the CQC Efficiency Network. This report provides a comprehensive description and analysis of the extent to which the measurements between road condition measures across different organisations can be compared. In this Appendix, reflections are provided on the use of the road condition measures in benchmarking and the implications for the collection of the road condition survey data underpinning them. Benchmarking requires relating two or more metrics to each other in a meaningful way. Obvious candidates are cost (opex and/or capex) and asset quality (captured here as road condition). The interest is whether there are trade-offs between various benchmarking metrics and whether some infrastructure managers are able to achieve better cost and quality outcomes than others. This requires comparisons across infrastructure managers and across time. To facilitate meaningful, and therefore robust comparisons, there needs to be alignment between data in (at least) two key dimensions: - Geographical coverage - cost and quality should cover the same assets - Temporal coverage - cost and quality should cover the same time period and, as importantly, be resampled at the same rate The following potential issues emerge, particularly when comparing Highways England data to LAs. ## Geographical Coverage An immediate concern is comparing SCRIM type data when this is not collected network wide, for example for LAs. This presents substantial challenges in monitoring changes in Skid Resistance over time in these cases, as a relatively small part of the network is sampled per year. This presents a risk that the sample may not be representative of the road condition of the LA networks in any given year. A lesser issue from a geographical perspective (but see temporal discussion below) is that not all A roads are sampled each year. This is less of issue assuming that roads are being sampled in a systematic method unrelated to their underlying condition, at least within road class. ## Temporal Coverage Most surveys are annual and occur at similar time in the year, or in a worst case, where different infrastructure managers' survey at different time of the year, for each infrastructure manager the time of the year is the same. This means comparisons in road condition and cost should be valid over time and, perhaps with adjustments to systematic road condition reflecting sampling at different times of year, valid between infrastructure managers. More fundamentally, there is an important interaction between temporal coverage and geographical coverage. Where the network is not sampled in entirety, there is a challenge in capturing changes in road condition which is potentially exacerbated by different data base management processes between infrastructure managers. This issue emerged with specific work undertaken by the CQC Efficiency Network for LAs, highlighting the limitation of relying on road condition data based on partial surveys of the network. What is sought is data on road condition which tracks variations in expenditure from year to year. This is essential for robust benchmarking as there is a clear trade-off between increased expenditure and improvements in road condition, followed by improved road condition and thus lower ongoing expenditure. Any benchmarking framework needs to recognise the upfront cost and longer-term cost gains from investments; capturing this subtle but important impact is very important in assessing performance. DfT8 outline that the RDC0120 measures in the single data list are based on rolling averages of two years of survey data. A minimum of 45% of the A road network is surveyed each year with no less than 90% of the network required to be included within the metric. The spreading of the computation over two years presents an ambiguity as to how long it takes for improvements in road condition to filter through to the measure of road condition. This in turn presents challenges for relating measured changes in road condition to changes in expenditure. The limit for A roads is two years, but there is some uncertainty as to whether to expect a random relationship between improvement work and roads sampled in a year (implying 50% adjustment in Yr1 and the remainder in Yr2) or something more structured. Indeed, limited interview work undertaken as part of the CQC Efficiency Network has highlighted that practice does differ between LAs in terms of how the road network condition of the roads not surveyed in the latest year are treated. Some LAs simply roll over the previous year's survey data, as would seem to be implied by the DfT guidance. Clearly this introduces the lags in response of the road condition measure as described in the previous paragraph. Other LAs implement a policy of manually adjusting their PMS system to reflect when they have undertaken improvement work on a road section flagged in the last survey as in need of repair. This essentially gets around the problem of a lag in the response of the road condition variable, as improving road condition in a given year immediately impacts on the road condition metric. A similar approach has been proposed for Highways England in RIS2: "All lengths of pavement that were renewed since the previous survey are automatically marked as being in 'good' condition." One limitation of this approach is that it is asymmetric: improvements in road condition are captured in the year that they arise, but deteriorations may take two years to feed through. As such, one solution could be to select those LAs for comparison that manually over-write their road condition databases when improvement works are undertaken, mirroring the proposal by Highways England. This problem is more acute when B, C and (particularly) U roads are considered, as these are surveyed at a lower annual rate. Given the purpose of collecting road condition data will be to inform robust regulatory analysis regarding the SRN, the issue is valid for the A road case only.	en
4452-pdf	## # Operational Selection Policy Osp46 Records Relating To Military Law And Courts-Martial 10 January 2008. ## Contents Section Content Page 1 Authority 3 2 Scope 4 3 Origins of the Offices of the Judge Advocate General and the Judge Advocate of the Fleet 5 4 Significant statutes in military law since 1955 6 5 Ministry of Defence military law functions 6 6 Army and Royal Air Force courts martial 9 7 Royal Navy courts martial 11 8 Ministry of Justice and predecessor bodies' military law functions 13 9 Jurisdiction of courts martial 14 16 10 Procedures in courts martial from 1990 to the present 16 11 The National Archives current / past selection policy and practice 18 12 Proposals for the future preservation at the National Archives of public records relating to military law and courts martial 13 Implementation 23 Appendix Appendix 1 - Records relating to Military Law and Courts Martial selected by the National Archives to April 2007 ## 1 Authority 1.1 The National Archives' Acquisition And Disposition Policy Statements (February 2000) Announced The Intention Of Developing, In Consultation With Departments, Operational Selection Policies Across Government. These Policies Would Apply The Collection Themes Described In The Policy To The Records Of Individual Departments And Agencies. 1.2 Operational selection policies are intended to be working tools for those involved in the selection of public records. This policy may, therefore, be reviewed and revised in the light of comments received from the users of the records or from archive professionals, the department's experience of using the policy, or as a result of newly discovered information. There is no formal cycle of review but we would welcome comments at any time. The extent of any review and revision exercise will be determined according to the nature of the comments received. 1.3 If you have any comments upon this policy, please email recordsmanagement@nationalarchives.gov.uk Or write to: Acquisition and Disposition Policy Manager Records Management Department The National Archives Kew Richmond Surrey TW9 4DU 2. Scope. 2.1. Military law is the body of law governing the rights and duties of armed services personnel. The courts martial justice system is separate from the civil courts service, applying the principles of military law to ensure that justice and discipline within the armed services is maintained. 2.2. This operational selection policy covers the public records of the Ministry of Defence that generates most of the policy and legislation relating to military law. These include those public records relating to high-level policy relating to discipline and justice in the main military services: Army, Royal Air Force and Royal Navy. 2.3. The Office of the Judge Advocate General and the Judge Advocate of the Fleet created records relating to the administration of the military justice system. These bodies are supposed to have been independent from the Ministry of Defence in order to reach impartial decisions on courts martial cases1. As well as case records some operational policy and legal advice records are likely to be generated. 2.4. Records relating to civil indictable criminal proceedings are covered by a separate operational selection policy (OSP40) - see, http://www.nationalarchives.gov.uk/documents/osp40final.pdf. 3. Origins of the Offices of the Judge Advocate General and the Judge Advocate of the Fleet - Through a statute of Edward I in 1279 it was enacted that, by virtue of the royal prerogative, the sovereign of England had the right to command all the military forces of the English nation. The royal prerogative also accorded the Crown the power to regulate and discipline the army. Crown jurisdiction over military offences was exclusive but its jurisdiction over military offences committed by soldiers was coordinated with the civil courts in early medieval times. The appointment of a special officer to conduct courts martial during war campaigns can be traced back at least to the reign of Elizabeth I when a Judge Martial (or Marshal) accompanied the Earl of Leicester's army to the Low Countries in 1587-1588. It had previously been thought that the Chivalry Court of the Lord High Constable and the Earl Marshal, who were Commander and second-in-command of the king's armies respectively, had regulated the conduct of English soldiers. However, recent research suggests that the Judge Martial was independently responsible for military discipline.2 A list of Rules and Ordnances of War was issued by the king usually on the advice of the Judge Martial at the start of every campaign of war that eventually became the basis of a code of military law. 3.1. An Advocate of the Army served with the Army of Charles I in 1639 and Advocates of the Army (or Judge Advocates) served on both sides during the English Civil War (1642-1649). After the standing army had been brought into being during the English Civil War and the Interregnum period (1649-1659) the office of Judge Advocate General was created to supervise 'courts martial' for the new army. The Judge Advocate General is not a General of the army; the word "general" signifies broad oversight, as in the terms 'Secretary- General' and 'Attorney General'. 3.2. It was the Mutiny Act of 1689 that first formally recognised the legality of the military courts and gave parliamentary approval to the exercise of their jurisdiction. Successive Mutiny Acts passed between 1689 and 1878 strengthened the authority of these courts in dispensing military justice. The Army Act of 1881 replaced the principle provisions of the Mutiny Acts and has been renewed every five years since this date. 3.3. Early origins of the Judge Advocate of the Fleet are found in the role of the Lord High Admiral who became a permanent officer of state in the fifteenth century. This officer performed at sea the functions, which on foreign land and in military installations the Judge Martial discharged - referred to above. One of the Lord High Admiral's roles was to pronounce and apply the laws of war at sea. Therefore, the origins of the 'articles of war' and courtsmartial at sea derive from his role. From 1660, the Judge Advocate of the Fleet took over this role. 4. Significant Statutes in Military Law since 1955 4.1. Military law is the body of law governing the rights and duties of soldiers. All serving personnel are subject to it. There have been three significant Acts that have shaped and provided the foundations for military law for the three main armed services of the United Kingdom over the past 50 years.3 These are: - Army Act 1955 - Air Force Act 1955 - Naval Discipline Act 1957 4.2. The above acts are collectively known as the 'Service Discipline Acts'. They have provided a comprehensive system of law for the services since their introduction. They incorporate offences that reflect the civilian criminal offences and establish offences that are unique to the Armed Forces, such as 'desertion'. A range of rules and regulations has followed the passing of these statutes that practically articulate the principles they set out. These Acts are reviewed approximately every five years and amendments are made to reflect changes in civil law and the requirements of the Armed Services. 4.3. A Strategic Defence Review of 1998 argued that advantages would be gained from combining the three Service Discipline Acts into a single Act. Subject to Parliamentary approval, it is planned to carry out this complex rewriting of legislation by the end of 2008. 5. Ministry of Defence military law functions. 5.1. In 1963, the three independent service ministries (Admiralty, War Office and Air Ministry) were merged to form the present Ministry of Defence (MoD). The UK MoD is the government department that is responsible for all defence related aspects of national policy. 5.2. This large organisation is controlled by the Secretary of State for Defence and his deputies. The Minister is supported by a Permanent Under Secretary of State (PUS) who is responsible for policy, finance and administration in the Ministry of Defence. Under the PUS, the Chief of Defence Staff acts as the professional head of the Armed Forces and he is the principal military adviser to the Secretary of State and to the government. He represents the Chiefs of Staff for all three armed services with the help of the Vice Chief of the Defence Staff4. 3 The Armed Forces Acts 1996 and 2000 radically amended these Acts to accommodate the 5.3. The Ministry of Defence is responsible for creating military law (as comprised in the above Service Discipline Acts and their successive soon to be enforced Armed Forces Act 2006) amending existing legislation, creating codes of conduct and for providing the legal basis for military operations. For the Army, policy on discipline is developed by the Adjutant General's Department, Directorate of Personal Services (Army), PS2(A) branch. Their role is as follows. - Discipline. To develop policy for standards of conduct and the maintenance of discipline in the Army. Anticipate the demands of future legislation in developing discipline policy. Expedite proper resolution of disciplinary casework. Conduct a vigorous and effective campaign to deter substance misuse in the Army, in order to sustain and strengthen the disciplinary fabric of the Army to underpin its operational effectiveness. 5.4. The fruits of these objectives are captured in the various publications available at http://www.army.mod.uk/servingsoldier/termsofserv/discmillaw/ref/index.html that comprise the Ministry of Defence Discipline and Military Law Reference Library. 5.5. The Defence Council is the senior Ministry of Defence committee that provides the legal basis for the conduct and administration of defence. The Secretary of State for Defence chairs this council. In the course of its duties, this Council will occasionally validate the policies of the Adjutant General's Directorate and other service directorates responsible for discipline. ## 5.6. The Military Court Service (Mcs). The Defence Council Made provisions for the Military Court Service as an independent organisation and appoints its Director who is a civil servant. It is a tri-service and consists of a headquarters at Upavon (Wiltshire) and seven staffed Military Court Centres at: Bulford (Wiltshire); Catterick (Yorkshire); Colchester (Essex); Portsmouth (Hampshire); Aldergrove (Northern Ireland); Osnabruck and Hohne (Germany).While the three service justice systems have remained distinct, up to the introduction of the Armed Forces Act 2006, the Military Court Service has enabled some sensible integration since its inception in the 1990s. This includes the administrative requirements for court martial hearings; providing administrative support and provision of the appropriate environment for the trial to be heard. Before the introduction of the Military Court Service in 1997 the provision of facilities for courts martial were far more likely to be ad-hoc, with some trials taking place in local barracks and defence facilities. 5.7. The main elements of the military criminal justice system are: 5.7.1. Court-martial. Serious matters, including both offences against the civilian criminal law and specifically military offences, may be tried by Courtmartial. A Judge Advocate controls the court, his directions being final in all matters of law, practice and procedure. The Lay Members of the court are known as a board and consists of officers, warrant officers, who are appointed to perform their duties independently and impartially in accordance with the evidence and the law. Each board consists of 3 members (District Court Martial) or 5 members (General Court Martial) one of whom is nominated as a President, whose role is not dissimilar to that of a foreman of a jury. Having listened to the Judge Advocate's directions on the law and summary of the evidence; the board are responsible for finding defendants guilty or not guilty. Following a finding or plea of guilty, the board and the Judge Advocate decide on sentence. A Court-martial has the same sentencing powers in relation to imprisonment as a Crown Court, including life imprisonment. 5.7.2. Summary Dealing by a Commanding Officer. Minor disciplinary and criminal matters are deal with summarily by the Commanding Officer of the serviceman or servicewoman accused. This is similar to a magistrates' court hearing before lay magistrates. The great majority of matters are disposed of in this way, which forms one of the foundations of the disciplinary system of the armed forces. A Commanding Officer has powers of punishment up to 60 days detention (Army or RAF) or 90 days detention (RN). An accused person may opt for trial by Court-martial rather than to appear before their Commanding Officer, or may appeal to a Summary Appeal Court in all cases. 5.7.3. Summary Appeal Court. A Summary Appeal court which is conducted by a a Judge Advocate and two service members , who can be two officers or one officer and one warrant officer. An accused has a right of appeal to the Summary Appeal Court, which is conducted by a Judge Advocate. Appeals take the form of a re-hearing and may be against finding and/or punishment. Thus, where the appeal is against finding and punishment, the Summary Appeal Court will hear the evidence afresh before deciding whether to confirm or quash the finding. If it confirms the finding, the Summary Appeal Court will decide what the punishment should be on the basis of the evidence it has heard. If the appeal is against punishment only, the respondent (prosecuting officer) will inform the Summary Appeal Court of the facts of the case. The Court will consider any mitigating factors and determine or amend punishment accordingly. 5.7.4. Review. To 2006, after every court-martial where there has been a guilty plea or a finding of guilt, the verdict and sentence are automatically reviewed by a higher military authority, following the legal advice provided by the Judge Advocate General (and prior to 2004 by the Judge Advocate of the Fleet). There may also be a petition from the convicted defendant. The review may set aside the conviction, or may reduce (but not increase) the sentence. The Armed Forces Act 2006 is due to abolish the review process when it comes in to force in 2009. 5.7.5. Court-Martial Appeal Court. The avenue of appeal for a convicted defendant, subject to obtaining permission to appeal, is to the Court-Martial Appeal Court (as the Court of Criminal Appeal is named when dealing with military cases), and ultimately to the House of Lords. 5.7.6. Standing Civilian Court. Civilians who are officials attached to the Services overseas, or dependants of Service personnel resident overseas (for example in Germany or Cyprus) may be tried for minor offences by the Standing Civilian Court (which consists of a Judge Advocate sitting alone), or for more serious matters by a Court-martial. 5.8. Please also refer to British Army: Courts Martial, 17th-20th Centuries - Military Records Information 22 available on the National Archives web site at http://www.nationalarchives.gov.uk/catalogue/RdLeaflet.asp?sLeafletID=28 . 6. Army and Royal Air Force courts martial 6.1. As stated above, the Office of the Judge Advocate General has early modern historical origins but in its modern form is contemporaneous with the origins of the standing army in the 17th century. From 1666, during the Restoration period, the separate offices were placed on the permanent establishment of the Army. Since 1682, these officers were appointed by letters patent and have continued to be to the present day. 6.2. Originally, the office holder was a lawyer whose functions were - To advise on the charges and evidence in cases of difficulty before the court martial was convened. - The making of arrangements for courts martial. - The prosecution of military offenders before them. His duties as a prosecutor ended in 1860 but his responsibility for advising on charges and evidence continued. - To act as legal adviser to the courts martial. - The recording of their proceedings. - Advising the sovereign and Commander in Chief on the exercise of the prerogative of mercy with regard to the sentences of courts martial. - To the early nineteenth century, he also acted as secretary and legal adviser to the Board of General Officers, one of whose functions was to hear complaints against officers and soldiers (usually in times of war). 6.3. His channels of communication with the sovereign were successively the Secretary at War (from 1706), the Commander in Chief (from 1806) and the Secretary of State for War (from 1905). From 1793 to 1904 he was legal adviser to the Commander in Chief and, thereafter to the Secretary of State for War. 6.4. By 1892 the Judge Advocate was a Privy Councillor, a junior minister in the government, usually a Member of Parliament and a spokesman for the Commander in Chief in Parliament and he had direct access to the Sovereign on matters pertaining to his office. The appointment was regarded as a political office. In 1893 he ceased to be a minister, and from that date his office was wholly judicial and advisory in character. By 1905, it was decided that the office should in future be filled by a person with suitable legal attainments, subject to the orders of the Secretary of State for War. Initially the President of the Probate, Divorce and Admiralty Division of the High Court held the post but he was unpaid and acted mainly through deputies whom he was empowered to appoint. 6.5. From 1918 Judge Advocate General became legal adviser also to the Secretary of State for Air and had responsibility for courts martial of Royal Air Force personnel. In 1923 a Military and Air Force Department of the War Office was formed to undertake prosecutions, thus separating the office's prosecuting and judicial functions. 6.6. In 1938 the Army and Air Force Courts Martial Committee under Rowland Oliver KC had recommended "that the Judge Advocate General should be appointed on the recommendation of, and be responsible to, some Minister other than the Secretary of State for War or Air". The Committee made this recommendation to ensure that any impression that the Judge Advocate General, whose duties include the review of all convictions of courts martial and advice to the Secretary of State for War and Air on questions of law arising from such review, was in any sense a subordinate official of the War Office or Air Ministry. The issue of ensuring and promoting the legal independence of the Judge Advocate General was considered to be critical. The Cabinet approved the proposal in 1939 but the War intervened and nothing was done about this until 1946, when a Committee under Mr Justice Lewis was appointed to review the structure of the Courts Martial procedure and kindred matters with particular reference to the recommendations of the Oliver Committee. They endorsed the recommendations of their predecessor committee regarding the appointment of the Judge Advocate General. The Cabinet approved a complete separation of prosecuting and judicial functions and this was put into effect on 1 October 19485. Advisory roles of the Judge Advocate General's Department (Lord Chancellor's Office) and Legal Services Department (War Office) from 1948. 6.7. In 1946 the Judge Advocate General's Office comprised three departments: a Judicial Department; a Military Department; and an Air Force Department. The last two departments were responsible for the giving of pretrial legal advice and the conduct of prosecutions within the Army and the Air Force respectively. The Judicial Department's function was to provide independent judge advocates to sit at courts martial and review proceedings of trials. 6.8. From 1948, the judges serving under the Office of the Judge Advocate General retained their judicial functions but were now appointed by the Lord Chancellor instead of the Secretaries of State for War and Air. The Judge Advocate General himself continued to be appointed by royal decree (under the advice of the Lord Chancellor) under letters patent. The old Judge Advocate General Office Military Department responsibilities for the prosecution function passed to new directorates of Legal Services in the War Office (Adjutant General) and Air Ministry respectively and were separately constituted for both Army and Royal Air Force as uniformed legal services. 6.9 Directions for trial and prosecution. To 2006, three distinct prosecution authorities have existed in the UK armed services. These were the Army Prosecution Authority, Royal Navy Prosecuting Authority and the Royal Air Force Prosecuting Authority. These authorities may have had different titles in the past: e.g. the Army Prosecution Authority in recent years was known as Army Legal Services. Since 1997, each authority was to be independent of the chain of command, and their role has been to determine whether cases referred to them by the chain of command should be directed for trial. Where the cases were directed for trial, the prosecution authorities would have prosecuted the cases before military courts. They essentially carry out the role that in civilian life is carried out by the Crown Prosecution Service. Further, the prosecution authorities have provided advice to police forces on matters concerning the prosecution of offences and have represented the Crown as respondent to appeals before Summary Appeal Courts and the Courts-Martial Appeal Court. The separate prosecution authorities that have existed since 1997 are to be reformed into a single tri-service by the Armed Forces Act 2006. 6.10. To provide for appeals against convictions from courts martial a Courts Martial Appeal Court was established under the Courts Martial (Appeals) Act 1951. This Act also made provisions for appointments to the Judge Advocate General's Office. 6.11. Standing Civilian Courts were established for the trial of overseas civilians working for the Ministry of Defence under the Standing Civilian Courts and Standing Civilian Courts (Areas) Orders 1977. These courts also fell under the jurisdiction of the Judge Advocate General. 7. Royal Navy courts martial. Structure of the Naval Disciplinary Administration to 2000. 7.1. From 1661 the office of Judge Advocate of the Fleet has existed to supervise the Royal Navy courts martial system, separately from the Judge Advocate General. During the 20th century the Judge Advocate of the Fleet has been a civilian barrister appointed by the monarch on the advice of the Lord Chancellor to whom all questions of law arising out of the Naval Discipline Act must be referred. For much of the twentieth century, the post has been part-time appointment. His functions were: - To advise when required on any important questions respecting the administration of justice under the Naval Discipline Act 1957 - To examine all proceedings of courts martial and disciplinary courts except when the accused pleads guilty and no evidence is taken (other than evidence as to character) and to advise generally and in detail on the proceedings of the Court; to call attention to any irregularities or illegalities that may have occurred in the course of the proceedings and to propose such action as the legal requirements of the case may necessitate. - To advise on all questions which may arise out of, and subsequent to, a court martial or disciplinary court 7.2. To the mid-1990's, the Chief Judge Advocate (known as the Deputy Judge Advocate in 1960) was traditionally a serving Captain or Commodore in the Royal Navy. In recent times the Director of Naval Legal Services carried out this role. The office was traditionally based at Greenwich. His main functions were: - Superintending the legal training and studies of selected Supply and Secretariat Officers - Providing guidance to those Officers already trained - Officiating at important courts martial th 7.3. The Royal Navy had no legal branch unlike the Army and the Royal Air Force. The Royal Navy had approximately 25 legally trained Supply and Secretariat Officers (who were usually barristers) and rarely worked full time on legal matters. They were distributed throughout the fleet in general service appointments where they were available to advise on disciplinary problems and to officiate as judge advocates at courts martial. They also acted as prosecution and defence lawyers in naval courts martial. Since 2004, their role as naval judge advocates has been abolished but their other legal duties have continued.6 In recent times the title of these naval legal officers has changed to 'Logistics Officers'. 7.4. The War Office Naval Law Division was created in the 19 century and was continued under the Ministry of Defence from 1963 under the title Naval Legal Services Division . It originally comprised two branches. - The Discipline Branch comprised a small team dealing with all disciplinary matters concerning the Fleet and responsible for the Naval Discipline Act 1957, including the review of courts martial, complaints and scrutiny of punishment warrants. This Branch was in regular communication with the Judge Advocate of the Fleet and the Chief Naval Judge Advocate Also, Findlay v United Kingdom [1997] 24 EHRR 221, established that the absence of independent authority acting in the pivotal role of Acting Judge Advocate in any court martial deprived the defendants of their rights under Article 6 of the Human Rights Act 1998. The European Court of Human Rights decision was that members of the court martial were to be sufficiently independent of the convening officer of the trial to ensure a fair trial. Consequently, the Armed Forces Act 1996 was amended and the functions of the convening officer and Boards, prosecution and defence counsels were separated. The Armed Services Act 2006 is to introduce a tri-service prosecution authority and the Office of the Judge Advocate General (staffed by civilians) will coordinate all tri-service courts martial. - The General Branch dealt with other legal matters concerning the Navy Department. Their role was to seek legal advice from the Treasury Solicitor. They normally had no dealings with the Judge Advocate of the Fleet and the Chief Naval Judge Advocate. 7.5. In 2004 Courts Martial in the Royal Navy began to be heard in a similar way to Army and Royal Air Force cases under a single independent authority and by the same civilian judges, rather than uniformed naval officers. The functions of the Judge Advocate of the Fleet were transferred to the Judge Advocate General by delegation in 2007 and will be finally transferred by statute in 2008. 7.6. On board ship, policing and disciplinary matters were traditionally the responsibility of the Executive Department and specifically by the Master at Arms and his Ship's Service Police Team (usually comprising of three men who are experts in seamanship). The Master at Arms reports directly to the Executive Officer - a First Lieutenant and second in command - who is assisted by the Executive Warrant Officer - the most senior noncommissioned officer aboard ship. These officers will report any crimes and misdemeanours to the Ship's Captain, who decides whether the offence can be dealt with summarily or whether it should proceed to a courts martial7. 8. Ministry of Justice and predecessor bodies' military law functions. 8.1. As stated above, since 1948 the Office of the Judge Advocate General has been a component unit of the Lord Chancellor's Department and its successor bodies (e.g. the Ministry of Justice (MoJ) to preserve an independent and impartial Head of the Military Justice system. The entire Office is comprised of civilian civil servants that provide administrative support to the Judge Advocate General, Vice Judge Advocate General and the cadre of Assistant Judge Advocates General. The office has also provided advice to Ministers within the Ministry of Justice concerning its interests in military justice matters. 8.2. MoD is the lead department for all policy on military matters including the legal framework for military justice: it proposes to parliament statutes and statutory instruments - e.g. rules. However, the MoD purview on military law is tempered by the need for it to comply with international and specifically European law and by the rulings and judgements of the British superior courts: i.e. the Supreme Court of Judicature.8 8 A new United Kingdom Supreme Court is due to open in October 2009 as provided for in the Constitutional Reform Act 2005 that will replace the role of the House of Lords as the highest court of appeal and the Supreme Court of Judicature appeal courts. It will provide 9. Jurisdiction of Courts-Martial 9.1. Courts martial historically have no jurisdiction over criminal offences committed by civilians on mainland UK, which are referred to the magistrates' and crown courts. For offences allegedly committed by service personnel where the victims are civilians or service personnel the trial will usually take place at a courts martial. However, serious offences (murder, manslaughter, rape) may be tried at Crown Court. The current sentencing policy advocated by the Judge Advocate General is available on their web site10. 9.2. Where the offence was committed abroad by armed service personnel the issue of jurisdiction becomes more complicated. The Status of Forces Agreement (SOFA) has defined the legal position of a visiting military force deployed in the territory of a friendly state. Agreements delineating the status of visiting military forces may be bilateral or multilateral. Provisions pertaining to the status of visiting forces may be set forth in a separate agreement, or they may form a part of a more comprehensive agreement. These provisions describe how the authorities of a visiting force may control members of that force and the amenability of the force or its members to the local law or to the authority of local officials. To the extent that agreements delineate matters affecting the relations between a military force and civilian authorities and population, they may be considered as civil affairs agreements. 9.3. Sovereign Base Areas (SBAs). Two Sovereign Base Areas currently exist for British forces colonies at Episkopi and Dhekelia in the Republic of Cyprus that was agreed with the national government in 1960. These SBAs have administration, independent judiciary, courts and police force completely separate from the United Kingdom. The Court administers the laws of the Sovereign Base Areas. These comprise the laws of the Colony of Cyprus as at August 1960, as amended by Ordinances enacted subsequently. The Laws of the Sovereign Base Areas are kept as far as possible the same laws of the republic of Cyprus. The Court of the Sovereign Base Area is concerned with non-military offences greater clarity to constitutional arrangements by further separating the judiciary from the legislature and the executive. It will: - act as the final court of appeal in England, Wales and Northern Ireland; - hear appeals on arguable points of law of general public importance; - hear appeals from civil cases in England, Wales, Northern Ireland and Scotland; and - hear appeals from criminal cases in England, Wales and Northern Ireland. The current Law Lords will be the first justices of the 12-member Supreme Court and will remain members of the House of Lords once the court is created. New judges appointed to the Supreme Court after its creation will not be members of the House of Lords; they will become Justices of the Supreme Court. committed by any person within the Sovereign Base Areas. That includes offences committed by British servicemen, by the families of servicemen, by Cypriots, and others such as tourists, of whom some 2 million per year transit the Sovereign Base Areas. A Resident Judge, who hears cases at the two SBA courts and is reinforced, as necessary, by senior judges brought out from the UK. The Court administers the laws of the Sovereign Base Areas. These comprise the laws of the Colony of Cyprus as at August 1960, as amended by Ordinances enacted subsequently. The Laws of the Sovereign Base Areas are kept as far as possible the same laws of the Republic of Cyprus. Military law offences committed by UK service personnel on active service continue to be subject to British courts martial procedure.11 9.4. Where the offence is committed abroad and the local judiciary are content to allow the crime to be tried by the UK military, the case would be subject to courts martial jurisdiction within that country. 9.5. The Armed Forces Act 1976 introduced the Standing Civilian Court for the trial of civilians working for or accompanying the Army outside the UK. Offences committed by civilians would also be subject to the Status of Forces Agreement. 10. Procedures in courts martial from 1990 to the present. 10.1. Procedures for Army, Royal Navy and Royal Air Force courts martial in recent times have been continually subject to regular amendment according to the requirements of the law; procedures may have applied in 1995 may have been removed or replaced by 2005. Researchers interested in courts martial procedure for respective armed services prior to 2006 are advised to search for statutory instruments relating to Army, Royal Navy and Royal Air Force at the website for the Office of Public Sector Information12. 10.2. For modern tri-service courts martial procedure dating from 2006, researchers are directed to the website of the Office of the Judge Advocate General.13 11. The National Archives' current / past selection policy and practice. 11.1. The records that have been selected in the past by the National Archives are detailed in Appendix 1. Those selected records that are still potentially accruing are detailed below. 11.2. War crimes records - The Hague Conventions were international treaties negotiated at the First and Second Peace Conferences at The Hague, Netherlands in 1899 and 1907, respectively, and were (along with the Geneva Conventions of 1925 and 1928) among the first formal statements of the laws of war and war crimes in the nascent body of secular international law. War crimes under international law were firmly established by the Nuremberg Principles, a document that was created as a result of the Nuremberg Trials of leading Nazis from 20 November 1945 to 1 October 1946 at the International Military Tribunal. These principles are based at the level of international law. The National Archives has selected all war crimes policy and case materials created by the British contingent of the Tribunal or by the Judge Advocate General's Office on behalf of the Tribunal for the Second World War (1939- 1945). 11.3. The Nuremberg Trials were the first of their type whereby the allied powers convened an International Military Tribunal specifically to try and sentence leading Nazis. Great Britain, the United States, the Soviet Union, and France were all given places on the Tribunal. The records created by the British contingent to the Tribunal are contained in record series: WO 235; WO 238; WO 309; WO 310; WO 311; WO 325; WO 331; WO 353; WO 354; WO 355; WO 356 and WO 357. Some 200 German constituting the main war crimes defendants were eventually tried at Nuremberg and 1600 others were tried under the traditional channels of military justice: courts-martial in other German towns. 11.4. Modern War Crimes. The Rome Statute of the International Criminal Court (or 'Rome Statute') 1998 is the treaty, which established the International Criminal Court (ICC). It sets out the Court's jurisdiction, structure and functions. It entered into force on 1 July 2000. Any perpetrator of a crime within the jurisdiction of the Court committed after this date is liable to prosecution. 11.4.1. The Statute provides for the ICC to have jurisdiction over three main classes of offence: genocide, crimes against humanity and war crimes. The treaty establishing the court gives a special definition of genocide in Article 6. a list of crimes against humanity in Article 7 and a lengthy and detailed list of war crimes in Article 8. 11.4.2. The International Criminal Court Act 2001 was adopted in the UK on 11 May 200114. The Act implements into the law of England, Wales and Northern Ireland the Rome Statute of the International Criminal Court. 11.4.3. The principle aims of the Act are: - To incorporate into domestic law the offences contained in the Rome Statute relating to genocide, crimes against humanity and war crimes - To fulfil the UK's obligations under the Statute, particularly in relation to the arrest and surrender of persons wanted by the International Criminal Court (ICC) and the provisions of assistance with respect to ICC investigations; and - To create a legal framework so that persons convicted by the ICC can serve prison sentences in the UK. 11.5. Army case records - The main series of courts-martial case records are contained in WO 71. In the past, the National Archives has selected a few records for each year that mainly comprises the more serious offences - murders, sexual offences with a few routine offences included as representative selections. These selections have seldom exceeded 10 files per annum selected from the Judge Advocate General's Office. Most of the remaining Army courts-martial WO series records listed in Appendix 1 have been superseded and are discontinued. 11.6. Royal Air Force records - The main series of courts-martial records are contained in AIR 18 (case files), AIR 21 (Registers). Selection of case files seems to have proceeded on a file-by-file review basis with no set criteria for selection other than what appealed to the reviewer. The records mainly comprise the more serious offences - usually murders, sexual offences with a few routine offences included as representative selections. The records contained in AIR 43, AIR 44 and AIR 71 described in Appendix 1 are no longer created. 11.7. Royal Navy records– The main series of recent historical courts-martial records are contained in ADM 156 (case records). The files only cover 1890 to 1965: files up to 1976 are still awaiting historical review by the Ministry of Defence. These files comprise cases extracted from ADM 1, ADM 116, and ADM 167 that were transferred into this record series. They contain cases relating to the Royal Navy, Royal Marines and the Naval Reserve and Auxiliary Forces. 11.8. Peculiarly, ADM 178 also contains some case records that overlap with the dates of ADM 156: beyond this there is no indication of how these file series differ. 11.9. Standing Civilian Courts records - These records comprise the case files of civilians working for the Ministry of Defence who committed felonies within British Armed Service facilities outside of the UK under the Standing Civilian Courts and Standing Civilian Courts (Areas) Orders 1977. They are contained in record series ER 1 and currently date from 1977 to 1986. Very few files are created annually and to date only a few files have been selected to 1986. 11.10. Courts-Martial Appeal Court - The main series of case records are contained in J 135. They cover all British armed services appeals on courtsmartial court decisions. The Supreme Court of Judicature has ultimate jurisdiction over all courts-martial appeals. The selection of these records has followed the decision made in the Report of the Committee on Legal Records (Cmnd. 3084, August 1966) where it was decided that all records relating to courts martial appeals were to be preserved permanently. 11.11. Judge Advocate General's Office case tracking records - These comprise datasets of summary information concerning the totality of cases that have been processed by the Judge Advocate General for courts-martial. They are contained in LCO 60 (or National Digital Archive of Datasets reference CRDA/23). From 2003 they include summary case details relating to the Royal Navy. 11.12. Ministry of Defence records relating to policy - The main series for policy records are held in WO 32. 11.13. Judge Advocate General's Office records relating to policy - The main series for policy records are held in LCO 53. 11.14. Judge Advocate of the Fleet's Office records relating to policy - There is no discrete record series for the policy files of the Judge Advocate of the Fleet for records selected by the National Archives. The policy records are mixed with a number of other Admiralty policy records located in record series ADM 1. Few have been selected over the years. All Royal Naval courts martial policy files dating from 2004 and selected for preservation are to be preserved in LCO 53 as, from this date, the Judge Advocate General's Office took over the responsibility for naval courts-martial proceedings. 11.15. Ministry of Defence (MoD) records disposal relating to courtsmartial - At the time of writing, no record disposal schedules were available at the Ministry of Defence web site. 12. Proposals for the future preservation at the National Archives of public records relating to military law and courts martial. 12.1. Policy records - Much of the policy records for military law and courts martial will have been generated by the Ministry of Defence but will also include some operational policy advice from the Judge Advocate General and the Judge Advocate of the Fleet. The following subjects are likely to be worthy of preservation by the National Archives. 12.1.1. All Defence Council (Ministry of Defence) records relating to the Military Justice System. These will be, by definition, high level policy discussions. 12.1.2. Ministry of Defence Strategic Defence Review work on military law and courts martial practices: e.g. working group papers. 12.1.3. Chief of Defence Staff and Chief of Staffs reviews of policy relating to military law and courts martial. 12.1.4. Policy papers of the Executive Committees of the respective Armed Services that discuss military law and courts martial practices. 12.1.5. All policy discussions of amendments to the Service Discipline Acts with notes on clauses. These may include Ministry of Defence working party and sub-committee records. 12.1.6. Policy discussions to combine the three Service Discipline Acts into a single Armed Services Discipline Act. Legal advice on drafting, notes on clauses and departmental consultation responses are to be preserved. 12.1.7. Policy discussions relating to the legal independence and impartiality of the Judge Advocate General and Judge Advocate of the Fleet and their respective staffs prior to 1996. 12.1.8. Policy on the separation of sentencing and disciplinary functions from the military chain of command to legally authorised independent bodies as a consequence of the Human Rights Act 1996 and any other legislation. 12.1.9. Policy discussions on suspensions of Army and Royal Air Force courts martial enacted by European Court of Human Rights rulings15. 12.1.10. Policy on reorganisation of the Military Justice System engendered by UK and European Union legislation or other legislation and events. In particular, policy on organisational changes to the Military Justice System introduced by the Armed Forces Act 1996 that were brought into force on the 1 April 1997 with the creation of an independent prosecuting authorities. 12.1.11. Policy discussions on the European Court of Human Rights decision to suspend and subsequently terminate all Royal Navy courts martial from December 2003 and to pass them over to the Judge Advocate General's Office from this date. Discussions relate to the ability of the directed the charges and, post-trial, became the confirming officer was not an independent one. The ECHR upheld his complaint and found that the system had the appearance of being unfair. However, the court did not go so far as to state that the system was, in fact, unfair. Nevertheless, the case did form the catalyst for some fairly radical changes. Judge Advocate of the Fleet to ensure independent and impartial trials whilst operating a uniformed Judge Advocates staff for the Royal Navy. 12.1.12. Policy discussions on the validity of Royal Navy courts martial decisions dating from 1996 in consideration of Human Rights legislation. 12.1.13. Policy discussions on the interaction of the Service Discipline Acts and the Human Rights Act 1996 and discussions of amendments to service administrative instructions required to comply with this legislation. 12.1.14. Policy on Sovereign Base Areas. 12.1.15. Policy discussions on Prosecutors and Defendants rights of appeal. 13.1.16. Any policy discussions or high-level consultations between the Ministry of Defence, the Judge Advocate General, the Judge Advocate of the Fleet, the Attorney General and the Crown Prosecution Service and the Ministry of Justice concerning military law and courts martial. 12.1.17. Judge Advocate General and Judge Advocate of the Fleet advice on points of law to the armed services legal branches and chains of command. 12.1.18. Policy on Martial Law - military government involving the suspension of ordinary local laws - in the theatre of war. This may include the first and second Iraq Wars (1991 to 1992 and 2003 to present respectively) and the War in the former Yugoslavia (1992 to 2001). Martial law may have been imposed by the United Nations but United Kingdom operational policy may be preserved where it exists. 12.1.19. Policy on sexual orientation in the armed services relating to disciplinary proceedings: especially relating to cases of dismissal that have been challenged under the European Court of Human Rights rulings. 12.1.20. Policy on the eventual revocation of the ban on the recruitment of homosexuals into the armed services in 2000 as a result of the European Court of Human Rights rulings: breach of articles 8 and 13 of the European Convention of Human Rights16. This includes any discussions from the late 1960's onwards on the decriminalisation of homosexuality in civilian life under the Sexual Offences Act 1967 and the legal contradictions posed by the continuing ban in the armed services. 12.1.21. Policy on Status of Forces Agreements (SOFA) that defines the legal position and jurisdiction of visiting military forces deployed overseas whether bilateral or multilateral. This will include the agreements themselves. 12.2. Most of the Ministry of Defence records matching the above criteria will be preserved in TNA record series WO 32 (War Office and successors: Registered Files (General Series)). Most of the Judge Advocate General's Office policy records will be captured in LCO 53 (War Office and Lord Chancellor's Office: Judge Advocate General's Office: Administration Files)17. To 2004, the policy records of the Judge Advocate of the Fleet will be preserved in ADM 1(Admiralty, and Ministry of Defence, Navy Department: Correspondence and Papers). Records dating from January 2004 will be preserved in LCO 53. 12.3. Register case records - These comprise summary records of cases created by the Judge Advocate General's Office and the Judge Advocate of the Fleet. Future selection of case files will be as follows. Judge Advocate General's Office case index system. \| LCO 60 \| Preserve permanently. Datasets to \| \|--------------------------------------\|--------------------------------------\| \| be annually transferred to the \| \| \| National Digital Archive of Datasets \| \| \| \| \| \| General \| Courts \| \| Abroad (Army) registers. \| \| \| WO 90 \| Preserve \| \| discontinued. \| \| \| \| \| \| \| \| \| General \| Courts \| \| Home (Army) registers. \| \| \| WO 92 \| Preserve \| \| discontinued. \| \| \| \| \| \| District \| Courts \| \| (Army) case records. \| \| \| \| \| \| WO 86 \| Preserve \| \| discontinued. \| \| \| \| \| \| Royal Air Force General \| \| \| and District Courts Martial \| \| \| registers \| \| \| AIR 21 \| Preserve \| \| discontinued. \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Standing \| Civilian \| \| registers \| \| \| ER 2 \| Preserve \| \| discontinued. \| \| \| \| \| \| J 152 \| Preserve permanently. \| \| Courts-martial Appeal \| \| \| Court: Registers of Appeals \| \| \| \| \| \| \| \| \| \| \| WO 71 12.4. Case records - The case records for courts martial created by the Judge Advocate General's Office and the Judge Advocate of the Fleet. Future selection of case files will be as follows. General Courts Martial (Army) case records Case files covering the following subjects are to be selected. WO 71 District Courts Martial (Army) case records AIR 18 - Murder and manslaughter: including those high profile cases committed on active service from Northern Ireland, the war in the former Yugoslavia and the first and second Iraqi wars. General Courts Martial (Royal Air Force) case records AIR 18 - Treason, sedition and riot. - Any trial where a custodial sentence of five years or more is imposed. District Courts Martial (Royal Air Force) case records ADM 156 Royal Navy Courts martial case records - Mutiny where a sentence of two years or more is imposed.18 Sovereign Base Area case records No series at present - Terrorist activities by armed forces personnel - usually against its own side - see treason. - Disciplinary action relating to the sexual orientation of a defendant. - Any case files where there were subsequently the hearings of appeals by the Courts Martial Appeal Court. - Cases relating to genocide, war crimes and crimes against humanity under the terms of the International Criminal Court Act 2001. Field General Courts Martial case records No series at present Representative selection of courts martial cases in the theatre of war to be preserved. Standing Civilian Court case files ER 1 Files to be selected must be an example of an offence brought before the court for the first time or be of national historical interest. J 135 Preserve permanently and ensure the original JAG case files are preserved Courts-Martial Appeal Court: Case Files 12.5. Publications - All publications from the Ministry of Defence 'Discipline and Military Law Reference Library' are to be preserved according to OSP36 on Publications and Grey Literature. A list of these publications is available at http://www.army.mod.uk/servingsoldier/termsofserv/discmillaw/ref/index.html . As the Ministry of Defence web site is permanently preserved, the above link and contained publications should also be preserved at the National Archives. 13. Implementation. The Ministry of Defence and HM Court Service (MoJ) - including the Office of the Judge Advocate General - historical review teams will carry out the implementation of this policy. All records disposal schedules created by the above bodies which refer to military law and courts martial administration will need to be amended according to this policy.	en
2511-pdf	Assessment of NSA activities in the Office of Rail Regulation Audit final report ## Version Control \| Document issued by \| : \| \|------------------------------------------------------------\|--------------------\| \| Released by: \| \| \| (the lead auditor) \| \| \| Leif Funch \| \| \| Authors: \| \| \| (the audit team) \| \| \| Antanas Dubikaitis, Adam Owsianik, Eleni Douvi, Leif Funch \| \| \| Version: \| 2.0 \| \| Date: \| 26.11.2012 \| \| Type of document: \| Report \| \| Status of document: \| Audit final report \| ## Amendment Records \| Version \| Date \| Issuer \| Distribution \| \|------------\|------------\|------------\|--------------------\| \| 0.1 \| 23.10.2012 \| Leif Funch \| Antanas Dubikaitis \| \| 1.0 \| 29.10.2012 \| Leif Funch \| ORR \| \| 1.0 \| 26.11.2012 \| Leif Funch \| Public \| \| \| \| \| \| ## References \| N° \| Description \| Version \| \|---------------------------------------\|--------------------------------------\|----------------------------------------------\| \| Version 0.7 \| \| \| \| \| \| \| \| /1/ \| NSA Cross-Audit Programme, Programme \| \| \| manual, Pilot Audit Cycle (2011-2013) \| \| \| \| /2/ \| \| \| \| Audit protocols \| \| \| \| Version 13 \| \| \| \| Version 12 \| /3/ \| NSA Cross-audit protocols, Test phase 2011 - \| \| 2013, Guidance \| \| \| \| \| \| \| \| \| \| \| ## 2 Executive Summary This Document Is The Audit Final Report From The Conduct Of The Audit To The Office Of Rail Regulation, Within The Framework Of The Nsa Cross-Audit Programme. According To The Cross-Audit Manual, The Audit Scope Covered The Following 3 Processes: - Safety certification/ safety authorisation; - Supervision of safety performance; - Authorisation for placing subsystems into service. For the conduct of the audit the following documents were followed: - The Audit Charter, version 1.1; - the cross-audit manual, version 07; - the audit protocols, version 13; - the guidance to the protocols, version 12. ## 2.1 Overall Summary Of The Conclusions Orr Appears Prepared To: - process applications regarding safety certification/ safety authorisation - process applications regarding authorisation for placing subsystems into service - perform supervision of safety performance. ORR has established procedures and extensive guidance for 1. Safety certification/safety authorization 2. Supervision of safety performance 3. Authorisation for placing subsystems in service This guidance is available both internal and for the applicants/industry. The implementation of procedures for all three activities was audited at ORR offices in London, York and Manchester. There was evidence that the procedures apply throughout the ORR organisation. ## 2.2 Main Observations 2.2.1 All Three Processes ORR has identified and described procedures to deliver all three activities and related tasks in a structured way. Relevant guidance on how to perform tasks is available for all relevant staff. The implementation of procedures for all three activities was audited at ORR offices in London, York and Manchester. There was evidence that the procedures are transparent and consistently applied throughout the organisation. Furthermore necessary resources, deadlines and milestones to deliver all three activities are in place and internal control is performed on whether these are respected. For performance of the activities experienced staff are used and the necessary competences to deliver tasks are identified and staff are trained. Strengths - ORR has produced (in conjunction with the industry) good and easily accessible guidance documents for both applicants and ORR staff dealing with the different processes. They provide detailed information of the requirements and the way the application will be subject to assessment. - ORR co-operates well with applicants working with them to find new ways of doing things and keeping them informed on future developments - ORR encourage stakeholders to adopt best practice - The processes are consistently applied throughout the organisation - ORR has performed several evaluations involving stakeholders - ORR has very detailed competence requirements for inspectors carrying out inspections and an SMS audit/inspection. Inspectors are trained on inspection and audit techniques and also on what constitutes an effective SMS. - ORR has developed a CMS that partially covers ORR staff undertaking SCA/SP. ORR could consider developing specific competency requirements for the different roles within the SCA/ SP/APS processes. This should include engineers involved in these processes. - ORR should consider having a consistent method of hand over when the account holder changes. The audit team said that there were 2 different cases of hand over: in one case there is overlapping of 4 months, whereas in another case there was no overlapping at all. The new account holder who assessed the application for the safety certificate renewal was not informed about the remedial actions the RU has done after an accident which took place some months before the application of the certificate renewal. ## 2.2.2 Safety Certification And Safety Authorisation Strengths - ORR has written procedures which applies in its organisation; - ORR has detailed manuals detailing what is expected of applicants and inspectors - ORR has published their internal assessment procedure on their website - The use of templates during the assessment process helps ORR to keep track of key decisions - The use of the "ROGS assessment check list" & "the assessment plan calculator" help the Assessment Managers to easy monitor deadlines and take immediate action when required and ORR should consider making these forms mandatory - Procedures are not up to date after the restructuring of ORR & change of IT systems, although there is a project running at the moment to review procedures ## 2.2.3 Supervision Strengths - ORR performs planned supervision and encouraging excellence by applying the Railway Management Maturity Model (RM3 model). This model is used to assess an organisation's ability to achieve excellence by controlling its safety risks. - ORR should consider clarifying and explaining in their manual how the results from the supervision activity are taken into account during the reassessment of a safety certificate/ safety authorisation - ORR has a system interface risk team as part of its planning team to ensure the interface risks are covered across the Network Rail and Transport Undertaking teams. ORR should review this process to see if it is adequately dealing with system safety issues. ORR has a System Interface risk team. That team's role is to look at risk at all interfaces, a key priority is looking at Level Crossing risk, but it does cover other interface risk areas. However ORR should consider evaluating whether, separating Network Rail and Transport undertakings work into discrete units, poses risks to supervising system safety issues and consider improving working arrangements on system safety issues between the different units in a systematic way. ## 2.2.4 Authorisation For Placing In Service Strengths - ORR expects industry to comply with a common format developed through amendment to the NB Rail RFU on the structure of the technical file which is a pan-European requirement. - ORR has developed a checklist to ensure that all the required documentation for On-board GSM- R authorizations has been submitted. - ORR should consider introducing procedures and decision making criteria for identifying a substantial risk in case of APIS for a non TSI conforming vehicle. - ORR should consider having a documented process to ensure continuous improvement of the APIS activities. - There is no process securing a link between post APS and Supervision activities, e.g. how to incorporate supervision of projects that have been awarded an authorization for placing in service. ORR commented here that the CSM SP is a key issue. Audits from engineering point of view and from SMS point of view should be part of their strategy. ## 3 Cross-Audit Process 3.1 Cross-Audit Process & Resources The procedures of the Cross-audit Programme manual have been followed during the whole audit process. The duration of the audit is October 2011 - November 2012. The key steps of the procedure are given here: - The request for establishment of communication was sent on 13/01/2012; - The NSA appointed the contact person on 18/01/2012; - The confirmation letter to conduct the audit was sent on 19/10/2011; - The request for submission of documents was made on 29/11/2011; - Documents were submitted on 19/12/2011; The Kick-off meeting took place on 21/05/2012. The on-site audit lasted 4 days: 18/06/2012 - 21/06/2012. The on-site audit activities included conduct of interviews, review of selected process documentation and cases related to scope of the audit. Additional meetings with the auditee and internal audit meetings were carried out. Meetings with the auditee included entry and closing meeting as well as ad hoc meetings for briefing of the auditee about the progress of the audit. During the 4 days of the on-site audit audits was carried out in the following departments: - Railway Safety - Railway Planning & Performance and at the following locations: - ORR Head Office, London - ORR Office, Manchester - ORR Office, York All interviews but one took place as planned. One interview planed at the ORR office in Manchester was cancelled due to absence of the person planned to be interviewed. Conducted interviews are listed in annex IV. For the entry meeting and closing meeting the following documents were created: - Agenda for the entry meeting; - Agenda for the closing meeting; - Minutes for the entry meeting; - Minutes for the closing meeting; ## 3.2 Cross-Audit Scope & Objectives The audit took place within the pilot audit cycle of the NSA Cross-audit Programme. The objectives of the audit, as described in the Cross-audit Charter is to: - evaluate delivery by NSAs of their duties and responsibilities set out in Directives 2004/49/EC and 2008/57/EC; - exchange knowledge and good practice on NSA processes to facilitate the harmonisation of decision-making criteria as foreseen by Article 17.4 of Directive 2004/49/EC; - identify issues faced by the NSA when applying the requirements of the EU legislation, and possible solutions to keep meeting the requirements of Directive 2004/49/EC. ## The Scope Of The Audit Is To Assess 3 Processes Against The Audit Protocols: - Safety certification/ safety authorisation; - Supervision of safety performance; - Authorisation for placing subsystems in service. The audit protocols were used to assess the three processes. The protocols are divided into the three audited activities. Each activity is split into a number of stages, which cover the process from start to finish. The protocols have three key elements: - The requirement identifiers which are the individual requirements for each activity; - A status for each requirement identifier, which indicates at which degree there is sufficient evidence that the requirement identifier is fulfilled; - A comment for each requirement identifier which is a short summary of key information to support its status. Each set of protocols is split in 5 levels: - Purpose achieved (the desired output is delivered without having identify desired inputs/ outputs, resource requirements, etc); - Performance managed (requirements of inputs/ outputs are identified and reviewed, activities are planned and performance is monitored, responsibilities are defined, resources are identified and are made available); - Process established (a standard process is defined and implemented, the required competencies are identified, personnel performing process is competent, process efficiency is monitored); - Process controlled (measurement results are used to ensure that process performance supports defined business goals); - Process improved (process improvement opportunities are identified based on innovation and good practice). ## 4 Result Of The Cross Audit 4.1 Safety Certification And Safety Authorisation ORR's procedure for safety certification/safety authorization is in line with the steps described in the safety certification/safety authorization protocol. ORR: - has a system to receive applications for safety certification and safety authorisation; - undertakes the first screen of applications and checks if all the required information is included in the application; - undertakes the initial assessment to determine whether they are deficiencies in the content of the application serious enough for it, not to be worth spending further time on; - undertakes the formal assessment to determine compliance against the assessment criteria; - records and confirms its final decision. The objectives of the assessment are: a) to determine whether the SMS meets the requirements of the national legislation and demonstrates the applicant's organizational capability to operate safely; b) to identify points for later inspection after issue of the safety certificate/ safety authorization, during the supervision. Receive application for safety certification or safety authorisation and first screen of application ORR provides guidance to the applicants to understand the requirements for a safety certification/safety authorization application in many ways e.g.: - a number of documents are available on the web site: o the relevant legislation and guidance to the requirements of the legislation "A guide to ROGS"; o the "assessment criteria for safety certificate and authorization applications for mainline railways". This manual describes each criterion and a summary with a list of evidence the applicant is expected to cover; o the "HM Railway Inspectorate safety certificate and authorization assessment manual" is available which provides detailed information on the assessment process. - the Account Holder informs the applicant on what is expected from the application before the submission of the application. In the cases of a certificate/ authorisation renewal there was evidence that Account Holders had explained to the applicant the changes in the assessment criteria since the previous application. - during the assessment in case of identified deficiencies the applicant is informed as soon as possible: the lead assessor documents to the applicant what information is required, by making reference to the relevant assessment criterion. - after the formal assessment a meeting is organized with the applicant where ORR specifies with the applicant what is required by him, agrees with the applicant on what further actions are required and specifies the timeframe for the compliance. All decisions are recorded in COIN/Mosaic. The ORR procedure for safety certification/safety authorization assessment sets deadlines for the intermediate steps of the assessment process. The ORR manual foresees "the assessment plan calculator" and the "assessment checklist", which both help the lead assessor and the Assessment Manager (Account Manager) to monitor the progress of the assessment. ORR could not provide evidence that both of these practices are continuously followed in all cases; the "assessment checklist" according to the manual is not mandatory. There are other means with which the lead assessor informs the Account Manager on the progress of the applications: the monthly meetings. In addition, the audit team was informed that the lead assessor regularly briefs the Account Manager on the progress of an assessment during informal discussions. ORR should consider making the use of the template "assessment checklist" obligatory. This will enable the Account Manager and ORR organisation better to follow the assessment process of safety certificates/safety authorisations. At the time of the audit some roles and responsibilities which are mentioned in the assessment manual do not correspond to the current ORR organogram (e.g. Head of Inspection). When updating the manual ORR should ensure that it reflects the actual structure of the organisation. This will define clear roles and responsibilities and avoid confusions during the implementation of the manual. Initial assessment of the application for deciding on the sufficiency of the application Currently ORR uses the 3rd version of the "HM Railway Inspectorate safety certificate and authorization assessment manual", the first version was published in 2006. ORR's assessment criteria are in line with Regulations 1158/2010 & 1169/2010. ORR revised the assessment criteria after these regulations came into force in 2011. The Account Manager is responsible for managing the application. The Account Manager knows the date of an application by monitoring the expiry dates of the safety certificates/ safety authorisations and by information from the Account Holder during his/her inspections and his/her routine contacts with the RU/IMs. When an application is submitted the Account Manager appoints the lead assessor who will undertake the assessment. The lead assessor is responsible for managing all the steps of the assessment. The role of the lead assessor is usually combined with the role of the Account Holder for the specific RU or IM. The ORR assessment manual makes distinction between major and minor deficiencies, although in the cases which were reviewed there was no such distinction. Formal assessment of the application ORR is independent in its decisions of RU/IM/ affected parties. ORR provides the opportunity to the affected parties to make representation to ORR after the submission of an application. The lead assessor collects all the points raised by the affected parties and takes them into account for the assessment. ORR applications for safety certificates part A and B are in line with Regulation 653/2007. Part A and Part B are assessed and issued together. The assessment of applications for part B certificates is limited to annex III of Commission Regulation 1158/2010. ORR liaises with the NSA Channel Tunnel for part B safety certificates cases. The interviewees who undertake safety certification/safety authorization assessment have a wide experience in Safety Management Systems, Occupational Health and Safety, auditing experience. Furthermore, in some cases ORR assigns experts who undertake the formal assessment of particular topics of the SMS: for example risk assessment expert, issues related to interoperability, level crossings (this was the case in the renewal of Network Rail safety authorization). The lead assessors who were interviewed knew the latest version of the assessment procedure, have used the templates during the assessment and have participated in a training session in June 2011, after the latest changes of the assessment criteria. ORR performs quality checks at the end of the assessment. ORR very much relies on the detailed assessment manual, the guidance with the assessment criteria and the competence of the staff undertaking assessment of safety certification/safety authorization applications. The final check includes a review of the entire application, the quality check of the decisions taken in each step and a check if the process has been followed. In one case, a safety certificate which was the first assessment for the lead assessor, there was evidence of quality checks undertaken by the Account Manager at the end of each step of the assessment. Although the national legislation gives the possibility for ORR to reset the 4 months period after the receipt of supplementary information, it is ORR's policy to meet the four-month deadline (from the end of the period allowed for representations) without resetting the clock. In the cases which were reviewed by the audit team ORR's final decision was within 4 months of receipt of the application. Recording and confirmation of final decision All decisions taken by ORR at the end of each step of the assessment are recorded in COIN/Mosaic (templates: F1S1, F1S2, F2). Furthermore, these templates are also available inside the folder of the application in hard copy. ORR justifies its decisions based on factual evidence from the information included in the application. The lead assessor links each decision to the relevant assessment criterion to ensure applicants understand the reasons for decisions, providing clear reasons why it is not fulfilled and explaining to the applicant what additional information is required. ORR assessment is undertaken at management system level, taking into account the risks, the character and the extent of the operation. ORR issues safety certificates using the format of the Commission Regulation (EC) No 653/2007. The validity of the safety certificates do not exceed 5 years, the type and extend of operation is clearly mentioned and a unique EU Identification Number is given. The safety certificates are notified to ERADIS database and the safety authorisations to ERA Safety Unit. ORR has replaced all safety certificates which were issued according to Directive 2001/14/EC. As part of the formal assessment the lead assessor specifies the areas for follow up inspection after issue of the safety certificate/ safety authorisation. These issues are taken into account for the implementation of the supervision plan. ORR decisions are subject to judicial review. There is a process for appeals on ORR decisions which is made available to the applicants. ORR is going to act as certification body for the ECM certificates. For that, some preparation has already been made: - A number of documents are available on its web site: o The updated guidance to ROGS, o A summary guide for applicants, o The assessment criteria and guidance manual, o The engineering plans for ECM certificates, o The application form. - The "consultation group for entities in charge of maintenance" workshop has been organized with the sector, - A trial assessment has been organised, - At the moment the management of ORR is working to ensure that ORR will have the required resources. A training programme will be organised for the relevant staff. ORR has an internal auditable procedure related to safety certification/safety authorization with clear steps, the "HM Railway Inspectorate safety certificate and authorization assessment manual" (first published version was in 2006). The procedure covers the ORR policy and principles for assessing an application for: - Issuing/ amending/ renew/ revoke a safety certificate/ safety authorisation, - the quality monitoring and improvement arrangements of the assessment process, - the performance standards, the roles/ responsibilities, - the assessment process in detail, - the process assurance and the final decision, - the notification of the final decision, - rules for exceptions, - the procedure for appeals of ORR decisions ## 4.2 Supervision Setting up the supervision activity ORR has developed a strategy (ORR business plan) and plan (annual work plan) for taking forward the supervision activities for checking the safety certificate/authorisation, that the sub-systems are operated and maintained in accordance with the essential requirements including monitoring, promoting, enforcing and developing the regulatory framework. ORR business plan and annual work plan shows how ORR manages its supervision activities. ORR aim to achieve excellence in safety culture and management because it is an essential element of their strategy as they seek to ensure a zero tolerance to industrycaused passenger, workforce and public fatalities, with an ever decreasing overall safety risk. There is also an increased emphasis on occupational health management to ensure the industry's approach demonstrates good practice and also contributes to increased efficiency. As a key driver of the supervision strategy ORR analyses risks across the GB Railways and set down areas of priority risk in ORR's strategy for health and safety risks [http://www.rail-reg.gov.uk/upload/pdf/orr-safetyrisk-strategy.pdf]. The supervision strategy and plan also takes into account existing information from inspection/audit/certification/authorisation and supervising the interoperability systems and other sources such as incidents and accidents investigations, NIB (Rail Accident Investigation Branch (RAIB)) recommendations, Rail Safety and Standards Board (RSSB) recommendations and the outcomes of their risk model and complaints from the duty holders. The supervision plan is mainly driven through the elements of the SMS i.e. over 5 years ORR plans to inspect all SMS elements. ORR plans its activities using information collected from the safety certification/authorisation assessment process, but not from the authorisation to place into service processes. ORR should consider incorporating supervision of projects that have been awarded an authorisation for placing in service. ORR has sufficient resources and allocated staff to undertake the supervision tasks and activities. Usually, there are about 2 - 4 inspections/audits of each duty holder per year. There is a significant resource difference between inspections and audits. ORR supervision activities are prioritised using 3 priority levels (low, medium, high). These levels are established using a risk based approach. ORR also has established internal procedures for agreement within ORR for the supervision plan. ORR has discussed and agreed the priorities with staff involved in the safety certification/authorization assessment, authorisation to place into service and supervision activities to ensure that all key information has been taken into account. ORR has a method (annual work plan and internal procedures) for deciding how the supervision activity will be developed, including the estimation of required resources. ORR uses its limited resources effectively, so it takes into account the risks of the operators on the network against the available staff, their time and budget. Usually every ORR inspector has about 100 days for supervision activities. There is a time management system, when the supervision plan is planned. Thus, every audit/inspection is defined for a time period and how many working days inspector needs to do the audit/inspection. Inspectors use rolling stock, infrastructure and etc. experts from other ORR departments. Mostly, one inspector is responsible for 2 - 4 duty holders. During the inspection/audit normally there are 1-2 inspectors. ORR ensures that the supervision plan includes the identification of key risk activities (9 steps program in business plan). ORR has information from the inspections/audits of the RUs/IMs safety management systems (RM3 model, inspection/audit reports and annual strength & weakness reports) which highlights whether they have any concerns on how they are managing the safety risks. ORR ensures that the supervision activity sets out how the overview of the effectiveness of the regulatory framework will be delivered (business plan). ORR: - monitors through inspections/audits, - promotes through guidance/manuals/workshops, - enforces through prohibitions notices/improvement notices/prosecutions and - develops the Regulatory framework through reviews and recommendations to the Member State (Department for Transport) on how the regulatory framework can be reviewed. ORR has an internal method which sets out an estimate of the number of supervision activities in the supervision plan. ORR identifies the numbers of activities and what they relate to (e.g. inspections/audits/NIB recommendations/enforcement/follow up checks). ORR also relates each supervision activity to their key risk activities. ORR has plans to co-ordinate with other competent authorities such as RSSB and RAIB, the UK National Investigation Body. However, ORR has not developed their co-operation arrangements with other NSAs (except for Channel Tunnel Safety Authority). This cooperation could relate to discussing Part B safety certificates with an NSA who issued a Part A safety certificates and understanding any concerns/issues that have been identified by that NSA (e.g. Eurostar, DB Schenker). ORR ensures feedback for reviewing the supervision plan. ORR review the supervision plan and take into account any changes that may arise following their supervision activities (e.g. complaints/investigations). Every year ORR looks at RU/IM SMS, ORR business plan, all information regarding particular RU/IM and decides what to audit/inspect during the annual year. ORR has developed a structured and auditable process for the setting up and agreeing the plan and priorities. ORR has a clear and structured set of processes applied by all the staff. The decision making is consistent, transparent and targeted. The process should be consistently applied throughout the organisation. The assessment process should be periodically internally reviewed to ensure its continued effectiveness and efficiency. This should also cover whether the process can be followed and ORR undertakes checks to ensure that staff are following it. However, so far the supervision process has not been periodically internally reviewed. Only a line management quality check is done to ensure that staff are following the assessment process. Thus, ORR should consider introducing a formal procedure for reviewing the supervision activities. This notwithstanding ORR is currently developing a quality control programme for supervision activities in their Network Rail unit. Communicating and delivering the plan ORR delivers the supervision activity according to the plan. ORR has internal monitoring procedures for ensuring that the supervision activities identified are implemented. There could be changes in the supervision plan because of limited time caused by other responsibilities: investigation, complaint etc. If the supervision activity is not implemented, it is postponed to the next year's supervision plan with higher priority. ORR does actually take the action it said it will do, particularly in ensuring that the safety performance of the railway system is maintained. Mostly the supervision plan is delivered as planned. ORR is independent in its organisation, legal structure and decision making from the RU, IM and procurement entity. ORR is free to carry out all its tasks and is granted access to all necessary documents, premises, installations and equipment of RUs/IMs (Health & Safety at Work etc Act 1974). Every ORR inspector has a warrant. ORR decisions are subject to judicial review (The Employment Tribunals, Courts). ORR has allocated staff and resources to undertake the supervision task. ORR undertakes enforcement activity with clear justifiable reasons. ORR has a system (Enforcement Management Model) which determines the decision to take any enforcement action such as enforcement notice and/or prosecutions (ranging from the provision of advice to enforcement notices). Generally if there is an issue, there is dialogue with the duty holder. Mostly inspectors issues improvement notices. Inspectors issue improvement notices regarding compliance with the law provisions (e.g. ROGS). Improvement notices or other enforcement notice usually expire after 3 months. ORR has decision making criteria explaining how it deals with non-compliances which are publicly available. ORR has information made available to both RUs/IMs on what they can expect following findings of noncompliances and what the time frame should be. ORR expectations and non-compliances are discussed with the duty holder. The inspector decides the time frame for remedial actions, which is a minimum of 3 weeks, maximum - unlimited. Inspector can extend the improvement notice, if there are justified reasons. If the duty holder fails to comply, then the inspector has to prosecute. Details of non-compliances are written in improvement notices. ORR undertakes enforcement activity in line with published decision making criteria, including transparency criteria. ORR has a system for making decisions to take any enforcement action, including transparent criteria. In particular any proposed enforcement action is proportionate to the risk. Stakeholders are clear of what is required of them and what they can expect from ORR. ORR has published and made freely available clear and transparent information on what a RU and IM need to do in relation to an identified risks or safety concern. ORR also keeps records of their advice and requirements to RUs/IMs. ORR has a structured system for recording and reviewing the supervision activities, how these relate to the risks of the operation and ensuring that safety performance is maintained. ORR has a document management system where they record the supervision activities (Coin, Mosaic). ORR records communications, meetings, reviews and corrective actions. ORR keeps records of how it communicated with the RUs/IMs (on Coin, Mosaic). In particular, how ORR communicated any necessary and specific corrective action to the RU/IM. ORR has regular 3 - 4 liaison meetings per year with each duty holder. The quality of ORR action is monitored and reviewed. There is a line management form of quality check of the work/decisions undertaken. This is structured but relates to checking only the intermediate outputs instead of monitoring the process as such. Also there was a quality check (peer review) of issued improvement notices by inspectors to duty holders. There are means for applicants to appeal against any decision made by ORR and this is communicated to the RU/IM. ORR appeals process is a national legal requirement. ORR informs the RU/IM what subsequent action is taken in relation to the appeal and this is communicated. ORR uses competent staff. The tasks are undertaken by suitably competent persons with the necessary skills, experience, knowledge and training. The quality of the outputs & decisions are monitored at key stages. There is a line management form of quality check of the supervision activity and this is followed through from identification of the safety risk/concern through to the necessary action undertaken. There is guidance for staff on the delivery of the plan. ORR demonstrated that guidance and/or work instructions have been provided to all staff undertaking the supervision activities of what is required of them. ORR promotes and explains the regulatory framework. ORR has their system for promoting the regulatory framework in cooperation with the Department for Transport. ORR provides communication to stakeholders on the wider objectives of supervision. ORR communicates the objectives of their supervision activity to RUs/IMs i.e. what they are trying to achieve and how. ORR does not undertake Assessment Body for CSM on risk assessment or DeBo (assessing NNTRs for Interoperability). Thus, there is no potential for a conflict of interest. However, ORR undertakes other activity which is not part of the Safety Directive - ORR is the Regulatory body, but decisions within ORR are made separately. Outcomes of the supervision plan ORR shares results with the RU/IM (verbally or in writing) regarding the effectiveness of their SMS. ORR informs RUs/IMs of its review of their SMS. ORR is encouraging RUs/IMS to adopt best practice and achieve excellence by applying the RM3 model (management maturity model, good practice). ORR could also consider indicating SMS criteria requirements in ORR RM3 inspection/audit reports to duty holders in order to clarify cross reference between RM3 and SMS. Sufficient resources are available and used. ORR has allocated staff to undertake the task and this is part of their job description. ORR deals with areas of non-compliance using its decision making criteria after the RU/IM has developed and implemented action plans to remedy non-compliances. ORR also monitors the corrective actions that the RU/IM has undertaken. In particular, any necessary changes to the RUs/IMs SMS (RM3 audit/inspection). ORR also does follow up inspections after RU/IM implement action plans to remedy noncompliances. Duty holders are informed that they complied with the requirements of improvement notices. All non-compliances of RU/IM SMS are addressed immediately in the particular SMS audit. ORR has an overview of overall safety performance in the Member State. ORR monitors the overall safety performance of the rail network. The quality of the outputs & decisions are monitored at key stages. There is a line management form of quality check of the supervision activity and this includes ensuring that identification of a safety risk/concern is followed through to checking that necessary action is undertaken. Reviewing supervision activities ORR assesses the suitability and sufficiency of the supervision activities. ORR reviews and revises their supervision activities in particular to ensure that action is targeted at the areas which create the most risks. Sufficient resources are available and used. ORR has allocated staff to undertake the task and this is part of their job. ORR also has sufficient resources to undertake the tasks. ORR has a system for checking the outcomes of each of the activities i.e. whether the activities have had the desired result in maintaining the safety performance. There is an internal process for making changes based on the results. The outcomes of each of the supervision activities are reported in the audit/inspection reports and in the annual strength & weakness reports of supervision activities of particular RU/IM. There is a process for ORR to make any necessary recommendations to the Member State to overcome any deficiencies in the regulatory framework. ORR communicates to the MS any problems that they have found with the current regulatory framework and what improvements, if any, should be made. The Department for Transport is responsible for drafting national legislation, but ORR is always involved in consultation processes. Information shared between NSAs should be taken into account. ORR could not provide evidence of how they systematically take into account any information from other NSAs, in their supervision activities including revising the types of activities if risks have increased. There is a means by which relevant information is taken on from stakeholders. ORR systematically takes into account any complaint from RUs/IMs or any risks/problems identified by them if they can adversely affect the safety performance of the rail system. Stakeholders concerns are addressed during the supervision. Also there is an Advisory group established between ORR and the stakeholders which meets twice per year. The quality of ORR action is monitored and reviewed. There is a line management form of quality check of the process review and this includes ensuring that identification of a concern is followed through to checking that necessary action is undertaken. Review should be undertaken of all supervision activities, including both planned and unplanned to assess whether resources are correctly allocated. ORR has a clear and structured process for how it undertakes the review of all its activities, including taking into account any risks identified during the supervision activity. ORR also provided evidence of how they allocate resources if there are additional areas which require effort. Recommendations and/or lessons learned from accidents are taken into account and implemented in the revised supervision plan. ORR takes into account recommendations and lessons learned from accidents both from recommendations from NIB and notifications from RUs/IMs. Linking supervision plan to the reassessment The results from the supervision activity should be linked to the reassessment of safety certificates/ the issuing of authorisations and the prioritisation of those activities. ORR does not take into account any information on the safety performance of the RUs/IMs into any amendment or replacement of safety certificates/authorisations. ORR does the reassessment only by checking the SMS through the assessment criteria (EU regulation 1158/2010 and 1169/2010). All results from the supervision activities are dealt at that time of the audit i.e. then the reassessment is done, SMS is completely checked in supervision and all necessary changes in the SMS are implemented during audit of SMS. There is a means of communication between the staff responsible for supervision and those for assessment. ORR staff involved in the different activities share key information which could affect the decisions in the activities. In most cases, the same person is responsible for assessment of SCA and taking the SP activities. However, ORR should consider having a consistent method of hand over when the account holder changes. There were 2 different cases of hand over observed: in one case there was overlapping of 4 months, whereas in another case there was no overlapping at all. The new account holder who assessed the application for the safety certificate renewal was not informed by previous account holder about the remedial actions the RU has done after an accident which took place some months before the application of the certificate renewal. There is a process for recording communications, meetings, reviews and corrective actions. ORR has records of how it managed communications with the RUs/IMs. In particular, how ORR communicated any necessary and specific corrective action. Corrective actions are agreed and closed out. ORR ensures that the corrective actions that the RU/IM has been asked to undertake have been closed out. ORR should co-operate and co-ordinate with other NSAs, where appropriate. ORR is participating at the NSAs Network meetings, ERA working groups and ILGGRI (informal cooperation of NSAs).However, ORR should consider developing co-operation arrangements with other NSAs in terms of supervision activities. This should cover discussing Part B certificates with the relevant Part A-issuing NSA and understanding any concerns/issues that have been identified by that NSA. It should also cover issues where there are breaches of safety requirements and how any action will be co-ordinated across a number of NSAs or other competent authorities (i.e. those responsible for the health and safety of those who work in the rail sector). The quality of ORR action is monitored and reviewed. There is a quality check of how successfully supervision activity is linked to reassessment. , although this could be better explained in the ORR manual. There is a process for applicants appealing against any decision made by ORR and this is communicated to the RU/IM. ORR has an appeal process which is a national legal requirement. ORR informs the RU/IM, what subsequent action was taken in relation to the appeal and how each step is communicated. ## 4.3 Authorisation For Placing Subsystems In Service The Department for Transport (Department for Transport) is the policy lead for interoperability in the UK. The Interoperability and Standards Team parallels this role for ORR. Authorisation for placing in service is regulated in the UK by the Railways (Interoperability) Regulations 2011 No. 3066 (Department for Transport 00416) (RIR). In the case of major upgrades and renewals it is the role of Department for Transport to decide if and when an authorisation is needed, Department for Transport can consult ORR in this process. Due to different reasons the number of application for authorisation for both infrastructure subsystems and for vehicles are relatively low. ORR has been given the powers to enforce the RIR and it is Railway Planning and Performance engineers - working with assessing applications for authorisation. The audit did not include activities outside ORR, thus activities under the responsibility of Department for Transport have not been assessed and is not included in this report. ORR published the draft of National Legal Framework to facilitate applicants to know about the rules in UK ORR takes part in BeNeFLuCh Geographical Interest Group works whose task is categorization of the national technical rules applicable in APS process. Receive complete application from the applicant for an authorisation to place into service ORR has a policy for early involvement in project for authorisation to place into service, this is to avoid surprises and delays caused by the approval process. In the cases reviewed during the audit there was extensive evidence of communication with both the applicant and the notified body (NoBo) in question prior to the actual application. ORR provides guidance for the applicants in published guidance and in direct communication in the early stages of the project. The persons involved in the assessment of the applications have had internal training and extensive guidance is available. Screen of application for authorisation As a tool to secure a full and uniform level of screening of the applications ORR has developed a checklist for the entire process (Recommendation pro forma for authorisation for placing in service (APIS)). To support this one of the interviewees had developed a checklist to ensure that all the required documentation for On-board GSM-R authorizations has been submitted. The different authorisation possibilities are defined in RIR, but only a few have been in use until now. All documentation and decisions are registered (COIN/Mosaic). In the reviewed cases, ORR had been involved at an early stage, securing the application was complete at the time of applying. This, in fact, also provided a very smooth and fast assessment of the applications. Authorisation to place into service ORR is independent in its decision making from the contracting entity. This is supported both in the legal status of ORR and the organisation of the authorisation process. Due to the early involvement the contacting entity is readily informed if further information is needed. In all the cases reviewed, the decisions taken by ORR were well-argued and proportional. The time frame for assessment counted from the time of receiving the application to the time for granting the authorisation for placing in service was from 1 day to 4 weeks in the reviewed cases. Generally it only takes a few days, indicating that even though the assessors were busy the allocated resources for this task seemed sufficient. In all the cases reviewed there was evidence of applying the rules from TSI's and NNTR using the pro forma. There were not, in any of the reviewed cases, signs of demands outside these rules. ORR does not act as an assessment body for CSM on risk assessment or designated body for assessing notified national technical rules (NNTR). To facilitate the application and authorisation process ORR has, in association with the industry, encouraged the development of the use of generic technical files through NB Rail and the RFU process. Additional authorisations to place vehicles into service RIR contains rules applicable for additional authorisation, but there were not any examples of an application for this. ORR could not demonstrate that criteria defining a substantial safety risk has been identified. Recording and confirmation to the applicant of the final decision on authorisation to place into service The process for finalizing the authorisation for placing in service is documented and followed as intended in all the reviewed cases. This includes the notification to the National Vehicle Register, which is performed by the administrative staff. Issues that are relevant for supervision activities are identified, but there was no evidence of process or examples that this actually takes place. The quality of the output and decisions are monitored, but the process of authorisation for placing in service is not assessed and evaluated in a systematic way. ## 4.4 Conclusions On The Business Level ORR has established a Competence Management System (CMS). The CMS includes required competences for SCA/SP activities, but not for APS. The competence criteria are taken into account for the selection and recruitment of the ORR staff. There are training plans in place for all staff and internal training is established e.g. RM3, SMS criteria. The CMS includes annual self-assessment review for all staff. ORR has an IT system for self-assessment questionnaire (good practice). ORR has very detailed competence requirements for inspectors carrying out inspections. So far, there is not a process for the ORR to verify the effectiveness of the CMS. ORR has established project activities together with the industry e.g. staff from Network Rail come to the ORR for 5 months. When they have accomplished the project, they go back to Network rail. This works also the other way around. The ORR does not undertake Assessment Body for CSM on risk assessment or DeBo (assessing NNTRs for Interoperability). Thus, there is no potential for a conflict of interest. However, the ORR undertakes other activity which is not part of the Safety Directive - the ORR is the Regulatory body, but decisions within the ORR are made separately. In matters concerning regulation ORR Interoperability and Standards Team has a close cooperation with Department for Transport, who represent the Member State regarding interoperability. This cooperation ensuresthat if any non-compliance with essential requirements should be revealed the Commission would be notified. The three processes should be periodically internally reviewed to ensure their continued effectiveness and efficiency. This should also cover whether the process can be followed and that ORR undertakes checks to ensure that staff are following it. However, so far the processes have not been periodically internally reviewed. Nevertheless, ORR has taken measures to ensure that the 3 processes are applied consistently within its organisation: Line management quality checks are undertaken to ensure that staff are following the assessment process. There have been peer reviews conducted, but there is no formal written procedure for internal audit or other form of high level evaluation of these three processes. This notwithstanding the ORR is currently developing a quality control programme for supervision activities in their Network Rail unit. ORR is working closely with Department for Transport. The Department for Transport drafts laws, but ORR is consulted. ORR does reviews of the regulatory framework to remove unnecessary administrative burdens. ORR has consultations with the stakeholders to secure that the legal requirements are reasonable and necessary. Mostly impact assessment is done and there should be justified reasons whether legal requirements are necessary. An advisory group has been established and meets twice per year (ORR and stakeholders). Supervision regularly discussed within the ORR e.g. RM3 findings are reported to the ORR board. Also, there is a Safety regulatory committee. ORR has a long term vision settled in the strategy that nobody gets killed and health problems and injuries are continuously reduced within the railway. ORR wants industry to be excellent in the management of safety risks and the management of business. For this purpose ORR has developed the RM3 model to assess management capability in the industry. The model is used to evaluate the performance of a company compared to a set of criteria tailored specifically for the railways. ## 5 Final Conclusion Based On Factual Evidence Which Was Made Available During The On-Site Audit The Audit Team Reaches The Following Conclusion: Orr Is Carrying Out Its Tasks Required By The Article 16.2 Of The Safety Directive In An Open, Nondiscriminatory And Transparent Way. In Particular Orr Has A Range Of Procedures And Guidance In Place To Deliver The Tasks Of A Nsa Set Out In Article 16.2 Of The Safety Directive. This Audit Report Does Not Provide A Maturity Level Of Each Audited Process As Requested In The Cross-Audit Manual Version 07. The Audit Team Believes That A Cross-Audit Is A Learning Process For Both The Auditee And The Audit Team And What Is Most Important Is To Highlight The Strengths Of The Audited Nsa And The Scope For Improvement Items, Which Will Be Used By The Auditee For Further Improvement Of Its Processes. 6 Confidentiality Statement The intermediate audit report has been developed for the purpose of the audit of ORR. All the included information should remain confidential within the audit team and the recipients of the report. For this reason, after its revision by the APM, the intermediate audit report is disclosed to the audited contact person. Then, the audited contact person shall submit the report to the recipients of the distribution list, provided by the audited NSA [annex VI]. ## Table Of Annexes \| Number \| Description of the Annexes \| \|-----------\|-----------------------------------------------------------------------------\| \| I \| List of attendants in the kick-off meeting, entry meeting & closing meeting \| \| II \| Audit plan \| \| III \| Completed cross-audit protocols \| \| IV \| List of conducted interviews \| \| V \| Communication of the audit interim report \| \| VI \| Table with abbreviations \| \| \| \| ## Annex I: List Of Attendants The attendants at the Kick-off meeting are listed here [KOM] The attendants at the Entry meeting are listed here [Entry] The attendants at the closing meeting are listed here [Closing] The audit team members are listed here [Audit team] ## Annex Ii: Audit Plan You can see the audit plan here [Audit plan] ## Annex Iv: List Of Conducted Interviews \| Item \| Location \| Interviewee \| Audit team \| Date \| \|--------------------------------------------------\|-------------\|----------------\|---------------\|------------\| \| Safety certification/authorisation, processes \| London \| ORR 1 \| A \| 18/06/2012 \| \| Authorisation for placing in service, processes \| London \| ORR 2 \| A1 \| 18/06/2012 \| \| Case: Safety authorisation, Infrastructure \| \| \| \| \| \| manager \| \| \| \| \| \| London \| ORR 3 \| A2 \| 18/06/2012 \| \| \| Case: Safety certification, railway undertaking, \| \| \| \| \| \| freight \| \| \| \| \| \| York \| ORR 4 \| A1 \| 19/06/2012 \| \| \| Case: Supervision, Infrastructure manager \| York \| ORR 5 \| A1 \| 19/06/2012 \| \| Case: Authorisation for placing in service \| York \| ORR 6 \| A1 \| 19/06/2012 \| \| Case: Authorisation for placing in service \| York \| ORR 7 \| A1 \| 19/06/2012 \| \| Case: Safety certification and supervision, \| \| \| \| \| \| railway undertaking \| \| \| \| \| \| Manchest \| \| \| \| \| \| er \| \| \| \| \| \| ORR 8 \| A2 \| 19/06/2012 \| \| \| \| Competencies \| London \| ORR 9 \| A \| 20/06/2012 \| \| Case: Safety certification and supervision, \| \| \| \| \| \| railway undertaking \| \| \| \| \| \| London \| ORR 10 \| A2 \| 20/06/2012 \| \| \| Case: Safety certification and supervision, \| \| \| \| \| \| railway undertaking \| \| \| \| \| \| London \| ORR 11 \| A2 \| 20/06/2012 \| \| \| Case: Supervision, Infrastructure manager \| London \| ORR 12 \| A1 \| 20/06/2012 \| \| Case: Supervision, Infrastructure manager \| London \| ORR 13 \| A1 \| 20/06/2012 \| \| Legal frame work \| London \| ORR 14 (& 12) \| A \| 21/06/2012 \| A: Adam Owsianik, Antanas Dubikaitis, Eleni Douvi, Leif Funch A1: Adam Owsianik, Leif Funch A2: Antanas Dubikaitis, Eleni Douvi Persons interviewed [Interviewee] ## Annex Vi: Terms/ Abbreviations \| Abbreviation \| Meaning \| \|-----------------\|-----------------------------------------------\| \| CSM \| Common Safety Method(s) \| \| CST \| Common Safety Targets \| \| EC \| European Community \| \| ERA \| European Railway Agency \| \| IM \| Infrastructure Manager(s) \| \| IOPD \| Interoperability Directive \| \| ISA \| Independent Safety Authority \| \| NoBo \| Notified Body \| \| DeBo \| Designated Body \| \| NSA \| National Safety Authority \| \| RU \| Railway Undertaking(s) \| \| SD \| Railway Safety Directive \| \| SU \| Safety Unit of the European Railway Agency \| \| TSI \| Technical Specifications for Interoperability \|	en
4526-pdf	\| Department Family \| Entity \| Date Paid \| Expense Type \| Expense Area \| Supplier \| Transaction Reference \| \|---------------------------------------\|---------------------------------------\|------------------------------------\|-------------------------------\|--------------------------------------------\|------------\|-------------------------\| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 23/03/2018 BALANCE SHEET \| IT ADDITIONS \| AMICA TECHNOLOGY LTD \| 1150239 \| 26,534.14 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 14/03/2018 BALANCE SHEET \| STOCKS FINISHED GOODS \| BAYER PLC \| 1144008 \| 104,880.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 27/03/2018 BALANCE SHEET \| STOCKS FINISHED GOODS \| BAYER PLC \| 1151252 \| 104,880.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 23/03/2018 BALANCE SHEET \| NONRES BLDG ADDS PURCHASED \| BCS ELECTRICS LTD \| 1144943 \| 36,000.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 23/03/2018 BALANCE SHEET \| NONRES BLDG ADDS PURCHASED \| CLASSIC LIFTS \| 1144950 \| 32,200.56 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 27/03/2018 PFI ACCOUNTING \| UNITARY PAYMENT \| CONSORT HEALTHCARE (MID YORKSHIRE) LTD \| 1147055 \| 3,983,496.20 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 07/03/2018 DDH UTILITIES & RATES \| GAS \| CORONA ENERGY RETAIL 4 LTD \| 1142610 \| 1,330.40 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 07/03/2018 DDH UTILITIES & RATES \| GAS \| CORONA ENERGY RETAIL 4 LTD \| 1142610 \| 40,248.21 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 07/03/2018 DDH UTILITIES & RATES \| GAS \| CORONA ENERGY RETAIL 4 LTD \| 1142610 \| 63.35 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 23/03/2018 DDH UTILITIES & RATES \| GAS \| CORONA ENERGY RETAIL 4 LTD \| 1147501 \| (1,330.40) \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 23/03/2018 DDH UTILITIES & RATES \| GAS \| CORONA ENERGY RETAIL 4 LTD \| 1147501 \| (40,311.56) \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 23/03/2018 DDH UTILITIES & RATES \| GAS \| CORONA ENERGY RETAIL 4 LTD \| 1147502 \| 1,325.63 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 23/03/2018 DDH UTILITIES & RATES \| GAS \| CORONA ENERGY RETAIL 4 LTD \| 1147502 \| 40,165.99 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 23/03/2018 DDH UTILITIES & RATES \| GAS \| CORONA ENERGY RETAIL 4 LTD \| 1147520 \| 1,284.78 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 23/03/2018 DDH UTILITIES & RATES \| GAS \| CORONA ENERGY RETAIL 4 LTD \| 1147520 \| 38,812.38 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 23/03/2018 BALANCE SHEET \| IT ADDITIONS \| DAISY COMMUNICATIONS LTD \| 1146809 \| 5,316.48 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 23/03/2018 BALANCE SHEET \| SOFTWARE ADDITIONS PURCHASED \| DAISY COMMUNICATIONS LTD \| 1146809 \| 29,901.88 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 23/03/2018 BALANCE SHEET \| IT ADDITIONS \| DELL CORPORATION LTD \| 1145833 \| 28,984.08 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 23/03/2018 DDH UTILITIES & RATES \| ELECTRICITY \| EDF ENERGY LTD \| 1132339 \| 1,777.14 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 23/03/2018 DDH UTILITIES & RATES \| ELECTRICITY \| EDF ENERGY LTD \| 1132339 \| 69,663.29 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 23/03/2018 DDH UTILITIES & RATES \| ELECTRICITY \| EDF ENERGY LTD \| 1132339 \| 795.85 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 23/03/2018 DDH UTILITIES & RATES \| ELECTRICITY \| EDF ENERGY LTD \| 1140582 \| 1,801.89 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 23/03/2018 DDH UTILITIES & RATES \| ELECTRICITY \| EDF ENERGY LTD \| 1140582 \| 70,617.07 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 23/03/2018 DDH UTILITIES & RATES \| ELECTRICITY \| EDF ENERGY LTD \| 1140582 \| 661.66 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 23/03/2018 BALANCE SHEET \| IT ADDITIONS \| EPATON LTD \| 1144223 \| 90,000.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 14/03/2018 INFORMATION TECHNOLOGY \| EXTERNAL CONSULTANCY FEES \| GARTNER UK LTD \| 1142159 \| 33,780.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 05/03/2018 AGENCY HOLDING CODE \| AGENCY OTHER MEDICAL \| HCL DOCTORS \| 1142837 \| 10,819.20 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 05/03/2018 AGENCY HOLDING CODE \| AGENCY OTHER MEDICAL \| HCL DOCTORS \| 1142837 \| 105,625.43 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 05/03/2018 AGENCY HOLDING CODE \| AGENCY OTHER MEDICAL \| HCL DOCTORS \| 1144667 \| 11,152.90 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 05/03/2018 AGENCY HOLDING CODE \| AGENCY OTHER MEDICAL \| HCL DOCTORS \| 1144667 \| 89,849.46 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 14/03/2018 AGENCY HOLDING CODE \| AGENCY OTHER MEDICAL \| HCL DOCTORS \| 1146332 \| 12,718.75 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 14/03/2018 AGENCY HOLDING CODE \| AGENCY OTHER MEDICAL \| HCL DOCTORS \| 1146332 \| 86,265.47 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 19/03/2018 AGENCY HOLDING CODE \| AGENCY OTHER MEDICAL \| HCL DOCTORS \| 1148255 \| 9,791.90 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 19/03/2018 AGENCY HOLDING CODE \| AGENCY OTHER MEDICAL \| HCL DOCTORS \| 1148255 \| 56,019.53 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 23/03/2018 AGENCY HOLDING CODE \| AGENCY OTHER MEDICAL \| HCL DOCTORS \| 1149968 \| 7,431.25 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 23/03/2018 AGENCY HOLDING CODE \| AGENCY OTHER MEDICAL \| HCL DOCTORS \| 1149968 \| 54,939.55 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 14/03/2018 BALANCE SHEET \| STOCKS FINISHED GOODS \| HEALTHCARE AT HOME LTD \| 1143579 \| 108,480.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 23/03/2018 BALANCE SHEET \| AUC ADDITIONS \| H E BARNES ELECTRICAL LTD \| 1148069 \| 192,690.86 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 23/03/2018 BALANCE SHEET \| STOCKS FINISHED GOODS \| HUGH STEEPER LTD \| 1145254 \| 74,547.96 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 23/03/2018 BALANCE SHEET \| STOCKS FINISHED GOODS \| HUGH STEEPER LTD \| 1145254 \| 6,262.18 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 27/03/2018 INFORMATION TECHNOLOGY \| COMPUTER MAINTENANCE \| INHEALTHCARE \| 1143671 \| 24,000.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 23/03/2018 MYH TELECOMS \| DATA LINES \| KCOM \| 1147912 \| 27,348.73 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 27/03/2018 DDH UTILITIES & RATES \| BUSINESS RATES \| KIRKLEES COUNCIL \| 1151391 \| 72,964.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 19/03/2018 GRAPHIC DESIGN \| CONTR PHOTOCOPIER RENTAL \| KONICA MINOLTA BUSINESS SOLUTIONS EAST LTD \| 1133382 \| 25,992.20 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 14/03/2018 MYHT FINANCE TEAM \| AUDIT FEES: STATUTORY \| KPMG LLP \| 1147880 \| 42,643.20 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 12/03/2018 BALANCE SHEET \| STOCKS FINISHED GOODS \| LLOYDS PHARMACY LTD \| 1141156 \| 557,826.64 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 27/03/2018 BALANCE SHEET \| STOCKS FINISHED GOODS \| LLOYDS PHARMACY LTD \| 1146839 \| 493,789.45 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 27/03/2018 SITE ESTATES MANAGEMENT \| ENGINEERING CONTRACTS \| MICAD SYSTEMS UK LTD \| 1148065 \| 31,177.44 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 23/03/2018 BALANCE SHEET \| MEDICAL EQUIP ADDITIONS PURCH \| MINDRAY (UK) LTD \| 1144209 \| 35,640.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 23/03/2018 BALANCE SHEET \| MEDICAL EQUIP ADDITIONS PURCH \| MINDRAY (UK) LTD \| 1144564 \| 104,564.40 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 23/03/2018 GENERAL OFFICE PGH \| POSTAGE & CARRIAGE \| NEOPOST LTD \| 1151526 \| 35,000.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 14/03/2018 BLOOD SERVICE TRUSTWIDE \| BLOOD PRODUCTS \| NHS BLOOD AND TRANSPLANT \| 46357 \| 125,927.58 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 14/03/2018 BLOOD SERVICE TRUSTWIDE \| BLOOD PRODUCTS \| NHS BLOOD AND TRANSPLANT \| 46358 \| 40,305.83 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 21/03/2018 BALANCE SHEET \| ERET PROVN STAFF UTILISN >1YR \| NHS BUSINESS SERVICES AUTHORITY \| 45935 \| 202,041.14 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 22/03/2018 BALANCE SHEET \| ERET PROVN STAFF UTILISN >1YR \| NHS BUSINESS SERVICES AUTHORITY \| 45935 \| 101,020.57 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 05/03/2018 NHSP HOLDING ACCOUNT \| NHSP BANK CONTROL \| NHS PROFESSIONALS LTD \| 1142133 \| 106,342.90 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 05/03/2018 NHSP HOLDING ACCOUNT \| NHSP BANK CONTROL \| NHS PROFESSIONALS LTD \| 1142133 \| 3,144.25 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 07/03/2018 NHSP HOLDING ACCOUNT \| NHSP AGENCY CONTROL \| NHS PROFESSIONALS LTD \| 1142839 \| 150,550.97 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 12/03/2018 NHSP HOLDING ACCOUNT \| NHSP AGENCY CONTROL \| NHS PROFESSIONALS LTD \| 1144664 \| 46,666.67 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 14/03/2018 NHSP HOLDING ACCOUNT \| NHSP BANK CONTROL \| NHS PROFESSIONALS LTD \| 1144816 \| 124,025.15 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 14/03/2018 NHSP HOLDING ACCOUNT \| NHSP BANK CONTROL \| NHS PROFESSIONALS LTD \| 1144816 \| 3,767.36 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 14/03/2018 NHSP HOLDING ACCOUNT \| NHSP AGENCY CONTROL \| NHS PROFESSIONALS LTD \| 1144821 \| 189,123.60 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 19/03/2018 NHSP HOLDING ACCOUNT \| NHSP AGENCY CONTROL \| NHS PROFESSIONALS LTD \| 1145746 \| 71,759.78 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 21/03/2018 NHSP HOLDING ACCOUNT \| NHSP FIXED FEE CONTROL \| NHS PROFESSIONALS LTD \| 1146333 \| 45,000.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 23/03/2018 NHSP HOLDING ACCOUNT \| NHSP BANK CONTROL \| NHS PROFESSIONALS LTD \| 1147533 \| 158,646.86 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 23/03/2018 NHSP HOLDING ACCOUNT \| NHSP AGENCY CONTROL \| NHS PROFESSIONALS LTD \| 1148256 \| 172,077.65 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 23/03/2018 NHSP HOLDING ACCOUNT \| NHSP AGENCY CONTROL \| NHS PROFESSIONALS LTD \| 1149970 \| 222,431.97 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 07/03/2018 BALANCE SHEET \| NONNHS TRADE CR < 1 YR \| NHS SUPPLY CHAIN \| 46114 \| 40,109.14 \| \|-----------------------------------------\|-----------------------------------------\|--------------------------------------------------------------------\|----------------------------------------\|----------------------------------------\|-----------\|-------------\| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 07/03/2018 BALANCE SHEET \| NONNHS TRADE CR < 1 YR \| NHS SUPPLY CHAIN \| 46115 \| 147,371.11 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 14/03/2018 BALANCE SHEET \| NONNHS TRADE CR < 1 YR \| NHS SUPPLY CHAIN \| 46204 \| 30,167.61 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 14/03/2018 BALANCE SHEET \| NONNHS TRADE CR < 1 YR \| NHS SUPPLY CHAIN \| 46207 \| 164,231.41 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 21/03/2018 BALANCE SHEET \| NONNHS TRADE CR < 1 YR \| NHS SUPPLY CHAIN \| 46297 \| 39,673.97 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 21/03/2018 BALANCE SHEET \| NONNHS TRADE CR < 1 YR \| NHS SUPPLY CHAIN \| 46298 \| 165,160.93 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 21/03/2018 BALANCE SHEET \| NONNHS TRADE CR < 1 YR \| NHS SUPPLY CHAIN \| 46384 \| 35,835.80 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 21/03/2018 BALANCE SHEET \| NONNHS TRADE CR < 1 YR \| NHS SUPPLY CHAIN \| 46385 \| 168,186.84 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 21/03/2018 BALANCE SHEET \| NONNHS TRADE CR < 1 YR \| NHS SUPPLY CHAIN \| 46447 \| 32,956.31 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 21/03/2018 BALANCE SHEET \| NONNHS TRADE CR < 1 YR \| NHS SUPPLY CHAIN \| 46452 \| 164,942.19 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 21/03/2018 BALANCE SHEET \| MEDICAL EQUIP ADDITIONS PURCH \| NHS SUPPLY CHAIN \| 46487 \| 31,637.52 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 21/03/2018 TRUST MEDICAL PHYSICS \| X-RAY EQUIP MAINT/REPAIR \| NHS SUPPLY CHAIN \| 46504 \| 54,134.66 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 21/03/2018 TRUST MEDICAL PHYSICS \| X-RAY EQUIP MAINT/REPAIR \| NHS SUPPLY CHAIN \| 46504 \| 3,258.39 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 22/03/2018 BALANCE SHEET \| NONNHS TRADE CR < 1 YR \| NHS SUPPLY CHAIN \| 46544 \| 34,468.18 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 22/03/2018 BALANCE SHEET \| NONNHS TRADE CR < 1 YR \| NHS SUPPLY CHAIN \| 46548 \| 173,464.99 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 22/03/2018 BALANCE SHEET \| NONNHS TRADE CR < 1 YR \| NHS SUPPLY CHAIN \| 46631 \| 37,295.08 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 22/03/2018 BALANCE SHEET \| NONNHS TRADE CR < 1 YR \| NHS SUPPLY CHAIN \| 46632 \| 166,348.96 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 12/03/2018 PROGRAMME MANAGEMENT OFFICE \| COURSE FEES \| NORTH EAST TRANSFORMATION SYSTEM LTD \| 1142589 \| 25,008.72 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 27/03/2018 A&E PGH & PGI \| AGENCY OTHER MEDICAL \| NORTHERN HEALTH LTD \| 1148288 \| 46,500.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 14/03/2018 BALANCE SHEET \| STOCKS FINISHED GOODS \| NOVARTIS PHARMACEUTICALS UK LTD \| 1139350 \| 80,234.88 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 23/03/2018 BALANCE SHEET \| STOCKS FINISHED GOODS \| NOVARTIS PHARMACEUTICALS UK LTD \| 1141490 \| 81,557.26 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 23/03/2018 BALANCE SHEET \| STOCKS FINISHED GOODS \| NOVARTIS PHARMACEUTICALS UK LTD \| 1145280 \| 106,848.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 27/03/2018 BALANCE SHEET \| STOCKS FINISHED GOODS \| NOVARTIS PHARMACEUTICALS UK LTD \| 1151199 \| 117,165.02 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 21/03/2018 BALANCE SHEET \| MEDICAL EQUIP ADDITIONS PURCH \| OPTIMA MEDICAL LTD \| 1140823 \| 101,857.50 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 05/03/2018 SLEEP SERVICE \| MED & SURG EQUIP \| PHILIPS RESPIRONICS \| 1139521 \| 30,240.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 12/03/2018 SLEEP SERVICE \| MED & SURG EQUIP \| PHILIPS RESPIRONICS \| 1139523 \| 33,502.99 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 07/03/2018 SLEEP SERVICE \| MED & SURG EQUIP \| PHILIPS RESPIRONICS \| 1140310 \| 35,100.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 14/03/2018 SLEEP SERVICE \| MED & SURG EQUIP \| PHILIPS RESPIRONICS \| 1142404 \| 30,002.16 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 07/03/2018 AGENCY HOLDING CODE \| AGENCY OTHER MEDICAL \| QX LIMITED \| 1147372 \| 115,812.43 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 14/03/2018 AGENCY HOLDING CODE \| AGENCY OTHER MEDICAL \| QX LIMITED \| 1149327 \| 143,941.25 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 22/03/2018 AGENCY HOLDING CODE \| AGENCY OTHER MEDICAL \| QX LIMITED \| 1150790 \| 183,782.97 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 28/03/2018 AGENCY HOLDING CODE \| AGENCY OTHER MEDICAL \| QX LIMITED \| 1153297 \| 165,282.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 14/03/2018 ANTI COAGULATION TRUSTWIDE \| LABORATORY REAGENTS \| ROCHE DIAGNOSTICS LTD \| 1138442 \| 36,392.30 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 21/03/2018 ANTI COAGULATION TRUSTWIDE \| LABORATORY REAGENTS \| ROCHE DIAGNOSTICS LTD \| 1140429 \| 38,173.51 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 14/03/2018 ANTI COAGULATION TRUSTWIDE \| LABORATORY REAGENTS \| ROCHE DIAGNOSTICS LTD \| 1140801 \| (36,392.30) \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 23/03/2018 BALANCE SHEET \| STOCKS FINISHED GOODS \| ROCHE PRODUCTS LTD \| 1141182 \| 29,144.57 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 23/03/2018 BALANCE SHEET \| STOCKS FINISHED GOODS \| ROCHE PRODUCTS LTD \| 1141921 \| 49,279.20 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 23/03/2018 BALANCE SHEET \| STOCKS FINISHED GOODS \| ROCHE PRODUCTS LTD \| 1142646 \| 36,045.96 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 21/03/2018 INFORMATION TECHNOLOGY \| COMPUTER MAINTENANCE \| SOFTCAT LTD \| 1139866 \| 22,201.18 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 22/03/2018 BALANCE SHEET \| PREPAYMENT < 1 YEAR \| SOUTH WEST YORKSHIRE PARTNERSHIP \| 45700 \| 47,353.34 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 22/03/2018 BALANCE SHEET \| PREPAYMENT < 1 YEAR \| SOUTH WEST YORKSHIRE PARTNERSHIP \| 47086 \| 34,483.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 14/03/2018 UROLOGY PGH \| MED & SURG MAINT CONTRACT \| STORZ MEDICAL UK LTD \| 1140023 \| 24,000.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 14/03/2018 FACILITIES DDH \| EXT CONTR LAUNDRY \| SYNERGY HEALTH (UK) LTD \| 1138877 \| 30,306.81 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 23/03/2018 FACILITIES DDH \| EXT CONTR LAUNDRY \| SYNERGY HEALTH (UK) LTD \| 1145913 \| 23,110.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 07/03/2018 BLOOD SCIENCES NON PAY \| LABORATORY REAGENTS \| SYSMEX UK LTD \| 1138665 \| 176,419.09 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 29/03/2018 BLOOD SCIENCES NON PAY \| LABORATORY REAGENTS \| SYSMEX UK LTD \| 1146085 \| 195,600.84 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 05/03/2018 RADIOLOGY MEDICAL STAFFING \| OTHER PUBLIC SECTOR \| TELEMEDICINE CLINIC LTD \| 1142253 \| 43,940.30 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 22/03/2018 ONCOLOGY TRUSTWIDE \| CONSULTANT \| THE LEEDS TEACHING HOSPITALS NHS TRUST \| 43990 \| 38,919.75 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 22/03/2018 PATHOLOGY MANAGEMENT TRUSTWIDELABORATORY EXTERNAL TESTS \| THE LEEDS TEACHING HOSPITALS NHS TRUST \| 44649 \| 40,598.49 \| \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 22/03/2018 PATHOLOGY MANAGEMENT TRUSTWIDELABORATORY EXTERNAL TESTS \| THE LEEDS TEACHING HOSPITALS NHS TRUST \| 45759 \| 41,981.07 \| \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 22/03/2018 RADIOLOGY MEDICAL STAFFING \| SPECIALIST REGISTRAR \| THE LEEDS TEACHING HOSPITALS NHS TRUST \| 45835 \| 25,531.61 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 22/03/2018 ONCOLOGY TRUSTWIDE \| CONSULTANT \| THE LEEDS TEACHING HOSPITALS NHS TRUST \| 45860 \| 32,178.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 22/03/2018 PATHOLOGY MANAGEMENT TRUSTWIDELABORATORY EXTERNAL TESTS \| THE LEEDS TEACHING HOSPITALS NHS TRUST \| 46160 \| 34,668.03 \| \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 22/03/2018 NUCLEAR MEDICINE RECHARGES \| LABORATORY EXTERNAL TESTS \| THE LEEDS TEACHING HOSPITALS NHS TRUST \| 46164 \| 30,026.03 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 22/03/2018 RADIOLOGY MEDICAL STAFFING \| SPECIALIST REGISTRAR \| THE LEEDS TEACHING HOSPITALS NHS TRUST \| 46268 \| 25,861.39 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 22/03/2018 ONCOLOGY TRUSTWIDE \| CONSULTANT \| THE LEEDS TEACHING HOSPITALS NHS TRUST \| 46287 \| 32,178.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 22/03/2018 NUCLEAR MEDICINE RECHARGES \| LABORATORY EXTERNAL TESTS \| THE LEEDS TEACHING HOSPITALS NHS TRUST \| 46481 \| 30,956.43 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 22/03/2018 RADIOLOGY MEDICAL STAFFING \| SPECIALIST REGISTRAR \| THE LEEDS TEACHING HOSPITALS NHS TRUST \| 46536 \| 30,606.22 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 12/03/2018 RADIOLOGY MEDICAL STAFFING \| SPECIALIST REGISTRAR \| THE LEEDS TEACHING HOSPITALS NHS TRUST \| 46537 \| 45,000.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 06/03/2018 BALANCE SHEET \| MEDICAL EQUIP ADDITIONS PURCH \| THERMO FISHER DIAGNOSTICS LTD \| 1128275 \| 34,800.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 06/03/2018 BALANCE SHEET \| MEDICAL EQUIP ADDITIONS PURCH \| THERMO FISHER DIAGNOSTICS LTD \| 1143627 \| (34,800.00) \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 27/03/2018 BALANCE SHEET \| PAYROLL DED'NS N/S <1YR \| UNISON \| 45187 \| 62,078.35 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 05/03/2018 MOTIVAR - STUDY \| OTHER GEN SUPPLIES & SRV \| UNIVERSITY OF BRADFORD \| 1132201 \| 62,211.33 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 21/03/2018 PGH UTILITIES & RATES \| BUSINESS RATES \| WAKEFIELD COUNCIL \| 1148900 \| 180,375.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 14/03/2018 PGI UTILITIES & RATES \| BUSINESS RATES \| WAKEFIELD COUNCIL \| 1148945 \| 32,054.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 27/03/2018 BALANCE SHEET \| AUC ADDITIONS \| WALTER WEST BUILDERS LTD \| 1147878 \| 33,670.93 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 21/03/2018 PATIENT TRANSPORT SERVICES \| SRV REC NONHCARE NHSTS \| YORKSHIRE AMBULANCE SERVICE NHS TRUST \| 46336 \| 25,440.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 21/03/2018 PATIENT TRANSPORT SERVICES \| SRV REC NONHCARE NHSTS \| YORKSHIRE AMBULANCE SERVICE NHS TRUST \| 46338 \| 76,318.95 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 19/03/2018 ORTHOPAEDIC LLP \| COMMERCIAL SECTOR \| YORKSHIRE ORTHOPAEDIC ASSOCIATES \| 1147531 \| 55,778.96 \| \|-----------------------------------------\|-----------------------------------------\|----------------------------------\|--------------------------\|------------------------------------\|-----------\|-------------\| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 05/03/2018 DDH UTILITIES & RATES \| WATER \| YORKSHIRE WATER SERVICES LTD \| 1141655 \| 25,681.64 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 07/03/2018 PGH UTILITIES & RATES \| WATER \| YORKSHIRE WATER SERVICES LTD \| 1143142 \| 30,539.19 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 26/03/2018 BALANCE SHEET \| PAYROLL DED'NS N/S < 1YR \| EDEN RED \| 67377 \| 44,870.28 \|	en
4245-pdf	## Non-Disclosure Agreement This Nondisclosure Agreement (the "Agreement") is entered into by and between The National Archives, (the "Disclosing Party"), and _______________________, located at __________________ _________________________________________________ (the "Receiving Party"), for the purpose of preventing the unauthorised disclosure of Sensitive Information as defined below, in line with HMG's Security Policy Framework. The parties agree to enter into a confidential relationship with respect to the disclosure of certain sensitive, proprietary or protected information ("Sensitive Information"). 1. Definition of Sensitive Information. For purposes of this Agreement, "Sensitive Information" shall include all information or material that  has or could have commercial value or other utility in the business in which Disclosing Party is engaged  might lead to the security of the Disclosing Party's physical or information assets or the safety of its staff and customers being compromised. If Sensitive Information is in a physical or electronic form, the Disclosing Party shall label or stamp the materials with the words OFFICIAL-SENSITIVE, or some similar warning, in line with HMG's protective marking scheme. If Sensitive Information is transmitted orally, the Disclosing Party shall promptly provide a writing indicating that such oral communication constituted Sensitive Information. 2. Exclusions from Sensitive Information. Receiving Party's obligations under this Agreement do not extend to information that is: (a) publicly known at the time of disclosure or subsequently becomes publicly known through no fault of the Receiving Party; (b) discovered or created by the Receiving Party before disclosure by Disclosing Party; (c) learned by the Receiving Party through legitimate means other than from the Disclosing Party or Disclosing Party's representatives; (d) is disclosed by Receiving Party with Disclosing Party's prior written approval; or (e) independently developed by the Receiving Party outside the scope of this agreement. 3. Obligations of Receiving Party. Receiving Party shall hold and maintain the Sensitive Information in strictest confidence for the sole and exclusive benefit of the Disclosing Party. Receiving Party shall carefully restrict access to Sensitive Information to employees, contractors and third parties as is reasonably required and shall require those persons to sign nondisclosure restrictions at least as protective as those in this Agreement. Receiving Party shall put in place effective governance controls to monitor compliance and respond to (and report) any security breach incidents. Receiving Party shall not, without prior written approval of Disclosing Party, use for Receiving Party's own benefit, publish, copy, or otherwise disclose to others, or permit the use by others for their benefit or to the detriment of Disclosing Party, any Sensitive Information. Receiving Party shall return to Disclosing Party any and all records, notes, and other written, printed, or tangible materials in its possession pertaining to Sensitive Information within a reasonable time period if Disclosing Party requests it in writing. 4. Time Periods. The non-disclosure provisions of this Agreement shall survive the termination of this Agreement and Receiving Party's duty to hold Sensitive Information in confidence shall remain in effect until the Sensitive Information no longer qualifies as a trade secret or otherwise needing protection until Disclosing Party sends Receiving Party written notice releasing Receiving Party from this Agreement, whichever occurs first. 5. Relationships. Nothing contained in this Agreement shall be deemed to constitute either party a partner, joint venture or employee of the other party for any purpose. 6. Severability. If a court finds any provision of this Agreement invalid or unenforceable, the remainder of this Agreement shall be interpreted so as best to effect the intent of the parties. 7. Integration. This Agreement expresses the complete understanding of the parties with respect to the subject matter and supersedes all prior proposals, agreements, representations and understandings. This Agreement may not be amended except in writing signed by both parties. 8. Waiver. The failure to exercise any right provided in this Agreement shall not be a waiver of prior or subsequent rights. This Agreement and each party's obligations shall be binding on the representatives, assigns and successors of such party. Each party has signed this Agreement through its authorised representative. __________________________________________________________________________ (Signature, on behalf of Disclosing Party) Date: _______________ __________________________________________________________________________ (Signature, on behalf of Receiving Party) Date: _______________	en
4377-pdf	## # Ordering And Creditor Payments 2016-17 City Of York Council Internal Audit Report ## Summary And Overall Conclusions Introduction Ordering and creditor payment systems are audited regularly because of their importance to the council's operations, the value of transactions and the potential for fraud. Creditor payments is a key service within the council, processing over £200m worth of payments and nearly 50,000 invoices between September 2015 and October 2016. Completion of purchase orders is a key part of the council's financial regulations and since December 2012 the council has had a 'no purchase order, no payment' policy. Purchase orders are vital in controlling council expenditure, achieving best value and realising efficiencies in the 'purchase to pay' system. The creditor payments service is also responsible for ensuring that invoices are appropriately authorised before payment and that they are paid promptly according to council targets and supplier requirements. ## Objectives And Scope Of The Audit The purpose of this audit was to provide assurance to management that procedures and controls within the system will ensure that: - ordering and creditor procedures comply with the council's financial regulations, relevant legislation and best practice; - the ordering process is robust and the official system is used for purchasing goods and recording when these have been received; - payment systems are secure, payments are only made for valid invoices and for the correct amount; - invoice processing systems are efficient and timely and there are appropriate performance management arrangements in place; - non-standard (i.e. without an order or invoice) creditor transactions are correctly accounted for by the creditors system and related accounting records. ## Key Findings The proportion of invoices with accompanying purchase orders (CRIPO), against sundry invoices (CRINV) remains high at 84% and deliberate changes to creditor processes for manual payments would need to be made to increase performance. The scheme of delegation has been reviewed as part of a new annual exercise and new authorisation levels have been set for every user profile on the purchasing system. It is intended that a review of the scheme of delegation will be undertaken every year to ensure that authorisation levels are appropriate and the next Ordering and Creditor Payments audit will observe whether this is taking place. There is an appropriate segregation of duties in the requisitioning, authorising and goods receipting processes of CRIPO payments and orders are approved within delegated authority limits. Goods/services ordered via the official purchasing system are receipted on delivery and the invoices sampled agreed to the items ordered on the purchasing system. CRINV invoices (invoices without corresponding POs) are approved for payment by managers with the appropriate delegated authority. Pro formas are completed for payment requisitions (CRREQ) transactions and contain a separation of duties in the requisitioning and authorising process. CRREQ payments are also appropriately authorised before submission for payment. CRINV/CRIPO and payment performance reports are still generated on a regular basis from the FMS system and emailed to relevant staff members. A performance dashboard has recently been developed which will allow the Finance team to monitor and respond to trends in the data. The next audit will observe how effectively this tool is used. Currently, approx. 90% of invoices are paid within the set target of 30 days from the recorded date of receipt of the invoice. There is an acceptable segregation of duties in the payments run process, with control totals and potential duplicate payments checked by the Creditors team and BACS files processed by the IT Operations officer. In the majority of cases, requests for new supplier records are appropriately authorised by budget holders and the procurement team. In some cases documentation has not been retained, resulting in some records of authorisations being absent. It should be ensured that these records are retained. The Creditors team maintain procedure notes for higher risk processes e.g. pay runs, authorisation of various types of payments, processing of file interfaces, etc. In the majority of cases they are up to date, though still quote the personal names of individuals that have left council employment. The council may wish to review and update these documents to ensure their relevancy. The number and age of items in the dispatcher at the time of audit testing indicates that payment officers attempt to resolve vouchers in dispute in a timely fashion. The voucher register is regularly checked and cleared to ensure that discrepancies are resolved. Whilst sufficient controls are in operation in the majority of cases, there are a few issues which require attention from management and these are detailed below. Access levels for Creditors staff require review and adjustment, to ensure that they do not have the permissions to both process and authorise invoice transactions in the FMS software. Evidence is not always available to show that there is an appropriate segregation of duties in the requisitioning process for manual payments (CRINM). Evidence is not always available that the Creditors team are performing the requisite identity checks on individuals requesting a change to creditor bank account details. ## Overall Conclusions The arrangements for managing risk were good with few weaknesses identified. An effective control environment is in operation, but there is scope for further improvement in the areas identified. Our overall opinion of the controls within the system at the time of the audit was that they provided Substantial Assurance. ## 1 Fms Software Access Levels Issue/Control Weakness Risk FMS software access levels currently allow the Creditors team to both process and authorise CRINV (sundry invoice) and CRIPO (invoice with corresponding purchase order) transactions. Transaction details may be inappropriately adjusted before they are submitted to the pay run, potentially resulting in payments of incorrect value or payments made to incorrect creditors. ## Findings When an invoice is received by the Creditors team, they validate, process and authorise the invoice on the FMS software before submission to the pay run. Whilst audit testing demonstrated that there is an appropriate segregation of duties in the requisitioning, authorising and goods receipting processes before the invoice is entered onto FMS, testing also identified that members of the Creditors team are capable of processing, amending and authorising invoice transactions on FMS. Instances of this occurring were not identified during audit testing, however, this is a fundamental segregation of duties which should be mandated by the system. Access levels for Creditors staff require review and adjustment, to ensure that they do not have the permissions to both process and authorise CRINV and CRIPO transactions. This is particularly essential for CRIPOs, as they have the capability to adjust all transaction details before submitting them for payment. ## Management Response The separation of duties procedure ensures that the same person does not process and authorise a transaction and no instances of this ever occurring have been identified. The test system does not allow this to happen and whilst the audit identified it was technically possible within the live system, no payment was made. It is also important to note that Creditors are required to amend some transaction details in terms of correcting VAT codes and adjusting for minor variations but that there are strict procedures in place to ensure that whenever a member of staff needs to make an amendment, this is subsequently verified by another member of the team. ## Agreed Action 1.1 The FMS access levels of the Creditors team will continue to be tested and adjusted as necessary to ensure that they can not both process and authorise CRINV (sundry invoice) and CRIPO (invoice with corresponding purchase order) transactions. ## 2 Crinm Payments Issue/Control Weakness Risk There is an increased risk that inappropriate or inaccurate payments could be made. It is difficult to conclude whether there is an acceptable separation of duties in the authorisation process for CRINM (manual creditor) payments or whether they are always authorised within delegated limits. ## Findings Manual creditor payments are submitted to the Creditors team via a template pro forma with separate fields for the requesting and authorising officers. These payments total approx. £91 million in the audit period tested, mainly comprising of large value payments to other authorities and government bodies. It was not always possible to judge whether the sample of pro formas tested had been appropriately authorised, as they were only signed with two letter initials. These initials were not always legible. In a couple of cases, the 'authoriser' field was blank. As CRINM transactions are almost exclusively routine payments made to other local authorities and government bodies, the risk of the payments being inaccurate or irretrievable is lower than those paid to suppliers or private individuals. Evidence of inappropriate payments was not identified during audit testing, however, the process for authorisation of CRINM payments requires review and the pro forma could potentially be adjusted to ensure that employees are required to clearly state their identity. ## Management Response These are almost exclusively routine payments made to other local authorities and government bodies, and therefore there is limited possibility of any inaccuracies. In the unlikely event of errors, the impact would be minor. In terms of both frequency and impact, there is a only very small risk. In addition, no evidence has been found during testing to suggest that any inappropriate payments have been made. In terms of both frequency and impact, there is a only very small risk. ## Agreed Action 2.1 Pro formas for both CRINM (manual creditor) and CRREQ (requisition) payments will be reviewed and adjusted to ensure that requisitioners and authorisers must state their identity. Instructions on the intranet will also be adjusted to specify that the pro formas must be sent from the authoriser's email address. A reminder will be issued to the scanning team to always scan both the batch processing form and the pro forma for each transaction. ## 3 Changes To Bank Supplier Details Issue/Control Weakness Risk Successful bank mandate fraud resulting in financial loss to the council. Evidence is not always available to confirm that the Creditors team are undertaking the correct identity checks when they receive a request to change bank account details. ## Findings Bank mandate fraud can occur when an individual purporting to be a representative of an organisation's creditor contacts that organisation and requests that the bank account details on the creditor account are adjusted. Payments due to the legitimate creditor are then diverted to the fraudster's bank account. The council's policy document states that the Creditors team must confirm the identity of the individual submitting the request by a.) checking that the request has been made via the creditor's contact details held on their FMS record and, b.) by asking the individual to quote the creditor's old bank account details. These details can also then be verified by comparison with the FMS record. A sample of requests was reviewed to ascertain whether these verification steps are followed. In the vast majority of cases, evidence was available to confirm that the team requested the creditor's old bank account details. However, there was no confirmation that they had also ensured the request had been made via the contact details/creditor representatives held on record. It should also be noted that there are more sophisticated forms of bank mandate fraud; involving an individual requesting that creditor contact details are adjusted first, then requesting that bank account details be adjusted at a later date. It is recommended that the procedure for changes to creditor contact details ensure that similar identity checks are undertaken before adjustments are made to the FMS record. ## Management Response All changes to supplier bank details are checked and verified, however, the Creditors team will be reminded to retain the relevant evidence. ## Agreed Action 3.1 A reminder will be issued to the Creditors team asking that they attach evidence of the creditor verification they have undertaken to FMS when changes to bank details have been requested. The policy document for changes to supplier bank details will also be adjusted so that the same verification steps will be undertaken when changes are requested to supplier contact details. ## Annex 1 Audit Opinions And Priorities For Actions Audit Opinions Audit work is based on sampling transactions to test the operation of systems. It cannot guarantee the elimination of fraud or error. Our opinion is based on the risks we identify at the time of the audit. Our overall audit opinion is based on 5 grades of opinion, as set out below. Opinion Assessment of internal control \| High Assurance \| \|--------------------------------------------------------------------------------------------------------------\| \| \| \| Substantial \| \| Assurance \| \| Overall, good management of risk with few weaknesses identified. An effective control environment is in \| \| operation but there is scope for further improvement in the areas identified. \| \| \| \| Reasonable \| \| Assurance \| \| Overall, satisfactory management of risk with a number of weaknesses identified. An acceptable control \| \| environment is in operation but there are a number of improvements that could be made. \| \| Limited Assurance \| \| Overall, poor management of risk with significant control weaknesses in key areas and major \| \| improvements required before an effective control environment will be in operation. \| \| No Assurance \| \| Overall, there is a fundamental failure in control and risks are not being effectively managed. A number of \| \| key areas require substantial improvement to protect the system from error and abuse. \| \| \| ## Priorities For Actions Priority 1 A fundamental system weakness, which presents unacceptable risk to the system objectives and requires urgent attention by management. Priority 2 A significant system weakness, whose impact or frequency presents risks to the system objectives, which needs to be addressed by management. Priority 3 The system objectives are not exposed to significant risk, but the issue merits attention by management. Where information resulting from audit work is made public or is provided to a third party by the client or by Veritau then this must be done on the understanding that any third party will rely on the information at its own risk. Veritau will not owe a duty of care or assume any responsibility towards anyone other than the client in relation to the information supplied. Equally, no third party may assert any rights or bring any claims against Veritau in connection with the information. Where information is provided to a named third party, the third party will keep the information confidential.	en
3144-pdf	## Hm Revenue & Customs Hospitality Register 1st October 2011 - 31st December 2011 Dame Lesley Strathie, Chief Executive & Permanent Secretary * Lesley stepped down as Chief Executive in November 2011 Date Organisation Type of Hospitality Received NIL RETURN Dave Hartnett, Permanent Secretary for Tax Date Organisation Type of Hospitality Received 13/10/11 Lexis Nexis Breakfast 29/11/11 Institute of Chartered Accountants England and Wales Dinner Stephen Banyard, Acting Director General, Personal Tax Date Organisation Type of Hospitality Received 18/10/11 Business Application Software Developers Association Dinner Steve Lamey, Director General, Benefits & Credits Date Organisation Type of Hospitality Received NIL RETURN Mike Norgove, Acting Director General, Business Tax Date Organisation Mike Eland, Director General Enforcement & Compliance Organisation Type of Hospitality Received NIL Simon Bowles, Chief Finance Officer Date Organisation Type of Hospitality Received 12/10/11 Building Public Trust Event Dinner 20/10/11 CIMA President's Event Dinner 01/11/11 Odgers CFO Event Dinner 22/11/11 Curzon Partnership Light refreshments Mike Falvey, Chief People Officer Date Organisation Type of Hospitality Received 28/11/11 Price WaterhouseCooper Dinner Anthony Inglese, General Counsel and Solicitor Date Organisation Type of Hospitality Received 26/10/11 Ernst & Young Buffet lunch 11/11/11 The Whitehall and Industry Group Drinks 30/11/11 Hogan Lovells Drinks Phil Pavitt, Chief Information Officer Date Organisation Type of Hospitality Received 07/11/11 Gartner Dinner 08/11/11 VMWare Dinner 09/11/11 Gartner Breakfast 10/11/11 ATOS Dinner Mike Clasper, Non-Executive Chairman Organisation Type of Hospitality Received 03/11/11 North East Chamber of Commerce Dinner 09/11/11 The Inzito Partnership Lunch 23/11/11 Korn Ferry Dinner John Spence, Non-Executive Director Date Organisation Type of Hospitality Received NIL RETURN Phil Hodkinson, Non-Executive Director Date Organisation Type of Hospitality Received NIL RETURN Colin Cobain, Non-Executive Director Date Organisation Type of Hospitality Received NIL RETURN Philippa Hird, Non-Executive Director Date Organisation	en
0048-pdf	# Waste Disposal Contract 2016-17 City Of York Council ## Internal Audit Report ## Summary And Overall Conclusions Introduction City of York Council (CYC) and North Yorkshire County Council (NYCC) are engaged in a joint project to build a waste recovery plant at a cost of £1.4bn. The project is split 79:21 between NYCC and CYC, with the latter having a 21% stake. The plant will divert waste from landfill sites into a more environmentally friendly treatment. When operational, it will reduce the amount of waste being sent to landfill to less than 10% of that collected, enabling NYCC and CYC to exceed their targets of recycling 50% of waste by 2020. It is designed to save the councils approximately £250m on household waste treatment costs over the 25-year life of the contract. The construction and operations of the plant have been contracted out to AmeyCespa, with a target date to become operational in December 2017. The plant has been built on the site that was formally Allerton Quarry, off the A1 near Knaresborough. ## Objectives And Scope Of The Audit The project will be moving from the initial construction phase into the commissioning phase once the commissioning plan has been agreed. Therefore, the purpose of this report is to highlight areas that need to be addressed in the commissioning phase, ahead of the operational phase of the project. The focus of this audit was to assess the partnership arrangements currently in place, and analyse their adequacy for the project in future stages. This audit aimed to highlight areas where arrangements could be improved, and these have been issued as findings. ## Key Findings It was found that the current arrangements were adequate for the project up to this point in time whilst the waste recovery plant was constructed, as well as the operational phase of the project once the plant opens. However, the council now needs to become more actively involved with the project as the construction phase is completed to ensure that the commissioning phase is managed effectively to ensure the plant can start operating at its full capacity on 1st February 2018. As part of this, the cost, payment, and usage arrangements for the transitional phase should be reviewed and confirmed as adequate. In addition, there should be a formal review process to take lessons learned from the transitional phase into the operational phase of the project. There are some additional findings that are less urgent, but should be addressed before the operational phase of the project commences to ensure that the arrangements for the plant during its operational period are satisfactory. ## Overall Conclusions The arrangements for managing risk were good with few weaknesses identified. An effective control environment is in operation, but there is scope for further improvement in the areas identified. Our overall opinion of the controls within the system at the time of the audit was that they provided Substantial Assurance. ## 1 Project Involvement Issue/Control Weakness Risk Moving into the commissioning phase of the project, CYC need to be more proactive in their involvement. CYC would not be able to make the necessary arrangements should the project go over budget or is delayed. As the project moves into the commissioning phase, CYC need to establish a more pro-active level of involvement in the project. There are two elements to this: project co-ordination and information sharing. 1) Project co-ordination - it has been agreed that there will be regular meetings between NYCC and CYC representatives; however more formality would be beneficial. It would be prudent to outline the purpose of the meetings, the role of the representatives, timescales for meetings, and what authority the representatives have. Some agreement should also be reached between CYC and NYCC on a formal, transparent, and fair decision making process. 2) Information sharing - CYC need to ensure they are getting all the information they need in order to be aware of, and mitigate, risks. CYC need to identify the level of information necessary to develop appropriate systems to meet the demands of the project. The Council has now arranged to be involved in a number of meetings with NYCC / Amey Cespa: AWRP Board meeting (6 monthly) This is the board meeting for the project. In attendance are NYCC, CYC, the contractors (Amey Cespa SPV), the sub contractors (Amey Cespa ODC) and the investors. For CYC the attendees are James Gilchrist (AD for Transport, Highways and Environment) and Dave Atkinson (Programme Manager and CYC lead for the Allerton Park project). AWRP Project team meeting (monthly) This is a team meeting to discuss all aspects of the project in detail. In attendance are NYCC, CYC, the contractors (Amey Cespa SPV), the sub contractors (Amey Cespa ODC). In attendance for CYC is Dave Atkinson (Programme Manager and CYC lead for the Allerton Park project). NYCC/CYC AWRP meeting (monthly) This is a meeting to drive forward the joint working between NYCC and CYC on the AWRP project. In attendance are NYCC and CYC. In attendance for CYC are Dave Atkinson (Programme Manager and CYC lead for the Allerton Park project) and Patrick Looker (Finance Manager). ## 2 Cost, Payment, And Usage Arrangements Issue/Control Weakness Risk Cost, payment and usage arrangements may not be up to date, and may not be applicable to the commissioning phase. CYC may not be adequately prepared for the transitional phase which could result in paying more than necessary for waste disposal during this period. The original principles that mediate such elements as payment, cost, and usage arrangements were established during the tender process and give direction on how these processes should work. At the time, there was a focus on the operational phase of the project, and there was not enough consideration given to the particular circumstances of the transitional / commissioning phase. Once the commissioning plan has been agreed, CYC and NYCC need to agree how the transition arrangements will be arranged to meet these requirements. A plan should be drawn up to ensure that disposal lorries are dispatched to the correct site and that payment is not being made for the disposal of waste from one lorry at both sites. There also should be some formal agreement on the process by which any of these arrangements are to be modified should they be found to be unsuitable. The monthly meetings referred to in action 1.1 (NYCC/CYC AWRP meeting) are the primary focus for agreeing the principles for the commissioning phase in terms of logistics, usage arrangements, and payments. Management information requirements for the operational phase will also be agreed. Dummy runs with the contractor will be arranged to ensure performance measurements are included in the invoicing. Reimbursement for commissioning is also being agreed as part of these discussions. This will also need agreement with Yorwaste, to ensure waste is properly identified, as more CYC waste will be delivered into Harewood Whin and then bulked up with other waste. ## 3 Review Process Issue/Control Weakness Risk There is a lack of formal review process in place, particularly for the commissioning phase, which will identify and rectify issues in advance of the operational phase of the project. There should be a robust review process during the commissioning phase of the project. Currently, there doesn't seem to be a process to analyse and implement necessary operational changes that become apparent during the commissioning phase. In this phase, there may be issues that need to be addressed before the operational phase begins. Issues identified within Commissioning will be addressed as part of the arrangements referred to in action 1.1 (see above.) Issues that arise during the commissioning phase are not identified and rectified ahead of the operational phase. ## 4 Partnership Agreement Issue/Control Weakness Risk The Partnership agreement between the two authorities needs to be reviewed and updated. The partnership agreement between the two authorities was agreed in 2011 before the contract to build the waste recovery plant was tendered and should be reviewed to confirm it is still suitable once the plant becomes operational. It has been agreed between NYCC and CYC that there will be a revision of the Joint Waste Management Agreement. The intention is that the revised document will be in place this calendar year with it being taken to the Executive at CYC in the Autumn. This work is currently being led by Ian Fielding (Assistant Director, Transport, Waste and Countryside Services for NYCC) and Dave Atkinson (Programme Manager and CYC lead for the Allerton Park project) with support from the authorities' legal teams. Disputes occur between the two authorities because the partnership agreement is out of date. ## 5 Risk Management Issue/Control Weakness Risk Currently, the two authorities do not have a co-ordinated approach to risk management. Whilst there has been good risk management on the contractual element of the project, there needs to be a co-ordinated and cooperative consideration of risk management between the two parties. There should be a shared risk appetite, as well as a unified approach to the identification of overall project risks, individual authority risks, and potential benefits. Risk management is most important for the operational phase, and does not need to be completed ahead of the commissioning phase. However, the commissioning phase offers a good period to consider risks and so some thought should be given to this before the operational phase commences. Recently, as there has been an increase in engagement between NYCC and CYC, there has been more sharing and joint development of items. As part of the council's Major project reporting commitments, and the inclusion of the Allerton Park project in that report, there has been a necessity to form a consolidated risk register. That is now in development and will be in place by September 2017. CYC are not in agreement with North NYCC about the identification, classification or mitigation of risks, and therefore risks and opportunities are not managed adequately. ## 6 Public Engagement Issue/Control Weakness Risk Consideration should be given to developing effective public engagement, as the project is a large investment and a positive strategy in waste management. There should be some consideration given to how the positive elements of the project can be expressed effectively to the general public, who may not have the technical knowledge to appreciate the significance of the benefits. Identification of key performance metrics, and how these can be presented in a digestible way, is important. Another element to consider is maximising the benefits provided by the visitor centre, and also how these benefits should be apportioned. There has been a consistent and controlled campaign of public engagement, both in terms of consultation with residents in the vicinity and more general communications over the lifecycle of the project. This has been led by Amey Cespa and supported by NYCC and CYC. NYCC and CYC have recently agreed to combine efforts on a number of Waste prevention, reduction type issues and will also work together with Amey Cespa on more communications and public engagement relating to the Allerton Park project and facility as it goes through commissioning (July 2017 to January 2018) into full operation (February 2018 and beyond).6 Benefits of the project are not appreciated by the general public. ## 7 Ownership Arrangements Issue/Control Weakness Risk Currently, there are no detailed arrangements to govern issues surrounding ownership prior to decommission of the plant. Although not an immediate concern, some agreement should be reached on how the ownership arrangements will work once it no longer under the ownership of AMEY, as this has not been addressed in the current partnership agreement. There is an agreement in place that there will be a minimum of five years of operational life remaining when Amey hand over ownership. The details of the handover need to be agreed between NYCC and CYC, in regards to who will own the plant or how ownership will be split, who will be responsible for the operation of the plant, and how the waste partnership will change. As part of the discussion around the JWMA, there will be discussion around ownership prior to the decommissioning of the plant. Lack of clarity over ownership arrangements could lead to disagreements between authorities once AMEY cease to own the plant. Responsible Officer Programme Manager Timescale 31st December 2017 ## Annex 1 Audit Opinions And Priorities For Actions Audit Opinions Audit work is based on sampling transactions to test the operation of systems. It cannot guarantee the elimination of fraud or error. Our opinion is based on the risks we identify at the time of the audit. Our overall audit opinion is based on 5 grades of opinion, as set out below. Opinion Assessment of internal control \| High Assurance \| \|--------------------------------------------------------------------------------------------------------------\| \| \| \| Substantial \| \| Assurance \| \| Overall, good management of risk with few weaknesses identified. An effective control environment is in \| \| operation but there is scope for further improvement in the areas identified. \| \| \| \| Reasonable \| \| Assurance \| \| Overall, satisfactory management of risk with a number of weaknesses identified. An acceptable control \| \| environment is in operation but there are a number of improvements that could be made. \| \| Limited Assurance \| \| Overall, poor management of risk with significant control weaknesses in key areas and major \| \| improvements required before an effective control environment will be in operation. \| \| No Assurance \| \| Overall, there is a fundamental failure in control and risks are not being effectively managed. A number of \| \| key areas require substantial improvement to protect the system from error and abuse. \| \| \| ## Priorities For Actions Priority 1 A fundamental system weakness, which presents unacceptable risk to the system objectives and requires urgent attention by management. Priority 2 A significant system weakness, whose impact or frequency presents risks to the system objectives, which needs to be addressed by management. Priority 3 The system objectives are not exposed to significant risk, but the issue merits attention by management. Where information resulting from audit work is made public or is provided to a third party by the client or by Veritau then this must be done on the understanding that any third party will rely on the information at its own risk. Veritau will not owe a duty of care or assume any responsibility towards anyone other than the client in relation to the information supplied. Equally, no third party may assert any rights or bring any claims against Veritau in connection with the information. Where information is provided to a named third party, the third party will keep the information confidential.	en
2070-pdf	## The National Archives' Data Protection Policy Statement 1 The Scope Of This Policy Statement This policy statement sets out how The National Archives implements the Data Protection Act 2018 and the EU General Data Protection Regulation (GDPR), together referred to as the Data Protection Legislation, which came into force in May 2018. The National Archives collects and uses information about the people with whom it has dealings. The National Archives also acquires information about others in the course of those dealings. These people - collectively called 'data subjects' - include its own staff, researchers and other users of its services, staff in other government departments and in a wide range of organisations and institutions, as well as contractors and suppliers of various kinds. The information can be factual information, such as name and address, or expressions of opinion about or intentions towards individuals. It can occur in any form or format: WORD documents; IT systems of various kinds - including websites, emails, CCTV; index cards; paper files. The National Archives also acquires responsibility for personal information in its archival holdings which, in some circumstances, are subject to parts of the Data Protection Legislation (see section 4). This policy statement applies to all personal data acquired, held and used by all constituent parts of The National Archives, Note that this includes personal data for which the Queen's Printer for Scotland is responsible and personal data managed by third parties/contractors on behalf of The National Archives. 2 The National Archives' commitment to data protection The National Archives is committed to whole-hearted compliance with the Data Protection Legislation. The National Archives regards responsible handling of personal information as a fundamental obligation and one that is in keeping with its role as a leader in the information, records and archives community. To this end it endorses and adheres to the Data Protection Principles set out below. Staff of the National Archives are expected to do whatever is necessary to ensure compliance with the Data Protection Legislation, and in particular to follow our Data Protection Procedures. 3 The Data Protection Legislation ## The 2018 Data Protection Act came into force on 23 May 2018. It superseded and extended the provisions of the Data Protection Act 1984 and the Data Protection Act 1998. The 2018 Act also supplements the EU General Data Protection Regulations of 2016 and has two aims:  to protect individuals' fundamental rights and freedoms, in an increasingly data driven world, in respect of personal data processing.  to enable organisations to process personal information, with due regard for the rights and freedoms of individuals, in the course of their legitimate business The Act and Regulations apply to any processing of personal information that could identify living individuals. Processing is the term used for virtually anything that can be done with or to recorded information, including acquisition, storage and destruction as well as active use. The National Archives must have a legal basis for any processing of personal data that it undertakes. The National Archives will provide privacy information in the form of a Privacy Notice to individuals at the time we collect their personal data from them. Individuals have the following rights: The right, upon request and with proof of identity: o to be informed whether information about them is being processed; o to be given a description of the information the legal basis for and the purpose of our processing; o to whom it may be disclosed; o how long it will be kept for o and to be provided with the information electronically in intelligible form free of charge. The requested information will be provided at the latest within one month of receipt of proof of identity and any necessary clarifications as to the information required. The right to request have inaccurate personal data rectified, or completed if it is incomplete. The right to have their personal data erased in certain circumstances The right to request the restriction or suppression of their personal data in certain circumstances. The right, based on the individual's particular situation, to object to certain kinds of processing. The National Archives will consider requests to have personal data erased, or to restrict or suppress personal data in accordance with its Takedown and Reclosure Policy The National Archives processes personal data in accordance with the Data Protection principles, similar to those of the of the 1998 Act, unless the personal data is exempt. These Principles (which are set out in Article 5 of the GDPR) require that personal information is handled as follows: (1) Personal data shall be: a) processed lawfully, fairly and in a transparent manner in relation to the data subject ('lawfulness, fairness and transparency'); b) collected for specified, explicit and legitimate purposes and not further processed in a manner that is incompatible with those purposes; further processing for archiving purposes in the public interest, scientific or historical research purposes or statistical purposes shall, in accordance with Article 89(1), not be considered to be incompatible with the initial purposes ('purpose limitation'); c) adequate, relevant and limited to what is necessary in relation to the purposes for which they are processed ('data minimisation'); d) accurate and, where necessary, kept up to date; every reasonable step must be taken to ensure that personal data that are inaccurate, having regard to the purposes for which they are processed, are erased or rectified without delay ('accuracy'); e) kept in a form which permits identification of data subjects for no longer than is necessary for the purposes for which the personal data are processed; personal data may be stored for longer periods insofar as the personal data will be processed solely for archiving purposes in the public interest, scientific or historical research purposes or statistical purposes in accordance with Article 89(1) subject to implementation of the appropriate technical and organisational measures required by this Regulation in order to safeguard the rights and freedoms of the data subject ('storage limitation'); f) processed in a manner that ensures appropriate security of the personal data, including protection against unauthorised or unlawful processing and against accidental loss, destruction or damage, using appropriate technical or organisational measures ('integrity and confidentiality'). Article 5 also requires that the controller [The National Archives] shall be responsible for, and be able to demonstrate compliance with, paragraph 1 ('accountability'). As can be seen, these principles apply only in part to the archival holdings but for all other personal information, they must be adhered to. There are sanctions to ensure compliance: the Information Commissioner has powers to enter premises where an offence under the Act is suspected of having been committed and to inspect or seize material. The Information Commissioner also has the right to prosecute offenders, including any third party processors of personal data, and compensation or fines may be payable. All breaches of security leading to the accidental or unlawful destruction, loss, alteration, unauthorised disclosure of, or access to, personal data that present a likely risk to people's rights and freedoms will be reported to the Information Commissioner within 72 hours of discovery. 4 Data protection and the archival holdings The Data Protection Legislation permits the processing personal data for permanent preservation (including the special categories of personal data) without consent, where necessary for "archiving purposes in the public interest" subject to appropriate safeguards for the rights and freedoms of data subjects. However, it applies only in part to personal information in records that are not sufficiently structured for specific information about specific individuals to be readily accessible. Where personal information in archives is being processed solely for the purposes of archival preservation, and is not accessible to the public, the National Archives can claim exemption, in accordance with Part 2 sections 19 and 25, and Schedule 2 Part 6 paragraph 28 of the Data Protection Act 2018 from most of the Data Protection Principles, and to some extent from the rights of individuals including the obligation to respond to access requests from data subjects. However, as a matter of policy, we will respond to access requests when an individual's rights or entitlements seem to be at stake, in recognition of the National Archives' role as a public body. The National Archives will consider requests to restrict or suppress personal data, that is in the archive, in accordance with its Takedown and Reclosure Policy. 5 Data Protection Officer The National Archives has a Data Protection Officer, whose duty it is under the GDPR to assist the National Archives to monitor internal compliance, inform and advise on data protection obligations, provide advice regarding Data Protection Impact Assessments (DPIAs) and act as a contact point for data subjects and the Information Commissioner. The Data Protection Officer must be consulted at all stages of processing personal data. The Data Protection Officer is assisted by two deputies: for general data protection and information management matters; and for data security matters. Jeff James CHIEF EXECUTIVE AND KEEPER 25 April 2018	en
3612-pdf	## London Heads Of Procurement Network Draft Minutes Date: 20 June 2013 Time: 10.00 am - 12.30 pm Venue: London Councils 59½ Southwark Street London SE1 0AL Please ask for Fabian Ashun Jr at reception. Contact: Ned Mussen Email: **** ned.mussen@camden.gov.uk Attendees: \| \| \| \| \| \|------------------------\|---------------------\|-----------\|-------------------\| \| Borough / Entity \| Head of Procurement \| Attending \| Alternate (if not \| \| (Y/N) \| attending) \| \| \| \| \| \| \| \| \| Barnet \| \| \| \| \| Lesley Meeks \| \| \| \| \| N \| Susan Lowe \| \| \| \| \| \| \| \| \| Kevin Bates \| \| \| \| \| N \| - \| \| \| \| Barking and Dagenham \| \| \| \| \| Martin Storrs \| \| \| \| \| N \| \| \| \| \| Bexley \| \| \| \| \| Mick Sullivan \| \| \| \| \| Y \| \| \| \| \| \| \| \| \| \| Brent \| \| \| \| \| Paul Davies \| \| \| \| \| Y \| \| \| \| \| Bromley \| \| \| \| \| Dave Starling \| \| \| \| \| N \| Wendy Norman \| \| \| \| Camden \| \| \| \| \| Terry Brewer \| \| \| \| \| Y \| \| \| \| \| \| \| \| \| \| Ned Mussen \| \| \| \| \| Y \| \| \| \| \| City of London \| \| \| \| \| Gary Dowding \| \| \| \| \| N \| \| \| \| \| Croydon \| \| \| \| \| Steve Peddie \| \| \| \| \| N \| - \| \| \| \| Ealing \| \| \| \| \| Kate Graefe \| \| \| \| \| N \| Tim Smith \| \| \| \| Enfield \| \| \| \| \| David Levy (WF too) \| \| \| \| \| Y \| \| \| \| \| Greenwich \| \| \| \| \| Peter Norman \| \| \| \| \| Y \| \| \| \| \| Hackney \| \| \| \| \| Mike Robson \| \| \| \| \| N \| \| \| \| \| Hammersmith and Fulham \| \| \| \| \| Francis Murphy \| \| \| \| \| Y \| \| \| \| \| Haringey \| \| \| \| \| Michael Wood \| \| \| \| \| N \| Kim Sanford \| \| \| \| Janet Siman \| \| \| \| \| Harrow \| \| \| \| \| Robin Edwards \| \| \| \| \| N \| \| \| \| \| \| \| \| \| \|--------------------------\|---------------------\|-----------\|-------------------\| \| Borough / Entity \| Head of Procurement \| Attending \| Alternate (if not \| \| (Y/N) \| attending) \| \| \| \| \| \| \| \| \| Havering \| \| \| \| \| Hassan Iqbal \| \| \| \| \| Y \| \| \| \| \| Hillingdon \| \| \| \| \| Perry Scott \| \| \| \| \| N \| \| \| \| \| - \| \| \| \| \| Y \| \| \| \| \| Hounslow \| \| \| \| \| Brian Pinnell \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Mark Pearson \| \| \| \| \| Y \| \| \| \| \| Islington \| \| \| \| \| Peter Horlock \| \| \| \| \| Y \| \| \| \| \| \| \| \| \| \| Kensington and Chelsea \| \| \| \| \| Andrew Lee \| \| \| \| \| Y \| \| \| \| \| Kingston upon Thames \| \| \| \| \| Chris Morgan \| \| \| \| \| N \| Justine Dennis \| \| \| \| Lambeth \| \| \| \| \| Eugene McLaughlin \| \| \| \| \| Y \| \| \| \| \| \| \| \| \| \| Keith Marshall \| \| \| \| \| Y \| \| \| \| \| Lewisham \| \| \| \| \| Andy Murray \| \| \| \| \| Y \| \| \| \| \| Newham \| \| \| \| \| David Pridmore \| \| \| \| \| Y \| \| \| \| \| Merton \| \| \| \| \| Peter Stone \| \| \| \| \| N \| Divine Ihekwoaba \| \| \| \| Redbridge \| \| \| \| \| Dave Wood \| \| \| \| \| N \| \| \| \| \| Richmond upon Thames \| \| \| \| \| Nick Richmond Smith \| \| \| \| \| \| \| \| \| \| N \| - \| \| \| \| Southwark \| \| \| \| \| Tania Dyos \| \| \| \| \| N \| John Darby \| \| \| \| Sutton \| \| \| \| \| Mark Brewer \| \| \| \| \| Y \| \| \| \| \| Tower Hamlets \| \| \| \| \| Zamil Ahmed \| \| \| \| \| Y \| \| \| \| \| Waltham Forest \| \| \| \| \| David Levy (Enfield too) \| \| \| \| \| Y \| \| \| \| \| Wandsworth \| \| \| \| \| Mark Glaister \| \| \| \| \| N \| \| \| \| \| N \| \| \| \| \| - \| \| \| \| \| Kylie Bourke \| \| \| \| \| Snowia Hussain \| \| \| \| \| Westminster \| \| \| \| \| Anthony Oliver \| \| \| \| \| Mandy Gado \| \| \| \| \| Richard Hampson \| \| \| \| \| Maria Benbow \| \| \| \| \| London Councils \| \| \| \| \| Hugh Grover \| \| \| \| \| N \| Jon Rowney \| \| \| \| \| \| \| \| \| Fabian Ashun Jnr \| \| \| \| \| Y \| \| \| \| \| LCSG \| \| \| \| \| Caroline Heckscher \| \| \| \| \| Y \| \| \| \| \| WLA \| \| \| \| \| Paul Higgins \| \| \| \| \| Y \| \| \| \| \| \| \| \| \| ## Apologies For Absence Refer Above ## 1 Introductions (Est. 10.00 Am) Minutes Of Last Meeting The Minutes Of Last Meeting (Provided In Agenda Papers) Were Reviewed And The Following Points Noted:  The 2013 SOPO conference will be in November this year  The second LPSB newsletter is about to be distributed ## 2 Presentation By Tri-Borough Team On Outcomes Of Tfm Contract (Est. 10.15 Am) Presenter: Glenn Woodhead, Westminster Glenn provided a presentation on the outcomes of TFM contract. The presentation is attached to these minutes. Key outcome was that Amey has been awarded the 10 year contract after a CD process. Savings estimated at 34%. Model doesn't necessarily directly 'tick the SME box'. Following the presentation, there was a Q&A session in which attendees asked a number of questions. To that end, it was agreed that Glenn check back in relation to LLW application. It was also put forward by Glenn that boroughs would benefit from a longer introduction to the contract. ## Action TB undertook to organise this workshop which would include invitations to Corporate Property colleagues. ## 3 Compete4 Presentation & Discussion On Proposal To Switch From Supply4 London As Pan-London Portal (Est. 10.45 Am) Presenter: Patrick Codd, TFL Patrick provided an overview of Compete4. The presentation is attached to these minutes. Key recent development is that BIP (current provider) has been awarded concession contract to continue to operate the system. 90% of packages are private sector to private sector, so SME friendly. Advertising and short-listing tool that then links to relevant e-tendering tool. In April 2012, function was transferred to TFL. After the presentation, discussions moved to the proposal to switch from Supply4 London as pan-London portal. Decision There was agreement to move to CompeteFor and close down Supply4London. ## 4 A Pan-London Commercial Proposal For Dynamic Purchasing Systems (Est. 11.15 Am) Presenter: Andy Weston, Matrix Andy set out a pan-London commercial proposal for Dynamic Purchasing Systems. The proposal is attached to these minutes. The proposal is based from a direct call off from Pro 5 National Contract 312 - DPS. Action TB to organise a demonstration into the training pilot DPS run by Matrix at Camden in in July 2013. TB HoPs are encouraged to review the proposal presented by Matrix and feedback to TB or DP. All ## 5 Expenditure Analysis (Discussion On Proposal To Use Bravo) (Est. 11.45 Am) In the absence of Hugh Grover, the Chair led discussion on the proposal to use Bravo. The proposal would be for a quality spend analytics service, paid for by London Councils and therefor free to boroughs. A data sharing agreement is in place between LC and GPS. Action All Boroughs are encouraged to speak with DoF in order to facilitate signing up to the data sharing agreement. ## 6 Pan-London E-Tendering Strategy (Est. 12 Noon) Discussion centred on the issues which were raised in the paper which was provided as part of the final agenda and supporting papers. The results of the discussions that followed were that there is a three track approach to E-Tendering, based on the following solutions:  Due North boroughs (18)  Bravo boroughs (Tri-Borough) (3)  Oracle boroughs (6) \| \| \|--------------\| \| Agenda Items \| \| \| \| Actions \| \| \| ## 7 Outcomes From Sub-Group Investigating Category Mapping For London Borough Of Camden (Est. 12.10 Pm) Ned Mussen presented the outcomes of the LHOPN sub-group which proposed a number of recommendations which were set out in the paper which was provided as part of the final agenda and supporting papers. Action All HoPs are encouraged to provide feedback on the 3 aims set out in the paper, which are:  Aim 1 - Provide a sourcing guide for London Local Authorities to consider what they should be procuring locally, sub regionally, regionally and nationally (refer Excel worksheet 2)  Aim 2 - Identify where there are gaps in the above sourcing guide (e.g. where there a recommended regional approach and there is no appropriate mechanism in place) and identify resources to undertake pieces of work to fill the gaps (refer Excel worksheet 3)  Aim 3 - Provide a continuously updated list of frameworks for London Local Authorities that are open for London boroughs (or groups of London boroughs) to call off  ## 8 Closure Report On The Category Management Projects (For Submission To Capital Ambition) (Est. 12.20 Pm) Terry Brewer presented the draft of the closure report. Discussion centred on the issues which were raised in the paper which was provided as part of the final agenda and supporting papers. All Action HoPs are encouraged to provide feedback on the draft paper, from category leads in particular. ## 9 Aob (Est. 12.25 Pm) (1) PQQ Update Discussion centred on the latest draft of the PQQ which was provided as part of the final agenda and supporting papers. Action All HoPs are encouraged to provide feedback on the latest draft, to Kim Sanford or Janet Siman, of Haringey. ## (Ii) Lcsg Update Caroline Heckscher gave an update on the LCSG: - AGM held on Monday - Website redevelopment to begin - Planning for conference has commenced - Office Supplies to be worked through with GPS / ESPO as mini tender- boroughs need to align approval processes. Actions All Ideas sought from HoPs in relation to CIPS training ## 10 Future Work Programme And Forward Agenda September 2013 Sub-regional report for South West London Procurement Partnership Childrens Category Update November 2013 Sub-regional report for WLA ## Meetings Will Be Held At London Councils Remaining 2013 LHOPN Dates Please ensure that these dates are in your diaries Date & Time Place Friday 20th September 2013 at 10am London Councils Monday 18th November 2013 at 10am London Councils	en
1463-pdf	## Balance Of Payments St Quarter 2010 1 Date: 12 July 2010 Coverage: United Kingdom Theme: The Economy The current account recorded a deficit of £9.6 billion in the first quarter of 2010, equating to -2.7 per cent of GDP. This compares with a revised surplus of £0.5 billion in the fourth quarter of 2009 (0.1 per cent of GDP). This was the first current account surplus since the third quarter of 1998. A deficit of £8.8 billion was recorded with the EU compared with a deficit of £3.9 billion in the previous quarter. £ billion Current balance Compared with the fourth quarter of 2009, the switch back to a deficit was mainly due to a lower surplus on income. This was compounded by a higher deficit on current transfers and trade in goods together with a lower surplus on trade in services. The surplus on income decreased by £8.1 billion to £3.8 billion. The deficit on current transfers increased by £1.0 billion to £4.3 billion, while the deficit on trade in goods increased by £0.5 billion to £21.7 billion. The surplus on trade in services fell by £0.6 billion to £12.5 billion. Data in this release have been revised from the first quarter of 2006. ## Current Account (Balances) \| \| \| \|--------------------------------\|-----\| \| Trade in \| \| \| goods \| \| \| \| \| \| Trade in \| \| \| services \| \| \| \| \| \| Income \| \| \| \| \| \| Transfers \| \| \| \| \| \| Current \| \| \| Balance \| \| \| \| \| \| Current balance \| \| \| as per cent of \| \| \| GDP \| \| \| \| \| \| seasonally adjusted: £ billion \| \| \| \| \| \| % \| \| \| \| \| \| 2008 \| Q1 \| \| -0.6 \| \| \| \| Q2 \| \| -1.8 \| \| \| \| Q3 \| \| -2.1 \| \| \| \| Q4 \| \| -2.2 \| \| \| \| \| \| \| \| \| 2009 \| Q1 \| \| -1.0 \| \| \| \| Q2 \| \| -2.8 \| \| \| \| Q3 \| \| -0.8 \| \| \| \| Q4 \| \| 0.1 \| \| \| \| \| \| \| \| \| 2010 \| Q1 \| \| -2.7 \| \| ## Current Account Balance As Percentage Of Gdp Current account Trade in goods & services Income The current account balance equates to -2.7 per cent of GDP at current market prices in the first quarter of 2010, compared with 0.1 per cent in the previous quarter. The deficit on trade in goods and services is equivalent to -2.5 per cent of GDP in the latest quarter, compared with -2.3 per cent in the fourth quarter of 2009, while the surplus on income is 1.1 per cent of GDP in the latest quarter, compared with 3.4 per cent in the previous quarter. Current account with EU and non-EU countries (Table C) EU/non EU current account ## EU countries A deficit of £8.8 billion was recorded with the EU in the first quarter of 2010, compared with a deficit of £3.9 billion in the previous quarter. This increase was due to a fall in the surplus on income and a rise in the deficit on current transfers, partly offset by a fall in the deficit on trade in goods and an increase in the surplus on trade in services. The current account with non- EU countries showed a deficit of £0.9 billion in the latest quarter, compared to a surplus in the fourth quarter of 2009 of £4.4 billion. This switch was due to a reduction in the surplus of income and trade in services and an increase in the deficit on trade in goods, partly offset by a decrease in the deficit on current transfers. ## Trade In Goods (Table E) The deficit on trade in goods in the first quarter of 2010 was £21.7 billion, compared with £21.1 billion in the previous quarter. Exports rose by £1.6 billion, and imports rose by £2.2 billion. The deficit for trade in semi-manufactured goods widened by £0.8 billion to £1.6 billion, and the deficit for finished manufactured goods widened by £0.2 billion to £13.5 billion. The deficit for trade in oil narrowed by £0.4 billion to £0.3 billion, while the deficit for food, beverages and tobacco narrowed by £0.3 billion to £4.2 billion. ## Trade In Services (Table F) Trade In Services Balance 0 2 4 6 8 10 12 14 16 18 2008 Q3 2008 Q4 2009 Q1 2009 Q2 2009 Q3 2009 Q4 2010 Q1 £ billion The trade in services surplus was £12.5 billion in the first quarter of 2010, £0.6 billion lower than in the previous quarter. Exports fell by £0.7 billion to £39.1 billion, mainly reflecting a decrease in financial services (£0.4 billion), royalties and license fees (£0.3 billion) and construction services (£0.2 billion). Imports fell by £0.2 billion to £26.6 billion, reflecting decreases in government (£0.3 billion) and construction services (£0.2 billion), partially offset by an increase in financial services (£0.3 billion). Income (Table G) Income balance £ billion 14 12 10 8 6 4 2 0 2007 Q4 2008 Q1 2008 Q2 2008 Q3 2008 Q4 2009 Q1 2009 Q2 2009 Q3 2009 Q4 2010 Q1 The surplus on income in the first quarter of 2010 fell to £3.8 billion, from £11.9 billion in the previous quarter. Income credits were £41.5 billion in the first quarter of 2010, £0.1 billion higher than in the previous quarter. The rise was due to an increase of earnings from the previous quarter of £1.1 billion on direct investment abroad partially offset by a £0.9 billion reduction in earnings on other investment abroad. Income debits increased by £8.2 billion in the latest quarter to £37.6 billion. The rise was mainly driven by an increase in earnings from the previous quarter of £7.7 billion on direct investment in the UK. Earnings on portfolio investment in the UK increased by £1.0 billion in the latest quarter. These gains were slightly offset by a decrease in earnings on other investment in the UK of £0.5 billion. The deficit on compensation of employees was £0.2 billion in the first quarter of 2010, little changed from the previous quarter. The surplus on direct investment income was £10.0 billion in the first quarter of 2010, down £6.6 billion on the previous quarter. Earnings on direct investment abroad were £22.0 billion in the latest period, up from £20.9 billion in the fourth quarter of 2009. The increase was mainly driven by a switch to profits from losses in the previous quarter by monetary financial institutions and an increase in earnings by other financial intermediaries, partially offset by a decrease in earnings by private non-financial corporations and insurance companies. Foreign earnings on direct investment in the UK rose by £7.7 ## billion in the latest quarter to £11.9 billion. The rise was mainly due to a switch from losses to profits by monetary financial institutions in the UK. Portfolio investment income recorded a deficit of £3.4 billion in the first quarter of 2010, following a deficit of £2.4 billion in the previous quarter. UK earnings on portfolio investment abroad fell by £0.1 billion in the first quarter of 2010 to £11.6 billion. This was due to a reduction in dividend receipts on equity securities. Foreign earnings on portfolio investment in the UK rose by £1.0 billion in the latest quarter to £15.1 billion. The rise was due to higher earnings on UK equity securities and long- term debt. ## The deficit on earnings from other investment increased by £0.4 billion to £2.8 billion in the latest period. Earnings on other investment abroad were £7.5 billion, a decrease of £0.9 billion on the previous quarter. Earnings on other investment in the UK were £10.2 billion, a fall of £0.5 billion from the previous quarter. Income on reserve assets was £0.2 billion in the first quarter of 2010, little changed from the income earned in the previous quarter. Current Transfers (Table H) £ billion The deficit on current transfers increased by £1.0 billion in the first quarter of 2010 to £4.3 billion. This was mainly as a result of an increase in the UK's payments to EU institutions. It should be noted that the quarterly path of net contributions to EU institutions can be erratic. Capital Account (Table I) The capital account recorded a surplus of £1.2 billion in the first quarter of 2010, a rise of £0.3 billion from the fourth quarter of 2009. ## Financial Account (Table J) Financial Account UK investment abroad Investment in the UK The financial account showed a net inflow (i.e. inward investment) of £1.0 billion in the first quarter of 2010, compared with a net inflow of £6.1 billion in the previous quarter. There was net investment abroad of £101.2 billion in the latest quarter, following net disinvestment of £29.8 billion in the fourth quarter of 2009. There was net investment in the UK of £102.2 billion in the first quarter of 2010, following net disinvestment of £23.7 billion in the previous quarter. Direct investment recorded net inward investment of £14.8 billion in the latest quarter compared with net outward investment of £3.8 billion in the previous quarter. Direct Investment abroad showed net investment of £11.0 billion in the first quarter of 2010, compared to net investment of £17.2 billion in the previous quarter. The reduction in the net investment is due to a switch to net disinvestment in other capital transactions outweighing the increased investment in reinvested earnings and the switch to net investment in equity capital. Transactions in equity capital switched from disinvestment of £0.7 billion in the fourth quarter of 2009 to investment of £1.5 billion in the latest period, reinvested earnings increased by £6.4 billion to £11.7 billion, while other capital transactions switched from net investment of £12.7 billion in the previous quarter to net disinvestment of £2.2 billion in the first quarter of 2010. Other financial intermediaries' investment switched from an outflow of £0.5 billion in the fourth quarter of 2009 to a net inflow of £4.3 billion in the latest quarter, while net investment by monetary financial institutions fell from £6.0 billion in the previous quarter to £2.7 billion in the first quarter of 2010. Net investment by private non-financial corporations fell from £10.8 billion in the fourth quarter of 2009 to £9.9 billion in the latest quarter. These falls in investment were partially offset by a switch by insurance companies from net disinvestment in the fourth quarter of 2009 to net investment in the latest quarter. Direct investment into the UK showed net investment of £25.9 billion in the first quarter of 2010, £12.4 billion higher than in the fourth quarter of 2009, mainly due to a switch to investment in other capital transactions. Net investment in other capital increased to £8.5 billion in the latest quarter, switching from Statistical Bulletin: Balance of Payments, 1st quarter 2010 \| Page 6 disinvestment of £3.1 billion in the fourth quarter of 2009, reinvested earnings increased by £0.9 billion to £3.6 billion, while investment in equity securities fell to £13.8 billion in the first quarter of 2010, from £13.9 billion in the previous quarter. Investment in private non-financial corporations switched from net disinvestment of £4.4 billion in the fourth quarter of 2009 to net investment of £18.7 billion in the latest quarter, while investment in other financial intermediaries (excluding securities dealers) increased by £4.0 billion in the latest quarter to £6.2 billion. These gains were partially offset by a reduction in investment in securities dealers and monetary financial institutions, and a switch from net investment to net disinvestment in insurance companies. Portfolio investment in the first quarter of 2010 switched to a net inflow of £18.0 billion compared with a net outflow of £5.3 billion in the previous quarter. Portfolio investment £ billion 200 UK investment abroad Investment in the UK 150 100 50 0 -50 -100 -150 2009 Q3 2009 Q4 2010 Q1 Portfolio investment abroad showed net investment of £12.7 billion in the first quarter of 2010, following net investment of £20.1 billion in the fourth quarter of 2009. Net investment in debt securities increased from £12.4 billion in the fourth quarter of 2009, to £25.9 billion in the latest quarter. Net investment in equity securities switched from a net outflow of £7.7 billion in the previous quarter, to a net inflow of £13.2 billion in the latest quarter. In the latest quarter, investment by other financial intermediaries decreased by £8.4 billion to £17.4 billion, mainly driven by a switch to net disinvestment in equity securities. Insurance companies and pension funds switched from net investment of £6.5 billion to net disinvestment of £1.2 billion, driven mainly by an increase in disinvestment in equity securities. These falls were partially offset as both monetary financial institutions and private non-financial corporations reduced their level of net disinvestment. Portfolio investment in the UK showed net investment of £30.7 billion in the first quarter of 2010, compared with net investment of £14.8 billion in the fourth quarter of 2009. There was net investment in debt securities of £37.9 billion in the latest quarter, an increase of £32.7 billion on the previous quarter. Net investment in equity securities switched to net disinvestment of £7.2 billion in the first quarter of 2010, following net investment of £9.6 billion in the fourth quarter of 2009. Investment in central government securities increased by £16.9 billion to £30.1 billion, mainly driven by a switch to net Statistical Bulletin: Balance of Payments, 1st quarter 2010 \| Page 7 investment in treasury bills. Disinvestment in securities issued by monetary financial institutions fell to £1.7 billion in the first quarter of 2010 from disinvestment of £6.6 billion in the previous quarter. Investment in other sectors fell in the first quarter of 2010 driven by a switch from net investment to net disinvestment in equity securities. There was net investment in long-term debt of £35.2 billion in the latest quarter, while there was a switch from net disinvestment in short-term debt of £12.9 billion in the previous quarter to net investment of £2.7 billion in the latest quarter. Financial derivatives showed net settlement payments of £21.1 billion in the first quarter of 2010, following net settlement payments of £23.5 billion in the previous quarter. Other investment in the latest quarter recorded net outward investment of £51.6 billion compared with net outward investment of £8.7 billion in the previous quarter. ## Other Investment Other investment abroad switched to net investment of £97.3 billion in the first quarter of 2010, following net disinvestment of £43.3 billion in the fourth quarter of 2009. The investment in the latest quarter was mainly due to a switch to net deposits abroad by UK residents of £75.6 billion. Other investment in the UK switched to net investment of £45.7 billion in the first quarter of 2010, compared with net disinvestment of £52.0 billion in the fourth quarter of 2009. There was a switch with UK monetary financial institutions from net withdrawals of £23.8 billion in the previous quarter to net deposits of £46.0 billion in the latest quarter, while UK securities dealers made reduced net short-term loan repayments of £8.2 billion, down from £52.7 billion in the previous quarter. Reserve assets showed net investment of £1.3 billion in the first quarter of 2010, compared with net disinvestment of £0.5 billion in the previous quarter. ## International Investment Position (Net) International Investment Position (Table K) £ billion The international investment position showed net external liabilities (i.e. liabilities exceed assets) of £218.2 billion at the end of the first quarter of 2010 compared with net external liabilities of £275.0 billion at the end of the previous quarter. UK assets abroad increased by £587.7 billion from the end of the fourth quarter of 2009 to a level of £9287.7 billion at the end of the first quarter of 2010. UK liabilities increased by £530.8 billion over the same period to a level of £9505.8 billion. The increase in the level of both UK assets and UK liabilities in the first quarter of 2010 mainly reflects a combination of the increase in investment flows and revaluation effects due to exchange rate movements and price changes. Revisions since last Balance of Payments Statistical Bulletin (Table R) Data in this release have been revised from the first quarter of 2006. Overall changes to the current account in the latest periods, by current balance component, are as follows: £ billion 08q1 08q2 08q3 08q4 09q1 09q2 09q3 09q4 Trade in goods - - - 0.2 0.1 -0.1 - -0.1 Trade in services - -0.1 0.1 0.2 - -0.1 -0.1 0.7 Income -0.8 -0.4 0.4 -1.4 0.6 -2.8 3.2 1.6 Current transfers - -0.1 -0.1 0.2 - - -0.1 - Current balance -0.8 -0.5 0.4 -0.9 0.6 -2.9 3.0 2.2 Notes: columns may not sum due to rounding; - means nil or less than £50 million. Trade in goods - The revisions to trade in goods from the first quarter of 2008 onwards reflect revised data from Her Majesty's Revenue and Customs and other data suppliers, revised estimates of trading associated with VAT MTIC fraud, later survey data on trade prices, and a re- assessment of seasonal factors. The revisions are consistent with the UK Trade data released on 9th June 2010. Trade data released on 9th July 2010 were subject to additional small revisions and are therefore not fully consistent with the trade in goods data in this statistical bulletin. Trade in Services - Revisions in 2009 are due to the inclusion of provisional annual data from the International Trade in Services survey, Bank of England, Chamber of Shipping, Insurance inquiry and other survey sources. Revisions for 2006 to 2008 are due to supply use balancing and small revisions reflect a reassessment of data following the receipt of the provisional annual 2009 ITIS data. Current Transfers - Revisions to current transfers in 2009 are attributable to revised source data for transfers involving the UK government and the use of the latest data for various ONS surveys. Capital Account - Revisions to 2009 reflect annual data from the International Trade in Services survey for purchases of non-produced non- financial assets. Statistical Bulletin: Balance of Payments, 1st quarter 2010 \| Page 10 Investment income, financial account and international investment position - Revisions from the first quarter 2006 are mainly due to: new methodology for estimating UK banks net transactions in financial derivatives with non-residents, together with the introduction into the accounts of the associated asset and liability levels; the take on of annual benchmark data for foreign direct investment by, and in, UK banks; revisions to coverage adjustments in the estimates for UK non-banks deposits with, and loans from, non-residents; and improved information for UK monetary financial institutions' receipts and payments of interest on loans and deposits. Revisions from the first quarter of 2007 reflect the incorporation of revised annual data for foreign direct investment by, and in, UK non-banks. Revisions to recent periods reflect the receipt of new or revised survey data and a reassessment of seasonal factors. Revisions in the latest period also reflect amended data from quarterly inquiries and new estimates from the Bank for International Settlements. BACKGROUND NOTES This quarter 1. This release includes data available up to 14 June 2010 and is consistent with the dataset to be published in this year's UK Balance of Payments Pink Book and UK National Accounts Blue Book. The 2010 Blue Book and Pink Book dataset will be published electronically on the Office for National Statistics website on 30 July 2010 and the paper versions will be published on 27 August 2010. ## Basic Quality Information For Bop Statistical Bulletin Summary Quality Report 2. A Summary Quality Report For This Statistical Bulletin Is Available On The National Statistics Website At: http://www.statistics.gov.uk/cci/article.asp?ID=1453 ## Key Quality Issues 3. Common pitfalls in interpreting series: Expectations of accuracy and reliability in early estimates are often too high. Revisions are an inevitable consequence of the trade off between timeliness and accuracy. Early estimates are based on incomplete data. Very few statistical revisions arise as a result of 'errors' in the popular sense of the word. All estimates, by definition, are subject to statistical 'error'; but in this context the word refers to the uncertainty inherent in any process or calculation that uses sampling, estimation or modelling. Most revisions reflect either the adoption of new statistical techniques, or the incorporation of new information which allows the statistical error of previous estimates to be reduced. Only rarely are there avoidable 'errors' such as human or system failures, and such mistakes are made quite clear when they do occur. ## Reliability 4. The Data In This Statistical Bulletin Are Subject To Revisions Following The Ons National Accounts Revision Policy. The Policy Can Be Found At: http://www.statistics.gov.uk/cci/article.asp?ID=1187&Pos=1&ColRank=2&Rank=224 Estimates for the most recent quarters are provisional and, as usual, are subject to revision in light of updated source information. ONS has recently started to provide an analysis of past revisions in the BoP and other Statistical Bulletins which present time series. Details can be found at: http://www.statistics.gov.uk/cci/article.asp?ID=793 Spreadsheets giving revisions triangles (real time databases) of estimates from 1996 to date and the calculations behind the averages in the table are available on the National Statistics website at: http://www.statistics.gov.uk/StatBase/Product.asp?vlnk=1118 5. Revisions to data provide one indication of the reliability of key indicators. The table below shows summary information on the size and direction of the revisions which have been made to the data covering a five year period. A statistical test has been applied to the average revision to find out if it is statistically significantly different from zero. An asterisk () shows that the test is significant. The table covers estimates from the balance of payments first published from June 2002 (2002q1) to March 2007 (2006q4). \| Current account (seasonally adjusted) \| £million \| \|----------------------------------------------\|-----------------------------------------\| \| \| Revisions between first publication and \| \| estimates three years later \| \| \| Average over the \| \| \| last five years \| \| \| without regard to \| \| \| sign (average \| \| \| absolute revision) \| \| \| Value in latest \| \| \| period \| \| \| Average over the \| \| \| last five years \| \| \| Credits (HBON) \| 146388 \| \| Debits (HBOO) \| 156016 \| \| Net (HBOP) \| -9628 \| An article analysing balance of payments current account revisions was published in the May 2007 edition of Economic & Labour Market Review. It is available on the National Statistics website at: http://www.statistics.gov.uk/elmr/05_07/downloads/ELMR_May07.pdf Status of figures and planned future revisions 6. In this issue of the Balance of Payments Statistical Bulletin (and in the forthcoming 2010 edition of the Balance of Payments Pink Book), ONS have for the first time introduced data on financial derivatives business of UK banks into the main aggregates of the international investment position. Data for securities dealers and insurance and pension funds will continue to be excluded from the UK's international investment position whilst the data continues to be validated and estimates improved. The financial derivatives balance sheet for all sectors will be published separately in table FD of the Pink Book. 7. ONS and the Bank of England intend to review the measurement of banks' earnings on Foreign Direct Investment (FDI). The current estimates of banks' earnings on FDI are shown on an all inclusive basis, including holding gains and losses but FDI earnings can also be presented on a current operating performance basis, which excludes holding gains and losses. International standards currently allow presentation on either basis but this is also under review by the international organisations as part of the regular update of international guidelines. 8. Import figures for Trade in Goods include adjustments to allow for the impact of trade associated with VAT Missing Trader Intra-Community (MTIC) fraud. The adjustments were introduced for the first time in the UK Trade May 2003 First Release published on 9 July 2003. The adjustments are added to the EU import estimates derived from Intrastat returns. An article explaining the fraud and the impact on the trade figures was published on 9 July 2003. A follow-up report was published on 17 February 2005 which summarises the work carried out since July 2003 to review the estimates of the impact on the trade figures. The articles can be found at: http://www.statistics.gov.uk/cci/article.asp?ID=402 http://www.statistics.gov.uk/cci/article.asp?ID=1066 Changes to the pattern of trading associated with MTIC fraud can make it difficult to analyse trade by commodity group and by country as changes in the impact of activity associated with this fraud affect both imports and exports. Originally, most carousel chains only involved EU member states. From 2004 in particular, some carousel chains included non-EU countries, e.g. Dubai and Switzerland. However, the MTIC trade adjustments are added to the EU import estimates derived from Intrastat returns as it is this part of the chain that is not generally recorded. In particular, adjustments affect trade in capital goods and intermediate goods - these categories include mobile phones and computer components, which are still the most widely affected goods. 9. Figures for total exports and imports less adjustments for trade associated with VAT MTIC fraud are given in the monthly UK Trade Statistical Bulletin, which can be found at: http://www.statistics.gov.uk/StatBase/Product.asp?vlnk=1119 10. Figures for the most recent periods are provisional and subject to revision in light of: (a) late and corrected responses to surveys; (b) revisions to seasonal adjustment factors which are reestimated annually. 11. ONS delivered Q1 2010 current account estimates at the end of May to Eurostat solely for them to estimate aggregate euro-indicators. The same approach is followed for each quarterly delivery. 12. In order to comply with Regulation (EC) No 184/2005, ONS will supply Eurostat and the European Central Bank with current account data for trade in services and investment income unadjusted for FISIM e.g. FISIM will not be included in trade in services but will remain in investment income. Additionally, a detailed geographical and product breakdown of trade in services will be supplied to Eurostat to comply with the same regulation. Both deliveries are scheduled to take place on 12 July 2010. General notes 13. Table C provides an EU/non-EU breakdown of the current account. Data in this release are presented on an EU27 basis, reflecting the expansion of EU membership on 1 January 2007. A quarterly geographic breakdown of the UK's current account with the Euro area, the USA, Japan, Canada, Switzerland, Brazil, China, Hong Kong, India and Russia is also available and is published in United Kingdom Economic Accounts* (UKEA). 14. Current and capital accounts are seasonally adjusted. Financial account and international investment position data are not seasonally adjusted. 15. When compiling the geographic breakdown of income, current transfers and trade in services, the EU countries are seasonally adjusted. The non-EU seasonally adjusted figure is calculated by subtracting the seasonally adjusted EU total from the seasonally adjusted world total. Both EU and non-EU data are seasonally adjusted for trade in goods; these are aggregated to form the world total. 16. International investment position statistics are based on recording direct investments at book values and other assets and liabilities at estimated market values and are likely in some respects to be deficient in scope and coverage. Quarterly estimates tend to be less reliable because they are largely based on cumulated flows and not reported levels. 17. In theory, every credit entry should be matched by a corresponding debit so that total current, capital and financial account credits should be equal to, and therefore offset by, total debits. In practice there is a discrepancy termed net errors and omissions. The net errors and omissions are shown on Table A. ## Further Information 18. The United Nations Statistics Commission And The Imf Board Of Directors Have Approved The Comprehensive And Parallel Updating Of The Following National Accounts Manuals, In Order To Ensure Their Consistency And Achieve Greater Harmonisation: 1993 System of National Accounts, 1993 (SNA93); Balance of Payments Manual, 5th edition (BPM5); Government Finance Statistics Manual, 2001 (GFSM2001). ONS has developed the following webpage to inform users of progress and to invite their input: http://www.statistics.gov.uk/about/Consultations/NA/default.asp 19. Further Balance of Payments data is available online in the quarterly ONS publication United Kingdom Economic Accounts at: http://www.statistics.gov.uk/StatBase/Product.asp?vlnk=1904&Pos=&ColRank=1&Rank=256 20. Free access to National Statistics data is available online at: http://www.statistics.gov.uk 21. Details of the policy governing the release of new data are available from the Media Office. Also available is a list of the names of those given pre-publication access to the contents of this bulletin. Exceptional pre-publication access was granted for Friday 9 July due to the publication being released on a Monday. 22. National Statistics are produced to high professional standards set out in the Code of Practice for Official Statistics. They undergo regular quality assurance reviews to ensure that they meet customer needs. They are produced free from any political interference. © Crown Copyright 2010. ................................................................................................................................................................ Next publication: 28 September 2010 Issued by: Office for National Statistics, Government Buildings, Cardiff Road, Newport NP10 8XG ## Media Contact: Tel Media Relations Office 0845 6041858 Emergency on-call 07867 906553 Email press.office@ons.gsi.gov.uk ## Statistical Contact: Tel Damian Whittard 01633 455497 Email bop@ons.gov.uk ## Website: www.statistics.gov.uk ## Index To Tables A Summary of balance of payments B Current account C Current account transactions with the EU and with non-EU countries D Summary of International investment position, financial account and investment income E Trade in goods F Trade in services G Income H Current transfers I Capital transfers J Financial account K International investment position R1 Summary of revisions since last Balance of Payments Statistical Bulletin R2 Current account revisions since last Balance of Payments Statistical Bulletin R3 Revisions to international investment since last Balance of Payments Statistical Bulletin ## A Summar Y Of Balance Of Payments Balances (Net Transactions) £ million 2008 2009 2008 2008 2008 2008 2009 2009 2009 2009 2010 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Seasonally adjusted Current account Tr ade in goods and services Tr ade in goods BOKI −93 116 −81 875 −23 481 −23 655 −23 830 −22 150 −20 978 −19 968 −19 821 −21 108 −21 657 Tr ade in services IKBD 55 356 49 852 12 169 13 513 13 022 16 652 13 134 11 606 12 031 13 081 12 524 Total trade IKBJ −37 760 −32 023 −11 312 −10 142 −10 808 −5 498 −7 844 −8 362 −7 790 −8 027 −9 133 Income Compensation of employees IJAJ −715 −688 −135 −202 −158 −220 −134 −153 −184 −217 −163 Investment income HBOM 28 750 31 970 13 446 7 506 7 085 713 8 186 2 974 8 691 12 119 4 005 Total income HBOJ 28 035 31 282 13 311 7 304 6 927 493 8 052 2 821 8 507 11 902 3 842 Current transfers Central government FNSV −9 074 −11 186 −2 723 −2 301 −2 319 −1 731 −2 295 −3 337 −2 552 −3 002 −3 316 Other sectors FNTC −4 977 −3 579 −1 380 −1 309 −1 262 −1 026 −1 486 −659 −1 082 −352 −1 021 Total current transfers IKBP −14 051 −14 765 −4 103 −3 610 −3 581 −2 757 −3 781 −3 996 −3 634 −3 354 −4 337 Current balance HBOP −23 776 −15 506 −2 104 −6 448 −7 462 −7 762 −3 573 −9 537 −2 917 521 −9 628 Capital balance FNVQ 3 241 3 219 980 943 571 747 760 870 746 843 1 183 Not seasonally adjusted Current account Tr ade in goods and services Tr ade in goods LQCT −93 116 −81 875 −23 437 −24 260 −23 900 −21 519 −21 506 −20 031 −20 081 −20 257 −22 260 Tr ade in services KTMS 55 356 49 852 12 874 13 692 11 141 17 649 13 512 11 730 10 687 13 923 12 692 Total trade KTMY −37 760 −32 023 −10 563 −10 568 −12 759 −3 870 −7 994 −8 301 −9 394 −6 334 −9 568 Income Compensation of employees KTMP −715 −688 −140 −187 −181 −207 −133 −142 −204 −209 −159 Investment income HMBM 28 750 31 970 14 224 6 569 8 256 −299 8 412 2 874 9 608 11 076 3 988 Total income HMBP 28 035 31 282 14 084 6 382 8 075 −506 8 279 2 732 9 404 10 867 3 829 Current transfers Central government FJUQ −9 074 −11 186 −3 424 −1 965 −2 018 −1 667 −2 976 −3 033 −2 378 −2 799 −4 560 Other sectors FJUR −4 977 −3 579 −1 700 −1 132 −1 251 −894 −1 781 −496 −1 006 −296 −1 250 Total current transfers KTNF −14 051 −14 765 −5 124 −3 097 −3 269 −2 561 −4 757 −3 529 −3 384 −3 095 −5 810 Current balance HBOG −23 776 −15 506 −1 603 −7 283 −7 953 −6 937 −4 472 −9 098 −3 374 1 438 −11 549 Capital balance FKMJ 3 241 3 219 927 981 585 748 704 912 765 838 1 127 Financial account Direct investment HJYV −37 841 −15 357 5 696 −13 954 −20 763 −8 820 −15 996 749 3 680 −3 790 14 827 Portfolio investment HHZD 324 076 34 835 66 258 108 727 29 821 119 270 63 400 3 084 −26 334 −5 315 17 970 Financial derivatives (net) ZPNN −121 684 29 104 −63 328 −18 293 14 144 −54 207 −9 688 5 648 9 666 23 478 21 135 Other investment HHYR −140 078 −37 222 −14 308 −71 443 −14 427 −39 900 −45 377 −4 396 21 262 −8 711 −51 604 Reser ve assets LTCV 1 338 −5 763 931 −108 2 132 −1 617 1 877 −1 304 −6 787 451 −1 323 Net financial transactions HBNT 25 811 5 597 −4 751 4 929 10 907 14 726 −5 784 3 781 1 487 6 113 1 005 Net errors and omissions1 HHDH −5 276 6 690 5 427 1 373 −3 539 −8 537 9 552 4 405 1 122 −8 389 9 417 1 This series represents net errors and omissions in the balance of payments accounts. It is the converse of the current and capital balances (HBOG and and FKMJ) and net financial account transactions (HBNT) and is required to balance these three accounts, not seasonally adjusted. £ million 2008 2009 2008 2008 2008 2008 2009 2009 2009 2009 2010 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Credits Expor ts of goods and services Expor ts of goods BOKG 252 086 227 537 60 769 65 037 66 015 60 265 55 795 54 632 56 436 60 674 62 287 Expor ts of services IKBB 170 819 159 111 40 831 42 209 41 963 45 816 41 463 39 120 38 701 39 827 39 106 Total expor ts of goods and services IKBH 422 905 386 648 101 600 107 246 107 978 106 081 97 258 93 752 95 137 100 501 101 393 Income Compensation of employees IJAH 1 046 916 266 264 262 254 253 233 217 213 228 Investment income HBOK 260 967 173 128 74 126 70 541 65 079 51 221 48 702 39 411 43 881 41 134 41 247 Total income HBOH 262 013 174 044 74 392 70 805 65 341 51 475 48 955 39 644 44 098 41 347 41 475 Current transfers Central government FHDM 5 652 6 158 1 262 1 188 884 2 318 1 752 1 996 1 393 1 017 1 042 Other sectors FHIB 10 669 10 465 2 766 2 624 2 475 2 804 2 504 2 458 2 869 2 634 2 478 Total current transfers IKBN 16 321 16 623 4 028 3 812 3 359 5 122 4 256 4 454 4 262 3 651 3 520 Total HBON 701 239 577 315 180 020 181 863 176 678 162 678 150 469 137 850 143 497 145 499 146 388 Debits Impor ts of goods and services Impor ts of goods BOKH 345 202 309 412 84 250 88 692 89 845 82 415 76 773 74 600 76 257 81 782 83 944 Impor ts of services IKBC 115 463 109 259 28 662 28 696 28 941 29 164 28 329 27 514 26 670 26 746 26 582 Total imports of goods and services IKBI 460 665 418 671 112 912 117 388 118 786 111 579 105 102 102 114 102 927 108 528 110 526 Income Compensation of employees IJAI 1 761 1 604 401 466 420 474 387 386 401 430 391 Investment income HBOL 232 217 141 158 60 680 63 035 57 994 50 508 40 516 36 437 35 190 29 015 37 242 Total income HBOI 233 978 142 762 61 081 63 501 58 414 50 982 40 903 36 823 35 591 29 445 37 633 Current transfers Central government FLUD 14 726 17 344 3 985 3 489 3 203 4 049 4 047 5 333 3 945 4 019 4 358 Other sectors FLUZ 15 646 14 044 4 146 3 933 3 737 3 830 3 990 3 117 3 951 2 986 3 499 Total current transfers IKBO 30 372 31 388 8 131 7 422 6 940 7 879 8 037 8 450 7 896 7 005 7 857 Total HBOO 725 015 592 821 182 124 188 311 184 140 170 440 154 042 147 387 146 414 144 978 156 016 Balances Tr ade in goods and services Tr ade in goods BOKI −93 116 −81 875 −23 481 −23 655 −23 830 −22 150 −20 978 −19 968 −19 821 −21 108 −21 657 Tr ade in services IKBD 55 356 49 852 12 169 13 513 13 022 16 652 13 134 11 606 12 031 13 081 12 524 Total trade in goods and services IKBJ −37 760 −32 023 −11 312 −10 142 −10 808 −5 498 −7 844 −8 362 −7 790 −8 027 −9 133 Income Compensation of employees IJAJ −715 −688 −135 −202 −158 −220 −134 −153 −184 −217 −163 Investment income HBOM 28 750 31 970 13 446 7 506 7 085 713 8 186 2 974 8 691 12 119 4 005 Total income HBOJ 28 035 31 282 13 311 7 304 6 927 493 8 052 2 821 8 507 11 902 3 842 Current transfers Central government FNSV −9 074 −11 186 −2 723 −2 301 −2 319 −1 731 −2 295 −3 337 −2 552 −3 002 −3 316 Other sectors FNTC −4 977 −3 579 −1 380 −1 309 −1 262 −1 026 −1 486 −659 −1 082 −352 −1 021 Total current transfers IKBP −14 051 −14 765 −4 103 −3 610 −3 581 −2 757 −3 781 −3 996 −3 634 −3 354 −4 337 Current balance HBOP −23 776 −15 506 −2 104 −6 448 −7 462 −7 762 −3 573 −9 537 −2 917 521 −9 628 Balances as a percentage of GDP1 Tr ade in goods and services Tr ade in goods D28J −6.4 −5.9 −6.5 −6.5 −6.6 −6.2 −6.0 −5.8 −5.7 −6.0 −6.0 Tr ade in services D28K 3.8 3.6 3.4 3.7 3.6 4.6 3.8 3.4 3.5 3.7 3.5 Total trade in goods and services D28L −2.6 −2.3 −3.1 −2.8 −3.0 −1.5 −2.3 −2.4 −2.2 −2.3 −2.5 Total income D28M 1.9 2.2 3.7 2.0 1.9 0.1 2.3 0.8 2.4 3.4 1.1 Total current transfers D28N −1.0 −1.1 −1.1 −1.0 −1.0 −0.8 −1.1 −1.2 −1.0 −1.0 −1.2 Current balance as percentage of GDP AA6H −1.6 −1.1 −0.6 −1.8 −2.1 −2.2 −1.0 −2.8 −0.8 0.1 −2.7 1 Using series YBHA: GDP at current market prices ## C Current Account: Transactions With The European Union (Eu) And With Non-Eu Countries Seasonally Adjusted £ Million 2008 2009 2008 2008 2008 2008 2009 2009 2009 2009 2010 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Transactions with the European Union 1 2 Credits Expor ts of goods LGCK 141 831 124 334 34 732 36 928 37 084 33 087 30 845 29 411 31 002 33 076 33 890 Expor ts of services GD7B 69 233 63 978 16 569 17 222 17 398 18 044 16 488 16 218 15 960 15 312 15 230 Total expor ts of goods and services GD7A 211 064 188 312 51 301 54 150 54 482 51 131 47 333 45 629 46 962 48 388 49 120 Income G97T 120 064 77 130 31 942 31 911 30 237 25 974 22 506 19 224 18 872 16 528 15 941 Current transfers GD76 10 873 11 572 2 777 2 348 2 027 3 721 3 214 3 199 2 659 2 500 2 449 Total G97N 342 001 277 014 86 020 88 409 86 746 80 826 73 053 68 052 68 493 67 416 67 510 Debits Impor ts of goods LGDC 181 070 161 496 46 120 47 339 46 109 41 502 39 281 38 492 39 919 43 804 43 352 Impor ts of services GD7T 58 576 54 773 14 795 14 531 14 535 14 715 14 978 13 561 12 723 13 511 12 200 Total imports of goods and services GD7S 239 646 216 269 60 915 61 870 60 644 56 217 54 259 52 053 52 642 57 315 55 552 Income G97K 91 733 57 619 25 183 25 921 21 516 19 113 16 915 15 277 14 669 10 758 15 876 Current transfers GD7O 16 152 17 498 4 946 3 979 3 360 3 867 5 138 5 086 4 051 3 223 4 833 Total G97E 347 531 291 386 91 044 91 770 85 520 79 197 76 312 72 416 71 362 71 296 76 261 Balances Tr ade in goods LGCG −39 239 −37 162 −11 388 −10 411 −9 025 −8 415 −8 436 −9 081 −8 917 −10 728 −9 462 Tr ade in services GD7Y 10 657 9 205 1 774 2 691 2 863 3 329 1 510 2 657 3 237 1 801 3 030 Total trade in goods and services GD7X −28 582 −27 957 −9 614 −7 720 −6 162 −5 086 −6 926 −6 424 −5 680 −8 927 −6 432 Income G97C 28 331 19 511 6 759 5 990 8 721 6 861 5 591 3 947 4 203 5 770 65 Current transfers GD7V −5 279 −5 926 −2 169 −1 631 −1 333 −146 −1 924 −1 887 −1 392 −723 −2 384 Total G976 −5 530 −14 372 −5 024 −3 361 1 226 1 629 −3 259 −4 364 −2 869 −3 880 −8 751 ## Transactions With Non-Eu Countries 3 Credits Expor ts of goods LGDY 110 255 103 203 26 037 28 109 28 931 27 178 24 950 25 221 25 434 27 598 28 397 Expor ts of services GEK9 101 586 95 133 24 262 24 987 24 565 27 772 24 975 22 902 22 741 24 515 23 876 Total expor ts of goods and services GEK8 211 841 198 336 50 299 53 096 53 496 54 950 49 925 48 123 48 175 52 113 52 273 Income G98L 141 949 96 914 42 450 38 894 35 104 25 501 26 449 20 420 25 226 24 819 25 534 Current transfers GEK6 5 448 5 051 1 251 1 464 1 332 1 401 1 042 1 255 1 603 1 151 1 071 Total G98E 359 238 300 301 94 000 93 454 89 932 81 852 77 416 69 798 75 004 78 083 78 878 Debits Impor ts of goods LGER 164 132 147 916 38 130 41 353 43 736 40 913 37 492 36 108 36 338 37 978 40 592 Impor ts of services GEM9 56 887 54 486 13 867 14 165 14 406 14 449 13 351 13 953 13 947 13 235 14 382 Total imports of goods and services GEM8 221 019 202 402 51 997 55 518 58 142 55 362 50 843 50 061 50 285 51 213 54 974 Income G98C 142 245 85 140 35 898 37 580 36 898 31 869 23 987 21 545 20 921 18 687 21 757 Current transfers GEM6 14 220 13 890 3 185 3 443 3 580 4 012 2 899 3 364 3 845 3 782 3 024 Total G985 377 484 301 432 91 080 96 541 98 620 91 243 77 729 74 970 75 051 73 682 79 755 Balances Tr ade in goods LGDT −53 877 −44 713 −12 093 −13 244 −14 805 −13 735 −12 542 −10 887 −10 904 −10 380 −12 195 Tr ade in services GEN6 44 699 40 647 10 395 10 822 10 159 13 323 11 624 8 949 8 794 11 280 9 494 Total trade in goods and services GEN5 −9 178 −4 066 −1 698 −2 422 −4 646 −412 −918 −1 938 −2 110 900 −2 701 Income G983 −296 11 774 6 552 1 314 −1 794 −6 368 2 462 −1 125 4 305 6 132 3 777 Current transfers GEN3 −8 772 −8 839 −1 934 −1 979 −2 248 −2 611 −1 857 −2 109 −2 242 −2 631 −1 953 Total G97V −18 246 −1 131 2 920 −3 087 −8 688 −9 391 −313 −5 172 −47 4 401 −877 1 EU presented on an EU27 basis. 2 Includes transactions with European Union institutions. 3 Includes transactions with international organisations other than European Union institutions. ## D Summar Y Of International Investment Position, Financial Account And Investment Income Not Seasonally Adjusted £Billion 2008 2009 2008 2008 2008 2008 2009 2009 2009 2009 2010 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Investment abroad Inter national Investment Position Direct investment HBWD 1 046.1 1 024.4 896.8 935.3 967.1 1 046.1 1 054.5 995.8 1 004.8 1 024.4 1 041.6 Portfolio investment HHZZ 1 664.3 1 889.2 1 643.0 1 589.7 1 591.1 1 664.3 1 648.8 1 646.3 1 863.0 1 889.2 2 012.4 Financial derivatives JX96 4 040.2 2 201.5 2 070.9 2 063.7 2 176.0 4 040.2 3 908.1 2 581.7 2 606.1 2 201.5 2 415.1 Other investment HLXV 4 193.6 3 544.7 4 160.2 3 736.6 3 947.5 4 193.6 3 947.2 3 549.1 3 640.6 3 544.7 3 775.2 Reser ve assets LTEB 36.3 40.1 28.2 27.6 27.0 36.3 34.2 31.7 40.9 40.1 43.3 Total HBQA 10 980.5 8 700.0 8 799.1 8 352.8 8 708.7 10 980.5 10 592.7 8 804.5 9 155.5 8 700.0 9 287.7 Financial Account transactions Direct investment -HJYP 87.6 30.1 22.2 27.7 16.4 21.3 14.2 −3.9 2.6 17.2 11.0 Portfolio investment -HHZC −123.5 154.1 −18.9 1.7 2.7 −108.9 40.8 38.5 54.7 20.1 12.7 Financial derivatives (net) -ZPNN 121.7 −29.1 63.3 18.3 −14.1 54.2 9.7 −5.6 −9.7 −23.5 −21.1 Other investment -XBMM −599.1 −331.0 256.4 −387.6 21.1 −489.0 −168.0 −53.1 −66.6 −43.3 97.3 Reser ve assets -LTCV −1.3 5.8 −0.9 0.1 −2.1 1.6 −1.9 1.3 6.8 −0.5 1.3 Total -HBNR −514.7 −170.1 322.1 −339.9 23.9 −520.8 −105.3 −22.8 −12.2 −29.8 101.2 Investment income earnings Direct investment HJYW 67.3 73.1 21.0 25.0 18.8 2.5 15.3 14.4 23.5 20.0 20.4 Portfolio investment HLYX 67.6 54.5 16.5 17.3 16.5 17.2 15.5 15.6 12.3 11.2 11.6 Other investment AIOP 125.3 44.7 34.8 30.4 30.2 29.8 16.1 11.4 8.8 8.4 7.5 Reser ve assets HHCB 0.8 0.8 0.2 0.2 0.2 0.2 0.2 0.2 0.2 0.2 0.2 Total HMBN 261.0 173.1 72.6 72.8 65.8 49.8 47.2 41.6 44.7 39.7 39.7 Investment in the UK Inter national Investment Position Direct investment HBWI 668.5 671.8 639.8 651.8 648.9 668.5 664.0 659.3 666.6 671.8 697.2 Portfolio investment HLXW 1 978.2 2 376.9 1 930.8 1 980.5 1 953.0 1 978.2 2 001.4 2 101.5 2 345.1 2 376.9 2 462.1 Financial derivatives JX97 3 915.3 2 121.9 2 014.8 1 993.8 2 109.1 3 915.3 3 770.0 2 462.0 2 500.5 2 121.9 2 353.0 Other investment HLYD 4 520.1 3 804.4 4 540.8 4 052.5 4 254.6 4 520.1 4 227.9 3 809.4 3 921.7 3 804.4 3 993.7 Total HBQB 11 082.0 8 975.0 9 126.2 8 678.5 8 965.7 11 082.0 10 663.2 9 032.2 9 434.0 8 975.0 9 505.8 Financial Account transactions Direct investment HJYU 49.8 14.8 27.9 13.7 −4.4 12.5 −1.8 −3.1 6.3 13.4 25.9 Portfolio investment HHZF 200.5 189.0 47.3 110.4 32.5 10.3 104.2 41.6 28.4 14.8 30.7 Other investment XBMN −739.2 −368.2 242.1 −459.1 6.7 −528.9 −213.4 −57.5 −45.4 −52.0 45.7 Total HBNS −488.9 −164.5 317.3 −335.0 34.8 −506.1 −111.1 −19.0 −10.7 −23.7 102.2 Investment income Direct investment HJYX 5.6 19.4 1.5 5.9 1.4 −3.2 1.2 4.5 8.9 4.8 11.4 Portfolio investment HLZC 74.5 60.2 16.2 21.6 19.2 17.5 16.4 16.9 13.7 13.2 14.4 Other investment HLZN 152.1 61.6 40.6 38.8 37.0 35.7 21.1 17.4 12.5 10.6 9.9 Total HMBO 232.2 141.2 58.4 66.3 57.5 50.0 38.7 38.7 35.1 28.6 35.7 Net investment Inter national Investment Position Direct investment HBWQ 377.6 352.7 257.0 283.5 318.2 377.6 390.5 336.5 338.2 352.7 344.4 Portfolio investment CGNH −313.8 −487.7 −287.7 −390.8 −361.9 −313.8 −352.6 −455.3 −482.1 −487.7 −449.6 Financial derivatives JX98 124.9 79.6 56.1 69.9 66.9 124.9 138.1 119.7 105.6 79.6 62.2 Other investment CGNG −326.5 −259.7 −380.5 −315.9 −307.1 −326.5 −280.7 −260.3 −281.1 −259.7 −218.4 Reser ve assets LTEB 36.3 40.1 28.2 27.6 27.0 36.3 34.2 31.7 40.9 40.1 43.3 Net investment HBQC −101.5 −275.0 −327.0 −325.7 −257.0 −101.5 −70.5 −227.7 −278.4 −275.0 −218.2 Financial Accounts transactions Direct investment HJYV −37.8 −15.4 5.7 −14.0 −20.8 −8.8 −16.0 0.7 3.7 −3.8 14.8 Portfolio investment HHZD 324.1 34.8 66.3 108.7 29.8 119.3 63.4 3.1 −26.3 −5.3 18.0 Financial derivatives ZPNN −121.7 29.1 −63.3 −18.3 14.1 −54.2 −9.7 5.6 9.7 23.5 21.1 Other investment HHYR −140.1 −37.2 −14.3 −71.4 −14.4 −39.9 −45.4 −4.4 21.3 −8.7 −51.6 Reser ve assets LTCV 1.3 −5.8 0.9 −0.1 2.1 −1.6 1.9 −1.3 −6.8 0.5 −1.3 Net transactions HBNT 25.8 5.6 −4.8 4.9 10.9 14.7 −5.8 3.8 1.5 6.1 1.0 Investment income earnings Direct investment HJYE 61.7 53.7 19.5 19.1 17.5 5.7 14.1 9.9 14.6 15.1 9.1 Portfolio investment HLZX −6.9 −5.7 0.3 −4.3 −2.7 −0.3 −0.9 −1.3 −1.5 −2.0 −2.8 Other investment CGNA −26.8 −16.9 −5.8 −8.4 −6.7 −5.9 −5.0 −5.9 −3.7 −2.3 −2.5 Reser ve assets HHCB 0.8 0.8 0.2 0.2 0.2 0.2 0.2 0.2 0.2 0.2 0.2 Net earnings HMBM 28.8 32.0 14.2 6.6 8.3 −0.3 8.4 2.9 9.6 11.1 4.0 £ million 2008 2009 2008 2008 2008 2008 2009 2009 2009 2009 2010 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Expor ts Food, beverages and tobacco BOPL 13 738 14 477 3 304 3 364 3 577 3 493 3 568 3 618 3 556 3 735 3 767 Basic materials BOPM 6 637 5 207 1 557 1 940 1 846 1 294 1 170 1 232 1 307 1 498 1 646 Oil ELBL 32 212 24 624 7 155 9 169 9 021 6 867 5 454 5 872 6 107 7 191 7 715 Other fuels BOQI 3 550 2 364 612 943 1 015 980 793 614 420 537 704 Semi-manufactured goods BOPO 76 317 71 492 18 445 19 436 19 935 18 501 17 712 16 993 18 062 18 725 19 200 Finished manufactured goods BOPP 117 840 107 351 29 336 29 764 30 099 28 641 26 642 25 859 26 479 28 371 28 763 Unspecified goods BOQL 1 791 2 022 360 421 522 488 456 444 505 617 492 Total BOKG 252 086 227 537 60 769 65 037 66 015 60 265 55 795 54 632 56 436 60 674 62 287 Impor ts Food, beverages and tobacco BQAR 31 141 32 250 7 407 7 799 7 894 8 041 8 091 8 122 7 796 8 241 7 977 Basic materials BQAS 10 998 7 601 2 806 2 873 2 914 2 405 1 906 1 816 1 879 2 000 2 280 Oil ENXO 38 021 27 760 8 530 10 711 11 040 7 740 6 238 6 203 7 440 7 879 7 980 Other fuels BPBI 10 568 7 432 2 244 2 335 2 843 3 146 2 648 1 671 1 473 1 640 1 950 Semi-manufactured goods BQAU 79 889 74 620 19 502 20 395 20 858 19 134 18 580 18 464 18 028 19 548 20 801 Finished manufactured goods BQAV 172 018 157 025 43 138 43 984 43 751 41 145 38 702 37 694 38 967 41 662 42 240 Unspecified goods BQAW 2 567 2 724 623 595 545 804 608 630 674 812 716 Total BOKH 345 202 309 412 84 250 88 692 89 845 82 415 76 773 74 600 76 257 81 782 83 944 Balances Food, beverages and tobacco ELBE −17 403 −17 773 −4 103 −4 435 −4 317 −4 548 −4 523 −4 504 −4 240 −4 506 −4 210 Basic materials ELBF −4 361 −2 394 −1 249 −933 −1 068 −1 111 −736 −584 −572 −502 −634 Oil ENXQ −5 809 −3 136 −1 375 −1 542 −2 019 −873 −784 −331 −1 333 −688 −265 Other fuels ENIW −7 018 −5 068 −1 632 −1 392 −1 828 −2 166 −1 855 −1 057 −1 053 −1 103 −1 246 Semi-manufactured goods ELBH −3 572 −3 128 −1 057 −959 −923 −633 −868 −1 471 34 −823 −1 601 Finished manufactured goods ELBI −54 178 −49 674 −13 802 −14 220 −13 652 −12 504 −12 060 −11 835 −12 488 −13 291 −13 477 Unspecified goods BQKX −776 −702 −263 −174 −23 −316 −152 −186 −169 −195 −224 Total BOKI −93 116 −81 875 −23 481 −23 655 −23 830 −22 150 −20 978 −19 968 −19 821 −21 108 −21 657 ## Trade In Services Seasonally Adjusted £ Million 2008 2009 2008 2008 2008 2008 2009 2009 2009 2009 2010 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Expor ts Tr anspor tation FKOA 20 884 20 708 4 917 5 089 5 349 5 529 5 297 4 999 4 967 5 445 5 313 Tr avel FAPO 19 598 19 282 5 009 5 025 4 824 4 740 4 868 4 822 4 810 4 782 4 647 Communications FDQP 4 262 4 485 1 027 965 1 150 1 120 1 191 1 129 970 1 195 1 099 Constr uction FDSG 1 246 1 625 271 269 334 372 370 403 365 487 263 Insurance FDTF 7 604 8 333 1 919 1 526 1 784 2 375 2 032 2 251 2 190 1 860 1 966 Financial FDYI 52 821 43 852 12 730 13 121 12 012 14 958 11 983 10 574 10 484 10 811 10 456 Computer and infor mation FDYQ 7 258 6 902 1 619 1 895 1 917 1 827 1 936 1 891 1 629 1 446 1 796 Royalties and license fees FEBA 7 987 7 610 1 883 1 904 2 043 2 157 1 953 1 892 1 880 1 885 1 560 Other business FEHH 44 727 42 243 10 368 11 330 11 476 11 553 10 870 10 213 10 350 10 810 11 079 Personal, cultural and recreational FGXJ 2 274 1 951 553 564 576 581 419 442 547 543 400 Government FGZA 2 158 2 120 535 521 498 604 544 504 509 563 527 Total IKBB 170 819 159 111 40 831 42 209 41 963 45 816 41 463 39 120 38 701 39 827 39 106 Impor ts Tr anspor tation FHME 19 175 17 707 4 808 4 830 4 939 4 598 4 528 4 468 4 363 4 348 4 368 Tr avel APQL 37 256 32 297 9 712 9 344 9 356 8 844 8 504 8 125 7 963 7 705 7 682 Communications FIND 4 346 4 041 1 036 1 027 1 066 1 217 1 071 997 984 989 983 Constr uction FIOU 1 095 1 433 193 215 273 414 320 350 320 443 254 Insurance FIPT 1 108 1 006 280 304 277 247 259 254 243 250 299 Financial FITY 13 146 10 933 3 159 3 407 3 183 3 397 3 043 2 488 2 737 2 665 2 948 Computer and infor mation FIUG 3 391 3 818 988 678 873 852 813 1 005 977 1 023 1 030 Royalties and license fees FIVX 5 750 5 814 1 375 1 377 1 424 1 574 1 474 1 447 1 441 1 452 1 425 Other business FIWF 25 218 27 750 5 908 6 291 6 410 6 609 7 039 7 187 6 754 6 770 6 798 Personal, cultural and recreational FLQJ 1 094 667 270 287 263 274 167 188 150 162 165 Government FLSA 3 884 3 793 933 936 877 1 138 1 111 1 005 738 939 630 Total IKBC 115 463 109 259 28 662 28 696 28 941 29 164 28 329 27 514 26 670 26 746 26 582 Balances Tr anspor tation FLYS 1 709 3 001 109 259 410 931 769 531 604 1 097 945 Tr avel FNGY −17 658 −13 015 −4 703 −4 319 −4 532 −4 104 −3 636 −3 303 −3 153 −2 923 −3 035 Communications FNIT −84 444 −9 −62 84 −97 120 132 −14 206 116 Constr uction FNJM 151 192 78 54 61 −42 50 53 45 44 9 Insurance FNKF 6 496 7 327 1 639 1 222 1 507 2 128 1 773 1 997 1 947 1 610 1 667 Financial FNLQ 39 675 32 919 9 571 9 714 8 829 11 561 8 940 8 086 7 747 8 146 7 508 Computer and infor mation FNLY 3 867 3 084 631 1 217 1 044 975 1 123 886 652 423 766 Royalties and license fees FNMR 2 237 1 796 508 527 619 583 479 445 439 433 135 Other business FNMZ 19 509 14 493 4 460 5 039 5 066 4 944 3 831 3 026 3 596 4 040 4 281 Personal, cultural and recreational FNRB 1 180 1 284 283 277 313 307 252 254 397 381 235 Government FNRU −1 726 −1 673 −398 −415 −379 −534 −567 −501 −229 −376 −103 Total IKBD 55 356 49 852 12 169 13 513 13 022 16 652 13 134 11 606 12 031 13 081 12 524 £ million 2008 2009 2008 2008 2008 2008 2009 2009 2009 2009 2010 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Credits Compensation of employees IJAH 1 046 916 266 264 262 254 253 233 217 213 228 Investment income Ear nings on direct investment abroad CNZQ 67 323 73 127 22 477 23 761 17 789 3 296 16 775 13 070 22 395 20 887 21 961 Ear nings on portfolio investment abroad Ear nings on equity securities CGDT 20 085 17 060 5 013 4 801 5 321 4 950 4 963 4 130 4 015 3 952 3 820 Ear nings on debt securities CGDU 47 472 37 453 11 602 11 407 11 532 12 931 10 633 10 592 8 497 7 731 7 808 Total portfolio investment CGDV 67 557 54 513 16 615 16 208 16 853 17 881 15 596 14 722 12 512 11 683 11 628 Ear nings on other investment abroad CGDW 125 310 44 705 34 847 30 386 30 246 29 831 16 121 11 428 8 784 8 372 7 486 Ear nings on reserve assets HHCC 777 783 187 186 191 213 210 191 190 192 172 Total investment income HBOK 260 967 173 128 74 126 70 541 65 079 51 221 48 702 39 411 43 881 41 134 41 247 Total HBOH 262 013 174 044 74 392 70 805 65 341 51 475 48 955 39 644 44 098 41 347 41 475 Debits Compensation of employees IJAI 1 761 1 604 401 466 420 474 387 386 401 430 391 Investment income Foreign earnings on direct investment in the UK CNZR 5 623 19 389 2 077 5 952 1 370 −3 776 1 750 4 505 8 881 4 253 11 942 Foreign earnings on portfolio investment in the UK Ear nings on equity securities HGOT 26 326 21 959 6 059 6 756 6 959 6 552 5 981 4 306 6 123 5 549 6 085 Ear nings on debt securities CGDX 48 153 38 217 11 383 12 157 12 619 11 994 11 308 10 853 7 545 8 511 8 977 Total portfolio investment CGDZ 74 479 60 176 17 442 18 913 19 578 18 546 17 289 15 159 13 668 14 060 15 062 Ear nings on other investment in the UK CGEB 152 115 61 593 41 161 38 170 37 046 35 738 21 477 16 773 12 641 10 702 10 238 Total investment income HBOL 232 217 141 158 60 680 63 035 57 994 50 508 40 516 36 437 35 190 29 015 37 242 Total HBOI 233 978 142 762 61 081 63 501 58 414 50 982 40 903 36 823 35 591 29 445 37 633 Balances Compensation of employees IJAJ −715 −688 −135 −202 −158 −220 −134 −153 −184 −217 −163 Investment income Direct investment CVWX 61 700 53 738 20 400 17 809 16 419 7 072 15 025 8 565 13 514 16 634 10 019 Portfolio investment Ear nings on equity securities CGEC −6 241 −4 899 −1 046 −1 955 −1 638 −1 602 −1 018 −176 −2 108 −1 597 −2 265 Ear nings on debt securities CGED −681 −764 219 −750 −1 087 937 −675 −261 952 −780 −1 169 Total portfolio investment CGEE −6 922 −5 663 −827 −2 705 −2 725 −665 −1 693 −437 −1 156 −2 377 −3 434 Other investment CGFF −26 805 −16 888 −6 314 −7 784 −6 800 −5 907 −5 356 −5 345 −3 857 −2 330 −2 752 Reser ve assets HHCC 777 783 187 186 191 213 210 191 190 192 172 Total investment income HBOM 28 750 31 970 13 446 7 506 7 085 713 8 186 2 974 8 691 12 119 4 005 Total HBOJ 28 035 31 282 13 311 7 304 6 927 493 8 052 2 821 8 507 11 902 3 842 £ million 2008 2009 2008 2008 2008 2008 2009 2009 2009 2009 2010 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Credits General government Receipts from EU Institutions: Abatement FKKM 4 862 5 392 1 091 981 720 2 070 1 582 1 818 1 222 770 886 Other EU receipts GTTA 134 136 19 37 9 69 9 19 7 101 3 Other receipts CGDN 656 630 152 170 155 179 161 159 164 146 153 Total general government FHDM 5 652 6 158 1 262 1 188 884 2 318 1 752 1 996 1 393 1 017 1 042 Other sectors Receipts from EU Institutions: Social fund1 H5U3 504 499 131 46 − 327 54 84 55 306 18 Agricultural guarantee fund ZXIA 3 049 3 387 720 776 776 777 777 870 870 870 870 ECSC Grant FHHS − − − − − − − − − − − Other receipts CGDO 7 116 6 579 1 915 1 802 1 699 1 700 1 673 1 504 1 944 1 458 1 590 Total other sectors FHIB 10 669 10 465 2 766 2 624 2 475 2 804 2 504 2 458 2 869 2 634 2 478 Total IKBN 16 321 16 623 4 028 3 812 3 359 5 122 4 256 4 454 4 262 3 651 3 520 Debits General government Pa yments to EU institutions GNP:4th resource HCSP 8 628 10 692 2 436 2 149 1 623 2 420 2 553 3 784 2 171 2 184 2 575 GNP adjustments HCSN −205 −137 − − − −205 − − − −137 − Other FLMT 5 −14 4 − − 1 − − − −14 − Other payments CGDP 6 298 6 803 1 545 1 340 1 580 1 833 1 494 1 549 1 774 1 986 1 783 Total general government FLUD 14 726 17 344 3 985 3 489 3 203 4 049 4 047 5 333 3 945 4 019 4 358 Other sectors Pa yments to EU institutions CGDR 4 906 4 238 1 348 1 252 1 138 1 168 1 526 834 1 191 687 1 062 Other payments CGDS 10 740 9 806 2 798 2 681 2 599 2 662 2 464 2 283 2 760 2 299 2 437 Total other sectors FLUZ 15 646 14 044 4 146 3 933 3 737 3 830 3 990 3 117 3 951 2 986 3 499 Total IKBO 30 372 31 388 8 131 7 422 6 940 7 879 8 037 8 450 7 896 7 005 7 857 Balances General government FNSV −9 074 −11 186 −2 723 −2 301 −2 319 −1 731 −2 295 −3 337 −2 552 −3 002 −3 316 Other sectors FNTC −4 977 −3 579 −1 380 −1 309 −1 262 −1 026 −1 486 −659 −1 082 −352 −1 021 Total IKBP −14 051 −14 765 −4 103 −3 610 −3 581 −2 757 −3 781 −3 996 −3 634 −3 354 −4 337 Of which: EU institutions GTTB −4 785 −5 365 −1 827 −1 561 −1 256 −141 −1 657 −1 827 −1 208 −673 −1 860 ## I Capital Account Seasonally Adjusted £ Million 2008 2009 2008 2008 2008 2008 2009 2009 2009 2009 2010 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Credits Capital transfers Central government Debt forgiveness FHIV − − − − − − − − − − − Other capital transfers FHJA − − − − − − − − − − − Total central government FHIU − − − − − − − − − − − Other sectors Migrants' transfers FHJC 3 200 3 467 773 787 802 838 848 859 872 888 901 Debt forgiveness FHJD − − − − − − − − − − − EU Institutions: Regional development fund GTTX 972 640 466 277 44 185 151 164 152 173 431 Agricultural fund for regional development FHJF 417 144 124 167 54 72 7 87 50 − 102 Other capital transfers EBGO − − − − − − − − − − − Total EU institutions GTTY 1 389 784 590 444 98 257 158 251 202 173 533 Total other sectors FHJB 4 589 4 251 1 363 1 231 900 1 095 1 006 1 110 1 074 1 061 1 434 Total capital transfers FHIT 4 589 4 251 1 363 1 231 900 1 095 1 006 1 110 1 074 1 061 1 434 Sales of non-produced, non-financial assets FHJL 1 074 1 281 287 288 210 289 331 334 289 327 353 Total FHLD 5 663 5 532 1 650 1 519 1 110 1 384 1 337 1 444 1 363 1 388 1 787 Debits Capital transfers Central government Debt forgiveness FLWD 73 49 54 1 3 15 44 1 1 3 46 Other capital transfers (project grants) FLWH 491 545 117 110 109 155 128 118 145 154 128 Total central government FLWB 564 594 171 111 112 170 172 119 146 157 174 Other sectors Migrants' transfers FLWJ 744 745 195 184 182 183 208 184 177 176 203 Debt Forgiveness Monetar y financial institutions FLWL − − − − − − − − − − − Public corporations HMLY − − − − − − − − − − − Total debt forgiveness JCWM − − − − − − − − − − − Other capital transfers FLWQ − − − − − − − − − − − Total other sectors FLWI 744 745 195 184 182 183 208 184 177 176 203 Total capital transfers FLWA 1 308 1 339 366 295 294 353 380 303 323 333 377 Purchases of non-produced, non-financial assets FLWT 1 114 974 304 281 245 284 197 271 294 212 227 Total FLYL 2 422 2 313 670 576 539 637 577 574 617 545 604 Balances Capital transfers Central government Debt forgiveness FNTM −73 −49 −54 −1 −3 −15 −44 −1 −1 −3 −46 Other capital transfers FNTN −491 −545 −117 −110 −109 −155 −128 −118 −145 −154 −128 Total central government FNTL −564 −594 −171 −111 −112 −170 −172 −119 −146 −157 −174 Other sectors Migrants' transfers FNTP 2 456 2 722 578 603 620 655 640 675 695 712 698 Debt forgiveness FNTQ − − − − − − − − − − − Other capital transfers FNTR 1 389 784 590 444 98 257 158 251 202 173 533 Total other sectors FNTO 3 845 3 506 1 168 1 047 718 912 798 926 897 885 1 231 Total capital transfers FNTK 3 281 2 912 997 936 606 742 626 807 751 728 1 057 Non-produced, non-financial assets FNTS −40 307 −17 7 −35 5 134 63 −5 115 126 Total FNVQ 3 241 3 219 980 943 571 747 760 870 746 843 1 183 ## J Financial Account Not Seasonally Adjusted £ Million 2008 2009 2008 2008 2008 2008 2009 2009 2009 2009 2010 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 UK investment abroad (net debits) Direct investment abroad Equity capital -HJYM 43 842 14 628 12 728 8 461 4 509 18 144 4 922 2 543 7 845 −682 1 530 Reinvested earnings -HDNY 34 903 25 843 17 252 15 281 14 878 −12 508 6 390 6 704 7 489 5 260 11 663 Other capital transactions -HMAB 8 863 −10 355 −7 743 3 913 −2 982 15 675 2 850 −13 104 −12 757 12 656 −2 151 Total direct investment abroad -HJYP 87 608 30 116 22 237 27 655 16 405 21 311 14 162 −3 857 2 577 17 234 11 042 Portfolio investment abroad Equity securities -HBVI −60 010 11 561 −24 026 −18 073 3 475 −21 386 −7 756 2 942 8 632 7 743 −13 180 Debt securities -XBMW −63 535 142 584 5 085 19 752 −825 −87 547 48 534 35 581 46 078 12 391 25 896 Total portfolio investment abroad -HHZC −123 545 154 145 −18 941 1 679 2 650 −108 933 40 778 38 523 54 710 20 134 12 716 Financial derivatives (net) -ZPNN 121 684 −29 104 63 328 18 293 −14 144 54 207 9 688 −5 648 −9 666 −23 478 −21 135 Other investment abroad -XBMM −599 133 −330 996 256 358 −387 637 21 148 −489 002 −168 033 −53 078 −66 620 −43 265 97 295 Reser ve assets -LTCV −1 338 5 763 −931 108 −2 132 1 617 −1 877 1 304 6 787 −451 1 323 Total -HBNR −514 724 −170 076 322 051 −339 902 23 927 −520 800 −105 282 −22 756 −12 212 −29 826 101 241 Investment in the UK (net credits) Direct investment in the UK Equity capital HJYR 51 996 22 266 27 656 11 321 1 892 11 127 4 149 2 023 2 190 13 904 13 770 Reinvested earnings CYFV 4 739 9 280 2 554 5 454 −1 201 −2 068 1 238 −356 5 750 2 648 3 552 Other capital transactions HMAD −6 968 −16 787 −2 277 −3 074 −5 049 3 432 −7 221 −4 775 −1 683 −3 108 8 547 Total direct investment in the UK HJYU 49 767 14 759 27 933 13 701 −4 358 12 491 −1 834 −3 108 6 257 13 444 25 869 Portfolio investment in the UK Equity securities XBLW 37 538 51 829 5 907 25 111 −1 337 7 857 34 037 13 076 −4 926 9 642 −7 166 Debt securities XBLX 162 993 137 151 41 410 85 295 33 808 2 480 70 141 28 531 33 302 5 177 37 852 Total portfolio investment in the UK HHZF 200 531 188 980 47 317 110 406 32 471 10 337 104 178 41 607 28 376 14 819 30 686 Other investment in the UK XBMN −739 211 −368 218 242 050 −459 080 6 721 −528 902 −213 410 −57 474 −45 358 −51 976 45 691 Total HBNS −488 913 −164 479 317 300 −334 973 34 834 −506 074 −111 066 −18 975 −10 725 −23 713 102 246 Net transactions (net credits less net debits) Direct investment Equity capital HBWN 8 154 7 638 14 928 2 860 −2 617 −7 017 −773 −520 −5 655 14 586 12 240 Reinvested earnings HBWT −30 164 −16 563 −14 698 −9 827 −16 079 10 440 −5 152 −7 060 −1 739 −2 612 −8 111 Other capital transactions HBWU −15 831 −6 432 5 466 −6 987 −2 067 −12 243 −10 071 8 329 11 074 −15 764 10 698 Total net direct investment HJYV −37 841 −15 357 5 696 −13 954 −20 763 −8 820 −15 996 749 3 680 −3 790 14 827 Portfolio investment Equity securities HBWV 97 548 40 268 29 933 43 184 −4 812 29 243 41 793 10 134 −13 558 1 899 6 014 Debt securities HBWX 226 528 −5 433 36 325 65 543 34 633 90 027 21 607 −7 050 −12 776 −7 214 11 956 Total net portfolio investment HHZD 324 076 34 835 66 258 108 727 29 821 119 270 63 400 3 084 −26 334 −5 315 17 970 Financial derivatives ZPNN −121 684 29 104 −63 328 −18 293 14 144 −54 207 −9 688 5 648 9 666 23 478 21 135 Other investment HHYR −140 078 −37 222 −14 308 −71 443 −14 427 −39 900 −45 377 −4 396 21 262 −8 711 −51 604 Reser ve assets LTCV 1 338 −5 763 931 −108 2 132 −1 617 1 877 −1 304 −6 787 451 −1 323 Total HBNT 25 811 5 597 −4 751 4 929 10 907 14 726 −5 784 3 781 1 487 6 113 1 005 ## K International Investment Position Balance Sheets Valued At End Of Period: Not Seasonally Adjusted £Billion 2008 2009 2008 2008 2008 2008 2009 2009 2009 2009 2010 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 UK Assets Direct investment abroad Equity capital and reinvested earnings CGMO 1 013.5 999.2 881.8 916.0 950.3 1 013.5 1 017.0 971.6 992.5 999.2 1 017.7 Other capital assets HBUW 32.7 25.2 15.1 19.3 16.8 32.7 37.5 24.2 12.4 25.2 23.9 Total direct investment abroad HBWD 1 046.1 1 024.4 896.8 935.3 967.1 1 046.1 1 054.5 995.8 1 004.8 1 024.4 1 041.6 Portfolio investment abroad Equity securities HEPX 565.2 685.4 684.5 653.4 607.6 565.2 504.0 552.1 647.3 685.4 711.2 Debt securities HHZX 1 099.1 1 203.8 958.5 936.3 983.5 1 099.1 1 144.8 1 094.1 1 215.7 1 203.8 1 301.2 Total portfolio investment abroad HHZZ 1 664.3 1 889.2 1 643.0 1 589.7 1 591.1 1 664.3 1 648.8 1 646.3 1 863.0 1 889.2 2 012.4 Financial derivatives JX96 4 040.2 2 201.5 2 070.9 2 063.7 2 176.0 4 040.2 3 908.1 2 581.7 2 606.1 2 201.5 2 415.1 Other investment abroad HLXV 4 193.6 3 544.7 4 160.2 3 736.6 3 947.5 4 193.6 3 947.2 3 549.1 3 640.6 3 544.7 3 775.2 Reser ve assets LTEB 36.3 40.1 28.2 27.6 27.0 36.3 34.2 31.7 40.9 40.1 43.3 Total HBQA 10 980.5 8 700.0 8 799.1 8 352.8 8 708.7 10 980.5 10 592.7 8 804.5 9 155.5 8 700.0 9 287.7 UK Liabilities Direct investment in the UK Equity capital and reinvested earnings HBUY 537.5 560.2 506.6 521.3 522.5 537.5 540.6 541.0 552.1 560.2 577.2 Other capital liabilities HBVC 131.0 111.6 133.2 130.5 126.4 131.0 123.4 118.3 114.6 111.6 119.9 Total direct investment in the UK HBWI 668.5 671.8 639.8 651.8 648.9 668.5 664.0 659.3 666.6 671.8 697.2 Portfolio investment in the UK Equity securities HLXX 603.2 830.4 756.2 743.4 667.4 603.2 584.7 660.3 793.8 830.4 869.0 Debt securities HLXY 1 375.0 1 546.6 1 174.5 1 237.1 1 285.6 1 375.0 1 416.6 1 441.2 1 551.3 1 546.6 1 593.0 Total portfolio investment in the UK HLXW 1 978.2 2 376.9 1 930.8 1 980.5 1 953.0 1 978.2 2 001.4 2 101.5 2 345.1 2 376.9 2 462.1 Financial derivatives JX97 3 915.3 2 121.9 2 014.8 1 993.8 2 109.1 3 915.3 3 770.0 2 462.0 2 500.5 2 121.9 2 353.0 Other investment in the UK HLYD 4 520.1 3 804.4 4 540.8 4 052.5 4 254.6 4 520.1 4 227.9 3 809.4 3 921.7 3 804.4 3 993.7 Total HBQB 11 082.0 8 975.0 9 126.2 8 678.5 8 965.7 11 082.0 10 663.2 9 032.2 9 434.0 8 975.0 9 505.8 Net International Investment Position Direct investment Equity capital and reinvested earnings HBSH 476.0 439.0 375.2 394.7 427.8 476.0 476.4 430.6 440.4 439.0 440.4 Other capital CGKF −98.4 −86.4 −118.2 −111.2 −109.6 −98.4 −85.9 −94.1 −102.2 −86.4 −96.0 Total net direct investment HBWQ 377.6 352.7 257.0 283.5 318.2 377.6 390.5 336.5 338.2 352.7 344.4 Portfolio investment Equity securities CGNE −37.9 −145.0 −71.8 −90.0 −59.8 −37.9 −80.8 −108.2 −146.5 −145.0 −157.8 Debt securities CGNF −275.9 −342.8 −216.0 −300.8 −302.2 −275.9 −271.8 −347.1 −335.6 −342.8 −291.8 Total net portfolio investment CGNH −313.8 −487.7 −287.7 −390.8 −361.9 −313.8 −352.6 −455.3 −482.1 −487.7 −449.6 Financial derivatives JX98 124.9 79.6 56.1 69.9 66.9 124.9 138.1 119.7 105.6 79.6 62.2 Other investment CGNG −326.5 −259.7 −380.5 −315.9 −307.1 −326.5 −280.7 −260.3 −281.1 −259.7 −218.4 Reser ve assets LTEB 36.3 40.1 28.2 27.6 27.0 36.3 34.2 31.7 40.9 40.1 43.3 Total HBQC −101.5 −275.0 −327.0 −325.7 −257.0 −101.5 −70.5 −227.7 −278.4 −275.0 −218.2 ## R1 Summar Y Of Revisions Since Last Balance Of Payments Statistical Bulletin Balances (Net Transactions) £ million 2008 2009 2007 2008 2008 2008 2008 2009 2009 2009 2009 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Seasonally adjusted Current account Tr ade in goods and services Tr ade in goods BOKI 265 −85 − 45 31 29 160 102 −121 −5 −61 Tr ade in services IKBD 214 539 445 −16 −75 97 208 −20 −70 −64 693 Total trade IKBJ 479 454 445 29 −44 126 368 82 −191 −69 632 Income Compensation of employees IJAJ −1 − 2 −12 −2 11 2 −3 − 2 1 Investment income HBOM −2 257 2 626 386 −800 −387 379 −1 449 568 −2 764 3 206 1 616 Total income HBOJ −2 258 2 626 388 −812 −389 390 −1 447 565 −2 764 3 208 1 617 Current transfers Central government FNSV 19 4 84 −54 −138 −122 333 21 41 −42 −16 Other sectors FNTC −41 −155 −74 42 35 −1 −117 −32 7 −102 −28 Total current transfers IKBP −22 −151 10 −12 −103 −123 216 −11 48 −144 −44 Current balance HBOP −1 801 2 929 843 −795 −536 393 −863 636 −2 907 2 995 2 205 Capital balance FNVQ − −410 1 −3 −1 −2 6 −131 −38 −111 −130 Not seasonally adjusted Current account Tr ade in goods and services Tr ade in goods LQCT 265 −85 − 48 48 52 117 41 −79 −25 −22 Tr ade in services KTMS 214 539 358 1 82 −17 148 136 −163 −349 915 Total trade KTMY 479 454 358 49 130 35 265 177 −242 −374 893 Income Compensation of employees KTMP −1 − 1 −1 − − − − − − − Investment income HMBM −2 257 2 626 −446 −1 154 −818 −301 16 248 −3 393 3 371 2 400 Total income HMBP −2 258 2 626 −445 −1 155 −818 −301 16 248 −3 393 3 371 2 400 Current transfers Central government FJUQ 19 4 1 8 5 35 −29 − −1 2 3 Other sectors FJUR −41 −155 −8 − −14 −44 17 − −39 −61 −55 Total current transfers KTNF −22 −151 −7 8 −9 −9 −12 − −40 −59 −52 Current balance HBOG −1 801 2 929 −94 −1 098 −697 −275 269 425 −3 675 2 938 3 241 Capital balance FKMJ − −410 − − − − − −128 −38 −110 −134 Financial account Direct investment HJYV 1 −32 825 612 1 − − − −10 414 6 904 −7 173 −22 142 Portfolio investment HHZD 14 723 932 1 942 −2 195 1 711 7 531 7 676 4 769 −1 951 −4 976 3 090 Financial derivatives ZPNN −86 175 14 654 5 581 −33 949 −29 234 2 769 −25 761 −11 825 3 777 4 557 18 145 Other investment HHYR 82 080 12 611 −5 306 28 941 31 201 2 503 19 435 6 016 −4 757 10 481 871 Reser ve assets LTCV − − − − − − − − − − − Net financial transactions HBNT 10 629 −4 628 2 829 −7 202 3 678 12 803 1 350 −11 454 3 973 2 889 −36 Net errors and omissions1 HHDH −8 828 2 109 −2 735 8 300 −2 981 −12 528 −1 619 11 157 −260 −5 717 −3 071 1 This series represents net errors and omissions in the balance of payments accounts. It is the converse of the not seasonally adjusted current and capital balances (HBOG and FKMJ) and net financial account transactions (HB- NT) and is required to balance these three accounts. £ million 2008 2009 2007 2008 2008 2008 2008 2009 2009 2009 2009 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Credits Expor ts of goods and services Expor ts of goods BOKG 443 −133 − 133 57 71 182 19 −44 10 −118 Expor ts of services IKBB 61 −2 057 598 −145 −38 1 243 −783 −750 −485 −39 Total expor ts of goods and services IKBH 504 −2 190 598 −12 19 72 425 −764 −794 −475 −157 Income Compensation of employees IJAH 1 − 2 −11 −2 11 3 −3 − 2 1 Investment income HBOK 945 −1 527 1 167 −637 289 1 721 −428 724 −1 223 3 076 −4 104 Total income HBOH 946 −1 527 1 169 −648 287 1 732 −425 721 −1 223 3 078 −4 103 Current transfers Central government FHDM 31 − 112 −81 −104 −116 332 19 1 −7 −13 Other sectors FHIB −42 −375 9 75 −50 −74 7 12 −5 −125 −257 Total current transfers IKBN −11 −375 121 −6 −154 −190 339 31 −4 −132 −270 Total HBON 1 439 −4 092 1 888 −666 152 1 614 339 −12 −2 021 2 471 −4 530 Debits Impor ts of goods and services Impor ts of goods BOKH 178 −48 − 88 26 42 22 −83 77 15 −57 Impor ts of services IKBC −153 −2 596 153 −129 37 −96 35 −763 −680 −421 −732 Total imports of goods and services IKBI 25 −2 644 153 −41 63 −54 57 −846 −603 −406 −789 Income Compensation of employees IJAI 2 − − 1 − − 1 − − − − Investment income HBOL 3 202 −4 153 781 163 676 1 342 1 021 156 1 541 −130 −5 720 Total income HBOI 3 204 −4 153 781 164 676 1 342 1 022 156 1 541 −130 −5 720 Current transfers Central government FLUD 12 −4 28 −27 34 6 −1 −2 −40 35 3 Other sectors FLUZ −1 −220 83 33 −85 −73 124 44 −12 −23 −229 Total current transfers IKBO 11 −224 111 6 −51 −67 123 42 −52 12 −226 Total HBOO 3 240 −7 021 1 045 129 688 1 221 1 202 −648 886 −524 −6 735 Balances Tr ade in goods and services Tr ade in goods BOKI 265 −85 − 45 31 29 160 102 −121 −5 −61 Tr ade in services IKBD 214 539 445 −16 −75 97 208 −20 −70 −64 693 Total trade in goods and services IKBJ 479 454 445 29 −44 126 368 82 −191 −69 632 Income Compensation of employees IJAJ −1 − 2 −12 −2 11 2 −3 − 2 1 Investment income HBOM −2 257 2 626 386 −800 −387 379 −1 449 568 −2 764 3 206 1 616 Total income HBOJ −2 258 2 626 388 −812 −389 390 −1 447 565 −2 764 3 208 1 617 Current transfers Central government FNSV 19 4 84 −54 −138 −122 333 21 41 −42 −16 Other sectors FNTC −41 −155 −74 42 35 −1 −117 −32 7 −102 −28 Total current transfers IKBP −22 −151 10 −12 −103 −123 216 −11 48 −144 −44 Current balance HBOP −1 801 2 929 843 −795 −536 393 −863 636 −2 907 2 995 2 205 Balances as a percentage of GDP1 Tr ade in goods and services Tr ade in goods D28J − − 0.1 − − − − 0.1 −0.1 − − Tr ade in services D28K − 0.1 0.1 − − − − − − − 0.2 Total trade in goods and services D28L − − 0.2 − − − 0.1 − − − 0.2 Total income D28M −0.2 0.1 − −0.2 −0.1 0.1 −0.4 0.2 −0.8 0.9 0.5 Total current transfers D28N − −0.1 0.1 − − − − − − − −0.1 Current balance as percentage of GDP AA6H −0.1 0.2 0.3 −0.2 −0.2 0.1 −0.3 0.2 −0.9 0.9 0.6 1 Using series YBHA: GDP at current market prices ## Revisions To International Investment Since Last Balance Of Payments Statistical Bulletin Not Seasonally Adjusted £Billion 2008 2009 2007 2008 2008 2008 2008 2009 2009 2009 2009 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Investment abroad Inter national Investment Position Direct investment HBWD −4.2 4.5 −14.1 −9.1 −7.5 −5.9 −4.2 5.7 −4.2 − 4.5 Portfolio investment HHZZ − 11.1 3.5 − − − − −0.5 0.5 6.1 11.1 Financial derivatives JX96 4 040.2 2 201.5 1 378.1 2 070.9 2 063.7 2 176.0 4 040.2 3 908.1 2 581.7 2 606.1 2 201.5 Other investment HLXV −23.0 −31.6 −5.7 −22.7 −22.4 −22.4 −23.0 −20.4 −21.4 −35.9 −31.6 Reser ve assets LTEB − − − − − − − − − − − Total HBQA 4 013.0 2 185.5 1 361.8 2 039.1 2 033.7 2 147.7 4 013.0 3 893.0 2 556.5 2 576.4 2 185.5 Financial Account transactions Direct investment -HJYP − 18.2 −1.2 − − − − 2.1 −5.7 7.5 14.4 Portfolio investment -HHZC − −0.3 − − − − − 0.1 1.2 1.1 −2.8 Financial derivatives (net) -ZPNN 86.2 −14.7 −5.6 33.9 29.2 −2.7 25.8 11.8 −3.7 −4.6 −18.2 Other investment -XBMM 13.3 −0.8 −3.4 −6.1 0.2 −0.1 19.3 4.9 2.8 −0.9 −7.7 Reser ve assets -LTCV − − − − − − − − − − − Total -HBNR 99.5 2.5 −10.2 27.9 29.4 −2.9 45.0 18.8 −5.4 3.1 −14.0 Investment income earnings Direct investment HJYW − −4.4 0.3 − − − − −0.1 −2.5 2.4 −4.1 Portfolio investment HLYX 0.1 −0.1 − − − − − − 0.1 0.1 −0.1 Other investment AIOP 0.9 2.9 −0.2 −0.9 −0.1 0.7 1.1 0.6 0.9 0.8 0.7 Reser ve assets HHCB − − − − − − − − − − − Total HMBN 1.0 −1.6 0.2 −0.8 −0.1 0.8 1.1 0.6 −1.6 3.1 −3.6 Investment in the UK Inter national Investment Position Direct investment HBWI −3.8 −22.9 −16.4 −5.9 −5.1 −4.5 −3.8 −11.8 −11.2 −13.3 −22.9 Portfolio investment HLXW 32.8 48.4 28.4 10.7 12.8 20.7 32.8 39.0 40.8 38.7 48.4 Financial derivatives JX97 3 915.3 2 121.9 1 392.2 2 014.8 1 993.8 2 109.1 3 915.3 3 770.0 2 462.0 2 500.5 2 121.9 Other investment HLYD 111.0 130.6 −1.8 35.4 66.9 69.3 111.0 129.5 126.7 136.8 130.6 Total HBQB 4 055.3 2 277.9 1 402.4 2 055.1 2 068.2 2 194.7 4 055.3 3 926.6 2 618.2 2 662.7 2 277.9 Financial Account transactions Direct investment HJYU − −14.5 −0.6 − − − − −8.3 1.3 0.3 −7.7 Portfolio investment HHZF 14.7 0.7 1.9 −2.2 1.7 7.6 7.6 4.9 −0.7 −3.8 0.3 Other investment XBMN 95.4 11.8 −8.7 22.9 31.4 2.4 38.7 10.9 −2.0 9.5 −6.8 Total HBNS 110.1 −2.1 −7.4 20.6 33.1 9.9 46.4 7.4 −1.4 6.0 −14.1 Investment income Direct investment HJYX − −6.7 0.2 − − 0.1 − −0.4 1.0 −0.7 −6.5 Portfolio investment HLZC 0.4 0.7 0.2 0.1 0.1 0.1 0.1 0.2 0.2 0.1 0.2 Other investment HLZN 2.7 1.9 0.4 0.2 0.7 1.0 0.9 0.5 0.7 0.4 0.3 Total HMBO 3.2 −4.1 0.6 0.4 0.8 1.0 1.0 0.3 1.8 −0.2 −6.0 Net investment Inter national Investment Position Direct investment HBWQ −0.5 27.5 2.1 −3.2 −2.4 −1.4 −0.5 17.6 7.0 13.4 27.5 Portfolio investment CGNH −32.7 −37.3 −24.9 −10.6 −12.7 −20.6 −32.7 −39.5 −40.3 −32.6 −37.3 Financial derivatives JX98 124.9 79.6 −14.1 56.1 69.9 66.9 124.9 138.1 119.7 105.6 79.6 Other investment CGNG −134.0 −162.2 −3.8 −58.0 −89.3 −91.7 −134.0 −149.9 −148.1 −172.7 −162.2 Reser ve assets LTEB − − − − − − − − − − − Net investment HBQC −42.3 −92.4 −40.7 −15.9 −34.4 −46.9 −42.3 −33.7 −61.7 −86.2 −92.4 Financial Accounts transactions Direct investment HJYV − −32.9 0.6 − − − − −10.4 6.9 −7.2 −22.2 Portfolio investment HHZD 14.7 0.9 1.9 −2.2 1.7 7.5 7.7 4.8 −1.9 −4.9 3.1 Financial derivatives ZPNN −86.2 14.7 5.6 −33.9 −29.2 2.7 −25.8 −11.8 3.7 4.6 18.2 Other investment HHYR 82.1 12.6 −5.3 28.9 31.2 2.5 19.4 6.0 −4.8 10.5 0.9 Reser ve assets LTCV − − − − − − − − − − − Net transactions HBNT 10.6 −4.6 2.8 −7.3 3.6 12.8 1.3 −11.5 4.0 2.9 − Investment income earnings Direct investment HJYE −0.1 2.3 0.2 − − − − 0.4 −3.5 3.1 2.3 Portfolio investment HLZX −0.3 −0.8 −0.1 −0.1 −0.1 −0.1 −0.2 −0.2 −0.1 −0.1 −0.3 Other investment CGNA −1.8 1.0 −0.5 −1.1 −0.7 −0.2 0.2 0.1 0.3 0.4 0.3 Reser ve assets HHCB − − − − − − − − − − − Net earnings HMBM −2.2 2.7 −0.4 −1.2 −0.8 −0.3 − 0.2 −3.4 3.4 2.4 ................................................................................................................................................................ Next publication: 28 September 2010 Issued by: Office for National Statistics, Government Buildings, Cardiff Road, Newport NP10 8XG ## Media Contact: Tel Media Relations Office 0845 6041858 Emergency on-call 07867 906553 Email press.office@ons.gsi.gov.uk ## Statistical Contact: Tel Damian Whittard 01633 455497 Email bop@ons.gov.uk ## Website: www.statistics.gov.uk	en
3982-pdf	Mortgage and Landlord Possession Statistics Quarterly, England and Wales April to June 2015 Ministry of Justice Statistics bulletin Published: 13 August 2015 ## Contents \| Introduction \| 3 \| \|-----------------------------------------\|-------------------------------\| \| \| \| \| Court Caseload \| 3 \| \| \| \| \| Case progression \| 4 \| \| \| \| \| Seasonal Adjustment \| 4 \| \| \| \| \| Key Findings \| 6 \| \| \| \| \| Section 1 - Mortgage possession actions \| 7 \| \| \| \| \| Section 2 - Landlord possession actions \| 2 \| \| \| \| \| 1 \| \| \| 1 \| Annex A - Further information \| \| \| \| \| 1 \| \| \| Annex B: Policy changes \| 7 \| \| \| \| \| 1 \| \| \| Annex C: Maps \| 9 \| \| \| \| \| 2 \| \| \| Annex D: Explanatory notes \| 0 \| \| \| \| \| 2 \| \| \| Contact points for further information \| 2 \| \| \| \| ## Introduction This quarterly bulletin presents statistics on mortgage and landlord possession actions in the county courts of England and Wales in April to June 2015. The statistics provide summary figures on the volume and progression of cases that follow the court process of possessing a property. The statistics published here report on total county court caseloads that are used to assist the planning of court resources both nationally and locally. For previous publications of Mortgage and Landlords Possession Statistics, please see: www.gov.uk/government/collections/mortgage-and-landlord-possessionstatistics ## Court Caseload A mortgage or landlord possession action starts when a mortgage lender or landlord completes and submits a claim to the courts to repossess a property. The most common reason for repossession is arrears of mortgage or rent. The court process of possessing a property broadly follows four stages: 1. A claim for a mortgage or landlord possession being issued by a mortgage lender or a landlord; 2. An order being made by the county court. This can either be an outright order that the property is to be recovered by a specific date, or a suspended order that is suspended as long as the defendant complies with conditions specified in the order; 3. If the defendant fails to leave the property by the date given in the order or does not meet the terms of a suspended order, the order may be enforced by a warrant of possession. This authorises the county court bailiff to evict the defendant from the property. The bailiff then arranges a date to execute the eviction; and 4. Repossession by a county court bailiff. Repossessions may occur without county court bailiffs, through less formal procedures, so the actual number of repossessions is usually greater than the number carried out by county court bailiffs. This report also includes UK wide total mortgage repossession figures from the Council of Mortgage Lenders (CML).These are not directly comparable to the other figures in this report, which cover England and Wales only. Figures for each of these four processes are presented in the Excel tables and CSV files that accompany this publication. The next publication of Mortgage and Landlord Possession Statistics Quarterly, England and Wales is scheduled to be published on 12 November 2015, covering the period July to September 2015. ## Case Progression This bulletin includes estimates of the percentage of claims issued in a specific quarter or year that will progress to an order, warrant or repossession when the full amount of time has been allowed to pass for those claims to progress through the county court system. These figures are different from the court caseload figures described above which show the total number of orders, warrants or repossessions by county court bailiffs in that quarter, irrespective of when the claim was issued. The estimated percentages include upper and lower estimates around them (a confidence interval) reflecting the uncertainty inherent in any estimation of the future. Claims from more recent periods will inherently have had less time for the case to be processed so there is more uncertainty around the final estimate, resulting in a wider confidence interval (Please see A Guide to Civil and Administrative Justice Statistics1 for more information on how these figures are calculated). As supplementary information, we also provide the percentage of claims issued in a quarter or year that have actually progressed to an order being made, a warrant being issued, or a repossession being carried out. Caution should be exercised when interpreting these figures for recent quarters and/or years: the information contained in the bulletin is based on the data available at the point when the database was extracted; consequently a proportion of claims made in more recent quarters are still awaiting progression to the next stage of court action. Claims from earlier periods will have had longer for the case to be processed than those from more recent periods so a lower proportion of these earlier claims are likely to be still awaiting an order, warrant or repossession. Following last quarter's publication of the paper requesting user feedback on our proposed changes to how case progression is measured and presented, we are now collating the responses and will publish the results in September. ## Seasonal Adjustment This publication reintroduces seasonally adjusted series for all mortgage and landlord possession actions. Seasonal adjustment aims to remove regular seasonal patterns in a time series to show how it changes from quarter to quarter and give a clearer picture of the longer term trends. Possession actions tend to vary due to seasonal effects- since these seasonal effects follow a regular annual pattern, their impact on the series can be removed by seasonally adjusting the data. Please see A Guide to Civil and Administrative Justice Statistics2 for more information on how these figure are calculated ## Key Findings This report presents key statistics on mortgage and landlord possession claims in county courts in England and Wales for the second quarter of 2015 (April to June). It includes summary figures of volume and progression of cases that follow the court process of possessing a property. All figures for the current quarter are provisional. ## Mortgage Possession  In April to June 2015, 4,849 mortgage possession claims in county courts were recorded, down 55% on the number of mortgage possession claims issued in the same quarter last year and the lowest quarterly figure since records began (in their current form) in 1999. This follows the overall downward trend seen since 2008.  There were 3,429 orders for possession, 5,644 warrants of possession and 1,358 repossessions by county court bailiffs in April to June 2015; down 57%, 49% and 55% respectively compared to the same quarter last year. These figures represent the lowest quarterly number of mortgage possession orders, warrants and repossessions since records began (in their current form) in 1999 for orders and 2000 for warrants and repossessions - these also follow the overall downward trend seen since 2008. ## Landlord Possession  In April to June 2015, 36,212 landlord possession claims in county courts were recorded, down 6% from the same quarter in 2014. This is the lowest number of claims observed in a quarter since April to June 2012.  The profile of types of landlord possession claim (e.g. social landlord, private landlord and accelerated claims) has changed over time. In April to June 2015, the majority of landlord possession claims (58%) were social landlord claims although this proportion has fallen from 83% in 1999 to 64% in 2014 - in contrast, more than a quarter of claims made in April to June 2015 (28%) were accelerated claims and this proportion has risen from 7% in 1999 to 22% in 2014,  There were 29,390 orders for possession and 18,267 warrants of possession in April to June 2015; down 9% and 3% respectively; there were 10,361 repossessions by county court bailiffs in the same period, up 4% on the same quarter last year. ## Section 1 - Mortgage Possession Actions The number of mortgage possession actions3 in court has increased since 2002, peaked in 2008, and decreased since then (Figure 1 and Table 1). The total number of properties repossessed4 has followed a similar trend. The fall in the number of mortgage possession actions since 2008 coincides with lower interest rates5, a proactive approach from lenders in managing consumers in financial difficulties and other interventions from the government, such as the Mortgage Rescue Scheme. Other factors that may have contributed to the rapid fall in the number of mortgage possession claims and orders since 2008 include the introduction of the Mortgage Pre- Action Protocol (see Annex B on policy changes for more information). Additionally, the downward trend in recent years coincides with a decrease in the proportion of owner-occupiers6. The estimated proportion of claims progressing to an order, warrant or repossession by county court bailiffs also increased between 2002 and 2010 but has been falling since. From 2010 to 2014, estimated proportions of claims leading to orders, warrants and repossessions have shown a steady decrease. ## Claims issued: A possession claim is created when a claimant begins a legal action for an order for possession of property by making a claim that is then issued in a county court. There were 4,849 mortgage possession claims issued in April to June 2015, down 55% on the same quarter in 2014. After seasonal adjustment, the number of claims was 5,045, down 9% on the previous quarter (table 8). The number of mortgage claims per 100,000 households by local authority ranged from zero (City of London, Eden and Cambridge) to 53 (Rossendale). There were five other areas with more than 40 mortgage possession claims per 100,000 households (Knowsley, Bolton, Burnley, Bury and Blackpool). Orders9: The court may grant an order following a judicial hearing which can be either for immediate possession (outright order) or suspended. There were a total of 3,429 orders in April to June 2015, down 57% on the number of orders in the same period in 2014. Seasonally adjusted figures show a 17% decrease compared to the number of orders made in January to March 2015 (from 4,246 to 3,520). Of mortgage possession orders made in April to June 2015, 43% were suspended. Between 46% and 50% of orders are suspended each year - this proportion has remained generally stable since 2006. Based on the fact that 25% of claims lodged this quarter have reached the order stage, it is estimated that 66% of claims issued in April to June 2015 will progress to an order being made in time although this figure could range between 59% and 74%10. Warrants of possession6: Having received an order, or if the terms of a suspended order are broken, the claimant can apply for a warrant of possession. There were 5,644 warrants of possession in April to June 2015, almost half the number seen in the same period in 2014 (11,121). Seasonally adjusted figures show a 12% decrease in the number of warrants on the previous quarter from 6,375 to 5,637. Based on the fact that 3% of claims lodged this quarter have reached the warrant stage, it is estimated that 40% of claims issued in April to June 2015 will progress to a warrant being issued, however this figure may range between 34% and 46%. Repossessions in England and Wales by county court bailiffs: Once a warrant has been issued, county court bailiffs can repossess the property on behalf of the claimant. There were 1,358 repossessions by county court bailiffs in April to June 2015, down 55% on the same quarter in 2014. Seasonally adjusted figures show a 15% decrease on the previous quarter from 1,607 to 1,370. It is estimated that 20% of the claims issued in April to June 2015 will lead to repossessions; however this figure may range between 15% and 26%. So far to date, only 20 of those 4,849 claims made in April to June 2015 have progressed to repossession by county court bailiffs. ## Map 2: Mortgage Repossessions By County Court Bailiff In England & Wales By Local Authority, 2015 Q211,12 Sixty-one local authorities show no repossessions by county court bailiffs in April to June 2015 whilst the highest number of repossessions per 100,000 households was 27 (Rossendale). There were three other areas with more than 20 mortgage possession repossessions by county court bailiffs (Fenland, Hyndburn and Blackpool). All repossessions in the UK13: UK-wide, there were 3,100 repossessions in total in January to March 2015. This figure includes repossessions carried out by county court bailiffs and also other types of repossessions. ## Section 2 - Landlord Possession Actions Annually, landlord possession claims decreased between 2002 and 2010 and subsequently increased until 2013. However in 2014, this figure fell (Figure 2 and Table 3). Claims issued: A possession claim is created when a claimant begins a legal action for an order for possession of property by making a claim that is then issued in a county court. There were 36,212 landlord possession claims issued in April to June 2015, down 6% on the same quarter in 2014. After seasonal adjustment, the number of claims was 39,243 in April to June 2015, relatively unchanged from the previous quarter (39,202). Within landlord possession claims, there are three types of claim: social landlord, private landlord and accelerated claims. Accelerated claims can be used by both private and social landlords under certain circumstances and are usually quicker than normal evictions. In April to June 2015, the majority of landlord possession claims (21,160 or 58%) were social landlord claims, whilst 5,038 (14%) were private landlord claims and 10,014 (28%) were accelerated claims. The proportion of claims made using the accelerated procedure has increased from 7% in 1999 to 22% in 2014, whereas the proportion of claims from social landlords has fallen from 83% in 1999 to 64% in 2014. The proportion of claims made by private landlords increased from 9% in 1999 to 17% in 2010, before falling to 14% in 2014. When observing landlord claims (accelerated, social and private) by local authority, Pendle show the lowest number (21) per 100,000 households Whilst the London borough of Newham shows the highest (552 per 100,000 households). London boroughs account for all but one of the 20 local authorities with the highest proportion of landlord claims (Luton being the only exception). Orders: The court may grant an order following a judicial hearing which can be either for immediate possession (outright order) or suspended. There were a total of 29,390 landlord possession orders made in April to June 2015, down 9% on the number of orders in the same period in 2014. Seasonally adjusted figures show a 1% decrease (from 30,515 to 30,161). In April to June 2015, 40% of landlord possession orders being made were suspended. The proportion of suspended orders in 2014 was 43%, maintaining the flat trend seen since 2010. It is estimated that 72% of claims issued in April to June 2015 will lead to an order being made in time, although this figure could range between 69% and 75%. Warrants of possession: Having received an order, or if the terms of a suspended order are broken, the claimant can apply for a warrant of possession. There were 18,267 warrants of possession in April to June 2015, a decrease of 3% on the same period in 2014.Seasonally adjusted figures show a 2% decrease compared to the last quarter, from 19,762 to 19,268. It is estimated that 40% of claims issued in April to June 2015 will lead to a warrant, although the final figure could range between 35% and 44%. Repossessions by county court bailiffs: Once a warrant has been issued county court bailiffs can repossess the property on behalf of the claimant. There were 10,361 landlord repossessions by county court bailiffs in April to June 2015, up 4% on the same period in 2014. Seasonally adjusted figures show a 1% decrease compared to last quarter, from 10,892 to 10,788. It is estimated that 21% of claims made in April to June 2015 will lead to repossessions by county court bailiffs, although this figure could range between 18% and 25%. The trend in repossessions by county court bailiffs appears to be in contradiction to that seen in claims, orders and warrants - this can be attributed to the time it takes for claims to be processed through to the repossession stage. The number of landlord possession claims peaked in January to March 2014 - as a result, the continuing increasing trend in repossessions as shown in Figure 2 is most likely due to those claims working their way through the system. ## Map 4: Landlord Repossessions By County Court Bailiff In England & Wales By Local Authority, 2015 Q216,17 There were no landlord (social, private and accelerated) repossessions by county court bailiffs in Ryedale, Hart, City of London and Purbeck local authorities. The London borough of Newham had the highest number (274 per 100,000 households in the area) and London local authorities account for all but three of the 20 boroughs with the highest proportion of landlord repossessions (Thanet, Slough and Luton being the only exceptions). ## Annex A - Further Information Supplementary tables and CSV datasets are available alongside this bulletin, allowing users to analyse the data themselves. The following tables are available, showing data for county courts in England and Wales:  Table 1: Mortgage possession workload in the county courts of England and Wales, 1987 - 2015 Q2  Table 2: Mortgage possession claims that lead to orders, warrants, and repossessions in the county courts of England and Wales, 1999 - 2015 Q2  Table 3: Landlord possession workload in the county courts of England and Wales, 1990 - 2015 Q2  Table 4: Landlord possession claims that lead to orders, warrants, and repossessions in the county courts of England and Wales, 1999 - 2015 Q2  Table 5: Landlord possession claims in the county courts of England and Wales by type of procedure and landlord, 1999 - 2015 Q2  Table 6: Mortgage and Landlord possession workload in the county courts of England by type of procedure and landlord, 1999 - 2015 Q2  Table 7: Mortgage and Landlord possession workload in the county courts of Wales by type of procedure and landlord, 1999 - 2015 Q2  Table 8: Seasonally adjusted possession actions in the county courts of England and Wales, 2009 - 2015 Q2 The CSV datasets contain local authority and court-level breakdowns of claims, orders, warrants and county court bailiff repossessions for England and Wales, for the full amount of time that data are available. Where the value is between 1 and 5, the value is suppressed and shown as "-" to protect the confidentiality of those involved in the claim, order, warrant or repossession. For this reason, the national total number of claims, orders etc. from these datasets will not match the published totals provided in the Excel tables, although the differences are generally small. For more information, please refer to the separately downloadable Guide to local authority and court-level information, which can be found in the CSV zip folder, which accompanies this publication. ## Annex B: Policy Changes New Bailiff Laws New laws came into effect on 6 April 2014 to bring an end to bad and aggressive bailiff behaviour, while making sure businesses, local authorities and others can still fairly enforce debts owed to them. These reforms are part of a wider package under changes to the Tribunals, Courts & Enforcement Act 2007. With roughly 4 million debts collected each year, in future only bailiffs who have been trained and received certification will be allowed to practise. Bailiffs will be banned from entering homes at night and from using physical force against debtors. The changes will also prevent bailiffs from entering properties where only children are at home and includes further measures to protect vulnerable people. Bailiffs will be prevented from taking vital household essentials from debtor's property, such as a cooker, microwave, refrigerator or washing machines. A new set of fixed fees for debtors has also been introduced, to end the previous situation where bailiffs were setting their own fees - sometimes at very high levels - and adding these to the amount people in debt had to pay. ## Introduction Of Mortgage Pre-Action Protocol A Mortgage Pre-Action Protocol (MPAP), approved by the Master of the Rolls, for possession claims relating to mortgage or home purchase plan arrears came into effect on 19 November 2008. The protocol applies to mortgage arrears on:  First charge residential mortgages and home purchase plans regulated by the Financial Service Authority under the Financial Services and Market Act 2000;  Third charge mortgages for residential property and other secured loans regulated under the Consumer Credit Act 1974 on residential property; and,  Unregulated residential mortgages. The Protocol gives clear guidance on what the courts expect lenders and borrowers to have done prior to a claim being issued. The main aims of it were to ensure that the parties act fairly and reasonably with each other in any matters concerning the mortgage arrears, to encourage more pre action contact between lender and borrower and to enable efficient use of the court's time and resources. The introduction of the MPAP coincided with a fall of around 50% in the daily and weekly numbers of new mortgage repossession claims being issued in the courts as evidenced from administrative records. As orders are typically made (when deemed necessary by a judge) around 7 weeks (using 2011 data) after claims are issued, the downward impact on the number of mortgage possession orders being made was seen in the first quarter of 2009. It has not been possible to adequately quantify the long term impact of the MPAP. This reflects the lack of a good comparator (although the MPAP was not introduced in Scotland, the big lenders in Scotland also operate south of the border and so lender behaviour is likely to be the same as in England and Wales), and the existence of other factors such as changing economic conditions, other measures introduced shortly after the MPAP, and lenders desire to minimise their losses. More details about the protocol can be viewed using the link: www.justice.gov.uk/guidance/courts-and-tribunals/courts/procedurerules/civil/contents/protocols/prot_mha.htm ## Annex C: Maps The household projections used to produce the maps are based off the Department for Communities and Local Government 2012-based projections (which cover all local authorities in England) www.gov.uk/government/collections/household-projections and StatsWales' 2011-based projections (which cover all local authorities within Wales) https://statswales.wales.gov.uk/Catalogue/Housing/Households/Projections/ Local-Authority/2011-Based . Both are the latest datasets available for the areas they cover. In addition to this, the boundary lines were drawn using the Great Britain local authority districts (LADs) from the ONS Geoportal (https://geoportal.statistics.gov.uk/geoportal/catalog/main/home.page) which contains the digital vector boundaries for LADs in Great Britain as of December 2014. Therefore, the maps created may not reflect any boundary changes that may have occurred in 2015. ## Annex D: Explanatory Notes The United Kingdom Statistics Authority has designated these statistics as National Statistics, in accordance with the Statistics and Registration Service Act 2007 and signifying compliance with the Code of Practice for Official Statistics. Designation can be broadly interpreted to mean that the statistics:  meet identified user needs;  are well explained and readily accessible;  are produced according to sound methods, and  are managed impartially and objectively in the public interest. Once statistics have been designated as National Statistics, it is a statutory requirement that the Code of Practice shall continue to be observed. The statistics in this bulletin relate to cases in the county courts in England and Wales. Calendar year statistics are also provided. ## Revisions The statistics in the latest quarter are provisional, and are therefore liable to revision to take account of any late amendments to the administrative databases from which these statistics are sourced. The standard process for revising the published statistics to account for these late amendments is as follows: An initial revision to the statistics for the latest quarter may be made when the next edition of this bulletin is published. Further revisions may be made when the figures are reconciled at the end of the year. If revisions are needed in the subsequent year, these will be clearly annotated in the tables. Slight errors (of less than 5 cases) from the January to March issue of this publication have been corrected. These figures include: mortgage warrants for 2014 Q4 (and subsequently the annual total), landlord warrants for 2014 Q4 (and subsequently the annual total) and landlord possessions for 2014 Q4 (and subsequently the annual total). ## For more information please see the Guide to Civil and Administrative Justice Statistics. ## Symbols And Conventions The following symbols have been used throughout the tables in this bulletin: .. = no data available - = Between one and five. Low numbers are suppressed to prevent individuals being identified (r) = Revised data (p) = Provisional data ## Contact Points For Further Information Current and previous editions of this publication are available for download at: www.gov.uk/government/collections/mortgage-and-landlord-possessionstatistics Press enquiries should be directed to the Ministry of Justice press office: Hugo Biggs Tel: 0203 334 3514 Email: hugo.biggs@justice.gsi.gov.uk Queries on the wider policy implications of these statistics should be directed to the Department for Communities and Local Government's press office: Rhodri Jones Email: Rhodri.Jones@communities.gsi.gov.uk Queries on statistics shown for 'Properties taken into possession' and other related statistics should be directed to the Council of Mortgage Lenders' press office on 020 7438 8922. Other enquiries about these statistics should be directed to: ## Justice Statistics Analytical Services Alison Colquhoun Ministry of Justice 7th Floor 102 Petty France London SW1H 9AJ Email: statistics.enquires@justice.gsi.gov.uk Other National Statistics publications, and general information about the official statistics system of the UK, are available from http://statisticsauthority.gov.uk/about-the-authority/uk-statistical-system Alternative formats are available on request from statistics.enquiries@justice.gsi.gov.uk	en
0003-pdf	## Uk Trade & Investment Performance & Impact Monitoring Surveys (Pims) 2013 Non-User Survey Main Report September 2013 Jn: 4361 ## Contents \| 1. \| Executive Summary 1 \| \|---------------------------------------\|---------------------------------\| \| 1.1 Business Profile & Growth 1 \| \| \| 1.2 Benefits of Exporting \| 3 \| \| 1.3 Barriers to Overseas Trade \| 3 \| \| 1.4 Awareness of UKTI \| 4 \| \| 1.5 Demand for Export Support 4 \| \| \| 1.6 Key Measures \| 5 \| \| 1.7 Conclusions 6 \| \| \| 2. \| Background & Objectives 7 \| \| 3. \| Methodology \| \| 3.1 Questionnaire & Piloting 8 \| \| \| 3.2 Sampling Approach 8 \| \| \| 3.3 Comparative Analysis 9 \| \| \| 3.4 Statistical Significance 10 \| \| \| 3.5 Weighting \| 10 \| \| 3.6 Rounding 10 \| \| \| 4. \| Business Profile \| \| 4.1 Age 11 \| \| \| 4.2 Size (Employees) \| 14 \| \| 4.3 Turnover & Profitability \| 16 \| \| 4.4 Industry Sector \| 21 \| \| 4.5 Company Status & Ownership \| 23 \| \| 4.6 Innovation 27 \| \| \| 4.7 Growth 41 \| \| \| 4.8 Business Planning 46 \| \| \| 4.9 Degree-Level Senior Management 48 \| \| \| 4.10 Membership of Business Bodies 49 \| \| \| 5. \| Export Experience & Strategy 50 \| \| 5.1 Length of Time Exporting \| 50 \| \| 5.2 Export Turnover 52 \| \| \| 5.3 Number of Markets 57 \| \| \| 5.4 Changes in Overseas Strategy 61 \| \| \| 6. \| Benefits of Exporting 63 \| \|-----------------------------------------------------------------------\|-------------------------------------\| \| 6.1 Summary 63 \| \| \| 6.2 Individual Benefits \| 66 \| \| 7. \| Barriers to Overseas Trade 71 \| \| 7.1 Summary 71 \| \| \| 7.2 Individual Barriers 75 \| \| \| 8. \| Awareness of UKTI 77 \| \| 8.1 Awareness of UKTI Name 77 \| \| \| 8.2 Awareness of UKTI Role \| 80 \| \| 8.3 Awareness & Interest in UKTI Services 81 \| \| \| 9. \| Awareness & Use of Non-UKTI Support \| \| 9.1 Use of Non-UKTI Support 87 \| \| \| 9.2 Type of Non-UKTI Support Received (Supported Non-Users) \| 90 \| \| 9.3 Awareness & Interest in Export Support (Unsupported Non-Users) 92 \| \| \| 10. Support Quality & Satisfaction \| 97 \| \| 10.1 Quality Rating - Measure A09 97 \| \| \| 10.2 Individual Quality Ratings \| 99 \| \| 10.3 Overall Satisfaction - Measure B10 104 \| \| \| 11. Additionality 107 \| \| \| 12. Impacts & Outcomes 108 \| \| \| 12.1 Increased Skills - Measure A81 \| 108 \| \| 12.2 Changed Behaviour - Measure A83 112 \| \| \| 12.3 Increased Innovation - Measure A04 \| 118 \| \| 12.4 Increased R&D - Measure AR&D 120 \| \| \| 12.5 Barriers to Market Access Overcome - Measure A92 \| 122 \| \| 12.6 Increased Sales/Orders \| 127 \| \| 12.7 Significant Business Benefit - Measure A06 \| 129 \| \| 12.8 'Light Touch' Support 131 \| \| \| 13. Economic Climate 132 \| \| \| 13.1 Sustained Economic Growth or Increasing Demand Overseas \| 132 \| \| 13.2 Export Credit Insurance \| 134 \| \| Annex A - Questionnaire 135 \| \| \| \| \| \| \| \| ## 1. Executive Summary UKTI's Performance & Impact Monitoring Survey (PIMS) measures the impact and effectiveness of UKTI support, and the PIMS programme includes an annual telephone survey of exporting firms that have not used UKTI services. The broad aims of this nonuser survey are to understand the extent and quality of any alternatives to UKTI support, explore the barriers faced by exporting businesses that may give rise to a need for such services, and measure interest in accessing export support and the factors that influence this. The 2013 PIMS Non-User survey involved 829 interviews with UK firms that have exported (or attempted to export) in the last 2 years. This includes firms that have obtained exportrelated assistance from other, non-UKTI sources (supported non-users) and those that have not accessed any export-related support (unsupported non-users). Where available, comparisons have been made with firms that have received support through UKTI, with data primarily drawn from the main PIMS survey of UKTI clients. Throughout this report, any differences referred to in the commentary are statistically significant at the 95% level of confidence unless otherwise stated. ## 1.1 Business Profile & Growth Business Profile Non-Users UKTI Users Base 829 3823 0-5 years 17% 24% The age profile of UKTI users and non-users is broadly similar, although the UKTI client base includes a higher proportion at both ends of the age spectrum (i.e. firms established in the last 5 years and over 20 years ago). 6-10 years 23% 16% Age 11-20 years 28% 21% Over 20 years 32% 40% 0-9 employees 65% 41% 10-99 employees 29% 37% Size (employees) 100-249 employees 3% 9% 250+ employees 2% 10% Up to £500k 50% 31% £500k - £2m 20% 20% Size (turnover) £2m - £10m 10% 20% Over £10m 5% 19% Two-thirds of non-users are micro SMEs with fewer than 10 employees, and half have an annual turnover of under £500k. UKTI clients tend to be larger than non-user firms in both employee and turnover terms, although it is still the case that the vast majority of UKTI users are SMEs (i.e. 0-249 employees). Supported non-users (i.e. those accessing some form of non-UKTI export assistance) tend to be larger than unsupported non-users, and are therefore slightly closer in profile to UKTI clients. For both users and non-users of UKTI, the majority of firms operate in the services sector. However, UKTI users are comparatively more likely to be in the production sector. UKTI clients are more likely to be classed as 'innovative' and are also more likely to hold patents, trademarks or other legal protection for their products/services and hence be classified as 'IP active'. ## Export Experience \| Non-Users \| UKTI Users \| \|-----------------\|--------------\| \| Base \| \| \| 829 \| 3823 \| \| 0-2 years \| 17% \| \| 2-10 years \| 44% \| \| Years Exporting \| \| \| Over 10 years \| 37% \| \| Up to 10% \| 59% \| There is generally little difference between users and non-users of UKTI when it comes to the length of time they have been operating overseas. However, UKTI clients are slightly more likely to be either very recent exporters (under 2 years experience) or very long-term exporters (over 20 years experience). \| 11-25% \| 9% \| 14% \| \|-----------------------------\|------\|-------\| \| Export Sales \| \| \| \| (as proportion of turnover) \| \| \| \| 26-50% \| 11% \| 17% \| \| Over 50% \| 14% \| 29% \| \| None \| 11% \| 17% \| \| 1-5 \| 52% \| 31% \| \| Number of Markets \| \| \| \| 6-20 \| 31% \| 33% \| \| Over 20 \| 6% \| 19% \| Overseas sales are significantly more important to UKTI users than non-users, in the sense that they make a greater contribution to their total turnover. Overall, 59% of non-users report that exports contribute no more than 10% of their total turnover, compared to just 35% of users. ## Growth & Strategy Non-user businesses are also typically doing business in fewer overseas markets than users. UKTI clients are notably more dynamic than non-users; they are more likely to have grown substantially in the past 5 years and to anticipate further substantial growth in the next 5 years. Non-Users UKTI Users Firms accessing UKTI support also tend to have a more positive outlook when it comes to the development of their overseas business. Almost three-quarters of UKTI clients expect the number of markets they do business in and their export sales to increase in the next three years, compared to less than half of all non-users. UKTI users are also more likely to have recently entered new markets and to be focussing more on overseas markets than they were a year ago. ## Business Growth - Over Time There is also evidence that UKTI clients are more strategic in their approach than nonusers. Not only are they more inclined to have a formal business plan, but they are also more likely to indicate that this plan contains specific targets relating to revenues from overseas sales. Overall, there has been little change in the growth aspirations of non-user firms over the last 4 years. ## 1.2 Benefits Of Exporting Exporting clearly benefits internationalising firms in a number of different ways, and not simply through enabling them to achieve a level of growth otherwise not possible. At the total level the most widespread benefit of exporting is that it improves firms' profile or credibility. UKTI users are significantly more likely to report each of the benefits tested, suggesting that accessing support from UKTI puts firms in a better position to take advantage of the potential positive impacts of exporting. ## 1.3 Barriers To Overseas Trade Approaching half of all non-user firms have experienced one or more significant barriers to the development of their overseas business, suggesting that many would benefit from the type of support that UKTI can provide. The most widespread issues encountered relate to legal and regulatory issues and establishing/developing contacts. Relatively few firms reported language or cultural barriers. However, although firms do not believe they have been directly affected by a lack of language skills, this could potentially be a factor behind some of the other barriers experienced (e.g. difficulty complying with regulatory standards, problems building relationships with overseas contacts, etc). Those non-user firms that had accessed (non- UKTI) export support are more likely to report barriers than unsupported firms. This suggests that coming up against difficulties can act as a catalyst for seeking external support, and is consistent with UKTI's Internationalisation Survey which found that UKTI clients report more barriers than non-users. It is important to note that all of these barriers can, to at least some extent, be addressed by the existing range of UKTI export support services. The table on the right matches each barrier to relevant impacts reported by UKTI clients in the main PIMS surveys (along with the proportion of UKTI users benefiting to a significant extent from each one). ## Barriers To Doing Business Overseas How Ukti Support Can Address Barriers Barrier Corresponding Benefit Of Ukti Support • Overcome problem or difficulty with a legal or regulatory issue or quality standards (12%) Legal & Regulatory • Introduced new products/services or improved existing ones (21%) • Made improvements to new product development strategy (22%) Customs • Improved way do business in an overseas market (32%) • Gained access to prospective customers/business partners (40%) Contacts • Improved overseas marketing strategy (30%) Information • Gained access to information otherwise unable to come by (39%) Resource • Gained confidence to enter new market/expand in existing one (36%) • Gained access to information otherwise unable to come by (39%) • Improved way do business in an overseas market (32%) Language & Cultural • Improved overseas marketing strategy (30%) • Improved profile or credibility (36%) Bias • Improved knowledge of competitive environment in overseas market (35%) ## 1.4 Awareness Of Ukti Awareness of the UKTI name among exporters that have not used UKTI services stands at just 45%. Furthermore, only a third of firms knew that UKTI provides assistance to help UK firms do business overseas (i.e. were aware of UKTI's role). Less than a fifth of non-users had heard of the OMIS service and the support available through UKTI's ITA network, although awareness increased a little for 'Meet the Buyer' events. Base: Non-Users (829) Interest in using these services is highest for ITAs and Meet the Buyer events. For all three services, interest levels were highest among very inexperienced exporters, yet this group tended to have the lowest awareness levels. Interest in these services was also particularly high among firms that were planning to grow, suggesting that dynamic firms can often seek external support to help them realise their growth ambitions. Overall, awareness of the UKTI name among non-user firms has risen over the past 3 years (particularly for unsupported non-users). ## 1.5 Demand For Export Support Use Of External (Non-Ukti) Support Just 12% of non-user firms have obtained export support from a non-UKTI source in the previous two years, and are therefore classed as 'supported' non-users. A variety of different providers were used by these firms, but the most common was the Chamber of Commerce, followed by HMRC. Info on how to do business in an overseas market 46% Info about entering a new market 24% Support Providers Used Certificates of Origin 23% Base: All Non-Users 829 Chamber of Commerce 6% Info about business opportunities in an overseas market 23% HMRC 4% Help with developing overseas business strategy 21% Bank 3% Help identifying contacts overseas 19% Consultant 2% The most widespread type of support accessed by non-users related to information on how to do business in an overseas market, with almost half of all supported non-users obtaining this in the previous 2 years. \| Help accessing finance or funding \| 19% \| \|-------------------------------------\|-------\| \| Trade Association \| \| \| 2% \| \| \| Online info service (paid for) \| \| \| 1% \| \| \| Help doing market research \| \| \| overseas \| \| \| 18% \| \| \| Other \| 36% \| \| Market research agency \| \| \| 1% \| \| Approaching a quarter had received information or advice about entering a specific market and help identifying business opportunities overseas, and a similar proportion had obtained Certificates of Origin (from the Chamber of Commerce). ## Need For Support Of the non-user firms that had not received support, 43% felt they would have benefitted from some type of export related assistance. 22% Have our own/existing contacts 16% Have a niche market/product In most cases the reason why firms have not accessed any export support (even though they feel it would be beneficial) is because they are unaware of any providers of this type of assistance, with 72% indicating that this is the case. This clearly suggests that, if awareness is increased, there is potential for UKTI to help significantly more firms. 8% Customers contact us/we respond to orders/enquiries 7% Base: Unsupported non-Users (727) ## Most Useful Country To Receive Support About Individual Markets (3%+ mentions) Market Area USA 12% Europe 21% China 8% Asia Pacific 16% Germany 6% North America 13% Among the unsupported non-users who thought they would not benefit from any external support, the main reason given was that they had sufficient experience or capabilities in-house. However, a significant minority believed that no one would be able to help them in this way and/or that their business was too niche for external support to be beneficial. France 6% Middle East / Africa 11% Latin America 2% United Arab Emirates 4% Spain 3% Australia 3% Market Type India 3% High Growth 19% Established 19% None/not interested in external support 44% Other 23% Don't know 3% When asked which country it would be most useful to receive support about, the most common response was the USA. Overall, demand for support is greatest in relation to European markets. Base: Non-Users (829) ## 1.6 Key Measures There is clear evidence that the export support provided by UKTI is more effective than that delivered by non-UKTI sources. UKTI users are significantly more likely to score against all of the key impact measures, with the exception of Increased R&D. The perceived quality of the UKTI support is also considerably higher than that seen for other support providers, although there is little difference in overall satisfaction levels. It is also notable that over a third of those firms receiving non-UKTI export support judged this to have been 'non-additional' (i.e. they would have achieved similar results anyway even if they had not obtained the support). In contrast, just 21% of UKTI users classified the assistance as 'non-additional'. ## 1.7 Conclusions - UKTI users and non-users display some notable differences in business profile. UKTI clients tend to be a little larger than non-users (although the vast majority are still SMEs) and display significantly greater innovation levels. They are also more export intensive than non-users in terms of the number of overseas markets they operate in and the share of turnover accounted for by overseas sales (despite having a similar profile when it comes to the length of time they have been doing business overseas). - UKTI clients are significantly more dynamic than non-users, both in terms of their overall business growth and their overseas development. They are also more strategic in their approach. That said, there are still significant proportions of non-users firms that are on an upward growth trajectory, are innovating and adopt a strategic approach to their business development and would therefore represent very good additions to UKTI's client base. - Notwithstanding their less ambitious approach to exporting, almost half of all non-user firms have still experienced significant barriers to the development of their overseas business. The most widespread of these are legal and regulatory barriers and contacts barriers, all of which could potentially be addressed (or at least reduced) by existing UKTI services. - Non-users lack awareness of UKTI. This applies to recognition of the UKTI name (45%), understanding of UKTI's role (31%) and awareness of specific services (OMIS 18%, ITAs 19%, meet the buyer events 29%). - However, awareness of UKTI has risen over the last few years (up from 38% in 2010), and there is also clear interest in the types of service that UKTI provides (with this particularly true of less experienced exporters, who conversely display the lowest awareness of these services). - Even though many non-user firms feel that external export support would be beneficial to them, just 12% have accessed assistance from a non-UKTI source in the past 2 years. The primary reason for not obtaining support is that firms are unaware of anyone that could provide it. - UKTI support generates significantly greater business impacts than export support provided by other sources. UKTI assistance is also associated with much higher levels of additionality; firms accessing non-UKTI support are significantly more likely to feel that they would have achieved the same outcomes anyway even if had they not received the support. ## 2. Background & Objectives UKTI's Performance & Impact Monitoring Survey (PIMS) measures the impact and effectiveness of UKTI support, and the PIMS programme includes an annual survey of exporting firms that have not used UKTI services. This report details the findings of the 2013 PIMS Non-User Survey. The broad aim of the PIMS Non-User Surveys is to help shed light on the economic rationale for UKTI trade development services, and investigate the following issues: - The extent of existence of private sector alternatives of comparable scope and quality to UKTI; - The extent to which businesses encounter barriers which give rise to the need for such services, and how these may vary across business groups; - The extent to which businesses may have differential access to existing alternatives and why (e.g. differential access to key networks, service providers catering for specific groups such as larger firms, etc); - The level of business interest in using export support services, and the factors which influence the demand side of the market for such services. While much of the survey content is consistent across waves, to allow comparison over time, some elements are varied each year to enable the survey to provide new evidence on evolving policy issues. It was therefore decided that the 2013 PIMS Non-User Survey would focus on addressing the following specific objectives: - Gather evidence on use of non-UKTI support services, including the impact and effectiveness of these programmes (in a consistent and comparable form to the ongoing PIMS user data); - Assess the extent to which businesses encounter barriers which give rise to a need for such services; - Explore attitudes towards support services amongst those non-user firms not accessing any forms of external support; - Measure awareness of, and interest in, certain key UKTI services; - Examine the benefits arising from doing business overseas; - Explore any impact of the current economic climate; - Collect non-user profile data, including data on innovation, growth and export strategy. ## 3. Methodology This survey of UKTI non-users employed a telephone methodology, with interviews conducted using CATI (Computer Assisted Telephone Interviewing). A total of 829 interviews were completed, lasting an average of 20 minutes. ## 3.1 Questionnaire & Piloting The questionnaire was fully piloted prior to the start of main fieldwork to check the flow, clarity, relevance and length of the questionnaire as well as the content. Where appropriate, the questions included in the non-user survey replicated those asked in the main PIMS user surveys to ensure comparability of results. A copy of the final questionnaire is appended to this report. The research was positioned as being on behalf of UK Trade & Investment and the Department for Business, Innovation & Skills, and respondents were informed that it would cover their current export activities and the impact that exporting has had on their business. Interviewers initially asked to speak to either the owner or the person responsible for the firm's strategy in relation to business development and then further clarification was sought as to whether the respondent was the person best qualified to talk about their company's export activities, with referrals taken as necessary. ## 3.2 Sampling Approach To ensure that the research covered a representative sample of exporters, the sample frame was built from a random sample of UK businesses which was then screened to identify those engaged in overseas business. The sample was stratified by age of firm (those established up to 5 years, 6-10 years and over 10 years) in order to achieve a robust number of interviews with each of these groups. The final data was then weighted back to the age profile of all UK exporters using Annual Small Business Survey data. In order that the incidence within the sample frame of firms eligible for interview (i.e. engaging in international business activity) was kept to within sensible limits, a small number of industry sectors where export propensity is very low were excluded from the initial sample frame. The exclusions were made on the basis of analysis of data from the Community Innovation Survey (CIS) on the incidence of exporting for individual industry sectors by age group1. The initial sample was 'de-duplicated' against known users of UKTI (using a list compiled from all records of supported firms provided for the main PIMS user surveys), to ensure that any firms that had received assistance from UKTI were removed from the sample frame. As a further precaution, 'screening' questions were included at the start of the questionnaire and the interview was terminated if the firm had not sold any goods or services to overseas customers in the last 2 years (and hadn't seriously considered doing so) or revealed that they had used UKTI services in relation to trade development in the last 5 years. In 2013, the Non-User survey was expanded to enable it to measure recall of a separate UKTI marketing campaign being conducted in the north of England. The survey therefore consisted of three different elements, as follows: - Core survey: 301 interviews with a UK-wide sample of firms - Pre-campaign boost: 264 interviews with firms in the north of England - Post-campaign boost: 264 interviews with firms in the north of England Throughout the bulk of this report, the analysis is based on all 3 of the above elements. However, in key areas (such as awareness of UKTI) the analysis excludes the 'boost' interviews to ensure direct comparability with previous waves of the Non- User survey. Due to the need to cover the pre and post campaign periods, fieldwork took place over a 4 month period (April-July 2013). The following table summarises the number of sample records selected for CATI, the approximate number of records lost due to screening-out or incorrect contact details, and the response and refusal rates. CATI SCREENING Selection for CATI 18,526 Unusable - do not export 13,704 Unusable - Other reason (e.g. incorrect contact details, UKTI user, public sector organisation, etc) 1,521 ACHIEVED INTERVIEWS / RESPONSE RATES Total useable sample 3,301 Interviews achieved 829 Response rate (%) 25% Refusal rate (%) 36% ## 3.3 Comparative Analysis Throughout this report, comparative data has also been shown (where available) for users of UKTI services, from the following sources: - Main PIMS Surveys: Users of UKTI's trade development services interviewed in the main PIMS research. - PIMS Follow-Up Surveys: Users of UKTI's trade development services interviewed in the PIMS follow-up surveys (conducted c.1 year after the initial PIMS survey). Wherever possible the 'user' data has been taken from the main PIMS surveys, which involve a larger sample, but in some cases the relevant questions were only included in the PIMS Follow-Up surveys. In line with the standard PIMS reporting conventions, firms only receiving very light-touch assistance2 have been excluded from the UKTI user analysis. For the non-user data, as well as providing a breakdown by age of firm, analysis has also been provided by 'supported' and 'unsupported' non-users. The definitions of these two non-user sub-groups are as follows: - Supported Non-Users: Exporting firms that have received some form of export-related support from external (non-UKTI) sources in the last 2 years - Unsupported Non-Users: Exporting firms that have not received any external export-related support in the last 2 years Please note that when the analysis of supported/unsupported non-users is further split by age of firm, the base sizes are very low for some groups (particularly supported non-user aged 0-5 years and 6-10 years). As a result, all findings for these sub-groups should be treated as indicative only. ## 3.4 Statistical Significance Throughout this report, any differences referred to in the commentary are statistically significant at the 95% level of confidence unless otherwise stated. Confidence intervals (calculated at the 95% level) have been shown for all of the key survey measures. ## 3.5 Weighting All the data from this survey has been weighted to reflect the true age profile of UK exporters, and more details of the weighting approach can be found in Section 4.1. Throughout this report all the results show the weighted figures. However, the bases displayed in each chart/table are unweighted. ## 3.6 Rounding Throughout this report results are typically presented to the nearest whole number (e.g. 24.7% will be rounded up and displayed as 25%). For this reason there can be apparent discrepancies between the charts/tables and the commentary when several figures are combined. For example, values of 8.4% and 15.3% would be shown as 8% and 15% respectively in a chart, but the combined value if referred to in the commentary would be 23.7% and hence displayed as 24%. ## 4. Business Profile 4.1 Age The sample for this survey was stratified by age of firm. The primary reason for this is that young firms are an important group for UKTI and it is therefore important that sufficiently robust data of collected for this group to enable a good understanding of their profile, barriers experienced, benefits of exporting, etc. Furthermore, stratifying the sample by age of firm also provides a unique insight into how exporting businesses develop over time. The sample was stratified into 3 age groups (0-5 years old, 6-10 years old and over 10 years old). To account for this disproportionate sampling approach, the final nonuser data has been weighted back to the true age profile of internationalising firms (using data from the Annual Small Business Survey). The table below provides details of the actual (unweighted) age distribution of sampled firms, the age profile of all UK exporters, and the weighted proportion of firms in the final sample. % of True profile % of No. of interviews of exporters interviews interviews (unweighted) (ASBS data) (Weighted) 0% Not yet trading 1 0% 17% Within the last 2 years 55 7% 5% 2-5 years ago 97 12% 11% 6-10 years ago 225 27% 23% 23% 11-20 years ago 211 25% 60% 28% More than 20 years ago 240 29% 32% Total 829 100% 100% 100% As detailed above, younger firms (under 11 years) are very slightly over-represented in the sample for this survey and as a result have been down-weighted, whilst older firms are up-weighted slightly. Please note that all results shown in the remainder of this report have been weighted. The chart below shows the weighted profile of the non-user businesses interviewed in terms of the number of years they have been established. Comparative data has also been provided for users of UKTI support (from the main PIMS survey). As detailed earlier, the overall sample frame for the non-user survey was stratified by age to ensure robust coverage of firms established 0-5 years, 6-10 years and over 10 years. The data was then weighted to the known profile of internationalising firms (based on data taken from the Annual Small Business Survey), and the overall profile of firms reflects this. The age profile of UKTI users and non-users is broadly similar. However, the UKTI client base includes a higher proportion at both ends of the age spectrum (i.e. young firms established in the last 5 years and firms that have been trading for more than 20 years). The following table provides a further breakdown of the non-user age profile by those firms that have received some form of export-related support from non-UKTI sources ('supported non-users') and those that have not ('unsupported non-users'). Details of the type of non-UKTI support received and the providers used can be found in Section 9 of this report. - Non-Users by Whether Supported Total Up to 5 years 6-10 years Over 10 years Supp- Unsupp Supp- Unsupp Supp- Unsupp Supp- Unsupp orted -orted orted -orted orted -orted orted -orted Base 102 727 14 139 20 205 68 383 Less than 2 years 2% 6% 22% 34% - - - - 2-5 years 9% 12% 78% 66% - - - - 6-10 years 17% 24% - - 100% 100% - - 11-20 years 37% 27% - - - - 51% 46% Over 20 years 35% 31% - - - - 49% 54% Supported non-users have an older profile than their unsupported counterparts, with 72% of the former established for over 10 years compared to 58% of the latter. ## 4.2 Size (Employees) The chart below shows the profile of the non-user businesses interviewed in terms of the number of employees they have within the UK. Comparative data has also been provided for users of UKTI support. Base: All respondents (Base, Don't know/Refused, Not yet trading) Non-Users - Total (829, 0%, 1%), Up to 5 years old (153, 0%, 0%), 6-10 years old (225, 0%, 0%), Over 10 years old (451, 1%, 0%) Users - Total (3823, 1%, 2%), Up to 5 years old (888, 0%, 8%), 6-10 years old (593, 0%, 0%), Over 10 years old (2340, 1%, 0%) Two-thirds (65%) of non-user firms are micro SMEs with fewer than 10 employees. Even among firms that have been trading for over 10 years, the majority still have less than 10 employees. Whilst they are still primarily SMEs, UKTI clients tend to be significantly larger than non-user firms, with the majority (56%) having 10 or more employees. Around a quarter (28%) of UKTI users have 50 or more employees, compared to just 9% of non-user firms. This difference in the size profile of users and non-users is most evident when it comes to firms that have been trading for more than 10 years. Supported non-users tend to be slightly larger than unsupported ones, although on average they still have significantly fewer staff than UKTI clients. - Non-Users by Whether Supported Total Up to 5 years 6-10 years Over 10 years Supp- Unsupp Supp- Unsupp Supp- Unsupp Supp- Unsupp orted -orted orted -orted orted -orted orted -orted Base 102 727 14 139 20 205 68 383 0 3% 3% 0% 5% 11% 4% 1% 2% 1-9 52% 64% 88% 79% 54% 66% 46% 59% 10-19 15% 13% 12% 9% 15% 13% 15% 15% 20-49 16% 10% 0% 4% 10% 2% 20% 11% 50-99 3% 4% 0% 2% 0% 2% 4% 6% 100-249 5% 3% 0% 0% 0% 1% 7% 4% 250+ 6% 1% 0% 0% 10% 0% 6% 2% Don't know 0% 1% 0% 0% 0% 0% 0% 1% Not yet trading 0% 0% 0% 1% 0% 0% 0% 0% ## 4.3 Turnover & Profitability 4.3.1 Turnover The chart below shows the profile of non-user businesses in terms of their current annual turnover. Comparative data has also been provided for users of UKTI support. Base: All respondents (Base, Don't know/Refused, Not yet trading) Non-Users - Total (829, 15%, 0%), Up to 5 years old (153, 10%, 0%), 6-10 years old (225, 16%, 0%), Over 10 years old (451, 17%, 0%) Users - Total (3823, 8%, 2%), Up to 5 years old (888, 6%, 8%), 6-10 years old (593, 7%, 0%), Over 10 years old (2340, 9%, 0%) Reflecting their smaller size in terms of employee numbers, non-user businesses also tend to have lower annual turnovers than UKTI clients, with half reporting sales of no more than £500,000 per year (compared to 31% of UKTI users). Amongst UKTI users there is a clear correlation between the length of time firms have been established and their annual turnovers, with the proportion of firms reporting sales of £500,000 or less falling significantly amongst older businesses. However, this relationship is less pronounced among non-users, with a similar proportion of firms aged 6-10 years and over 10 years reporting a turnover of £500,000 or less. The table below provides a comparison of the turnovers of supported and unsupported non-user firms. - Non-Users by Whether Supported Total Up to 5 years 6-10 years Over 10 years Supp- Unsupp Supp- Unsupp Supp- Unsupp Supp- Unsupp orted -orted orted -orted orted -orted orted -orted Base 102 727 14 139 20 205 68 383 Up to £500k 48% 50% 70% 66% 45% 50% 46% 45% £500k-£2m 17% 20% 24% 16% 25% 20% 13% 22% £2m-£10m 17% 9% 6% 5% 15% 11% 19% 10% £10m-£25m 2% 3% 0% 1% 0% 2% 3% 3% £25m - £500m 6% 2% 0% 0% 5% 1% 7% 2% Over £500m 0% 0% 0% 0% 0% 0% 0% 0% Don't know/refused 10% 16% 0% 11% 10% 16% 11% 18% Not yet trading 0% 0% 0% 1% 0% 0% 0% 0% As seen above, those non-users that have accessed some form of (non-UKTI) assistance report slightly higher sales than those that have not used export-related support, and are therefore somewhat closer in profile to UKTI users in this respect. Supported non-users are significantly more likely to have a turnover in excess of £2 million. ## 4.3.2 Profitability The chart below shows the profile of non-user businesses in terms of whether they are making an annual profit or loss. Comparative data has also been provided for users of UKTI support. Base: All respondents (Base, Don't know/Refused) Three-quarters (77%) of non-user firms indicated that they were making a profit, with firms that have been trading for between 6-10 years most likely to indicate that this is the case. At the total level, a similar proportion of UKTI clients are making a profit (78%). However, in the two younger age bands UKTI clients are in fact less likely to be profitable than non-user firms, but in the oldest age bands UKTI clients are significantly more likely to be profitable than non-users. The table below provides a comparison of the profitability of supported and unsupported non-user firms. - Non-Users by Whether Supported Total Up to 5 years 6-10 years Over 10 years Supp- Unsupp Supp- Unsupp Supp- Unsupp Supp- Unsupp orted -orted orted -orted orted -orted orted -orted Base 102 727 14 139 20 205 68 383 Profit 80% 76% 68% 70% 85% 83% 80% 75% Breaking even 7% 7% 16% 8% 5% 5% 6% 7% Loss 6% 8% 6% 15% 0% 6% 8% 6% Don't know/refused 7% 9% 10% 7% 10% 5% 6% 13% Although supported non-users appear slightly more likely to report a profit than unsupported firms, these differences are not statistically significant. ## 4.3.3 Profit Margin Firms were also asked to give details of the proportion of their turnover accounted for by bottom line profits (i.e. their profit margin). Please note that firms making a loss or breaking even have been treated as 0% profit for the purposes of calculating the mean. Base: All respondents (Base) The mean profit margin amongst non-user firms is actually slightly higher than that reported by UKTI clients (18% vs. 15% respectively), and this difference is apparent for all age bands. The table below provides a comparison of the profitability of supported and unsupported non-user firms. - Non-Users by Whether Supported Total Up to 5 years 6-10 years Over 10 years Supp- Unsupp Supp- Unsupp Supp- Unsupp Supp- Unsupp orted -orted orted -orted orted -orted orted -orted Base 102 727 14 139 20 205 68 383 Zero 13% 15% 22% 24% 5% 12% 14% 13% 1%-10% 16% 18% 6% 16% 10% 24% 20% 16% 11%-25% 50% 53% 40% 45% 56% 49% 51% 57% 26%-50% 15% 10% 26% 11% 15% 9% 13% 11% 51%-75% 3% 3% 6% 3% 10% 6% 2% 2% More than 75% 2% 1% 0% 2% 5% 1% 1% 0% Mean 20% 17% 24% 16% 27% 19% 17% 17% As seen above, supported non-users have a slightly higher average profit margin than unsupported firms. However, due to the low base sizes for supported non-users these differences are not statistically significant. ## 4.4 Industry Sector The chart below shows the profile of the non-user businesses interviewed in terms of their broad industry sector. Comparative data has also been provided for users of UKTI support. For both users and non-users of UKTI, the majority of firms operate in the services sector. However, UKTI users are comparatively more likely to be in the production sector, with this particularly true of older firms that have been established for more than 10 years. At the overall level, there is no difference in the sector profile of supported and unsupported non-users. Total Up to 5 years 6-10 years Over 10 years Supp- Unsupp Supp- Unsupp Supp- Unsupp Supp- Unsupp orted -orted orted -orted orted -orted orted -orted Base 102 727 14 139 20 205 68 383 Primary 0% 0% 0% 0% 0% 0% 0% 0% Production 28% 30% 12% 22% 20% 27% 33% 34% Construction 0% 0% 0% 0% 0% 0% 0% 0% Services 72% 70% 88% 78% 80% 73% 67% 66% ## 4.5 Company Status & Ownership 4.5.1 Company Status The company status of the non-user businesses interviewed is shown below, along with comparative data for users of UKTI support. Base: All respondents (Base, Don't know/Refused, Not yet trading) Non-Users - Total (829, 0%, 0%) Up to 5 years old (153, 0%, 0%), 6-10 years old (225, 0%, 0%), Over 10 years old (451, 0%, 0%) Users - Total (3823, 1%, 2%), Up to 5 years old (888, 0%, 8%), 6-10 years old (593, 1%, 0%), Over 10 years old (2340, 1%, 0%) Users of UKTI's services are significantly more likely to either have their own subsidiaries or be a subsidiary of a larger firm. However, for both users and nonusers the majority are still independent firms with no subsidiaries. As seen below, supported non-users are comparatively more likely to be subsidiaries of larger firms or have their own subsidiary, and are therefore a little closer in profile to UKTI users. This difference is most apparent amongst non-user firms that have been established for over 10 years. - Non-Users by Whether Supported Total Up to 5 years 6-10 years Over 10 years Supp- Unsupp Supp- Unsupp Supp- Unsupp Supp- Unsupp orted -orted orted -orted orted -orted orted -orted Base 102 727 14 139 20 205 68 383 Independent, no subsidiaries 81% 88% 94% 92% 90% 89% 77% 86% Business with subsidiaries 9% 5% 0% 4% 5% 5% 12% 5% Subsidiary of another firm 10% 7% 6% 3% 5% 8% 12% 7% Not for profit 0% 0% 0% 0% 0% 0% 0% 0% Other 0% 0% 0% 0% 0% 0% 0% 1% Don't know 0% 0% 0% 1% 0% 0% 0% 0% Not yet trading 0% 0% 0% 1% 0% 0% 0% 0% ## 4.5.2 Company Ownership The chart below shows data on the ownership of non-user businesses, along with comparative data for users of UKTI support. Reflecting the fact that they tend to be independent firms rather than subsidiaries, the vast majority of non-user businesses are UK-owned. This is also true of UKTI users, although this latter group are comparatively more likely to be either solely or jointly foreign owned (13% vs. 7% of non-users). There is some indication that supported non-users are more likely than their unsupported counterparts to be foreign-owned, although this difference is not statistically significant. - Non-Users by Whether Supported Total Up to 5 years 6-10 years Over 10 years Supp- Unsupp Supp- Unsupp Supp- Unsupp Supp- Unsupp orted -orted orted -orted orted -orted orted -orted Base 102 727 14 139 20 205 68 383 UK-owned 88% 92% 94% 94% 95% 92% 85% 92% Foreign-owned 9% 6% 0% 3% 0% 7% 12% 6% Joint UK & foreign-owned 3% 1% 6% 2% 5% 1% 1% 0% Not for profit/ other business type 0% 1% 0% 0% 0% 0% 0% 1% Don't know 0% 0% 0% 1% 0% 0% 0% 0% Not yet trading 0% 0% 0% 1% 0% 0% 0% 0% ## 4.6 Innovation 4.6.1 Innovative Firms The chart below shows the proportions of supported businesses that are classified as being 'innovative'. Comparative data has also been provided for users of UKTI support (from PIMS). Innovation levels differ significantly between non-users and users, with 62% of the former classified as being innovative, compared with 84% of UKTI clients. It appears that supported non-user firms are slightly closer in profile to UKTI users and are more likely to be innovative, although this difference is not statistically significant. \| \| \| \| \| Total \| Up to 5 years \| 6-10 years \| Over 10 years \| \|------------\|--------\|-------\|--------\|----------\|------------------\|---------------\|------------------\| \| Supp- \| Unsupp \| Supp- \| Unsupp \| Supp- \| Unsupp \| Supp- \| Unsupp \| \| orted \| -orted \| orted \| -orted \| orted \| -orted \| orted \| -orted \| \| Base \| 102 \| 727 \| 14 \| 139 \| 20 \| 205 \| 68 \| \| Innovative \| 67% \| 61% \| 60% \| 58% \| 71% \| 68% \| 68% \| The panel below provides details of how 'innovative' firms have been defined for the purposes of this analysis. ## Innovative Firms In the PIMS non-user survey and the PIMS user surveys, firms are classified as being 'innovative' if… - They have more than one employee engaged either wholly or partly in R&D activity and have more than one employee engaged either wholly or partly in new product or service development - Or, they have employed someone external to the business to conduct new product or service development in the last year - Or, have introduced new products or services in the last 3 years except firms established in the last 2 years As detailed above, the 'introduced new products or services in the last 3 years' element is not used as an indicator of innovation for recently established firms (on the basis that all products/services sold by newly established firms would theoretically be classed as 'new'). However, it should be noted that the omission of this element for new firms is pulling down the innovation results for the youngest age group. The table below compares results for all firms established in the last 5 years with results for firms established 2-5 years (i.e. excluding those not asked the new products/services element of the innovation measure). Non-Users (PIMS 2013) Users (PIMS 28-31) 0-5 years old 2-5 years old 0-5 years old 2-5 years old Base 153 97 888 549 Innovative 58% 68% 68% 87% When the innovation definition is recalculated to exclude firms established in the last 2 years, the proportion of innovative firms increases for both users and non-users. ## 4.6.2 Innovative Firms (Alternative, Tighter Definition) The chart below shows the proportions of supported businesses that have been classified as being 'innovative' using the alternative, tighter definition. Comparative data has also been provided for users of UKTI support. When the alternative definition of innovation is employed, the difference between users and non-users of UKTI is even more apparent, with almost two-thirds of the former classified as innovative compared to just a third of the latter. There is no difference between supported and unsupported non-users in this respect. \| \| \| \| \| Total \| Up to 5 years \| 6-10 years \| Over 10 years \| \|--------------------------\|--------\|-------\|--------\|----------\|------------------\|---------------\|------------------\| \| Supp- \| Unsupp \| Supp- \| Unsupp \| Supp- \| Unsupp \| Supp- \| Unsupp \| \| orted \| -orted \| orted \| -orted \| orted \| -orted \| orted \| -orted \| \| Base \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| 102 \| 727 \| 14 \| 139 \| 20 \| 205 \| 68 \| 383 \| \| Innovative (alternative) \| 35% \| 33% \| 34% \| 32% \| 51% \| 35% \| 32% \| The panel below provides details of how 'innovative' firms have been defined for the purposes of this analysis. ## Innovative Firms (Alternative) In the PIMS non-user survey and the PIMS user surveys, firms are classified as being 'innovative' under this alternative definition if… - They have more than one employee engaged either wholly or partly in R&D activity and have more than one employee engaged either wholly or partly in new product or service development and at least some employees are engaged in the development of scientific or technical knowledge not commonly available - Or, they have employed someone external to the business to conduct new product or service development in the last year - Or, have introduced new products or services in the last 3 years except firms established in the last 2 years and these are 'new to the world' or 'new to the sector' ## 4.6.3 Employees Engaged In R&D Activity Non-user businesses were asked to indicate the number of their employees involved either wholly or partly in Research and Development activity. Comparative data has also been provided for users of UKTI support. Non-Users - Total (829, 5%, 0%), Up to 5 years old (153, 3%, 0%), 6-10 years old (225, 2%, 0%), Over 10 years old (451, 6%, 0%), UKTI users are significantly more likely to have staff engaged in R&D, with 68% having at least one employee involved in these activities compared to only 44% of non-users. The table below suggests that supported non-users tend to have slightly greater numbers of staff involved in R&D than unsupported ones, although due to the low base sizes for supported non-users these differences are not significant. Base 102 727 14 139 20 205 68 383 Zero 50% 51% 66% 48% 50% 49% 47% 53% 1 16% 18% 18% 22% 0% 22% 19% 15% 2-9 27% 24% 16% 24% 47% 25% 24% 23% 10-49 3% 2% 0% 2% 0% 1% 5% 3% 50+ 1% 0% 0% 0% 0% 0% 1% 0% Don't know 3% 5% 0% 3% 5% 2% 3% 7% Not yet trading 0% 0% 0% 1% 0% 0% 0% 0% The chart below gives the same results, but displaying the number of R&D employees as a proportion of the firm's total employees. In addition to being more likely to have any staff engaged in R&D, UKTI users also have a higher mean proportion of their employees involved in these activities than non-users (25% and 21% respectively). For UKTI users, although younger firms are generally less likely to have any staff engaged in R&D, when they do this tends to account for a greater proportion of their total workforce. For non-users, it is also true that for younger firms engaged in R&D activity this tends to account for a greater proportion of their workforce. As seen below, there is little variation between unsupported and supported non-users in terms of the proportion of staff employed in R&D, and where any variation does exist the base sizes of the supported users are too low to make statistically sound comparisons. - Non-Users by Whether Supported Total Up to 5 years 6-10 years Over 10 years Supp- Unsupp Supp- Unsupp Supp- Unsupp Supp- Unsupp orted -orted orted -orted orted -orted orted -orted Base 102 727 14 139 20 205 68 383 Zero 50% 51% 66% 48% 50% 49% 47% 53% Up to 10% 14% 7% 0% 1% 15% 7% 16% 10% 11-20% 6% 8% 0% 5% 5% 10% 8% 7% 21-50% 13% 15% 24% 20% 5% 16% 13% 13% More than 50% 14% 14% 10% 23% 20% 17% 14% 11% Don't know/refused 3% 5% 0% 3% 5% 2% 3% 7% Not yet trading 0% 0% 0% 1% 0% 0% 0% 0% Mean 20% 22% 16% 32% 21% 24% 20% 18% ## 4.6.4 Development Of Scientific/Technical Knowledge Not Commonly Available Non-user businesses were asked to indicate whether any of their R&D employees were involved in activities that could be described as 'the development of scientific or technical knowledge that isn't commonly available'. Comparative data has also been provided for users of UKTI support. Only 12% of non-user businesses indicated that they have staff involved in 'the development of scientific or technical knowledge that isn't commonly available', compared to a third of UKTI users. There is little difference between supported and unsupported non-users in this respect. \| \| \| \| \| \| \| Supp- \| Unsupp \| \|------------------\|--------\|-------\|--------\|-------\|--------\|---------\|----------\| \| orted \| -orted \| orted \| -orted \| orted \| -orted \| orted \| -orted \| \| Base \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| 102 \| 727 \| 14 \| 139 \| 20 \| 205 \| 68 \| 383 \| \| Yes \| \| \| \| \| \| \| \| \| 12% \| \| \| \| \| \| \| \| \| 12% \| 16% \| 12% \| 24% \| 8% \| 9% \| 13% \| \| \| No \| \| \| \| \| \| \| \| \| 34% \| 32% \| 18% \| 36% \| 20% \| 40% \| 40% \| 27% \| \| No R&D employees \| \| \| \| \| \| \| \| \| 50% \| \| \| \| \| \| \| \| \| 51% \| 66% \| 48% \| 50% \| 49% \| 47% \| 53% \| \| \| Don't know \| \| \| \| \| \| \| \| \| 3% \| \| \| \| \| \| \| \| \| 5% \| 0% \| 3% \| 5% \| 2% \| 3% \| 7% \| \| \| Not yet trading \| 0% \| 0% \| 0% \| 1% \| 0% \| 0% \| 0% \| \| \| \| \| \| \| \| \| \| ## 4.6.5 Employees Engaged In New Product Or Service Development Non-user businesses were asked to indicate the number of their employees involved either wholly or partly in new product or service development. Comparative data has also been provided for users of UKTI support. Base: All respondents (Base, Don't know/Refused, Not yet trading) Non-Users - Total (829, 4%, 0%), Up to 5 years old (153, 3%, 0%), 6-10 years old (225, 2%, 0%), Over 10 years old (451, 5%, 0%) Users - Total (2010, 3%, 2%), Up to 5 years old (481, 1%, 7%), 6-10 years old (329, 1%, 0%), Over 10 years old (1199, 4%, 0%) Half of non-user firms have at least one employee engaged in new product or service development, compared to three quarters of UKTI clients. The table below demonstrates that there is little difference in the number of employees engaged in new product or service development in supported and unsupported firms. \| Total \| Up to 5 years \| 6-10 years \| Over 10 years \| \|-----------------\|------------------\|---------------\|------------------\| \| \| \| \| \| \| Supp- \| Unsupp \| Supp- \| Unsupp \| \| orted \| -orted \| orted \| -orted \| \| Base \| \| \| \| \| \| \| \| \| \| 102 \| \| \| \| \| \| \| \| \| \| 727 \| \| \| \| \| \| \| \| \| \| 14 \| \| \| \| \| \| \| \| \| \| 139 \| \| \| \| \| \| \| \| \| \| 20 \| \| \| \| \| \| \| \| \| \| 205 \| \| \| \| \| \| \| \| \| \| 68 \| \| \| \| \| \| \| \| \| \| 383 \| \| \| \| \| \| \| \| \| \| Zero \| \| \| \| \| 44% \| \| \| \| \| 45% \| 66% \| 46% \| 75% \| \| 1 \| 22% \| 22% \| 28% \| \| 2-9 \| \| \| \| \| 24% \| \| \| \| \| 25% \| 6% \| 25% \| 24% \| \| 10-49 \| \| \| \| \| 5% \| \| \| \| \| 3% \| 0% \| 2% \| 0% \| \| 50+ \| 2% \| 0% \| 0% \| \| Don't know \| \| \| \| \| 3% \| \| \| \| \| 4% \| 0% \| 3% \| 0% \| \| Not yet trading \| 0% \| 0% \| 0% \| \| \| \| \| \| The chart below gives the same results, but displaying the number of employees engaged in product/service development as a proportion of all employees at the firm. Base: All respondents (Base, Don't know/Refused, Not Yet Trading) As was seen for R&D employees, as well as being more likely than non-users to have any staff engaged in new product or service development, UKTI users also have a slightly higher proportion of their employees involved in these activities. On average, UKTI users have 28% of their staff engaged wholly or partly in product/service development compared to 24% for non-users. Although UKTI clients established for over 10 years are more likely to have any staff involved in new product development, this tends to involve a lower proportion of their total workforce. For non-user firms, age has little bearing on whether they have any staff engaged in NPD but younger firms tend to have a higher proportion of their total workforce engaged in these activities. There is no overall difference between supported and unsupported firms when it comes to the proportion of employees engaged in NPD. Development - Non-Users by Whether Supported Total Up to 5 years 6-10 years Over 10 years Supp- Unsupp Supp- Unsupp Supp- Unsupp Supp- Unsupp orted -orted orted -orted orted -orted orted -orted Base 102 727 14 139 20 205 68 383 Zero 44% 45% 66% 46% 75% 43% 34% 46% Up to 10% 15% 10% 0% 2% 15% 9% 18% 13% 11-20% 7% 8% 6% 7% 10% 12% 6% 7% 21-50% 16% 15% 18% 16% 0% 15% 19% 14% More than 50% 15% 17% 10% 25% 0% 20% 19% 14% Don't know 3% 4% 0% 3% 0% 2% 4% 6% Not yet trading 0% 0% 0% 1% 0% 0% 0% 0% Mean 22% 24% 18% 33% 2% 27% 28% 21% ## 4.6.6 External R&D Or Product/Service Development Non-user businesses were also asked whether they had commissioned anyone external to their business to conduct any R&D or new product/service development for them in the last year. Comparative data has also been provided for users of UKTI support. Base: All respondents (Base, Don't know/Refused, Not Yet Trading) Non-Users - Total (829, 2%, 0%), Up to 5 years old (153, 3%, 0%), 6-10 years old (225, 0%, 0%), Over 10 years old (451, 2%, 0%) Users - Total (3823, 3%, 2%), Up to 5 years old (888, 1%, 8%), 6-10 years old (593, 1%, 0%), Over 10 years old (2340, 4%, 0%) In comparison to non-users, UKTI clients are considerably more likely to have outsourced R&D or new product/service development in the past year. As seen below, there is no difference between supported and unsupported non-users in their use of external R&D or NPD. \| Total \| Up to 5 years \| 6-10 years \| Over 10 years \| \|-----------------\|------------------\|---------------\|------------------\| \| \| \| \| \| \| Supp- \| Unsupp \| Supp- \| Unsupp \| \| orted \| -orted \| orted \| -orted \| \| Base \| \| \| \| \| \| \| \| \| \| 102 \| 727 \| 14 \| 139 \| \| Yes \| \| \| \| \| 14% \| 13% \| 6% \| 20% \| \| No \| \| \| \| \| 85% \| 85% \| 94% \| 76% \| \| Don't know \| \| \| \| \| 1% \| \| \| \| \| 2% \| 0% \| 3% \| 0% \| \| Not yet trading \| 0% \| 0% \| 0% \| \| \| \| \| \| \| \| \| \| \| ## 4.6.7 New Products & Services Non-user firms were asked whether they had introduced any new products or services over the last 3 years and, if so, whether these were just new to their business, new to their industry/sector or completely new to the world. The table summarises these results, along with comparative data for users of UKTI support. Non-Users (PIMS 2013) Users (PIMS 28-31) 6-10 >10 6-10 >10 Total 0-5 years years years Total 0-5 years years years Base: All est. 2 yrs or more 773 97 225 451 3484 549 593 2340 Yes 56% 59% 62% 54% 80% 78% 78% 80% - New to the business 32% 37% 38% 28% 34% 33% 29% 35% - New to the sector 11% 9% 11% 11% 18% 17% 19% 18% - New to the world 6% 6% 7% 5% 16% 20% 19% 14% - Some new to world, some just new to business 7% 7% 6% 8% 11% 7% 10% 12% No 43% 40% 38% 45% 20% 21% 22% 19% Don't know 1% 1% 0% 1% 1% 1% 0% 1% UKTI users are more likely to have introduced new products or services over the last 3 years (80% vs. 56% of non-users). Furthermore, 27% of users indicated that at least some of these products were completely 'new to the world', compared to just 13% of non-users. For both users and non-users there is relatively little difference in the proportion of firms introducing new products/services by age of firms. As detailed below, those non-user firms that have accessed some form of exportrelated support appear more likely to be dealing with new products/services than unsupported non-users. However, it should be noted that this apparent difference is not statistically significant. - Non-Users by Whether Supported Total Up to 5 years 6-10 years Over 10 years Supp- Unsupp Supp- Unsupp Supp- Unsupp Supp- Unsupp orted -orted orted -orted orted -orted orted -orted Base: All est. 2 yrs or more 99 674 11 86 20 205 68 383 Yes 63% 55% 77% 57% 60% 62% 62% 52% - New to the business 34% 31% 33% 37% 35% 38% 34% 27% - New to the sector 13% 11% 16% 8% 16% 10% 12% 11% - New to the world 7% 6% 16% 5% 0% 8% 7% 5% - Some new to world, some just new to business 9% 7% 13% 7% 10% 5% 9% 7% No 36% 44% 23% 42% 40% 38% 37% 47% Don't know 1% 1% 0% 1% 0% 0% 1% 1% ## 4.6.8 Ip Protection Non-user firms were asked whether they had applied for or obtained any patents, trademarks or other legal protection (either in the UK or overseas) for any of their products/services. If so, they have been classified as 'IP active'. Equivalent data has also been provided for UKTI users. Base: All respondents (Base, Don't know) Reflecting their generally lower involvement in innovation activities (as seen throughout this section of the report), non-users are much less likely than users to hold any IP protection. There are no differences between supported and unsupported non-user firms when it comes to the likelihood of holding IP protection. - Non-Users by Whether Supported Total Up to 5 years 6-10 years Over 10 years Supp- Unsupp Supp- Unsupp Supp- Unsupp Supp- Unsupp orted -orted orted -orted orted -orted orted -orted Base 102 727 14 139 20 205 68 383 Yes 17% 15% 18% 14% 16% 16% 18% 16% No 76% 82% 82% 82% 80% 82% 75% 81% Don't know 6% 3% 0% 3% 5% 2% 7% 3% ## 4.7 Growth 4.7.1 Recent Growth The following chart shows the growth of non-user firms over the last 5 years, along with comparative data for users of UKTI support. Please note that firms established for 1 year or less were not asked this question and have been excluded from the analysis. UKTI users have experienced more dynamic growth than non-users, with 72% of the former indicating that they have grown over the past 5 years compared to 59% of non-users. In particular, users are more likely to have experienced 'substantial growth', suggesting that UKTI support can have a positive impact on the growth performance of UK exporters. This difference between UKTI users and non-users is evident across all age bands, but particularly evident in firms established over 10 years ago. As detailed below, it does appear that supported non-user firms are slightly more likely to report past growth, although this difference is not statistically significant. - Non-Users by Whether Supported Total Up to 5 years 6-10 years Over 10 years Supp- Unsupp Supp- Unsupp Supp- Unsupp Supp- Unsupp orted -orted orted -orted orted -orted orted -orted Base: All est. >1 year 101 712 13 124 20 205 68 383 Grown substantially 18% 15% 7% 20% 15% 22% 21% 11% Grown moderately 47% 42% 55% 50% 66% 49% 41% 38% Remained same 23% 27% 27% 21% 10% 21% 25% 32% Become smaller 10% 13% 11% 5% 10% 7% 10% 17% Don't know/refused 2% 2% 0% 4% 0% 0% 3% 2% ## 4.7.2 Future Growth Non-user businesses were also asked to indicate the growth objectives for their business over the next five years. Comparative data has also been provided for users of UKTI support. Base: All respondents (Base, Don't know/Refused) Non-Users - Total (829, 6%), Up to 5 years old (153, 4%), 6-10 years old (225, 2%), Over 10 years old (451, 7%) Users - Total (3823, 2%), Up to 5 years old (888, 1%), 6-10 years old (593, 1%), Over 10 years old (2340, 2%) In addition to being less likely to have experienced growth over the last 5 years, nonuser businesses are also less optimistic about their growth prospects for the next five years. Although the majority expect some level of growth, they are much less likely than UKTI users to be anticipating 'substantial' growth and this is true irrespective of the length of time firms have been established. There appears to be little difference in the future growth objectives of supported and unsupported non-users, as seen in the table below. \| Total \| Up to 5 years \| 6-10 years \| Over 10 years \| \|--------------------\|------------------\|---------------\|------------------\| \| \| \| \| \| \| Supp- \| Unsupp \| Supp- \| \| \| orted \| -orted \| orted \| \| \| Base \| \| \| \| \| \| \| \| \| \| 102 \| 727 \| 14 \| 139 \| \| Grow substantially \| 18% \| 21% \| 34% \| \| Grow moderately \| \| \| \| \| 58% \| \| \| \| \| 51% \| 60% \| 51% \| 80% \| \| Remain same \| \| \| \| \| 17% \| \| \| \| \| 19% \| 6% \| 9% \| 15% \| \| Become smaller \| 3% \| 4% \| 0% \| \| Don't know \| \| \| \| \| 3% \| \| \| \| \| 6% \| 0% \| 4% \| 0% \| \| \| \| \| \| \| Unsupp \| Supp- \| Unsupp \| Supp- \| Unsupp \| \|----------\|---------\|----------\|---------\|----------\| \| -orted \| orted \| -orted \| orted \| -orted \| ## 4.7.3 Innovative High Growth Firms The chart below shows the proportions of non-user businesses that are classified as being 'innovative high growth' (as per the definition in the panel overleaf). Comparative data has also been provided for users of UKTI support from the main PIMS surveys. UKTI appears to support a disproportionally high number of innovative high growth firms, with users twice as likely as non-users to be classified in this way. However, there are clearly still significant numbers of innovative high growth firms that UKTI do not reach, with 17% of non-users meeting this definition. Although non-user firms that have not accessed any external support appear more likely to be classed as innovative high growth than supported non-users, this difference is not statistically significant. \| Total \| Up to 5 years \| 6-10 years \| Over 10 years \| \|------------------------\|------------------\|---------------\|------------------\| \| \| \| \| \| \| Supp- \| Unsupp \| Supp- \| \| \| orted \| -orted \| orted \| \| \| Base \| \| \| \| \| \| \| \| \| \| 102 \| 727 \| 14 \| 139 \| \| Innovative high growth \| \| \| \| \| 12% \| \| \| \| \| 18% \| 22% \| 29% \| 5% \| \| Innovative other \| \| \| \| \| 56% \| \| \| \| \| 43% \| 38% \| 29% \| 66% \| \| Non-innovative \| \| \| \| \| 33% \| \| \| \| \| 39% \| 40% \| 42% \| 29% \| \| Unsupp \| Supp- \| Unsupp \| Supp- \| Unsupp \| \|----------\|---------\|----------\|---------\|----------\| \| -orted \| orted \| -orted \| orted \| -orted \| The panel below provides details of how 'innovative high growth' firms have been defined for the purposes of this analysis. ## Innovative High Growth Firms 'Innovative high growth' firms are those that… - Are defined as being 'innovative' (using the standard definition) - And, expect to grow substantially over the next 5 years ## 4.8 Business Planning Non-user businesses were asked whether they had a current, written business plan and, if so, whether this plan contained any targets that specifically related to overseas sales. These results are shown in the following table, along with comparable results for users of UKTI support. Non-Users (PIMS 2013) Users (PIMS 28-31) 6-10 >10 6-10 >10 Total Up to 5 years years years Total Up to 5 years years years Base 829 153 225 451 3823 888 593 2340 Do you have a current business plan? Yes 40% 45% 48% 36% 70% 70% 66% 71% In progress/being written 3% 5% 3% 2% 2% 3% 2% 1% No 49% 45% 42% 52% 25% 26% 29% 23% Don't know 8% 4% 7% 9% 4% 1% 2% 5% Does this plan contain any targets relating to overseas sales? Yes 22% 24% 24% 20% 55% 52% 54% 56% No 19% 25% 26% 15% 15% 19% 13% 13% Don't know 3% 1% 0% 4% 2% 1% 1% 3% No business plan 49% 45% 42% 52% 25% 26% 29% 23% Don't know if have business plan 8% 4% 7% 9% 4% 1% 2% 5% Business planning appears to be much more prevalent amongst users of UKTI trade development services than non-users, with 70% of users having a business plan compared to just 40% of non-users. Furthermore, less than a quarter of non-users have a plan that contains targets relating to overseas sales, whereas over half of UKTI clients indicated that this was the case. With respect to differences between supported and unsupported non-user firms, the former are more likely to have a current written business plan and to detail targets for overseas sales within this plan (although still less likely than UKTI users). - Non-Users by Whether Supported Total Up to 5 years 6-10 years Over 10 years Supp- Unsupp Supp- Unsupp Supp- Unsupp Supp- Unsupp orted -orted orted -orted orted -orted orted -orted Base 102 727 14 139 20 205 68 383 Do you have a current business plan? Yes 50% 39% 50% 45% 65% 46% 47% 34% In progress/being written 4% 3% 10% 4% 0% 3% 4% 2% No 35% 51% 40% 46% 30% 44% 35% 55% Don't know 10% 7% 0% 5% 5% 7% 13% 8% Does this plan contain any targets relating to overseas sales? Yes 30% 21% 24% 24% 36% 23% 29% 19% No 23% 19% 35% 24% 30% 26% 19% 14% Don't know 2% 3% 0% 1% 0% 0% 3% 4% No business plan 35% 51% 40% 46% 30% 44% 35% 55% Don't know if have business plan 10% 7% 0% 5% 5% 7% 13% 8% ## 4.9 Degree-Level Senior Management The chart below shows the proportions of non-user businesses interviewed that have at least one owner, partner or director with degree level (or equivalent) qualifications. Comparative data has also been provided for users of UKTI support. Base: All respondents (Base) The majority of non-user firms have at least one owner, partner or director with degree level qualifications. However, UKTI users are considerably more likely to have at least one highly-qualified member of the senior management team. As seen below, there is little difference in this respect between supported and unsupported non-users. \| \| \| \| \| Total \| Up to 5 years \| 6-10 years \| Over 10 years \| \|-----------------\|--------\|-------\|--------\|----------\|------------------\|---------------\|------------------\| \| Supp- \| Unsupp \| Supp- \| Unsupp \| Supp- \| Unsupp \| Supp- \| Unsupp \| \| orted \| -orted \| orted \| -orted \| orted \| -orted \| orted \| -orted \| \| Base \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| 102 \| 727 \| 14 \| 139 \| 20 \| 205 \| 68 \| 383 \| \| Yes \| \| \| \| \| \| \| \| \| 54% \| \| \| \| \| \| \| \| \| 57% \| 44% \| 60% \| 71% \| 62% \| 51% \| 54% \| \| \| No \| \| \| \| \| \| \| \| \| 43% \| \| \| \| \| \| \| \| \| 40% \| 56% \| 38% \| 24% \| 35% \| 46% \| 43% \| \| \| Don't know \| 3% \| 3% \| 0% \| 1% \| 5% \| 3% \| 3% \| \| Not yet trading \| \| \| \| \| \| \| \| \| 0% \| \| \| \| \| \| \| \| \| 0% \| 0% \| 1% \| 0% \| 0% \| 0% \| 0% \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| ## 4.10 Membership Of Business Bodies All firms were asked if they belonged to the Chamber of Commerce, any Trade Associations or sector bodies, or any other organisations representing business (e.g. the CBI, FSB, etc). Comparative data has also been provided for users of UKTI support. Non-Users (PIMS 2013) Users (PIMS 29-31 only) 6-10 >10 6-10 >10 Total Up to 5 years years years Total Up to 5 years years years Base 829 153 225 451 2740 633 400 1705 Chamber of Commerce 16% 8% 15% 19% 31% 17% 24% 38% Trade associations or sector bodies 24% 15% 19% 29% 55% 35% 46% 65% Other organisations representing business 20% 16% 24% 19% 22% 11% 20% 26% None of these 53% 67% 56% 47% 30% 52% 39% 20% Don't know 3% 4% 1% 3% 3% 1% 2% 5% Member of at least one 45% 29% 43% 50% 66% 47% 59% 76% UKTI users are significantly more likely than non-users to belong to the Chamber of Commerce and trade associations/sector bodies. Those non-user firms that had obtained some form of export-related support (from a non-UKTI source) are more likely to be members of each of these organisations than unsupported non-users. - Non-Users by Whether Supported Total Up to 5 years 6-10 years Over 10 years Supp- Unsupp Supp- Unsupp Supp- Unsupp Supp- Unsupp orted -orted orted -orted orted -orted orted -orted Base 102 727 14 139 20 205 68 383 Chamber of Commerce 33% 14% 10% 7% 35% 13% 37% 16% Trade associations or sector bodies 34% 23% 18% 15% 40% 17% 35% 28% Other organisations representing business 28% 19% 16% 16% 35% 23% 28% 18% None of these 41% 54% 72% 67% 30% 58% 39% 49% Don't know 1% 3% 0% 5% 0% 2% 1% 3% Member of at least one 58% 43% 28% 29% 70% 40% 59% 48% ## 5. Export Experience & Strategy 5.1 Length Of Time Exporting The chart below provides details of the length of time that non-user businesses have been doing business overseas. Comparative data has also been provided for users of UKTI support. There is generally little difference between users and non-users of UKTI, although the former are slightly more likely to be either very recent exporters (less than 2 years experience) or very long-term exporters (over 20 years experience). Supported non-users are slightly more experienced overseas than unsupported nonusers, being more likely to have been exporting for more than 10 years and less likely to have not yet started doing business overseas. - Non-Users by Whether Supported Total Up to 5 years 6-10 years Over 10 years Supp- Unsupp Supp- Unsupp Supp- Unsupp Supp- Unsupp orted -orted orted -orted orted -orted orted -orted Base 102 727 14 139 20 205 68 383 Not exporting 2% 7% 6% 15% 0% 8% 1% 5% Less than 2 years 5% 12% 22% 43% 5% 8% 3% 4% 2-5 years 15% 20% 72% 41% 10% 27% 7% 11% 6-10 years 24% 25% 0% 0% 85% 55% 13% 20% 11-20 years 32% 18% 0% 0% 0% 0% 45% 31% Over 20 years 22% 17% 0% 0% 0% 0% 30% 29% Don't know 0% 1% 0% 1% 0% 2% 0% 1% Firms that were not yet exporting were eligible for the Non-User survey as long as they has attempted or seriously considered doing business overseas in the previous 2 years. Overall, this group accounted for 7% of the non-user sample. These firms were also asked whether they expected to start doing business overseas in the next 3 years. Comparative results have also been shown for UKTI users. (Not Yet Exporting Firms) Firms Not Yet Exporting Non-Users (2013) Users (PIMS 28-31) Base: All not yet exporting 58 359 Yes 86% 87% - In next year 22% 45% - In next 1-2 years 9% 29% - In next 2-3 years 55% 13% - Don't know when 0% 0% No 8% 9% Don't know 6% 4% The majority of non-user firms that were not currently exporting expected to start in the next 3 years, although over half thought it would take at least 2 years to reach this point. Within the equivalent group of UKTI clients, a similar proportion of firms were expecting to start doing business overseas in the next 3 years, but typically expected this to happen sooner. ## 5.2 Export Turnover 5.2.1 Current Export Turnover The chart below shows the profile of the non-user businesses interviewed in terms of the proportion of their turnover that is accounted for by overseas sales. Comparative data has also been provided for users of UKTI support. Overseas sales appear to be more important to UKTI users than non-users, in the sense that the former indicate that exports account for a greater proportion of their overall sales. Overall, 59% of non-users report that exports contribute no more than 10% of their total turnover, compared to just 35% of users. It is also interesting to note that amongst non-users there is relatively little difference in export turnover by age of firm, particularly when comparing firms established for 6- 10 years and those that have been trading for more than 10 years. However, among UKTI clients there is a more linear relationship between the importance of overseas sales (in terms of their contribution to total turnover) and age of business. As seen below, supported non-users tend to be more engaged exporters, with overseas sales generally accounting for a greater proportion of their turnover than is the case for unsupported firms. However, exports are still less important to these businesses than is the case for UKTI users. - Non-Users by Whether Supported Total Up to 5 years 6-10 years Over 10 years Supp- Unsupp Supp- Unsupp Supp- Unsupp Supp- Unsupp orted -orted orted -orted orted -orted orted -orted Base 102 727 14 139 20 205 68 383 Not exporting 2% 7% 6% 15% 0% 8% 1% 5% Up to 10% 42% 54% 45% 55% 44% 52% 39% 55% 11-15% 6% 3% 6% 1% 5% 3% 6% 4% 16-25% 8% 6% 0% 5% 0% 6% 11% 5% 26-50% 16% 10% 26% 7% 20% 10% 13% 10% 51-75% 7% 5% 0% 4% 5% 3% 9% 6% Over 75% 12% 9% 12% 8% 15% 11% 12% 8% Don't know 7% 6% 0% 5% 10% 6% 7% 7% ## 5.2.2 Anticipated Change In Export Turnover In addition to providing their current export turnover, non-user firms were also asked whether they expected that the percentage of their turnover accounted for by overseas sales would be higher, lower or the about the same in 3 years time. Base: All respondents (Base, Don't know/Refused) Non-users of UKTI appear to be considerably less optimistic and/or ambitious when it comes to overseas growth, with only 44% expecting overseas sales to account for a greater proportion of their turnover in 3 years time compared to 72% of users. This difference is apparent irrespective of age of firm, although it is interesting to note that younger non-users are more likely to be expecting overseas growth than older firms. In contrast, the proportion of UKTI users expecting to see an increase in their export sales is similar irrespective of the age of the firm. Although it is not statistically significant, there is some indication that supported nonusers are more likely to anticipate an increase in the proportion of their turnover accounted for by overseas sales. \| Total \| Up to 5 years \| 6-10 years \| Over 10 years \| \|----------------\|------------------\|---------------\|------------------\| \| \| \| \| \| \| Supp- \| Unsupp \| Supp- \| Unsupp \| \| orted \| -orted \| orted \| -orted \| \| Base \| \| \| \| \| \| \| \| \| \| 102 \| \| \| \| \| \| \| \| \| \| 727 \| \| \| \| \| \| \| \| \| \| 14 \| \| \| \| \| \| \| \| \| \| 139 \| \| \| \| \| \| \| \| \| \| 20 \| \| \| \| \| \| \| \| \| \| 205 \| \| \| \| \| \| \| \| \| \| 68 \| \| \| \| \| \| \| \| \| \| 383 \| \| \| \| \| \| \| \| \| \| Higher \| \| \| \| \| 50% \| \| \| \| \| 43% \| 76% \| 54% \| 36% \| \| About the same \| \| \| \| \| 37% \| \| \| \| \| 45% \| 24% \| 37% \| 60% \| \| Lower \| 8% \| 6% \| 0% \| \| Don't know \| \| \| \| \| 4% \| \| \| \| \| 6% \| 0% \| 5% \| 0% \| The chart below tracks how responses to this question have changed over time. Please note that comparable data is available for the last 5 years of the non-user survey, but only the last 4 years of the main PIMS user survey. Non-users' predictions for their overseas turnover are more positive than they were at the height of the economic downturn in 2009, but there has been little change over the last 4 years. For users of UKTI, there has been a gradual upward trend in the proportion of firms expecting an increase in the contribution of overseas sales to their total turnover. Those firms that were expecting their export turnover to increase over the next 3 years were asked whether they would achieve this through entering new markets or by expanding in markets in which they were already operating. Non-Users (PIMS 2013) 6-10 >10 Total Up to 5 years years years Base 829 153 225 451 Entering new markets 11% 19% 16% 8% Expanding in existing markets 11% 11% 8% 12% Both 20% 24% 21% 18% Don't know 1% 2% 1% 1% Not expecting growth in export turnover 56% 44% 54% 61% Among firms expecting an increase in export turnover, an equal proportion believe that this will come about through entering new overseas markets as expect it to occur through expanding in existing markets. In almost half of cases firms believe it will be a combination of these two factors. It is clear from the analysis below that supported non-users are considerably more likely to increase their overseas turnover by expanding in existing markets than is the case for unsupported firms (41% vs. 29%). - Non-Users by Whether Supported Total Up to 5 years 6-10 years Over 10 years Supp- Unsupp Supp- Unsupp Supp- Unsupp Supp- Unsupp orted -orted orted -orted orted -orted orted -orted Base 102 727 14 139 20 205 68 383 Entering new markets 7% 12% 6% 20% 5% 17% 8% 8% Expanding in existing markets 19% 10% 26% 10% 16% 7% 19% 11% Both 22% 19% 44% 22% 15% 22% 21% 17% Don't know 2% 1% 0% 2% 0% 1% 3% 1% Not expecting growth in export turnover 50% 57% 24% 46% 64% 53% 50% 63% ## 5.3 Number Of Markets 5.3.1 Current Number Of Markets The chart below shows the number of overseas markets that non-user firms have done business in over the last year. Comparative data has also been provided for users of UKTI support (from the PIMS Follow-Up surveys). Overall, non-user businesses are generally doing business in fewer overseas markets than UKTI clients. This difference is particularly evident amongst firms established for more than 10 years. As seen below, supported non-users are generally active in a greater number of markets than unsupported firms, and therefore have more similarities with UKTI users in this respect. - Non-Users by Whether Supported Total Up to 5 years 6-10 years Over 10 years Supp- Unsupp Supp- Unsupp Supp- Unsupp Supp- Unsupp orted -orted orted -orted orted -orted orted -orted Base 102 727 14 139 20 205 68 383 None 4% 12% 6% 22% 5% 12% 3% 9% 1-5 46% 52% 68% 58% 50% 52% 42% 51% 6-10 22% 19% 16% 13% 25% 21% 23% 20% 11-20 13% 11% 10% 5% 15% 11% 13% 13% 21-50 14% 4% 0% 1% 5% 3% 18% 5% More than 50 1% 1% 0% 0% 0% 1% 1% 1% Don't know 0% 1% 0% 1% 0% 1% 0% 1% ## 5.3.2 Anticipated Change In Number Of Markets In addition to providing data on their current number of markets, non-user firms were also asked to estimate whether this number would increase, decrease or remain the same over the next 3 years. Base: All respondents (Base, Don't know/Refused) Non-Users - Total (829, 5%), Up to 5 years old (153, 3%), 6-10 years old (225, 4%), Over 10 years old (451, 7%), Nearly half of non-users expect to increase the number of overseas markets in which they do business over the next 3 years. In comparison, almost three quarters of UKTI users expect to expand into more markets over this period, which is consistent with the fact that users have more ambitious growth aspirations for their business as a whole (see Section 4.7.2). There is some evidence that older firms are less likely to anticipate expanding into new overseas markets, particularly amongst non-users. There are no statistically significant differences between supported and unsupported non-users when it comes to the proportion anticipating an increase in their overseas operations. orted 102 727 14 139 20 205 68 383 More markets 51% 45% 82% 57% 55% 50% 46% 39% The same 42% 42% 18% 30% 35% 40% 47% 47% Less markets 5% 7% 0% 9% 5% 6% 6% 7% Don't know 2% 6% 0% 4% 5% 4% 1% 8% ## 5.3.3 New Markets Entered In Last 2 Years Non-user businesses were also asked whether they had successfully entered or begun trading in any new countries in the previous 2 years and, if so, which ones. The chart below summarises these results and also provides comparative data for users of UKTI support (from the PIMS Follow-Up surveys). \| \| \| Non-Users (PIMS 2013) \| Users (PIMS 24-27 Follow-Up) \| \|-------------------------\|-------\|--------------------------\|---------------------------------\| \| 6-10 \| >10 \| 6-10 \| >10 \| \| Total \| \| \| \| \| Up to 5 \| \| \| \| \| years \| years \| years \| \| \| Total \| \| \| \| \| Up to 5 \| \| \| \| \| years \| years \| years \| \| \| Base \| \| \| \| \| \| \| \| \| \| 829 \| \| \| \| \| \| \| \| \| \| 153 \| \| \| \| \| \| \| \| \| \| 225 \| \| \| \| \| \| \| \| \| \| 451 \| \| \| \| \| \| \| \| \| \| 401 \| \| \| \| \| \| \| \| \| \| 111 \| \| \| \| \| \| \| \| \| \| 78 \| \| \| \| \| \| \| \| \| \| 212 \| \| \| \| \| \| \| \| \| \| Yes \| 41% \| 40% \| 43% \| \| - Europe \| \| \| \| \| 20% \| \| \| \| \| \| \| \| \| \| 22% \| \| \| \| \| \| \| \| \| \| 23% \| \| \| \| \| \| \| \| \| \| 19% \| \| \| \| \| \| \| \| \| \| 27% \| \| \| \| \| \| \| \| \| \| 25% \| \| \| \| \| \| \| \| \| \| 27% \| \| \| \| \| \| \| \| \| \| 28% \| \| \| \| \| \| \| \| \| \| - Middle East & Africa \| \| \| \| \| 7% \| \| \| \| \| \| \| \| \| \| 9% \| \| \| \| \| \| \| \| \| \| 6% \| \| \| \| \| \| \| \| \| \| 8% \| \| \| \| \| \| \| \| \| \| 15% \| \| \| \| \| \| \| \| \| \| 12% \| \| \| \| \| \| \| \| \| \| 14% \| \| \| \| \| \| \| \| \| \| 16% \| \| \| \| \| \| \| \| \| \| - North America \| 6% \| \| \| \| \| \| \| \| \| 10% \| \| \| \| \| \| \| \| \| \| 7% \| \| \| \| \| \| \| \| \| \| 5% \| \| \| \| \| \| \| \| \| \| 11% \| \| \| \| \| \| \| \| \| \| 19% \| \| \| \| \| \| \| \| \| \| 8% \| \| \| \| \| \| \| \| \| \| 8% \| \| \| \| \| \| \| \| \| \| - South & Latin America \| \| \| \| \| 4% \| \| \| \| \| \| \| \| \| \| 3% \| \| \| \| \| \| \| \| \| \| 1% \| \| \| \| \| \| \| \| \| \| 6% \| \| \| \| \| \| \| \| \| \| 7% \| \| \| \| \| \| \| \| \| \| 6% \| \| \| \| \| \| \| \| \| \| 4% \| \| \| \| \| \| \| \| \| \| 9% \| \| \| \| \| \| \| \| \| \| - Asia Pacific \| \| \| \| \| 12% \| \| \| \| \| \| \| \| \| \| 12% \| \| \| \| \| \| \| \| \| \| 13% \| \| \| \| \| \| \| \| \| \| 11% \| \| \| \| \| \| \| \| \| \| 29% \| \| \| \| \| \| \| \| \| \| 32% \| \| \| \| \| \| \| \| \| \| 31% \| \| \| \| \| \| \| \| \| \| 26% \| \| \| \| \| \| \| \| \| \| No \| 52% \| 45% \| 48% \| \| Don't know \| \| \| \| \| 1% \| \| \| \| \| 0% \| 2% \| 1% \| 0% \| \| Not yet exporting \| \| \| \| \| 7% \| \| \| \| \| 15% \| 7% \| 4% \| 14% \| Once again, non-users seem to be less dynamic in their overseas development than UKTI users, with 41% and 57% respectively having entered new markets in the last 2 years. This suggests that those firms actively pursuing export growth (and perhaps encountering problems along the way) are more inclined to seek out UKTI's assistance. As seen for many of the areas relating to firm characteristics and export behaviour, supported non-users are closer in profile to UKTI users, with 54% having entered new markets in the last 2 years (compared to 39% of unsupported non-users). - Non-Users by Whether Supported Total Up to 5 years 6-10 years Over 10 years Supp- Unsupp Supp- Unsupp Supp- Unsupp Supp- Unsupp orted -orted orted -orted orted -orted orted -orted Base 102 727 14 139 20 205 68 383 Yes 54% 39% 63% 38% 45% 43% 55% 37% - Europe 19% 20% 32% 21% 20% 23% 16% 19% - Middle East/Africa 19% 6% 16% 8% 10% 5% 21% 5% - North America 7% 6% 6% 10% 5% 7% 7% 5% - South/Latin America 5% 4% 0% 3% 0% 1% 8% 5% - Asia Pacific 18% 11% 22% 11% 15% 12% 18% 10% No 44% 53% 30% 46% 55% 47% 44% 57% Don't know 0% 1% 0% 0% 0% 2% 0% 1% Not yet exporting 2% 7% 6% 15% 0% 8% 1% 5% ## 5.4 Changes In Overseas Strategy Non-user firms were asked whether, compared with a year ago, they were now focussing more or less on overseas markets. Results are shown below, along with comparative data for users of UKTI support (from the PIMS Follow-Up surveys). The majority of non-user businesses have not changed their overseas focus in the last year, although nearly a quarter are now focussing more on overseas markets. In contrast, UKTI users are twice as likely to have increased their focus on overseas markets in the past year. This suggests that UKTI support may be encouraging firms to concentrate more on export opportunities, although of course it may be that firms that are targeting overseas growth are more likely to then seek out UKTI assistance to help them do so. As seen below, supported non-users are significantly more likely than unsupported firms to have increased their focus on overseas markets in the past year . \| Total \| Up to 5 years \| 6-10 years \| Over 10 years \| \|-------------------\|------------------\|---------------\|------------------\| \| \| \| \| \| \| Supp- \| Unsupp \| Supp- \| Unsupp \| \| orted \| -orted \| orted \| -orted \| \| Base \| \| \| \| \| \| \| \| \| \| 102 \| \| \| \| \| \| \| \| \| \| 727 \| \| \| \| \| \| \| \| \| \| 14 \| \| \| \| \| \| \| \| \| \| 139 \| \| \| \| \| \| \| \| \| \| 20 \| \| \| \| \| \| \| \| \| \| 205 \| \| \| \| \| \| \| \| \| \| 68 \| \| \| \| \| \| \| \| \| \| 383 \| \| \| \| \| \| \| \| \| \| Focussing more on \| \| \| \| \| overseas markets \| \| \| \| \| 32% \| \| \| \| \| 21% \| 28% \| 27% \| 25% \| \| Focussing less on \| \| \| \| \| overseas markets \| \| \| \| \| 6% \| \| \| \| \| 8% \| 0% \| 11% \| 5% \| \| No change \| \| \| \| \| 62% \| \| \| \| \| 70% \| 72% \| 62% \| 70% \| \| Don't know \| 0% \| 1% \| 0% \| The chart below tracks how responses to this question have changed over time. The proportion of non-user firms changing their strategy to focus more on export opportunities has gradually fallen over the last 3 years. Whilst there was a slight increase in this respect for UKTI users a year ago, in the most recent year the proportion fell back to the levels seen in prior to this. ## 6. Benefits Of Exporting 6.1 Summary Non-user businesses were read out a list of possible benefits of doing business overseas and asked to indicate the extent that they agreed with each one, using a 5- point scale where 5 meant 'agree strongly' and 1 meant 'disagree strongly'. The following table summarises the proportion of firms agreeing (i.e. scoring 4-5 on the 5-point scale) that each is a benefit by age of firm. \| \| \| \| \| Non-Users (PIMS 2013) \| Users (PIMS 30-31 only) \| \|----------------------------\|-------\|-------\|---------\|--------------------------\|----------------------------\| \| Up to 5 \| 6-10 \| >10 \| Up to 5 \| 6-10 \| >10 \| \| Total \| Total \| \| \| \| \| \| years \| years \| years \| years \| years \| years \| \| Proportion agreeing (4- \| \| \| \| \| \| \| 5 out of 5) that reasons \| \| \| \| \| \| \| are benefits of \| \| \| \| \| \| \| exporting... \| \| \| \| \| \| \| old \| old \| old \| old \| old \| old \| \| Base \| \| \| \| \| \| \| \| \| \| \| \| \| \| 829 \| \| \| \| \| \| \| \| \| \| \| \| \| \| 153 \| \| \| \| \| \| \| \| \| \| \| \| \| \| 225 \| \| \| \| \| \| \| \| \| \| \| \| \| \| 451 \| \| \| \| \| \| \| \| \| \| \| \| \| \| 1813 \| \| \| \| \| \| \| \| \| \| \| \| \| \| 407 \| \| \| \| \| \| \| \| \| \| \| \| \| \| 264 \| \| \| \| \| \| \| \| \| \| \| \| \| \| 1141 \| \| \| \| \| \| \| \| \| \| \| \| \| \| 57% \| 56% \| 61% \| 56% \| 86% \| 87% \| \| Enables you to achieve a \| \| \| \| \| \| \| level of growth otherwise \| \| \| \| \| \| \| not possible \| \| \| \| \| \| \| Allows you to more fully \| \| \| \| \| \| \| utilise existing capacity \| \| \| \| \| \| \| 56% \| 53% \| 62% \| 54% \| 79% \| 75% \| \| Exposes you to new \| \| \| \| \| \| \| ideas \| \| \| \| \| \| \| 50% \| 59% \| 55% \| 45% \| 78% \| 77% \| \| 46% \| 50% \| 49% \| 43% \| 74% \| 78% \| \| Increases the commercial \| \| \| \| \| \| \| life span of your products \| \| \| \| \| \| \| or services \| \| \| \| \| \| \| Improves your firm's \| \| \| \| \| \| \| profile or credibility \| \| \| \| \| \| \| 65% \| 66% \| 66% \| 65% \| 87% \| 88% \| Exporting clearly benefits internationalising firms in a number of different ways, and not just through enabling firms are able to achieve a level of growth otherwise not possible. Among both non-users and users, the most widely experienced benefit of exporting is that it improves firms' profile or credibility. Over half of all non-users firms also agree that exporting benefits their firm because it enables them to achieve a level of growth that would otherwise not be possible and because it allows them to more fully utilise their existing capacity. Users are significantly more likely to report each of the benefits tested, suggesting that accessing support from UKTI puts firms in a better position to take advantage of the potential positive impacts of exporting. For both users and non-users of UKTI, there are few clear or consistent differences in benefits of exporting by age of firm. However, younger non-user firms are more likely to cite exposure to new ideas as a benefit of exporting. The following table summarises the proportion of firms agreeing (i.e. scoring 4-5 on the 5-point scale) that each is a benefit by number of years exporting. \| Non-Users (PIMS 2013) \| Users (PIMS 30-31 only) \| \|----------------------------\|----------------------------\| \| Years exporting... \| Years exporting... \| \| Total \| Total \| \| Less \| Less \| \| Proportion agreeing (4- \| \| \| 5 out of 5) that reasons \| \| \| are benefits of \| \| \| exporting... \| \| \| 2-10 \| >10 \| \| than 2 \| than 2 \| \| years \| years \| \| years \| years \| \| Base \| \| \| \| \| \| 829 \| \| \| \| \| \| 157 \| \| \| \| \| \| 382 \| \| \| \| \| \| 281 \| \| \| \| \| \| 1813 \| 409 \| \| 57% \| \| \| 57% \| 55% \| \| \| \| \| 81% \| \| \| \| \| \| 85% \| \| \| \| \| \| 88% \| \| \| \| \| \| Enables you to achieve a \| \| \| level of growth otherwise \| \| \| not possible \| \| \| Allows you to more fully \| \| \| utilise existing capacity \| \| \| 56% \| \| \| 56% \| 55% \| \| \| \| \| 71% \| \| \| \| \| \| 80% \| \| \| \| \| \| 82% \| \| \| \| \| \| Exposes you to new \| \| \| ideas \| \| \| 50% \| \| \| 59% \| 48% \| \| \| \| \| 76% \| \| \| \| \| \| 79% \| \| \| \| \| \| 78% \| \| \| \| \| \| 46% \| \| \| 49% \| 45% \| \| \| \| \| 75% \| \| \| \| \| \| 73% \| \| \| \| \| \| 74% \| \| \| \| \| \| Increases the commercial \| \| \| life span of your products \| \| \| or services \| \| \| Improves your firm's \| \| \| profile or credibility \| \| \| 65% \| \| \| 64% \| 66% \| \| \| \| \| 85% \| \| \| \| \| \| 90% \| \| \| \| \| \| 86% \| \| \| \| \| Generally there are few consistent differences by export experience when it comes to the benefits of exporting. However, amongst non-users, those that are fairly new to exporting are more likely to agree that exposure to new ideas is a benefit of exporting. Among users of UKTI services, more experienced exporters are more likely to feel that exporting enables them to achieve a level of growth otherwise not possible and to more fully utilise their existing capacity. The following table provides a more detailed analysis of the benefits of exporting of supported and unsupported non-users. - Non-Users by Whether Supported Total Up to 5 years 6-10 years Over 10 years Supp- Unsupp Supp- Unsupp Supp- Unsupp Supp- Unsupp orted -orted orted -orted orted -orted orted -orted Proportion agreeing (4-5 out of 5) that reasons are benefits of exporting... Base 102 727 14 139 20 205 68 383 75% 55% 88% 53% 70% 60% 74% 53% Enables you to achieve a level of growth otherwise not possible Allows you to more fully utilise existing capacity 72% 54% 66% 52% 70% 62% 73% 51% Exposes you to new ideas 62% 48% 72% 58% 70% 53% 59% 42% 56% 44% 70% 48% 46% 50% 57% 41% Increases the commercial life span of your products or services Improves your firm's profile or credibility 69% 65% 84% 64% 71% 65% 67% 65% Non-user firms that have received some type of export-related support tend to highlight a wider range of export benefits and are more likely to agree to each of the individual factors than unsupported non-users, making their responses more in line with UKTI users. ## 6.2 Individual Benefits 6.2.1 Growth The chart below shows the extent to which the non-user firms interviewed agree that selling overseas enables them to achieve a level of growth otherwise not possible. Comparative data has been provided for users of UKTI support. Over four-fifths (86%) of UKTI users agree (i.e. score 4-5 out of 5) that doing business overseas benefits them in terms of the potential for growth that it offers, compared to only around three-fifths (57%) of non-user firms. There are no clear or consistent differences by age of firm, although younger nonusers are more likely to 'agree strongly' that this is a benefit. ## 6.2.2 Utilisation Of Capacity The chart below shows the extent to which the non-user firms interviewed agree that doing business overseas allows them to more fully utilise their existing capacity. Comparative data has been provided for users of UKTI support. UKTI users are more likely to agree that exporting enables them to more fully utilise their existing capacity, with 79% agreeing that this is a benefit of doing business overseas compared to 56% of non-users. There is little difference by age of firm in this respect. 6.2.3 Exposure to New Ideas The chart below shows the extent to which the non-user firms interviewed agree that doing business overseas exposes them to new ideas. Comparative data has been provided for users of UKTI support. Half of the non-users firms interviewed agree that exposure to new ideas is a benefit of doing business overseas. In contrast, over three-quarters (78%) of UKTI clients cite this as benefit. Amongst non-users, younger firms are more likely to feel that this is a benefit, but there is no evidence of a similar pattern among users of UKTI support. 6.2.4 Product Lifespan The chart below shows the extent to which the non-user firms interviewed agree that doing business overseas allows them to increase the commercial lifespan of their products or services. Comparative data has been provided for users of UKTI support. Almost three-quarters (74%) of UKTI users agree that exporting increases the commercial life span of their products or services. However, less than half (46%) of non-user firms view this as a benefit of exporting. 6.2.5 Profile & Credibility The chart below shows the extent to which the non-user firms interviewed agree that doing business overseas improves their firm's profile or credibility. Comparative data has been provided for users of UKTI support. The vast majority of UKTI clients (87%) agree that exporting improves their firm's profile or credibility. Non-users are much less likely to experience this benefit, although it still applies to two-thirds of these firms (65%). Amongst both users and non-users, more established firms that have been trading for over 10 years are least likely to 'agree strongly' that exporting improves their firm's profile or credibility. ## 7. Barriers To Overseas Trade 7.1 Summary One of the key purposes of the PIMS Non-User Survey is to help understand what non-user businesses need in terms of export support services. In response to this, non-user firms were read out a list of issues that they may have had to tackle when trying to develop the overseas side of their business and asked whether or not they had ever experienced any difficulties with them. For each one that had been a difficulty they were then asked the extent, using a 5-point scale where 5 meant it had been 'extremely difficult' and 1 meant it had 'not been at all difficult'. These results are summarised in the following table, with the proportion of firms encountering each of these difficulties to a 'significant' extent shown (i.e. the proportion giving a score of either 4 or 5 on the 5-point scale). Non-Users (PIMS 2013) Proportion experiencing significant difficulties (4-5 out of 5) Total Up to 5 years 6-10 years >10 years Base 829 153 225 451 Finding the necessary management time to devote to doing business in an overseas country 16% 17% 17% 15% Dealing with legal or tax regulations and standards overseas 15% 21% 18% 12% Obtaining information about the potential business opportunities in an overseas market 14% 15% 19% 12% Dealing with customs procedures or paperwork 13% 11% 17% 12% Identifying who to make contact with in the first instance 13% 17% 14% 11% Ensuring you get paid and enforcing contracts 12% 14% 13% 10% Establishing an initial dialogue with prospective customers or business partners 11% 14% 13% 10% Overseas customers preferring to do business with firms from their own country 11% 13% 11% 11% Building relationships with influencers or decision makers 9% 14% 13% 7% Language barriers 8% 4% 12% 8% Protecting your intellectual property 6% 8% 9% 5% Cultural differences 4% 5% 5% 3% The most widespread barrier reported by non-user firms relates to difficulty finding sufficient management time to devote to doing business overseas. Problems in dealing with legal or tax regulations and obtaining information about overseas business opportunities were the next most commonly mentioned individual barriers. Interestingly, relatively few firms reported language or cultural barriers. However, it could be that although firms do not believe they have been affected by a lack of language skills, this could be a factor behind some of the other barriers experienced (e.g. difficulty complying with legal and regulatory standards, problems building relationships, etc). It is clear that barriers affect firms of all ages. However, there is some evidence that older firms that have been established for 10 years or more are less likely to encounter difficulties with legal or tax regulations, identifying who to make contact with in the first instance and building relationships with potential customers or partners. These barriers have been summarised through a grouping of the individual issues and difficulties tested into seven themes, as detailed below. Firms have been classified as encountering significant difficulties with 'legal & regulatory barriers' if they scored '4' or '5' on a 5-point scale for… - Dealing with legal or tax regulations and standards overseas - Or, Protecting your intellectual property - Or, Ensuring you get paid and enforcing contracts Firms have been classified as encountering significant difficulties with 'customs barriers' if they scored '4' or '5' on a 5-point scale for… - Dealing with customs procedures or paperwork Firms have been classified as encountering significant difficulties with 'contact barriers' if they scored '4' or '5' on a 5-point scale for… - Identifying who to make contact with in the first instance - Or, Establishing an initial dialogue with prospective customers or business partners - Or, Building relationships with key influencers or decision-makers Firms have been classified as encountering significant difficulties with 'information barriers' if they scored '4' or '5' on a 5-point scale for… - Obtaining information about the potential business opportunities in an overseas market Firms have been classified as encountering significant difficulties with 'resource barriers' if they scored '4' or '5' on a 5-point scale for… - Finding the necessary management time to devote to doing business in an overseas country Firms have been classified as encountering significant difficulties with 'language and cultural barriers' if they scored '4' or '5' on a 5-point scale for… - Language barriers - Or, Cultural differences Firms have been classified as encountering significant difficulties with 'bias barriers' if they scored '4' or '5' on a 5-point scale for… - Overseas customers preferring to do business with firms from their own country The table below summarises the barriers to overseas trade experienced by non-user firms. Non-Users (PIMS 2013) Proportion experiencing significant difficulties (4-5 out of 5) Total Up to 5 years 6-10 years >10 years Base 829 153 225 451 At least 1 sig. barrier 47% 47% 52% 46% - Legal & regulatory 25% 30% 28% 22% - Customs 13% 11% 17% 12% - Contacts 19% 23% 20% 17% - Information 14% 15% 19% 12% - Resource 16% 17% 17% 15% - Language & cultural 10% 8% 15% 9% - Bias 11% 13% 11% 11% No sig. barriers 53% 53% 48% 54% Almost half of all non-user firms (47%) have experienced one or more significant barriers to the development of their overseas business, suggesting that many would benefit from the type of support that UKTI can provide. The most widespread barriers relate to legal and regulatory issues and establishing/developing contacts. It is also important to note that all of the barriers tested can, to at least some extent, be addressed by the existing range of UKTI export support services. The table below matches each barrier to relevant impacts reported by UKTI clients in the main PIMS surveys (with the figures in brackets giving the proportion of UKTI users benefiting to a significant extent from each outcome). Barrier Corresponding Benefit of UKTI Support (PIMS 28-31) - Overcome problem or difficulty with a legal or regulatory issue or quality standards (14%)3 Legal & regulatory - Introduced new products/services or improved existing ones (21%) - Made improvements to new product development strategy (22%) Customs - Improved way do business in an overseas market (32%) Contacts - Gained access to prospective customers or business partners (40%) - Improved overseas marketing strategy (30%) Information - Gained access to information otherwise unable to come by (39%) Resource - Gained confidence to enter new market/expand in existing one (36%) Language & cultural - Gained access to information otherwise unable to come by (39%) - Improved way do business in an overseas market (32%) - Improved overseas marketing strategy (30%) Bias - Improved profile or credibility (36%) - Improved knowledge of competitive environment in overseas market (35%) 3 OMIS, Posts Significant Assists and Posts Events only The table below provides further analysis by supported and unsupported non-users. - Non-Users by Whether Supported Total Up to 5 years 6-10 years Over 10 years Supp- Unsupp Supp- Unsupp Supp- Unsupp Supp- Unsupp orted -orted orted -orted orted -orted orted -orted Proportion experiencing significant difficulties Base 102 727 14 139 20 205 68 383 At least 1 sig. barrier 56% 46% 60% 46% 66% 51% 53% 44% - Legal & regulatory 27% 24% 48% 29% 40% 27% 21% 22% - Customs 12% 13% 6% 11% 31% 16% 9% 13% - Contacts 28% 17% 34% 22% 30% 19% 26% 15% - Information 19% 13% 22% 14% 31% 18% 16% 11% - Resource 21% 15% 22% 16% 20% 17% 21% 14% - Language & cultural 16% 10% 16% 7% 20% 14% 15% 8% - Bias 12% 11% 12% 13% 5% 11% 13% 11% No sig. barriers 44% 54% 40% 54% 34% 49% 47% 56% Those non-user firms that have accessed some form of (non-UKTI) export support are more likely to have encountered barriers to overseas trade than unsupported non-users. This suggests that coming up against difficulties can act as a catalyst for seeking out external support. Barriers to overseas trade are also explored in UKTI's Internationalisation Survey, which covers both users and non-users of UKTI. It is not possible to make direct comparisons with the PIMS Non-User Survey data due to a different questioning approach. However, one key finding of the Internationalisation Survey is that UKTI clients are much more likely to encounter significant barriers than non-users (73% vs. 59%4). This is consistent with the above finding that supported non-users are more likely to report barriers, and again suggests that firms are prompted to access support as a result of encountering difficulties overseas. The lower incidence of barriers amongst non-user firms (and particularly unsupported non-users) is also likely to be linked to the fact that they are typically less 'involved' exporters than UKTI users. As seen in Section 5 of this report, non-users tend to operate in fewer markets than UKTI clients and overseas sales account for a lower proportion of their total turnover. As a result of these factors, it is likely that non-user firms have been exposed to fewer barriers due to their more limited engagement in overseas business. ## 7.2 Individual Barriers The table below shows a more detailed analysis of the individual barriers tested, showing the full distribution of responses on the 1-5 scale. \| Dealing with legal \| Protecting your \| \|--------------------------\|--------------------\| \| or tax regulations & \| intellectual \| \| Extent of difficulty \| \| \| standards \| \| \| \| \| \| property \| \| \| \| \| \| Base \| \| \| \| \| \| 829 \| 829 \| \| 5 - Extremely difficult \| 8% \| \| 4 \| 7% \| \| 3 \| 10% \| \| 2 \| 4% \| \| 1 - Not at all difficult \| 70% \| \| Don't know/refused \| 1% \| \| Net: 4-5 out of 5 \| \| \| 15 \| \| \| % \| \| \| \| \| \| 6 \| \| \| % \| \| \| \| 12 \| \| % \| \| \| \| 13 \| \| % \| \| \| \| \| \| Establishing an \| \| \| Identifying who to \| \| \| initial dialogue with \| \| \| make contact with \| prospective \| \| Extent of difficulty \| \| \| in the first instance \| \| \| \| \| \| customers or \| \| \| partners \| \| \| \| \| \| Base \| \| \| \| \| \| 829 \| 829 \| \| 5 - Extremely difficult \| 5% \| \| 4 \| 7% \| \| 3 \| 7% \| \| 2 \| 2% \| \| 1 - Not at all difficult \| 78% \| \| Don't know/refused \| 1% \| \| Net: 4-5 out of 5 \| \| \| 13 \| \| \| % \| \| \| \| \| \| 11 \| \| \| % \| \| \| \| 9 \| \| % \| \| \| \| 14 \| \| % \| \| \| \| \| \| Finding the \| \| \| necessary \| \| \| Language barriers \| \| \| \| \| \| Cultural \| \| \| Extent of difficulty \| \| \| management time \| \| \| to devote to doing \| \| \| business overseas \| \| \| \| \| \| Base \| \| \| \| \| \| 829 \| 829 \| \| 5 - Extremely difficult \| 6% \| \| 4 \| 9% \| \| 3 \| 11% \| \| 2 \| 3% \| \| 1 - Not at all difficult \| 69% \| \| Don't know/refused \| 1% \| \| Net: 4-5 out of 5 \| \| \| 16 \| \| \| % \| \| \| \| \| \| 8 \| \| \| % \| \| \| \| 4 \| \| % \| \| \| \| 11 \| \| % \| \| \| \| \| \| \| \| \| Ensuring you get \| Dealing with customs \| \|---------------------\|-------------------------\| \| paid and enforcing \| procedures or \| \| contracts \| \| \| \| \| \| paperwork \| \| \| \| \| \| Building \| Obtaining information \| \| relationships with \| about potential \| \| influencers/ \| opportunities in an \| \| decision makers \| \| \| \| \| \| overseas market \| \| \| \| \| \| Overseas customers \| \| \| preferring to do \| \| \| business with firms \| \| \| differences \| \| \| \| \| \| from their own \| \| \| country \| \| Those non-user firms that reported no or very minimal difficulties (i.e. 1-2 out of 5) with establishing an initial dialogue with prospective customers or partners were asked why this had not been a problem for them. As detailed below, in most cases this is because these customers/partners initiated the contact. Non-Users (PIMS 2013) 6-10 >10 years Total Up to 5 years old years old old Base 829 153 225 451 Already had contacts 34% 35% 33% 34% Customers/partners initiated the contact 52% 50% 52% 52% Don't know 3% 4% 2% 3% Initial dialogue was a barrier (3-5 out of 5) 20% 20% 24% 19% Firms that reported no or very minimal difficulties with language barriers were also asked why this had not been a problem. As seen below, in most cases this was because firms had been able to use English when dealing with overseas contacts. Non-Users (PIMS 2013) 6-10 >10 years Total Up to 5 years old years old old Base 829 153 225 451 Always been able to use English 71% 73% 69% 72% Have staff with necessary language skills 16% 17% 14% 15% Other reason 3% 4% 4% 3% Don't know 1% 3% 0% 1% Language was a barrier (3-5 out of 5) 17% 12% 20% 17% Similarly, those firms that had experienced no or very minimal difficulties with cultural differences were asked why this had not been a problem. In most cases this is because firms have not come across any (major) cultural differences, although a quarter have avoided them through employing staff that are familiar with the culture in the overseas markets in which they do business. Non-Users (PIMS 2013) 6-10 >10 years Total Up to 5 years old years old old Base 829 153 225 451 Not come across cultural differences 65% 64% 68% 65% Have staff familiar with the culture 25% 23% 23% 26% Other reason 4% 4% 4% 4% Don't know 1% 3% 0% 1% Cultural differences were a barrier (3-5 out of 5) 10% 13% 15% 8% ## 8. Awareness Of Ukti As detailed earlier in this report (Section 3), the 2013 Non-User survey over-sampled firms in the north of England in order to measure recall of a UKTI marketing campaign taking place in that region. Although the analysis contained in the rest of this report includes these additional interviews, this section on awareness of UKTI is based just on the national sample of non-users firms to ensure that results are directly comparable with previous waves of this survey. 8.1 Awareness of UKTI Name All non-user firms were asked whether, prior to the interview, they had heard of UK Trade & Investment or UKTI. 45% of non-users firms are aware of UKTI, and there are no statistically significant differences in awareness levels across the different age groups. The table below compares awareness between supported and unsupported nonusers. Although it appears that supported non-users are more likely to be aware of UKTI than those that have not accessed any form of export-related support, it should be noted that this difference is not statistically significant (due to the low base of supported non-users). Please note that analysis has only been provided at the total level as base sizes are too low to provide robust sub analysis by age band within the supported/unsupported non-user categories. Total Supported Unsupported Base 30 271 Yes 59% 44% No 41% 56% Don't know 0% 1% The chart below tracks how awareness of the UKTI name has changed over time among non-user firms. Base: All respondents (Base, Don't know/Refused) Supported - 2010 (81), 2011 (61), 2012 (56), 2013 (30) / Unsupported - 2010 (221), 2011 (239), 2012 (243), 2013 (271) / All - 2010 (302), 2011 (300), 2012 (300), 2013 (301) At the total level, there has been a statistically significant increase in the proportion of non-users aware of UKTI over the last 3 years. There has also been an uplift in awareness among unsupported non-users. However, results for supported non-users are erratic due to the low base sizes, and there are no statistically significant changes over tie for this group. The table below provides further analysis of awareness levels by firm size and export experience. Please be aware of the very low base size from 100+ employee firms when interpreting these results. - Non-Users by Size & Export Experience Size (Employees) Years Exporting > 10 0-9 10-99 100+ < 2 years 2-10 years years Base 197 92 11 64 134 100 Yes 47% 42% 43% 37% 50% 44% No 53% 56% 57% 61% 50% 55% Don't know 0% 1% 0% 1% 0% 1% There are no statistically significant differences in firms' awareness of UKTI by size or export experience. The following analysis provides details of awareness levels by the extent of firms' growth ambitions for the next 5 years and whether or not they are classified as being innovative. - Non-Users by Growth Objectives & Innovation Growth Objectives Innovation Innovative Substantial Moderate No Innovative high growth growth growth (alternative) Innovative Noninnovative growth Base 76 149 62 102 191 110 58 Yes 52% 46% 38% 49% 49% 39% 54% No 48% 54% 60% 51% 51% 60% 46% Don't know 0% 0% 2% 0% 0% 1% 0% Although it appears that firms with more ambitious growth objectives are more likely to recognise the UKTI name, this apparent difference is not statistically significant. There are also no significant differences in awareness levels between innovative and non-innovative firms. ## 8.2 Awareness Of Ukti Role Those firms that had heard of UKTI were also asked whether they were aware that the organisation provides assistance to help UK firms do business overseas. The majority of those non-user firms that had heard of UKTI also knew that the organisation provides assistance to help UK firms do business overseas. However, this still only equates to 31% of all non-user firms being aware of UKTI's role. There appears to have been a small increase in awareness of UKTI's role over the past year (from 25% to 31%) but this is not statistically significant. Please note a longer time series analysis is not available as this question was first asked in 2012. Although supported non-users appear more likely to be aware of UKTI's role than unsupported non-users, this difference is not statistically significant. Total Supported Unsupported Base 30 271 Yes 41% 30% No 18% 14% Not aware of UKTI 41% 56% ## 8.3 Awareness & Interest In Ukti Services 8.3.1 OMIS Businesses were read out the following description of OMIS and asked if they had heard of this service and whether they would be interested in using it. "The Overseas Market Introduction Service, or OMIS, is a charged service delivered by UK embassies and consulates overseas. It can include a report about an overseas market, or help identifying and contacting possible customers or business partners". Non-Users 6-10 Over 10 Total Up to 5 years old years old years old Base 301 73 77 151 Have you heard of this service before? Yes 18% 11% 19% 20% No 82% 89% 81% 80% Don't know 0% 0% 0% 0% Would you be interested in using this service? Yes 20% 32% 23% 16% Maybe 7% 8% 8% 6% No 72% 60% 66% 78% Don't know 1% 0% 3% 0% Only 18% of non-user firms had heard of the OMIS service. However, based on the brief description that respondents were given about OMIS, a fifth felt that they would be interested in using it (with a further 7% indicating they may be interested). Although there are no significant differences in awareness of the OMIS service by age of firm, younger firms expressed greater interest in using it. The table below provides further analysis by firm size and export experience, and shows that there are no significant differences by size of firm (and the very low base for larger firms should be taken into account when interpreting this data). However, it is evident that very recent exporters show significantly more interest in using the OMIS service (when read a description of what it involves), yet are least likely to be aware of it. - Non-Users by Size & Export Experience Size (Employees) Years Exporting > 10 0-9 10-99 100+ < 2 years 2-10 years years Base 197 92 11 64 134 100 Have you heard of this service before? Yes 20% 17% 7% 13% 17% 22% No 80% 83% 93% 87% 83% 78% Would you be interested in using this service? Yes 21% 18% 19% 36% 21% 12% Maybe 7% 7% 0% 11% 6% 6% No 70% 75% 81% 53% 71% 82% Don't know 1% 0% 0% 0% 1% 0% As seen below, awareness of the OMIS service is fairly similar irrespective of firms' growth ambitions. However, those firms that are aiming for growth (and particularly substantial growth) are considerably more interested in the service. This demonstrates that there are a significant number of dynamic firms that would potentially benefit from OMIS but have not considered using it simply because they are unaware of its existence. - Non-Users by Growth Objectives & Innovation Growth Objectives Innovation Innovative Substantial Moderate No Innovative high growth growth growth (alternative) Innovative Noninnovative growth Base 76 149 62 102 191 110 58 Have you heard of this service before? Yes 17% 20% 20% 22% 23% 10% 18% No 83% 80% 80% 78% 77% 90% 82% Don't know 0% 0% 0% 0% 0% 0% 0% Would you be interested in using this service? Yes 28% 19% 13% 26% 22% 17% 32% Maybe 11% 6% 3% 6% 7% 6% 6% No 61% 74% 85% 68% 70% 77% 63% Don't know 0% 1% 0% 0% 0% 1% 0% 8.3.2 International Trade Advisors Businesses were read out the following description of UKTI's International Trade Advisors and asked if they had heard of this service before and whether they would be interested in using it. "UK Trade & Investment employ a number of International Trade Advisors who are based in the UK and provide one-to-one advice to help firms develop their overseas business. They can also provide referrals to other support or specialist advice". Non-Users 6-10 Over 10 Total Up to 5 years old years old years old Base 301 73 77 151 Have you heard of this service before? Yes 19% 16% 13% 22% No 81% 84% 87% 78% Don't know 0% 0% 0% 0% Would you be interested in using this service? Yes 38% 55% 42% 32% Maybe 5% 8% 6% 4% No 56% 37% 49% 64% Don't know 1% 0% 3% 0% Awareness of the ITAs is very similar than that seen for OMIS (19% vs. 18%). However, based on the brief descriptions firms were given, this service seems to have more appeal than OMIS, with over a third of firms expressing an interest in using the ITAs (compared to 20% for OMIS). There is some indication that older firms that have been trading for more than 10 years are more likely to be aware of the ITA service, but this apparent difference is not statistically significant. However, younger firms are most interested in accessing this type of support. There are no statistically significant differences in awareness of the services provided by UKTI's international trade advisors by firms' size or export overseas experience. However, smaller firms and particularly those with very little overseas experience are most interested in accessing this type of support. - Non-Users by Size & Export Experience Size (Employees) Years Exporting > 10 0-9 10-99 100+ < 2 years 2-10 years years Base 197 92 11 64 134 100 Have you heard of this service before? Yes 19% 18% 24% 15% 16% 24% No 81% 82% 76% 85% 84% 76% Don't know 0% 0% 0% 0% 0% 0% Would you be interested in using this service? Yes 43% 33% 0% 60% 41% 27% Maybe 5% 5% 9% 11% 5% 3% No 50% 62% 91% 30% 53% 70% Don't know 1% 0% 0% 0% 1% 0% There are no significant differences in awareness levels by firms' growth objectives, but those firms planning to grow over the next 5 years are considerably more interested in accessing this type of support. Innovative firms are more likely to have heard of the ITAs than their non-innovative counterparts, although there is no difference when it comes to interest in using the service. - Non-Users by Growth Objectives & Innovation Growth Objectives Innovation Innovative Substantial Moderate No Innovative high growth growth growth (alternative) Innovative Noninnovative growth Base 76 149 62 102 191 110 58 Have you heard of this service before? Yes 16% 23% 18% 26% 24% 9% 18% No 84% 77% 82% 74% 76% 91% 82% Don't know 0% 0% 0% 0% 0% 0% 0% Would you be interested in using this service? Yes 46% 44% 21% 48% 39% 36% 46% Maybe 4% 5% 7% 5% 5% 6% 1% No 49% 50% 72% 47% 55% 58% 52% Don't know 1% 1% 0% 0% 1% 0% 2% 8.3.3 Meet the Buyer Events Businesses were read out the following description of UKTI 'Meet the Buyer' events and were asked whether they had heard of these events before and whether they would be interested in attending. "UK Trade & Investment put on events in the UK that enable attendees to have oneto-one meetings with relevant high-profile overseas businesses, and also offer wider networking opportunities. These events are facilitated by experts with knowledge of both the overseas market and the industry." Non-Users 6-10 Over 10 Total Up to 5 years old years old years old Base 301 73 77 151 Have you heard of this type of event before? Yes 29% 22% 30% 30% No 71% 78% 70% 69% Don't know 0% 0% 0% 1% Would you be interested in attending this type of event? Yes 37% 55% 49% 28% Maybe 5% 5% 4% 6% No 57% 40% 47% 66% Don't know 0% 0% 0% 0% Awareness of UKTI 'Meet the Buyer' events is higher than was seen for either OMIS or the ITAs, at 29%. There is also considerable interest in this type of event, with over a third of non-users indicating that they would be interested in attending and a further 5% stating that they may be interested. There are no statistically significant differences in awareness levels by age of firm, although firms established for more than 10 years appear least interested in attending 'Meet the Buyer' events. There are no differences by size of firm when it comes to awareness of UKTI 'Meet the Buyer' events, but micro SMEs were most likely to express an interest in attending this type of event. Interest is also significantly higher amongst inexperienced exporters, yet this group is least likely to have heard of these events. \| Size (Employees) \| Years Exporting \| \|------------------------------------------------\|--------------------\| \| \| \| \| > 10 \| \| \| 0-9 \| 10-99 \| \| 2-10 \| \| \| years \| years \| \| Base \| \| \| \| \| \| 197 \| 92 \| \| Have you heard of this service before? \| \| \| Yes \| 27% \| \| No \| \| \| 72% \| \| \| 68% \| 66% \| \| Don't know \| \| \| 1% \| \| \| 0% \| 0% \| \| Would you be interested in using this service? \| \| \| Yes \| \| \| 42% \| \| \| 33% \| 9% \| \| Maybe \| \| \| 6% \| \| \| 4% \| 0% \| \| No \| 52% \| \| Don't know \| \| \| 0% \| \| \| 0% \| 0% \| Although there is no difference in awareness levels by firms' growth objectives, firms that were planning to grow over the next 5 years were considerably more interested in attending this type of event (with this particularly true of those aiming for substantial growth). A similar picture was seen for OMIS and ITAs, and together this suggests that firms seeking growth are often looking to access external export support to help them realise these ambitions. In addition, innovative firms display higher awareness of these events, and are more interested in attending them. - Non-Users by Growth Objectives & Innovation Growth Objectives Innovation Innovative Substantial Moderate No Innovative high growth growth growth (alternative) Innovative Noninnovative growth Base 76 149 62 102 191 110 58 Have you heard of this service before? Yes 25% 35% 23% 35% 35% 18% 27% No 73% 65% 77% 65% 64% 82% 71% Don't know 2% 0% 0% 0% 1% 0% 2% Would you be interested in using this service? Yes 52% 38% 23% 53% 43% 28% 55% Maybe 2% 8% 3% 4% 5% 6% 43% No 46% 54% 74% 43% 52% 66% 2% Don't know 0% 0% 0% 0% 0% 0% 0% ## 9. Awareness & Use Of Non-Ukti Support 9.1 Use Of Non-Ukti Support The chart below shows the proportion of non-user firms that have received any external (non-UKTI) information, advice or support in relation to doing business overseas in the last two years. Just 12% of non-users had received export support from a non-UKTI source in the previous two years, and are therefore classed as 'supported' non-users. This is a significant drop from the 20% seen in 2012. The proportion of firms accessing export support increases significantly among older firms. Firms were asked to identify all external sources from which they had obtained export-related support. Those firms that had obtained support from more than one provider were also asked to identify which of these sources had been most important to them in relation to doing business overseas (please note that if firms had only obtained support from a single provider this has been included as the 'most important' source in the analysis below). ## - Non-Users Non-Users \| 6-10 years \| Over 10 \| \|---------------------------------------\|------------\| \| Total \| \| \| \| \| \| Up to 5 \| \| \| years old \| old \| \| Base: All non-users \| \| \| \| \| \| 829 \| \| \| \| \| \| 153 \| \| \| \| \| \| 225 \| \| \| \| \| \| 451 \| \| \| \| \| \| All providers used \| \| \| Chamber of Commerce \| \| \| 6% \| 0% \| \| HM Revenue and Customs \| \| \| 4% \| 3% \| \| Bank \| 3% \| \| Consultant \| \| \| 2% \| 1% \| \| Trade Association \| \| \| 2% \| 1% \| \| Online information service (paid for) \| 1% \| \| Market research agency \| \| \| 1% \| 0% \| \| British Council \| \| \| 0% \| 0% \| \| Other \| 1% \| \| No support received \| \| \| \| \| \| 86% \| \| \| \| \| \| 91% \| \| \| \| \| \| 90% \| \| \| \| \| \| 83% \| \| \| \| \| \| Don't know if received support \| \| \| \| \| \| 2% \| \| \| \| \| \| 1% \| \| \| \| \| \| 1% \| \| \| \| \| \| 2% \| \| \| \| \| \| Most important provider used \| \| \| Chamber of Commerce \| \| \| 5% \| 0% \| \| HM Revenue and Customs \| \| \| 2% \| 3% \| \| Bank \| 2% \| \| Consultant \| \| \| 1% \| 0% \| \| Trade Association \| 1% \| \| Online information service (paid for) \| \| \| 1% \| 0% \| \| Market research agency \| \| \| 0% \| 0% \| \| British Council \| 0% \| \| Other \| \| \| 1% \| 0% \| \| No support received \| \| \| \| \| \| 86% \| \| \| \| \| \| 91% \| \| \| \| \| \| 90% \| \| \| \| \| \| 83% \| \| \| \| \| \| Don't know if received support \| \| \| \| \| \| 2% \| \| \| \| \| \| 1% \| \| \| \| \| \| 1% \| \| \| \| \| \| 2% \| \| \| \| \| A variety of different providers were used by non-user firms, but the most common source was the Chamber of Commerce, followed by HMRC. Please note that for all the subsequent questions about the type, quality and impact of the export support received, respondents were asked to focus just on the most important provider they had used. Those firms that received assistance from the Chamber of Commerce were asked whether the Chamber in question was based in the UK or overseas. Total Base: All using Chamber of Commerce 50 Based in the UK 96% Located overseas 2% - British Chamber of Commerce overseas 0% - Local Chamber of Commerce overseas 2% Don't know 0% The vast majority of firms accessing support through the Chamber of Commerce indicated that this was from a Chamber of Commerce in the UK. Just 2% received assistance from an overseas Chamber of Commerce, and all of these indicated that this was a local rather than British Chamber of Commerce. ## 9.2 Type Of Non-Ukti Support Received (Supported Non-Users) 9.2.1 Focus of Support The table below provides details of the specific type of assistance received by supported non-users. Please note that the results by age of firm, and particularly those for firms established in the last 5 years, should be treated with caution due to the low base sizes. - Supported Non-Users Supported Non-Users 6-10 years Over 10 Total Up to 5 years old old years old Base: Supported non-users 102 14 20 68 Info or advice about how to do business in an overseas market 46% 54% 65% 40% Info or advice about entering a new market 24% 6% 46% 22% Info or advice about business opportunities in an overseas market 23% 12% 31% 22% Certificates of Origin 23% 0% 15% 29% Help with developing overseas business strategy 21% 24% 25% 19% Help identifying or accessing business contacts overseas 19% 12% 30% 18% Help accessing finance or funding opportunities 19% 22% 35% 14% Help with doing marketing research overseas 18% 24% 31% 13% Other 36% 24% 36% 38% Don't know 4% 0% 5% 4% The most widespread type of support accessed by non-users related to information on how to do business in an overseas market, with almost half of all supported nonusers obtaining this in the previous 2 years. Approaching a quarter had received information or advice about entering a specific market and help identifying business opportunities overseas, and a similar proportion had obtained Certificates of Origin (from the Chamber of Commerce). 9.2.2 Paid-For Support Supported non-users were also asked whether they had paid for any of the support they had received, and as detailed below, two-fifths had done so. It appears that young firms are least inclined to pay for support, perhaps due to the greater financial constraints on many of these firms, although it should be noted that this difference is not statistically significant due to the low base sizes. ## - Supported Non-Users Supported Non-Users 6-10 years Over 10 Total Up to 5 years old old years old Base: Supported non-users 102 14 20 68 Yes 40% 18% 50% 42% No 58% 82% 45% 57% Don't know 2% 0% 5% 1% ## 9.2.3 Time Spent Supported Non-Users Were Also Asked To Estimate How Much Time The Support Provider Had Spent Assisting Them. - Supported Non-Users Supported Non-Users 6-10 years Over 10 Total Up to 5 years old old Years old Base: Supported non-users 102 14 20 68 More than a week 17% 6% 30% 16% 3-5 day's work 9% 0% 5% 12% 1-2 day's work 12% 12% 16% 11% Less than a day 29% 50% 15% 29% Less than an hour 27% 32% 29% 26% Don't know 2% 0% 5% 1% Most firms receiving external export support indicated that this had been relatively light in terms of time, with just 17% feeling that they had received more than a week's worth of assistance and over a quarter (27%) believing it was less than an hour. However, it should be noted that this relates to firms' perceptions of the time spent by the support provider. ## 9.3 Awareness & Interest In Export Support (Unsupported Non-Users) 9.3.1 Perceived Benefit of Export Support All non-user businesses that had not received any support were asked whether they thought they would have benefited from such support to help overcome any difficulties they had encountered when developing the export side of their business. As seen below, 43% believed that they would have benefited from this type of assistance (with a further 6% indicating that they might have done so). Older firms are least inclined to feel that they could have benefited from external assistance. - Unsupported Non-Users Unsupported Non-Users 6-10 years Over 10 Total Up to 5 years old old years old Base: Unsupported non-users 727 139 205 383 Yes 43% 56% 50% 36% Maybe 6% 5% 5% 7% No 50% 39% 44% 55% Don't know 1% 1% 0% 2% Those firms that felt they would have benefited from some type of export-related assistance were asked to specify what particular types of advice or support would have helped. As seen below, the most widely required types of assistance relate to general advice on how to export or enter new markets (28%) and help with export regulations, rules and taxes (24%). - Unsupported Non-Users Unsupported Non-Users Top Mentions (1%+) 6-10 Over 10 Total Up to 5 years old years old years old Base: Unsupported non-users 727 139 205 383 General info & advice on how to export/enter new markets 28% 39% 29% 24% Info & advice on export regulations/rules/taxes 24% 34% 28% 20% Info about specific countries/market intelligence 16% 22% 19% 12% Help with overseas marketing strategy 8% 15% 9% 6% Help with accessing business contacts 8% 12% 12% 6% Info & advice about securing payment/enforcing contracts 7% 10% 10% 4% Finance/grants/subsidies 6% 11% 6% 5% Don't know 2% 1% 1% 2% Would not have benefited from support 50% 39% 44% 55% Don't know if would have benefited 1% 1% 0% 2% It should be noted that UKTI currently provides all of the types of assistance/support listed in the above table. This does include financial support, as although the organisation now provides very limited direct financial support/grants, most UKTI services are still heavily subsidised. This clearly indicates that the main issue is a lack of awareness of UKTI and what it offers, rather than a lack of availability of the desired types of export support. 9.3.2 Awareness of Potential Support Providers Those unsupported non-user firms indicating that export support would have been beneficial to them were asked whether they were aware of anyone who could provide this type of support, with the results detailed below. - Unsupported Non-Users Unsupported Non-Users 6-10 years Over 10 Total Up to 5 years old old years old Base: All unsupported non-users indicating would benefit from support 362 83 113 166 Yes 28% 18% 34% 30% - UKTI 8% 6% 5% 11% - Chamber of Commerce 7% 4% 9% 7% - Consultant 4% 4% 4% 4% - Trade Association 4% 1% 5% 4% - Friend, colleagues, business associates 3% 1% 2% 4% - HM Revenue and Customs 2% 0% 5% 1% - Bank 1% 1% 1% 1% - Internet search 1% 1% 1% 1% - Business Link 1% 0% 2% 2% - BIS 1% 0% 1% 1% - Embassies 1% 0% 1% 1% - Other 2% 0% 3% 2% No, not aware of any support providers 70% 81% 64% 69% Don't know 1% 1% 2% 1% In most cases the reason why firms have not accessed any export support (even though they feel it would have been beneficial) is because they are unaware of any providers of this type of assistance, with 70% of firms indicating that this is the case. This clearly suggests that, if awareness of UKTI is increased, there is potential for the organisation to reach and help a significantly greater number of firms. Amongst those firms that were aware of potential support providers, a wide range of sources were mentioned covering government bodies, business membership organisations, private sector suppliers and less formal assistance from friends or business associates. However, only 8% of firms suggested UKTI as a potential source of export support. 9.3.3 Reasons for Not Needing Export Support Unsupported non-users who felt that they would not have benefitted from any external export-related advice or support were asked why this was. - Unsupported Non-Users Unsupported Non-Users Top Mentions (1%+) 6-10 years Over 10 Total Up to 5 years old old years old Base: All unsupported non-users indicating would not benefit from support 356 55 91 210 Already have experience/expertise within the company 40% 33% 45% 40% Easy/straightforward/don't need help/no problems 30% 31% 37% 27% Manage fine as we are/do it ourselves 22% 22% 22% 22% Have our own/existing contacts 16% 16% 14% 16% Have a niche market/product 11% 8% 11% 11% No one could provide relevant help/information 8% 0% 10% 9% Customers contact us/we respond to orders/enquiries 7% 11% 7% 7% Limited application e.g. one off requirement 2% 5% 2% 1% As detailed above, the main reason for not requiring support was that firms already had sufficient expertise in-house. Significant proportions also simply felt that doing business overseas was easy or straightforward and/or that they were managing fine without any external assistance. However, it is interesting to note that 8% of firms believed that no one would be able to help them in this way, and a further 11% highlighted the niche nature of their business (with the implication that it is too specialised for any external support to be beneficial). While this may be true, it is certainly possible that an organisation such as UKTI would be able to provide meaningful support even in fairly niche areas (e.g. through its team of sector specialists). ## 9.3.4 Key Markets For Export Support All Non-User Firms Were Asked The Country Or Countries That It Would Be Most Useful To Get Some Form Of External Supported About. As Seen Below, The Most Widely Mentioned Market Was The Usa, Followed By China, Germany And France. Individual Markets (2%+ mentions) All Non-Users Base 829 USA 12% China 8% Germany 6% France 6% United Arab Emirates 4% Spain 3% Australia 3% India 3% Russia 2% Netherlands 2% South Africa 2% Ireland 2% Sweden 2% Italy 2% None/not interested in external support 44% Don't know 3% The table below provides further analysis, with individual markets grouped into broad geographic areas. Demand is greatest for support about European markets (reflecting the fact that it is the most common export destination), but significant proportions of firms also identified markets in Asia Pacific, North America and the Middle East/Africa. Individual Markets (2%+ mentions) All Non-Users Base 829 Europe 21% Asia Pacific 16% North America 13% Middle East & Africa 11% Latin America 2% None/not interested in external support 44% Don't know 3% The table below provides similar analysis but this time by whether markets are high growth, established or neither. It is clear from this analysis that there is similar demand for support relating to all three of these types of market. Individual Markets (2%+ mentions) All Non-Users Base 829 High Growth 19% Established 19% Other 23% None/not interested in external support 44% Don't know 3% ## 10. Support Quality & Satisfaction 10.1 Quality Rating - Measure A09 Supported non-user businesses were asked to rate a number of aspects of the (non- UKTI) export support they received, as follows: - The quality & relevance of the information provided - The quality and relevance of any contacts it allowed the firm to make - The attitude & professionalism of the support provider - The provider's objectivity and acting in the firm's best interests These ratings have been used to create a mean quality rating, calculated as the average proportion of firms providing a rating of 4 or 5 out of 5 across these service aspects. This analysis replicates as closely as possible one of the PIMS key survey measures, namely 'Measure A09 Quality Rating'. It should be noted that these questions were of course only asked to non user firms that had received export related support (non-UKTI) in the last two years. As such the subsequent results and analysis are based only on the 12% of non-users that had received external support therefore for some sub-analysis caution needs to be taken with lower base sizes. Supported Non-Users 6-10 years Over 10 Total 1-5 years old old years old Base: Supported non-users 102 14 20 68 Average proportion providing a rating of '4' or '5' 67% 73% 69% 66% 95% confidence interval ± 9% ± 23% ± 20% ± 11% ## A09 - Quality Rating The average proportion of firms scoring '4' or '5' on a 5-point scale for… - The quality & relevance of the information provided (70%) - The quality and relevance of any contacts it allowed you to make (50%) - Their attitude & professionalism (80%) - Their objectivity and acting in your best interests (72%) As the table above illustrates, the mean quality rating for non-UKTI support is 67%, and there are no statistically significant differences by age of firm in this respect. The panel below provides further details of how Measure A09 has been calculated for this survey, and demonstrates that the key strength of non-UKTI support is the attitude and professionalism of those delivering it, but the primary weakness is the contacts provided (with only 50% giving a score of 4-5 out of 5 for this element). Throughout this section, comparative quality data has also been provided for users of UKTI support (from the main PIMS survey). Please note that for UKTI users, the individual elements of the quality rating differ depending on the specific type of support received. However, unless otherwise stated, the results relate to the mean quality rating across all UKTI services. The following chart provides a comparison with the quality ratings for UKTI support. Overall, UKTI support is perceived to be of significantly higher quality than that provided by alternative providers, with mean quality ratings of 79% and 67% respectively. This difference is evident across all business age groups, but is only statistically significant for those established over 10 years ago. ## 10.2 Individual Quality Ratings 10.2.1 Quality & Relevance of Information The chart below shows the ratings given by supported non-user firms for the quality and relevance of the information provided (by non-UKTI sources). Base: All supported non-users (Base, Don't know/Refused) Non-Users - Total (102, 1%), Up to 5 years old (14, 0%), 6-10 years old (20, 5%), Over 10 years old (68, 0%) The quality and relevance of the information obtained from external (non-UKTI) providers is generally well regarded, with over two-thirds of supported non-users giving high ratings (i.e. 4-5 out of 5) and only 5% giving a poor score of 1-2 out of 5. ## 10.2.2 Quality & Relevance Of Contacts The chart below shows the ratings given by supported non-user firms for the quality and relevance of any contacts the (non-UKTI) support allowed them to make. Base: All supported non-users (Base, Don't know/Refused) Non-Users - Total (102, 1%), Up to 5 years old (14, 0%), 6-10 years old (20, 5%), Over 10 years old (68, 0%) Half of supported non-users gave a high rating for the quality and relevance of the contacts they were provided with by the support provider. Whilst this is partly because a fifth indicated that this was not relevant, presumably because the export support had not involved the provision of contacts, it is still the case that 9% gave a poor score of just 1-2 out of 5. ## 10.2.3 Attitude & Professionalism The chart below shows the ratings given by supported non-user firms for the attitude and professionalism of the (non-UKTI) support providers used. Base: All supported non-users except those using online information services (Base, Don't know/Refused) Non-Users - Total (97, 1%), Up to 5 years old (13, 0%), 6-10 years old (18, 5%), Over 10 years old (66, 0%) The attitude and professionalism of the personnel delivering the assistance is a major strength of these external support providers, with more than three-quarters of supported non-users (80%) scoring 4-5 out of 5 for this element and only 2% giving 'poor' ratings (i.e. 1-2 out of 5). ## 10.2.4 Objectivity & Acting In Best Interests The chart below shows the ratings given by supported non-user firms for the (non- UKTI) support providers used being objective and acting in the firm's best interests. Base: All supported non-users except those using online information services (Base, Don't know/Refused) Non-Users - Total (97, 2%), Up to 5 years old (13, 0%), 6-10 years old (18, 5%), Over 10 years old (66, 1%) The majority of non-users were also positive about the impartiality of the support provider they used, with almost three-quarters (72%) scoring 4-5 out of 5 for this element. That said, a significant minority (9%) gave a poor rating of only 1-2 out of 5 for this. ## 10.2.5 Comparison With Ukti Users For UKTI users the individual elements of the quality rating differ depending on the specific service. For comparative purposes, the table below provides user data for relevant UKTI services, as follows: - Passport to Export, Gateway to Global Growth (GGG) & English Regions Trade Advisors' Significant Assists (ERTA) - These are the advisory services delivered by International Trade Advisors in the English regions. - Overseas Market Introduction Service (OMIS) - This is the charged service delivered by the overseas posts. UKTI Users (PIMS 28-31) Supported Non-Users (PIMS 2013) Passport, GGG & ERTA OMIS Proportion scoring 4-5 out of 5 6-10 >10 6-10 >10 6-10 >10 Total > 5 yrs yrs yrs Total > 5 yrs yrs yrs Total > 5 yrs yrs yrs Base 102 14 20 68 841 221 163 457 527 84 64 379 Quality Rating (A09) 67% 73% 69% 66% 88% 87% 87% 89% 76% 79% 77% 75% - Quality & relevance of info and advice 70% 78% 60% 71% 79% 80% 72% 80% 72% 80% 73% 70% - Quality & relevance of contacts 50% 38% 56% 50% - - - - 66% 73% 66% 65% - Attitude & professionalism 80% 83% 78% 80% 94% 94% 93% 94% 90% 90% 95% 90% - Objectivity & acting in best interests 72% 90% 89% 66% - - - - 81% 80% 87% 80% As seen above, the various UKTI services consistently outperform the alternative support sources for each of the elements tested. The difference in the quality of contact facilitation is the most apparent, with OMIS users significantly more likely to give a good rating for the contacts they were provided with. That said, it should be recognised that OMIS is specifically designed to provide access to contacts, whereas some non-user firms may not have been seeking this from their support provider (as demonstrated by the fact that 24% indicated that this was not relevant when asked to rate this service element). ## 10.3 Overall Satisfaction - Measure B10 Supported non-user businesses were also asked to rate their overall satisfaction with the (non-UKTI) export support they received. A key survey measure, namely 'Measure B10 - Overall Satisfaction', is calculated from this question by taking the proportion of firms providing a rating of 4 or 5 out of 5 i.e. 'fairly' or 'very satisfied' overall with the support they have received. Supported Non-Users 6-10 years Over 10 Total 1-5 years old old years old Base: Supported non-users 102 14 20 68 Proportion of firms providing a rating of '4' or '5' 74% 90% 75% 71% 95% confidence interval ± 9% ± 16% ± 19% ± 11% ## B10 - Overall Satisfaction Firms scoring '4' or '5' on a 5-point scale for… - Thinking about your total experience of the support, how would you rate your satisfaction overall? (74%) As the table above illustrates, the overall satisfaction rating for non-UKTI support is 74%, and there are no statistically significant differences by age of firm in this respect. The panel below shows the detail of how Measure B10 has been calculated for this survey. The following chart provides comparison with the overall satisfaction measure for UKTI support (from PIMS). Base: All supported firms (Base) Non-Users - Total (102), Up to 5 years old (14), 6-10 years old (20), Over 10 years old (68), Users - Total (3823), Up to 5 years old (888), 6-10 years old (593), Over 10 years old (2340) The overall satisfaction ratings given by supported non-users and UKTI users are similar, with the small difference in ratings not statistically significant. The chart below shows a more detailed distribution of responses for overall satisfaction. Comparative data has also been provided for users of UKTI support (from PIMS). As the chart shows, supported non-users are generally satisfied with the support they have received, with 74% satisfied or very satisfied, and only a minority dissatisfied. The overall satisfaction ratings given by non-users and UKTI users are similar. Base sizes are too low to draw any robust conclusions by age of firm, although it does appear that younger non-users tend to be more satisfied with the support they have received (but this is not statistically significant). ## 11. Additionality Supported non-users were asked the extent to which they would have achieved similar results anyway had they not received the (non-UKTI) support. Comparative data has also been provided for users of UKTI support. Please note that supported non-users receiving very 'light touch' support (i.e. only received Certificates of Origin or support lasting for less than one hour) were not asked the full range of impact questions and are excluded from this analysis. The rationale for this was partly to reduce respondent burden by not asking a series of detailed questions about very minimal support, but also to provide a more valid comparison with the generally more substantial support provided by UKTI. There is clear evidence to suggest that support provided by UK Trade & Investment has a higher level of additionality than that provided by alternative sources. Almost two-fifths (38%) of all supported non-users judged the assistance they received to be non-additional (i.e. they feel that they would have achieved similar results anyway), compared to just 21% of UKTI users. Furthermore, non-UKTI export support is only classified as fully additional in 13% of cases (i.e. they probably or definitely would not have achieved similar results without the support), compared to 27% for UKTI services. Amongst non-users it appears that firms established 6-10 years display higher levels of additionality, with similar results to the equivalent group of UKTI users. However, it should be noted base sizes are very low for supported non-users when breaking down results by age band, so it is difficult to draw any definite conclusions in this respect. ## 12. Impacts & Outcomes The following section reports on the impacts and outcomes of the (non-UKTI) export support received by non-user firms. Please note that only impacts and outcomes judged to be additional are referred to (i.e. non-additional interventions do not score against the key measures). Non-additional interventions are defined as those where the firm indicated that they 'would have achieved similar results anyway' without the support. It should also be noted that those supported non-users that received very 'light touch' support (i.e. only received Certificates of Origin or support lasting for less than one hour) were not asked the full range of impact questions and are therefore excluded from this analysis. The base sizes for supported non-users are low, particularly when looking at individual sub-groups (e.g. age band) so caution should be taken when interpreting these results. 12.1 Increased Skills - Measure A81 ## 12.1.1 Summary The table below shows the proportion of supported non-user businesses classified as benefiting from the (non-UKTI) support received in terms of increasing their skills. This analysis forms one of the key survey measures, namely 'Measure A81 Increased skills'. Supported Non-Users 6-10 years Over 10 Total 1-5 years old old years old Base 70 10 14 46 25% 9% 37% 24% Proportion displaying at least one 'increased skill', net of nonadditionality 95% confidence interval ± 10% ± 18% ± 25% ± 12% Overall, just 25% of supported non-users are judged to have significantly increased their skills as a result of the assistance they received. Younger firms that have been trading for less than five years are least likely to experience this benefit from the non- UKTI support (although this difference is not statistically significant due to the low base sizes). ## A81 - Increased Skills Firms are classified as indicating increased skills if they feel that they have or will benefit 'to a significant extent' (i.e. score '4' or '5') from… - Improving their knowledge of the competitive environment in an overseas market (C7i) - 18% - Or, improving their overseas marketing strategy (C7o) - 21% In each case, net of non-additionality, with non-additionality in this context taken to be firms indicating that they feel that they 'could have got similar support elsewhere' (C9). The panel below provides further details of how Measure A81 has been calculated. The chart below includes comparative data for users of UKTI support (from PIMS) scoring against Measure A815. In comparison to firms accessing non-UKTI export support, UKTI clients are almost twice as likely to increase their skills as a result of the support. ## 12.1.2 Knowledge Of Competitive Environment The chart below shows the extent to which, as a direct result of the (non-UKTI) support they received, businesses have either benefited or anticipate benefiting through improving their knowledge of the competitive environment in an overseas market. Comparative data has also been provided for users of UKTI support. There is clear evidence that UKTI support is more effective at increasing firms' knowledge of the competitive environment in overseas markets than is the case for export support delivered by non-UKTI providers. Overall, 36% of users indicate that this has been a significant benefit of the support (i.e. scored 4-5 out of 5), compared to just 18% of supported non-users. ## 12.1.3 Improved Overseas Marketing Strategy The chart below shows the extent to which, as a direct result of the (non-UKTI) support they received, businesses have either benefited or anticipate benefiting from making improvements to their overseas marketing strategy. Comparative data has also been provided for users of UKTI support. Base: All supported firms excluding non-users just receiving Certificates of Origin or <1 hour of support (Base, Don't know) Support delivered by UKTI also appears more likely to result in improved overseas marketing strategies among assisted firms, with 30% of UKTI clients reporting a significant impact in this respect compared to 21% of firms accessing non-UKTI support. However, this difference is not statistically significant (although the difference in the proportion scoring 3-5 is significant). ## 12.2 Changed Behaviour - Measure A83 12.2.1 Summary The table below shows the proportion of supported non-user businesses classified as benefiting from the (non-UKTI) support received in terms of changing their behaviour. This analysis forms one of the key survey measures, namely 'Measure A83 - Changed behaviour'. Supported Non-Users 6-10 years Over 10 Total 1-5 years old old years old Base 70 10 14 46 39% 50% 65% 31% Proportion displaying at least one 'change in behaviour', net of nonadditionality 95% confidence interval ± 11% ± 31% ± 25% ± 13% ## A83 - Changed Behaviour Firms Are Classified As Having Changed Their Behaviour If They Feel That They Have Or Will Benefit 'To A Significant Extent' (I.E. Score '4' Or '5') From… - Introducing any new products or services, or improving any existing ones (C7l) - 9% - Or, making improvements to their new product or service development strategy (C7t) - 15% - Or, improving the way they do business in overseas markets (C7n) - 22% - Or, gaining the confidence to either explore a new market or expand in an existing one (C7h) - 27% - Or, improving their overseas marketing strategy (C7o) - 21% In each case, net of non-additionality, with non-additionality in this context taken to be firms indicating that they feel that they 'could have got similar support elsewhere' (C9). Almost two-fifths of supported non-user firms score against this measure, although this drops to around a third of older firms that have been trading for over 10 years. The panel below provides further details of how A83 has been calculated for this survey. The chart below includes comparative data for users of UKTI support (from PIMS) scoring against Measure A83. Base: All supported firms excluding non-users just receiving Certificates of Origin or <1 hour of support (Base) Over half of UKTI users score against this measure, compared to around two-fifths of firms accessing non-UKTI export support. For both supported non-users and UKTI clients, older firms (over 10 years old) are significantly less likely to score against this measure. 12.2.2 Introduced or Improved Products or Services The chart below shows the extent to which, as a direct result of the (non-UKTI) support they received, businesses have either benefited or anticipate benefiting from introducing any new products/services or improving existing ones. Comparative data has also been provided for users of UKTI support. UKTI clients are significantly more likely than users of alternative export support to have introduced new products/services or improved existing products/services as a result of the assistance received (21% vs. 10%). 12.2.3 Improved New Product Development Strategy The chart below shows the extent to which, as a direct result of the (non-UKTI) support they received, businesses have either benefited or anticipate benefiting from improving their new product/service development strategy. Comparative data has also been provided for users of UKTI support. There are no statistically significant differences between UKTI users and supported non-users in regards to whether they have improved their new product/service development strategy as a result of this support. There are also no significant differences in this respect by age of firm for non-users. However, among UKTI users firms aged over 10 years are less likely than younger firms to have benefitted in this way. 12.2.4 Improved Way of Doing Business Overseas The chart below shows the extent to which, as a direct result of the (non-UKTI) support they received, businesses have either benefited or anticipate benefiting from improving the way they do business in overseas markets. Comparative data has also been provided for users of UKTI support. Base: All supported firms excluding non-users just receiving Certificates of Origin or <1 hour of support (Base, Don't know) There is also no statistically significant difference between UKTI clients and firms accessing non-UKTI export assistance in terms of the percentage of firms significantly improving the way they do business in overseas markets (i.e. scoring 4-5 out of 5). However, when looking at the proportion scoring 3-5 out of 5 then the difference between users and non-users is significant. ## 12.2.5 Gained Confidence The chart below shows the extent to which, as a direct result of the (non-UKTI) support they received, businesses have either benefited or anticipate benefiting from gaining the confidence to either explore a new market or expand in an existing one. Comparative data has also been provided for users of UKTI support. Base: All supported firms excluding non-users just receiving Certificates of Origin or <1 hour of support (Base, Don't know) There are no statistically significant differences between UKTI users and supported non-users in the likelihood of benefitting from gaining the confidence to expand their overseas operations. ## 12.3 Increased Innovation - Measure A04 The table below shows the proportion of supported non-user businesses classified as benefiting from the (non-UKTI) support received in terms of increased innovation. This analysis forms one of the key survey measures, namely 'Measure A04 - Increased Innovation'. Supported Non-Users 6-10 years Over 10 Total 1-5 years old old years old Base 70 10 14 46 18% 18% 29% 15% Proportion displaying at least one 'increase in innovation', net of nonadditionality 95% confidence interval ± 9% ± 24% ± 24% ± 10% ## A04 - Increased Innovation Firms are classified as having increased innovation if they feel that they have or will benefit 'to a significant extent' (i.e. score '4' or '5') from… - Introducing any new products or services, or improved any existing ones (C7l) - 9% - Or, making improvements to their new product or service development strategy (C7t) - 15% Overall, just under a fifth of supported non-users score against this measure of increased innovation. There are no statistically significant differences in this respect by age of firm. The panel below provides further details of how Measure A04 has been calculated for this survey. In each case, net of non-additionality, with non-additionality in this context taken to be firms indicating that they feel that they 'could have got similar support elsewhere' (C9). The chart below includes comparative data for users of UKTI support (from PIMS) scoring against Measure A04. Base: All supported firms excluding non-users just receiving Certificates of Origin or <1 hour of support & users receiving Special Reports (Base) Non-Users - Total (70), Up to 5 years old (10), 6-10 years old (14), Over 10 years old (46), UKTI support leads to increased innovation activity in just under a third of all cases, whereas only 18% of supported non-user firms score against this measure. For nonusers, there are no statistically significant differences by age of firm due to the low base sizes involved. However, among UKTI users there is a clear association between increased innovation and age, with this impact more likely to be reported by younger firms. Please note that this measure is a subset of the Changed Behaviour measure, and results for the individual elements of this measure have already been reported in Section 12.2 of this report. ## 12.4 Increased R&D - Measure Ar&D The table below shows the proportion of supported non-user businesses classified as benefiting from the (non-UKTI) support received in terms of increased R&D. This analysis forms one of the key survey measures, namely 'Measure AR&D - Increased R&D'. Supported Non-Users 6-10 years Over 10 Total 1-5 years old old years old Base 70 10 14 46 Proportion increase their R&D activity, net of non-additionality 8% 9% 14% 7% 95% confidence interval ± 6% ± 18% ± 18% ± 7% ## Ar&D - Increased R&D Firms Are Classified As Having Increased R&D If They Have Or Expect To… Overall, a relatively small minority (8%) of supported non-users score against this measure of increased R&D. The panel below provides further details of how AR&D has been calculated for this survey. - Increase the number of people engaged in, or the amount of time spent on R&D or NPD (F24a) - And, increase the amount they spend on R&D or NPD (F24b) Net of non-additionality, with non-additionality in this context taken to be firms indicating that they feel that they 'could have got similar support elsewhere' (C9). The chart below includes comparative data for users of UKTI support (from PIMS) scoring against Measure AR&D. Base: All supported firms excluding non-users just receiving Certificates of Origin or <1 hour of support (Base) Non-Users - Total (70), Up to 5 years old (10), 6-10 years old (14), Over 10 years old (46), UKTI users appear more likely to report additional R&D activity as a result of the support, but due to the low base of supported non-uses this difference is not statistically significant. Interestingly, for both users and non-users there is some suggestion that firms established for between 6-10 years are most likely to experience R&D impacts from export support (although the difference is not statistically significant for non-users). ## 12.5 Barriers To Market Access Overcome - Measure A92 12.5.1 Summary The table below shows the proportion of supported non-user businesses classified as benefiting from the (non-UKTI) support received in terms of overcoming barriers to market access. This analysis forms one of the key survey measures, namely 'Measure A92 - Barriers Overcome'. - Supported Non-Users Supported Non-Users 6-10 years Over 10 Total 1-5 years old old years old Base 70 10 14 46 41% 50% 50% 37% Proportion displaying at least one 'barrier overcome', net of nonadditionality 95% confidence interval ± 12% ± 31% ± 26% ± 14% ## A92 - Barriers To Market Access Overcome Firms are classified as indicating barriers to market access overcome if they feel that they have or will benefited 'to a significant extent' (i.e. score '4' or '5') from… - Gaining access to prospective customers, business partners or other people they would otherwise have been unable to meet (C7a) - 21% - Or, gaining access to information that they would otherwise have been unable to come by (C7e) - 33% - Or, improving their company's profile or credibility (C7c) - 24% In each case, net of non-additionality, with non-additionality in this context taken to be firms indicating that they feel that they 'could have got similar support elsewhere' (C9). Two-fifths of all supported non-users have experienced significant benefits in terms of overcoming barriers to market access. The panel below provides further details of how this measure has been calculated. The chart below includes comparative data for users of UKTI support (from PIMS) scoring against Measure A926. Base: All supported firms excluding non-users just receiving Certificates of Origin or <1 hour of support (Base) Non-Users - Total (70), Up to 5 years old (10), 6-10 years old (14), Over 10 years old (46), Users of UKTI services are significantly more likely to have overcome barriers to market access than is the case for firms accessing non-UKTI export support. Base sizes amongst supported non-users are too low to draw firm conclusions of differing impacts by age of firm, but it does appear firms established for more than 10 years are least likely to score against this measure. ## 12.5.2 Access To Contacts The chart below shows the extent to which, as a direct result of the (non-UKTI) support they received, businesses have either benefited or anticipate benefiting from gaining access to prospective customers, business partners or other people they would otherwise have been unable to meet. Comparative data has also been provided for users of UKTI support. Contact provision appears to be a major strength of the UKTI support, and differentiates it from the alternative sources of export assistance that are available to firms. Overall, 42% of UKTI users have benefited significantly from gaining access to contacts, compared to just 21% of supported non-users. This aspect of export support is particularly critical given that 'contacts barriers' emerged as one of the major problems faced by internationalising firms, with 19% of non-users reporting significant difficulties with this issue when looking to develop their overseas business (as detailed in Section 7 of this report). ## 12.5.3 Access To Information The chart below shows the extent to which, as a direct result of the (non-UKTI) support they received, businesses have either benefited or anticipate benefiting from gaining access to information they would otherwise have been unable to come by. Comparative data has also been provided for users of UKTI support. Base: All supported firms excluding non-users just receiving Certificates of Origin or <1 hour of support (Base, Don't know) Similar proportions of UKTI users and supported non-users have benefitted through the support filling knowledge gaps, with 39% of the former and 33% of the latter benefiting significantly from access to information they would otherwise have been unable to come by. ## 12.5.4 Improved Profile Or Credibility The chart below shows the extent to which, as a direct result of the (non-UKTI) support they received, businesses have either benefited or anticipate benefiting from improving their company's profile or credibility. Comparative data has also been provided for users of UKTI support. Base: All supported firms excluding non-users just receiving Certificates of Origin or <1 hour of support (Base, Don't know) Non-Users - Total (70, 3%), Up to 5 years old (10, 0%), 6-10 years old (14, 0%), Over 10 years old (46, 4%) Users - Total (3823, 1%), Up to 5 years old (888, 1%), 6-10 years old (593, 1%), Over 10 years old (2340, 1%) Overall 38% of UKTI users have significantly improved their profile or credibility as a result of the support they received, which is encouraging given that this is perceived to be a key benefit of doing business overseas (with 87% of users and 65% of nonusers highlighting this as one of the significant impacts of exporting). In contrast, just 24% of firms accessing export support from non-UKTI providers experienced this benefit to a significant extent. ## 12.6 Increased Sales/Orders The table below shows the proportion of supported non-user businesses classified as benefiting from the (non-UKTI) support received in terms of increasing sales or winning new orders. This analysis forms one of the key survey measures, namely 'Increased Sales/Orders'. Supported Non-Users 6-10 years Over 10 Total 1-5 years old old years old Base 70 10 14 46 40% 41% 65% 33% Proportion increasing sales or winning new orders, net of nonadditionality 95% confidence interval ± 11% ± 30% ± 25% ± 14% ## Increased Sales/Orders Firms are classified as benefiting from increased sales/orders if they have or expect to… - Increase their sales or win new orders (C12) - 40% Net of non-additionality, with non-additionality in this context taken to be firms indicating that they feel that they 'could have got similar support elsewhere' (C9). Two-fifths of supported non-users scored against this measure, although the confidence interval is relatively large (+/-11%) due to the low base size. The panel below provides further details of how this measure has been calculated. The chart below includes comparative data for users of UKTI support (from PIMS) scoring against the Increased Sales/Orders measure. Base: All supported firms excluding non-users just receiving Certificates of Origin or <1 hour of support (Base) UKTI support is significantly more likely to result in increased sales for participating businesses than is the case for support provided by alternative providers. Although the base size is low, non-user firms aged 6-10 years were significantly more likely to score against this measure than older firms. ## 12.7 Significant Business Benefit - Measure A06 The table below shows the summarised proportions of supported non-user businesses that are classified as experiencing one or more significant business benefits as a result of the support. This analysis forms one of the key survey measures, namely 'Measure A06 - Significant Business Benefit'. Supported Non-Users 6-10 years Over 10 Total 1-5 years old old years old Base 70 10 14 46 49% 59% 72% 42% Proportion displaying at least one improvement in 'productivity and competitiveness', net of nonadditionality 95% confidence interval ± 12% ± 30% ± 24% ± 14% ## A06 - Significant Business Benefit Firms are classified as experiencing significant business benefit if they score against… - Measure A81 Increased Skills - 25% - Or, Measure A83 Changed Behaviour - 39% - Or, Measure A92 Barriers to Market Access Overcome - 41% In each case, net of non-additionality, with non-additionality in this context taken to be firms indicating that they feel that they 'could have got similar support elsewhere' (C9). Around half of supported non-user firms report one or more significant business benefits and therefore score against this measure. The panel below provides further details of how Measure A06 has been calculated for this survey. The chart below includes comparative data for users of UKTI support (from PIMS) scoring against Measure A067. Base: All supported firms excluding non-users just receiving Certificates of Origin or <1 hour of support (Base) Over two-thirds of UKTI users are classified as experiencing significant business benefits as a result of the assistance received, compared to just under half of supported non-users. In both cases, older firms that have been trading for over 10 years are least likely to report significant benefits from the support. ## 12.8 'Light Touch' Support A small number of non-user firms (32) had received export-related assistance but indicated that this only consisted of Certificates of Origin (from the Chamber of Commerce) or support that lasted for less than 1 hour. Due to the minimal nature of this assistance, these firms were not asked the full range of impact questions but instead were simply asked whether it had any positive impact on the performance of their firm. The table below shows these results (net of non-additionality). All receiving 'light touch' support Base: 'Light touch' supported firms 32 Yes 32% No 19% Don't know 4% Non-additional 45% Reflecting the less intensive nature of the support received, just a third of these firms felt that it had a positive impact on their business performance and almost half judged it to be non-additional (i.e. they would have achieved similar results anyway). ## 13. Economic Climate 13.1 Sustained Economic Growth Or Increasing Demand Overseas Those non-user firms that were currently exporting were asked whether their business had benefited from sustained economic growth or increasing demand in any overseas countries in the previous year. Comparative data has also been provided for users of UKTI support. There is some evidence that UKTI clients are better placed than non-users to benefit from economic growth or increasing demand overseas. Over two-thirds (70%) of the former have benefited in this way over the past year, compared to just 38% of nonusers. In particular, UKTI users were more likely to have benefited from growth/demand arising from outside of the EU. The difference between users and non-users in this respect is likely to be partly due to the former being more 'involved' exporters (i.e. active in more markets, overseas sales account for a greater proportion of turnover, etc). However, it may also be that the support provided by UKTI puts firms in a better position to benefit from any positive changes in overseas economies. The chart below tracks how responses to this question have changed over the last four years. For both users and non-users, there had been a steady rise in the proportion of firms benefiting from economic growth or increased demand overseas but this has levelled off in this most recent year. ## 13.2 Export Credit Insurance Those firms that were currently exporting were asked whether they used export credit insurance and, if so, whether they had had any difficulties in accessing it over the previous 6 months. \| Non-Users (PIMS 2013) \| Users (PIMS 28-31) \| \|--------------------------\|-----------------------\| \| \| \| \| 6-10 \| >10 \| \| Total \| \| \| Up to 5 \| \| \| years \| years \| \| Total \| \| \| Up to 5 \| \| \| years \| years \| \| Base: All exporters \| \| \| \| \| \| 771 \| \| \| \| \| \| 131 \| \| \| \| \| \| 208 \| \| \| \| \| \| 432 \| \| \| \| \| \| 3464 \| \| \| \| \| \| 679 \| \| \| \| \| \| 544 \| \| \| \| \| \| 2239 \| \| \| \| \| \| Yes \| \| \| 1% \| \| \| 1% \| 1% \| \| No \| \| \| 6% \| \| \| 3% \| 5% \| \| Don't know \| 0% \| \| Do not use export credit \| \| \| insurance \| \| \| 85% \| \| \| 92% \| 87% \| \| Don't know if use export \| \| \| credit insurance \| \| \| 8% \| \| \| 4% \| 7% \| Only a small proportion of internationalising firms use export credit insurance, although usage is higher among UKTI users than among non-users (13% and 8% respectively). Only 1% of the non-user firms and 3% of UKTI users reported any difficulty in accessing this type of insurance. Whilst these are only small proportions, this does equate to a significant number of those actually using export credit insurance (particularly for UKTI clients). Results are similar in this respect to those seen in 2012. ## Annex A - Questionnaire Ukti Pims Non-User Survey 2013 Omb Research Ltd TARGET QUOTAS: - 75 interviews businesses 0-5 years old (codes 1-5 or 9 at S1c) - 75 interviews with businesses 6-10 years old (code 6 at S1c) - 150 interviews with businesses more than 10 years old (codes 7-8 at S1c) ## Intro & Screeners Ask All Could I Please Speak To Either The Owner Or Someone Responsible For Your Firm'S Strategy In Relation To Exporting Or Overseas Sales? INTERVIEWER NOTE - IF THERE IS A NAMED CONTACT ON SAMPLE YOU CAN ASK FOR THIS PERSON, BUT THEY MAY NOT BE THE BEST PERSON TO SPEAK TO. - YOU MAY TAKE REFERRALS TO ANOTHER SITE WITHIN THE UK. Good morning/afternoon, my name is … and I am calling on behalf of OMB Research, an independent market research agency. We have been commissioned by UK Trade & Investment and the Department for Business, Innovation and Skills (BIS) to conduct a survey of businesses on the topic of exporting and trading overseas. We're conducting an evaluation to measure the impact of overseas business and identify any issues or difficulties that businesses face when trying to do business overseas, particularly in the current economic climate. UK Trade & Investment will use this to improve the services they offer to help businesses export. The research will take around 15-20 minutes, depending on your answers. Is it convenient to speak to you now or would you prefer to make an appointment for another time? AS NECESSARY: It doesn't matter if you only sell overseas on a small scale, we're interested in speaking to ALL exporters. Even if you just make the occasional sale to overseas customers, we are still keen to talk to you. AS NECESSARY: A summary of the key findings from this evaluation will be made available on the UK Trade & Investment website, at www.ukti.gov.uk ADD IF NECESSARY  The research is being conducted under the Code of Practice of the Market Research Society, which means that all of the answers you give are strictly confidential and anonymous. Participation in this survey is voluntary.  The responses of all organisations taking part will be combined into a statistical report  Your organisation was selected at random from a list of UK businesses held by a commercial list broker  If you wish to check that OMB Research is a bona fide market research agency, you can contact the Market Research Society on 0500 396999, or call James Murray at OMB Research on 01732 220582 or Heather Booth di Giovanni at UK Trade & Investment on 020 7215 4989. ASK ALL S1a - Can I confirm that you are one of the people best qualified to talk about your company's overseas activities? INTERVIEWER NOTE: IF KNOW ALREADY THAT YOU ARE SPEAKING TO THE CORRECT PERSON THEN CODE YES AUTOMATICALLY REFERRALS CAN BE TAKEN TO ANY SITE WHEN THE CONTACT FEELS THAT THERE IS SOMEONE WITHIN THE COMPANY BETTER PLACED TO ANSWER QUESTIONS ON THE TOPIC AREAS OUTLINED \| Yes \| 1 \| \|------------------------------------------\|------\| \| No - take referral and being transferred \| 2 \| \| No - take referral and arrange call back \| 3 \| \| No - refused referral \| 4 \| ASK ALL S2 - Over the last 2 years have you sold goods or services to any customers based overseas, either directly or via agents or distributors? AS NECESSARY: - This includes licensing agreements where you licence your products, services or intellectual property for use overseas. - This includes selling to either business or individuals overseas INTERVIEWER NOTE: SOUTHERN IRELAND COUNTS AS OVERSEAS \| \| Yes \| 1 \| \|--------------\|--------\|------\| \| No \| \| 2 \| \| (Don't know) \| 3 \| \| IF NOT EXPORTED (CODES 2-3 AT S2) S3a - Have you seriously considered selling goods or services overseas within the last two years? \| \| Yes \| 1 \| \|--------------\|--------\|------\| \| No \| \| 2 \| \| (Don't know) \| 3 \| \| IF NOT CONSIDERED EXPORTING (CODES 2-3 AT S3a) S3b - Have you actually attempted to win any overseas business within the last two years? \| \| Yes \| 1 \| \|--------------\|-----------\|-----------\| \| No \| \| 2 - CLOSE \| \| (Don't know) \| 3 - CLOSE \| \| IF CONSIDERED/ATTEMPTED EXPORTING (CODE 1 AT S3a OR CODE 1 AT S3b) S3c - Can I just check, do you anticipate doing business overseas at all over the next 3 years? IF YES, PROBE FOR WHEN LIKELY TO START DOING BUSINESS OVERSEAS \| \| Yes - within the next year \| 1 \| \|-------------------------\|-------------------------------\|------\| \| Yes - in 1-2 years time \| \| 2 \| \| Yes - in 2-3 years time \| \| 3 \| \| No \| \| 4 \| \| (Don't know) \| 5 \| \| ASK ALL S7a - In the last 5 years has your firm received any form of information, advice or support about doing business overseas from either UK Trade & Investment, a UK embassy or consulate based overseas, or a Regional Development Agency? READ OUT QUESTION IN FULL AS NECESSARY: This would include attending events put on by any of these organisations. \| \| Yes \| 1 \| \|--------------\|--------\|-------\| \| No \| \| 2 \| \| (Don't know) \| 3 \| \| IF RECEIVED UKTI SUPPORT (CODE 1 AT S7a) S7b - And can I just check, did this information or advice definitely relate to doing business overseas? \| \| Yes \| 1 - CLOSE \| \|--------------\|--------\|--------------\| \| No \| \| 2 \| \| (Don't know) \| 3 \| \| ASK ALL S10 - And can I confirm that your organisation is a business rather than a trade association or public sector body? READ OUT. SINGLE CODE \| A business \| \| 1 \| \|---------------------------------------------------\|-----\|-----------\| \| A trade association \| \| 2 - CLOSE \| \| A public sector organisation such as a Government \| \| \| \| department, local council, etc \| \| 3 - CLOSE \| \| Other (SPECIFY) \| \| 4 \| \| (Don't know) \| 5 \| \| ASK ALL S1c - How long ago was your business established? READ OUT AS NECESSARY. AS NECESSARY: - This means when the business started trading in its current form - If the business is a subsidiary this refers to the subsidiary in which you work \| Within the last year \| \| 1 \| \|-----------------------------\|------------\|-------------------\| \| Over 1, up to 2 years ago \| \| 2 \| \| Over 2, up to 3 years ago \| \| 3 \| \| Over 3, up to 4 years ago \| \| 4 \| \| Over 4, up to 5 years ago \| \| 5 \| \| CHECK \| \| \| \| QUOTAS \| \| \| \| Over 5, up to 10 years ago \| \| 6 \| \| Over 10, up to 20 years ago \| \| 7 \| \| Over 20 years ago \| \| 8 \| \| (Not yet trading) \| \| 9 - CLOSE IF S2=1 \| \| (Don't know) \| 10 - CLOSE \| \| \| (Refused) \| \| 11 - CLOSE \| ASK ALL S4 - Is your firm part of a multinational company or an international joint venture that has operations overseas? \| \| Yes \| 1 \| \|--------------\|--------\|------\| \| No \| \| 2 \| \| (Don't know) \| 3 \| \| IF PART OF MULTINATIONAL (CODE 1 AT S4) S5 - And <IF CODE 1 AT S2 do you export to / IF CODE 1 AT S3a OR S3b have you considered exporting to > any affiliated companies overseas? \| \| Yes \| 1 \| \|--------------\|--------\|------\| \| No \| \| 2 \| \| (Don't know) \| 3 \| \| IF EXPORT TO AFFILIATED COMPANIES (CODE 1 AT S5) S6 - And <IF CODE 1 AT S2 do you export to / IF CODE 1 AT S3a OR S3b have you considered exporting to > any overseas customers other than affiliated companies? \| \| Yes \| 1 \| \|--------------\|-----------\|-----------\| \| No \| \| 2 - CLOSE \| \| (Don't know) \| 3 - CLOSE \| \| Questions deleted from Section S - S1b, S1d, S9b1, S9b2 ## Section X: Usage Of Trade Development Services Ask All X1 - Over The Last 2 Years, Has Your Firm Received Any Information, Advice Or Support In Relation To Doing Business Overseas From Any Of The Following? Read Out - Code All That Apply - Randomise AS NECESSARY: We are only asking about support relating to overseas business. AS NECESSARY: This could include attending events organised by any of these organisations, if they focussed on overseas business. INTERVIEWER NOTE: If recording an 'Other specify' response please record this accurately and in good English as will be used in later text substitutions. \| A bank (other than just setting up accounts, payments, etc.) \| 1 \| \|-----------------------------------------------------------------\|-------\| \| A consultant \| 2 \| \| A market research company 3 \| \| \| A Trade Association 4 \| \| \| The Chamber of Commerce (UK or overseas) \| 5 \| \| HM Revenue & Customs \| 9 \| \| The British Council 10 \| \| \| A paid-for online information service 12 \| \| \| Anyone else? (SPECIFY) \| 95 \| \| None of these 96 \| \| \| (Don't know) 97 \| \| \| \| \| IF CHAMBER OF COMMERCE (X1=5) X5b - And was the Chamber of Commerce based in the UK or located overseas? \| Based in the UK \| \|--------------------\| \| Located overseas 2 \| \| (Don't know) 3 \| \| \| IF OVERSEAS CHAMBER OF COMMERCE (X5b=2) X5c - And was this overseas Chamber of Commerce a British Chamber of Commerce or a local Chamber of Commerce? British Chamber of Commerce .................................................. 1 Local Chamber of Commerce .................................................... 2 (Don't know) .............................................................................. 3 IF MORE THAN ONE PROVIDER SELECTED AT X1 (I.E. MORE THAN ONE OF CODES 1, 2, 3, 4, 5, 9, 10, 12 OR 95 AT X1) X6 - Of all the sources of assistance you just mentioned, which did you find most important in relation to doing business overseas? READ OUT AS NECESSARY. SINGLE CODE INTERVIEWER NOTE: NEED TO PUSH RESPONDENT INTO ONE CODE AS FOLLOWING QUESTIONS ASK FOR COMPARISONS WITH THIS TYPE OF SUPPORT CATI TO ONLY SHOW CODES SELECTED AT X1 EXCEPT NONE OF THESE (CODE 96) AND DON'T KNOW (CODE 97). The bank (other than just setting up accounts, payments, etc.) 1 The consultant ........................................................................... 2 The market research company .................................................. 3 The Trade Association .............................................................. 4 The Chamber of Commerce ...................................................... 5 HM Revenue & Customs ........................................................... 9 The British Council .................................................................... 10 The paid-for online information service ..................................... 12 <INSERT OTHER SPECIFY TEXT FROM CODE 95 AT X1> .. 11 SUPPORT PROVIDER ALLOCATION & TEXT FOR SUBSEQUENT QUESTIONS - the bank ((IF X1=1 & X1=NOT 2, 3, 4, 5, 9, 10, 12 OR 95) OR IF X6=1) - the consultant ((IF X1=2 & X1=NOT 1, 3, 4, 5, 9, 10, 12 OR 95) OR IF X6=2) - the market research company ((IF X1=3 & X1=NOT 1, 2, 4, 5, 9, 10, 12 OR 95) OR IF X6=3) - the trade association ((IF X1=4 & X1=NOT 1, 2, 3, 5, 9, 10, 12 OR 95) OR IF X6=4) - the Chamber of Commerce ((IF X1=5 & X1=NOT 1, 2, 3, 4, 9, 10, 12 OR 95) OR IF X6=5) - HM Revenue & Customs ((IF X1=9 & X1=NOT 1, 2, 3, 4, 5, 10, 12 OR 95) OR IF X6=9) - the British Council ((IF X1=10 & X1=NOT 1, 2, 3, 4, 5, 9, 12 OR 95) OR IF X6=10) - the online information service ((IF X1=12 & X1=NOT 1, 2, 3, 4, 5, 9, 10 OR 95) OR IF X6=12) - <TEXT FROM CODE 95 AT X1> ((IF X1=95 & X1=NOT 1, 2, 3, 4, 5, 9 OR 10) OR IF X6=11) IF RECEIVED ANY SUPPORT (CODES 1-95 AT X1) X2a - Which of the following forms did the support you received from <SUPPORT PROVIDER> take? READ OUT - CODE ALL THAT APPLY - ROTATE ALWAYS ASK CODES 5, 6 & 8 IN ORDER & ALWAYS ASK CODES 3 & 4 IN ORDER \| Help accessing finance or funding opportunities \| \| 1 \| \|---------------------------------------------------------------------------\|-----\|------\| \| Help identifying or accessing business contacts overseas (such as \| \| \| \| customers or business partners) \| 2 \| \| \| Help with doing marketing research overseas \| 3 \| \| \| Help with developing your overseas business strategy \| \| 4 \| \| Information or advice about how to do business in an overseas market \| \| \| \| (such as help dealing with either the regulatory or cultural environment) \| 5 \| \| \| Information or advice about entering a new market \| 6 \| \| \| Information or advice about business opportunities in an overseas \| \| \| \| market \| \| 8 \| \| ONLY SHOW IF SUPPORT PROVIDER IS CHAMBER OF \| \| \| \| COMMERCE: Certificates of Origin \| \| 11 \| \| Anything else? (SPECIFY) \| 95 \| \| \| (Don't know) \| 97 \| \| \| \| \| \| IF RECEIVED ANY SUPPORT (CODES 1-95 AT X1) EXCEPT IF SUPPORT PROVIDER IS ONLINE INFO SERVICE X2b - And did you have to pay for any of the support provided by <SUPPORT PROVIDER>? SINGLE CODE Yes .................................................................................. 1 No ..................................................................................... 2 (Don't know) ..................................................................... 3 IF RECEIVED ANY SUPPORT (CODES 1-95 AT X1) X2c - Overall, how much time would you estimate that <IF SUPPORT PROVIDER NOT ONLINE INFO SERVICE: <SUPPORT PROVIDER> spent providing / IF SUPPORT PROVIDER IS ONLINE INFO SERVICE: you spent accessing> this information, advice or support? Would you say it was…? READ OUT \| More than a week's work \| \| \|----------------------------\|-----\| \| 3-5 day's work \| 2 \| \| 1-2 day's work \| 3 \| \| Or, less than a day's work \| 4 \| \| (Don't know) \| 5 \| \| (Not applicable) \| 6 \| IF LESS THAN A DAY AT X2c (CODE 4) X2d - Would you say that it was more or less than an hour's work? READ OUT \| More than an hour's work \| \| \|-----------------------------\|-----\| \| Less than an hour's work \| 2 \| \| (Don't know) \| 3 \| \| \| \| IF RECEIVED ANY SUPPORT (CODES 1-95 AT X1) X4 - I'm now going to read through a list of service aspects and I'd like you to rate your experience of each one on a scale of 1 to 5, where 1 is 'very poor' and 5 is 'very good'. Overall, how would you rate the quality of the support you have received from <SUPPORT PROVIDER> in terms of… READ OUT - RANDOMISE ASK A & C IF ANY SUPPORT (a) The quality & relevance of the information provided (c) The quality & relevance of any contacts it allowed you to make ASK D & E UNLESS SUPPORT PROVIDER IS ONLINE INFO SERVICE (d) Their attitude and professionalism (e) Their objectivity and acting in your best interests ASK F & G IF SUPPORT PROVIDER IS ONLINE INFO SERVICE (f) The clarity and ease of understanding of the information provided (g) The level of detail provided \| 1 - Very poor \| \| \|-------------------\|-----\| \| 2 \| 2 \| \| 3 \| 3 \| \| 4 \| 4 \| \| 5 - Very good \| 5 \| \| Not relevant \| 6 \| \| (Don't know) \| 7 \| IF RECEIVED ANY SUPPORT (CODES 1-95 AT X1) X7 - And thinking now about your TOTAL experience of the support you received from <SUPPORT PROVIDER>, how would you rate your satisfaction overall? Please give me a score between 1 and 5, where 5 means 'very satisfied' and 1 means 'very dissatisfied'. \| \| 1 - Very dissatisfied \| 1 \| \|-----------------------------\|--------------------------\|------\| \| 2 - Fairly dissatisfied \| \| 2 \| \| 3 - Indifferent \| 3 \| \| \| 4 - Fairly satisfied \| 4 \| \| \| 5 - Very satisfied \| \| 5 \| \| (Don't know/Can't remember) \| 6 \| \| Questions deleted from Section X ## - X3, X4B, X5A ## Section B: Export Strategy ASK ALL I'd now like to move on to talking a bit more about your current overseas business activity and your plans for the future. IF ALREADY EXPORTING (CODE 1 AT S2) B1 - How long ago did your firm start doing business overseas, and by that I mean selling goods or services to either businesses or individuals based abroad? READ OUT AS NECESSARY - CATI TO ONLY SHOW FEASIBLE CODES BASED ON ANSWER TO S1c AS NECESSARY: This means the business in its current form IF S4=1: AS NECESSARY: Please answer just for the UK part of your business AS NECESSARY: Please include any licensing deals with overseas companies \| Within the last year \| \| 1 \| \|-----------------------------\|-----\|------\| \| Over 1, up to 2 years ago \| \| 2 \| \| Over 2, up to 3 years ago \| \| 3 \| \| Over 3, up to 4 years ago \| \| 4 \| \| Over 4, up to 5 years ago \| \| 5 \| \| Over 5, up to 10 years ago \| \| 6 \| \| Over 10, up to 20 years ago \| \| 7 \| \| Over 20 years ago \| \| 8 \| \| (Don't know) \| 10 \| \| \| (Refused) \| \| 11 \| \| \| \| \| IF ALREADY EXPORTING (CODE 1 AT S2) B2a - In the last financial year, approximately what percentage of your turnover was accounted for by overseas sales? RECORD PERCENTAGE AS NECESSARY Please include any fees received from overseas companies or overseas licensing deals IF S4=1: AS NECESSARY Please answer just for the UK part of your business Write in (%) (Don't know) (Refused) IF DON'T KNOW AT B2a B2b - If you had to estimate this percentage, into which of the following bands would you put your business? READ OUT \| Up to 5% \| \| 1 \| \|---------------\|-----\|------\| \| 6-10% \| 2 \| \| \| 11-15% \| 3 \| \| \| 16 - 25% \| 4 \| \| \| 26 - 50% \| 5 \| \| \| 51 - 75% \| 6 \| \| \| More than 75% \| 7 \| \| \| (Don't know) \| 8 \| \| \| (Refused) \| \| 9 \| IF ALREADY EXPORTING (CODE 1 AT S2) B6c - And in 3 years time, do you think that you will be doing business in more, less or the same number of countries as you are now? \| More countries than now \| 1 \| \|----------------------------\|------\| \| The same \| 2 \| \| Less countries than now \| \| \| (Don't know) \| 4 \| \| (Refused) \| \| ASK ALL B31 - I'm going to read out some possible benefits of selling into overseas markets, and I'd like you to tell me the extent to which you agree with each one. Please give me a score of 1 to 5 where 5 means that you 'agree strongly' and 1 means that you 'disagree strongly'. <IF S2=2-3 OR S1c=9 OR B2a=0-5 OR B2b=1: If you have not yet made any overseas sales, or done very little overseas business, then please answer based on whether you would expect to benefit in these ways.> So firstly…? ORDER OF STATEMENTS TO BE RANDOMISED. (a) Selling overseas enables you to achieve a level of growth otherwise not possible (b) Selling overseas allows you to more fully utilise your existing capacity (d) Selling overseas exposes you to new ideas (e) Selling overseas increases the commercial life span of your products or services (f) Selling overseas improves your firm's profile or credibility ON EACH OF THE B31 SCREENS SHOW (AT BOTTOM): To what extent do you agree with that? Please answer on a 1-5 scale where 1 means you disagree strongly and 5 means you agree strongly. \| 1 - Disagree strongly \| 1 \| \|--------------------------\|------\| \| 2 \| 2 \| \| 3 \| 3 \| \| 4 \| 4 \| \| 5 - Agree strongly \| 5 \| \| (Don't know) \| 6 \| IF ALREADY EXPORTING (CODE 1 AT S2) B25b - In the last year, has your business benefited from sustained economic growth or increasing demand in any overseas countries? SINGLE CODE. IF YES, PROBE: Does this relate to countries within the EU, outside the EU or both? \| Yes, in countries within the EU \| \| \|-------------------------------------\|-----\| \| Yes, in countries outside of the EU \| 2 \| \| Yes, both \| 3 \| \| No \| 4 \| \| (Don't know) \| 5 \| IF ALREADY EXPORTING (CODE 1 AT S2) B5a - In the last 2 years have you successfully started doing business in any NEW countries? CLARIFY AS NECESSARY: By that I mean have you started selling goods or services in a country that your business had not dealt with before? Yes ................................................................................... 1 No ..................................................................................... 2 (Don't know) ..................................................................... 3 IF ENTERED NEW COUNTRIES (CODE 1 AT B5a) B5b - Which new countries have you started doing business in over the last 2 years? PROBE AS NECESSARY Any others? CATI TO SHOW LIST OF MOST COMMON MARKETS, PLUS: Other (SPECIFY) .............................................................. (Don't know) ASK ALL B13 - I'm now going to read out a list of issues that you may have had to tackle when trying to develop the overseas side of your business. Thinking about all the overseas countries that you've < IF S2 = 1 dealt with/ IF S2 = 2 or 3 considered doing business with>…? ROTATE LIST BUT ALWAYS ASK B, K & C IN THAT ORDER & ALWAYS ASK G THEN H. ON EACH OF THE B13 SCREENS ADD ABOVE EACH STATEMENT AS NECESSARY Have you ever had any difficulties with...? ON EACH OF THE B13 SCREENS ADD AFTER EACH STATEMENT AS NECESSARY Please only answer about difficulties you have <IF S2=1 experienced when doing business overseas / IF S2=2-3 already experienced when trying to do business overseas>.' (a) Obtaining information about the potential business opportunities in an overseas market (b) Identifying who to make contact with in the first instance (k) Establishing an initial dialogue with prospective customers or business partners (c) Building relationships with key influencers or decision-makers (d) Dealing with legal or tax regulations or standards overseas (g) Language barriers (h) Cultural differences (j) Overseas customers preferring to do business with firms from their own country (rather than with UK firms) (p) Finding the necessary management time to devote to doing business in an overseas country (q) Protecting your intellectual property (r) Ensuring you get paid and enforcing contracts (s) Dealing with customs procedures or paperwork \| \| Yes \| 1 \| \|--------------\|--------\|------\| \| No \| \| 2 \| \| (Don't know) \| 3 \| \| \| \| \| \| ASK FOR EACH OF A-S THAT RESPONDENT AGREES IS A DIFFICULTY THEY HAVE ENCOUNTERED. ASK B14 DIRECTLY AFTER B13 FOR EACH ONE B14 - And to what extent do you feel that this has been a difficulty, on a scale of 1 to 5 where 1 means it has 'not been at all difficult' and 5 means it has been 'extremely difficult'. 1 - Not at all difficult ......................................................... 1 2 ...................................................................................... 2 3 ...................................................................................... 3 4 ...................................................................................... 4 5 - Extremely difficult ...................................................... 5 (Don't know) ..................................................................... 6 IF NO (CODE 2) AT B13g OR CODES 1-2 AT B14g - TO FOLLOW DIRECTLY AFTER B13/14g B20g - Is the reason that you haven't had <IF CODE 2 AT B13g OR CODE 1 AT B14g any / IF CODE 2 AT B14g many> difficulties with language barriers because…? READ OUT BOTH OPTIONS BEFORE TAKING AN ANSWER \| You've always been able to use English as a common language \| \| \|-------------------------------------------------------------------\|-----\| \| Or, because you or other staff have the necessary language skills \| 2 \| \| (Other) \| 95 \| \| (Don't know) \| 97 \| IF NO (CODE 2) AT B13h OR CODES 1-2 AT B14h - TO FOLLOW DIRECTLY AFTER B13/14h B20h - Is the reason that you haven't had <IF CODE 2 AT B13h OR CODE 1 AT B14h any / IF CODE 2 AT B14h many> difficulties with cultural differences because…? READ OUT BOTH OPTIONS BEFORE TAKING AN ANSWER \| \| You haven't come across any cultural differences \| 2 \| \|--------------------------------------------------------------\|-----------------------------------------------------\|------\| \| Or, because you or other staff are familiar with the culture \| \| 3 \| \| (Other) \| 95 \| \| \| (Don't know) \| 97 \| \| IF NO (CODE 2) AT B13k OR CODES 1-2 AT B14k - TO FOLLOW DIRECTLY AFTER B13/14k B20k - Is the reason that you haven't had <IF CODE 2 AT B13k OR CODE 1 AT B14k any / IF CODE 2 AT B14k many> difficulties establishing an initial dialogue because…? READ OUT ALL 3 OPTIONS CODES BEFORE TAKING AN ANSWER \| You already had contacts \| \| \|-----------------------------------------\|-----\| \| Or, they initiated the contact with you \| 2 \| \| (Other (SPECIFY)) \| 95 \| \| \| \| \| (Don't know) \| 97 \| ## Questions Deleted From Section B - B3a, B4, B7a, B7b, B7c, B7d, B7e, B7f, B9a, B9b, B10, B11, B11f, B12a, B12b, B12c, B12d, B13f, B13i, B13m, B13n, B13o, B15a, B15b, B16, B17a, B17b, B17c, B18a, B18b, B18c, B19a, B19b, B19c, B19d, B19e, B21, B22a, B22b, B23a, B23b, B24a, B24b, B24c, B24d, B25a, B26a, B26b, B26d, B27a, B27b, B27c, B28, B29, B30, B30a, C11 ## Section Y: Reasons For Not Seeking Support & Awareness IF HAVE NOT RECEIVED ANY SUPPORT (CODES 96 OR 97 AT X1) Y1 - Thinking about < IF AT LEAST ONE 'YES' AT B13 these IF ALL 'NO' AT B13 any > difficulties that you < IF ALL 'NO' AT B13 may > have had to tackle when < IF S2 = 1 developing/ IF S2 = 2 or 3 trying to develop>the overseas side of your business, do you think you would have benefited from some kind of external advice or support to help you overcome any of these difficulties? \| \| Yes \| 1 \| \|--------------\|--------\|------\| \| No \| \| 2 \| \| (Maybe) \| 3 \| \| \| (Don't know) \| 4 \| \| IF YES OR MAYBE AT Y1 (CODES 1 OR 3) Y2 - What types of advice or support would have helped? DO NOT READ OUT BUT PROMPT TO CLARIFY. CODE ALL THAT APPLY General info/advice on how to export / enter new markets ......... 1 Info/advice on export regulations/rules/taxes .............................. 2 Info about specific countries / market intelligence ....................... 3 Help with overseas marketing strategy ....................................... 4 Help with accessing business contacts ....................................... 5 Info/advice about securing payment/enforcing contracts ............ 6 Finance/grants/subsidies ............................................................. 7 Other (Specify) ............................................................................ 95 (Don't know) ................................................................................ 97 IF YES OR MAYBE AT Y1 (CODES 1 OR 3) Y3 - Are you aware of anywhere or anyone who could provide this type of advice or support? ADD AS NECESSARY: Please include all sources of export support that you are aware of even if you wouldn't personally use them. \| \| Yes \| 1 \| \|--------------\|--------\|------\| \| No \| \| 2 \| \| (Don't know) \| 3 \| \| IF YES AT Y3 Y4 - Who could provide this? CODE ALL THAT APPLY - DO NOT PROMPT ADD AS NECESSARY: Anyone else? \| \| A bank \| 1 \| \|------------------------------------------------------\|-----------\|------\| \| A consultant \| \| 2 \| \| Friends, colleagues or other business associates \| \| 3 \| \| A Trade Association \| 4 \| \| \| The Chamber of Commerce \| \| 5 \| \| UK Trade & Investment (UKTI) \| 7 \| \| \| Department for Business, Innovation and Skills (BIS) \| \| 8 \| \| Business Link \| 9 \| \| \| HM Revenue and Customs \| 11 \| \| \| A Market Research Company \| 12 \| \| \| Anyone else? (SPECIFY) \| \| 95 \| \| (No-one that I am aware of) \| 96 \| \| \| (Don't know) \| 97 \| \| IF NO AT Y1 Y7 - Could you tell me why you think you would not have benefitted from any external advice or support? DO NOT READ OUT BUT PROMPT TO CLARIFY. CODE ALL THAT APPLY Already have experience / expertise within the company 1 Have our own/existing contacts ........................................ 2 Customers contact us / we respond to orders/enquiries .. 3 Have a niche market/product ........................................... 4 No one could provide relevant help/information ............... 5 Manage fine as we are / do it ourselves ........................... 6 Easy /straightforward / don't need help / no problems ..... 7 Other (Specify) ................................................................. 95 (Don't know) ..................................................................... 97 ASK ALL S8a - <IF X1=1-95 And moving on, > Before today had you heard of UK Trade & Investment or UKTI? \| \| Yes \| 1 \| \|--------------\|--------\|------\| \| No \| \| 2 \| \| (Don't know) \| 3 \| \| ASK IF HEARD OF UKTI (CODE 1 AT S8a) S8b - And were you aware that they provide assistance to help UK firms do business overseas? \| \| Yes \| 1 \| \|--------------\|--------\|------\| \| No \| \| 2 \| \| (Don't know) \| 3 \| \| ASK ALL S8c - Have you recently seen an advertisement with the message "Can you export? Make it a yes"? AS NECESSARY: This could have been in a national newspaper, trade press or online. AS NECESSARY: By recently I mean in the last month or two. \| \| Yes \| 1 \| \|--------------\|--------\|------\| \| No \| \| 2 \| \| (Don't know) \| 3 \| \| ASK ALL S9 - I'm now going to read out details of some services that are designed to help UK firms do business overseas. For each one, I'd like you to tell me whether you're aware of it, and whether you would be interested in using this type of service. Please note that this is just to measure interest in these services and your details will not be passed on to UKTI. If you would like to find out more about any of these services we can arrange to send you details at the end of the interview. So firstly… READ OUT DESCRIPTION FOLLOWED BY QUESTIONS FOR EACH OF S9a, S9c & S9d. RANDOMISE ORDER OF S9a, S9c & S9d OMIS The Overseas Market Introduction Service, or OMIS, is a charged service delivered by UK embassies and consulates overseas. It can include a report about an overseas market, or help identifying and contacting possible customers or business partners. S9a1 - Have you heard of this service before? \| \| Yes \| 1 \| \|--------------\|--------\|------\| \| No \| \| 2 \| \| (Don't know) \| 3 \| \| S9a2 - And would you be interested in using this service? \| \| Yes \| 1 \| \|--------------\|--------\|------\| \| No \| \| 2 \| \| (Maybe) \| 3 \| \| \| (Don't know) \| 6 \| \| ## Itas UK Trade & Investment employ a number of International Trade Advisors, who are based in the UK and provide one-to-one advice to help firms develop their overseas business. They can also provide referrals to other support or specialist advice. S9c1 - Have you heard of this service before? \| \| Yes \| 1 \| \|--------------\|--------\|------\| \| No \| \| 2 \| \| (Don't know) \| 3 \| \| S9c2 - And would you be interested in using this service? \| \| Yes \| 1 \| \|--------------\|--------\|------\| \| No \| \| 2 \| \| (Maybe) \| 3 \| \| \| (Don't know) \| 6 \| \| ## Meet The Buyer Event UK Trade & Investment put on events in the UK that enable attendees to have one-to-one meetings with relevant high-profile overseas businesses, and also offer wider networking opportunities. These events are facilitated by experts with knowledge of both the overseas market and the industry. S9d1 - Have you heard of this type of event before? \| \| Yes \| 1 \| \|---------------------------------------------------------------------\|--------\|------\| \| No \| \| 2 \| \| (Don't know) \| 3 \| \| \| \| \| \| \| S9d2 - And would you be interested in attending this type of event? \| \| \| \| \| \| \| \| Yes \| 1 \| \| \| No \| \| 2 \| \| (Maybe) \| 3 \| \| \| (Don't know) \| 6 \| \| ASK ALL Y8 - Thinking about your overseas business and plans, which country would it be most useful to get some form of external support about? AIM FOR SINGLE CODE BUT MULTICODE ALLOWED INTERVIEWER NOTE: IF RESPONDENT ISN'T SURE OR ISN'T INTERESTED IN SUPPORT THEN DO NOT PUSH - IT'S FINE TO USE THE 'DON'T KNOW' OR 'NONE' OPTIONS CATI TO SHOW LIST OF MOST COMMON MARKETS, PLUS: Other (SPECIFY) .............................................................. (None/not interested in external support) (Don't know) Questions deleted from Section Y - Y5, Y6 ## Section C: Impact & Outcomes IF RECEIVED ANY SUPPORT (CODES 1-95 AT X1) EXCEPT DO NOT ASK IF ONLY MENTIONED 'CERTIFICATE OF ORIGIN' (CODE 11 AT X2a) OR IF RECIEVED LESS THAN 1 HOUR OF SUPPORT (CODE 2 AT X2d) C7 - I'd now like to focus again on the assistance or support you have received from <SUPPORT PROVIDER> in the last 2 years in relation to doing business overseas. I'm going to read out a list of ways in which your business may benefit from this support and I would like you to tell me whether this is a benefit that you have experienced or expect to experience as a direct result. So, firstly… STATEMENTS TO BE RANDOMISED WITHIN GROUPS. ALWAYS ASK GROUP 1 FIRST, RANDOMISE ORDER OF GROUPS 2-3. GROUP 1 - BARRIERS TO MARKET ACCESS OVERCOME (a) Have you, or will you, gain access to prospective customers, business partners or other people that you would otherwise have been unable to meet (as a result of the assistance from <SUPPORT PROVIDER>) (c) Have you, or will you, improve your company's profile or credibility (as a result of the assistance from <SUPPORT PROVIDER>) (e) Have you, or will you, gain access to information that you would otherwise have been unable to come by (as a result of the assistance from <SUPPORT PROVIDER>) GROUP 2 - INCREASED SKILLS (h) Have you, or will you, gain the confidence to either explore a new market or expand in an existing market (as a result of the assistance from <SUPPORT PROVIDER>) (i) Have you, or will you, improve your knowledge of the competitive environment in an overseas market (as a result of the assistance from <SUPPORT PROVIDER>) GROUP 3 - CHANGED BEHAVIOUR (& MISCELLANEOUS) (l) Have you, or will you, introduce new products or services or improve any of your existing ones (as a result of the assistance from <SUPPORT PROVIDER>) AS NECESSARY By 'products and services' I mean everything that your business offers (t) Have you, or will you, make improvements to your new product or service development strategy (as a result of the assistance from <SUPPORT PROVIDER>) (n) Have you, or will you, improve the way you do business in overseas markets (as a result of the assistance from <SUPPORT PROVIDER>) (o) Have you, or will you, improve your overseas marketing strategy (as a result of the assistance from <SUPPORT PROVIDER>) \| Yes \| 1 \| \|--------------\|------\| \| No \| 2 \| \| (Don't know) \| 3 \| FOR EACH THAT RESPONDENT AGREES IS A BENEFIT (ASK C8 DIRECTLY AFTER C7) C8 - And to what extent do you feel that this has been, or will be, a benefit of the assistance you received? Please give me a score of 1 to 5, where 1 means 'to no extent' and 5 means 'to a critical extent'. READ OUT AS NECESSARY \| 1 - To no extent \| 1 \| \|-------------------------\|------\| \| 2 \| 2 \| \| 3 \| 3 \| \| 4 \| 4 \| \| 5 -To a critical extent \| 5 \| \| (Don't know) \| 6 \| ASK IF RECEIVED ANY SUPPORT (CODES 1-95 AT X1) BUT DO NOT ASK IF ONLY MENTIONED 'CERTIFICATE OF ORIGIN' (CODE 11 AT X2a) OR IF RECIEVED LESS THAN 1 HOUR OF SUPPORT (CODE 2 AT X2d) OR IF NO (CODE 2) AT EVERY C7 STATEMENT C12 - And as a result of the assistance you have received from <SUPPORT PROVIDER>have you, or do you expect to, increase your sales or win any new orders? Yes ................................................................................... 1 No ................................................................................... 2 (Don't know) ..................................................................... 3 ASK IF ONLY MENTIONED CERTIFICATE OF ORIGIN (CODE 11 AT X2a) OR LESS THAN 1 HOUR (CODE 2 AT X2d) C10 - Thinking now specifically about the support you have received from <SUPPORT PROVIDER> in relation to doing business overseas. Do you think that this support will have any positive impact on the performance of your firm? Yes ................................................................................... 1 No ..................................................................................... 2 (Don't know) ..................................................................... 3 IF RECEIVED ANY SUPPORT (CODES 1-95 AT X1) BUT DO NOT ASK IF NO (CODE 2) AT EVERY C7 STATEMENT C9 - Thinking about all of the benefits you've just mentioned, which of the following best describes your view on the contribution the support you have received from <SUPPORT PROVIDER> has made to your firm, or is expected to make to your firm? READ OUT - SINGLE CODE \| You would achieve similar results anyway \| 1 \| \|-------------------------------------------------------\|------\| \| You would achieve similar results, but not as quickly \| 2 \| \| You would achieve some but not all of the results \| 3 \| \| You probably would not achieve similar results \| 4 \| \| You definitely would not achieve similar results \| 5 \| \| (None of these) \| \| ## Questions Deleted From Section C - C1, C2, C3, C7f, C7k, C7m, C7q, C7r, C7s, C10a, C10b, C10c ## Section F: Profiling Ask All Finally, I'D Just Like To Ask You Some Questions About Your Business - These Are Just To Classify Your Answers For Analysis Purposes. ASK ALL EXCEPT 'NOT YET TRADING' (CODE 9 AT S1c) F1a- Which of these best describes the current status of your business? READ OUT - MULTICODE \| An independent business with no subsidiaries \| \| 1 \| \|-------------------------------------------------\|-----\|------\| \| A business with subsidiaries \| 2 \| \| \| A subsidiary of another business \| 3 \| \| \| (A not for profit organisation) \| \| 4 \| \| (Other (SPECIFY)) \| 95 \| \| \| (Don't know) \| 97 \| \| \| (Refused) \| \| 98 \| IF CODES 1-3 AT F1a F1b - Can I just check, is the business UK or foreign-owned? \| UK-owned \| \| 1 \| \|------------------------------\|-----\|------\| \| Foreign-owned \| 2 \| \| \| (Joint UK and foreign-owned) \| \| 3 \| \| (Don't know) \| 4 \| \| TEXT IF CODE 3 AT F1a From now on when I ask about your business I'd like you to answer just for the subsidiary in which you work. ASK ALL EXCEPT 'NOT YET TRADING' (CODE 9 AT S1c) F2a - How many people are currently employed by your business within the UK? AS NECESSARY: Please include both full and part-time staff. AS NECESSARY: Please only include UK-based staff INTERVIEWER NOTE - If the respondent owns the company and does not employ anyone else, please code as zero employees. Write in number (0+): (Refused) (Don't know) - PROMPT WITH RANGES SHOW IF ZERO ENTERED AT F2a INTERVIEWER NOTE - Please confirm that the firm has NO employees in the UK. If they are unsure or don't know please code accordingly rather than putting zero ASK IF DON'T KNOW AT F2a F2b - If you had to estimate, approximately how many people are employed by your business in the UK? READ OUT AS NECESSARY No employees .................................................................. 1 1-4 .................................................................................... 2 5-9 .................................................................................... 3 10-19 ................................................................................ 4 20-49 ................................................................................ 5 50-99 ................................................................................ 6 100-199 ............................................................................ 7 200-249 ............................................................................ 8 250-499 ............................................................................ 9 500 or more ...................................................................... 10 (Don't know) ..................................................................... 11 (Refused) .......................................................................... 12 IF F2a>250 OR IF F2b=9-10 F2c - So can I just confirm that you have <INSERT RESPONSE FROM F2a/b> employees based in the UK? Yes ................................................................................... 1 No ................................................................................... 2 IF NO, CATI TO ROUTE INTERVIEW BACK TO F2a & INTERVIEWER TO AMEND ASK ALL EXCEPT 'NOT YET TRADING' (CODE 9 AT S1c) F3a - <IF NOT ESTABLISHED IN LAST YEAR (S1c = NOT1 AND NOT9) Can I ask, what is the current annual turnover of your business / IF ESTABLISHED IN LAST YEAR (S1c =1 OR 9) What do you anticipate will be the turnover of your business in the first year of trading>? AS NECESSARY By this I mean your annual sales, income or receipts. IF SUBSIDIARY (CODE 3 AT F1a): AS NECESSARY Please just give me the turnover of the subsidiary in which you work IF HAS SUBSIDIARIES (CODE 2 AT F1a): AS NECESSARY Please give me the turnover for the UK part of your business, but including revenues from overseas sales made from the UK Write in amount in £ (£0+): (Refused) (Don't know) - PROMPT WITH RANGES CATI TO VALIDATE AMOUNT ENTERED USING RANGES IN F3b ASK IF YES AT F5a F5d - And are these new products or services…? READ OUT - SINGLE CODE ADD AS NECESSARY: By completely new I mean that, to the best of your knowledge, they have not been introduced by anyone before you \| \| Just new to your business \| 7 \| \|-----\|--------------------------------------------------------------------\|-------\| \| \| New to your industry or sector 8 \| \| \| \| Or are they completely new to the world \| 9 \| \| \| (Some are just new to the business and some are completely new) 10 \| \| \| \| (Don't know) 97 \| \| ASK ALL F5f –Have you either applied for or obtained any patents, trademarks or other legal protection, either in the UK or overseas, for any of your products or services? \| \| Yes \| 1 \| \|--------------\|--------\|------\| \| No \| \| 2 \| \| (Don't know) \| 3 \| \| IF RECEIVED ANY SUPPORT & INVOLVED IN NPD/R&D ((CODES 1-95 AT X1) & (CODE 1 AT C7i, C7l, C7t OR C12) & (F3c=2-6 OR F3d=2-6 OR F4=1)) BUT DO NOT ASK IF ONLY MENTIONED 'CERTIFICATE OF ORIGIN' (JUST CODE 11 AT X2a) OR IF LESS THAN 1 HOUR (CODE 2 AT X2d) OR IF NON-ADDITIONAL (CODE 1 AT C9) F24a –Thinking again about the assistance you have received from <SUPPORT PROVIDER> in relation to doing business overseas. As a result of this assistance, have you or will you increase the number of people engaged in, or the total time devoted to, R&D or new product or service development? \| \| Yes \| 1 \| \|--------------\|--------\|------\| \| No \| \| 2 \| \| (Don't know) \| 3 \| \| IF INCREASED R&D STAFF/TIME (CODE 1 AT F24a) F24b - And as a result of the assistance from <SUPPORT PROVIDER>, have you or will you increase the amount you spend on R&D or new product or service development? AS NECESSARY Please include expenditure on salaries, wages and staff time as well as equipment, and any expenditure on 'bought-in' product development services. Yes ................................................................................... 1 \| No \| \| \|--------------\|-----\| \| (Don't know) \| 3 \| ASK IF BUSINESS OVER 1 YEAR OLD AT S1c (2-8 OR 10-11) F8 - <IF BUSINESS MORE THAN 5 YEARS OLD (CODES 6-8 OR 10-11 AT S1c) Thinking about your business as a whole, in the last FIVE years would you say that your business has…? / IF BUSINESS 1-5 YEARS OLD (CODES 2-5 AT S1c) Thinking about your business as a whole, since your business was established would you say that it has…?> READ OUT INTERVIEWER TO ADD AS NECESSARY This is just your overall impression of the growth of the business taking account of factors like size, number of employees, turnover and sales. \| Remained the same size \| \| 1 \| \|---------------------------\|-----\|------\| \| Become smaller \| \| 2 \| \| Grown moderately \| 3 \| \| \| Or, grown substantially \| \| 4 \| \| (Don't know) \| 5 \| \| \| (Refused) \| \| 6 \| ASK ALL F9 - And, what growth objectives do you have for the business over the next FIVE years? Do you plan to…? READ OUT \| Remain the same size \| \| 1 \| \|-------------------------\|-----\|------\| \| Become smaller \| \| 2 \| \| Grow moderately \| 3 \| \| \| Or, grow substantially \| \| 4 \| \| (Don't know) \| 5 \| \| \| (Refused) \| \| 6 \| ASK ALL F11 - Can I just check, do you have a current, written business plan? \| Yes \| 1 \| \|-----------------------------------------------\|------\| \| No \| 2 \| \| (In progress/currently writing business plan) \| \| \| (Don't know) \| 6 \| \| (Refused) \| \| IF HAVE PLAN OR IN PROGRESS (CODES 1 OR 5 AT F11) F12 - <IF F11=1 Does / IF F11=5 Will> the plan contain any targets relating to revenues from overseas sales? \| Yes \| 1 \| \|--------------\|------\| \| No \| 2 \| \| (Don't know) \| 3 \| \| (Refused) \| \| ASK ALL CURRENTLY EXPORTING (CODE 1 AT S2) F21a - Can I just check, does your firm use export credit insurance? SINGLE CODE INTERVIEWER NOTE: IF RESPONDENT DOES NOT KNOW WHAT EXPORT CREDIT INSURANCE IS THEN CODE AS 'NO' \| \| Yes \| 1 \| \|--------------\|--------\|------\| \| No \| \| 2 \| \| (Don't know) \| 3 \| \| IF USE EXPORT CREDIT INSURANCE (CODE 1) AT F21a F21b - And over the last 6 months, have you had any difficulties in accessing export credit insurance? SINGLE CODE INTERVIEWER NOTE: IF THE RESPONDENT SAYS THEIR EXPORT CREDIT INSURANCE HAS BEEN REDUCED, THEN CODE AS 'YES' \| \| Yes \| 1 \| \|--------------\|--------\|------\| \| No \| \| 2 \| \| (Don't know) \| 3 \| \| \| (Refused) \| \| 4 \| ASK ALL EXCEPT 'NOT YET TRADING' (CODE 9 AT S1c) F14 - How many owners, partners or directors are there in day-to-day control of the business? (at this site) PROBE FOR BEST ESTIMATE Enter number (Don't know) (Refused) IF ANY NUMBER GIVEN AT F14 (1+) F15 - < IF 2+ AT F14 How many of these owners, partners, or directors / IF 1 AT F14 Does this person > have degree level or equivalent qualifications? PROBE FOR BEST ESTIMATE INTERVIEWER NOTE: IF THERE IS JUST 1 PERSON ENTER 1 IF YES Enter number (ALLOW FOR ZERO) (Don't know) (Refused) ASK ALL F26 - Finally, does your firm belong to any of the following? READ OUT. CODE ALL THAT APPLY. \| The Chamber of Commerce \| \| 1 \| \|----------------------------------------------------\|-----\|------\| \| Any trade associations or sector bodies \| \| 2 \| \| Any other organisations representing business such \| \| \| \| as the CBI or the Federation of Small Businesses \| \| 3 \| \| None of these \| 4 \| \| \| (Don't know) \| 5 \| \| ASK ALL F17 - That's the end of the interview, thank you very much for taking part. Would you be willing to take part in any future research on this topic conducted on behalf of UK Trade & Investment or the Department for Business, Innovation & Skills (BIS)? Yes ................................................................................... 1 \| No \| \| \|--------------\|-----\| \| (Don't know) \| 3 \| IF CODE 1 AT S9A2 OR S9C2 OR S9D2 F20 - You mentioned earlier that you may be interested in some of the services offered by UKTI. Would you like to be emailed some more information on these services? IF YES, RECORD EMAIL ACCURATELY & READ IT BACK LETTER BY LETTER TO CONFIRM. \| \| Yes (RECORD EMAIL ADDRESS) \| 1 \| \|----\|-------------------------------\|------\| \| No \| \| 2 \| IF CODE 1 AT F20, THEN CATI TO AUTOMATICALLY SEND OUT EMAIL WITH INFO ON UKTI SERVICES AT THIS POINT ASK ALL F18 - Finally as proof of this interview please could I just confirm your business postcode? CATI TO DISPLAY POSTCODE IF AVAILABLE - AMEND IF MISSING OR INCORRECT ASK ALL F19 - And may I take a note of your name? WRITE IN…………………………………………… ## Standard Thank & Close Questions deleted from Section F - F1c, F1d, F5b, F5c, F5e, F5g, F5h, F5i, F10a, F10b, F10c, F13, F16, F20a, F20b, F20c, F20d, F22a, F22b, F23a, F23b, F23c, F25a, F25b, F25c	en
4186-pdf	## The Networks For Change Fund Frequently Asked Questions About Collaborate And Innovate What Is The Collaborate And Innovate Fund? The Collaborate and Innovate funding programme is funded by The National Archives. The programme is focused on both empowering archives to use creativity and innovation to develop ideas and solutions, and on encouraging the work of networks, leading to outcomes that will make a positive change to archives in the UK. Collaborate and Innovate supports a drive towards collaborative approaches to problem solving, innovative practice and the development and testing of original ideas. This will be delivered through two funding streams: the Networks for Change Fund and the Archive Testbed Fund. ## What Are The Aims And Outcomes Of Collaborate And Innovate? Aims 1. To empower archives to use creativity and innovation to develop ideas and solutions, especially for the key themes of digital capacity, impact and resilience 2. To enable grantees to undertake pilot projects which might not 'succeed' in the traditional fashion and to share the learning outcomes of all projects funded 3. To increase resilience, efficiencies and collaboration through the development of strong archive service networks 4. To help archives build fundraising skills and confidence through the application process. 5. To manage the fund in an objective and transparent manner. ## Outcomes 1. Innovative, creative approaches will be piloted and tested. 2. The learning outcomes of pilot projects will be made freely accessible to the entire archive sector. 3. New networks will be created where they are most needed and beneficial to the sector. 4. Existing networks will be strengthened, developing robust and sustainable bodies capable of delivering shared interest projects. ## 5. Archivists and sector professionals will have the confidence to advocate for innovative projects and secure new funding to further support such projects. ## How Much Funding Is Available Via The Innovate & Collaborate Programme? In year one £80,000 is available, which will be split between the two funds: £60,000 is available via the Networks for Change Fund £20,000 is available via the Archive Testbed fund Since both of the streams are rolling programmes, this funding will be allocated throughout the year evenly: Networks for Change will fund 4 grants at a maximum value of £15,000 each Archive Testbed Fund will fund 4 grants at a maximum value of £5,000 ## Who Is Administering The Fund? The Collaborate and Innovate funding programme will be administered by Beth Astridge and Lucy Davis, both of whom currently administer the Archives Revealed funding programme. Our contact email address is: candi@nationalarchives.gov.uk. ## How Is Collaborate And Innovate Different From Archives Revealed? The Archives Revealed programme is a partnership programme with the Pilgrim Trust with funding contributed from other trusts and foundations, including the Wolfson Foundation. Archives Revealed consists of two funding schemes focused on opening up collections and making them more accessible - Cataloguing Grants and Scoping Grants. The Collaborate and Innovate programme is currently funded exclusively by The National Archives. The focus of Collaborate and Innovate is in encouraging a collaborative, sustainable and innovative archive sector that can utilise existing sector skills to embrace challenges, and work together to achieve positive change by developing creative and innovative ideas and solutions. There is a key difference in geographical coverage between these funds as Archives Revealed covers archives across the UK, whereas Collaborate and Innovate can only fund archives based in England, reflecting The National Archives' remit. ## Can I Apply To Archives Revealed Programmes Or The Archives Testbed Fund If I Have Received Funding From Networks For Change? (Or Vice Versa) Yes - you can apply to the Archives Revealed programme if you have made a successful or unsuccessful application to the Collaborate and Innovate programme. If you are part of a network that has made an application to the Networks for Change Fund, and your archive service also wishes to make an application to the Archive Testbed Fund, this is also permissible. If you are in receipt of an Archive Testbed Grant and your organisation is part of network that would like to apply to Networks for Change Fund, which is fine too. ## Can I Apply To The Collaborate And Innovate Funds Again If My First Application Is Not Successful? Yes - you can apply to the Collaborate and Innovate fund again if you are unsuccessful the first time. You must have a feedback call with the Sector Grants and Development team if you wish to do so. If your application is not successful on the second attempt, we do not advise that you apply to the scheme again for the same project. ## Can I Get Feedback On My Innovate And Collaborate Application? Yes - we will provide every applicant, whether successful or unsuccessful to the fund, with application feedback. Feedback will usually be delivered during a prearranged telephone call. ## About Networks For Change What Is The Networks For Change Fund? The Networks for Change scheme is one of two streams within The National Archives' Collaborate and Innovate funding programme. The Networks for Change scheme provides grants of up to £15,000 to encourage the development of collaborative networks of archive services as part of a strategic approach to support the ongoing delivery of services, resilience and management of collections. The National Archives wishes to encourage collaboration amongst archive services by providing funding that leads to strong archive service networks. These networks will deliver beneficial solutions, models and approaches, which contribute to an efficient, resilient and capable archive sector. ## How Much Money Is Available For Applicants? Applicants can apply for grants of up to £15,000. The programme has a modest total fund each year and will be able to fund 4 to 6 different projects. ## What Is Funded By The Networks For Change Scheme? The Networks for Change scheme provides grants to support collaboration in active networks of archive services. The scheme has been designed to provide support at various stages in the development and operation of a network. This includes assisting with the establishment of the network in its early stages through to supporting development projects undertaken by robust and stable networks. ## Who Can Apply Am I Eligible To Apply To Networks For Change? Applications to the Networks for Change Fund can come from all parts of the archive sector including local authority, university, charity, and business archives, as long as the following eligibility criteria can be met:  Network members must hold and manage an archive collection  Network members must make their collections accessible to people outside their organisation  Network members must have access to professional archive expertise  The majority of participating organisations must have the potential to be an accredited archive service, if they are not already  New networks must provide evidence that participating archives have the support of senior management in their parent organisations ##  The application must include provision for 50% match funding from other sources in cash or in-kind support (which can be spread over two years)  Nominated member with ability to receive and manage the grant and match funds, and to meet auditing and reporting requirements  Nominated member with ability to procure and contract expert facilitators and consultants  Nominated member to provide administrative duties for the network, for example including preparation of meeting papers and organisation of meetings.  This fund can only make awards to organisations based in England. Archive services in Wales, Scotland and Northern Ireland are not currently eligible for the Collaborate and Innovate programme ## I Am A Not-For-Profit Organisation But I Am Not A Registered Charity - Can I Still Apply To Networks For Change? We advise applicants who are a not-for-profit but are not a registered charity to talk to us in advance of their application to discuss the eligibility of their organisational governance and operating structure. Please contact us on: candi@nationalarchives.gov.uk. ## I Would Like To Start A New Network Of Archive Services, But I Have Not Yet Found Any Participants For My Network. Can You Help With This? We expect that applicants will already have developed relationships with potential members of a new network before making an application for a grant. Potential network members must also demonstrate commitment to participation in the network for the application to be successful. If you have a good idea for a new network, but do not have the agreement of archive services to participate in the network, please contact the Regions and Networks Team to discuss this further. However, please be aware that you will need to have established the participants in the network before an application can be made. ## What Is A Collaborative Network Of Archive Services? A collaborative network of archive services consists of multiple archive services who share a common vision, goals and purpose, using pooled resources, knowledge and expertise to effect positive change and improvement to collective leadership, service delivery, and collections management. Active participation in archive networks can have a positive impact on network members in the following ways: ## A successful collaborative network encourages the sharing of information, advocacy, learning experiences, expertise, equipment and approaches to common problems, leading to projects and initiatives designed to benefit all in the network rather than a single archive service. The benefits of participating in the network can include more efficient use of resources, raising standards, increased strength and resilience and the development of innovative ideas. Network collaboration can increase the impact of archive service activities and lead to the delivery of effective products and services that demonstrate clear outcomes and increased value for money. While there is no standard structure for a collaborative archive network, we expect that a network will have the following key features:  Consist of multiple archive services - usually more than two  Members of the network share a common vision, goals and purpose - we expect that, when a network is asking for funding to become established, the first activities will centre on working with members, senior managers and stakeholders to define the strategic objectives that will be achieved by the network.  Have a defined management and governance structure - networks can be structured in different ways depending on what works best for that individual network.  Work together to develop business plans and actions plans that enable the network to initiate mutually beneficial projects that lead to positive change for the network and the individual archive service members. ## I Am Part Of A Network Of Archives, And I Have An Idea For A Great Project, But This Project Will Only Affect Me And My Archives Service. Can I Apply For A Development Project Through Networks For Change? No. Development projects that are eligible as part of the Networks for Change scheme should be collaborative projects across a network of archive services - involving a number of archive services. If your project will only involve you or your individual archive service then this will not be eligible for Networks for Change funding. You may wish to look at the Archives Testbed Fund as an alternative funding scheme if your project meets the criteria. ## The Application Process When Will The Scheme Be Open To Applications? The Networks for Change scheme is an open scheme with a rolling deadline. This means applications can be submitted at any time. ## Is There A Deadline For Applications? No, the scheme is always open and therefore applications can be submitted at any time. The panel meet to assess applications 3 times per year and therefore there will be three cut off dates when applications will be sent to the panel for assessment. These dates are advertised on our website. ## How Do I Make An Application? All applications need to be made online. The link to our online application software can be found on the Collaborate and Innovate webpages. ## There Are Various Members Of The Network - Which Member Should Make The Application? A nominated member of the network should make the application on behalf of the network using our online application system. You may want to select a nominated member with the ability to:  receive and manage the grant and match funds, and to meet auditing and reporting requirements  procure and contract expert facilitators and consultants  provide administrative duties for the network, for example including preparation of meeting papers and organisation of meetings. ## Where Can I Find Out More Information About Making An Application? Full guidance on how to make an application is available on our website. Please read the guidance fully before making an application. The assessment criteria which the panel work to is based on the guidance, therefore we strongly advise that you refer to the guidance when writing your application. ## I Am Not Sure That The Project I Have In Mind Will Be Appropriate For A Networks For Change Application? How Can I Find Out More? You can read through the application guidance which is available at www.nationalarchives.gov.uk/finding-funding/collaborate-and-innovate/help-withyour-application. You can also give us a call to talk through your project and find out whether it is suitable for a Networks for Change application. Please contact us at candi@nationalarchives.gov.uk. You can also contact the relevant Sector Development Manager for your region to discuss a project idea before submitting your application to Networks for Change. ## My Network Has An Idea For A New Project But It Will Cost More Than The Upper Limit For Applications? What Should We Do? Networks for Change is happy to provide funding as part of a larger project when this is appropriate for the archive network and the project you are proposing. Networks are expected to provide 50% match funding from other sources or from in-kind support. You would need to provide evidence of the other sources of funding received as part of your application. However, we are unable to pledge funding to a project that has no confirmed funding from elsewhere. Please give us a call to discuss your project and application if you think you need funding from elsewhere. ## My Network Needs Some Assistance With Improving Our Management Structure, But We Are Not Sure How To Approach This In Relation To An Application? How Do We Do This? If you require assistance or advice in how to develop the management structure of your network, please contact the Regions and Network Team. The Sector Development Managers in this team can provide early leadership and strategic development support in establishing a new project or network and will be able to provide advice to applicants. ## Can I Speak To Anyone About My Application? We would be happy to talk to you about your project and your application. Please contact us at candi@nationalarchives.gov.uk. ## Assessment How Will Applications Be Assessed? Applications will be assessed by an internal panel of staff from across The National Archives. Questions will be scored according to set criteria, and these scores will be used as guidelines in panel discussions. ## Who Will Be On The Assessment Panel? The assessment panel consists of four panel members from different departments across The National Archives. In addition a guest panel member will be invited to assess each round, based on the type and subject matter of the applications received. This approach will ensure we have sufficient expertise to enable appropriate and successful assessment in each round, especially if a specialist topic is involved. As we develop a better idea of the type and range of applications that we receive, we widen our assessment panel to include external representation. ## When Will I Hear About The Outcome Of My Application? The panel meets three times a year to consider applications, and there will be a cutoff date in each round when applications will be sent to the panel for assessment. These dates will be advertised on our website: www.nationalarchives.gov.uk/findingfunding/collaborate-and-innovate/networks-for-change-fund/deadlines-and-key-dates It will usually be around 6 weeks after each cut-off date before awards are announced. ## Monitoring And Evaluation What Sort Of Monitoring And Evaluation Will Networks For Change Undertake With Successful Projects? Successful applicants will be asked to complete short reporting and monitoring forms demonstrating the outcomes and learning experiences gained from undertaking the funded project. You will be encouraged to share your learning outcomes and experiences with the rest of the archive sector. The National Archives may organise events and activities to promote the programme and celebrate its impact, and you may be invited to participate in those events and activities. The National Archives may also publish information about projects undertaken with Networks for Change funding to share the learning outcomes with the rest of the archive sector.	en
1191-pdf	Information guide: adolescent to parent violence and abuse (APVA) ## Contents Page Introduction 3 What is APVA? 4 Prevalence 5 Reporting/Disclosing APVA 5 Explanations of APVA 6 Challenges of APVA Responding to cases 7 General advice for practitioners How to respond: Healthcare 10 14 How to respond: Education 15 How to respond: Social Care 18 How to respond: Housing 22 How to respond: Police 24 How to respond: Youth Justice Services 27 Useful resources 29 Acknowledgements 34 ## 1. Information Guide: Adolescent To Parent Violence And Abuse (Apva) What Is Adolescent To Parent Violence And Abuse? 1.1. Adolescent to parent violence and abuse (APVA) may be referred to as 'adolescent to parent violence (APV)' 'adolescent violence in the home (AVITH)', 'parent abuse', 'child to parent abuse', 'child to parent violence (CPV)', or 'battered parent syndrome'. 1.2. The cross-Government definition of domestic violence and abuse is any incident or pattern of incidents of controlling, coercive or threatening behaviour, violence or abuse between those aged 16 or over who are or have been intimate partners or family members regardless of gender or sexuality. This can encompass, but is not limited to psychological, physical, sexual, financial and emotional abuse. While this definition applies to those aged 16 or above, APVA can equally involve children under 16, and the advice in this document reflects this. 1.3. There is currently no legal definition of adolescent to parent violence and abuse. However, it is increasingly recognised as a form of domestic violence and abuse1 and, depending on the age of the child, it may fall under the government's official definition of domestic violence and abuse2. 1.4. It is important to recognise that APVA is likely to involve a pattern of behaviour. This can include physical violence from an adolescent towards a parent and a number of different types of abusive behaviours, including damage to property, emotional abuse, and economic/financial abuse. Violence and abuse can occur together or separately. Abusive behaviours can encompass, but are not limited to, humiliating language and threats, belittling a parent, damage to property and stealing from a parent and heightened sexualised behaviours. Patterns of coercive control are often seen in cases of APVA, but some families might experience episodes of explosive physical violence from their adolescent with fewer controlling, abusive behaviours3. Although practitioners may be required to respond to a single incident of APVA, it is important to gain an understanding of the pattern of behaviour behind an incident and the history of the relationship between the young person and the parent. 1.5. It is also important to understand the pattern of behaviour in the family unit; siblings may also be abused or be abusive. There may also be a history of domestic abuse, or current domestic abuse occurring between the parents of the young person. It is important to recognise the effects APVA may have on both the parent and the young person and to establish trust and support for both. 1.6. The first large scale study of adolescent to parent violence and abuse in the UK was conducted by the University of Oxford (see http://apv.crim.ox.ac.uk/) between 2010 and 20134. Practitioners and parents interviewed in this study described the abuse as often involving a pattern of aggressive, abusive and violent acts across a prolonged period of time. As well as physically assaulting their parents, those interviewed said their teenage children had smashed up property, kicked holes in doors, broken windows, had thrown things at their parents and made threats. Verbal abuse and other controlling behaviours were also commonly present. This pattern of behaviour creates an environment where a parent lives in fear of their child and often curtails their own behaviour in order to avoid conflict, contain or minimise violence. This study found that there was no single explanation for this problem. Families described a range of reasons which they saw to be the cause for APVA, including substance abuse, mental health problems, learning difficulties, or a family history of domestic violence or self-harm. Some families were at a loss to explain why their child was so aggressive towards them, having raised other children who did not display such behaviour5. ## Prevalence Of Apva 1.7. APVA is widely recognised by practitioners who work with families across a range of support services. However, it is only very recently that policy has begun to be developed to specifically address the problem. As a result, it is not usually officially documented and therefore does not currently appear in any public records or figures. Evidence of the extent of the problem is therefore piecemeal and developing incrementally. 1.8. The national charity Family Lives runs a helpline for parents, which receives substantial numbers of phone calls from parents experiencing violence from their children. In 2008 a survey revealed that 7 per cent of 30,000 calls to the helpline were about physical aggression from children to their parents6, mostly from adolescents aged 13-15 years and usually targeted at mothers. In 2010 it was reported that between June 2008 and June 2010, the helpline received 22,537 phone calls from parents reporting aggression from their children, 7,000 of which involved physical aggression7. 1.9. APVA is not specifically flagged on police or health and social care databases and so it is difficult to count the number of reported cases on a national level. A recent analysis of Metropolitan Police Service statistics on adolescent to parent violence provides an insight into the demographic characteristics of families experiencing adolescent to parent violence and abuse as well as the type of incidents reported to the police across London for a one year period8. 1.10. The analysis involved all cases of APVA reported to the Metropolitan Police Service over a one year period from April 2009 to March 2010. In this analysis, adolescent to parent violence was defined as 'any acts of violence, threats of violence and criminal damage in the home by an adolescent aged 13-19 years towards a parent or carer'. The study only counted incidents reported to the police in the Greater London area, defined as offences, and recorded. The figures are therefore likely to represent only a very small proportion of actual incidents of APVA in that year. In the absence of more in-depth UK research into APVA, it is not possible to gauge the extent of under-reporting; however, extensive research into other forms of family violence such as intimate partner violence and child abuse tells us that the 'dark figure' of hidden crime is particularly large for violence and abuse occurring in the domestic setting9. Police data are also known to be influenced by variations in recording practices10. Despite these caveats, this is the first systematic evidence of the problem of APVA in the UK and the first analysis of large-scale official data. 1.11. In a one year period, the study found 1,892 incidents of violence, threats of violence, or criminal damage in the home, perpetrated by a 13-19 year old towards their parent(s)/carer(s). Adolescents reported to the police for violence against their parents were overwhelmingly male (87.3 per cent) and parent victims reporting the violence were overwhelmingly female (77.5 per cent). The majority of reported cases of adolescent to parent violence involved a son-mother relationship (66.7 per cent). Son-father accounted for 20.6 per cent; daughter-mother 10.8 per cent; and daughter-father just 1.9 per cent of reported cases. This tallies with previous international research suggesting that adolescent to parent violence is predominantly a son-mother phenomenon, although it is important to recognise the possible reporting bias relating to gender and social norms. ## Reporting/Disclosing Apva 1.12. It is important to recognise that incidents of APVA reported to the police are likely to represent only a small percentage of actual incidents and actual levels are likely to be much higher. All forms of domestic violence and abuse are under-reported11 and parents are, understandably, particularly reluctant to disclose or report violence from their child12. Parents report feelings of isolation, guilt and shame surrounding their child's violence towards them, and fear that their parenting skills may be questioned and that they will be blamed or disbelieved by those to whom they disclose the violence. Many parents worry that their victimisation will not be taken seriously or, if they are taken seriously, that they will be held to account and that their child may be taken away from them and/or criminalised. 1.13. Parents who do decide to disclose their victimisation to support services or to the police find that appropriate help and support is not always available. Parents report mixed responses from the police, which often confirm their fears of being blamed, held to account or disbelieved. Examples show that when police do respond proactively, parents then face a difficult scenario whereby their child may be criminalised as a result of the parent's report and the child may be removed from the family home. This is often not what the parent wishes13. There are however situations where a criminal justice response may be appropriate in the interests of safety, and the parent(s) may support the removal of their child or even ask for it. It is worth noting that appropriate housing is not always available. In instances when this occurs, it is important that agencies ensure that adequate safeguarding is in place and that the right safety plans are put in place. 1.14. Adolescents may also choose not to disclose due to guilt or fear of the social care and justice system. Young people may not understand the impact of their actions and be concerned about the consequences so they may not seek help, allowing the situation to escalate to crisis. ## Explanations Of Apva 1.15. There is no single explanation for APVA and the pathways appear to be complex. Some families experiencing APVA have a history of domestic violence and abuse. In other cases the violence is contextualised with other behavioural problems, substance abuse, mental health problems, learning difficulties, or self-harm. In some cases there are no apparent explanations for the violence and some parents find it difficult to understand why one child is aggressive towards them when their other children do not display such behaviour14. 1.16. APVA also appears to affect all levels of society. Although many parents reporting this form of violence to the police are not in full-time employment and some are struggling with financial and housing problems; others are in professional jobs earning high incomes15. It may be the case that adolescent to parent violence is more likely to be identified in families who are already in contact with support services or the criminal justice system; and/or that such families find it more acceptable to report the problem and ask for help. ## Challenges Posed By Apva 1.17. The problem of APVA poses a number of challenges to the families experiencing it and practitioners who come across it in their work with families. Parents do not know where to go for help and often find that there is simply no appropriate support available in their area. Practitioners across a range of support services may be willing to support families but do not know how to meet their needs and struggle to find information about existing programmes and examples of best practice16. 1.18. A fundamental challenge underpinning these difficulties is the silence surrounding APVA17. The sense of isolation, stigma and shame felt by families experiencing this kind of violence is exacerbated by the lack of official recognition and policy, and also the lack of awareness of APVA the public. 1.19. APVA is a complex problem and the boundaries between 'victim' and 'perpetrator' can be unclear. The violence is often (although not always) contextualised within existing family problems and many 'perpetrators' of violence towards their parents are, or have been victims or secondary victims of domestic violence and abuse or child abuse. It is often difficult to observe or assign labels of 'perpetrator' and 'victim' and there are numerous concerns about criminalising a young person for their behaviour, and the negative impact that this may have on their future life chances. Professionals working with children and young people and parents should seek to identify risk factors early and work together with the family to provide early support to avoid crisis situations. 1.20. It is important that a young person takes responsibility for their behaviour. While the use of out of court disposals in the context of domestic violence and abuse need to be approached with caution, in the context of cases of APVA out of court disposals or a wraparound safeguarding response should be considered alongside a criminal justice response as most parents wish to build and maintain their parent-child relationship and do not want their child criminalised. This means that typical domestic violence and abuse responses holding perpetrators to account may not always be appropriate. Practitioners highlight the need for tailored responses to APVA rather than relying upon generic parenting programmes and also identify the need to move away from the emphasis on parental responsibility and blame18. 1.21. Before any intervention is attempted by practitioners, there needs to be a considered approach reflecting the whole family's dynamics - apparent within the "Troubled Families Report." In Wales, practitioners need to consider the 'Team Around the Family Approach' set out in 'Families First'19. If an intervention is undertaken which aims to halt the violence without reflecting on the wider family issues then the situation can be significantly exacerbated. Practitioners need to consider the family as a system and how its members operate together and consider the use of whole family approaches. Adolescent violence and abuse should not be seen as independent of these dynamics. 1.22. A key issue raised by parents and practitioners working with families experiencing APVA is the need to develop clear and specific policy on this form of family violence. This information guide represents a first stage in this process in the expectation that individual services will develop more detailed, specific guidance in the future. ## 2. How To Respond To Apva: General Advice For All Practitioners 2.1. It is important that children's services and domestic violence and abuse services develop protocols for joined-up working and that appropriate referral pathways are identified. ## Safeguarding 2.2. It is important that a young person using abusive behaviour against a parent receives a safeguarding response. The statutory guide to inter-agency working to safeguard and promote the welfare of children, 'Working Together to Safeguard Children' sets out what professionals and organisations need to do to safeguard children. Responders should also use their discretion and professional judgement when addressing cases of APVA.20 2.3. Local Safeguarding Children Boards (LSCBs) play an important role in challenging safeguarding practice and assessing the effectiveness of safeguarding services in their area. 2.4. Each local authority is required to set up an LSCB to bring key agencies such as police, probation, youth justice, heath, education and social care together to make sure local safeguarding of children is effective. In addition to coordinating and ensuring the effectiveness of what is done by each agency to safeguard and promote the welfare of children, LSCBs also have a number of key things they must do which are set out in legislation. 2.5. These include agreeing local safeguarding policies and procedures for how the different agencies work together, contributing to local plans, communicating to local organisations and the community, ensuring safeguarding training is provided, and monitoring what the LSCB members do and how effective local safeguarding is. ## Risk Assessment With Young People 2.6. There are specific factors to consider when working with young people who are involved in adolescent to parent abuse: ## Environmental Factors: - Is there a history of domestic abuse within the family unit? - Is the young person in an abusive intimate relationship? - Is there a need for adult services' involvement in the family? - Is the young person being coerced into abusive behaviours? - Is the young person displaying heightened sexualised behaviours? - Is the young person associating with peer groups who are involved in offending or older peers? - Are Children's Services currently involved with the family? - Should a risk assessment be conducted on the siblings to see if they are at risk of violence and/or contributing to the violence? - Is the young person isolated from people and services that could support them? - Is there a risk that the young person is being bullied? - Are there BAME issues that need to be considered or that may affect a victim's disclosure? ## Emotional Self-Regulation - Does the young person have difficulties in forming relationships? - Does the young person have mental health issues, self-harm or suicidal tendencies? - Is the young person disengaged from education? - Is the young person misusing substances? - Does the young person display an obsessive use of violent games or pornography? - Does the young person have poor coping skills or engage in risk taking behaviours? - Does the young person they identify their behaviour as abuse? 2.7. Young people may need support from a wide range of local agencies. Where a young person could benefit from coordinated support from more than one agency (e.g. education, health, social care, and police) there should be an inter-agency assessment. These early assessments (such as the use of the common assessment framework (CAF)) should identify what help the young person requires to prevent their needs and behaviour escalating to a point where intervention would be needed via a statutory assessment under the Children Act 1989. Things to consider: - Develop local Violence Against Women and Girls (VAWG) strategies with specific reference to young people and be clear who is taking the lead for this work; - Encourage close and effective joint working between Multi-agency Risk Assessment Conferences (MARAC) and services that safeguard children, such as the MASH (Multi Agency Safeguarding Hub) which now exist in many local authority areas; - Think about how you will prioritise support if there are multiple issues in the young person's life i.e. relationship abuse, gang involvement; - Explore how you can encourage joined up working and appropriate information sharing. Multi Agency Risk Assessment Conference (MARAC) 2.8. The MARAC is a multi-agency meeting that focuses on the safety of high-risk domestic violence and abuse victims. There are around 250 MARACs in operation across England and Wales. Existing research indicates that MARACs have the potential to improve adult victims' safety and reduce re-victimisation. The guidance for referrals to MARAC states that in cases involving 16-17 year olds professional judgement will be required to decide whether the MARAC or safeguarding route is more appropriate.21 ## Multi Agency Safeguarding Hubs (Mash) 2.9. Many local authorities have developed Multi Agency Safeguarding Hubs to ensure that any safeguarding referrals made to Social Care receive a swift, multi agency based response based upon the principles of information sharing, joint decision making and coordinated intervention. Young people using violence against parents may have safeguarding needs, and it is important that they receive a safeguarding response to meet these needs. Professionals will also need to consider whether there are siblings in the household where the abuse is taking place. If so, a referral to the MASH or initial referral team in the local authority would be necessary. Things to consider: - Dedicated health, social care and education staff working with vulnerable young people should be given on-going support and training to better understand how young people are using social media and the risks that it poses; - Develop a care pathway for referring teenagers to Local Safeguarding Children's Boards (LSCB), MARAC and the young people's service so all multiagency professionals can confidently support these young victims; - It is important that the care pathway has clearly identified points of safeguarding referral or input and that the LSCBs are working effectively with the MARAC; - Encourage youth workers and other key professionals to be part of local domestic violence and abuse forums; - Training for services working with young people as their needs, experiences and support networks may be different to adult victims. ## Safety Planning 2.10. Safety planning is a practical process that practitioners can use with anyone affected by domestic violence and abuse. It should be a core element of working in partnership with victims and other agencies, taking into account the outcomes of risk assessment and risk management. Safety planning involves more than assessing potential future risk; it can help create psychological safety, space to recover and freedom from fear. Other members of the household's responses to questions about what they do when there is violence or abuse should be considered in safety planning. Risk assessments can assist safety planning and should aim to:  help to understand the parent's fear and experiences as well as the fears of the young person;  use and build on existing positive coping strategies;  provide a safe physical space to recover;  link to the relevant assessment framework being used by the agency and provide a holistic approach to safety and well-being;  be part of a continuous process and ensure that safety planning links into the overall plan for the victim and is not completed as an isolated process;  ensure safety plans are tailored to the individual. A 'one size fits all' approach is ineffective and potentially dangerous. ## 3. How To Respond To Apva: Health Professionals 3.1. APVA has been recognised as a challenge facing Healthcare professionals by NICE (National Institute of Clinical Excellence). As such, it is crucial that staff fully understand this complex area of abuse. The impact of abuse on a parents' health 3.2. As with domestic violence and abuse from an ex/partner, abuse from a child or young person can also cause health and wellbeing issues such as anxiety, depression, stress, loss of sleep, physical injury - all of which may necessitate admission to hospital. It may result in parents self-medicating with drugs and alcohol as a coping mechanism. Those who experience APVA often suffer a great deal before seeking support. This is often linked to feelings of failure in the parenting role, and the shame and stigma of having an abusive child. 3.3. Research by Against Violence and Abuse (AVA) and Families, Drugs and Alcohol (ADFam) with parents who had experienced APVA clearly showed that GPs were a common first port-of-call for parents looking for help, and a Parentline Plus survey (2010) found that 57% of parents sought help from their GP. However, the research also identified four factors which can inhibit disclosure: shame, guilt, fear and the lack of a sufficiently trusting relationship with the service.22 23 3.4. General practice nurses may also pick up this issue as part of their regular health checks with patients as routine contact can help build a level of trust with the patient. 3.5. Stigma plays a key, paralysing role in stopping families from looking for help and must be recognised by health professionals. Health professionals who visit the family home, such as midwives or health visitors, or a school nurse (where there are older children in the family), should be alert to the signs of APVA and know how to respond. Identified cases of APVA should always be treated as a safeguarding issue. 3.6. APVA may also be picked up at other community settings such as children's centres. The checks undertaken by health visitors when children reach two and a half years old could provide an opportunity for engagement between the health visitor and a victim where a disclosure could be made or signs of abuse be identified. Things to consider: Encouraging disclosure from parents  Encouraging disclosure of APVA is essential. Parents affected by the issue may have taken a long time to come to acknowledge the problem they are facing, thus making the challenge of verbalising this behaviour to others even greater. Parents need to be encouraged to understand that the services they access are safe places where they can disclose APVA;  Avoid making assumptions (for instance assuming that because someone is a parent they always have control over their child's behaviour or that the behaviour is always a direct result of parenting style);  Make asking about APVA part of your routine screening. Bear in mind, though, that many parents will not conceptualise what they are going through as domestic violence and abuse. They may think about APVA in completely different terms and you might need to use different language when asking about it. ## Questions You Could Use Instead Might Include:  Does your child ever frighten you?  What happens when your child is angry? ## Responses For Different Health Practitioners 3.7. A Parentline Plus Survey (2010) Found That 57% Of Parents Experiencing Aggression From their child first sought support from GPs and 37% from CAMHS (Community and Mental Health Services). It is crucial that health practitioners know how to appropriately recognise and respond to APVA. ## Things To Consider: Healthcare Professional Responders Gps And Gpns  Display Posters In Waiting Areas That Explain This Is A Safe Place To Disclose Abuse of any kind;  Give patients the option of selecting which member of staff they would prefer to speak to;  Be mindful that a patient experiencing abuse may not disclose (especially when the abuse is from their own child). Understand how abuse from a child may impact on a person's psychological and mental well-being and look for indicators that this may be happening;  Make sure you see the patient on their own. Midwives  See the patient on their own.  All women must be asked about domestic abuse at least three times during the antenatal/postnatal period as a normal part of the health history at key times - first trimester of pregnancy, the third trimester and during the puerperium;  Act immediately on disclosure and respond to risks;  Consider the needs of the perpetrator as this can increase the safety of the victim;  Work to clear local protocols and be aware of local services and referral pathways;  All Midwives should be trained in identification of domestic abuse. This should include APVA;  Routine Enquiry is a means of supporting diagnosis and assessment of patients' needs to ensure they receive the most appropriate treatment and care. It does not matter whether there are any signs or indications of abuse but it is important to create a safe and supportive environment for patients to disclose their personal experience of abuse, if they choose to do so;  Increased detection will afford survivors the opportunity to access support and services, allowing for earlier intervention and improved health outcomes. Health Visitors  Carry out a risk assessment to make sure it is safe for you to enter the house (follow lone working procedures);  Look for warning signs in the home or during contacts that abuse may be happening; contacts are important as they may pick something up a children's centre session;  Speak to the parent on their own;  Refer any concerns to the relevant area. This may include: o Social care child at risk or siblings; o Child protection or Child in Need may be appropriate; o School nurse; o Common Assessment Framework; o May meet the criteria for troubled families; o Local Voluntary agencies such as the freedom programme if available; o Police.  Liaise with other Health Care Professionals whom the young person or parent may be receiving support from. ## School Nurses  Recognise Your Ideal Position And Opportunities To Notice Early Signs Or Symptoms of abuse/abusive behaviour;  Be aware of factors which may contribute to a young person becoming abusive;  Provide regular drop-in sessions and be a consistent point of contact for young people to speak to;  Work with the pastoral care team to deliver key messages through PSHE on respectful and healthy relationship skills, lessons and policies across the school;  It is important that all relevant school nursing team members are aware of APVA and can provide support to other school staff to assist them with safeguarding children from all forms of abuse in line with statutory guidance in Keeping Children Safe in Education. Over the coming years all appropriate staff in Wales will be trained to 'Ask and Act', an important model for any professional working with young people experiencing any form of abuse;  Consider using existing contacts established through the delivery of the healthy child programme and public health interventions as an opportunity to identify young people who may be involved in APVA;  Work with other health professionals, social care, education and police to provide support for the young person and the family involved in APVA - including safeguarding leads. CAMHS (Child and Adolescent Mental Health Services)  Understand the complex nature of dual diagnoses (mental health and substance misuse) and the intersections with abuse (not as an excuse but a vulnerability issue);  Address the needs of the young person and their family whilst simultaneously  addressing risk;  Engage with other relevant services (education, youth justice etc) and agree lead;  Evaluate child protection issues as well as acknowledging young person's use of abusive behaviour;  Use a strengths based empathic response;  Using diagnoses to explain parental abuse can be problematic as it allows adolescents and parents to use labels of disorders as justifications for violent behaviours (Hemphill 1996). ## Health Professionals  Making it easy for the victim to talk about their experiences;  Be supportive, reassuring and non-judgemental;  You should never assume that someone else will take care of domestic violence and abuse issues - you may be the victim's first and only contact;  Always be prepared to work in partnership with other organisations that have been set up to ensure a victim's safety;  Always adhere to your Trust's domestic abuse policy and implement what you learn in training. ## 4. How To Respond To Apva: Education 4.1. APVA may impact on all agencies working with children and young people. 4.2. In terms of safeguarding, education staff have a responsibility for their students, who may be the young person exhibiting such behaviours, or siblings or other young people in their institution who may be a target of associated behavioural issues. It should be also remembered that whilst young people may be presenting with problems with their own behaviour, often co-existing behaviours or outcomes from this may be exposing them to increased levels of risk of harm to themselves e.g. through truancy, association with negative peer groups, breakdown in family communication, substance misuse, retaliation, or self harm. 4.3. This issue is relevant to both primary and secondary education as the onset of patterns of APVA can be as early as eight or nine and continue through adolescence and sometimes into adulthood. ## Identification & Disclosure 4.4. Young people responsible for APVA may be identified within schools in a variety of ways, often through other issues, including problematic behaviours towards peers and / or school staff, non-attendance, non-engagement with school activity, unfinished assignments, substance misuse problems, bullying, depression etc. Many of these markers may also identify families where adult domestic violence and abuse and/or child abuse is on-going or has occurred in the past. 4.5. Disclosures within school may come in a variety of ways via the young person themselves, peers, siblings or parents. Parents may present as fearful, ashamed, guilty or intimidated by their child. A consideration of possible APVA should be included in any assessment when making parents accountable for child's behaviour i.e. absenteeism. Many parents will not wish to criminalise their child and will often minimise the seriousness of behaviours or be unwilling to discuss the issues for fear of a blaming response. It is important for practitioners to believe victims, whether young people or parents, take their concerns seriously and validate the impact on them. Initial safety concerns or basic safety planning should always be addressed. School nurses are often able to build trusting relationships with school children and their families, and so may be the first professional to become aware of a problem within the family. This should be addressed in the same way as they would any other safeguarding issue. 4.6. Within schools, pupil referral units etc, as with all other child protection concerns, in-school procedures should be adopted with referral to child protection leads and onward multiagency referrals /co-working as appropriate. ## Implications For Education 4.7. Schools should address APV as they would any other safeguarding issue, in line with the statutory guidance in Keeping Children Safe in Education (2014) ## 5. How To Respond To Apva: Social Care 5.1. Whether or not adolescent to parent violence and abuse is ultimately identified as the responsibility of Children's Services, the provision of an understanding, respectful and professional first response is vital in determining the future resolution of this family crisis. Parents say that one of the most important factors in their help is to be listened to and believed. 5.2. There may have been many years and incidences of abuse or violence before help is sought. Parents are known to hold off for reasons of shame, stigma and a fear that their other children will be removed as a response. Alternatively, families may have sought help from many other services without success and this is now seen as a last resort. 5.3. Parents seeking help may present as weak, desperate, frustrated, angry or completely composed. There is no "typical victim" with APVA as with any other type of abuse. The majority of families are seeking a long-term solution whereby they are able to remain together, even if the initial request for help is for the removal of the child to ensure safety and provide respite. In this respect, APVA differs from intimate partner violence. The restoration of healthy, respectful family relationships should be the ultimate goal. 5.4. As APVA often co-exists with a raft of other issues it is important to be clear what these are. Different issues will indicate possible routes of referral and may determine the most appropriate help. Many adoptive families are known to encounter issues because of the child's previous experience of trauma. A recent study found that violence and abuse was an issue in as many as 30% of adoptive families, and that in 3% of adoptive families this was serious enough to lead to adoption breakdown24. Other issues include poor mental health, involvement in violence outside the home, substance misuse, and learning or physical disabilities. By far the biggest single factor has been found to be experience of domestic violence and abuse. 5.5. Based on professionals' reported experiences, if interventions are not found, there is a high risk of family breakdown, serious injury, damage to property, poor mental health for all concerned, and long term risk to the safety and wellbeing of the young person, who may be made homeless, become marginalised in society and go on to perpetuate abuse against a partner in the future. ## Questions To Ask: Social Care Responders  Immediate safety: Are all family members safe in the current situation? How can their safety be maintained? Is there current domestic violence and abuse from an adult in the house? Are there other issues that must take priority to maintain safety?  What is it that the parent(s) are describing? Do you need to see the family home to get a full picture of the damage or threat?  Young people may minimise, blame or simply deny abuse when interviewed. A pattern of manipulative and controlling behaviour is a feature of APVA and this must be taken into account in assessing the situation. They may counter-charge parents with assault and may have physical injuries to support their case. What is the whole picture here?  What is it that the parent(s) want? What are they actually asking for? What help have they already sought or received?  If the family is requesting removal of the young person it is likely they are experiencing high levels of threat and risk. Can they be helped to find a respite solution within the wider family, or is care the only option?  If there is a history of domestic violence and abuse between the young person's parents, professionals should be alert to a possible long- term pattern of coercive control over the parent that was abused. Invite the view of the victim in the first instance and think carefully about the suitability of potential placements within the family.  Does the Local Authority have access to bespoke APV services? Is there access to a service which understands the issues and can accommodate them within their standard service provision? What can be offered to parents if the young person refuses to engage?  What can be done if there is no available service or knowledge locally? What training can be sought? Questions for Managers and Officers  What is the level of knowledge of APVA within the local authority?  Is staff training available?  Are there statistics available regarding the incidence of referral?  Where are referrals coming from?  Are there joint protocols between services?  Are there bespoke services available locally?  Are specialist fostering and adoption services fully trained in appropriate responses?  Is there a culture of moving families through services as quickly as possible, or is it possible for practitioners to spend time developing therapeutic support for individuals? ## Further Points Of Consideration: 5.6. This Is Not An Issue Of Poor Parenting. As Such, Referral To Non-Specialist Parenting Courses is an inappropriate and potentially damaging response. 5.7. Unnecessary criminalisation of the young person should be avoided, though it may be necessary for the police to be involved to maintain safety. This is in itself a controversial issue, particularly in localities where police and criminal justice protocols have not been agreed for APVA. However, if there have been acts of serious violence, prosecution may be appropriate. 5.8. APVA is a whole family issue. Nevertheless, if the young person does not initially engage, significant support can and should be provided to parents and siblings. 5.9. The absence of a defined Children's Services response can, but should not, lead to a sense that "this is someone else's problem". The issue of APVA falls neatly within the remit and responsibility of the local authority. 5.10. The involvement of adult services should also be considered, where required. ## 6. How To Respond To Apva: Housing 6.1. Domestic violence and abuse is notoriously difficult to identify when it occurs within the family home. This can become even harder if the abuse is adolescent to parent violence and abuse. However, housing providers have unique entry to the 'hidden' spaces occupied by individuals experiencing abuse, through regular contact with residents: carrying out repairs and community development activities. Therefore housing staff are trusted and accessible to tenants and so need to be aware of what they can do in these cases. 6.2. Below are some points to consider if housing staff come across this form of abuse: ## Things To Consider: Housing Responders  Firstly, if staff suspect this kind of abuse could be happening it should be reported back to the line manager/ safeguarding lead or specialist team/lead within the organisation:  If staff have immediate safety/ safeguarding concerns for any individuals, they should follow their responsibilities under the safeguarding policy/procedure. Ensure this is recorded and appropriate onward referrals are made to the relevant agencies i.e. Children Services. Furthermore, ensure this is reviewed periodically to ensure appropriate action is taken. The Social Care Institute for Excellence (SCIE) have produced guidance for housing staff for Adult Safeguarding which is useful in these cases: http://www.scie.org.uk/publications/guides/guide53/frontline-housing/index.asp  If staff are in a property and witness or suffer abuse themselves they must first report this to the police and then line management in order to safeguard the victim and also themselves. Staff should ensure this is recorded and reviewed by a manager or Safeguarding Lead within the organisation;  Most housing providers have an IT system which can flag/put a caution alert to advise staff/contractors that they must not visit this property alone. This will vary depending on what Health and Safety policies and procedures their organisation has in place but should ensure that steps are taken to protect staff and appropriate risk assessments are carried out;  Within housing these cases will ordinarily be dealt with by either a specialist Community Safety or Anti-Social Behaviour Team (ASB) or Neighbourhood Managers/Housing Officers. The cases need to be recorded and categorised on the case management systems as domestic abuse;  Staff should follow their domestic abuse policies and procedures and as with all cases the nature of the individual's circumstances and what the individual experiencing abuse wants needs to be taken in to account. The recommended risk assessment is the national Domestic Abuse, Stalking, Harassment and Honour Based Violence (DASH) Risk Identification Checklist so onward referral can be made to the appropriate support service, which may include the local Multi-Agency Risk Assessment Conference (MARAC).  Staff need to be aware that someone experiencing abuse from their child may be reluctant to take any action and be fearful of working with housing staff. They may be scared that their child could be removed from the home or that their tenancy itself could be at risk. Housing staff need to be sensitive and non-judgemental at all times in order to ensure the right outcome for tenants;  Staff need to attend domestic abuse training that covers APVA so they are confident in completing the appropriate risk assessment and working with partner agencies;  Housing staff need to recognise that the abuse may be reported by a concerned or disgruntled neighbour. They may report what is happening as ASB or noise nuisance and want staff to take action against the victim's tenancy. This needs to be managed delicately as the safety of the person experiencing abuse is paramount and needs to be managed effectively in order to try and resolve the situation rather than the focus be on enforcement or punitive actions;  Housing staff have a responsibility to the community as a whole so if a tenant is not engaging with services and failing to prevent visitors or household members causing nuisance and distress to others, staff need to consult with partner agencies (listed below) to raise the issue and agree what the next course of action should be. In the most extreme circumstances this could be enforcement action but this needs to be carefully considered before being pursued. In some cases enforcement action can be extremely influential in stopping the abusive behaviour as the child does not want to see their parent homeless but this is not always the case so this needs to be discussed on a case by case basis. Any decisions made need to be accurately recorded, in conjunction with partners and in line with the organisation's policies and procedures;  Staff also need to think about whether the young person is, or has been, a victim of abuse themselves. Staff should check if there are any previous ASB reports for the family or interaction with revenues or rent arrears. Staff should check if the young person has observed domestic abuse from their parent/ carer, and are now exhibiting similar behaviours. Staff should consider what support the young person might require. Onward referral to other agencies (such as those listed below) is essential;  Staff need to focus on family based intervention and mediation, where it is safe and appropriate to do so and understand that enforcement action of any type is a last resort. This includes injunctions, Notice of Seeking Possession (NoSP's) and ultimately possession. 6.3. In order to ensure appropriate family based interventions and mediation are accessed housing staff must work in partnership with other agencies and partnerships/forums including:  MARAC  ASB multi-agency meetings  Police  Children/ Adult services  Probation  YOT  Troubled Families Team/Team Around the Family (Wales)  Education  Health  Advocacy/support services  Drug/alcohol services  Community Mental Health Team (CMHT) 6.4. Housing providers may have housing stock in a number of boroughs/areas so it is imperative that they have these links within all the areas they work in. 6.5. Housing staff need to be aware of specialist support available in the area they are operating in. They must understand that typical domestic abuse/anger management programmes are not appropriate. As already stated, this is a complex area of abuse, where abusers are highly likely to have been victims, or indeed, still be victims. Specialist programmes are available and the websites for these are listed at the back of this document. Legal remedies 6.6. Civil Injunctions - Anti-social Behaviour, Crime and Policing Act (the Act received Royal Assent on 13/03/14 and injunction provisions are expected to come into force early in 2015 but all other provisions of the Act are now in force). If an injunction under this Act is sought either by the housing provider or an individual a copy needs to be provided to local police and other agencies that are involved so they are aware and can respond accordingly. It is vital that the police register the injunction on the Police National Computer so that any officer checking the system will have access to it. Positive requirements may also be attached to an injunction to assist rehabilitation of the abusive individual. The person suffering abuse needs to be encouraged to report breaches both to the police (where a power of arrest is granted) and to their Housing Provider. Housing staff must understand that there may be a reluctance to do so and therefore if staff become aware of a breach or it is reported by a neighbour ensure that this information is fed back to the police and other appropriate agencies. 6.7. Possession Action - via the County Court for tenants who have a secure, assured or assured short. 6.8. Hold tenancy of their home. However, as stated above, this will only be used as a last resort. Housing options 6.9. This will probably not be appropriate in most cases and an individual will want to maintain a relationship with their child but in the most extreme cases housing staff need to be aware of the following options: Homelessness (Part 7 of the Housing Act 1996) 6.10. The victim has the right to approach any local authority as a result of ceasing to occupy accommodation because of violence from another person or threats of violence from another person which are likely to be carried out. 6.11. They will be assessed in line with the following criteria:  Are they eligible for assistance?  Are they homeless?  Are they 'Priority Need'?  Are they intentionally homeless? 6.12. A local authority owes a clear duty to provide suitable accommodation to those vulnerable people who find themselves homeless as a result of fleeing domestic violence. Victims cannot be referred back to their 'home' authority if they would be at risk of violence. 6.13. A very comprehensive guide can be found on Shelters website: http://england.shelter.org.uk/__data/assets/pdf_file/0003/23358/ShelterGuide_HomelessR eadThis.pdf 6.14. You also need to ensure that the individual making the application makes an application for dual Housing Benefit to ensure rent is covered for both homes. A referral to your Welfare Benefits advisor or a local financial support agency is advisable. ## Management Transfers 6.15. Housing providers depending on their size will have either a policy and procedure on granting management transfer in high risk cases within their own stock or a senior manager will make this decision based on the circumstances Reciprocals 6.16. Housing providers can arrange reciprocals between themselves and can be decided on a case by case basis. In London there are the East London and West London Reciprocal agreement. For further information on these please see: http://www.lbbd.gov.uk/elhp/reciprocal-agreement.html http://www.westlondonhousing.org.uk/Homelessness.aspx Security 6.17. Housing providers may have a budget to improve/ enhance security and this should be considered on a case by case basis. 6.18. Housing providers are also able to access the support of local sanctuary schemes operated by the Local Authority/ Police. ## 7. How To Respond To Apva: Police Reluctance To Report To Police 7.1. As With Any Victim Of Domestic Abuse, Parental Victims Cannot Easily Sever Ties. They Are legally obliged to care for a child under 16 and cannot force them to leave home without making other arrangements. Even once the child is 16 or has left home, they are still parents biologically, legally and emotionally, which makes it difficult to report their own child. 7.2. They may not want to criminalise the child because of the potential impact on their future. A tendency for police and other agencies to see parents as responsible for their children's behaviour can also be a factor discouraging parents from reporting abuse. In many families, however, other children do not offend. In addition, parents who are being abused, particularly physically, may not be able to manage the child's behaviour, or ensure attendance at school, without putting themselves at risk of further harm. ## Police Action 7.3. It is important for officers to be aware that the young person may have complex needs, such as mental health issues and that there may be a requirement to work with health and social care professionals to support the young person. It is also important that officers recognise the seriousness of this type of abuse. It can be difficult to identify in families where there are other problems and violence is more generalised, but it is a distinct form of domestic abuse, which generally requires a different approach. 7.4. In some cases, arrest or temporary removal may be the appropriate response. In others, parents may want someone in authority to speak with the child, but not want them prosecuted or criminalised. They are more likely to engage with other services than the police, because contacting the police is often viewed as a punishment rather than a source of help. 7.5. Restorative justice may also be an option if considered appropriate to the particular case, but this should be carefully considered to ensure it does not increase risk to the victim. The main objective for officers should be to deal with the situation in a way which will not only stop the incident but also prevent repetition. Most families want to end the violence, but not the relationship. The key to this is signposting the appropriate services and putting in place any referrals required. This may include multi-agency referrals, particularly where parent abuse is part of a wider problem within a family. Checklist for officers dealing with an incident of adolescent to parent violence and abuse: DO:  Remember this is domestic abuse (and general domestic abuse considerations apply) ;  Show understanding;  Speak to both the parent and young person (and other family members such as siblings or grandparents) separately to understand what the appropriate response might be;  Signpost appropriate services e.g. health and social care;  Consider whether other referrals need to be made. For example to: o Public protection specialists or local policing staff: they may have existing knowledge; o Consider referrals to community and Neighbourhood staff, this may be the local beat officer, police community support officer or schools liaison officer or school nursing service. A risk assessment should be completed, and referral made to a MARAC where appropriate for further multi agency support/ inter o Are other children at risk in the house? If so, you will need to make a referral to Children's Services; o The young person using the violence will need a safeguarding response, so a referral to your local MASH/Safeguarding team is a must; o Notifying the Troubled Families/Team around the Family (Wales) or school nursing service. If the young person has behaviour or mental health issues, they may already be engaged with the school nursing service;. o Has the relevant Youth Offending Team been contacted? ## Don'T:  Assume that this is a parenting issue–the parent is the victim in this situation;  Joke or make light of the situation;  Underestimate how difficult it is for the parent to report the incident and for the young person to accept responsibility;  Wait until something more serious happens before taking action. ## 8. How To Respond To Apva: Youth Justice 8.1. For a long time, youth justice professionals have reported high occurrences of family violence, and in many cases adolescent to parent violence and abuse. As stated earlier in this document, this is an extremely complex area of work. Things to consider: Youth Justice responders  Firstly pay attention to short term crisis management - is a safety plan in place? If not, you should consult with your line manager about the most appropriate person to complete this with the family, and complete one as soon as possible. Are other children at risk in the house? If so, you will need to make a referral to Children's Services;  Has the young perpetrator been a victim of abuse themselves? Have they observed domestic abuse from their parent/ carer, and are now exhibiting similar behaviours?  The parent will be extremely nervous about reporting this abuse and discussing it with others. Condry and Miles' research (2012) indicates that this is because they do not want the child to be removed from the home. Therefore, you will need to focus on family based intervention and mediation, where it is safe and appropriate to do so;  There will be occasions where the violence is such that the situation is dangerous and the police must be called. This is the right thing to do and will need to be reiterated to the parent. It should also form part of a safety plan;  Research indicates that the most effective way of addressing this abuse is working with the family as a whole. This will mean that if the family has a YOT worker and separate Parenting worker, you will need to come together and work with the family. Where other professionals are involved, call a multi agency meeting and work out how you are going to work with the family as a coordinated plan to address this abuse;  What relevant programmes for young offenders are available in your area? Typical domestic abuse/anger management programmes may not be appropriate. As already stated, this is a complex area of abuse, where abusers may have been victims themselves, or still be victims. Specialist programmes are available with an emerging evidence base - see table at the end of the document. The Youth Justice Board has also put together a webpage which contains links to further programmes and support for adolescent to parent abuse. The materials are freely available, and include fully manualised programmes. The website is also listed at the back of this document.  Youth Offending Team (YOT) workers should collaborate closely with the YOT police officer to prevent the young person being arrested wherever possible. Police involvement may be necessary but arrest should be avoided and action should follow the principles of some LAC (Looked After Children) protocols which seek to minimise the criminalisation of young people.  A parenting order should NOT be used where this abuse is occurring. Condry and Miles' research (2013) found evidence that where a parent is subject to a parenting order and is experiencing abuse, the order can become a further form of control and lead to further abuse. In court where the young person is 16 or under the magistrate will need a good reason not to impose a parenting order. Detailed explanation of the issue in PSR's is essential. Close collaboration between parenting/family teams to ensure support must be provided and included in the Pre-Sentence Report (PSR). When a young person is arrested for violence against the parent: 8.2. If it is a minor assault/criminal damage, the YOT should liaise with the police to consider the use of a Conditional Caution. The condition could be to complete a programme of work with the young person to address the abusive behaviour. 8.3. Consider use of a Referral Order, and recommend that completion of an intervention programme and family based mediation work forms part of the contract. 8.4. Where a Community Order is the appropriate option, attach a Programme Requirement, and consider using a formal programme as described above. As already stated, do not recommend a Parenting Order. 8.5. For a Custodial Sentence, formal work can still be completed separately with the parent and young person. Then arrange family visits in custody where mediation could take place. Consider the use of ROTL (Release on Temporary Licence) to rebuild family relationships, where it is safe for the young person to return home. 8.6. Involve family/parenting support teams as soon as possible to work with the YP and the parents. Ensure the issue is fully explained in the PSR to prevent imposition of a Parenting Order and promote support for the family and YP. ## Considerations For Yot Heads Of Service, Secure Estate Directors/Managers/ Governors: 8.7. Does Your Local Authority/Secure Setting Offer An Appropriate Intervention To Address adolescent to parent abuse? If not, consideration should be given to approaching your LSCB and commissioning training staff in an intervention package. Further information on available programmes and training is available in the appendices of this information document. 8.8. Do you have a local protocol for the management of adolescent to parent violence and abuse with the police? There is strong evidence to indicate that police responses to adolescent to parent violence and abuse have been poor, meaning that parents are reluctant to report further incidents. A protocol should include how you want the police to respond to a call out (i.e. when to arrest/ is a safety plan in place). The YOT police officer should be fully informed of the overarching issue and should be involved before and at arrest. When an arrest is not made, the police should consider who to refer the family to for further support, and to ensure that they do not 'fall through the gaps'. 8.9. How to de-escalate a situation: the use of pre-Court disposals, and what you should set up with a YOT to formally manage this should be considered (ie having a programme/intervention locally available as part of a pre-court disposal). A tiered response similar to protocols for callouts to residential children's homes. 8.10. Does a police officer with a local lead for domestic abuse sit on your Health and Wellbeing Board? 8.11. Do you know how many cases within your YOT/ establishment are experiencing adolescent to parent abuse? Are your staff asking the question and recording it? Where are they recording it, and is it translating into supervision plans? 8.12. Establish a person within the YOT to lead on the issue where possible to provide specialist advice. ## 9. Responding To Apva: Examples Of Different Therapeutic Approaches In England And Wales Therapeutic approach Example of Programme Aims and Techniques Original programme schedule Solution-focused brief therapy Break4Change (Brighton & Hove) For parents: strategies to manage abuse and emotional response (to reduce guilt and stress) For young people: skill development (e.g. emotional literacy, behaviour strategies) and 'creative sessions' to reflect on issues Functional family therapy SAAIF (Colchester) For parents and young people: Uses roleplay and cognitive-behavioural strategies problem-solving and skills training (e.g. empathy development, listening and communication skills). Also features educational content (e.g. parenting styles, teenage sexual health, drug awareness) For parents: the development of a 'parent's toolbox' for use once programme is finished Non-violent Resistance (NVR) Partnership Projects (London & the south-east) For parents (& their support networks): promotes 'parental presence' through techniques of nonviolent resistance and use of reconciliation gestures Wish for a Brighter Future (Bristol) Attachment and trauma-based approach For young people and families: Aims to rebuild attached, caring child-parent relationship using a participatory approach. Techniques include identifying, listening to Evaluation evidence* 10 weekly sessions for parents + 10 weekly sessions for young people Most parents reported less violence and isolation, more assertiveness and a wider range of strategies to deal with their children's violent behaviour. Young people reported increased empathy, reduced physical violence and increased satisfaction at home; some re-engagement with school. (Munday, 2009) The majority of parents, young people and practitioners found the programme to be of assistance, with (a) the learning of new communication skills and (b) coping strategies to be of particular benefit (Priority Research, 2009). Day workshops (6 hours) for families OR 14 weekly sessions for parents + 14 weekly sessions for young people Weekly meetings with family over a 3-month period, although varies. Includes supporters meeting(s) and telephone support. May also be offered as a weekly parent group. Parents: A reduction in 'permissive parenting' and 'parental helplessness'; Reduction in parents' reports of child aggressiveness and increase in parental perceptions of social support (Weinblatt & Omer; 2008). See also Newman et al (2014) for England-based smallscale pilot study In-house research only - has reported positive effects including reduction in frequency and severity of violence and improved family wellbeing Up to 12 sessions of one-toone support for young people and, in some cases, with their families. and validating feelings, understanding the impact of trauma on the brain & learning non-punitive parental strategies. Conflict resolution and mediation Maidstone Mediation (Maidstone, Kent) For families: 'Talk & Mend' approach, to identify, listen to and share each family member's feelings and needs; visualisation techniques & developing a Future Plan; anger management, wellbeing and selfesteem techniques. Respect Young Peoples Programme (RYPP) (UK-wide) Multi-modal (inc narrative, conflict resolution, solution-focused, cognitivebehaviourism, NVR, anger management) For Young People: Increase self-esteem, motivation, empathy and self-regulation; Develop communication and conflict resolution skills; Learn alternative behaviour strategies; Improve family bonding (with parents) For Parents : Improve support, sense of efficacy; insight & self-reflection; Diminish parental shame; Develop communication, behaviour management, parenting strategies and conflict resolution skills. Up to 10 sessions of one-toone support with families. In-house research only - has reported positive effects including improved ability to reach family agreements, young person re-engaged in education, training or work; reduction in violence in young person both at home and school. 18 sessions - includes 2 family sessions, 7 parent/carer session & 9 young people sessions. Programme evaluation currently underway - initial findings suggest improved family communication, reduction in aggressive & abusive behaviours, improved family support & cohesion, improved attendance at school, association with more positive peer groups, improved parenting confidence and skills. ## 10. Useful Resources For Practitioners The directory below identifies some useful organisations from the private, statutory and voluntary sectors which offer further information and resources on APVA and how to respond to it. Organisations in England and Wales National Domestic Violence Helplines The Freephone 24 Hour National Domestic Violence Helpline run in partnership between Women's Aid and Refuge - 0808 2000 247 All Wales Domestic Abuse and Sexual Violence Helpline - 0808 80 10 800 Scottish Women's Aid Domestic Abuse Helpline - 0800 027 1234 Women's Aid Federation Northern Ireland 24 Hour Domestic and Sexual Violence Helpline - 0808 802 1414 NSPCC ChildLine Free, confidential service for young people up to the age of 19. Get help and advice about a wide range of issues, talk to a counsellor online, send ChildLine an email or post on the message boards. 0800 1111 and www.childline.org.uk NSPCC Helpline Free helpline service for anyone with concerns about a child's safety and wellbeing, even one in their own home. You can speak to a NSPCC counsellor 24 hours a day, 365 days a year. Advice and support is provided parents and carers and consultations with professionals are offered. We will listen to your concerns, offer advice and support and can take action on your behalf if a child is in danger. 0808 800 5000 and www.nspcc.org.uk/what-you-can-do/report-abuse/ Alternative Restoratives A practitioner-run resource which aims to raise awareness about parent abuse and highlight restorative approaches to intervention. Also organises UK-based training and events for practitioners. http://www.alternativerestoratives.co.uk/about.htm Holes in the Wall A blog run by a professional social worker which provides updates on research, practice and policymaking developments - also available on Twitter (@HelenBonnick) http://holesinthewall.co.uk/ Partnership Projects A practitioner-run resource providing information and training in NVR for practitioners who wish to work with families with adolescents who behaving aggressively. http://www.partnershipprojectsuk.com/ RESPECT A membership association for domestic violence and abuse prevention programmes and integrated support services. The Young Peoples Services is a sub-site of which offers regular conferences and training for practitioners who are working with young people who use violence in close relationships (including against parents) http://www.respect.uk.net/pages/young-peoples-services.html Tel: 020 7549 0578 Youth Justice Board Web-paged outlining useful information and resources about adolescent-to-parent abuse http://www.justice.gov.uk/youth-justice/reducing-re-offending/domestic-abuse See also information sheet: http://www.justice.gov.uk/downloads/youth-justice/yjb-toolkits/parenting/specialist-issues-childto-parent-violence.pdf Dedicated Welsh Services North Wales Area: North Wales (including: Wrexham, Flintshire, Denbighshire YOS, Save the Family, In2Change (substance misuse)) Provider: Protagoras Consultants Programmes: Changing Places (Healthy Relationships and alternatives to violence) Boundaries (Sexually Harmful Behaviour) This programme is designed specifically for YP age 13-19) who are at risk of or are engaging in abuse or violence within their close relationships. The programme includes specific scenarios and application to CPV/APV examples. It also includes tandem workshops for parents in order to start to develop better communication and non abusive ways to manage conflict for the whole family. Area: Conwy Provider: Relate Cymru (part of the families first project in Conwy). Programmes: Under development Area: Denbighshire Service: North Denbighshire Domestic Abuse Service Programme: One to one work with children and young people who acknowledge they are abusive to their parents or others in a close relationship. The model used to support the young people is the Respect toolkit. Area: Wrexham Service: Choose to Change (part of Relate Cymru) Programme: The Changing Places programme South Wales Area: Cardiff Service: Media Academy Cardiff Programme: The Parallel lives programme Website/email: www.mediaacademycardiff.org Summary of model of work used: Parallel Lives is a person centred programme that works with young people who have committed adolescent to parent violence and abuse and their family members in order to reduce the risk of further violence. Area: Gwent Service: Gwent Domestic Abuse Services Programme: Service offers support to young people that are beginning to show controlling behaviour in their intimate relationships. This incorporates their own intimate relationships as well adolescent to parent violence. International Organisations Step-up: a counselling programme for teens who are violent at home (US) Includes curriculum materials and resources for practitioners, and offers training for setting-up own 'Step-Up' programmes http://www.kingcounty.gov/courts/step-up.aspx Eddie Gallaghers Webpages (Aus) A comprehensive resource offering information for practitioners on training and workshops, advice and strategies for parents (including details of support services) and research papers and findings for researchers. http://www.eddiegallagher.id.au/ Queensland Centre for Domestic and Family Violence Research (Aus) A national organisation that offers a factsheet for parents on adolescent-to-parent abuse, featuring definitions, forms of abuse, experiences, strategies and advice, and further support numbers and weblinks. http://www.noviolence.com.au/index.html Walking on Eggshells Resources (Aus) An information booklet and fold up card offering support and advice to parents whose children are behaving violently and abusively. http://www.flinders.edu.au/ehl/law/law-resources/ Examples of local support services for parents and families Support services across England and Wales are emerging all the time. The list below is not exhaustive, but it offers a directory of some of those organisations which you may want to refer families on to if they are based in the relevant local area. Everybody Hurts Support group set up and run by a mother who experienced abusive behaviour from her son. Also offers one-to-one support (North Derbyshire). http://everybodyhurts.vpweb.co.uk/ Hertfordshire Practical Parenting Project Offers intensive one-to-one support for families, as well as telephone advice for parents experiencing adolescent-to-parent abuse (Hertfordshire). http://hertfordshireppp.co.uk/ Tel: 01992 638000 Parent Abuse and Reconciliation Service (PAARS) Aims to raise public and professional awareness and empower parents and carers and offers both a local support service and a national online support service for families living with abusive adolescents (Enfield, London) http://www.paars.co.uk/ Tel: 07720651633 Rosalie Ryrie Foundation Offers group or individual family sessions for families who are experiencing different forms of family violence, including 'Stepping Up' for families where adolescent-to-parent abuse is a feature (Wakefield) http://www.rosalieryriefoundation.org.uk/rosalieryriefoundationhelp.aspx Tel: 01924 315140 SAAIF (Stopping Aggression and Anti-social Behaviour in Families) Multi-agency project that offers programmes for parents and families experiencing parent-toadolescent abuse based on principles of functional family therapy (Colchester) http://www.theministryofparenting.com/ Tel: 01206 562626 SPOTT (Support for Parents of Troubled Teenagers) Parent-led monthly peer support group for parents experiencing problems with their teenager, including violence (Jersey) http://www.spottjersey.co.uk/ Wish for a Brighter Future Provides one-to-one support sessions for families experiencing parent-to-adolescent abuse: sessions available for both parents and young people. Also runs 13-week 'parent abuse' parenting support groups in collaboration with Single Person Action Network (SPAN) and Bristol City Council (Bristol). http://www.wishforabrighterfuture.org.uk Tel: 01179 038632 YUVA London-based domestic violence and abuse support organisation which has offers one-to-one support young people who are violent, and for parents whose children are abusive towards them. Also offers an information leaflet (Barnet, London) http://dvip.org/yuva-programme.htm Tel: 020 7928 2322 Finally, you may want to refer families to Family Lives, which has experience in this field: Family Lives Although not specialising in parent abuse, this national charity offers support and advice for families needing help for all kinds of family issues. Includes parent workshops for managing conflict and developing communication skills (UK-wide). http://familylives.org.uk Tel: 0800 800 2222 RYPP (Respect Young People's Programme) Providers - Contact Details for Referrers Women Centre Calderdale 01422 386501 cyp@womencentre.org.uk Area - Halifax & Calderdale Stronger Families 0151 443 4071 dcfsfamilyfirstduty@knowsley.gov.uk ## Area - Knowsley, Liverpool Impact Family Services 0191 567 8282 Enquiries@Impactfs.Co.Uk Area - Sunderland & South Tyneside Idas - Independent Domestic Abuse Services 03000 110 110 Info@Idas.Org.Uk Area - North Yorkshire Stockport Youth Offending Service 0161 476 2876 Youth.Justice@Stockport.Gcsx.Gov.Uk Acknowledgements The Home Office would like to thank the following individuals/organisations that have inputted into the development of this document: Helen Bonnick - Holes in the Wall Gudrun Burnet - Peabody Housing Dr. Rachel Condry - Oxford University Hannah Fisher- Welsh Assembly Government Anne-Marie Harris - Oxford University Dr. Amanda Holt, University of Roehampton Liz Hughes - Avon and Somerset Police Dr. Caroline Miles - University of Manchester Steven Jackson - College of Policing Jo Sharpen - AVA Julia Worms - Respect UK Dr. Paula Wilcox- University of Brighton. Christine Etheridge - SafeLives Pam Miller - NSPCC Jane Keeper - Refuge Rachel Reed - Women's Aid	en
4063-pdf	PLANNING COMMITTEE: 13th February 2018 DIRECTORATE: Regeneration, Enterprise and Planning HEAD OF PLANNING: Peter Baguley APPLICATION REF: N/2017/1097 Emmanuel Church Middle School, Birds Hill Walk LOCATION: \| DESCRIPTION: \| Erection of 81no dwellings including new vehicular access from \| \|--------------------\|-------------------------------------------------------------------\| \| Billing Brook Road \| \| \| WARD: \| Brookside Ward \| \| APPLICANT: \| Westleigh Partnerships Ltd \| \| AGENT: \| rg+p Ltd \| \| REFERRED BY: \| Head of Planning \| \| REASON: \| Major application requiring S106 agreement \| \| \| \| \| DEPARTURE: \| Yes \| _________________________________________________________________________ ## Application For Determination: 1. Recommendation 1.1 Approval In Principle Subject To S106 Agreement To Secure: 1.1.1 i) 35% on-site affordable housing; ii) Primary Education payment; iii) A scheme for the provision of construction worker training opportunities and a payment towards the operation of this programme; iv) A payment towards highway improvements; v) A payment towards the enhancement and/or maintenance of off-site open space; vi) That the on-site Public Open Space is maintained and made available for public access in perpetuity; and vii) The Council's monitoring fee, subject to the Head of Planning being satisfied the monitoring fee is necessary and of an appropriate scale. 1.1.2 The conditions as set out below and for the following reason: The proposed development, subject to conditions, represents an acceptable land use which would contribute towards the Council's five year housing supply and would have a neutral impact upon the character and appearance of the surrounding area, visual and neighbour amenity and the highway system. The development is therefore in conformity with the requirements of the National Planning Policy Framework, Policies S1, S3, S10, C2, H1, H2, BN2, BN3, BN7, INF1 and INF2 of the West Northamptonshire Joint Core Strategy and Policy E20 of the Northampton Local Plan. 1.2 It is also recommended that in the event of the Section 106 Legal Agreement not being completed within three calendar months of this Committee meeting, in addition to being able to grant planning permission as recommended above, the Head of Planning be given delegated authority to either refuse or finally dispose of the application (at his discretion) on account that the necessary mitigation measures have not been secured in order to make the proposal acceptable in line with the requirements of Policies INF1 and INF2 of the West Northamptonshire Joint Core Strategy and the National Planning Policy Framework. ## 2. The Proposal 2.1 The application seeks full planning permission for the erection of 81 dwellings comprising 24 one bedroom flats, 37 two bedroom houses and 20 three bedroom houses. The development proposes the provision of 138 car parking spaces. Access to the site will be from Billing Brook Road to the north with a further pedestrian access to Billing Brook Road to the west. The development also includes an area of public open space. ## 3. Site Description 3.1 The site is that of the former Emmanuel Middle School which is located on the east side of Billing Brook Road and to the north of Birds Hill Walk. It is situated within a mixed environment of commercial and residential buildings. The site is 2.15 hectares in area and comprises hardstanding, trees and overgrown vegetation. The school buildings on the site were demolished several years ago and since then the land has received minimal maintenance. 3.2 The site is a sloping site falling from south to north and from west to east. To the north east is an area of open space and a pond beyond which is residential housing. To the west of the site, beyond Billing Brook Road is a church, police station and office units. To the south is the former Lings Upper School site, with a terrace of 4 dwellings facing onto Birds Hill Walk. To the south east is the Northampton Academy, and to the south west is Weston Favell Centre with commercial and leisure facilities and public transport links. ## 4. Planning History 4.1 The site was the subject of outline planning permission for residential development (up to 109 dwellings). This was approved by West Northamptonshire Development Corporation in 2008 and was more recently approved by Northampton Borough Council in 2014 (N/2011/1263 refers). 4.2 It should also be noted that outline planning permission was recently granted for up to 60 dwellings on the nearby former Lings Upper School site (N/20115 0019 refers). ## 5. Planning Policy 5.1 Statutory Duty Section 38(6) of the Planning and Compulsory Purchase Act 2004 requires a planning application to be determined in accordance with the Development Plan unless material planning considerations indicate otherwise. The Development Plan for the purposes of this application comprises the adopted West Northamptonshire Joint Core Strategy (2014), Northampton Local Plan (1997) saved policies, and emerging Neighbourhood Development Plans where relevant. ## 5.2 National Policies The National Planning Policy Framework (NPPF) sets out the current aims and objectives for the planning system and how these should be applied. In delivering sustainable development, decisions should have regard to the mutually dependent social, economic and environmental roles of the planning system. The NPPF should be read as one complete document. However, the following sections are of particular relevance to this application: The NPPF has a presumption in favour of sustainable development. Paragraph 17 - objectives for the planning system Paragraph 32 - Requirements for Transport Statement or Assessment - promoting sustainable transport; providing safe and suitable access; refusing development on transport grounds where residual cumulative impacts are severe Paragraph 34 - minimising need to travel and maximising use of sustainable transport modes for developments generating significant movement Paragraph 35 states that, where practicable, developments should be designed with a safe and secure layout that reduced the potential for conflicts between pedestrians and traffic. Paragraph 47 - requires Local Planning Authorities to meet objectively assessed housing needs for their area and identify and update a supply of deliverable sites to provide 5-years' worth of housing. Paragraph 49 - presumption in favour of sustainable development for housing applications. Paragraph 50 - delivering a wide choice of high quality homes. Paragraph 56 - requiring good design. Paragraph 103 - minimising and mitigating flood risk. Paragraph 117 - conserving and enhancing biodiversity. Paragraph 205 - planning obligations and viability. ## 5.3 West Northamptonshire Joint Core Strategy (2014) The West Northamptonshire Joint Core Strategy (JCS) provides an up to date evidence base and considers the current Government requirements for plan making as it has been prepared in full conformity with the NPPF. Policies of particular relevance are: Policy SA - Presumption in Favour of Sustainable Development Policy S1 - Distribution of development Policy S3 - Scale and Distribution of Housing Development Policy S10 - Sustainable Development Principles Policy C2- New Developments Policy H1 - Housing Density and Mix and Type of Dwellings Policy H2 - Affordable Housing Policy BN2 - Biodiversity Policy BN3 - Woodland Enhancement and Creation Policy BN7 - Flood Risk Policy BN9 - Planning for Pollution Control Policy INF1 - Approach to infrastructure delivery Policy INF2 - Contributions to infrastructure requirements ## 5.4 Northampton Local Plan 1997 (Saved Policies) Due to the age of the plan, the amount of weight that can be attributed to the aims and objectives of this document are diminished, however, the following policies are material to this application: Policy E20 - New development Policy L2 - Community Use of existing schools and colleges Policy T12 - Development Requiring Servicing Policy H17 - Housing for People with Disabilities ## 5.5 Supplementary Planning Documents Northamptonshire Parking Standards (September 2016) Planning out Crime in Northamptonshire SPG 2004 Planning Obligations SPD (2013) ## 5.6 Other Material Considerations Growing Together Neighbourhood Plan The Growing Together Neighbourhood Plan (Covering Blackthorn, Goldings, Lings and Lumbertubs) was made in April 2017, and now forms part of the development plan for Northampton. The following policies are relevant to the determination of this proposal: DES1 - High quality design H1 - Housing mix CO2 - Loss of community facilities OS2 - Outdoor Amenity Space The Northampton Borough Council Brownfield Land Register 2017 confirms that this site is suitable and available for residential development. ## 6. Consultations/ Representations Comments received are summarised as follows: 6.1 Anglian Water - suggest a condition to deal with foul sewerage. 6.2 Arboricultural Officer (NBC) - no objections provided recommendations of the arboricultural implication assessment are fully implemented and adhered to. 6.3 NCC Archaeology - no objections. 6.4 Construction Futures - request a financial contribution for training and employment for new construction workers. 6.5 Development Management (NCC) - request financial contributions to fund improvements to early years and primary education provision; fire hydrants, libraries service and broadband services. 6.6 Public Protection (NBC) - suggest conditions to deal with contaminated land, air quality and a Construction Environmental Management Plan. Expect that the development should include electrical charging points for cars. 6.7 Environment Agency - no objections. 6.8 Highways England - no objections. 6.9 Highway Authority (NCC) - the internal layout has been agreed to our satisfaction and the agreement of the Travel Plan can be conditioned. Require a scheme to show junction improvements which could be secured by a S106 agreement. Request conditions to improve visibility splays at the site entrance. 6.10 Housing Strategy (NBC) - supports the proposed mix of affordable housing. 6.11 Northamptonshire Police Crime Prevention Design Advisor - has made a number of recommendations during the course of the application to reduce opportunities for crime and disorder and notes that amendments to the proposal provide for a better environment. With regard to the latest plans states that the rear boundaries facing onto Birds Hill Walk will be vulnerable. Makes suggestions for the hedging and fencing that should be installed to the rear of these and states that the grass buffer between the rear fence lines and Birds Hill Walk would be better planted rather than left to grass. 6.12 NCC Lead Local Flood Authority - following the receipt of additional information suggest conditions to ensure the impacts of surface water drainage are adequately assessed. 6.13 NCC Ecology - following the receipt of additional information is satisfied with the Site Mitigation Statement and recommends conditions relating to site preparation. 6.14 Growing Together Neighbourhood Forum - welcomes the proposal in principle as the site is designated in the Neighbourhood Plan as a priority development site and the proposal provides the kind of housing that is most needed in the area. Makes further comments as follows:  Supports concerns made by Northamptonshire Police.  Would support the retention of the perimeter fencing on the site.  State that the best drainage solution for the eastern end of the site should be sought.  Consideration should be given to safety surrounding the attenuation pond.  Public open space contribution should be used to create a wide range play area on the green space.  Imperative that the footpath around the site is maintained during the construction phase.  Would like to see improvement of the permanent footpath.  Believe the straight road through the site may encourage speeding.  Note that the former school playing field is not included in the site and consider spur road access should be included to allow for future development or other community use.  Believe that one parking space per flat is inadequate.  Concerned about fire safety of the flats.  Would like to see installation of energy microgeneration features. 6.15 Councillor Janice Duffy - initially expressed concern about the flats only having one door for access and egress. Following assurance that the building is subject to Building Regulation Approval and has to meet government standards they confirmed that their fears are allayed. 6.16 Wildlife Trust - initially state that very little ecological mitigation outlined for the effects on wildlife. No comments received following submission of the Updated Habitat Survey. 6.17 Northampton Academy - initially concerned that the 4 storey flats and house gardens will overlook their field and cause safeguarding concerns. Also expressed concerns about security and flooding of their site. State that in the future they intend to use the adjacent field and there could be noise issues for residents and light issues as they will require floodlights. State that there is the possibility that they will redevelop the site as additional school premises and residents need to be aware of this. Following consultation on revised plans state that they have since met with the developers and that they have answered their concerns. As such the school now supports the application. 6.18 Billing Brook School - state that they are in favour of the principle of developing the site for housing but have concerns about safeguarding with overlooking of their school from the four storey flats; concerned about location of site access impacting on safety of their pupils; consider additional traffic using Penistone Road will result in more traffic outside the school which will have safeguarding implications; hope that S106 monies could be used to develop a safe walking pathway on both sides of the road and would like to see support for developing a secure car park. Concerned about future security of the estate and that it could be used as a 'cut through'. Would like to see the fence maintained around the outside of the estate for security purposes. 6.19 One objection has been received from a resident in Crestwood Gardens stating that all the space in the NN3 area is being taken away and the area is being turned into a concrete jungle for no reason. Refers to housing being built in Crestwood Road, at Moulton and at the Round Spinney Roundabout. States that streets are not cleaned and trees are not trimmed and the area is deteriorating. ## 7. Appraisal Principle Of The Development 7.1 Whilst is accepted that the site has an allocation within the Local Plan as being a school site, it should be noted that the site has been vacant for a number of years. As a consequence of this, there is no realistic likelihood of the site being used for education or community uses within the foreseeable future. Furthermore, the site does not have any significant landscape value or facilities that could be used for sports or leisure uses. As a consequence of this, it is considered that the development of this site for residential purposes would not be in breach of Local Plan Policy L2. 7.2 Furthermore, it should be recognised that the Local Plan is exceedingly dated and as a consequence, more recent policy documents carry a significant amount of weight. Outline planning permission for residential development on this site has previously been approved. The site is allocated in the Northampton Borough Council Brownfield Land Register and in the Growing Together Neighbourhood Plan as land suitable for residential development. It is considered that the principle of residential development of the site is acceptable and well established, and complies with National Planning Policy and policies within the West Northamptonshire Joint Core Strategy. The site is in a sustainable location with good access to public transport and local facilities. The development of the site for residential use would contribute towards the Council's 5-year housing supply, and enable the re-development of a vacant, misused site which would enhance the character and appearance of the area. ## Design And Layout 7.3 The proposed residential development will consist of 2-storey dwellings and three blocks of 4- storey flats. The site will have one new vehicular access from Billing Brook Road to the north providing the main site road with a spur to the west. From these adoptable roads a number of private drives will extend to service further dwellings and the three blocks of flats. There will be an additional pedestrian access to Billing Brook Road on the west of the site. 7.4 The majority of existing trees on the west boundary are to be retained, as will trees to the north and north eastern boundaries. These will surround a proposed area of public open space which will include an area of Sustainable Urban Drainage (SUDS). 7.5 The 4-storey flats are positioned at the north-eastern corner of the site, at the lowest point adjacent to the proposed area of open space. The flats will overlook the open space and a parking area to the front, providing a good level of natural surveillance. The flats would not feature any private gardens which is considered appropriate given that such accommodation tends not be occupied as family housing. Areas of bin and cycle storage have been identified to serve the flats and a condition is recommended requiring further details of these to secure a good standard of development. 7.6 The proposed dwellings are a mixture of semi-detached properties and small terraces of three and four dwellings. The dwellings are all two storey and ridge heights are fairly similar throughout the site, although the change in ground levels would result in a varying streetscape. The design of the proposed dwellings has been derived from an assessment of the surroundings, but with a more modern style. The applicant has also submitted a proposed palette of materials which ensures that the development would be constructed from materials that are complimentary to the surrounding area. It is considered that the development would not have an adverse impact on the character and appearance of the area. A condition is recommended to secure the proposed materials. 7.7 The development has been designed to ensure that the future residents of the development have an appropriate level of light, outlook and privacy necessary to secure a good standard of accommodation, and in line with the requirements of national and local planning policies. The dwellings have garden spaces sufficient to secure a satisfactory amenity area. To comply with Police comments plans have been submitted detailing secure boundary treatments and including lockable gates for rear shared access paths. 7.8 The majority of car parking would be located within the curtilage of individual dwellings, or off small private drives overlooked by the dwellings. The location of the parking spaces are considered to be acceptable, and offer a secure form of development. ## Impact On Neighbours 7.9 The site is generally remote from any neighbouring residential occupiers, other than four existing houses situated on the opposite side of Birds Hill Walk. These houses are largely screened by trees. Due to this screening and the separation distance between the properties it is not considered that the occupiers of these dwellings will be unduly impacted by the proposal. 7.10 Objections were initially received from Northampton Academy who own a field to the east of the site. Following a meeting with the applicant these objections have since been withdrawn. Billing Brook School to the north of the site have also objected to the proposal with concerns about overlooking from the proposed flats, and also with regard to highway safety. The four storey flats will be located on the lowest part of the site and will be largely screened by highway trees outside the site. Billing Brook School is located on the opposite side of Birds Hill Road and some considerable distance from the application site. It is not considered that there will be any undue overlooking of the school from the application site. Concerns about additional traffic are matters that have been considered by the Highway Authority and are addressed in the following section. ## Highways 7.11 The development would be accessed via Billing Brook Road. A Transport Assessment was submitted with the application which has been reviewed by the Highway Authority. They have identified a need for highway improvements to mitigate the proposal on the southern approach to the junction. Further details of these will be submitted by the applicant and the works will secured by way of a Section 106 Legal agreement. 7.12 The Highway Authority has also raised concerns regarding forward visibility for vehicles turning right into the site. It is agreed that the matter can be dealt with by way of a condition requiring amended plans for the junction design and a condition is recommended to secure this. The Highway Authority also recommend a condition to remove low hanging branches from nearby trees which may affect visibility. These trees are within the highway verge and not within the application site. As such, it is not considered that this is a condition that is reasonable or enforceable. 7.13 The development proposes two off street parking spaces per dwelling, with one off street parking space per flat, with visitor parking proposed on street. The width of the adoptable roads are 5.5 metres to accommodate this. Given the sustainable location of the site, it is considered the scheme represents an appropriate level of car parking and the Highway Authority are satisfied with the level of provision proposed. 7.14 Various amendments have been made to the scheme during the course of the application to comply with Highway comments and recommendations. The original proposal for the development was for houses facing onto Birds Hill Road, providing an active frontage, with car parking spaces located at the rear. However, both the Highway Authority and Crime Prevention Design Advisor raised concerns regarding the security of parking at the rear of the site. The applicant has stated that the adopted highway terminates at the junction between Birds Hill Road and Billing Brook Road and as such parking spaces cannot be provided at the front of the dwellings as they could not be legally accessed. Subsequently, the layout has been amended turning the houses round so that they now back onto Birds Hill Walk. The Highway Authority has confirmed that they now consider the layout to be acceptable. The Crime and Design Officer requires rear boundary treatment to deter crime. This can be dealt with as part of the landscaping scheme. ## Travel Plan 7.15 As the development is located within a short distance from local shops, schools, amenities and public transport the site is in a highly sustainable location. A Travel Plan was submitted with the application however, further information is required to satisfy the Highway Authority's full requirement and a condition to that effect is recommended. ## Drainage 7.16 A flood risk assessment has been submitted with the application together with further information requested by the Lead Local Flood Authority. The Environment Agency and the Lead Local Flood Authority have raised no objections, subject to the imposition of planning conditions. ## Trees And Ecology 7.17 There are a number of trees on the site with the majority around the periphery of the site. The majority of trees on the west boundary are to be retained, maintaining an established buffer to the site and to Billing Brook Road. Several trees within the site and on the eastern and southern boundaries will have to be removed to accommodate the development with the exception of the south-east corner and north-east boundary. An Arboricultural Implication Assessment has been submitted which provides various assessments to show how the proposed development will impact the trees. The Council's Arboricultural Officer has been consulted and has no objections subject to the recommendations of the arboricultural assessment being complied with. A condition is therefore recommended to this effect and to protect the retained trees during development. 7.18 An Ecology and Phase 1 Habitat Survey has been submitted with the application. The Ecology Officer is satisfied that the potential impacts of the development have been satisfactorily addressed. It identifies that the site is not of significance for most species but that mitigation measures for birds and bats would be appropriate. Conditions relating to site clearance and mitigation are recommended. ## Air Quality 7.19 An Air Quality Assessment was submitted following comments received from Public Protection Officers. To comply with the requirements of the Councils Low Emission Strategy it is recommended that electrical vehicle charging points should be provided as mitigation for the impacts of the development. A condition is recommended to secure an appropriate scheme. ## Section 106 And Community Infrastructure Levy (Cil) 7.20 The development of the site would be CIL liable and subject to the requirements of Northampton Borough Council's CIL Regulation 123 List which includes the following:  Northampton Growth Management Strategy  Northampton North West Bypass Phase 2  Indoor sports facilities  Education (excluding primary schools) 7.21 By reason of the scale and type of the development, developer contributions are required to mitigate the relevant impacts, to be secured by way of a Section 106 Legal agreement. The Community Infrastructure Levy Regulations 2010 specify three key legal tests in ascertaining whether a particular obligation can be requested. These specify that obligations should be: i) Necessary to make the development acceptable in planning terms; ii) Directly related to the development; and iii) Fairly and reasonably related in scale and kind to the development. 7.22 In line with policy requirements, 35% of the development would be provided as affordable housing and secured as part of the S106 Legal agreement. The tenure and mix are to be agreed to ensure that an appropriate mix is achieved that addresses the needs of a wider number of people. Furthermore, the legal agreement would ensure that the affordable housing is representative of the overall composition of the development. 7.23 In addition to the highway works as referenced in paragraph 7.11 the Legal agreement would secure financial contributions for the provision of primary education (secondary education being covered by CIL). 7.24 The County Council has also requested financial contributions for fire and rescue, libraries and broadband. There is no policy basis for such payments and it is not clear how they would conform with the statutory tests set out in CIL Regulation 122. Such contributions are not therefore proposed to be requested. 7.25 Whilst an area of open space is provided on site, this is not sufficient to comply with the requirements of the Council's Supplementary Planning Document on Developer Contributions. As such it is recommended that a financial contribution is secured to facilitate enhancements to offsite areas of open space within the vicinity of the site. 7.26 The development will also make a payment and provide opportunities for the provision construction worker training, which would be secured by the legal agreement in accordance with adopted policy. ## 8. Conclusion 8.1 The principle of residential development has been established by the previous outline permission on the site. The detailed design and layout of the current proposal is considered to be acceptable and would make a positive contribution towards the Council's 5-year housing supply. The development would also be of an acceptable design and, subject to conditions would not adversely impact on highway conditions, drainage, ecology or trees, and would have a neutral impact upon the occupiers of neighbouring properties. Suitable mitigation would also be secured through the recommended conditions and the legal agreement. ## 9. Conditions 1. The development hereby permitted shall be begun before the expiration of three years from the date of this permission. Reason: To comply with Section 91 of the Town and Country Planning Act 1990. 2. The development hereby permitted shall be carried out in accordance with the above schedule of approved plans. Reason: For the avoidance of doubt and to accord with the terms of the planning application. 3. The development hereby permitted shall be carried out in accordance with the materials detailed on drawings 40947 032D, 409033A, 40947 035. Reason: In the interests of visual amenity and to ensure that the development will harmonise with its surroundings in accordance with Policy E20 of the Northampton Local Plan. 4. Prior to the commencement of construction works on site, details of the existing and proposed ground levels and finished floor levels of the development shall be submitted to and approved in writing by the Local Planning Authority. Thereafter the development shall be implemented in accordance with the approved details. Reason: In the interests of amenity and to secure a satisfactory standard of development in accordance with Policy E20 of the Northampton Local Plan. This condition is required in order to agree such details in a timely manner. 5. Full details of the method of the treatment of the boundary of the SUDS site within the area of public open space shall be submitted to and approved in writing by the Local Planning Authority, implemented prior to the first occupation of the buildings hereby permitted and retained thereafter. Reason: To ensure that the boundaries of the site are properly treated so as to secure a satisfactory standard of development in accordance with Policy E20 of the Northampton Local Plan. 6. Full details of facilities for the secure and covered parking of bicycles to serve the flats hereby permitted shall be submitted to and approved in writing by the Local Planning Authority. Development shall be carried out in accordance with the approved details and fully implemented prior to the flats being first brought into use and retained thereafter. Reason: To ensure the provision of adequate facilities in accordance with Policy S10 of the West Northamptonshire Joint Core Strategy. 7. Prior to construction work commencing on site an intrusive site investigation shall be carried out in accordance with the recommendations of the Geo-matters Consulting Engineers Report Ref:GML17186/1/1 dated July 2017 and the results shall be used to produce a remediation scheme which shall be submitted to the Local Planning Authority for approval. Construction work shall not commence on site until confirmation of the full implementation of the approved remediation scheme has been confirmed by means of a validation report that has been submitted to and approved by the Local Planning Authority. Reason: To ensure the effective investigation and remediation of contaminated land sites and in the interests of health and safety and the quality of the environment in accordance with Policy BN9 of the West Northamptonshire Joint Core Strategy. This condition is required in order to agree such details in a timely manner. 8. In the event that contamination is found at any time when carrying out the approved development that was not previously identified it must be reported in writing immediately to the Local Planning Authority. An investigation and risk assessment must be undertaken and where remediation is necessary a remediation scheme which is subject to the approval in writing of the Local Planning Authority. Following completion of measures identified in the approved remediation scheme a verification report must be prepared, which is subject to the approval in writing of the Local Planning Authority. Reason: To ensure the effective investigation and remediation of contaminated land sites and in the interests of health and safety and the quality of the environment in accordance with Policy BN9 of the West Northamptonshire Joint Core Strategy. 9. No development shall take place until there has been submitted to and approved in writing by the Local Planning Authority a detailed scheme of hard and soft landscaping for the site. The scheme shall include, where present, the location and species of any existing trees and hedgerows on the land and details of any to be retained. Reason: In the interests of amenity and to secure a satisfactory standard of development in accordance with Policy E20 of the Northampton Local Plan. This condition is required in order to agree such details in a timely manner. 10. All planting, seeding or turfing comprised in the approved details of landscaping shall be carried out in the first planting and seeding seasons following the occupation of the building or the completion of the development, whichever is the sooner, and which shall be maintained for a period of five years; such maintenance to include the replacement in the current or nearest planting season whichever is the sooner or shrubs that may die are removed or become seriously damaged or diseased with others of similar size and species. Reason: In the interests of amenity and to secure a satisfactory standard of development in accordance with Policy S10 of the West Northamptonshire Joint Core Strategy. 11. All trees shown to be retained in the approved plans shall be protected for the duration of the development by stout fences to be erected and maintained on alignments to be approved in writing by the Local Planning Authority before any development works take place. Within the fenced area no development works shall take place on, over or under the ground, no vehicles shall be driven, nor plant sited, no materials or waste shall be deposited, no bonfires shall be lit nor the ground level altered during the periods of development. Reason: In order to ensure adequate protection of existing trees on the site in the interests of achieving a satisfactory standard of development and maintaining the amenity of the locality in accordance with Policy BN3 of the West Northamptonshire Joint Core Strategy. This condition is required in order to agree such details in a timely manner. 12. Prior to the commencement of development a Construction Management Plan shall be submitted to and approved in writing by the Local Planning Authority. Development shall be carried out in accordance with the approved plan, which shall include: • The control of noise and dust during the development process; • Traffic management and signage during construction; • Enclosure of phase or sub-phase development sites; • Provision for all site operatives, visitors and construction vehicles loading, parking and turning within the site during the construction period; • Arrangements during the construction period to minimise the deposit of mud and other debris on to the adjacent highway; • The safe means of access of construction traffic to the site; • Routing agreement for construction traffic; and • The hours in which deliveries and construction works would take place. Reason: In the interests of securing a satisfactory impact upon the highways system and neighbour amenity in accordance with the requirements of the National Planning Policy Framework and Policy BN9 of the West Northamptonshire Joint Core Strategy. This condition is required pre-commencement to ensure that such details are agreed in a timely manner. 13. Details of the provision for the storage of refuse and materials for recycling to serve the flats and apartments shall be submitted to and approved in writing by the Local Planning Authority prior to the occupation of the development, implemented prior to the occupation or bringing into use of the buildings and thereafter retained. Reason: In the interests of amenity and to secure a satisfactory standard of development in accordance with Policies H1 and S10 of the West Northamptonshire Joint Core Strategy. 14. The development hereby permitted shall be carried out in accordance with the boundary plan detailed on drawing number 40947 028D. Reason: In the interests of securing a satisfactory form of development in accordance with the requirements of the National Planning Policy Framework. 15. Full details of the security measures to be incorporated into the development shall be submitted to and approved in writing by the Local Planning Authority. The development shall carried out in accordance with the approved measures, which shall be in place before the occupation of the residential accommodation. Reason: To ensure a satisfactory standard of accommodation is provided in the interests of the amenity of occupants in accordance with Policy S10 of the West Northamptonshire Joint Core Strategy. 16. No development shall commence until a foul water strategy has been submitted to and approved in writing by the Local Planning Authority. No dwellings shall be occupied until the works have been carried out in accordance with the foul water strategy so approved unless otherwise approved in writing by the Local Planning Authority. Reason: To prevent environmental and amenity problems arising from flooding in accordance with the requirements of the National Planning Policy Framework. This condition is required in order to agree such details in a timely manner. 17. No development shall commence until a detailed surface water drainage scheme for the site based on sustainable drainage principles and an assessment of the hydrological and hydro geological context of the development should be submitted and approved in writing by the Local Planning Authority. The scheme shall subsequently be implemented in accordance with the approved details before the development is first occupied and shall be retained thereafter. Reason: To prevent the increased risk of flooding, both on and off site in accordance with the requirements of the National Planning Policy Framework and Policy BN7 of the West Northamptonshire Joint Core Strategy. This condition is required in order to ensure the agreement of such details in a timely manner. 18. No development shall take place until a detailed scheme for the ownership and maintenance for every element of the surface water drainage system proposed on the site has been submitted to and approved in writing by the Local Planning Authority and the maintenance plan shall be carried in full thereafter. Reason: To ensure the future maintenance of drainage systems associated with the development in accordance with the requirements of the National Planning Policy Framework. This condition is required in order to ensure the agreement of such details in a timely manner. 19. Notwithstanding the provisions of the Town and Country Planning (General Permitted Development) (England) Order 2015 (or any order revoking and re-enacting that Order with or without modification), no extensions or other form of enlargement to the residential development hereby permitted, shall take place without the prior written consent of the Local Planning Authority. Reason: In the interests of maintaining a satisfactory standard of development and in the interests of residential amenity in accordance with Policies H1 and S10 of the West Northamptonshire Joint Core Strategy. 20. Notwithstanding the provisions of the Town and Country Planning (General Permitted Development) (England) Order 2015 (or any order revoking and re-enacting that Order with or without modification), no gates, fences, walls or any means of enclosure or similar structures other than approved under this consent shall be erected or constructed in front of the main wall of any dwelling or of any other principal building of the estate nor in front of the line of any flank wall of any dwelling where the flank boundary of the curtilage abuts a highway. Reason: To ensure that the open character of this residential development is maintained in the interests of visual amenity in accordance with Policy H1 of the West Northamptonshire Joint Core Strategy. 21. Prior to the first occupation of any unit of the proposed development the applicant shall provide a Travel Plan for written agreement by the Local Planning Authority. The measures identified shall thereafter be carried out in accordance with a timetable to be included in the full Travel Plan. Reason: In the interests of promoting more sustainable means of travel in accordance with the National Planning Policy Framework. 22. Site clearance should only be undertaken in accordance with the Site Preparation Mitigation Statement prepared by Urban Wildlife Ltd. (Mit1/WP/BB/NN3) dated 16 November 2017. Reason: In the interests of wildlife and nature conservation and promote biodiversity in accordance with Policy BN2 of the West Northamptonshire Joint Core Strategy 23. Prior to the commencement of any work other than site preparation a strategy which provides full details of measures for mitigation of the ecological impacts of the development shall be submitted to and approved in writing by the Local Planning Authority. The development shall be implemented in accordance with the approved details. Reason: In the interests of wildlife and nature conservation and promote biodiversity in accordance with Policy BN2 of the West Northamptonshire Joint Core Strategy. 24. Notwithstanding the details submitted, prior to commencement of development full details of pedestrian and vehicular visibility splays into and out of the development shall be submitted and agreed by the by the Local Planning Authority. Thereafter the development shall be implemented in accordance with the approved details prior to occupation of the development hereby permitted. Reason: In the interests of securing a satisfactory standard of development in in terms of highway safety, in accordance with the requirements of the National Planning Policy Framework. This condition is required in order to agree such details in a timely manner 25. All vehicle parking spaces, access roads, circulation space and footways shall be fully implemented prior to the first use of the residential development hereby permitted and retained for their designated use thereafter. Reason: In the interests of securing a satisfactory standard of development in terms of highway safety, in accordance with the requirements of the National Planning Policy Framework. 26. Prior to occupation of the development hereby permitted, a scheme for the installation of electric vehicle charging points within the site shall be submitted to and approved in writing by the Local Planning Authority. The development shall be carried out in accordance with the approved details. Reason: In the interest of reducing carbon emissions and securing a sustainable development in accordance with Policy S11 of the West Northamptonshire Joint Core Strategy. ## 10. Background Papers 10.1 N/2011/1263 ## 11. Legal Implications 11.1 The development is CIL liable. ## 12. Summary And Links To Corporate Plan 12.1 In reaching the attached recommendations regard has been given to securing the objectives, visions and priorities outlined in the Corporate Plan together with those of associated Frameworks and Strategies.	en
3728-pdf	## London'S Political Climate Tony Travers LSE ## Mayoral Election: 1St Preference Votes - 2000, 2004, 2008 And 2012 \| \| \| \| \| \| \|-------------------------------------------\|-----\|-----\|-----\|----------------\| \| 2000 2004 2008 2012 \| \| \| \| \| \| \| \| \| \| \| \| Livingstone \| \| \| 39 \| 37 \| \| \| \| \| \| \| \| Norris/Johnson \| \| 27 \| 29 \| 43 \| \| \| \| \| \| \| \| Kramer/Hughes/Paddick \| 12 \| 15 \| 10 \| 4 \| \| \| \| \| \| \| \| Greens \| \| \| \| 2.2 \| \| UKIP \| \| \| \| 1.0 \| \| BNP \| \| \| \| 2.0 \| \| Sioban Benita \| \| \| \| \| # Gla Elections: Assembly Seats Won - 2000, 2004, 2008 And 2012 2000 2004 2008 \| Con \| 9 \| \| 9 \| 11 \| \| 9 \| \|---------\|------\|-----\|------\|---------------\|-----\|------\| \| Lab \| 9 \| \| 7 \| \| 8 \| 12 \| \| LD \| \| 4 \| \| 5 \| \| 3 \| \| Green \| 3 \| \| 2 \| \| 2 \| \| \| UKIP \| 0 \| \| 2 \| \| 0 \| \| \| BNP \| 0 \| \| 0 \| \| 1 \| \| ## Gla Elections: Assembly 'List' Vote Share - 2000, 2004, 2008 And 2012 \| \| \| \| \| \| \| 2000 2004 2008 \| 2012 \| \|----------\|-----\|-----\|-----\|-----\|-----\|------------------------------------------------------------------------------\|------------------------\| \| Con \| 29 \| \| 29 \| \| 35 \| \| 32 \| \| Lab \| 30 \| \| 25 \| \| 28 \| \| 41 \| \| LD \| 15 \| \| 17 \| \| 11 \| \| 6.8 \| \| \| \| \| \| \| \| \| \| \| Green 11 \| \| 8.6 \| \| 8.4 \| \| 8.5 \| \| \| UKIP \| 2.1 \| \| 8.4 \| \| 1.9 \| \| 4.5 \| \| BNP \| 2.9 \| \| 4.8 \| \| 5.4 \| \| 2.1 \| \| Oth \| 10 \| \| 7 \| \| 10 \| \| 4.9 \| \| \| \| \| \| \| \| \| \| ## Johnson/Livingstone Vs Con/Lab - Vote Share 2008 And 2012 \| \| \| \| \| \| % \| % \| \|--------------------\|-----\|-----\|-----\|-----\|------\|-------\| \| Johnson \| \| \| \| 43 \| 44 \| +1 \| \| Conservatives \| \| \| 35 \| 32 \| -3 \| \| \| Johnson 'lead' \| \| \| 8 \| 12 \| +4 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Livingstone \| \| \| 37 \| 40 \| +3 \| \| \| Labour \| \| \| \| 28 \| 41 \| +13 \| \| Livingstone 'lead' \| \| 9 \| -1 \| -10 \| \| \| \| \| \| \| \| \| \| \| ## 'Swing' Con To Lab - 2008 To 2012 Mayoral: 1% Assembly: 8% England: 14% 'Ken' effect, or Labour doing worse in London? ## Vote Share - Assembly List And Borough 2002 2004 2006 2008 2010 2012 Max Min LB Ass LB Ass LB Ass Con 34 31 35 37 32 32 60 31 (1968) (2004) Lab 34 25 28 28 33 41 53 25 (1971) (2004) LD 20 18 20 14 22 7 25 4 (1982) (1971) Conservative vote is resilient over time Labour vote is also resilient over time Lib Dem vote in 2012 was its worst-ever in any LB or Assembly elections ## London: "A Labour City"? Conservatives - General Election Vote Share (%) \| \| \| \|-------------------------------------------------------------------------------------------\|-----\| \| London UK London 'lead' \| \| \| \| \| \| 1979 \| \| \| \| \| \| 1983 \| \| \| \| \| \| 1987 \| \| \| \| \| \| 1992 \| \| \| \| \| \| 1997 \| \| \| \| \| \| 2001 \| \| \| \| \| \| 2005 \| \| \| \| \| \| 2010 \| \| \| \| \| \| \| \| ## London: "A Labour City"? Labour - General Election Vote Share (%) \| \| \| \|-------------------------------------------------------------------------------------------\|-----\| \| London UK London 'lead' \| \| \| \| \| \| 1979 \| \| \| \| \| \| 1983 \| \| \| \| \| \| 1987 \| \| \| \| \| \| 1992 \| \| \| \| \| \| 1997 \| \| \| \| \| \| 2001 \| \| \| \| \| \| 2005 \| \| \| \| \| \| 2010 \| \| \| \| \| \| \| \| ## Greater London Council/Greater London Authority Elections GLC/Mayor winner Following General Election winner \| 1964 \| Lab \| \| \| Lab \| \|----------\|-----------\|-----\|-----\|----------------\| \| 1967 \| Con \| \| \| Con \| \| 1970 \| Con \| \| \| Con \| \| 1973 \| Lab \| \| \| Lab \| \| 1977 \| Con \| \| \| Con \| \| 1981 \| Lab \| \| \| Con \| \| 2000 \| Ind (Lab) \| \| Lab \| \| \| 2004 \| Lab \| \| \| Lab \| \| 2008 \| Con \| \| \| Con (minority) \| \| 2012 \| Con \| \| \| ? \| \| \| \| \| \| \| ## London'S Political Climate Tony Travers LSE	en
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0760-pdf	## # Review Of Impact And Effectiveness Of Transparency and Accountability Initiatives: ## Annex 1 Service Delivery Prepared for the Transparency and Accountability Initiative Workshop October 14 - 15, 2010 Anuradha Joshi A.Joshi@ids.ac.uk Institute of Development Studies October 2010 # Impact And Effectiveness Of Transparency And Accountability And Initiatives1 A Review Of The Evidence To Date ## Service Delivery Anuradha Joshi, October 2010 0. Introduction The impact of transparency and accountability on service delivery has always been an underlying motif in the literature on service delivery. Accountability as a central theme of the debates on service delivery however, only took root after the World Development Report of 2004 which identified failures in service delivery squarely as failures in accountability relationships (World Bank 2004). By showing how the 'long route' of accountability (via elected politicians and public officials through to providers) was failing the poor, the WDR argued in favour of strengthening the 'short route'—direct accountability between users and providers. The WDR sparked off a spate of work that examined ways of strengthening the short route: from amplifying voice, increasing transparency and enhancing accountability (Sirker and Cosic 2007; McNeil and Mumvuma 2006). By now, accountability is widely accepted as key to service delivery improvements. What is interesting is that the importance of accountability (and related transparency) comes from two quite different ideological streams. On the one hand, New Public Management (NPM), which emerged in the 1990s, emphasised the use of market mechanisms within the public sector to make managers and providers more responsive and accountable (Batley 1999). While many of the NPM reforms for accountability were focussed on vertical accountability within organizations, e.g. performance based pay; a sub set related to downward accountability to citizens, e.g. citizen charters and complaint hotlines. In keeping with the intellectual traditions from which the NPM approach emerged, most of these downward accountability mechanisms were oriented to users as individual consumers who could choose to use these mechanisms or, alternatively, exit in favour of other providers. On the other hand, and at the same time, the failure of democratic institutions to deliver for the poor also resulted in calls for deepening democracy through the direct participation of citizens in governance (Fox 2007). Innovative institutions such as governance councils in Brazil or village assemblies in India were viewed as embodying this spirit (Cornwall and Coelho 2006, Manor 2004). In parallel, social movements were arguing that governments had an obligation to protect and provide basic services as 'rights' that were protected under constitutions rather than 'needs' which were at the discretion of officials to interpret and fulfil. Advocates of rightsbased approaches to basic services identified ways in which rights could be legislated and progressively achieved, for example in the right to education or the right to health. The rights based, direct democracy approaches were distinct from NPM in that they emphasized the collective and public good dimensions of accountability. While this double-branched provenance was timely in uniting practitioners and scholars in the importance of understanding and enhancing of transparency and accountability, it has simultaneously led to some looseness in what different people mean by the core concepts. Consequently, in the service delivery subsector, the literature which can be classified as, 'efforts to improve service delivery, increase citizen engagement, voice and accountability,' is vast. In order to bound the material for this Review and establish criteria for including or excluding specific initiatives, the first step has been to clarify the conceptual terrain and define what we mean by accountability and transparency initiatives. Transparency initiatives in service delivery are relatively easy to define: any attempts (by states or citizens) to place information or processes that were previously opaque in the public domain, accessible for use by citizen groups, providers or policy makers can be defined as transparency initiatives. Initiatives for transparency can be pro-active or reactive disclosure by government. Although freedom of information laws often play an important part in state or citizen-led transparency initiatives, this Report does not deal with attempts to legislate Freedom of Information or the overall impacts of such a law as it is covered by a separate report. We only focus on instances where freedom of information might have been central to improvements in public services, particularly health and education. Accountability initiatives in service delivery are more difficult to define. What counts as an accountability initiative? The clearest and most basic exposition of the concept of accountability is provided by Schedler (1999) in which public accountability comprises of a relationship between the power holder (account-provider) and delegator (account-demander). There are four elements to this accountability relationship—setting standards, getting information about actions, making judgements about appropriateness and sanctioning unsatisfactory performance. If one takes this conceptualization as a benchmark, then an accountability initiative ought to combine attempts to agree standards, gain information, elicit justification, render judgement and impose sanctions. Yet in the literature on accountability, there is considerable ambiguity about which of these elements are essential for a particular initiative to be considered robust. . Often some, but not all of these four components can be found and have an impact on public services. Moreover, accountability for service delivery can be demanded from a range of stakeholders: of politicians (e.g. not adopting appropriate policies); or of public officials (not delivering according to rules or entitlements, not monitoring providers for appropriate service levels); or of providers (not maintaining service levels in terms of access and quality). Further, initiatives to hold these multiple actors to account can be state-led or citizen-led. In this review, we have chosen to highlight initiatives that are largely citizen-led and fall into the realm of 'social accountability.' This is partly because the recent literature on service delivery has highlighted the failures of traditional accountability mechanisms and placed greater faith in demand-led accountability initiatives from below. The range of such 'social accountability' initiatives is also relatively new and has not been examined closely for evidence of impact. In fact, the emerging literature on social accountability also has tended to use the term quite loosely (Joshi 2008). Some limit the term social accountability to citizen groups monitoring the use of public authority (Peruzzotti and Smulovitz 2006). Others include participation in policy making, policy advocacy and deliberation as part of the social accountability terrain (Arroyo 2004, Malena et al. 2004). Some scholars treat the question as an empirical one: asking whether particular institutional spaces are used for certain kinds of engagement, inclusion and accountability (Cornwall and Coelho 2006). Further, at the outset, we faced the question of whether to include initiatives meant to reform policies or establish new entitlements (e.g. collective action for a right to education law). If one takes a broad view of accountability, particularly accountability to citizens on the part of elected legislators (promising to pass policies that they were expected to deliver), then such attempts to change policy from below would fall within the purview of accountability initiatives. We have many examples of social movements mobilizing and succeeding in reforming laws (Gaventa and McGee 2010). However, for the purposes of this Review, we have left these out because such cases are part of complex political processes in which citizen action forms only a part of the story. Fortuitous political circumstances, leadership by particular individuals and other contextual factors are often critical parts of successes in non predictable ways. While process tracing can show how citizen action contributed to particular outcomes we cannot treat them as pure accountability initiatives in the strict sense (in the sense of passing judgement on the conduct of public officials who had been delegated powers). They fall within the remit of normal politics. Our focus then, is to examine initiatives that are explicitly oriented towards monitoring and demanding accountability for performance in services that are widely accepted as entitlements (either 'hard' entitlements through laws or 'soft' ones through government rules or widely accepted norms). In doing so, we need to differentiate what we call accountability initiatives (which involve monitoring and sometimes sanctions) from the broader literature on participation and citizen engagement. While participatory approaches might be part of accountability initiatives or accompany them, they go beyond accountability work. Further, the literature often discusses both 'voice' and accountability initiatives together—raising the issue that 'voice' could be raised in the interest of participation as well as accountability (Rocha Menocal and Sharma 2008; Green 2008). We do this by explicitly excluding attempts by citizen groups to link users with government services (e.g. encouraging women to go to public hospitals for child deliveries) or attempts by providers to engage citizens in the delivery of services or participate in decision-making (e.g. involving households in spreading messages about hygiene and sanitation, or participatory planning). We also exclude examples where citizen groups are mobilizing and self providing services, or helping access government services (e.g. community health insurance groups for paying for access to public health care). On the one hand narrowing down our focus in this fashion makes the evidence to be reviewed more manageable. On the other hand, however, the problem of attribution remains: in many cases, accountability initiatives are one part of a package of strategies that citizen groups use to gain better services—mobilization, political advocacy, intermediation, self provisioning, participation etc. For example, HakiElimu in Tanzania appears to have made some impact on the education system (e.g. improved teacher pupil ratios, through a strategy of budget analysis, research, media dissemination, policy analysis, monitoring and advocacy (IBP 2008). This makes the task of isolating the impact of accountability initiatives difficult; and harder because a large part of the evidence comes from case studies involving narrative descriptions of the impact of citizen-led initiatives that do not separate out the contribution of different strategies. It also raises the important question that further research needs to examine: what is the relationship between transparency, accountability and participation in improving public services? Finally, the remit of this sector paper—to review the impact of transparency and accountability initiatives in the health and education sectors—poses some challenges. First, the evidence on the impact of many accountability initiatives in the service delivery subsector is oriented around the tools of accountability such as PETS, citizen report cards, social audits, community monitoring etc. Evidence of the impact of these is not confined to the health and education sectors. In order to capture the learning from these broader experiences with the specific accountability tools, we have included literature from other sectors that seems relevant. Second, there is an issue that is of relevance to health and education specifically: that of uptake by the poor. When public health or education services are poor, the poor often choose to go elsewhere—either to private practitioners of uncertain quality (e.g. health care) or to opt out (e.g. not send their children to school). Thus accountability initiatives targeting health and education are often attempting to both improve the quality of services, but also increase uptake so that accountability mechanisms can come into play. Separating out the impact of these different strategies can be difficult as we shall see in the cases reviewed. Finally, it should be clarified that this review is not exhaustive, but illustrative. We have excluded from this report the literature that deals with accountability initiatives related to budgets and freedom of information (unless they deal specifically with health and education) because these are the focus of separate sub-sector papers. With these preliminary boundary setting parameters in place, the next section reviews the expected impacts of accountability and transparency initiatives and the theories of change that underpin them. Section III forms the bulk of the paper and presents the evidence on impact. The methodologies used in assessing evidence are discussed in Section IV and the key factors that seem to be common to successful initiatives briefly outlined in Section V. In the concluding Section (VI) we point to some of the main gaps in the literature on impact where research efforts need to be focussed. I. Assumptions and Expected Impacts The links between transparency and accountability and their impact and effectiveness in the service delivery arena are often largely assumed rather than explicitly articulated. Most generally, the assumed link leads from awareness (through transparency and information) to empowerment and articulating voice (through formal and informal institutions) and ultimately accountability (changing the incentives of providers so that change their behaviour and respond in fear of sanctions). Yet, this chain of causation is seldom explicitly examined. In fact, many initiatives are focussed at increasing transparency and amplifying voice, without examining the link of these with accountability and ultimately responsiveness. There is also lack of clarity in what the expected impacts actually are—for example, some studies look at the strengthening of the media as expected impacts (COMGAP 2007) while others consider an active and independent media to be a factor in other impacts such as improved responsiveness. This confusion arises partly because studies of impact rarely look at the impact of accountability and transparency alone—they often look at the impact of a range of governance interventions. Moreover, different studies identify a wide range of expected impacts—from improving the quality of governance (Malena et al 2004) to increased empowerment of citizens (Gaventa and Barrett 2010). Examining this diverse literature however, one can classify expected impacts into three broad categories. The first, and often strongest set of claims in relation to service delivery, is that accountability and transparency initiatives expose corruption. Transparency, in particular is expected to help in exposing corruption through highlighting discrepancies in public accounts and triggering more formal accountability mechanisms such as audits and investigations. In this narrative of the role of transparency however, there is an underlying assumption: that the information made public through transparency initiatives will have to be used by concerned citizens through exercising voice and expressing outrage at misconduct. And there is an assumed relationship between increased voice and improved accountability—as Fox (2007) puts it, transparency will not always lead to accountability. Even when citizens protest against misconduct, there needs to be a pressure for public authorities to respond and sanction those responsible. Certain transparency and accountability mechanisms, especially when supported by the threat of credible sanctions, are expected to shift the incentives of public officials by increasing the probability of exposure and the cost of being found guilty. The second, related set of claims is that transparency and accountability lead to increased responsiveness on the part of providers; improved access and quality of services; and consequently better developmental outcomes. These claims are based on a number of changes at intermediate levels including, improved policy, practice, behaviour and power relations (Rocha Menocal and Sharma 2008). Underlying this claim are a number of assumptions--that the exposure of poor performance will lead to greater responsiveness; that failures in service delivery are due to poor motivation on the part of public officials and not lack of resources or capacities; or that the existence of accountability and transparency mechanisms will have a deterrent effect on errant officials and make them behave better. Yet, there is no clear reason why all of these assumptions will hold true in specific cases: public providers may be immune to exposure of poor performance, increased citizen voice may be met with backlash and reprisals, lack of resources may constrain public officials' capacity to respond, and accountability mechanisms may not be enough of a deterrent. In addition, there is an assumption that the outputs of public services (e.g. increased enrolment), will lead to improved developmental outcomes in health and education. Outcomes may be contingent on other factors unrelated to quality or access, and might need complementary interventions. Finally, a related, often unstated assumption is that effective institutions are transparent and accountable—in other words 'all good things go together.' Yet, we know that there is a tension between effectiveness and accountability and need to tease out the conditions under which the two move in parallel (Mainwaring 2003). Thus the claim of better accountability and transparency systems leading to improved outcomes in service delivery is based on a series of step by step assumptions that are subject to question in specific cases. The final set of claims is that transparency and accountability initiatives lead to greater empowerment of poor people, greater awareness of rights by users and greater engagement in service delivery through the practice of citizenship. The logical chain linking transparency to empowerment is clear: information is power. When better information about rights and processes is disseminated, awareness about entitlements is likely to increase. In the case of accountability initiatives however the logic is less straightforward: does the active practice of holding public providers to account lead to citizens getting empowered and more likely to engage with other processes related to citizenship? The causal relationship might be the other way around, it is citizens who are mobilized and already participating in other ways (advocacy, self provisioning) who are more likely to engage in accountability activities. We simply do not know much about when do citizen groups engage in social accountability activities. To the extent that accountability initiatives are collective and aggregate citizen voice, they can be empowering of the poor, whose strength lies in numbers. The various transparency and accountability initiatives reviewed for this Report have different underlying theories of change about impact. For example, citizen report cards and community score cards are based on the assumption that providers care about their rankings either because of their reputation or potential loss of users. Community monitoring implies more of a watchdog role that can pitch community members in an adversarial relationship vis-à-vis providers. Public Expenditure Tracking Surveys (PETS) are largely meant to expose blocks in fund flows and expose corruption and improve provider behaviour due to fear of exposure. Thus, not all accountability initiatives are expected to deliver on all three categories of impact, and the actual evidence reviewed suggests that their impacts vary on the three dimensions. II. The Evidence of Impact The evidence on impact of transparency and accountability initiatives in the service delivery subsector range from the highly quantitative, e.g. assessing the impact of narrowly defined interventions through RCT's to the largely qualitative case studies and narratives that allude to the impact of citizen groups on improving services rather than being the focus of the research. There are relatively few quantitative studies that examine the impact of transparency accountability initiatives through ex-post evaluations. Moreover, and quite importantly, the quality of the evidence varies considerably—while RCT's and similar evaluations are fairly robust and some qualitative case studies are detailed and carefully explored, other case material is descriptive than analytical and require extracting evidence on impact, rather than being impactfocussed. Given the limited of evidence, of varying quality, there is a growing interest in this area and there are several projects underway which are attempting to explicitly evaluate the impacts. For example, Global Integrity along with the World Bank is developing indicators to assess the impact of access to information in health and education services (Global Integrity 2010). The DFID-funded Governance and Transparency Fund (GTF) projects have institutionalized baseline data collection and are developing indicators in order to assess impact of their work in the future—it is too early to comment on the impact of the projects based on preliminary reports. From the existing assessments, there are no attempts to compare the impacts of different mechanisms or reach broader conclusions about the factors that contribute to success in specific strategies. The overall evidence suggests that transparency and accountability initiatives score higher on effectiveness (in that they are often well implemented and reach first order goals—complaint mechanisms are used, or corruption is exposed) than on impact (in improving responsiveness of providers, or improving services themselves), The evidence also suggests mixed impacts on the three sets of expectations outlined earlier. Rocha Menocal and Sharma (2008), evaluating the impact of five donor-led voice and accountability initiatives conclude that donor expectations of such initiatives in terms of poverty alleviation goals or the achievement of the MDG's is too high. None of the interventions studied could clearly demonstrate impact towards the MDGs. Rather, they conclude that the contribution of these initiatives was in terms of more intermediate changes such as changes in behaviour and practice of public officials and some changes in policy. The interventions studied in their evaluation however, do not explicitly focus on health or education services. In general, there appears to be limited evidence of impact on broader developmental outcomes. They find that when voice and accountability interventions are targeted directly to women and marginalized groups, there is some impact on empowerment (however, it is not clear what indicators of empowerment being used in these studies). In a report evaluating 100 case studies that mapped the outcomes of citizen engagement, Gaventa and Barrett (2010) find over 30 cases in which significant impacts were made in service delivery including in the health and education sectors. For example, in Brazil, the new participatory governance councils have been significant in improving access and quality of health care services. In Bangladesh, parents of girls in schools mobilized to monitor teacher attendance and discourage absenteeism. While the methodology used to synthesize comparative findings advances the ways in which qualitative case material can be analysed; the cases cover all forms of citizen engagement (not isolating transparency and accountability initiatives). There are a few examples of studies examining whether top-down accountability initiatives work better than bottom-up initiatives and the evidence seems mixed. In an interesting examination of whether top down or bottom up accountability mechanisms work better, Nguyen and Lassibille (2008) report on a random experiment in which different approaches were compared in schools in Madagascar. The findings showed that demand-led interventions led to significantly improved teacher behaviour, improved school attendance and test scores compared to the top-down interventions which seemed to have minimal effects. It appears that although managers had better tools to hold lower level staff accountable, they were unlikely to do so without greater incentives. Similarly another random experiment in Kenya found that hiring contract teachers along with community monitoring along had significant impacts on student achievements. In contrast, a widely cited study on citizen monitoring of road projects in Indonesia found that citizen monitoring had little average impact compared to increasing government audits (Olken 2007). What emerges is that there are few comparative studies that look explicitly at impact of accountability initiatives. In the absence of comparative literature on impact, particularly on health and education, the rest of this section is organized around the new mechanisms of accountability and transparency focussing on social accountability. We start with simpler efforts to increase transparency and end with more complex initiatives meant to improve accountability. A. Information dissemination There have been a number of recent studies attempting to assess the impact of transparency and information on citizen engagement and service provision and the evidence seems mixed. An RCT examination of the impact of a community-based information campaign on school performance in three states in India found that the intervention had an overall positive impact (Pandey et al 2009). The greatest effect was on teacher presence and effort whereas the impact on pupil learning was more modest. By contrast, in another RCT study of the impact of information on the ability of communities to engage in accountability mechanisms and subsequent impacts on quality of services in India, Banerjee et al (2009) show that providing information (about the education programme as well as the level of child achievement in literacy and numeracy) had little impact on engaging with the school system or demanding accountability. Rather, when community volunteers were trained to carry out remedial classes outside the classroom, it had a greater impact on children's literacy and numeracy skills. The paper concludes that communities face serious constraints in engaging to improve the public school system even when they have information and a desire to improve education. As Khemani (2008) points out in her comparative paper of the Indian and Ugandan cases, two different studies of community engagement with information came to two strikingly different conclusions. B. Public Expenditure Tracking Surveys Public Expenditure Tracking Surveys (PETS) have been used in many countries to highlight leakages and gaps in the delivery of funds to the local level. In a survey of PETS in Africa Gauthier (2006) notes that in almost all cases, they have highlighted the leakage of resources reaching facility levels. Reinikka and Svensson's (2005) pioneering examination of education expenditures in Uganda using PET surveys showed that on average only 13 percent of the actual expenditure meant for schools actually reached them. When this information was made public through an experimental information campaign, the funds reaching schools increased substantially up to 90 percent. The Ugandan government has made resource information at each tier of facilities public. Although this widely cited case has been questioned by subsequent research (see Hubbard 2007), however the broad findings of the study still stand. In Malawi, the Civil Society Coalition for quality in Basic Education has used PETS three times to achieve impact, improving its methodology each time (IBP 2008). PETS survey information was used to successfully resist the closure of teacher training colleges, get teacher salaries paid on time, and make budget allocations for students with special needs. In 2004, the government started conducting its own tracking survey following CSCQBE's success. Early indications of PETS in Tanzania for health and education spending carried out over two periods (1999 and 2001) suggest that corruption has reduced considerably (Gauthier 2006). These cases however are exceptions. Despite their success in identifying leakages and publicizing them, however, the evidence suggests that PETS have led to reforms in only a few countries, mainly due to lack of political will (Gauthier 2006). C. Complaints Mechanisms Another popular measure for increasing accountability of providers comes from variations on the complaint mechanisms including complaint hotlines and complaint management systems. In combination with citizen charters which lay out service delivery norms for basic services, these are intended to bring problems quickly to the attention of relevant personnel and set up standards for addressing complaints, which are monitored by senior managers. For the most part, such technology-based mechanisms are usually limited to urban areas. Complaint mechanisms have been initiated both by citizen groups as well as public organizations. In Hyderabad, Metro water started a complaint hotline which offered a formal accountability mechanism for citizens. By using this direct link with citizens, managers were able to hold frontline providers accountable. The findings of this evaluation suggested that the performance of frontline workers improved and corruption was considerably reduced (Caseley 2003). In Mumbai, India, a citizen group initiated the Online Complaint Management System (OCMS) which streamlined all complaints on urban public services into an online database which could be used to compile data on time taken to address complaints compared to set norms. An early World Bank study found that the system was successful in putting pressure on public officials to deal with complaints on time. In another initiative, Lok Satta, a citizen group in Andhra Pradesh, worked with municipal authorities to publicise citizen charters for forty common public services in one hundred municipalities in the state combined with efficient complaint mechanisms. The charters were combined with the training of citizens to monitor services and a compensation clause that pays citizens Rs. 50 per day of delay in public services. A review of this experience suggests that the charters have worked better in urban areas than in rural areas because of greater awareness. It was also found that the compensation clause to be recovered from the salary of the employee at fault has been 'properly implemented' (Sirker and Cosic 2007). There is other research showing that citizen dissatisfaction with services at the local level often take the form of individuals complaining loudly publicly about their treatment by frontline providers what Hossain (2009) calls 'rude accountability.' Such naming and shaming might be the only option for very marginalized groups and seems to work particularly well for women; however the broader impact and potential for scaling up such a strategy remains to be researched. D. Citizen Report Cards Citizen Report Cards follow the practice of consumer satisfaction surveys in the private sector. Citizen report card surveys can be carried out by citizen groups or independent bodies. The expectation is that public exposure of comparative poor performance will spur lagging public agencies to perform better. The distinguishing characteristic of citizen report cards is that they are individual opinion-based and usually done at the macro level. The evidence of impact of such Citizen Report Cards has been mixed. A positive review of the Citizen Report Cards in Bangalore (where they were first pioneered by a citizen group called the Public Affairs Centre) by Ravindra (2004) shows that they have had considerable impact on improving public services. As a UN report indicated, not only did public satisfaction with services improve, but the incidence of corruption appears to have declined (UN 2007:87-88). Further, the evaluation identified that citizen mobilization and awareness had increased as a result of the report cards, and more interestingly, public agencies had become more transparent and willing to share information with citizen groups. Two factors seem to be critical in influencing the impact of report cards as identified by this assessment—a) the presence of a active and independent media and civil society organizations that are willing to use information to press for accountability and reforms and b) the presence of public officials who are catalysed by the poor performance of their agencies and willing to reform. A more mixed assessment of provider based report cards is provided by McNamara (2006) who has assessed their use in the health sector in the United States. She finds that the impacts depend to a large extent on the indicators that are actually used in evaluating providers. In some cases, providers have improved services in response; in others, providers have worked towards improving rankings by using strategies that might undermine services. What is interesting is that uniformly, it appears, publicly generated performance data has not influenced citizens' choice of facilities. In the developing world, Uganda has used report cards to rank hospitals (Uganda DISH, 2004). Although no systematic studies of their impact on services have been done, it appears that the average score of providers climbed substantially in the two report card periods. Yet the findings of impacts on service delivery based on report card type initiatives have to be interpreted cautiously. As Deichmann and Lall (2007) show, citizen satisfaction is in part determined by factors unrelated to actual service quality experienced by the households. More recent efforts to use Citizen Report Cards are moving away from satisfaction surveys to more objective indicators of the actual quality of services received as is evidenced by the Delivering Services Indicators proposed for education and health services in Africa (Bold et al 2010). E. Community Score Cards Several groups are now using Community Score Cards to assess the performance of local public services. Community Score Cards are a hybrid of citizen report cards, community monitoring and social audits. Besides assessing levels of service satisfaction by users, the Community Scorecard process involves community meetings in which performance of public services is discussed among providers, users and other stakeholders and includes self-evaluation of their own performance by providers as well as formulating an action plan based on scorecard outputs. A key feature distinguishing Community Scorecards is the collective engagement of both providers and users, in designing, implementing and use of the Cards. Analysis of the use of community score cards in primary health care services in Andhra Pradesh, India found that there were stark discrepancies between the self-evaluation of providers and the evaluation of communities (Misra 2007). Subsequent discussion of these different perceptions resulted in an action plan in which providers agreed to undergo training to improve their interactions with users, to change timings of the health centre to better meet community needs, to institutionalize a better grievance redressal system and to display medicine stocks publicly. Overall the process resulted in increased user satisfaction levels and better understanding of the constraints providers face. In Madagascar, assessing services using the Local Governance Barometer (LGB) (a process that involved local officials and communities) found that there were very low levels of perception of accountability by citizens (Dufils 2010). The resultant action plan had several positive impacts: effective channels of collaboration and communication were developed; complaint processes were improved; and recruitment procedures for municipal staff were improved, with more women being hired at senior levels. Hakikazi, an initiative in Tanzania is using a hybrid of community score cards and citizen report cards to assess the progress of their Poverty Reduction Strategy (Sundet 2004). The cards, called PIMA cards are individually administered but set in the context of group discussion. However, the initiative is quite new and too early for evaluating impact. F. Community Monitoring Community monitoring is a slightly different from the Community Scorecards in that the idea is to monitor ongoing activities of public agencies (rather than rate outcomes). Often community monitoring is used as a way of ensuring that ongoing performance is as per norms—and is focussed on observable features, for example, teacher or doctor attendance, quality of construction in facilities or ensuring appropriate procedures are followed. In particular, community monitoring has been useful in bringing to light instances of corruption or diversion of public resources. In Uganda, community monitoring by the Uganda Debt Network has been successful in improving facilities at the local level. Monitoring by trained community workers led to the identification of 'shoddy work' by contractors in the construction of classrooms and health posts (Renzio et al. 2006). In several cases community monitoring reported some of the equipment allocated to a health post as missing, and official investigation led to recovery of the missing material. Community monitoring can improve the quality of services. In an experiment Bjorkman and Svensson (2009) found that when local NGOs encouraged communities to engage with local health services, they were more likely to monitor providers. As a result, provider absenteeism declined and responsiveness increased in terms of shorter waiting times, greater efforts to respond to community needs. Usage of public health services also increased, and was reflected in better health outcomes such as reduced child mortality. These findings reflect a vicious cycle in some public services (e.g. poor quality, lack of uptake and interest, resulting in further worsening of quality and lack of accountability). When uptake increases, then accountability demands are also likely to increase: as a corollary, when accountability exists, uptake will increase. Duflo et al (2008) found that improving incentives for teachers combined with strong accountability mechanisms improved teacher attendance rates in schools in India. In the randomized controlled trial, cameras were given to schools to take pictures (digitally dated) of teachers at the beginning and end of each day. Teachers were guaranteed a base pay with additional increments linked to attendance rates. Absence rates in treated schools dropped to 21 percent (compared to a little over forty at baseline and in comparison schools) and stayed low even after fourteen months of the program. This study illustrates that accountability mechanisms alone may not be sufficient to result in provider responsiveness and subsequently better services. Greater capacity (and incentives) on the part of providers may be necessary accompaniments to accountability. G. Public Hearings and Social Audits In India, the MKSS pioneered the strategy of using public hearings (jan sunvais) to hold public officials accountable for local level implementation of programmes. Jan sunvais operate by first gathering information about the budgets and expenditure in public programmes and presenting and verifying these in a public gathering in which all relevant stakeholders—public officials, elected leaders, private contractors and workers—are present. These early public hearings had significant impact in exposing corruption in public works programmes, and in some instances even getting public officials to return the money that they had appropriated. Apart from the work of MKSS which has been widely publicised, Parivartan, a grassroots organization in Delhi held public hearings on the implementation of the Public Distribution System (PDS)—a large food subsidy programme intended for the poor. The depth of corruption exposed through the process led to improvements in the operation of PDS as well as institutionalization of a system of monthly 'opening of the books' for public scrutiny (Pande 2008). Public hearings have also been held by the Right to Health movement in India in an attempt to expose the poor access to healthcare for the poor and provide an evidence base for advocating reforms. There has been no clear study of their impact (Duggal 2005). While initially such public hearings were informally organized, due to their success and widespread credibility, they have been institutionalized in some national programmes, most prominently the National Rural Employment Guarantee Act (NREGA) in the form of social audits. A study of social audits in the state of Andhra Pradesh where the state has taken a lead in institutionalizing them, found that social audits have led to a statistically significant increase in employment generated, as well as an increase in the exposure of corruption within the programme—with a significant amount of programme funds being recovered (Singh and Vutukuru 2010). To summarize, there is a sufficient mass of evidence now suggesting that the new accountability mechanisms have been effective in their immediate goals—citizen report cards have been implemented and publicized, community monitoring has been carried out and information has been publicised. There is strong evidence of impact on public services in an array of cases. Mechanisms helping to expose corruption (e.g. public expenditure tracking or community monitoring of infrastructure) have had the clearest impact in terms of bringing to light discrepancies between official accounts and the reality of practice (e.g. absenteeism). Initiatives have also been quite successful in increasing awareness of entitlements, empowering people to demand accountability and claim rights as well as increase the practice of active citizenship. Where the evidence is more mixed however is the impact on actual quality and accessibility of services themselves. Despite demands for accountability and exposure of corruption, experience suggests that the kinds of direct social accountability mechanisms discussed above, have little traction unless they are able to trigger traditional accountability (e.g. investigations into corruption) and impose formal sanctions (fines for delays in provision of services). Factors such as these that impact the success of social accountability are taken up in section Five. III. Methods In the past decade, there has been a lively debate in the field about the best methods of evaluating accountability and transparency initiatives (Foresti et al 2007, O'Neil et al 2007, Holland and Thirkell 2009). The studies examined for this paper use a variety of approaches ranging from the strictly quantitative to the highly qualitative and from external, ex-post evaluations to participatory, practitioner assessments of impact. Underpinning most approaches are implicit theories of change that lead to different kinds of outcomes being evaluated. For example, Foresti et al (2007) use a theory based results chain to understand the impact of voice and accountability interventions comprising of a) opportunities and entry points; b) institutional and organizational capabilities; c) voice and accountability channels and actors; d) changes in policy, practice and behaviour, and e) broader development outcomes. Yet, the methodologies available in the literature often do not seek to evaluate or measure intermediate steps in the causal chain. For the most part the evidence reviewed here consists of four types: a) Case study material: This often largely qualitative material dominates the literature and is often more descriptive than analytical. For example, several stocktaking initiatives of social accountability initiatives undertaken through the World Bank as well as practitioners provide narratives of initiatives and attribute impact, without clarity as to how these judgements of impact were arrived at (Claasen and Alpin-Lardies 2010, Novikova 2007, McNeil and Mumvuma 2006, Sirker and Cosic 2007). Many of these cases are recorded by practitioners involved in the initiatives themselves and tend to be reports about successful cases. While this enriches cases with detailed narratives of strategies, timeframes, actor perspectives and intermediate setbacks, they are often less strong in separating out the contribution of social action from other contextual factors. There are fewer 'objective' studies, especially of failures with analysis of the reasons for disappointing results. Many of the studies are reviews of the outcomes of specific initiatives without any attempt to draw broader conclusions about the effectiveness of specific interventions under particular contexts. b) Quantitative survey material: There are very few cases of independent ex-post evaluations of accountability and transparency initiatives which attempt to evaluate the three categories of impact described earlier. An exception is the study of the Citizen Report Cards in Bangalore which used a two track methodology—of surveying citizens on perceived improvements in services, reduction of corruption and increased empowerment and qualitative interviews with public service officials to understand the impact that the Report Cards had on their work (Ravindra 2004). Another exception is the work done by Caseley (2003) evaluating the impact of accountability reforms in Metro Water which assessed performance in terms of accessibility of accountability mechanisms, reduction of corruption and increased responsiveness. But more work is needed explicitly comparing similar initiatives in different contexts to more closely isolate the factors that matter. c) Randomized Control Trials: There is a growing use of Randomised Control Trials to evaluate the impact of specific interventions on well defined outcomes and the methodology is increasingly preferred as a means of demonstrating impact (Duflo, Hanna and Ryan 2008, Bjorkman and Svensson 2009, Banerjee et al 2010, Olken 2007, Pandey et al 2009). The JPAL based at MIT has been the main pioneer of this methodology. While the methodology is rigorous and comparative, the interventions that are assessed tend to be quite narrow and the results have to be supplemented by qualitative work that can unearth processes through which the impacts are actually achieved. d) Participatory Evaluations: In several of the case studies, participatory evaluations and surveys have been the basis of judging impact. User involvement in assessing outcomes has been especially prevalent where in community score card initiatives in which there is a collective discussion of the state of public services and the development of an action plan in combination with public providers. Assessment of the changes that result is a natural extension of the evaluation methodology. Such methods are valuable because they focus on indicators that matter to users. IV. Key Factors The main finding of this review is that the wide range and diversity of initiatives in the service delivery sector make it very difficult to establish conclusions about key factors that matter in achieving impact, even within similar initiatives. The initiatives themselves vary widely even within the same broad subtype—for example within community monitoring of services. Caution is advised, as not all initiatives will result in the same kind of impact (Khemani 2008). In fact, most studies conclude that there is an urgent need to examine why certain transparency and accountability initiatives succeed and what factors seem to matter. The overarching lesson seems to be, not surprisingly, that the context matters. Political economy factors, the nature and strength of civil society movements, the relative political strength of service providers (e.g. teacher unions), the ability of cross-cutting coalitions to push reforms, the legal context, and an active media all appear to have contributed in varying degrees to the successful cases. Despite these constraints, some general themes that are common across several cases can be drawn from the existing review. First, several studies highlight that citizen-led initiatives have impact when there is willingness from the public sector to support attempts to improve accountability. This could be in the form of combined top-down and bottom-up approaches (Nguyen and Lassibille 2008) or in the form of sympathetic reformists within government (Pande 2008). In some cases, successful demands for accountability from below were accompanied by changing the incentives of public providers through carrots (Duflo et al 2008) or sanctions (Sirker and Cosic 2008). Second, most available evidence of impact is based on collective action rather than individual action. This could be because collective accountability mechanisms are better suited to use by the poor and vulnerable and are more likely to result in improved public good benefits as opposed to the private benefits that can be the outcomes of individual action (Joshi 2008). In particular collective accountability is more likely to result in reduced corruption and increased empowerment of people as citizens. It is possible that this conclusion arises from a bias in the literature itself, that has privileged collective action over individual voice and accountability measures. A research question that remains is whether individual action is effective and impactful beyond the individual benefit derived e.g. from personally getting better attention from the doctor or accessing ones entitlement to school textbooks. Third, accountability or transparency mechanisms that have the potential to trigger strong sanctions are more likely to be used and be effective in improving responsiveness by providers. Without the threat of effective sanctions (and resulting impacts), citizen mobilization is difficult to sustain in the long run. When repeated exposure of corruption is met with inaction, continued use of public exposure as an accountability strategy will likely die. Social accountability mechanisms have impact when they can trigger traditional accountability mechanisms such as investigations, inspections and audits. Fourth, information and transparency are a necessary but not sufficient condition for desired outcomes to be realised. An active and independent media seems to be a critical part of several of the successful cases. However, other contextual factors shape whether information will be used by citizen groups to demand accountability. Finally, and most importantly, accountability and transparency initiatives without corresponding support for increasing the capacity to respond can lead to inaction and frustration on the part of providers (Gaventa and Barrett 2010). Often successful initiatives have constructive engagement and dialogue between providers and users about potential reforms as part of the process of demanding accountability (Bjorkman and Svensson 2009, Fung 2001, George 2003). The community score cards approach seems to encapsulate the best of this strategy, by attempting to surface discrepancies between provider and user perceptions of service quality and working towards solutions through collective discussion and debate. The evidence to date suggests that there is a balancing of tension between demanding accountability and engaging with providers to understand the constraints they face. Information, dialogue, negotiation and compromise are key elements of such engagement. What this points to is that conceptual we need to understand the impact of accountability on its own, but also tease out its links with other forms of participation. V. Gaps This review finds that there are serious gaps in our understanding of the impacts and effectiveness of transparency and accountability initiatives in service delivery. The gaps are both conceptual as well as empirical. The conceptual gaps are critical, because they make comparability of the available evidence difficult. Although there seems to be a consensus about the importance of social accountability in improving service delivery, there is little consensus about what it exactly means. Some scholars seem to take a wide definition that encompasses almost all citizen engagement, e.g. Malena et al 2004. Others limit the use of social accountability to the monitoring of the exercise of public authority (Peruzzotti and Smulovitz 2006). There are important trade-offs in terms of analytical traction in using one set of definitions over another, but we do not actually know what they are. The question that needs to be asked is: what kinds of definitions are useful for which purposes? Moreover, as discussed earlier, while definitions of accountability usually include four elements (standards, information, justification and sanctions) there is some vagueness as to which of these form a core part of social accountability. Without a clarification of the conceptual terrain, assessing the evidence systematically remains a challenge. The empirical gaps add to the conceptual ones. As discussed earlier, there are few studies that look explicitly at impact or effectiveness—evidence has to be culled from existing accounts that are not oriented to evaluating impacts. In parallel, there is little in the form of theories of change that underpin descriptions of accountability and transparency initiatives. Because the assumptions behind specific initiatives are not made explicit, it becomes difficult to judge the extent to which initiatives were successful in the intermediate steps. There are many normative assumptions about impact and confusion about means and ends. There needs to be more explicit investigation of impact on outcomes of services rather than simply outputs. What are the kinds of interventions that are likely to improve quality of education and learning outcomes rather than simply deal with teacher absenteeism? Another problem is that the case material reported here tends to take a snapshot view of social accountability initiatives: often limiting analysis to a specific intervention and its subsequent unfolding of outcomes. Part of the reason for this is many of these initiatives are externally driven and circumscribed by project cycles (or research timeframes in the case of RCT's). Thus most studies do not examine a longer trajectory of citizen-state relationships or civil society networks that underpin the outcomes in specific social accountability initiatives, neither do they examine the influence of citizen-led activities outside the narrow scope of the initiative. Other research has shown that the history and trajectory of citizen-state interaction and informal relationships between societal groups and state actors matters in understanding outcomes .2 This lack of attention to histories and patterns of citizen-state relationships hides a more substantial gap: we do not have robust understandings of the origins of social accountability initiatives. We simply do not have systematic evidence or propositions for why citizen groups engage in social accountability in some settings and not others, over some issues and not others or at some points of time and not others. The answers to these questions is important because it enables us to understand the triggers of social accountability activities and the likelihood that institutions created to encourage social accountability will be occupied. For example, emerging research suggests that participation of citizen groups policy reform processes 'upstream,' will increase the likelihood of their engagement in social accountability activities 'downstream' (Houtzager, Joshi and Lavalle 2008). Another substantial gap in the service delivery area arises from the narrow 'object' of citizen-led accountability activities—the state. Most of the evidence on social accountability comes from citizen led action that targets the state or state providers. As a first cut, this state-focus is useful. However, we know that increasingly the state is only one of an array of legitimate actors who exercise public authority and provide services. Privatization, decentralization and varieties of co-production increase the disjuncture between traditional accountability mechanisms and the new forms of pluralistic governance. We have unfortunately little understanding of how social accountability initiatives fare when they target a diverse set of non-state actors. Further, despite the growing literature on the wide range of social accountability initiatives reported in this paper there is little attempt to analyse these comparatively. How do specific contexts influence the potential for success of particular types of initiatives? For example, are citizen report cards more likely to succeed in contexts where there is perceived competition among public agencies? Is the community scorecard methodology more appropriate to places where democracy has not established roots? Neither are they assessed comparatively for their durability or scalability.3 Are the kinds of initiatives that encourage constructive engagement between citizens and public agents more likely to be sustainable in the long run compared to those that take a more confrontational stance? Are certain kinds of initiatives more amenable to scaling up than others? Comparative evidence on the alternatives to particular interventions in various contexts and various service sectors along different dimensions of success seems to be essential in order to build a body of knowledge that will be useful for donors, practitioners and public agencies. ## References And Sources Arroyo. D. 2004. Stocktaking Of Social Accountability Initiatives In The Asia And Pacific Region. World Bank Institute Working Papers. Washington DC: The World Bank. 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"Social Accountability: An Introduction to the Concept and emerging Practice." Social Development Paper 76. Washington DC: The World Bank. McNamara, B. 2006. Provider-specific report cards: a tool for health sector accountability in developing countries. Health Policy and Planning. Vol. 21, No. 2 McNeil, M. and Mumvuma, T., 2006. Demanding Good Governance: A Stocktaking of Social Accountability Initiatives by Civil Society in Anglophone Africa. World Bank Institute. Washington, DC: The World Bank. Meade, B. and Gershberg, A.I., 2008. Making Education Reform Work for the Poor— Accountability and Decentralization in Latin America. Journal of Education Policy. 1464-5106. Vol, 23, No. 3 pp. 299-322. Misra, V. 2007. 'Pilot Study 1, Andhra Pradesh, India: Improving Health Services through Community Scorecards.' Learning Notes, Social Accountability Series. Washington, DC: The World Bank. 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4884-pdf	## First Release Provisional Woodland Statistics 2019 Edition Release Date: 13 June 2019 Coverage: United Kingdom Geographical Breakdown: Country Issued by: Forest Research, 231 Corstorphine Road, Edinburgh, EH12 7AT Enquiries: Robert Stagg 0300 067 5238 statistics@forestresearch.gov.uk Statistician: Sheila Ward 0300 067 5236 Website: www.forestresearch.gov.uk/statistics ## Contents National Statistics status 2 Introduction 3 Key findings 4 Area of woodland 5 Area of certified woodland 8 New planting 10 Publicly funded restocking 12 Woodland Carbon Code data at March 2019 15 Annex 17 ## National Statistics Status National Statistics status means that our statistics meet the highest standards of trustworthiness, quality and public value, and it is our responsibility to maintain compliance with these standards. The continued designation of these statistics as National Statistics was confirmed in March 2012 following an assessment by the UK Statistics Authority (now the Office for Statistics Regulation) against the Code of Practice for Statistics. Since the latest assessment of these statistics in 2012, we have made improvements including: - Adding charts, to illustrate how the statistics have changed over time. - Expanding the release to include Woodland Carbon Code Statistics and renaming the release to better reflect its content. - Expanding the Annex to provide more detailed information on the data used in the release. ## Introduction This release contains provisional statistics for the year to March 2019 on: - UK woodland area; - certified woodland area; - areas of new planting and publicly funded restocking; and - projects registered under the Woodland Carbon Code1. These statistics were previously released in 2 separate releases: - Woodland Area, Planting and Publicly Funded Restocking; and - Woodland Carbon Code Statistics (previously released on a quarterly basis). These provisional statistics will be superseded on 26 September 2019 with the publication of final and more detailed results in Forestry Statistics 2019. Estimates for England, Wales, Scotland and Northern Ireland are included in addition to UK totals. Figures at March 2019 and for the period 2018-19 are published for the first time in this release. Some figures for earlier years have been revised from those previously released. For further details, see the Revisions section of the Annex. Please refer to the Annex for a glossary of terms used in this release. In Scotland, forestry was fully devolved to Scottish Ministers on 1 April 2019. Two new agencies of the Scottish Government were created: Scottish Forestry to support the delivery of the Scottish Government's priorities for Scotland's forests through guidance, advice, incentives and regulations, and by advising ministers on forest policy; and Forestry and Land Scotland to manage national forests and land on behalf of Scottish Ministers. ## Key Findings - The area of woodland in the UK at 31 March 2019 is estimated to be 3.19 million hectares. This represents 13% of the total land area in the UK, 10% in England, 15% in Wales, 19% in Scotland and 8% in Northern Ireland. - Of the total UK woodland area, 0.86 million hectares is owned or managed by the Forestry Commission2 (in England), Forestry and Land Scotland, Natural Resources Wales or the Forest Service (in Northern Ireland). - The total certified woodland area in the UK at 31 March 2019 is 1.40 million hectares, including all Forestry Commission/Forestry and Land Scotland/Natural Resources Wales/Forest Service woodland. Overall, 44% of the UK woodland area is certified. - Thirteen thousand hectares of newly created woodland were reported in the UK in 2018-19. - Fifteen thousand hectares of publicly-funded woodland restocking were reported in the UK in 2018-19. - Woodland Carbon Code projects in the UK that were validated (including those that were also verified) were predicted to sequester a total of 3.4 million tonnes of carbon dioxide over their lifetime of up to 100 years3. This represents 2.5 million tonnes in Scotland, 838 thousand tonnes in England, 118 thousand tonnes in Wales and 11 thousand tonnes in Northern Ireland ## Area Of Woodland Woodland is defined in UK forestry statistics as land under stands of trees with a minimum area of 0.5 hectares and a canopy cover of at least 20% (25% in Northern Ireland), or having the potential to achieve this. The definition relates to land use, rather than land cover, so integral open space and felled areas that are awaiting restocking are included as woodland. Further information, including how this UK definition compares with the international definition of woodland, is provided in the Annex. Statistics on woodland area are used to inform government policy and resource allocation, to provide context to UK forestry and land management issues and are reported to international organisations. They are also used in the compilation of natural capital accounts. Increases in woodland area result from the creation of new woodland. This can be achieved through new planting or by natural colonisation of trees. Further information is available in the section on New planting. Decreases in woodland area result from the conversion of woodland to other land uses. Regulatory approval is usually required before trees can be felled. Felling approval will normally require the area to be restocked, but there are some cases in which trees may be permanently removed, generally for environmental reasons. The permanent removal of trees may also be authorised under planning regulations, to enable development. Most public sector woodland is owned and managed by the Forestry Commission4 (FC) in England, Forestry and Land Scotland, Natural Resources Wales (NRW) in Wales and the Forest Service (FS) in Northern Ireland. Other public sector woodland (e.g. owned by local authorities) is included with privately owned woodland as "private sector" in this release. The Natural Resources Wales woodland areas shown in this release relate to areas previously owned or managed by Forestry Commission Wales. They exclude any areas previously owned or managed by other parts of Natural Resources Wales, such as the former Environment Agency in Wales and the former Countryside Council for Wales. The area of woodland in the UK at 31 March 2019 is estimated to be 3.19 million hectares (Table 1). This represents 13% of the total land area in the UK, 10% in England, 15% in Wales, 19% in Scotland and 8% in Northern Ireland. 0.86 million hectares of woodland in the UK (27%) is owned or managed by the Forestry Commission (in England), Forestry and Land Scotland, Natural Resources Wales or the Forest Service (in Northern Ireland). Conifers account for around one half (51%) of the UK woodland area, although this proportion varies from 26% in England to 74% in Scotland. thousands of hectares England Wales Scotland Northern Ireland UK FC/FLS/NRW/FS1 Conifers 151 98 428 56 732 Broadleaves 64 19 41 7 131 Total 215 117 469 62 863 Private sector2 Conifers 189 54 645 11 899 Broadleaves 904 138 343 40 1,426 Total 1,093 192 988 51 2,325 Total Woodland Conifers 340 152 1,072 67 1,631 Broadleaves 968 158 385 46 1,557 Total 1,308 309 1,457 113 3,187 Source: Forestry Commission, Forestry and Land Scotland, Scottish Forestry, Natural Resources Wales, Forest Service, National Forest Inventory. Note: 1. FC: Forestry Commission (England), FLS (Forestry and Land Scotland), NRW: Natural Resources Wales, FS: Forest Service (Northern Ireland). NRW estimates only relate to woodland formerly owned/managed by FC Wales. 2. Private sector: all other woodland. Includes woodland previously owned/managed by the Countryside Council for Wales and the Environment Agency in Wales, other publicly owned woodland (e.g. owned by local authorities) and privately-owned woodland. 3. Areas as at 31 March 2019. Figures are provisional. 4. Figures for England, Wales and Scotland are based on data obtained from the National Forest Inventory and adjusted for new planting, but at present no adjustment is made for woodland recently converted to another land use. Further information on how the figures have been estimated is available in the Annex. 5. Figures for Northern Ireland are obtained from the Northern Ireland Woodland Register. 6. Broadleaves include coppice and coppice with standards. Figure 1 shows woodland area by country since 1998. Woodland area has risen by around 270 thousand hectares since 1998, an increase of 9% over the period. Source: Forestry Commission, Forestry and Land Scotland, Scottish Forestry, Natural Resources Wales, Forest Service, National Forest Inventory. Note: 1. Woodland areas for England, Wales and Scotland shown in this figure are based on data from the National Forest Inventory. The trends shown take account of areas of new planting and identifiable permanent woodland loss. Areas of woodland loss that are not yet identifiable (e.g. conversion of woodland for the restoration of open habitats) are not accounted for. Further information on the National Forest Inventory is available at www.forestresearch.gov.uk/tools-and-resources/national-forestinventory/. ## Area Of Certified Woodland Certified woodland in the UK has been independently audited against the UK Woodland Assurance Standard. Forestry certification schemes are owned by international nongovernmental organisations and exist to promote good forest practice. They offer product labels to demonstrate that wood or wood products come from well-managed forests. Figures for certified woodland areas are often used as an indicator of sustainable forest management. However, it should be noted that woodland that is not certified may also be managed sustainably. Most changes to the certified woodland area figures over time are a result of new areas being certified or certificates not being renewed upon expiry. Temporary changes can also occur if there is a time lag between expiry and renewal. Table 2 shows the area of certified woodland. The total area of certified woodland in the UK at 31 March 2019 is 1.40 million hectares. This represents 44% of the total UK woodland area, 25% of the woodland area in England, 47% in Wales, 59% in Scotland and 58% in Northern Ireland. thousands of hectares Ireland UK England Wales Scotland Northern FC/FLS/NRW/FS1 215 117 469 62 863 Private sector2 110 29 395 3 538 Total 325 146 864 66 1,400 % of woodland area 25% 47% 59% 58% 44% Source: Forest Stewardship Council, Forestry Commission, Forestry and Land Scotland, Natural Resources Wales, Forest Service. Note: 1. FC: Forestry Commission (England), FLS (Forestry and Land Scotland), NRW: Natural Resources Wales, FS: Forest Service (Northern Ireland). NRW estimates only relate to woodland formerly owned/managed by FC Wales. 2. Private sector: all other woodland. Includes woodland previously owned/managed by the Countryside Council for Wales and the Environment Agency in Wales, other publicly owned woodland (e.g. owned by local authorities) and privately owned woodland. 3. Areas as at 31 March 2019. 4. All certified woodland in 2019 is certified under the Forest Stewardship Council (FSC) scheme. Some of these woodlands are also certified under the Programme for the Endorsement of Forest Certification (PEFC) scheme. 5. The estimates are based on UK data published by FSC, supplemented by data from individual certificates and other sources. Where possible, figures are for the woodland area certified, rather than the land area certified. 6. All Forestry Commission/Forestry and Land Scotland/Natural Resources Wales (formerly owned/managed by FC Wales)/Forest Service woodland is certified. The Forestry Commission/Forestry and Land Scotland/Natural Resources Wales/Forest Service areas are the latest areas, as shown in Table 1, rather than the areas shown on certificates. Figure 2 presents certified woodland area by country since December 2001, with figures for earlier years revised for consistency with results from the National Forest Inventory. This shows an increase in certified woodland area of around 340 thousand hectares (32%) since December 2001. The 1.40 million hectares of certified woodland at March 2019 represents a 2% increase on the previous year. Most of this increase occurred in Scotland. Note: 1. All certified woodland is certified under the Forest Stewardship Council (FSC) scheme. Some of these woodlands are also certified under the Programme for the Endorsement of Forest Certification (PEFC) scheme. 2. The estimates are based on UK data published by FSC, supplemented by data from individual certificates and other sources. Where possible, figures are for the woodland area certified, rather than the land area certified. ## New Planting New planting is the creation of new areas of woodland by planting trees on land that was not previously woodland. The statistics presented here also include new woodland that is created by natural colonisation of trees (where known). Statistics on new planting are used to inform government policy and resource allocation and are used in producing annual estimates of woodland area. Table 3 shows the area of new woodland that was created in the year to 31 March 2019. The total area of new planting in the UK in 2018-19 was 13.4 thousand hectares. Conifers accounted for 60% of the total area of new planting. Most new planting (92%) took place on private sector land. 84% of the total new planting area took place in Scotland, 11% in England, 4% in Wales and the remaining 2% in Northern Ireland. thousands of hectares England Wales Scotland Northern Ireland UK New planting by forest type Conifers 0.42 0.25 7.27 0.10 8.05 Broadleaves 1.00 0.27 3.94 0.14 5.35 All new planting 1.42 0.52 11.21 0.24 13.40 New planting by ownership FC/FLS/NRW/FS1 0.03 0.00 1.03 0.00 1.06 Private sector2 1.39 0.52 10.19 0.24 12.34 All new planting 1.42 0.52 11.21 0.24 13.40 Source: Forestry Commission, Scottish Forestry, Forestry and Land Scotland, Natural Resources Wales, Forest Service, grant schemes. Note: 1. FC: Forestry Commission (England), FLS: Forestry and Land Scotland, NRW: Natural Resources Wales, FS: Forest Service (Northern Ireland). 2. Private sector: all other woodland. Includes other publicly owned woodland (e.g. owned by local authorities) and privately owned woodland. 3. Figures for grant-aided planting relate to areas for which grants were paid during the year. 4. Estimates for areas planted without grant aid are believed to be under-reported and, as a result, the reported figures are likely to under-estimate the true level of planting activity. For England, woodland planting funded by sources other than the Countryside Stewardship Woodland Creation Grant include planting supported by the Woodland Trust, by the Environment Agency, by Natural England and land acquired by the National Forest Company. For Scotland, a small amount of new planting without grant aid was included. 5. The planting season lies both sides of 31 March, and the weather can cause planting to be advanced or delayed. 6. Includes woodland formed by natural colonisation (where known). 7. Figures are provisional. Figure 3 shows areas of new planting by country since the year ending March 1976. Trends in new planting rates have been influenced by changes to the incentives available to land owners (in the form of grants and regulations). In recent years, areas of new planting in the UK have dropped to lows of under 6 thousand hectares in 2009-10 and in 2015-16 and have risen to highs of around 13 thousand hectares in 2011-12, 2013-14 and 2018-19. These fluctuations are likely to have been influenced by changes in grant schemes across the UK. At 13.4 thousand hectares in 2018-19, the current level of new planting represents a 47% increase from the 9.1 thousand hectares achieved in the previous year and continues the increase from 2015-16. This increase was largely in Scotland and was likely to have been influenced by the availability of grant funding and increased confidence in forestry arising from strong timber values. Source: Forestry Commission, Scottish Forestry, Forestry and Land Scotland, Natural Resources Wales, Forest Service, grant schemes. Note: 1. Private sector figures are based on grant-supported new planting and (where possible) with estimates for areas planted without grant aid. 2. Figures for grant-aided planting relate to areas for which grants were paid during the year. 3. Estimates for areas planted without grant aid are believed to be under-reported and, as a result, the reported figures are likely to under-estimate the true level of planting activity. For England, woodland planting funded by sources other than the Countryside Stewardship Woodland Creation Grant include planting supported by the Woodland Trust, by the Environment Agency, by Natural England and land acquired by the National Forest Company. For Scotland, a small amount of new planting without grant aid was included for 2016-17 and 2018-19. 4. The planting season lies both sides of 31 March, and the weather can cause planting to be advanced or delayed. 5. Includes woodland formed by natural colonisation (where known). 6. Figures are provisional. ## Publicly Funded Restocking Restocking is the replacement of trees on areas of woodland that have been felled; this can be done either through replanting or natural regeneration. The statistics presented here include felled areas that have been restocked by both natural regeneration and replanting. As restocking takes place on woodland that has been previously harvested and it is a condition of most felling licences that the area is restocked, restocking rates are mainly driven by harvesting levels (with a time lag, often of around 2 years, between harvesting and restocking). Economic factors, including grant rates, may have some effect on the species choice at restocking. In addition, the precise timing of restocking may be affected by weather conditions. This release only covers publicly funded restocking, that is: - restocking of Forestry Commission/ Forestry and Land Scotland/ Natural Resources Wales/ Forest Service Woodland and - grant aided restocking of private sector woodland. Grant support for restocking in Scotland has been limited since 2008. The Forestry Grant Scheme was launched in Scotland in March 2015 and does include support for restocking in in most but not all circumstances. As a result, granted aided restocking does not represent all private sector restocking in Scotland. It is therefore likely that conifer restocking in Scotland in recent years is under-reported in this release and other statistics. Grant support in England is now provided by the Countryside Stewardship scheme, which opened for applications in early 2016. Funding for restocking under Countryside Stewardship is only available under limited circumstances (through the tree health grant). The restoration (and restocking with native species) of PAWS (plantations on ancient woodland sites) is also supported by the HS2 Woodland Fund. No estimate has been made for restocking in England that is no longer supported by grants and therefore restocking in England in recent years is under-reported in this release and other statistics. Table 4 shows the reported area of publicly funded restocking that took place in the year to 31 March 2019. As private sector figures are based on areas receiving grants for restocking, and restocking is not supported (or only supported in limited circumstances) by some grant schemes, these figures under-estimate the true level of restocking in the UK. In 2018-19, a total 15.1 thousand hectares of restocking was publicly funded. Conifers accounted for around four fifths (79%) of the total area of restocking. Most reported restocking (71%) took place on FC/NRW/FS land. Around three quarters of all publicly funded restocking (74%) took place in Scotland, 11% in England, 10% in Wales and the remaining 5% in Northern Ireland. thousands of hectares Ireland UK England Wales Scotland Northern Restocking by forest type Conifers 1.26 0.90 9.12 0.72 12.00 Broadleaves 0.39 0.54 2.07 0.11 3.11 All restocking 1.65 1.44 11.19 0.83 15.12 Restocking by ownership FC/FLS/NRW/FS1 1.57 1.22 7.15 0.79 10.72 Private sector2 0.08 0.23 4.05 0.04 4.40 All restocking 1.65 1.44 11.19 0.83 15.12 Source: Forestry Commission, Scottish Forestry, Forestry and Land Scotland, Natural Resources Wales, Forest Service, grant schemes. Note: 1. FC: Forestry Commission (England), FLS: Forestry and Land Scotland, NRW: Natural Resources Wales, FS: Forest Service (Northern Ireland). 2. Private sector: all other woodland. Includes other publicly owned woodland (e.g. owned by local authorities) and privately-owned woodland. 3. Private sector figures are based on areas for which grants were paid during the year. No estimate of areas planted without grant aid was included. 4. The planting season lies both sides of 31 March, and the weather can cause planting to be advanced or delayed. 5. Includes woodland restocked by natural regeneration. 6. Restocking by natural regeneration in non-clearfell areas may be under-represented in the above table. 7. Figures are provisional. Figure 4 shows reported areas of restocking by country since the year ending March 1976. It indicates an overall increase in restocking rates during the period. Over the same period, there has been a general increase in UK wood production (see www.forestresearch.gov.uk/tools-and-resources/statistics/statistics-by-topic/timberstatistics/uk-wood-production-and-trade-provisional-figures/). The reported area of restocking fell significantly after a peak of 19 thousand hectares in 2006-07. This followed changes to grant support for restocking in Scotland, that resulted in some non-grant aided Sitka spruce restocking being excluded from the estimates. Results from the Forestry Commission's Nursery Survey (an annual survey of the main forest nurseries in Great Britain) indicate that, despite a dip in the 2009/10 planting year, sales of Sitka spruce plants to Scotland have been relatively stable in recent years. The chart shows a dip in the area of restocking in 2015-16, following changes to grant schemes across the UK. Reported restocking has continued to fall in England, where grant aid is now only available in very limited circumstances. The reported area of publicly funded restocking in the UK in 2018-19 represents a 5% increase from the previous year, but remains below the level reported for 2016-17. For further information, see the Data Sources and Methodology section of the Annex. Source: Forestry Commission, Scottish Forestry, Forestry and Land Scotland, Natural Resources Wales, Forest Service, grant schemes. Note: 1. Private sector figures are based on areas for which grants were paid during the year. 2. Estimates of areas planted without grant aid are also included (where possible) up to 2009-10, but no estimates are available since then. As a result, the reported figures are likely to under-estimate the true level of planting activity. 3. The planting season lies both sides of 31 March, and the weather can cause planting to be advanced or delayed. 4. Includes woodland restocked by natural regeneration. 5. Restocking by natural regeneration in non-clearfell areas may be under-represented. 6. Figures are provisional. ## Woodland Carbon Code A total of 187 projects across the UK were validated at 31 March 2019 and are projected to sequester 3.4 million tonnes of carbon dioxide over their lifetime of up to 100 years (Table 5). This represents 2.5 million tonnes of carbon dioxide in Scotland, 838 thousand tonnes of carbon dioxide in England, 118 thousand tonnes in Wales and 11 thousand tonnes in Northern Ireland. A total of 266 projects were registered under the Woodland Carbon Code by the end of March 2019, covering around 17,400 hectares of woodland and projected to sequester 6.2 million tonnes of carbon dioxide over their lifetime. \| \| England \| Wales \| Scotland \| \|------------------------------------------------\|------------\|----------\|-------------\| \| Northern \| \| \| \| \| Ireland \| \| \| \| \| UK \| \| \| \| \| Number of projects \| \| \| \| \| 1 \| \| \| \| \| \| \| \| \| \| Awaiting validation \| 18 \| 33 \| 28 \| \| Validated only \| 51 \| 9 \| 55 \| \| Verified \| 27 \| 3 \| 40 \| \| Total validated \| 78 \| 12 \| 95 \| \| All projects \| 96 \| 45 \| 123 \| \| Area of woodland \| (hectares) \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Awaiting validation \| 313 \| 300 \| 8,520 \| \| Validated only \| 1,207 \| 128 \| 4,498 \| \| Verified \| 286 \| 52 \| 2,066 \| \| Total validated \| 1,494 \| 180 \| 6,564 \| \| All projects \| 1,807 \| 480 \| 15,085 \| \| Projected carbon sequestration \| \| \| \| \| 2 \| \| \| \| \| \| \| \| \| \| (thousand tonnes of carbon dioxide equivalent) \| \| \| \| \| Awaiting validation \| 153 \| 106 \| 2,501 \| \| Validated only \| 672 \| 85 \| 1,563 \| \| Verified \| 165 \| 33 \| 895 \| \| Total validated \| 838 \| 118 \| 2,458 \| \| All projects \| 991 \| 224 \| 4,959 \| Source: Forestry Commission. Note: 1. Projects can be validated/verified individually or as part of a group. The statistics presented here show the number of projects validated or verified whether they were administered individually or as part of a group. 2. Figures for carbon sequestration indicate the total projected sequestration of the projects over their lifetime of up to 100 years and include the amount claimable by a project plus the amount allocated to a shared "buffer" in case of unanticipated losses. 3. Awaiting validation: is when a project or group is undergoing assessment by a certification body. 4. Validated: is the initial evaluation of a project or group against the requirements of the Woodland Carbon Code. Upon completion a project/group will receive a 'Validation Opinion Statement'. The project/group will then be certified for a period of up to 5 years. 5. Verified: Verification is the evaluation of a project as it progresses to confirm the amount of CO2 sequestered to date as well as that it continues to meet the requirements of the Code. Figure 5 shows projected carbon sequestration for all projects in the UK since March 2012. The data presented here represent net changes in projects (i.e. additions less deletions). Projects can be removed from the register if they do not meet the Code's standards, planned woodland creation projects do not go ahead, or the landowner no longer wishes to claim the carbon benefit of the project. There has been a 37% increase in projected carbon sequestration for validated projects (including those verified) in the latest year, from March 2018 to March 2019. Total projected carbon sequestration for all projects registered (including those awaiting validation) also increased by 7% in the year to March 2019 following a 3% decrease recorded between March 2017 and March 2018. projects in the UK1 Note: 1. Figures for carbon sequestration indicate the total projected sequestration of the projects over their lifetime of up to 100 years and include the amount claimable by a project plus the amount allocated to a shared "buffer" in case of unanticipated losses. 2. Awaiting validation: is when a project or group is undergoing assessment by a certification body. 3. Validated: is the initial evaluation of a project or group against the requirements of the Woodland Carbon Code. Upon completion a project/group will receive a 'Validation Opinion Statement'. The project/group will then be certified for a period of up to 5 years. 4. Verified: Verification is the evaluation of a project as it progresses to confirm the amount of CO2 sequestered to date as well as that it continues to meet the requirements of the Code. 5. Additional data, including quarterly estimates to March 2018, are available in the accompanying data tables. ## Annex Introduction This annex provides background information on the woodland area, planting, publicly funded restocking and woodland carbon code statistics presented in this release. It covers the data sources and methodology used to produce the statistics, information on quality measures and on any revisions to historic data and links to further information. ## Glossary Awaiting validation When a Woodland Carbon Code project or group is undergoing assessment by a certification body. Broadleaves Trees that do not have needles or cones, such as oak, birch and beech. A few, such as alder, have cone-like structures for their seeds which are not true cones. Clearfell areas Sites where all trees have been felled at once. In non-clearfell areas, only some of the trees are felled at any one time. Conifers Trees with needles and cones, such as spruce, pine and larch. Coppice Trees that are cut near ground level (or sometimes higher, in which case they are called pollards), causing them to produce many small shoots. These shoots are harvested every few years at a relatively early age for products such as staves, fencing, fuel and charcoal. "Coppice with standards" includes scattered trees that are left to grow as normal ("standards"). Establishment The first five to ten years or formative period that ends once young trees are of sufficient size that, given adequate protection, they are likely to survive at the required stocking. Forest In the United Kingdom, there is no formal definition of "forest"; the term is often used for large woodland areas (especially conifers) or for old Royal hunting preserves such as the New Forest or the Forest of Dean. Forest Service (FS) The agency of the Northern Ireland Department of Agriculture, Environment and Rural Affairs responsible for forestry matters in Northern Ireland. Forestry and Land Scotland (FLS) The Scottish Government agency responsible for managing the national forests and lands in Scotland. Prior to April 2019 it was managed by the Forestry Commission. Forestry Commission (FC) The government department responsible for forestry matters in England, Scotland (until March 2019) and Wales (until March 2013). The Forestry Commission's functions in Wales transferred to the Welsh Government and to Natural Resources Wales on 1 April 2013. The Forestry Commission's functions in Scotland transferred to Scottish Forestry and to Forestry and Land Scotland on 1 April 2019. FSC Forest Stewardship Council. Great Britain (GB) England, Wales and Scotland. Hectare (ha) unit of area defined as 10,000 square metres (100 m by 100 m), approximately equivalent to 2.47 acres. Natural colonisation The creation of new woodland by natural means, i.e. without sowing or planting. Natural regeneration The regeneration of existing woodland by natural means, i.e. without sowing or planting. Natural Resources Wales (NRW) The organisation responsible for advising the Welsh Government on the environment, created on 1 April 2013. New planting Establishing woodland on ground that was not woodland in the recent past. NFI National Forest Inventory. NIWT 1995-99 National Inventory of Woodland and Trees. Restocking The replacement of trees on areas of woodland that have been felled; this can be done either through replanting or natural regeneration. Scottish Forestry The Scottish Government agency responsible for forestry policy, support and regulations, created on 1 April 2019. Scottish Forestry also has responsibility for managing the UK Woodland Carbon Code on behalf of the Forestry Commission in England, the Welsh Government and the Northern Ireland Forest Service. Prior to April 2019 it was managed by the Forestry Commission. Tonne of carbon dioxide equivalent (tCO2e) Emissions and sequestration can be presented as tonnes carbon or tonnes carbon dioxide (CO2) equivalent. To convert from tonnes CO2 to tonnes carbon multiply by 12/44. United Kingdom (UK) Great Britain and Northern Ireland. Validated The initial evaluation of a Woodland Carbon Code project or group against the requirements of the Woodland Carbon Code. Upon completion a project/group will receive a 'Validation Opinion Statement'. The project/group will then be certified for a period of up to 5 years. Verified Verification is the evaluation of a Woodland Carbon Code project as it progresses to confirm the amount of CO2 sequestered to date as well as that it continues to meet the requirements of the Woodland Carbon Code. Woodland Land under stands of trees with a minimum size of 0.5 hectares and a canopy cover of at least 20% (25% in Northern Ireland), or having the potential to achieve this, including integral open space, and including felled areas that are awaiting restocking. ## Data Sources And Methodology Area Of Woodland The woodland areas in Great Britain at March 2018 provided in this release (see Figure 1) are based on the NFI provisional woodland area map of Great Britain at March 2018. The map is overlaid with a map of Forestry Commission land (including land formerly owned/managed by Forestry Commission Wales), to enable a breakdown by ownership type to be estimated, and the figures derived from these maps are then updated to March 2019 by adding areas of new planting in 2018-19. Initial estimates of conifer stocked area and broadleaved stocked area at March 2012, derived from NFI interim field survey results, were used to estimate the breakdown by type of woodland. More information can be found on the Methodology and Outputs web page at www.forestresearch.gov.uk/tools-and-resources/statistics/about-ourstatistics/methodology-and-outputs/. The provisional 2018 woodland map differs by around 14 thousand hectares (<1%) from the figures for woodland area provided in the NFI report on Tree cover outside woodland in Great Britain, that were based on the NFI 2013 map and the National Tree MapTM (NTMTM), the latter in combination with samples of visual aerial photograph interpretation and field sampling outside of areas on the NFI map. The estimates in the tree cover report are higher because they include estimates of woodland area outside the NFI map derived from the other sources. It is intended to publish revised woodland area estimates that will bring these two figures into line by reporting an updated, calibrated NFI woodland area that incorporates these additional areas and uses analysis of the main NFI fieldwork survey to exclude currently mapped areas that are not woodland. Further information on the methodology used by the National Forest Inventory and comparisons of results from the NFI and previous woodland area estimates is available at www.forestresearch.gov.uk/tools-and-resources/national-forest-inventory/. In the time series presented in Figure 1, woodland area estimates for years before 2011 have been revised for consistency with results from the National Forest Inventory, to enable comparisons over time. The figures shown for Natural Resources Wales in this release only relate to woodland that was previously owned/managed by Forestry Commission Wales, and do not currently include estimates for other Natural Resources Wales woodland (previously owned/managed by the Countryside Council for Wales or the Environment Agency in Wales). Figures for Northern Ireland (Forest Service and non-Forest Service woodland) are provided by the Northern Ireland Forest Service. County breakdowns are available from the Forest Service Woodland Register at www.daera-ni.gov.uk/articles/forest-servicewoodland-register. ## Certified Area Data on certified woodland areas are obtained from the Forest Stewardship Council (FSC), and contact with individual land owners and managers. Some of the certified woodland has dual certification, i.e. it is certified under both the FSC scheme and the Programme for the Endorsement of Forest Certification (PEFC) scheme. The data collected from FSC are the areas that are certified for each certificate holder. Follow-up enquiries are then made with larger certificate holders to check the certified areas and to provide a country breakdown. As all Forestry Commission/Forestry and Land Scotland/Natural Resources Wales (formerly owned/managed by FC Wales)/Forest Service woodland is certified, the areas used are those provided in Table 1, rather than the areas shown on the certificates. ## New Planting And Restocking New planting is the creation of new areas of woodland. Restocking is the replanting of existing areas of woodland that have been felled. New planting can use planting/seeding or natural colonisation. Restocking can also use planting/seeding or natural regeneration. Information about Forestry Commission, Forestry and Land Scotland, Natural Resources Wales and Forest Service new planting and restocking comes from administrative systems. For new planting and restocking by Forestry and Land Scotland (previously Forest Enterprise Scotland) and by Natural Resources Wales, the figures obtained relate to net areas (i.e. excluding integral open space). These are converted to estimates of gross areas (i.e. including integral open space) for consistency with other planting and woodland area data, by using an assumption of 15% open space. Information about other woodland has come principally from grant schemes, including Countryside Stewardship in England, the English Woodland Grant Scheme (EWGS), Glastir in Wales, Better Woodlands for Wales (BWW), Forestry Grant Scheme in Scotland, Rural Development Contracts in Scotland, Scottish Forestry Grant Scheme (SFGS) and Woodland Grant Scheme (WGS). Areas receiving grant are allocated to years by date of payment. For natural colonisation and regeneration, the areas are generally those for which the second instalment of grant has been paid during the year. The second instalment is approved when woodland reaches a certain stage and density of growth, so this information corresponds approximately to the amount of new and restocked woodland created. The coverage and level of grant support differ across schemes, so that figures on grantaided planting are not directly comparable between countries or over time. Grant support for restocking of conifers changed with the introduction of Rural Development Contracts in Scotland in 2008 and again with the introduction of the Forestry Grant Scheme in 2015. This will have led to a reduction in the proportion of private sector restocking that is grant aided and therefore reported for Scotland. New planting estimates for England also include areas supported by the Woodland Trust and areas funded by Natural England (Higher Level Stewardship / Countryside Stewardship). From 2016-17, the estimated area of new planting includes new woodland creation supported by the Woodland Trust under the MOREwoods and Partnerships England projects. From 2017-18, the estimated area of new planting also includes new woodland creation supported by the Environment Agency. Areas of land acquired by the National Forest Company for new planting have been included from 2015-16. To avoid potential double counting, areas of new planting by the National Forest Company that are believed to be supported by grant aid or by the Woodland Trust (and have therefore already been included in the figures reported for these other sources) have been excluded. Local estimates for private sector areas of planting and restocking which are not grantaided were included for England, Wales and Scotland up to 2009-10, where possible. Estimates of non-grant-aided planting and restocking were relatively small (less than one thousand hectares annually), and it has been assumed that all of this area is broadleaves. A small estimate for broadleaved new planting without grant aid in Scotland in 2016-17 and in 2018-19 was also included. No estimates have been included for restocking with Sitka spruce in Scotland, or for restocking in England, that are no longer supported by grants. It is assumed that there is no non-FS non-grant aided new planting and restocking in Northern Ireland. The use of natural regeneration in non-clearfell systems may be increasing - particularly for broadleaves in England. These systems are not satisfactorily represented by measuring restocking area within any given year, and so broadleaf regeneration may be under-reported in this release and other statistics. Figures for Northern Ireland (Forest Service and private sector woodland) are provided by the Forest Service (www.daera-ni.gov.uk/topics/forestry). Further information on administrative sources can be found at: www.forestresearch.gov.uk/tools-and-resources/statistics/about-our-statistics/code-ofpractice/administrative-sources/. The methodology and outputs relevant to UK woodland area, planting and restocking were reviewed in 2014. The review report is available at www.forestresearch.gov.uk/documents/4425/mrwapr.pdf. ## Woodland Carbon Code Data Information about Woodland Carbon Code projects comes from the UK Woodland Carbon Registry, housed on the Markit Environmental Registry (www.markit.com/product/registry). The register is a live database and summary data are extracted on a quarterly basis. Further information on administrative sources can be found at: www.forestresearch.gov.uk/tools-and-resources/statistics/about-our-statistics/code-ofpractice/administrative-sources/ ## Quality The statistics on woodland area presented here refer to woodland as a land use rather than a land cover, so felled areas and newly planted areas are included within the definition of woodland. Some statistics on woodland area as a land cover are available from other sources (e.g. Countryside Survey 2007, www.countrysidesurvey.org.uk, and associated Land Cover Map; a more recent Land Cover Map 2015 is also available). Detailed information on the quality of the statistics presented in this publication is available in the Quality Report: Woodland Area, Planting and Restocking at: www.forestresearch.gov.uk/documents/3182/qrwapr.pdf Further quality information on FC Official Statistics is available at: www.forestresearch.gov.uk/tools-and-resources/statistics/about-our-statistics/code-ofpractice/quality-of-official-statistics/. ## Revisions Figures at March 2019 and for 2018-19 are provisional and published for the first time in this release. Woodland area figures at March 2017 and at March 2018 have been revised from those provided in Forestry Statistics 2018 to take account of updates to the NFI woodland area map. This resulted in very small revisions to the woodland area estimates in England, Wales and Scotland (<0.3%) for each of these years. Revised woodland areas at March 2017 (obtained from the NFI final revised woodland area map of Great Britain at March 2017) and at March 2018 (obtained from the NFI provisional woodland area map of Great Britain at March 2018),are provided in the Excel tables accompanying this release. Other figures have not been revised from those previously published in Forestry Statistics 2018 and in Woodland Carbon Code Statistics: data to March 2018. The Forestry Commission's revisions policy sets out how revisions and errors to these statistics are dealt with, and can be found at: www.forestresearch.gov.uk/tools-and-resources/statistics/about-our-statistics/code-ofpractice/quality-of-official-statistics/ ## Further Information Accompanying tables to this release, available at www.forestresearch.gov.uk/tools-andresources/statistics/statistics-by-topic/woodland-statistics/, provide longer time series data by country for new planting and publicly funded restocking and for certified woodland. Further information on the National Forest Inventory is available at www.forestresearch.gov.uk/tools-and-resources/national-forest-inventory/. Additional woodland area statistics are available in Forestry Statistics 2018 (published September 2018) and Forestry Facts & Figures 2018 (published September 2018), and can be found at www.forestresearch.gov.uk/tools-and-resources/statistics/forestrystatistics/ . Figures in tables have been independently rounded, so may not add to the totals shown. Figures for woodland area in the UK are provided to international organisations; the Food and Agriculture Organisation of the United Nations (FAO) for the 5-yearly Global Forest Resources Assessment (www.fao.org/forestry/fra/en), and Forest Europe for the 4-yearly State of Europe's Forests (www.foresteurope.org/reporting_SFM). The Global Forest Resources Assessment 2015 was released in September 2015 and State of Europe's Forests 2015 was released in October 2015. Both publications used UK data submitted in 2014. Figures for woodland area and new planting are also used to compile the UK's Greenhouse Gas Inventory for the Land Use, Land Use Change and Forestry (LULUCF) sector, submitted to the United Nations Framework Convention on Climate Change (UNFCCC, unfccc.int/national_reports/annex_i_ghg_inventories/national_inventories_submissions/it ems/8108.php). Statistics on UK greenhouse gas emissions are published by the Department of Business, Energy and Industrial Strategy (BEIS) at www.gov.uk/government/collections/uk-greenhouse-gas-emissions-statistics. The international definition of forests differs slightly from the UK definition of woodland in terms of the minimum canopy cover threshold. For the UK, there is a requirement for canopy cover of at least 20%, whilst the international definition specifies a minimum of 10% canopy cover. Supplementary data are available in the accompanying spreadsheet at: www.forestresearch.gov.uk/tools-and-resources/statistics/statistics-by-topic/woodlandstatistics/. Further information on the Woodland Carbon Code is available at: www.woodlandcarboncode.org.uk/. More statistics on UK forests and climate change can be found in Forestry Statistics 2018: www.forestresearch.gov.uk/tools-and-resources/statistics/forestry-statistics/. ## Release Schedule Final results for (the year to) March 2019 will be published on 26 September 2019 in Forestry Statistics 2019 and Forestry Facts & Figures 2019. Provisional figures for (the year to) March 2020 will be published on 11 June 2020 in the 2020 Edition of this release.	en
0297-pdf	\| UID \| Every contract is assigned a unique identification number (UID). Where a contract \| \|-------------------------------------------------------------------------------------\|---------------------------------------------------------------------------------------\| \| has more than one supplier, you will find that the UID is repeated multiple times, \| \| \| one line for each supplier. The main contract will be listed first, with associated \| \| \| supplier details listed on individual lines directly below \| \| \| \| \| \| Client \| The Council that has made the contract with the supplier(s) \| \| \| \| \| ProClass \| ProClass is a procurement category classification system used to help identify \| \| potential areas for collaboration \| \| \| \| \| \| Contract Title \| Title of the contract/ what the contract is for \| \| Route to Market \| How the contract was obtained: \| \| \| \| \| 1. \| \| \| \| \| \| Call Off (External) \| \| \| Contract is a called-off from an external framework (e.g. YPO/ESPO/AGMA) \| \| \| 2. \| \| \| \| \| \| Call Off (Internal) \| \| \| Contract is a called-off from an internal framework (established by one of the \| \| \| STAR Councils) \| \| \| 3. \| \| \| \| \| \| Exemption \| \| \| Contract established following approval of an Exemption from the STAR Council's \| \| \| Contract Procedure Rules (e.g. emergency; to permit co-termination of other \| \| \| contracts for collaborative procurement) \| \| \| 4. \| \| \| \| \| \| Local Services \| \| \| Related primarily to health provision of services that can only be sourced locally \| \| \| (e.g. pharmacy services and other public health provisions such as 'smoking \| \| \| cessation campaigns, sexual health services) where the support provision is be \| \| \| local to the community \| \| \| 5. \| \| \| \| \| \| Mini Competition (External) \| \| \| Mini competition held to call-off from an externally-established framework \| \| \| 6. \| \| \| \| \| \| Mini Competition (Internal) \| \| \| Mini competition held to call off from an internally-established framework \| \| \| 7. \| \| \| \| \| \| OJEU Tender \| \| \| Invitation to tender, where the opportunity was advertised in the Official Journal \| \| \| of the European Union \| \| \| 8. \| \| \| \| \| \| OJEU Tender (Light Touch) \| \| \| Invitation to tender, where the opportunity was caught by the Light Touch \| \| \| Regime (Public Contracts Regulations 2015) for certain services such as health, \| \| \| social care, legal and catering \| \| \| 9. \| \| \| \| \| \| Procured by Other \| \| \| STAR Procurement had no involvement in tendering the Contract which is \| \| \| included for Transparency Code declaration) \| \| \| 10. \| \| \| \| \| \| Quote \| \| \| Contract awarded following a Request for Quotation in accordance with STAR \| \| \| Council former Contract Procedure Rules \| \| \| \| \| ## 11. RBS - Low - Quick Quote Contract awarded following a Request for Quotation in accordance with STAR Council Contract Procedure Rules 12. RBS - Low/Med - Simple (RFQ) Contract awarded following a Request for Quotation in accordance with STAR Council Contract Procedure Rules 13. RBS - Med/High - Advanced (Open) or (Restricted) Contract awarded following an Invitation to Tender in accordance with STAR Council Contract Procedure Rules 14. Price Only Contract obtained solely on request for price Agreement Type Type of contract made: 1. Concession Contract typically generating income for the STAR Council 2. Contract Formal contract entered into 3. Dynamic Purchasing System (DPS) An electronic system procured using the Restricted Procedure for the purchase of commonly used Supplies, Services or Works which are generally available on the market. All bidders who meet the requirements of the selection criteria must be admitted throughout the entire period of the DPS 4. Flexible Purchasing System (FPS) An electronic system procured using the Restricted Procedure for the purchase of commonly used Supplies, Services or Works which are generally available on the market. All bidders who meet the requirements of the selection criteria can be admitted at regular intervals throughout the entire period of the FPS 5. Framework Agreement An arrangement where the terms of purchase for Supplies, Services or Works are agreed between parties, ready for when a purchase is required; such purchase being made via a Call-off Contract or through Mini-Competition Date the contract started Contract Start Date Current end date of the contract Contract End Date Potential maximum end date of the contract Maximum Extend Date Review Date When the contract is next due to be reviewed \| Estimated/ average annual value of the contract \| Estimated Annual \| \|---------------------------------------------------------------------------------\|-----------------------------------------------------\| \| Value \| \| \| Estimated total value of the contract (including any extensions) \| Estimated Total \| \| Value \| \| \| Supplier Name \| Name of company providing supplies/ services/ works \| \| Supplier Type \| Type of supplier: \| \| \| \| \| 1. \| \| \| \| \| \| Sole Trader \| \| \| 2. \| \| \| \| \| \| VCSE (Voluntary, Community or Social Enterprise) \| \| \| 3. \| \| \| \| \| \| Micro (1-20 Employees) \| \| \| 4. \| \| \| \| \| \| SME (20 to 250 Employees) \| \| \| 5. \| \| \| \| \| \| Large (251+) \| \| \| 6. \| \| \| \| \| \| NHS Provider \| \| \| \| \| \| Supplier registered company number (if they have one) or the registered charity \| \| \| number \| \| \| Registered \| \| \| Company/Charity \| \| \| Number \| \| \| \| \| \| Supplier's postcode \| Postcode \| \| \| \| \| Council Directorate responsible for obtaining the Contract \| Council \| \| Directorate \| \| \| \| \|	en
1065-pdf	## ਤਿਆਰੀ ਅਤੇ ਸੈੱਟ ਅੱਪ ਕਰੋ ਹਿਦਾਇਤਾਂ ਸ਼ੁਰੂ ਕਰਨ ਤੋਂ ਪਹਿਲਾਂ, ਇਹ ਯਕੀਨੀ ਬਣਾਓ ਕਿ ਤੁਸੀਂ... ਇਨ੍ਹਾਂ ਹਦਾਇਤਾਂ ਨੂੰ ਪੂਰੀ ਤਰ੍ਹਾਂ ਪੜ੍ਹੋ ਸਾਡੀ ਹਿਦਾਇਤਾਂ ਵਾਲੀ ਵੀਡੀਓ ਦੇਖੋ www.gov.uk/taking-antibody-blood-sample ਇਹ ਦੇਖਦੇ ਹੋ ਕਿ ਆਪਣਾ ਟੈਸਟ ਕਿਵੇਂ ਕਰਨਾ ਹੈ www.gov.uk/taking-antibody-blood-sample ਤੇ ਜਾਓ ## ਤੁਹਾਡੀ ਕਿੱਟ ਵਿੱਚ ਕੀ ਹੈ? ਖੂਬ ਸਾਰਾ ਪਾਣੀ ਪੀਓ ਹਾਈਡ੍ਰੇਟ ਹੋਣਾ ਤੁਹਾਡੇ ਵੱਲੋਂ ਕੀਤੇ ਜਾ ਸਕਣ ਵਾਲਾ ਸਰਵੋਤਮ ਕੰਮ ਹੈ ਤਿਆਰੀ ਲਈ - ਆਪਣੇ ਟੈਸਟ ਤੋਂ ਘੱਟੋ-ਘੱਟ 30 ਮਿੰਟ ਪਹਿਲਾਂ ਪਾਣੀ ਦੇ 2 ਗਿਲਾਸ ਪੀਓ। ## ਅਲਕੋਹਲ ਵਾਈਪ ਕਲੈਕਸ਼ਨ ਟਿਊਬ ਪਲਾਸਟਰ X2 ਸ਼ਨੀਵਾਰ ਨੂੰ ਆਪਣਾ ਟੈਸਟ ਨਾ ਕਰੋ ਜਾਂ ਇਸ ਦਿਨ ਪੋਸਟ ਨਾ ਕਰੋ - ਇਹ ਡਾਕ ਵਿੱਚ ਕਾਫੀ ਦੇਰ ਤੱਕ ਰਹਿ ਸਕਦਾ ਹੈ। ਕੋਈ ਹੋਰ ਦਿਨ ਠੀਕ ਹੈ। ## ਸਫ਼ਾਈ ਵਾਲਾ ਲੈਨਸੈੱਟ X3 ਵਾਲਾ ਲਿਫ਼ਾਫ਼ਾ ਵਾਈਪ 1. ਤਿਆਰੀ ਕਰੋ ## ਵਾਪਸੀ ਫਾਰਮ ਤੇ ਪਾਰਦਰਸ਼ੀ ਗੱਤੇ ਦਾ ਬੱਕਸਾ ਟਿਊਬ ਲੇਬਲ ਪਲਾਸਟਿਕ ਬੈਗ 1. ਸ਼ੁਰੂ ਕਰਨ ਤੋਂ ਪਹਿਲਾਂ ਪਤਾ ਕਰੋ ਕਿ ਕਿੱਟ ਤੁਹਾਡੇ ਨਾਮ ਸੰਬੋਧਤ ਹੈ। 2. ਆਪਣੀ ਕਿੱਟ ਨੂੰ ਨੀਵੇਂ ਮੇਜ ਉੱਤੇ ਰੱਖ ਦਿਓ। ਤੁਸੀਂ ਸ਼ੁਰੂ ਕਰਨ ਤੋਂ ਪਹਿਲਾਂ ਨਿੱਘੇ ਪਾਣੀ ਦਾ ਇੱਕ ਕਟੋਰਾ ਅਤੇ ਸਾਫ ਟਿਸ਼ੂ ਲਵੋ 3. ਸਾਫ਼ ਟਿਸ਼ੂ ਅਤੇ ਗਰਮ ਪਾਣੀ ਦਾ ਕਟੋਰਾ ਪਕੜੋ। ਵਾਪਸੀ ਫਾਰਮ 4. 20 ਸਕਿੰਟਾਂ ਲਈ ਆਪਣੇ ਹੱਥ ਸਾਬਣ ਨਾਲ ਧੋਵੋ ਅਤੇ ਸਾਫ਼ ਤੌਲੀਏ ਨਾਲ ਸੁਕਾਓ। ਕਿਸੇ ਹੋਰ ਭਾਸ਼ਾ ਵਿੱਚ ਪ੍ਰਸ਼ਨਾਂ ਅਤੇ ਹਿਦਾਇਤਾਂ ਲਈ ਇੱਥੇ ਜਾਓ www.gov.uk/taking-antibody-blood-sample ਲੋੜੀਂਦਾ ਸਮਾਂ ਕੱਢ ਕੇ ਰੱਖੋ ਤਿਆਰੀ ਲਈ, ਸੈੱਟ ਅੱਪ ਲਈ, ਅਤੇ ਆਪਣਾ ਨਮੂਨਾ ਇਕੱਤਰ ਕਰਨ ਲਈ ਆਪਣੇ ਆਪ ਨੂੰ ਲਗਭਗ 30 ਮਿੰਟ ਦਿਓ - ਖਾਸ ਤੌਰ ਤੇ ਜੇ ਇਹ ਤੁਹਾਡੀ ਪਹਿਲੀ ਵਾਰੀ ਹੈ। ਕੁਝ ਹਲਕੀਆਂ ਕਸਰਤਾਂ ਕਰੋ ਬਾਹਵਾਂ ਫੈਲਾ ਕੇ ਕੁੱਦੋ, ਜਾਂ ਆਪਣੀਆਂ ਬਾਹਵਾਂ ਹਿਲਾਓ ਅਤੇ ਇੱਕ ਮਿੰਟ ਲਈ ਆਪਣੀ ਮੁੱਠੀ ਬੰਦ ਕਰੋ (ਜੇ ਅਜਿਹਾ ਕਰਨਾ ਤੁਹਾਡੇ ਲਈ ਸੁਰੱਖਿਅਤ ਹੈ) - ਇਸ ਨਾਲ ਤੁਹਾਡੇ ਖੂਨ ਦੀ ਹਰਕਤ ਵਿੱਚ ਮਦਦ ਮਿਲਦੀ ਹੈ। 2. ਸੈੱਟ ਅੱਪ ਕਰੋ 3. ਖੂਨ ਦੇ ਪ੍ਰਵਾਹ ਨੂੰ ਚੱਲਦਾ ਰੱਖੋ 1. ਟਿਊਬ ਤੋਂ ਢੱਕਣ ਲਾਹ ਦਿਓ। 1. 2 ਮਿੰਟਾਂ ਲਈ ਆਪਣੇ ਸਮੁੱਚੇ ਹੱਥ ਨੂੰ ਕੋਸੇ 2. ਗੱਤੇ ਵਾਲੇ ਬੱਕਸੇ ਦੇ ਉੱਪਰਲੇ ਹਿੱਸੇ ਵਿੱਚ ਪਾਣੀ (ਨਹਾਉਣ ਦੇ ਪਾਣੀ ਦੇ ਤਾਪਮਾਨ ਤੇ) ਦੇ ਕਟੋਰੇ ਵਿੱਚ ਪਾਓ। ਫਿਰ ਸਾਫ਼ ਟਿਸ਼ੂ ਨਾਲ ਆਪਣੇ ਹੱਥ ਸੁਕਾਓ। ਮੋਰੀ ਦੀ ਵਰਤੋਂ ਕਰਦੇ ਹੋਏ ਟਿਊਬ ਸਿੱਧੀ ਖੜ੍ਹੀ ਕਰੋ। 2. ਪੂਰੀ ਪ੍ਰਕਿਰਿਆ ਲਈ ਖੜ੍ਹੇ ਰਹੇ (ਪਰ 3. ਪਲਾਸਟਰ ਤਿਆਰ ਕਰੋ ਤਾਂ ਜੋ ਇਹ ਤੁਹਾਡੀ ਉਂਗਲੀ ਵਿੱਚ ਲਗਾਉਣ ਲਈ ਤਿਆਰ ਹੋਵੇ। ਜੇ ਤੁਹਾਨੂੰ ਚੱਕਰ ਆਉਂਦੇ ਹਨ, ਤਾਂ ਬੈਠ ਜਾਓ - ਅਤੇ ਜੇ ਤੁਸੀਂ ਕਿਸੇ ਨਾਲ ਰਹਿੰਦੇ ਹੋ, ਤਾਂ ਉਨ੍ਹਾਂ ਦੀ ਮਦਦ ਲਈ ਕਹੋ)। ਖੂਨ ਦੇ ਪ੍ਰਵਾਹ ਨੂੰ ਜਾਰੀ ਰੱਖਣ ਲਈ ਤੁਹਾਡਾ ਹੱਥ ਲਾਜ਼ਮੀ ਤੌਰ ਤੇ ਤੁਹਾਡੇ ਕੂਹਣੀ ਤੋਂ ਹੇਠਾਂ ਹੋਣਾ ਚਾਹੀਦਾ ਹੈ। ## ਆਪਣਾ ਨਮੂਨਾ ਇਕੱਤਰ ਕਰੋ ਬਟਨ ਦਬਾਓ x 1.ਲੈਨਸੈੱਟ ਦੀ ਵਰਤੋਂ ਕਰੋ 3. ਟਿਊਬ ਨੂੰ ਰਲਾਓ 2. ਟਿਊਬ ਨੂੰ ਭਰੋ 1. ਅਲਕੋਹਲ ਵਾਈਪ ਨਾਲ ਆਪਣੀ ਉਂਗਲੀ ਪੂੰਝੋ 1. ਖੂਨ ਦੀ ਪਹਿਲੀ ਬੂੰਦ ਨੂੰ ਸਾਫ ਟਿਸ਼ੂ ਨਾਲ ਪੂੰਝ ਕੇ ਪਰ੍ਹਾਂ ਰੱਖ ਦਿਓ। 2. ਹਰੇਕ 3 ਤੋਂ 4 ਸਕਿੰਟਾਂ ਬਾਅਦ ਆਪਣੇ ਹੱਥ - ਅਸੀਂ ਤੁਹਾਨੂੰ ਤੁਹਾਡੇ ਘੱਟ ਕੰਮ ਕਰਨ ਵਾਲੇ ਹੱਥ ਤੇ ਆਪਣੀ ਰਿੰਗ ਫਿੰਗਰ ਦੀ ਵਰਤੋਂ ਕਰਨ ਦੀ ਸਿਫਾਰਸ਼ ਕਰਦੇ ਹਾਂ। 2. ਲੈਨਸਟ ਦੇ ਹੇਠਲੇ ਹਿੱਸੇ ਤੇ ਸੁਰੱਖਿਆਤਮਕ ਸਿਰੇ ਟਿਊਬ ਨੂੰ 600 ਲਾਈਨ ਤੱਕ ਭਰੋ। ਜੇ ਤੁਸੀਂ ਸਿਰਫ 400 ਲਾਈਨ ਤੱਕ ਭਰਦੇ ਹੋ ਤਾਂ ਇਹ ਠੀਕ ਹੈ। ਟਿਊਬ ਉੱਤੇ ਢੱਕਣ ਲਗਾ ਦਿਓ। ਜਦੋਂ ਤੱਕ ਇਹ ਕਲਿੱਕ ਦੀ ਆਵਾਜ਼ ਨਹੀਂ ਕਰਦਾ ਇਸ ਨੂੰ ਧੱਕੋ। 1. ਘੱਟੋ-ਘੱਟ 10 ਵਾਰੀ ਟਿਊਬ ਨੂੰ ਉੱਪਰ ਹੇਠਾਂ ਕਰੋ। ਯਕੀਨੀ ਬਣਾਓ ਕਿ ਖੂਨ ਟਿਊਬ ਦੇ ਪਾਸਿਆਂ ਨਾਲ ਛੂੰਹਦਾ ਹੈ। ਨੂੰ ਉਤਾਰਨ ਲਈ: ਸਿਰੇ ਨੂੰ ਮੋੜੋ (ਇੱਕ ਵਾਰੀ ਪੂਰੀ ਤਰ੍ਹਾਂ ਨਾਲ) ਅਤੇ ਫੇਰ ਇਸ ਨੁੰ ਪੂਰੀ ਤਰ੍ਹਾਂ ਖਿੱਚ ਲਵੋ। \| ਨੂੰ \| ਹੇਠਾਂ ਵੱਲ \| \|-----------------------------\|--------------------------\| \| ਹਥੇਲੀ ਤੋਂ ਸ਼ੁਰੂ ਕਰੋ ਅਤੇ ਆਪਣੀ ਉਂਗਲੀ ਤੱਕ \| \| \| ਹੇਠਾਂ ਇਹ ਕਰੋ। \| ਪਰ ਵਿੰਨ੍ਹੀ ਹੋਈ ਥਾਂ ਨੂੰ ਘੁੱਟੋ \| \| ਨਾ \| ਨਹੀਂ ਤਾਂ ਇਹ ਤੁਹਾਡੇ ਨਮੂਨੇ ਨੂੰ ਖਰਾਬ ਕਰ \| \| ਦੇਵੇਗੀ। \| \| \| 2. \| \| \| ਖੂਨ ਰਲਣ ਸਮੇਂ ਜੇ ਇਹ ਜੰਮ ਜਾਂਦਾ ਹੈ ਤਾਂ ਚਿੰਤਾ \| \| 3. ਸਖ਼ਤ ਸਤ੍ਹਾ (ਜਿਵੇਂ ਕਿ ਮੇਜ ਦਾ ਉੱਪਰਲੇ ਹਿੱਸੇ) ਨਾ ਕਰੋ। ਅਜਿਹਾ ਹੋਣ ਦੀ ਸੰਭਾਵਨਾ ਹੁੰਦੀ ਹੈ। 3. ਜੇ ਖੂਨ ਦਾ ਵਹਾਓ ਰੁੱਕ ਜਾਂਦਾ ਹੈ, ਤਾਂ ਖੂਨ ਦੇ 3. ਖੂਨ ਦਾ ਵਹਾਓ ਰੋਕਣ ਲਈ ਉਂਗਲੀ ਤੇ ਦਬਾਅ ਤੇ ਆਪਣੇ ਹੱਥ ਨੂੰ ਸਾਹਮਣੇ ਵੱਲ ਰੱਖਦੇ ਹੋਏ ਰੱਖੋ। 4. ਆਪਣੀ ਉਂਗਲੀ ਦੇ ਸਿਰੇ ਦੀ ਬਾਹਰੀ ਕੇਂਦਰੀ ਹਿੱਸੇ ਪਾਓ, ਸਾਫ ਕਰਨ ਵਾਲੇ ਪੂੰਝੇ ਨਾਲ ਸਾਫ ਕਰੋ, ਅਤੇ ਪਲਾਸਟਰ ਲਗਾਓ। ਤੇ ਲੈਨਸਟ ਨੂੰ ਹੇਠਾਂ ਵੱਲ ਦਬਾਓ। 4. ਕਿਸੇ ਵੀ ਡੁੱਲ੍ਹੇ ਖੂਨ ਨੂੰ ਸਾਫ ਕਰੋ ਅਤੇ ਆਸ- 5. ਜਦੋਂ ਤੱਕ ਤੁਸੀਂ ਕਲਿੱਕ ਨਹੀਂ ਸੁਣਦੇ ਉਦੋਂ ਪਾਸ ਦੇ ਹਿੱਸੇ ਨੂੰ ਕੀਟਾਣੂ-ਮੁਕਤ ਕਰੋ। ਵਹਾਓ ਨੂੰ ਵਧਾਉਣ ਲਈ ਵਿੰਨ੍ਹੀ ਹੋਈ ਉਂਗਲੀ ਨੂੰ ਸਾਫ ਕਰਨ ਲਈ ਦਬਾਅ ਦੀ ਵਰਤੋਂ ਕਰੋ। ਜੇ ਇਹ ਵੀ ਅਸਰ ਨਹੀਂ ਕਰਦਾ, ਅਤੇ 2 ਤੋਂ ਜ਼ਿਆਦਾ ਮਿੰਟ ਹੋ ਚੁੱਕੇ ਹਨ, ਆਪਣੇ ਹੱਥ ਨੂੰ ਮੁੜ ਤੋਂ ਨਿੱਘਾ ਕਰੋ ਅਤੇ ਨਵੇਂ ਲੈਨਸਟ ਦੀ ਵਰਤੋਂ ਕਰਦੇ ਹੋਏ ਇੱਕ ਹੋਰ ਉਂਗਲੀ ਤੇ ਸੂਈ ਲਗਾਓ। ਤੱਕ ਜਾਮਣੀ ਬੱਟਨ ਨੂੰ ਜੋਰ ਨਾਲ ਹੇਠਾਂ ਵੱਲ ਦਬਾਓ। ਤੁਸੀਂ ਇੱਕ ਵਾਰੀ ਸਿਰਫ ਇੱਕ ਲੈਨਸਟ ਹੀ ਵਰਤ ਸਕਦੇ ਹੋ। ## ਲੇਬਲ ਲਗਾਉਣਾ ਅਤੇ ਡਾਕ ਰਾਹੀਂ ਭੇਜਣਾ 1 4 1. ਵਾਪਸੀ ਫਾਰਮ ਤੋਂ ਆਪਣੇ ਟਿਊਬ ਲੇਬਲ ਨੂੰ 4. ਬਕਸੇ ਨੂੰ ਅਗਾਊਂ ਭੁਗਤਾਨ ਵਾਲੇ ਲਿਫ਼ਾਫ਼ੇ ## ਵਿੱਚ ਪਾ ਦਿਓ। 5. ਆਪਣੇ ਨਮੂਨੇ ਨੂੰ ਐੱਨ.ਐੱਚ.ਐੱਸ. ਲੋਗੋ ਨਾਲ ਲਾਹ ਲਵੋ ਅਤੇ ਆਪਣੀ ਟਿਊਬ ਦੁਆਲੇ ਲਪੇਟ ਦਿਓ। ਯਕੀਨੀ ਬਣਾਓ ਕਿ ਛਪਿਆ ਕੋਡ ਦਿਖਾਈ ਦਿੰਦਾ ਹੈ। \| \| \| \| ਹਿੱਸੇ ਨੂੰ ਪੱਧਰਾ ਕਰਦੇ ਹੋਏ, \| ਸਟਿੱਕਰ ਉਤਾਰ \| \|---------------------\|-------------------------\|-------\|---------------------\|-------------\| \| ਦਿਓ \| ਅਤੇ \| ਫਲੈਪ ਨੂੰ \| ਚਿਪਕਵੇਂ ਆਧਾਰ ਉੱਤੇ \| ਮੋੜ \| \| ਦਿਓ \| । ਵਿੱਚਕਾਰ ਤੋਂ ਬਾਹਰ ਵੱਲ ਦਬਾਉਂਦੇ ਹੋਏ \| \| \| \| \| ਚੰਗੀ ਤਰ੍ਹਾਂ ਨਾਲ ਬੰਦ ਕਰ ਦਿਓ। \| \| \| \| \| 3 2. ਪਾਰਦਰਸ਼ੀ ਪਲਾਸਟਿਕ ਬੈਗ ਲਵੋ ਜਿਸ ਉੱਤੇ 95 3. ਆਪਣੇ ਵਾਪਸੀ ਫਾਰਮ ਉੱਤੇ ਤਾਰੀਖ਼ ਅਤੇ ਕੇਪੀਏ ਸਪੈਸੀਮਨ ਟਰਾਂਸਪੋਰਟ ਦਾ ਲੇਬਲ ਲੱਗਾ ਹੁੰਦਾ ਹੈ। ਵਿਰਲ ਰਾਹੀਂ ਟਿਊਬ ਅਤੇ ਲੈਨਸੈਟ ਨੂੰ ਪਾ ਦਿਓ - ਜੋ ਤੁਹਾਡੇ ਪੀਲੇ ਸਟਿੱਕਰ ਦਰਮਿਆਨ ਪਾਈ ਜਾਂਦੀ ਹੈ। ਬੈਗ ਦੇ ਉੱਪਰਲੇ ਸਮਾਂ ਲਿਖੋ। ਫਾਰਮ ਅਤੇ ਪਾਰਦਰਸ਼ੀ ਪਲਾਸਟਿਕ ਬੈਗ (ਜਿਸ ਵਿੱਚ ਟਿਊਬ ਹੁੰਦੀ ਹੈ) ਨੂੰ ਉਸ ਬੱਕਸੇ ਵਿੱਚ ਪਾਓ ਜਿਸ ਵਿੱਚ ਕਿੱਟ ਆਈ ਸੀ ਅਤੇ ਬੰਦ ਕਰ ਦਿਓ। ਤਰਜੀਹੀ ਪੋਸਟਬਾੱਕਸ ਵਿੱਚ ਪੋਸਟ ਕਰ ਦਿਓ।ે www.royalmail.com/servicesnear-you ਤੇ ਆਪਣੇ ਸਭ ਤੋਂ ਨਜ਼ਦੀਕੀ ਤਰਜੀਹੀ ਪੋਸਟਬਾੱਕਸ ਬਾਰੇ ਪਤਾ ਲਗਾਓ। ਜੇ ਤੁਸੀਂ ਸੁਰੱਖਿਅਤ ਢੰਗ ਨਾਲ ਤਰਜੀਹੀ ਪੋਸਟਬਾੱਕਸ ਤੇ ਨਹੀਂ ਪਹੁੰਚ ਸਕਦੇ, ਤਾਂ ਆਪਣੇ ਸਥਾਨਕ ਪੋਸਟਬਾੱਕਸ ਦੀ ਵਰਤੋਂ ਕਰੋ। 6. ਸਾਰੇ ਸਾਜ਼-ਸਮਾਨ ਦੇ ਸੁਰੱਖਿਅਤ ਢੰਗ ਨਾਲ 1 3 2 4 ਨਿਬੇੜਾ ਕਰ ਦਿਓ। ## ਚਿੰਨ੍ਹ \| ਧੁੱਪ ਤੋਂ ਦੂਰ ਰਹੋ \| ਵਰਤੋਂ ਲਈ ਹਿਦਾਇਤਾਂ ਦੇਖੋ \| \|----------------------------------------\|------------------\| \| ਮੀਂਹ ਤੋਂ ਦੂਰ ਰਹੋ \| ਯੂਰਪੀਅਨ ਅਨੁਕੂਲਤਾ \| \| ਮੁੜ ਵਰਤੋਂ ਨਾ ਕਰੋ \| ਉਤਪਾਦਕ \| \| ਤਾਪਮਾਨ ਦੀ ਸੀਮਾ 25ºC \| ਬੈਚ ਕੋਡ \| \| ਵਿਟਰੋ ਡਾਇਗਨੌਸਟਿਕ ਡਾਕਟਰੀ \| \| \| ਉਪਕਰਨ ਵਿੱਚ \| \| \| ਟਿਊਬਾਂ ਦੀਆਂ ਮਿਆਦ ਪੁੱਗਣ \| \| \| ਦੀਆਂ ਤਾਰੀਖਾਂ ਬਾਰੇ ਪਤਾ ਕਰੋ \| \| \| • ਇਹ ਇੱਕ ਵਿਟਰੋ ਡਾਇਗਨੌਸਟਿਕ ਡਾਕਟਰੀ ਉਪਕਰਨ ਹੈ। \| \| \| • ਸਿਰਫ ਆਪਣੀ ਕਿੱਟ ਵਿੱਚ ਮੁਹੱਈਆ ਸਾਜ਼-ਸਮਾਨ ਦੀ ਹੀ ਵਰਤੋਂ ਕਰੋ। \| \| \| • ਇਸ ਟੈਸਟ ਨੂੰ ਲਾਜ਼ਮੀ ਤੌਰ ਤੇ ਉਸ ਵਿਅਕਤੀ ਵੱਲੋਂ ਕੀਤਾ ਜਾਣਾ \| \| \| ਚਾਹੀਦਾ ਹੈ ਅਤੇ ਲੇਬਲ ਲਗਾਉਣਾ ਚਾਹੀਦਾ ਹੈ ਜਿਸ ਨੇ ਟੈਸਟ ਲਈ \| \| \| ਆਰਡਰ ਕੀਤਾ ਸੀ। \| \| \| • ਇਨਫੈਕਸ਼ਨ ਦੇ ਸੰਕੇਤਾਂ ਬਾਰੇ ਸਾਵਧਾਨ ਰਹੋ। ਜੇ ਤੁਹਾਡੀ ਜ਼ਖਮ ਵਾਲੀ \| \| \| ਜਗ੍ਹਾ ਲਾਲ ਹੋ ਜਾਂਦੀ ਹੈ, ਗਰਮ ਹੁੰਦੀ ਹੈ, ਜਾਂ ਸੁੱਜ ਜਾਂਦੀ ਹੈ, ਤਾਂ \| \| \| ਡਾਕਟਰੀ ਸਲਾਹ ਲਵੋ। \| \| \| • ਇਹ ਕਿੱਟ 18 ਸਾਲ ਜਾਂ ਇਸ ਤੋਂ ਵੱਧ ਉਮਰ ਦੇ ਵਿਅਕਤੀਆਂ ਲਈ ਹੈ। \| \| \| • ਜੇ ਖੂਨ ਨਹੀਂ ਰੁੱਕਦਾ ਤਾਂ ਜੋਰ ਨਾਲ ਦਬਾਓ ਅਤੇ ਆਪਣਾ ਹੱਥ ਉੱਪਰ \| \| \| ਚੁੱਕ ਲਵੋ। ਜੇ ਇਹ ਅਸਰ ਨਹੀਂ ਕਰਦਾ, ਤਾਂ ਡਾਕਟਰੀ ਸਲਾਹ ਲਵੋ। \| \| \| • ਜੇ ਤੁਸੀਂ ਬੇਹੋਸ਼ੀ ਮਹਿਸੂਸ ਕਰਦੇ ਹੋ, ਤਾਂ ਲੇਟ ਜਾਓ ਅਤੇ ਆਪਣੀਆਂ \| \| \| ਲੱਤਾਂ ਉੱਪਰ ਚੁੱਕੋ। ਜੇ ਤੁਸੀਂ ਲਗਾਤਾਰ ਅਸਵਸਥ ਮਹਿਸੁਸ ਕਰਦੇ ਹੋ, \| \| \| ਤਾਂ ਡਾਕਟਰੀ ਸਲਾਹ ਲਵੋ। \| \| \| • ਜੇ ਤੁਸੀਂ ਖੂਨ ਪਤਲਾ ਕਰਨ ਵਾਲੀ ਦਵਾਈ ਲੈਂਦੇ ਹੋ ਤਾਂ ਵੱਧ ਖੂਨ \| \| \| ਵਹਿਣ ਦਾ ਜੋਖਮ ਜ਼ਿਆਦਾ ਹੁੰਦਾ ਹੈ। \| \| \| • ਕਿੱਟ ਨੂੰ ਬੱਚਿਆਂ, ਜਾਨਵਰਾਂ, ਧੁੱਪ, ਅੱਗ ਅਤੇ ਧੂੰਏਂ ਤੋਂ ਦੂਰ ਰੱਖੋ। \| \| \| • ਜੇ ਬਾਹਰ ਦਾ ਤਾਪਮਾਨ 25ºC ਤੋਂ ਵੱਧ ਹੈ ਤਾਂ ਆਪਣੇ ਨਮੂਨੇ ਨੂੰ ਪੋਸਟ \| \| \| ਨਾ ਕਰੋ। \| \| \| • ਇਸ ਦੀ ਬੇਹਦ ਘੱਟ ਸੰਭਾਵਨਾ ਹੈ, ਪਰ ਜਟਿਲਤਾਵਾਂ ਦਾ ਮਾਮੂਲੀ \| \| ਜੋਖਮ ਹੁੰਦਾ ਹੈ - ਜਿਸ ਵਿੱਚ ਸ਼ਾਮਲ ਹੈ ਦਾਗ ਪੈਣਾ, ਹਿਮੋਟੋਮਾ ਬਣਨਾ (ਖੂਨ ਦਾ ਇਕੱਤਰ ਹੋਣਾ), ਨਸ ਨੂੰ ਨੁਕਸਾਨ, ਅਤੇ ਨੈਕਰੋਸਿਸ (ਚਮੜੀ ਦੇ ਸੈੱਲ ਦਾ ਸਮੇਂ ਤੋਂ ਪਹਿਲਾਂ ਖ਼ਤਮ ਹੋਣਾ), અને નેક્રોસિસનો (ત્વચાના કોષોનું અકાળ મૃત્યુ) સમાવેશ થાય છે। ਲੋੜੀਂਦਾ ਖੂਨ ਨਹੀਂ ਮਿਲ ਰਿਹਾ? ਮਦਦ ਲਈ www.gov.uk/taking-antibody-bloodsample ਤੇ ਜਾਓ। ਜੇ ਤੁਹਾਨੂੰ ਅੰਸ਼ਕ ਨਮੂਨੇ ਦਾ ਨਿਪਟਾਨ ਕਰਨ ਦੀ ਲੋੜ ਪੈਂਦੀ ਹੈ, ਤਾਂ ਇਸ ਨੂੰ ਪੈਕ ਕਰਨ ਲਈ ਉਹੀ ਹਿਦਾਇਤਾਂ ਦੀ ਵਰਤੋਂ ਕਰੋ ਜੋ ਤੁਸੀਂ ਇੱਕ ਆਮ ਨਮੁਨੇ ਲਈ ਕਰੋਗੇ (ਜਿਸ ਵਿੱਚ ਲਿਫ਼ਾਫ਼ਾ ਵੀ ਸ਼ਾਮਲ ਹੈ)। ਫੇਰ ਇਸ ਸਾਰੇ ਦਾ ਘਰੇਲੂ ਕੂੜੇ ਵਿੱਚ ਨਿਪਟਾਨ ਕਰ ਦਿਓ।	fi
2139-pdf	# River Basin Management Plan Dee River Basin District ## Contact Us You can contact us in any of these ways: email at deerbd@environment-agency.gov.uk - • phone on 08708 506506 - post to Environment Agency (Wales Region), Water Framework Directive, Cambria House, 29 Newport Road, CARDIFF, CF24 0TP The Environment Agency website holds the river basin management plans for England and Wales, and a range of other information about the environment, river basin management planning and the Water Framework Directive. www.environment-agency.gov.uk/wfd You can search maps for information related to this plan by using 'What's In Your Backyard'. http://www.environment-agency.gov.uk/maps. ## Contents This plan at a glance 4 1 About this plan 5 2 About the river basin district 7 3 Water bodies and how they are classified 10 4 The state of the water environment now 13 5 Actions to improve the water environment by 2015 17 6 The state of the water environment in 2015 31 7 Targets for subsequent cycles 38 8 Dee River Basin District catchments 39 9 Next steps - implementing this plan 51 10 Summary statistics for the Dee River Basin District 55 11 Further information - the annexes 56 List of figures, tables and case studies Figure 1 Map of the Dee River Basin District 7 Figure 2 The components of overall status for surface water bodies 11 Figure 3 Ecological status/potential and biological status of surface water bodies now 13 Figure 4 Proportion of assessed river water bodies in each status class, by element 15 Figure 5 Surface water bodies showing an improvement for one or more elements 31 by 2015 Figure 6 Ecological status/potential of surface water bodies now and in 2015 32 Figure 7 Biological status of assessed surface water bodies now and in 2015 33 Figure 8 Predicted proportion of river water bodies in each status class, by element for 2015 33 Figure 9 Predicted ecological status and potential for surface water bodies in 2015 35 Figure 10 Predicted quantitative status for groundwater in 2015 36 Figure 11 Predicted chemical status for groundwater in 2015 37 Figure 12 Dee River Basin District catchments 39 Figure 13 Map showing the current ecological status/potential of rivers, canals and surface water transfers in the Upper Dee catchment 41 Figure 14 Map showing the current ecological status/potential of rivers, canals and surface water transfers in the Middle Dee catchment 44 Figure 15 Map showing the current ecological status/potential of rivers, canals and surface water transfers in the Tidal Dee catchment 47 Figure 16 River basin management planning milestones to date and to 2015 51 Table 1 Water body numbers in the Dee River Basin District 10 Table 2 Other Directives and their Water framework directive protected areas 12 Table 3 Main reasons (where known) for not achieving good ecological status or potential 14 Table 4 Qualitative assessment of increased risk from climate change for 2050 and beyond 27 Table 5 Key statistics at a glance - Upper Dee 42 Table 6 Key statistics at a glance - Middle Dee 45 Table 7 Key statistics at a glance - Tidal Dee 46 Table 8 Key statistics at a glance - Estuary 48 Table 9 Key statistics at a glance - Groundwater 49 Table 10 Summary statistics for the Dee River Basin District 55 Case study Habitat improvements for fish in the Middle Dee 45 This plan at a glance This plan is about the pressures facing the water environment in the Dee River Basin District, and the actions that will address them. It has been prepared under the Water Framework Directive, and is the first of a series of six-year planning cycles. By 2015, 25 per cent of surface waters (rivers, lakes, estuaries and coastal waters) in this river basin district are going to improve for at least one biological, chemical or physical element, measured as part of an assessment of good status according to the Water Framework Directive. This includes an improvement of 265 km of the river network in relation to fish, phosphate, specific pollutants and other elements. 38 per cent of surface waters will be at good or better ecological status/potential and 67 per cent of groundwater bodies will be at good status by 2015. In combination 38 per cent of all water bodies will be at good status by 2015. The Environment Agency wants to go further and achieve an additional two per cent improvement to surface waters across England and Wales by 2015. The biological parts of how the water environment is assessed - the plant and animal communities - are key indicators. At least 48 per cent of assessed surface waters will be at good or better biological status by 2015. In the past there has been considerable progress in protecting the natural assets of the Dee river basin district and cleaning up many of the problems for the water environment. From the mountains and lakes of the Snowdonia National Park in the upper part of the basin, to the open plains of Cheshire and the mudflats of the Dee Estuary in the lower basin, their wildlife is supported by water, which is vital for the livelihoods of those who live and work here. However, a range of challenges remain, which will need to be addressed to secure the predicted improvements. They include: - diffuse pollution from agricultural and other rural activities; - point source pollution from sewage treatment works; - the physical modification of water bodies; - point source pollution from domestic (non-water industry) activities - diffuse pollution from housing. At present, because of these pressures and the higher environmental standards required by the Water Framework Directive only 28 per cent of surface waters are currently classified as good or better ecological status/potential. 51 per cent of assessed surface water bodies are at good or better biological status now, although we expect this to change to 48 per cent when we have assessed all water bodies. In order to meet these targets, it is important for everyone to play their part now and in the future. River basin management is an opportunity for this generation - for people and organisations to work together to improve the quality of every aspect of the water environment - to create an environment we are all proud of and can enjoy. 1 About this plan This plan focuses on the protection, improvement and sustainable use of the water environment. Many organisations and individuals help to protect and improve the water environment for the benefit of people and wildlife. River basin management is the approach the Environment Agency is using to ensure our combined efforts achieve the improvement needed in the Dee River Basin District. River basin management is a continuous process of planning and delivery. The Water Framework Directive introduces a formal series of 6 year cycles. The first cycle will end in 2015 when, following further planning and consultation, this plan will be updated and reissued. The Dee River Basin District Liaison Panel has been central to helping us manage this process. The panel includes representatives of businesses, planning authorities, environmental organisations, consumers, navigation, fishing and recreation bodies and central, regional and local government, all with key roles to play in implementing this plan. The Environment Agency has also worked extensively with local stakeholders to identify the actions needed to address the main pressures on the water environment. This plan has been prepared under the Water Framework Directive, which requires all countries throughout the European Union to manage the water environment to consistent standards. Each country has to: - prevent deterioration in the status of aquatic ecosystems, protect them and improve the ecological condition of waters; - aim to achieve at least good status for all water bodies by 2015. Where this is not possible and subject to the criteria set out in the Directive, aim to achieve good status by 2021 or 2027; - meet the requirements of Water Framework Directive Protected Areas; - promote sustainable use of water as a natural resource; - conserve habitats and species that depend directly on water; - progressively reduce or phase out the release of individual pollutants or groups of pollutants that present a significant threat to the aquatic environment; - progressively reduce the pollution of groundwater and prevent or limit the entry of pollutants; - contribute to mitigating the effects of floods and droughts. The plan describes the river basin district, and the pressures that the water environment faces. It shows what this means for the current state of the water environment, and what actions will be taken to address the pressures. It sets out what improvements are possible by 2015 and how the actions will make a difference to the local environment - the catchments, the estuaries and coasts, and the groundwater. Looking towards implementation, the plan highlights the programme of investigations to be undertaken. This will identify more actions, particularly those associated with diffuse pollution, for delivery during the first cycle. New national measures, made available by government, will also lead to additional improvements. At local level, the Environment Agency will be working closely with a wide variety of organisations and individuals, not only to deliver the commitments contained in the plan, but wherever possible to expand upon them for the benefit of the water environment. Strategic Environmental Assessment A Strategic Environmental Assessment of the draft plan was completed to review the effects of the proposals on the wider environment. The assessment enabled us to make sure that this plan represents the most sustainable way of managing the water environment. The Post Adoption Statement and accompanying Statement of Environmental Particulars is available at www.environment-agency.gov.uk/wfd. Habitats Regulations Assessment A Habitats Regulations Assessment of this plan has been carried out to consider whether it is likely to have a significant effect on any Natura 2000 sites. The assessment was undertaken by the Environment Agency, in consultation with Natural England and the Countryside Council for Wales. The assessment concluded that the River Basin Management Plan is unlikely to have any significant negative effects on any Natura 2000 sites. The Plan itself does not require further assessment under the Habitats Regulations. This conclusion is reliant on the fact that before any measures in the plan are implemented they must be subject to the requirements of the Habitats Regulations. Any plans, project or permissions required to implement the measures must undergo an appropriate assessment if they are likely to a have a significant effect. A copy of the Habitats Regulations Assessment of this plan is available at www.environmentagency.gov.uk/wfd. Impact Assessment An impact assessment of this plan has been completed. It looks at the costs of a reference case, which includes existing actions and new actions required by existing obligations, and the incremental costs and benefits of implementing the additional new actions required by this plan. The impact assessment also provides a forward look to the costs and benefits of potential action in future cycles (2015 to 2021 and 2021 to 2027). A copy of the impact assessment is available at www.environment-agency.gov.uk/wfd. 2 About the Dee River Basin District The Dee River Basin District is home to over 500,000 people and covers an area of 2,251 square kilometres of North East Wales, Cheshire, Shropshire and the Wirral. The district consists of a single river basin; the River Dee, its tributaries and estuary. The district is characterised by a varied landscape. It ranges from the mountains and lakes of the Snowdonia National Park in the upper part of the basin, through the Vale of Llangollen in the middle reaches, to the open plains of Cheshire and the mudflats of the Dee Estuary in the lower basin (Figure 1). The Dee and its tributaries are renowned for their excellent fishing and there is an important cockle fishery in the estuary. The River Dee and Llyn Tegid are designated as a Special Area of Conservation (SAC) under the Habitats Directive. The Dee estuary is a Special Protection Area (SPA) and SAC. Chester and Wrexham are the two major urban centres, but the dominant land uses are agriculture and forestry, particularly in the upper part of the basin. Key economic sectors in the region include business services, retailing, health, banking and insurance. Llyn Tegid, Celyn and Brenig reservoirs in the upper catchment are used for water storage to regulate river flows in the Dee downstream all year round. In the drier months, typically between April and September, this is to sustain abstractions for public supply, and industry. Nearly three million people get their drinking water from the Dee, including many in North West England. Outside of this period, the reservoirs are used to modify flood response and reduce the flooding frequency in the Dee between Bala and Chester. The Environment Agency is responsible for managing the Dee Regulation System under the Dee and Clwyd River Authority Act 1973. The Environment Agency is assisted in the drawing up of operational management rules by the statutory Dee Consultative Committee which comprises three members of the Environment Agency, plus one member from British Waterways, and representatives from relevant water companies. Operational Management rules are established for operation of the scheme under "normal" and "drought" conditions. Within these rules and within the powers given by the Dee and Clwyd River Authority Act, the Environment Agency can specify the level of residual flow to be maintained over Chester Weir, and detail specific measures to be taken to reduce demands on the system in times of drought. Regard must also be given to mitigating flooding, supplying a specific volume of water to British Waterways for the Shropshire Union Canal, safeguarding the fisheries and other purposes including the safeguarding of specific features and habitats designated under the Habitats Directive that may be affected by management of flows in the River Dee. The strategic importance of the Dee as a potable water source and the risk posed to it from pollution have led to the Dee becoming one of the most protected rivers in Europe. In 1999, the lower part of the Dee was designated as the UK's first, and to date only, Water Protection Zone. Pressures on the water environment A great deal is already being done to protect and improve the water environment. However, it will take more time, effort and resources to deal with the pressures that have significantly altered and damaged the environment over the last few hundred years. There are a number of major challenges. High population densities and transport networks put pressure on the water environment. Discharges from sewage works can impact on water quality or the enjoyment of it, and water companies will implement a major programme of work to address this issue. The way land is managed has given rise to complex pollution issues. Diffuse pollution is a major pressure on the water environment, and can come from urban areas as well as rural areas. Further improvements are needed to farming practices to protect water quality and allow wildlife to thrive. Rivers and estuaries have been significantly modified physically, to facilitate development, flood and coastal risk management or navigation. Physical modification needs to be addressed in order to achieve more natural functioning of wetland ecosystems, and protect fish and their habitats into the future. The River Dee is an important source of drinking water supply in the district and North West England. Work is required to ensure that the water resources in the Dee are maintained as the impact of climate change become evident. Groundwater in the Dee River Basin District is an important source of drinking water. 20 million litres of groundwater per day are licensed by the Environment Agency to be abstracted for public water supply by the major water companies. In addition, there are over 1500 known private water supplies in the Dee River Basin District, dependent on groundwater as the primary source of drinking water. It is therefore essential to safeguard supplies and the environment by protecting groundwater from pollution, and managing the water resource. All these challenges relate to a range of specific pressures (significant water management issues) that need to be dealt with in this river basin district. These are: - Nitrate - an essential plant nutrient composed of nitrogen and oxygen that is found in fertilisers used in agriculture, and in sewage effluent. It can cause environmental problems when in excessive concentrations. - Pesticides –chemical and biological products used to control pests. - Phosphate - a nutrient in sewage and fertiliser that can cause too much algae to grow in rivers when in excess concentrations. - Invasive non-native species - plants and animals that have deliberately or accidentally been introduced outside their natural range, and by spreading quickly threaten native wildlife and can cause economic damage. - Commercial fisheries (estuaries and coastal waters) - problems related to the direct capture and removal of fish or shellfish, or habitat damage caused by some types of fishing. - Metals - metals, in large quantities, can be toxic to freshwater fish, invertebrates and marine organisms. - Sediment - Undissolved particles floating on top of or suspended within water, for example those caused by increased rates of soil erosion from land activities. Sedimentation can smother river life and spread pollutants from the land into the water environment. - Urban and transport pollution - a range of pollutants related to urban areas and the transport network. 3 Water bodies and how they are classified In the context of the Water Framework Directive, the water environment includes rivers, lakes, estuaries, groundwater and coastal waters out to one nautical mile. For the purposes of river basin management, these waters are divided into units called water bodies, as summarised in Table 1. In addition, this plan aims to protect wetlands that depend on groundwater. Water body types Lakes and reservoirs Estuaries (transitional) Coastal Groundwater Total Rivers, canals and surface water transfers (SWTs)* Natural water bodies 56 4 0 0 6 66 Artificial water bodies 1 0 0 0 1 Heavily modified water bodies 30 17 1 0 48 Total 87 21 1 0 6 115 * The total length of river covered by the Directive in this river basin district is 753 kilometres. The Water Framework Directive sets a target of aiming to achieve at least 'good status' in all water bodies by 2015. However, provided that certain conditions are satisfied, in some cases the achievement of good status may be delayed until 2021 or 2027. Surface waters For surface waters, good status is a statement of 'overall status', and has an ecological and a chemical component. Good ecological status is measured on the scale high, good, moderate, poor and bad. Chemical status is measured as good or fail. Good ecological status applies to natural water bodies, and is defined as a slight variation from undisturbed natural conditions. Figure 2 shows how status is determined for surface waters. Each component has several different elements. These are measured against specific standards and targets developed by the Water Framework Directive UK Technical Advisory Group (UKTAG) and the European Union. To understand the underlying reasons for water body status it is helpful to break down the results. Ecological status could be driven by the presence of a single chemical substance slightly exceeding the required standard. As well as ecological status this plan highlights the results of biological assessments (referred to as biological status) as these are the main indicators of the health of the environment for surface waters. Monitoring and components of overall status The monitoring programme for river basin management is based on a far wider range of assessments than were carried out in the past. A range of elements are measured in each water body, and a classification is produced based on a 'one out, all out' principle. This uses the poorest individual element result to set the overall classification. The classification of water bodies will improve as new monitoring data are collected and better methods of assessment are developed. Future monitoring will help show where environmental objectives are already being met and where more needs to be done to improve the water environment. Monitoring will also give us some information on the spread of invasive non-native species. The Water Framework Directive recognises the key role that water resources and habitats play in supporting healthy aquatic ecosystems. It requires that water bodies are managed to protect or improve hydromorphological conditions. Hydromorphology is a term that covers the flow of water in a water body and its physical form. The term encompasses both hydrological and geomorphological characteristics that help support a healthy ecology in rivers, lakes, estuaries and coastal waters. Artificial and heavily modified waters Some water bodies are designated as 'artificial' or 'heavily modified'. This is because they may have been created or modified for a particular use such as water supply, flood protection, navigation or urban infrastructure. By definition, artificial and heavily modified water bodies are not able to achieve natural conditions. Instead the classification and objectives for these water bodies, and the biology they represent, are measured against 'ecological potential' rather than status. For an artificial or heavily modified water body to achieve good ecological potential, its chemistry must be good. In addition, any modifications to the structural or physical nature of the water body that harm biology must only be those essential for its valid use. All other such modifications must have been altered or managed to reduce or remove their adverse impact, so that there is the potential for biology to be as close as possible to that of a similar natural water body. Often though, the biology will still be impacted and biological status of the water body may be less than good. Groundwater For groundwater, good status has a quantitative and a chemical component. Together these provide a single final classification: good or poor status. A ground water body will be classified as having poor quantitative status in the following circumstances; where low ground water levels are responsible for an adverse impact on rivers and wetlands normally reliant on ground water; where abstraction of ground water has lead to saline intrusion; where it is possible that the amount of groundwater abstracted will not be replaced each year by rainfall. Poor chemical status occurs if there is widespread diffuse pollution within the groundwater body, the quality of the groundwater is having an adverse impact on wetlands or surface waters, there is saline intrusion due to over abstraction, or the quality of water used for potable supply is deteriorating significantly. There are other objectives for groundwater quality in addition to meeting good status. These are the requirements to prevent or limit the input of pollutants to groundwater and to implement measures to reverse significant and sustained rising trends in pollutants in groundwater. Protected areas Some areas require special protection under European legislation. The Water Framework Directive brings together the planning processes of a range of other European Directives. These Directives, listed in Table 2, establish protected areas to manage water, nutrients, chemicals, economically significant species, and wildlife - and have been brought in line with the planning timescales of the Water Framework Directive. Meeting their requirements will also help achieve Water Framework Directive objectives. Table 2 Other Directives and their Water Framework Directive protected areas \| Directive \| Protected area \| Number of protected areas \| \|----------------------------------\|--------------------------------\|------------------------------\| \| Bathing Waters \| Recreational waters \| 1 \| \| 3 \| \| \| \| Birds \| Natura 2000 sites (water \| \| \| dependent special protection \| \| \| \| areas) \| \| \| \| Drinking Water \| Drinking water protected areas \| 25 \| \| 83 \| \| \| \| Freshwater Fish \| \| \| \| \| \| \| \| Waters for the protection of \| \| \| \| economically significant aquatic \| \| \| \| species \| \| \| \| 2 \| \| \| \| Shellfish Waters \| Waters for the protection of \| \| \| economically significant aquatic \| \| \| \| species \| \| \| \| 7 \| \| \| \| Habitats \| Natura 2000 sites (water \| \| \| dependent special areas of \| \| \| \| conservation) \| \| \| \| Nitrates \| Nitrate Vulnerable Zones \| 23 per cent land coverage \| \| Urban Waste Water Treatment \| Sensitive areas \| 0 \| Achieving the objectives of these protected areas is a priority for action in this plan. Annex D sets out their objectives and the actions required for Natura 2000 sites and the new Drinking Water Protected Areas required under the Directive. Annex C describes the actions required for all protected areas. In addition, there are two new daughter Directives (Groundwater and Environmental Quality Standards) that will be used to implement specific parts of the Water Framework Directive. 4 The state of the water environment now The current status classification is the baseline from which improvements and the 'no deterioration in status' objective of the Water Framework Directive is measured. The current status classification has been updated since the draft plan. It is different to that presented in the draft plan because: - the quality of assessments has been improved by refining classification methods; - the accuracy of individual assessment tools has improved, especially for fish; - a number of water bodies that were identified as potentially being heavily modified have not been designated as such in this plan because monitoring shows that they currently achieve good status; - improvements from the water companies' Periodic Review 2004 have now been factored in; - an additional 10 lakes have been classified that were previously unassessed. 28 per cent of surface waters are at good or better ecological/potential status now. 51 per cent of assessed surface waters are at good or better biological status now. 108 surface water bodies have been assessed for ecology and 72 have been assessed for biology. This is shown in Figure 3. Statistics for both good ecological status/potential and biological status are influenced by the relative number of artificial and heavily modified waters and their classification. In the Dee River Basin District, 22 per cent of 49 artificial and heavily modified water bodies are currently classified as at good or better ecological potential, compared to 33 per cent of 60 natural surface water bodies having good or better ecological status. As discussed in the previous section the higher percentage of poor and bad water bodies assessed for biological status compared to ecological status/potential reflects the fact that even where all mitigation measures are in place to allow an artificial or heavily modified water body to be classified as good, the use of the water body may mean that biology is still impacted. As biological monitoring continues it is likely that the percentage of water bodies at good or better biological status will change from 51 per cent to 48 per cent. This is explained further in the section on Biological status and monitoring. For groundwater bodies, currently 83 per cent are at good quantitative status and 83 per cent are at good chemical status. Reasons for not achieving good status or potential This section takes a closer look at rivers. The majority of management actions in the first river basin management cycle will be applied to rivers. Reasons for not achieving good status or potential in other surface waters are being developed. The first course of action for lakes, coasts and estuaries is to develop a better understanding of the issues. To identify what needs to be done to improve the environment, the reasons for not achieving good status need to be understood. The main reasons most frequently identified by Environment Agency staff using monitoring data and their knowledge and who have on the ground experience of individual water bodies are shown in Table 3. Each relates to one or more pressures, which in turn impact on elements of the classification. The reasons for failure include diffuse source pollution from agriculture, point source discharges from water industry sewage works and a range of reasons due to physical modifications. The actions in this plan will increase the number of waters achieving good status or potential, for example through significant investment in improving discharges from sewage works and changes to land management practices. Even if good status is not completely achieved, they will also lead to improvements to the key elements impacted. potential Reason for failure Key elements impacted \| Diffuse source agricultural \| phosphate, macrophytes, \| \|--------------------------------------------------\|------------------------------------------------\| \| invertebrates, phytobenthos \| \| \| Point source water industry sewage works \| phosphate, macrophytes, \| \| invertebrates, phytobenthos \| \| \| Physical modification flood protection \| mitigation measures required \| \| Physical modification barriers to fish migration \| fish \| \| Point source domestic (non water industry) \| phosphate, dissolved oxygen \| \| mitigation measures required \| Physical modification water storage and supply \| \| (including for power generation) \| \| \| Diffuse source housing \| fish, macrophytes, phytobenthos \| \| phosphate, phtobenthos, macrophytes \| Point source water industry storm discharge \| \| (incl. Combined Storm Overflows) \| \| \| Disused mines point and/or diffuse source \| zinc \| \| Diffuse source mixed urban run-off \| invertebrates \| It is important to note that because classification involves a wider range of elements than previous monitoring schemes, and many of the key pressures are complex and occur in combination, we often do not know the reason for a failure. For many water bodies either the reasons for failure are unknown or it is uncertain whether there is a failure or whether pressures really are causing an impact. In these cases we will need to investigate, as discussed in "Investigations - improving outcomes for 2015" in Section 6. For groundwater quality, the reason for poor status is due to the impact of minewaters from historic coal and metal mining activities. The main reason for poor quantitative status is due to the associated surface water impact, with the amount of groundwater baseflow (affected by local abstractions) being considered to be a contributing factor to the poor status of these surface waters. Classification of individual elements For rivers, which comprise the majority of water bodies in the river basin district, the main elements indicating that the standards for good ecological status/potential are not being achieved are fish, invertebrates, specific pollutants and phosphate. This is shown in Figure 4. The results for macrophytes (aquatic plants) and diatoms (microscopic algae) are from relatively fewer water body assessments based on a new (2007) risk based monitoring programme. However, as would be expected, the results for these elements confirm the presence of pressures on biology in many of the assessed water bodies. Excessive sediment is a possible cause for biology not being good in a number of water bodies. At present however, standards are not available to identify clearly where sedimentation is excessive. The Environment Agency will be developing techniques to assess the impact of sedimentation as one of the actions in this plan. Biological status and monitoring New monitoring programmes for the Water Framework Directive since 2007 focus on locations where the Environment Agency suspects there may be a problem caused by pressures on the water environment. The Environment Agency does not yet have biological assessments for all relevant water bodies. In this river basin district 66 per cent of surface water bodies have an assessment for at least one biological element. The number of water bodies covered by biological monitoring is set to increase over the next three years. As new information becomes available it is likely that some water bodies currently labelled as good biological status will be shown to have a lower quality. For instance, from the chemical monitoring the Environment Agency is now clear that there is a link between high levels of phosphate in surface waters and biological failures in the main river type (lowland alkaline rivers). The assessment of reasons for failure that the Environment Agency has started to undertake shows that across England and Wales 22 per cent of river water bodies are failing to achieve good status/potential because of excessive levels of phosphate. In this river basin district phosphate results show that it is likely that the percentage of water bodies at good or better biological status may change from 51 per cent to 48 per cent when additional water bodies are assessed for diatoms and/or macrophytes. This same analysis points to discharges from sewage treatment works and releases from agriculture being responsible for the majority of this. Rather than wait for the results of more biological assessments, we need to ensure corrective action is started in the first plan cycle. Through The Water Services Regulation Authority's (Ofwat's) determination of the water industry periodic review of investment, the water industry will continue their investment programme targeted at addressing their contribution to phosphate pollution. It is important that agriculture also makes a contribution in the first cycle improvements. The Environment Agency is now working with the main farming groups to understand better the main ways in which phosphate from land enters and is transported in water bodies. Farming groups have agreed to use this information to encourage individual farmers to take action to reduce their contribution to water pollution. We will trial this new approach in the Anglian River Basin District and through the Campaign for Farmed Environment. We will also look at what advice and incentives are available through agri-environment schemes and the other initiatives such as England Catchment Sensitive Farming and Glastir in Wales. In parallel with this approach, the Environment Agency will continue to develop work on regulatory measures, such as piloting, in England, Water Protection Zones (WPZs) so that if voluntary approaches are shown not to work in a particular area, or where higher environmental standards are needed in for example protected areas, we are ready and able to ensure progress is made before 2015. The work to identify the ways in which phosphate enters water bodies and the means of reducing this will inform the measures that might be applied in WPZs. WPZs will only be effective if the means of control have been clearly identified. 5 Actions to improve the water environment by 2015 The following gives an overview of the key contributions from sectors and organisations that the Environment Agency will work with to implement this plan. All sectors Agriculture and rural land management Angling, fisheries and conservation Central government Environment Agency Industry manufacturing and other business Local and regional government Mining and quarrying Navigation Urban and transport Water industry Individuals and communities These actions are summarised versions of the full programme of actions that can be found in annex C. The lead organisation for each action is given in brackets. Note that many actions will involve more than one sector and need to be implemented in partnership. Actions in annex C are therefore duplicated across the relevant sectors. Sectors are encouraged to put further actions forward during the implementation of this plan. After the action tables there are sections on: Actions to protect drinking water The costs of action in this plan Taking action in a changing climate Working with other plans and programmes All sectors All sectors must comply with the range of existing regulations, codes of practice and controls on the use of certain substances. Investigations will be carried out by the Environment Agency and partner organisations where appropriate, to establish the extent and source of pressures and to identify any further actions that are technically feasible and not disproportionately costly. These actions will be carried out during this or future management cycles. Investigations and actions will also be carried out in drinking water protected areas (where necessary focused in safeguard zones) to reduce the risk of deterioration in raw water quality and therefore reduce the need for additional treatment to meet drinking water standards. A small number of candidate Water Protection Zones (WPZ) will be promoted across England early in the first plan cycle, where there is clear evidence that voluntary mechanisms such as the England Catchment Sensitive Farming Delivery Initiative, Environment Agency Wales Catchment Initiatives and pollution prevention campaigns are not sufficient by themselves to achieve the required environmental objectives. The candidate WPZs will be used to establish the usefulness of the concept, but as we have said earlier in describing the results of the biological monitoring, this is turn relies on a clear understanding of the practices causing problems and the techniques to avoid them. Agriculture and rural land management This sector has a big role in looking after and improving the quality of the rural environment. In north east Wales, agriculture accounts for approximately 75 per cent of land use and employs over 8,000 people. A combination of incentive, advisory and regulatory measures have been in place for a number of years to help farmers and other land managers protect the environment. For instance the Code of Good Agricultural Practice and agri-environment schemes, such as Entry Level Stewardship and Higher Level Stewardship and Tir Gofal in Wales. Wise stewardship of resources such as soil, nutrients, water and energy helps to cut costs while maintaining or improving the productivity of land and livestock. Nevertheless, the way in which land is managed is still having a negative impact on natural resources and further action is needed to address diffuse pollution and other key pressures in rural areas. Government will consider the introduction of further restrictions of activities and restrictions on chemicals where there is evidence that voluntary actions failed to deliver. Example actions Cross-Compliance - to help farmers comply with a range of Directives to reduce pollution from agriculture at farms receiving subsidies (all land managers). - Across the river basin district Education, Training and awareness on diffuse pollution issues associated with forestry and woodland management (all land managers). - Across the river basin district Pesticides statutory code of practice - advice for operators on control of plant protection products to prevent and limit pollution of waters (all operators) ♦ Across the river basin district Establish and enforce Nitrate Vulnerable Zones in catchments at high risk from nitrate pollution () to reduce the amount of nitrate and other pollutants entering water from farmland (Welsh Assembly Government, Environment Agency). - Across the river basin district Run pollution prevention advice and local campaigns to provide targeted advice and enforcement on farm and land management, domestic oil storage, septic tanks (Environment Agency). - Across the river basin district, but focused in high risk areas Water efficiency campaigns (e.g. National Farmers' Union and National Farmers' Union Cymru "Water Matters") - Across the river basin district Investigate sheep dip pesticide impact on rivers in upper and middle Dee areas using invertebrate and moss sampling in high risk catchments (Environment Agency Wales). - Dee river basin district in particular Upper and Middle Dee Angling and conservation The Dee River Basin District has a rich and diverse range of wildlife, and retains internationally and nationally important wildlife sites, habitats and species. The district is home to several sites designated under European and national legislation for their nature conservation value. These include the River Dee and Llyn Tegid, Special Area of Conservation (SAC), designated for its Atlantic salmon and water plantain populations; Berwyn and South Clwyd Mountains cSAC and Special Protection Area (SPA), designated for its upland breeding birds and blanket bogs; Dee Estuary, a SPA and Ramsar site designated for its important breeding and migratory bird populations. The Dee and its tributaries are renowned for their excellent fishing. Game fish, including salmon and trout, are found throughout the catchment, including the lakes and reservoirs in the upper reaches. Coarse fish, including grayling, for which the River Dee is well-known, are present in the middle and lower reaches, and in the Llangollen arm of the Shropshire Union Canal located in part in the south-east of the basin. Some salmon net-fishing takes place in the estuary under licence. The estuary is also home to important cockle beds, which provide a local industry. The cockles provide an important source of food for the wildfowl and wading birds during the winter months. Cockle fishing disturbs birds and damages the habitat through trampling, discards, raking, illegal fishing and the removal of undersize cockles. The angling and conservation sector has a large role to play in delivering local 'on the ground' improvements to the water environment as well as working to establish new improvement actions. It engages communities and individuals, building on their skills, experience and local knowledge and actively involves them in making these improvements. Angling is a popular past time that can provide local intelligence on environmental quality. Many environmental organisations can influence environmental quality through the land they own or manage. Riparian owners have specific responsibility for the management of their watercourses so their support, involvement and investment in implementing the actions is crucial. Example actions Education campaigns to the general public through press releases, newsletters and magazines to raise awareness on sustainable water use (efficiency, conservation and re-use) (Environment Agency Wales). - Across the river basin district Encourage catch and release of salmon and sea trout through incentives and education (Environment Agency). - Across the river basin district Enforcement of rod byelaws, including illegal fishing, to protect vulnerable fish stocks from overexploitation (Environment Agency). - Across the river basin district Promote the 'River Fly Partnership' monitoring programme to assess the status of river health (Fisheries/Angling clubs). - Across the river basin district Establish a database of invasive non-native species on nature reserves and in areas where the Environment Agency works for all Wildlife Trusts in the Dee river basin district. The database can then be shared with the Association of Rivers Trusts, Wildlife Trusts and other organisations (Environment Agency Wales). - Across the river basin district Produce plan of priority actions for easing eel passage taking account of availability of upstream habitat (Environment Agency Wales). - Across the river basin district Central government Government will continue to influence the development of European legislation to help bring forward initiatives that protect and improve the water environment, and that are technically feasible and not disproportionately costly. Defra and Welsh Assembly Government are considering further policy options to help improve ambition in achieving objectives in this first plan cycle. These include controls on phosphate in detergents, tackling mis-connections, general binding rules, code of practice on septic tanks and options to increase the use of sustainable drainage systems to reduce risks of flooding and pollution of surface waters during periods of high rainfall. The Environment Agency, Forestry Commission, Natural England and Countryside Council for Wales are the key government agencies for this plan. The agencies will work together on relevant actions. Example actions Promote Code for Sustainable Homes (now mandatory Level 3 for all residential developments greater than 4 dwellings) and Building Research Establishment Environmental Assessment Method (BREEAM) standards in national planning policy in Wales (Welsh Assembly Government). - Across the river basin district Promote the wide scale use of sustainable drainage systems and provide guidance for integrating development and water planning (Welsh Assembly Government)) - Across the river basin district Where necessary carry out targeted local investigations into the origins, causes of and solutions to pollution to protect private drinking water supplies (Environment Agency Wales) - Across the river basin district Implement the water related actions of the Invasive Non-native Species Framework Action Plan for Great Britain (Defra, Welsh Assembly Government, Environment Agency) . - England and Wales Improve information on distribution of invasive non-native plant species by using information gathered from herbicide applications to create a invasive non-native species database and linking to data gathered from other organisations (Welsh Assembly Government) - Across the river basin district Environment Agency The Environment Agency is the Government's lead agency for implementing the Water Framework Directive. We will continue to monitor, provide advice and manage improvements to the water environment. We regulate discharges to and abstraction from the water environment by issuing and enforcing environmental permits and licenses. Where necessary we take enforcement action against those who act illegally and damage or put at risk the water environment. We also have responsibility to make sure there is enough water to meet the needs of industry, agriculture and wider society in the future. Specific requirements for Environment Agency in the Dee River Basin District are to continue to regulate the Dee Water Protection Zone and manage the flow regime in the River Dee in accordance with the Dee and Clwyd Authority Act 1973. We will work closely with all sectors to learn from them, build on existing knowledge and to develop a shared commitment to implementing environmental improvements. Example actions The Environment Agency Wales will manage the Dee Regulation System (river flows in the Dee) under the Dee and Clwyd River Authority Act 1973 (Environment Agency Wales). - Across the river basin district The Environment Agency Wales will enforce the Water Protection Zone Regulations 1999, ensuring all controlled activities are carried out in accordance with the requirements of a protection zone consent (Environment Agency Wales) - Across the river basin district Continue to refine a monitoring programme, to maintain our understanding of the state of the water environment (Environment Agency). - Across the river basin district Run local pollution prevention campaigns to raise awareness of the need for responsible handling and disposal of chemicals, oil and other pollutants (Environment Agency). - Specified water bodies identified at risk Example actions Develop and implement Water Framework Directive mitigation measures manual for flood and coastal erosion risk management and land drainage activities. This manual will set out best practice options for measures to mitigate against the impacts of such activities upon ecology. This will be used to ensure that new and existing schemes and management activities will take into consideration Water Framework Directive requirements and will results in minimal ecological damage (Environment Agency Wales). - Across the river basin district Reduce physical modification by reviewing redundant flood defence structures and identifying where modification, mitigation or removal may be appropriate (Environment Agency Wales) - Across the river basin district Provide advice to small and medium sized businesses on obligations in relation to priority substances, priority hazardous substances and specific pollutants through NetRegs website (Environment Agency Wales) - Across the river basin district Conduct investigations at sites identified under the Restoring Sustainable Abstraction programme (Environment Agency). - Across the river basin district Industry, manufacturing and other business Chester and Wrexham are the two major urban centres in the river basin district. Key sectors in the District include retailing, business services, health, banking and insurance. Commercial and industrial development is mainly centred in the urban areas adjacent to the estuary and around Wrexham. Major industries include chemical and pharmaceutical plants, food manufacture, paper production and aircraft construction. Manufacturing is an important contributor to the economy of the Dee River Basin District. All businesses have some environmental footprint, by emitting pollution, producing waste or simply using power. The Economic Strategy covering the English part of the District is a key document to manage the impact of future economic growth, by aiming to demonstrate that this growth can be secured within environmental limits to bring prosperity to the region. Most relevant actions in this plan are already underway or are part of the existing regulatory system. However, some actions are new, and will help reduce nutrients such as phosphate and will help meet tighter standards on ammonia and 40 other priority substances and pollutants in the river basin district. Where appropriate, industry will participate in pollution prevention campaigns and in investigations to establish the extent and source of pressures to define any further actions required for this and future plan cycles. Example actions Comply with regulations such as Environmental Permitting, Environmental Damage and Groundwater, to limit environmental damage and help prevent land contamination, pollution and deterioration of waters (Industry). - Across the river basin district Voluntary pollution prevention and remediation of existing land contamination, to bring land back into beneficial use and remove potential sources of groundwater contamination (Industry). - Sites contributing to potential environmental quality standard failure Run pollution prevention advice and campaigns to provide targeted advice and enforcement to reduce contaminants being released to groundwater from industrial estates, petrol stations and other sources (Environment Agency). - High risk areas Implementation of sustainable drainage systems Code of Practice. Comply with published advice for operators on sustainable drainage systems (Industry) - Across the river basin district Investigate the need to screen intakes and discharges to prevent loss or damage to fish populations. Ensure screening on priority sites (Environment Agency). - Across the river basin district Promote water recycling and rainwater harvesting where cost-effective, appropriate and used together with other demand management measures (Water companies). - Across the river basin district Reducing disposal of fat, oil and grease to sewers - Awareness campaign to influence behaviour with leaflets, information packs (Environment Agency Wales) - Across the river basin district Re-engineer existing discharges to avoid direct discharges of pollutants to groundwater (Environment Agency Wales). - Across the river basin district Local and regional government Local and regional government have a major role in implementing this plan. The sector has a far reaching influence on businesses, local communities and leisure and tourism sectors. The eight local authorities (Gwynedd, Conwy, Denbighshire, Shropshire, Wrexham, Cheshire West and Chester, Flintshire and Wirral) and Snowdonia National Park Authority also have duties and powers in relation to planning, waste and minerals, regeneration, land contamination, highways, transportation, emergency planning, countryside management, bathing waters, potable drinking water for private water supplies and other activities. Town and Parish councils exist at the local level across part of the river basin district. Many of the actions identified in the plan form part of this sector's normal work. The Environment Agency and others will work with Local Authorities to ensure that all relevant actions are identified, prioritised, resourced and implemented. Example actions Ensure that planning policies and spatial planning documents take into account the objectives of the Dee River Basin Management Plan, including Local Development Documents and Sustainable Community Strategies (Local Authorities). - Across the river basin district Develop and provide sustainable water management planning guidance to ensure that the impacts of development on the water environment are fully understood (Environment Agency). - Across the river basin district Action to reduce the physical impacts of urban development in artificial or heavily modified waters, to help waters reach good ecological potential (Local Authorities). - Across the river basin district Coordination of a variety of spatial plans, including land-use (Regional planning authorities) - Across the river basin district Promote the use of sustainable drainage systems in new urban and rural development where appropriate, and retrofit in priority areas including highways where possible (Environment Agency, Local Authorities). - Across the river basin district General guidance to improve Pesticide use through the Amenity Forum (Amenity Forum) - Across the river basin district Mining and quarrying Current mining and quarrying activity is well regulated. However, the historic metal and coal mining in the Wrexham area has left a legacy of minewater issues, in particular around the former Minera metal mine. Such minewater may include metals such as cadmium, lead, nickel, copper, iron, manganese and arsenic which can have significant ecological impacts on the receiving water environment. In some areas the habitat has adapted to this historic higher level of metal contamination and have subsequently become important habitats in their own right. The metals continue to be discharged from these sites and enter the receiving water bodies and eventually the Dee estuary. Investigations into the impacts of these sites, in particular Minera, is being progressed as part of the Metal Mine Strategy for Wales. Example actions Coal Authority minewater preventative and remediation programme (Coal Authority). - Across the river basin district Investigate emissions from working sites and appraise options of best practice controls at mines and quarries to ensure environmental quality standards are met (Operators). - Sites contributing to potential environmental quality standard failure Comply with Local Authority contaminated land remediation notices - Make use of site specific notice to remove pollution risk to groundwater (Industry). - Across the river basin district Implementation of best practice controls and remediation at abandoned metal mines (Environment Agency Wales). - Across the river basin district Continue to investigate minewater impacts and develop remediation plans in accordance with the Metal Mines Strategy for Wales (Environment Agency Wales). - Across the river basin district Investigate discharges from abandoned metal, and other non-coal mines in accordance with the Metal Mine Strategy for Wales. Prioritise for inclusion in national agreement with relevant mines partner organisations (Environment Agency Wales). - Across the river basin district Navigation Ports, harbours and marinas are essential for economic prosperity. Many navigation and port authorities have already done a great deal to help improve ecology and water quality and some harbours are home to internationally important wildlife. Careful planning will be needed to ensure that waters remain navigable whilst at the same time water quality is protected and improved. Proposals to build new ports or expand existing ones need to take sustainable water management goals into account. Physical changes are permitted to waters for navigation but only if certain conditions are met. The North Wales coast is also popular with tourists and recreational boaters. The Environment Agency wants to encourage recreation in the river basin district, whilst taking action to minimise any environmental impacts. Example actions Ban Tributyltin (TBT) use on ship hulls unless there is a coating to prevent leaching of underlying TBT anti-foulants, to prevent or limit pollution in marine waters (Marine and Fisheries Agency, Welsh Assembly Government and others). - England and Wales Create guidance notes for boat users and recreational activities on water bodies to reduce disturbance to habitat and species. The guidance will form an aspect of a wider code of practice to boat users (Countryside Council for Wales). - England and Wales Develop a dredging and disposal framework which will provide guidance to all those undertaking or permitting navigation dredging and dredged material disposal activities to assist in achieving the statutory objectives of the Water Framework Directive and related Environmental Quality Standards Directive (2008/105/EEC) (Ports sector). - England and Wales Review existing controls for disposal of dredgings inside and outside harbour limits as appropriate (Welsh Assembly Government, Defra). - England and Wales Investigate the reason for failure: to assess the contribution from dredging or disposal activities on EQS compliance as appropriate (Environment Agency) - England and Wales Urban and transport Development and regeneration is a major opportunity to improve the water environment. However, when poorly planned or designed, urban and transport infrastructure can adversely impact on water quality or water resources. The Environment Agency and others want to work with the urban and transport sector to achieve an urban water environment rich in wildlife that local communities can benefit from and enjoy. A good quality water environment has the potential to help economic regeneration and to enhance the economic and social amenity value of developments, and improve the quality of life in cities, towns and villages. Spatial planning and design for urban development and infrastructure should aim to reduce surface water run off; protect and restore habitats; improve the quality of rivers, coastal waters, and groundwater, and thus protect drinking water supplies and bathing areas. The release of toxic pollutants that harm the water environment also need to be reduced. Example actions Environment Agency and Highways Agency Memorandum of Understanding (MoU) and associated initiatives in England (Highways Agency and Environment Agency). - England Action to reduce the physical impacts of urban development in artificial or heavily modified water bodies, to help waters reach good ecological potential (Local Authorities). - Across the river basin district Run pollution prevention advice and local campaigns to provide targeted advice and enforcement on farm and land management, domestic oil storage, septic tanks (Environment Agency). - Across the river basin district General guidance to improve Pesticide use through the Amenity Forum (Amenity Forum). - England and Wales Countryside Council for Wales is promoting sustainable drainage systems in developments around SSSI's/areas with significant newt populations (Countryside Council for Wales). - Across the river basin district Promote good practice to avoid pollution from construction sites (Environment Agency). - Across the river basin district Reducing disposal of fat, oil and grease to sewers - Awareness campaign to influence behaviour with leaflets, information packs (Environment Agency Wales) - Across the river basin district Targeted programme of site visits to review activities operating in the Dee Protection Zone (Environment Agency Wales). - Across the river basin district Water industry Water companies are major partners in the management and protection of the water environment. The Environment Agency works with companies, consumers and government to ensure that the sector's environmental work is planned and implemented in a way that is affordable for the public. Improvement of continuous and intermittent sewage effluent discharges and of water resources management will be carried out as part of the ongoing water industry asset management programme. The companies' programme of work under the periodic review of water industry investment in 2009 will make a large contribution to meeting the objectives in this plan. This includes carrying out investigations, and specific improvement schemes to address water quality or water resources. In addition, specific actions will be carried out in drinking water protected areas to help safeguard drinking water supplies. Example actions Reduce leakage through active leakage control and customer supply pipe repair policies to help ensure sufficient water for people and wildlife (Water companies). - Across the river basin district Complete the current round of water company asset investment to deliver water quality improvements and reduce the impact of abstraction (Water companies). - Rivers, coasts, estuaries and groundwater bodies across the river basin district Improvements to water company assets under the next round of company investment (Asset Management Programme - AMP5), to deliver water quality improvements and continue to reduce the impact of abstraction under a range of environmental Directives (Water companies). - Rivers, coasts, estuaries and groundwater bodies across the river basin district Advice to capital delivery partners working on Dwr Cymru Welsh Water capital programme to ensure awareness of Invasive Non-native Species and to ensure the appropriate disposal of contaminated soils (Water companies). - Across the river basin district Coordinated education and awareness on water efficiency including sustainable drainage systems and re-use to promote value of water (Environment Agency Wales). - Across the river basin district Provision of first time rural sewerage schemes (Water companies). - Across the river basin district Sharing of information on extent of Dwr Cymru Welsh Water wastewater assets already in place, updates likely to continue (Water companies). - Across the river basin district Research and development on fate and transport of phosphate in groundwater to determine impact on surface water (Environment Agency Wales, Water companies). - Across the river basin district Individuals and communities Everyone can help protect and improve the water environment. Actions people can take include the following. To save water in houses or offices - Turn off the tap when brushing teeth, and take short showers rather than baths. - Wash fruit and vegetables in a bowl rather than under the running tap - and use the remainder on plants. - Install a 'hippo' or 'save-a-flush' in toilet cisterns. - Run dishwashers or washing machines with a full load on an economy setting, and boil the minimum amount of water needed in kettles or saucepans. - Purchase low energy and low water use appliances. - Hand wash cars. - Ask water companies to fit a meter. This can reduce household water consumption. - Install a low-flush toilet, put flow regulators on taps and showers, and install waterless urinals at work. - Consider installing grey-water recycling systems in homes or workplaces. This can save one third of domestic mains water usage. - Ensure that any off-road parking or patio around the house use permeable materials so rain can soak into the soil. in gardens - Choose plants that tolerate dry conditions. To help lawns through dry periods, don't cut them too short. - To save water in gardens, collect rain in a water-butt, water at the beginning or end of the day, mulch plants, and use watering cans where possible instead of sprinklers or hosepipes. - Fix dripping taps, and lag pipes to avoid them bursting in freezing weather. To prevent pollution - Use kitchen, bathroom and car cleaning products that don't harm the environment, such as phosphate-free laundry detergents, and use as little as possible. This helps prevent pollution. - Take waste oil and chemicals such as white spirit to a municipal recycling facility: don't pour them down the sink or outside drains. - Check that household appliances are connected to the foul sewer, not the surface water drain. - Ensure septic tanks or private sewage treatment plants are well maintained and working effectively. - Ensure household oil storage is in good condition, with an up-to-date inspection record. - Ensure extensions or conservatories have their roof water draining into a soakaway or sustainable drainage system and not connected to the combined sewer. - Report pollution or fly-tipping to the Environment Agency on 0800 807060. To protect water dependent wildlife - Put cotton buds and other litter in the bin, not down the toilet. It may end up in the sea where it can harm wildlife. - Eat fish from sustainable sources, caught using fishing methods that don't cause damage to marine wildlife and habitats. - Seek expert advice to eliminate invasive non-native species from gardens, disposing of them responsibly. Do not buy, plant or release invasive non-native species. - Adopt-a-beach to help keep beaches clean of litter than can harm wildlife and cause pollution. - Join a river group to spot pollution, invasive non-native species, and take part in practical tasks. Actions to protect drinking water Drinking water supplied to households by water companies is of high quality and complies with strict standards enforced by the Drinking Water Inspectorate. Where water is abstracted from a water body for human consumption, the water body is designated as a Drinking Water Protected Area (DrWPA) - additional objectives apply and where necessary, additional action is put in place to protect the quality of the raw water abstracted. Where we are reasonably confident that the DrWPA objective is at high risk of not being complied with, a Safeguard Zone has been identified. In the Safeguard Zone additional actions will take place. These may include voluntary agreements, pollution prevention campaigns and targeted enforcement action of existing legislation. Additional monitoring is taking place to assess whether those DrWPAs currently not assessed at high risk, need a Safeguard Zone and additional action taken. In parallel with this approach, the Environment Agency will continue to develop work on regulatory measures, such as piloting Water Protection Zones in England. If voluntary approaches are shown not to work in a Safeguard Zone, we are ready and able to ensure progress is made before 2015. The costs of action in this plan Overall the Environment Agency estimate that the cost for implementing the actions in the Dee River Basin Management Plan will be £13 million annually. A significant proportion of this cost relates to existing measures. The existing measures are mainly required to fulfil the requirements of earlier EC Directives and are defined as the Reference Case in the Impact Assessment. There are new measures in the plan which we estimate to cost £4 million with a benefit of £6 million. In addition investigations will be carried out that will help to identify the additional measures necessary in future planning cycles. The new measures are defined as the Policy Option in the Impact Assessment. Further information on the approach used to assess the costs and benefits is contained in the Impact Assessment. Taking action in a changing climate The UK's Climate Projections (UKCP09) show that this region is likely to experience hotter drier summers, warmer wetter winters and rising sea levels. This is likely to have a significant effect on environmental conditions and will increase the impact of human activity on the water environment. Table 4 shows the likely effects of climate change on known pressures and the risk they pose on the water environment in the river basin district. It is essential that the actions in this plan take account of the likely effects of climate change. What is done now must not make it harder to deal with problems in the future. Most actions in this plan will remain valid as the climate changes. Others can be adapted to accommodate climate change. Table 4 Qualitative assessment of increased risk from climate change by 2050 and beyond \| Pressure \| Increased risk \| \|-----------------------------------------------------\|-----------------------------------------------------------------------------\| \| Abstraction and other artificial flow regulation \| Very high \| \| Nutrients (nitrate and phosphate) \| High \| \| Sediment \| High \| \| Physical modification \| Medium \| \| Biological (invasive non-native species) \| Medium \| \| Microbiology (including faecal indicator organisms) \| Medium \| \| Organic pollution (sanitary determinands) \| Medium \| \| Salinity \| Medium \| \| Biological (fisheries management) \| Low/Medium \| \| Acidification \| Low for freshwater \| \| Medium/high for marine \| \| \| Low \| Priority hazardous substances, priority substances and specific pollutants, \| \| such as pesticides \| \| \| Temperature of point source discharges \| Low \| \| \| \| It is important to assess the carbon implications of the plans to avoid adding unnecessary carbon dioxide burdens that could increase the problem of climate change. The carbon costs associated with actions in the water industry Periodic Review 2009 (PR09) have been quantified. This is where the most significant carbon impacts will occur as the actions will require additional water treatment, construction of new works or upgrades to existing sites. The approximate operational carbon implications (this does not include scheme construction carbon implications) of PR09 measures in England and Wales is approximately 4,722,000 tonnes per year at the start of the PR09 cycle (2009-10) and 4,564,200 tonnes per year at the end of the PR09 cycle (2014-2015). These figures are from the water company plans and result from schemes to satisfy a number of existing drivers such as Urban Waste Water Directive and Bathing Waters Directive as well as the Water Framework Directive. In this river basin district, the operational carbon component driven by the additional requirement to meet good status under the Water Framework Directive is estimated, at this time, to be three tonnes per year. In the majority of cases this will be balanced by reductions elsewhere as part of the CRC Energy Efficiency Scheme (formerly known as the Carbon Reduction Commitment). The CRC Energy Efficiency Scheme is a legally binding scheme, which covers large business and public sector organisations, and is intended to promote energy efficiency and help reduce carbon emissions. The majority of other actions are likely to have low impact as they are investigations, partnerships or encouraging best practice management. The potential impact of these can be assessed as the work is progressed. No organisation has sole responsibility for ensuring that society adapts successfully to the effects of climate change on the water environment. Most will be achieved by working together and in partnership. This river basin management process provides an excellent framework to help focus and co-ordinate activities. In particular it will allow action to be taken on existing pressures at sites that are at risk and where appropriate restore the natural characteristics of catchments to protect water quality, maintain water resources and reduce the risks of floods and droughts thus building resilience to the further impacts of climate change. ## Working With Other Plans And Programmes A wide range of planning processes help ensure more sustainable management of the water environment. They are briefly described here. ## Development Planning Development planning plays a key role in sustainable development and the Environment Agency will continue to work closely with planning authorities. We aim to ensure that planners understand the objectives of the Water Framework Directive and are able to translate them into planning policy. There are many planning processes and provisions involved. They include: - National legislation; • Welsh Assembly Government Planning Policy and associated guidance; • Regional Spatial Strategies, including Wales Spatial Plan; • Local Development documents; - Local guidance (e.g. Supplementary Planning Documents); - Delivering the planning application process. In the Dee River Basin District, there are already spatial plans which set out proposed levels of growth and development. These will be superseded by the new Local Development Plan. The proposed Strategic Development Areas (England) and Development hubs (Wales) include major mixed-use schemes at Northern Gateway on Deeside (Flintshire UDP). Cheshire West and Chester was awarded Growth Point status in July 2008 by the Government. This comes with an expectation of delivering a much higher level of housing growth than has been achieved in the past. This will require a holistic Water Cycle Study for the Growth point area to include determining whether growth can be accommodated without breaching water quality limits, whether any infrastructure or capacity upgrades are necessary and also to ensure the cumulative impacts of growth do not push the Water Resource zones into deficit. Managed well, this growth and regeneration will be an opportunity to make improvements to the water environment in a way that enhances people's quality of life. In the Dee River Basin District, the Environment Agency is already working with water companies and local government to assess the implications of new development on sewage treatment works discharges and consequently on receiving river water quality. To date, it indicates that forecast growth must pay special attention to phosphate. Good development planning needs to consider a number of issues relevant to the Dee River Basin District , including housing locations, flood risk, sewage treatment options, initiatives to reduce flow to sewage works, water efficiency measures and the reduction of nutrients from diffuse pollution. The Environment Agency and others will continue to work to help clarify the way forward. Flood risk and coastal erosion planning There is a separate planning process for flood and coastal erosion risk management introduced by the new European Floods Directive (Directive 2007/60/EC on the assessment and management of flood risks). This requires that the environmental objectives of the Water Framework Directive are taken into account in flood and coastal erosion plans. Implementation of the Floods Directive in England and Wales will be co-ordinated with the Water Framework Directive. The delivery plans and timescales for the two directives will be closely aligned. Catchment Flood Management Plans (prepared by the Environment Agency) and Shoreline Management Plans (prepared by local coastal authorities and the Environment Agency) set out long term policies for flood risk management. The delivery of the policies from these long term plans will help to achieve the objectives of this and subsequent River Basin Management Plans. The Environment Agency plans its flood and coastal risk management capital investment through the 'Medium Term Plan', which is a rolling five-year investment plan. Using this, we have identified flood and coastal risk management activities that will deliver one or more restoration or mitigation measures included in this plan. Although these activities will be carried out for flood risk management purposes, they will be carried out in such a way to ensure any impacts are minimised and that the ecology is protected. Activities will not lower water body status unless fully justified under Article 4.7 of the Water Framework Directive. Marine planning The Marine Strategy Framework Directive is closely linked with the Water Framework Directive and their application overlaps in estuaries and coasts. The Environment Agency is working with Defra, Welsh Assembly Government and others to ensure that the implementation of both Directives is fully integrated. Managing new physical modifications In specific circumstances the Water Framework Directive provides a defence for when, as a result of a new physical modification, good ecological status or potential cannot be achieved or where deterioration in status occurs. This is covered under Article 4.7 of the Directive. Although protecting the water environment is a priority, some new modifications may provide important benefits to human health, human safety and/or sustainable development. Such benefits can include: - public water supply; - flood defence/alleviation; - hydropower generation; - navigation. It is often impossible to undertake such activities without causing deterioration of status to the water body. The benefits that such developments can bring need to be balanced against the social and economic benefits gained by maintaining the status of the water environment in England and Wales. The Environment Agency has developed a process for applying the tests and justifications required for such new modifications (Article 4.7) and will work with stakeholders to ensure these provisions are met during the first cycle of river basin management. Other planning processes The Environment Agency is also working to align planning processes in other areas. These include water resources and water quality, agriculture and rural development and natural heritage. Annex J provides further information about these and other planning processes. 6 The state of the water environment in 2015 One of the objectives of the Water Framework Directive is to aim to achieve good ecological status in water bodies by 2015. However, for 62 per cent of water bodies this target cannot be met by this date. Greater improvement in status is limited by the current understanding of pressures on the water environment, their sources, and the action required to tackle them. By 2015, 25 per cent of surface waters - 27 surface water bodies - will show an improvement by 2015 for one or more of the elements measured. This translates to 265 kilometres of river and canal improved, and is illustrated in Figure 5. There will be tangible benefits from meeting these objectives. For example, major investment in the water industry will continue to address problems such as the high levels of nutrients in sewage effluent. By 2015, these actions will have reduced phosphate in some 41 kilometres of river and there will be reduced levels of ammonia in almost 45 kilometres of rivers. Intermittent discharges will be improved, resulting in over five km of river and three km2 of coastal waters potentially improved in Dee river basin district. In addition, continuous discharges from sewage treatment works have improved in recent years, resulting in just over 35 km river potentially improved, of which 19 km was as a result of direct improvements to meet local river quality objectives or Freshwater Fish Directive requirements. There is a large amount of work still to be done on the Dee specifically for the Habitats Directive, which will result in the reduction of phosphate from the catchment. Figures 6 and 7 show what ecological and biological status will be in 2015 compared to now. By 2015, 38 per cent will be in at least good ecological status/potential and 51 per cent of assessed surface waters will be in at least good biological status. A map showing predicted status for surface water bodies in 2015 is provided in Figure 9. Figures 10 and 11 show the predicted quantitative status and chemical status for groundwater in 2015. For the 49 heavily modified and artificial water bodies (48 heavily modified, one artificial), 16 (33 per cent) per cent will be in at least good ecological potential in 2015, compared to 42 per cent of 60 natural surface water bodies being at good or better ecological status. For many estuaries, coasts and lakes it is unlikely that an improvement in the number of water bodies at 'good' status/potential can be achieved by 2015. The biological tools and monitoring data needed to classify these types of water bodies have only recently been developed. There is limited knowledge about the pressures that affect many of these water bodies and how their biology responds to changes in these pressures. It has therefore not been possible to identify many additional cost effective and proportionate measures. In many cases though there will be improvements to some key elements as the result of actions in this plan and there will be investigations to help find technically feasible actions that are not disproportionately costly. The Environment Agency wants these waters to achieve good overall status or potential by 2021 or 2027. There will be no deterioration in groundwater status by 2015, but improvement will take place over longer timescales. Figures 10 and 11 show the predicted quantitative and chemical status of groundwater in 2015. Looking at overall status, the combination of ecological status and chemical status, 37 per cent of surface water bodies are expected to meet good overall status by 2015. Investigations - improving outcomes for 2015 In many cases we, the Environment Agency are not able to identify appropriate actions for water bodies that are currently not achieving good ecological status/potential. Sometimes this is because the cause of the problem and its sources are not yet known. Sometimes this will involve gaining corroborative evidence of biological problems to justify expenditure where there is low confidence of failure of chemical standards. In other cases the most appropriate solution to the problem needs to be researched. Investigations into these types of issues will be an important measure during the first cycle. Where possible, investigations will take place before 2013 so that the results are known in time for the formal review of this plan by 2015. The Environment Agency has identified 38 surface water bodies that require investigations in this plan. A proportion of these will lead to actions that should be straightforward to put in place before 2015. The outcome of our detailed planning work is that we have confidence that 38 per cent of surface waters will be in good ecological status or potential by 2015. This is our formal target for this plan. Across England and Wales we have a formal target of achieving 31 per cent of surface waters in good ecological status or potential by 2015. Improvement to the water environment has to be managed as a continuum, not in isolated six year cycles. We are already confident that in this river basin district 25 per cent of surface waters will be improved by for at least one element by 2015. We are also confident that a proportion of investigations will lead to action that we can put in place before 2015. To ensure we capture these additional opportunities, we will be ensuring that the Dee River Basin District makes its contribution to a goal of achieving up to 33 per cent of surface waters across England and Wales at good status or potential by 2015. ## Figure 9 Predicted Ecological Status And Potential For Surface Water Bodies In 2015 7 Targets for subsequent cycles There are three river basin management cycles: 2009-2015, 2015-2021 and 2021-2027. Achieving good status in all water bodies by 2027 is a significant challenge. The information gained from investigations during the first cycle will help to accelerate improvement to known issues using both traditional and novel techniques in both second and third cycles. New issues will arise though. This plan sets out where good status cannot be achieved by 2015. This relates to 64 per cent of rivers, 57 per cent of lakes, 100 per cent of the estuary and 33 per cent of groundwater. In these cases an alternative objective of good status or potential by 2021 or 2027 is set (see Annex E). Over the period to 2027, the pressures on the water environment will change, particularly because of climate change. It is not known in detail how the water environment will respond to this. The population in the river basin district will continue to increase, with further urbanisation. Agriculture will respond both here and abroad to the changing climate, market conditions, financial incentives and regulatory pressures. Technology and other solutions to address the pressures will improve, but the rate at which some new solutions can be introduced will depend on the economic climate. The Environment Agency believes that achieving good status in all water bodies by 2027 will not be possible using only current technologies. Even achieving 75 per cent good status will require marked changes in land use and water infrastructure, such as a major programme to separate foul and surface water sewers across most of the river basin district. By current standards, such changes are extremely unlikely to be economically or socially acceptable. For some waters therefore, achieving good status by 2027 could be technically unfeasible or disproportionately costly. The Environment Agency wants to work with others to find and implement additional actions to improve the environment, with the aspiration of achieving good status in at least 60 per cent of waters by 2021 and in as many waters as possible by 2027. The water environment now and objectives for 2015 are described further in the section 'Dee River Basin District catchments in 2015'. A summary of the key statistics for the Dee River Basin District is provided in Table 10 (Section 10). 8 Dee River Basin District catchments This section summarises information about the status of waters in the different parts of the Dee River Basin District, their objectives and some of the actions for them. Rivers and lakes are grouped by catchment. There are three catchments, presented here from west to east. These are shown in Figure 12, below. - Upper Dee - Middle Dee - Tidal Dee There are also separate sections for estuary and coastal waters, and groundwater. ## Upper Dee The Upper Dee catchment is largely rural. It includes the main River Dee from its source above Llyn Tegid, in Snowdonia National Park, down through the Vale of Llangollen to the confluence with the Afon Ceiriog. The main areas of population are at Bala, Corwen, Llangollen and Wrexham. The catchment area is covered by five local government areas, Gwynedd, Conwy, Denbighshire, Wrexham and Shropshire, as well as Snowdonia National Park Authority. The major tributaries are the Tryweryn, Alwen and Ceiriog. The river Clywedog which drains the Wrexham area is also included in this catchment. Tourism is an important part of the local economy, including water based recreation, particularly around Bala and on the Llangollen canal. Fishing for salmon, trout and grayling is also popular in this part of the Dee. The key reservoirs for regulating flows along the length of the Dee are in this catchment, Llyn Celyn, Brenig reservoir and Llyn Tegid as well as Alwen reservoir which provides a direct water supply. Agriculture is the main industry, with sheep and beef farming dominant. There are some forestry plantations in the uplands. Diffuse inputs such as sediments from both agriculture and forestry can affect the biological quality in parts of the catchment and some of the lakes are subject to nutrient pressure. Some tributaries in the upper catchment are impacted by acidification or elevated metals, while others have had ecological impacts from pesticides in recent years but have largely recovered now. Lower down the catchment there is more urban development with increased population around Wrexham and industrial development, for example at Wrexham industrial estate. Urban pressures are impacting biological quality in the Gwenfro which flows through Wrexham and there are elevated zinc levels in the river Clywedog from Minera mine in the headwaters. Environment Agency River Basin Management Plan, Dee River Basin District Main document \| River and lake water bodies \| Now \| 2015 \| \|---------------------------------------------------\|--------\|---------\| \| Per cent at good ecological status or potential \| 40 \| 53 \| \| 58 \| 58 \| \| \| Per cent assessed at good or high biological \| \| \| \| status (46 water bodies assessed) \| \| \| \| 80 \| 80 \| \| \| Per cent assessed at good chemical status (5 \| \| \| \| water bodies assessed) \| \| \| \| 40 \| 52 \| \| \| Per cent at good status overall (chemical and \| \| \| \| ecological) \| \| \| \| Per cent rivers improving for one or more element \| - \| 44 \| There are 50 river water bodies and 12 lakes in the catchment. 26 are artificial or heavily modified. 36 per cent of rivers (162 km or 36 per cent of river length) currently achieve good or better ecological status/potential, including the including the Ceiriog and the Ceirw and Black Brook on the Clywedog. 56 per cent of rivers assessed for biology are at good or high biological status now, with only 10 per cent at poor biological status, and no assessed waters at bad status. Local actions will address the key pressures in the catchment, and those waters in the worst state will be prioritised. 44 per cent of rivers in the Upper Dee will improve for at least one element by 2015. For example the fish classification in the Llafar will improve. However, these improvements will not be enough to change the ecological status/potential of any water bodies by 2015. Some key actions for this catchment Actions to improve the water bodies in this catchment include planned improvements to sewage treatment works, initiatives to provide advice to farmers and The Metal Mine Strategy for Wales will also address minewater impacts in the catchment. ## Middle Dee The Middle Dee includes the remainder of the main River Dee from the Ceiriog down to the canalised section below Chester. Major tributaries are the river Alyn, Worthenbury Brook and Aldford brook. The main centres of population are at Chester, Mold and Whitchurch. The largest proportion of the Middle Dee lies in Cheshire West and Chester, Wrexham and Flintshire local government areas, though there are also parts in Denbighshire and Shropshire. Here the Dee meanders though the Cheshire Plains where the landscape is dominated by dairy and arable farming. Mixed sheep and beef remain in the upper parts of the River Alyn on the edge of the Clwydian Hills. Larger manufacturing industries and the retail sector also play a key role in the economy of this area. The major drinking water abstractions are taken from this section of the Dee. Coarse fishing is popular in the main river and some of its tributaries and brown trout fishing is enjoyed on the River Alyn. The Dee meanders site is designated for its fluvial geomorphological interest which occurs in England and Wales as a Geological Conservation Review site (GCR 2955). It consists of some of the most spectacular and intricately developed river bends or meanders seen anywhere in Britain. There are at present constraints to the natural hydromorphology of this stretch of the river. Management (within an overall river restoration strategy) is required that will reconnect the river to the flood plain to allow natural processes as far as possible to function. The biological and ecological quality here is under more pressure than the Upper Dee. These pressures include diffuse urban and diffuse rural pollution, as well as nutrient pressure from point sources such as sewage works. Physical modification also affects the rivers, with many of the brooks modified in their lower sections for flood alleviation. There are also some notable man made obstructions to fish migration, particularly on the River Alyn. Environment Agency River Basin Management Plan, Dee River Basin District Main document \| River and lake water bodies \| Now \| 2015 \| \|---------------------------------------------------\|--------\|---------\| \| Per cent at good ecological status or potential \| 7 \| 10 \| \| 19 \| 19 \| \| \| Per cent assessed at good or high biological \| \| \| \| status (14 water bodies assessed) \| \| \| \| Per cent assessed at good chemical status \| \| \| \| 67 \| 67 \| \| \| 7 \| 10 \| \| \| Per cent at good status overall (chemical and \| \| \| \| ecological) \| \| \| \| Per cent rivers improving for one or more element \| - \| 14 \| There are 21 river water bodies and 9 lakes in the catchment. 15 are artificial or heavily modified. None of the rivers currently achieve good or better ecological status/potential although some rivers like the Terrig and Cegidog, tributaries of the Alyn are only failing on one element, in this case fish. 14 per cent of rivers assessed for biology are at good or high biological status now, with only 44 per cent at poor biological status, and one assessed water body (6 percent) at bad status. Local actions will address the key pressures in the catchment, and those waters in the worst state will be prioritised. 14 per cent of rivers in the Middle Dee will improve for at least one element by 2015. For example the phosphate classification in the Aldford Brook will improve. However, these improvements will not be enough to change the ecological status/potential of any water bodies by 2015. Some key actions for this catchment Actions to tackle the issues in this area include upgrades to major sewage treatment works including removal of phosphate and initiatives to provide advice to farmers. Improvements to diatom and fish and phosphate elements of the classification may take a number of years and it is anticipated it may be after 2015 before some of these improvements are seen. ## Case Study: Habitat Improvements For Fish In The Middle Dee In-river habitat is being restored along almost a kilometre section of the River Alyn, an important tributary of the River Dee. Stones are being placed in a section of river that had very few features and provided little cover for fish. These stones not only create hiding places where fry can shelter, they also provide resting areas for migratory fish which are travelling up the river and help to establish habitats for invertebrates. In the Emral Brook, south of the village of Worthenbury, over 2 kilometres of bankside habitat was fenced off recently. These buffer strips allow vegetation to establish and create cover for the resident brown trout and course fish and corridors for wildlife. Also as part of the scheme approximately 50 tonnes of locally sourced boulders were placed in the brook to provide cover for fish and other aquatic wildlife and to create a pool riffle habitat. Photo showing new swing gate and access point on the Emral brook ## Tidal Dee The Tidal Dee catchment covers the streams and rivers that flow directly to the Dee estuary on both the English and Welsh sides. These include the Afon Y Garth, Swinchiard, Wepre and Shotton brooks. The catchment is covered by three local government areas, Flintshire County Council, Cheshire West and Chester Council, and Wirral Metropolitan Borough Council. The catchment includes a lot of urban development, with major industries including paper processing, aircraft, steel and chemicals manufacturing and power generation found alongside the Dee estuary. The European designated bathing beach at West Kirby is included in this catchment. Issues in the catchment include elevated zinc concentrations in the Afon-Y-Garth from historic metal mining, nutrient pressures and diffuse urban pollution. Frequently, the water courses are physically modified with culverts and flood embankments in their lower sections and so are designated as heavily modified water bodies. \| River water bodies \| Now \| 2015 \| \|---------------------------------------------------\|--------\|---------\| \| Per cent at good ecological status or potential \| 20 \| 27 \| \| 100 \| 100 \| \| \| Per cent assessed at good or high biological \| \| \| \| status (3 water bodies assessed) \| \| \| \| - \| - \| \| \| Per cent assessed at good chemical status (0 \| \| \| \| water bodies assessed) \| \| \| \| 20 \| 27 \| \| \| Per cent at good status overall (chemical and \| \| \| \| ecological) \| \| \| \| Per cent rivers improving for one or more element \| - \| 7 \| There are 15 river water bodies and no lakes in the catchment. 6 are artificial or heavily modified. 20 per cent of rivers (12km or 31 per cent of river length) currently achieve good or better ecological status/potential, including Wepre Brook. 100 per cent of rivers assessed for biology are at good or high biological status now. Local actions will address the key pressures in the catchment, and those waters in the worst state will be prioritised. 7 per cent of surface waters in the Tidal Dee will improve for at least one element by 2015. Some key actions for this catchment Actions to address these issues include pollution prevention visits to bathing waters to identify and resolve issues that may threaten bathing water compliance, investigating site drainage and misconnections as part of pollution prevention work on industrial estates and improvements to sewage treatment assets. ## Estuary And Coastal Water Bodies The Dee River Basin District has one large funnel shaped estuary that totals 14000 hectares and is the sixth largest in the UK. The estuary has numerous European designations: it is a RAMSAR site, Special Protection Area, Special Area of Conservation (SAC) and SSSI site. It is recognised as one of the most important estuaries in Britain for waders and wildfowl, attracting internationally important populations of oystercatcher, redshank, black-tailed godwit and grey plover. It is also an important staging post for migrating birds during spring and autumn. The estuary supports commercial fishing including a nationally important cockle fishery. The cockle fishery is regulated by the Environment Agency. Cockle harvesting is licensed, with allocation of licences for cockling determined by rules in the Dee Cockle Regulating Order. There is an EC bathing beach at West Kirby on the north west mouth of the estuary and two European designated shellfish waters. There is one major port, the Port of Mostyn which is privately owned and operated. The Port of Mostyn is a Statutory Harbour Authority and is also the Pilotage Authority for the Dee Estuary. The main pressures on the Dee estuary are morphological alterations, nutrients from sewage and potential over-exploitation of fisheries. The estuary is currently at good biological status now and this will be maintained in 2015. There are no coastal waterbodies assigned to this river basin district - these are dealt with in the North West River Basin Management Plan and Western Wales River Basin Management Plan respectively. \| \| \| Estuary \| \|-------------------------------------------------\|-----\|------------------------------------------------\| \| \| Now \| 2015 \| \| 0 \| 0 \| \| \| Per cent at good or better ecological status or \| \| \| \| potential \| \| \| \| 100 \| 100 \| Per cent assessed at good or high biological \| \| status (1 water bodies assessed) \| \| \| \| 100 \| 100 \| Per cent assessed** at good chemical status (1 \| \| water bodies assessed) \| \| \| \| 0 \| 0 \| Per cent at good status overall (chemical and \| \| ecological) \| \| \| \| Per cent improving for one or more element \| - \| - \| ## Some Key Actions For The Estuary Proposals To Address These Issues Include Sustainable Management Of The Cockle Fishery Through The Dee Cockle Regulating Order And Managed Realignment Schemes To Create More Saltmarsh Habitat. Groundwater Bore hole drilling in the Dee River Basin District at Burton Groundwater is an important resource in the Dee River Basin District and is predominantly from sandstone aquifers. The main pressures on our groundwater are abstraction and contamination with nitrates. Contaminants from historic mining activity also have an influence on compliance. It takes time for rainwater to make its way into our major aquifers. Because of this, some groundwater resources can take many years to recharge and therefore recover from the effects of abstraction and for pollution to flush out of the system. Similarly concentrations of pollutants can continue to rise for years after the source of any pollution has been brought under control. Unsustainable abstraction from groundwater can lower groundwater levels and affect dependent river flows or wetlands. They can also induce the intrusion of poorer quality (saline) water from the sea or from adjacent aquifers. Investigations are ongoing to better understand the impact of the major groundwater abstractions in the Dee River Basin District but it is thought that at least one groundwater water body may be at risk of saline intrusion. \| Groundwater \| Now \| 2015 \| \|--------------------------------------\|--------\|--------------------------------------------------\| \| Per cent at good quantitative status \| 83 \| 83 \| \| 83 \| 83 \| Per cent at good chemical status (6 water bodies \| \| assessed) \| \| \| \| Per cent at good status overall \| 67 \| 67 \| Currently 5 out of the 6 (83 per cent) groundwater bodies in the Dee River Basin District are achieving good quantitative and good chemical status. By 2015 we will maintain compliance for quantitative and chemical status. It is necessary to prevent or limit the input of pollutants into groundwater and implement measures to reverse any significant trends in pollutants. The 'prevent or limit' objective in the Water Framework Directive is the first line of defence for groundwater, and will drive action on point source pollution as well as the widespread pollutants such as nitrate that are causing deteriorating trends. All groundwater must be protected from deterioration in quantity or quality, and the Environment Agency will ensure the monitoring network is kept under continuous review so that there is the best possible understanding of pressures and trends. As a result of these challenges, it may not be possible to achieve the objective of good status in all groundwater by 2027. Some key actions for ground water Proposals to address these issues include pollution prevention work to reduce the risk of groundwater pollution. ## 9 Next Steps - Implementing This Plan Diffuse Pollution Investigation And Action In developing the River Basin Management Plans approximately 8,500 investigations have been identified for England and Wales, including further monitoring. The vast majority of these will be undertaken by the Environment Agency and all of these will be completed by the end of 2012. The investigations will focus on resolving what is causing the problem and what the best method to tackle it is. As a result of the evidence they will provide, we will be able to take further action in the first cycle where practicable. The remainder of the investigations - including over 100 water company catchment management investigations - will be carried out by co-deliverers across England and Wales during the course of the first delivery cycle. Working with the river basin district liaison panels, the Environment Agency will welcome the input of local data and knowledge from other parties to help drive action at catchment level. We are confident the investigation programme will lead to actions enabling a further reduction in diffuse pollution and more environmental improvement before 2015. As we have said earlier, the Environment Agency is already committed to delivering, through its own work or through working with others, an additional two per cent improvement towards good status or potential by 2015 across England and Wales. ## Additional National Measures In addition to commitments already provided, the UK Government and Welsh Assembly Government will continue to demonstrate their commitment and bring forward significant work starting with; - banning phosphates in household laundry detergents; - a new requirement contained within the Flood and Water Management Bill making the right to connect to surface water sewers contingent on Sustainable Drainage Systems (SuDS) being included in new developments. Local authorities will be responsible for adopting and maintaining SuDS that serve multiple properties and the highways authorities will maintain them in all adopted roads; - general binding rules to tackle diffuse water pollution by targeting abuse of drainage systems, potentially including industrial estates, car washes and construction by 2012; - transferring the responsibility for misconnections to water companies by 2012; - the Water Protection Zones Statutory Instrument which will enter into force on 22 December 2009 and will be used to tackle diffuse pollution where voluntary measures are not sufficient; - more funding for the Catchment Sensitive Farming Delivery Initiative in England from 2010 - a 50% increase in capital grant spend, and evaluation of the initiative to ensure it is achieving maximum effectiveness; - better targeting of agri-environment schemes for water protection. In Wales, this includes aligning the forthcoming "Glastir" agri-environment scheme to contribute towards meeting Water Framework Directive requirements; - supporting the farming industry in the Campaign for the Farmed Environment, which has reducing impacts on water quality as one of its priorities; - encouraging farmers to use buffer strips to reduce diffuse pollution through guidance and advice provided under cross compliance; - better understanding of the impact of sediment and measures to tackle it as a result of the additional funding announced in June 2009; - further consideration of the impact of cross compliance and good agricultural and environmental conditions (GAEC) on water quality; - implementation of the Sustainable Use of Pesticides Directive; - Environmental Permitting Regulations guidance setting essential standards of location, operation and maintenance for septic tanks. These and the other actions in the plans will lead towards a greater achievement of good status and improvement within class, with more than a quarter of the length of all rivers improving. Implementing the plans at catchment level The Environment Agency has found river basin liaison panels extremely valuable, and will continue to work with them throughout the plan delivery period. The panels will help to encourage river basin district-wide action through their sectors, monitor overall progress and prepare for the second cycle of River Basin Management Planning. Given that implementation requires activity 'on the ground', it is essential that there is the maximum involvement and action from locally based organisations and people. Innovative ways of working together need to be identified that will deliver more for the environment than has been captured in this plan. The Environment Agency will adopt a catchment-based approach to implementation that is efficient and cost-effective. This will support the liaison panels, complement existing networks and relationships, and enable better dialogue and more joined up approaches to action. In some places there will be added value from adopting more detailed catchment plans to help deliver the River Basin Management Plan objectives during the planning cycles. The River Kennet is a case in point where we have set up a pilot group with a range of stakeholders. We will share the knowledge gained with the liaison panels, to help identify other catchments that could benefit from a similar approach. Working with co-deliverers This plan sets out in detail the actions required to improve the water environment. All organisations involved must play their part, record their progress and make the information available. Where the work of a public body affects a river basin district, that body has a general duty to have regard to the River Basin Management Plan. Ministerial guidance states that the Environment Agency should: - work with other public bodies to develop good links between river basin management planning and other relevant plans and strategies, especially those plans that have a statutory basis such as the Local Development Plans and Wales Spatial Plan; - encourage public bodies to include Water Framework Directive considerations in their plans, policies, guidance, appraisal systems and casework decisions. For some, the actions in this plan may be voluntary and for others they will be required under existing legislation. We want to work with you to make these actions happen, and identify new action to create a better place. Reporting on progress The Environment Agency will use its environmental monitoring programme and, where appropriate, information from other monitoring programmes, to review whether work on the ground is achieving the environmental objectives. We will update the classification status of water bodies accordingly and review progress annually. At the end of 2012 a formal interim report will be published. This will: - describe progress in implementing the actions set out in this plan; - set out any additional actions established since the publication of this plan; - assess the progress made towards the achievement of the environmental objectives. Preparations have already begun for the next cycle period 2015 to 2021 and for the subsequent cycle to 2027. If you have proposals for actions that can be included in these future cycles please contact us. River basin management milestones The plan builds on a number of other documents and milestones required by the Water Framework Directive. The work to date has ensured a strong evidence base, and a framework for dialogue with interested organisations and individuals. In terms of taking this plan forwards, it helps to understand the major milestones remaining. These future milestones are summarised in the figure below. ## 10 Summary Statistics For The Dee River Basin District \| Rivers, \| Lakes \| Estuaries \| Surface \| Groundwater \| \|-----------------------------------------------------------------------------------\|----------\|----------------\|------------\|--------------------\| \| Canals \| and SSSI \| Waters \| \| \| \| and \| ditches \| Combined \| \| \| \| \| SWT's \| \| \| \| \| % of water bodies with improvement in any status of any element by 2015 \| 30 \| 5 \| 0 \| 25 \| \| % of water bodies at good ecological status/potential or better now \| \| \| \| \| \| For groundwater: % of water bodies at good or better quantitative status now \| \| \| \| \| \| 25 \| 43 \| 0 \| 28 \| 83 \| \| % of natural water bodies at good ecological status or better now \| 30 \| 75 \| 0 \| 33 \| \| % of artificial and heavily modified water bodies at good ecological potential or \| \| \| \| \| \| better now \| 16 \| 35 \| 0 \| 22 \| \| % of water bodies at good ecological status/potential or better by 2015. \| \| \| \| \| \| For groundwater: % of water bodies at good or better quantitative status 2015 \| \| \| \| \| \| 37 \| 43 \| 0 \| 38 \| 83 \| \| % of natural water bodies at good ecological status or better by 2015 \| 39 \| 75 \| 0 \| 42 \| \| % of artificial and heavily modified water bodies at good ecological potential or \| \| \| \| \| \| better by 2015 \| 32 \| 35 \| 0 \| 33 \| \| % of water bodies at good chemical status now \| 73 \| 0 \| 100 \| 75 \| \| % of water bodies at good chemical status 2015 \| 73 \| 0 \| 100 \| 75 \| \| % of water bodies at good biological status or better now \| 49 \| 63 \| 100 \| 51 \| \| % of water bodies at good biological status or better by 2015 \| 49 \| 63 \| 100 \| 51 \| \| % of water bodies with alternative objectives (good status 2021 or 2027) \| 64 \| 57 \| 100 \| 63 \| \| % of waterbodies deteriorated under Article 4.7 \| 0 \| 0 \| 0 \| 0 \| \| \| \| \| \| \| \| % of all water bodies (surface waters and groundwaters) at good status now \| \| 30 \| \| \| \| % of all water bodies (surface waters and groundwaters) at good status by 2015 \| 38 \| \| \| \| 11 Further information - the annexes Annex A Current state of waters in the Dee River Basin District What the waters are like now. Information on our network of monitoring stations, the classification status of water bodies and the reference conditions for each of the water body types in the river basin district. Annex B Water body status objectives for the Dee River Basin District Information on water body status and objectives Annex C Actions to deliver objectives Details of the actions planned (programmes of measures) for each sector to manage the pressures on the water environment and achieve the objectives of this plan. Annex D Protected area objectives Details of the location of protected areas, the monitoring network, environmental objectives and the actions required to meet Natura 2000 sites and Drinking Water Protected Area objectives. Annex E Actions appraisal and justifying objectives Information about how the Environment Agency has set the water body objectives for this plan and how we selected the actions. It also includes justifications for alternative objectives that have been set. Annex F Mechanisms for action More detail about the mechanisms (i.e. policy, legal, financial tools) that are use to drive actions. Annex G Pressures and risks Information about the significant pressures and risks resulting from human activities on the status of surface water and groundwater. Annex H Adapting to climate change Information on how climate change may affect the pressures on the water environment and the ability to meet the objectives. Annex I Designating artificial and heavily modified water bodies Information about the criteria used to designate waters as artificial or heavily modified water bodies. Annex J Aligning other key processes to river basin management Aligning planning processes to deliver multiple benefits and sustainable outcomes Annex K Economic analysis of water use Information about the costs of water services within the river basin district Annex L Record of consultation and engagement Details of how the Environment Agency has worked with interested parties to develop this plan Annex M Competent authorities List of the competent authorities responsible for river basin management planning. Annex N Glossary Explanation of technical terms and abbreviations. Would you like to find out more about us, or about your environment? Then call us on 08708 506 506 (charged at local rates) email enquiries@environment-agency.gov.uk or visit our website www.environment-agency.gov.uk incident hotline 0800 80 70 60 (Freephone 24 hour) Calls from mobile phones are not free and will be charged at normal network operator's call rates floodline 0845 988 1188 (24 hour)	en
1852-pdf	# Policy For Handling Comments And Complaints Paul Davies, Operations Director ## 1. Introduction This document sets out The National Archives' policy for handling comments and complaints made about our services and facilities. Listening to what our users have to say is essential to improving the quality of our services. We want to know when we do things well and what aspects of our service our users appreciate; but we also want to know when things go wrong or when users feel that our service can be improved. This gives us a chance to make things better and enhance the user experience of The National Archives. We value your comments and complaints so that we can:  keep doing things that please you and give credit to our staff  know if things have gone wrong and put them right for you  learn the lessons, and improve our services ## 2. Who Does This Policy Apply To? 2.1 The policy applies to all those we serve or have dealings with, however regularly, including members of the public, commercial organisations and other government bodies. It also applies to contractors, suppliers and any other individual or organisation that has business with The National Archives. 2.2 The term user is employed in its widest sense within this policy to encompass people or organisations who use any of our services, whether visiting, writing, emailing, telephoning or accessing The National Archives' online services. 2.3 This policy excludes complaints made about Freedom of Information (FoI) access requests which are handled separately. For information and procedures relating to FoI requests, please see the following page: http://nationalarchives.gov.uk/about/freedom-ofinformation/making-a-freedom-of-information-request/ This policy also excludes complaints arising under the Re-Use of Public Sector Information Regulations 2015. For information and procedures relating to the investigation of these this type of complaints, please see our complaints about re-use pages: http://www.nationalarchives.gov.uk/information-management/re-using-public-sectorinformation/complaints-about-re-use/psi-complaints/ This policy also excludes complaints made about The Gazette, which is managed by The National Archives under a concessionary contract with The Stationery Office. For information and procedures relating to the investigation of this type of complaint, please see our complaints procedure page: https://www.nationalarchives.gov.uk/contactus/complaints-procedure/ ## 3. What Is A Complaint? We define a complaint as an expression of dissatisfaction with our service, no matter how expressed and whether justified or not, that requires a response or further action on the part of The National Archives. ## 4. Our Principles We aim to follow the principles of good practice described in the Parliamentary and Health Service Ombudsman's Principles of Good Complaint Handling (10 February 2009). We try to make our processes:  easy to access and understand  clear and simple to use  responsive to the reasonable needs of complainants  prompt, with established time limits for action (see 6.2 below), and keeping people informed of progress, especially when investigations take longer than expected  fair, with an opportunity for a full and impartial investigation  proportionate to the matters complained about  informative, by using lessons learnt from complaints to improve services and by reviewing the results of such changes. ## Our Pledges To You When we respond to your complaints you can expect us to:  take your concerns seriously  give you the name of the member of staff responsible for dealing with the complaint at each stage of the procedure  be factually correct  deal with your complaint promptly  avoid jargon  answer all your points of concern  be flexible in the way that we communicate with you  give the reasons for the decision reached on a complaint  explain the next steps available if you are still dissatisfied and provide contact details (address, telephone and e-mail) Users who make a complaint can be assured that they will not be subjected to discrimination or retaliation as a result of complaining. Our complaints process will be:  frank and open  impartial, avoiding any bias in favour of any party.  thorough, finding out the relevant facts, taking views from people involved on both sides of the complaint and verifying explanations where possible.  equitable, treating people in similar circumstances in similar ways. ## 5. How To Comment Or Complain We welcome views on our service and will respond to comments and complaints, however presented, whether in person, in writing, by telephone, email or other channels (for example, social media such as Twitter). We provide comments and complaints forms, which can be returned through our suggestion boxes, by post, by email or handed to any member of staff. Our information leaflet "Putting things right" explains how to comment or complain about our services, and how we will respond. The comments and complaints reporting facility on our website does not require users to have email facilities: https://nationalarchives.gov.uk/contact-us/your-views/ Further help can be obtained by contacting our Customer Service and Complaints Team (tel 0208 392 5363, email yourviews@nationalarchives.gov.uk or write to the Quality Manager, Operations Directorate, The National Archives, Kew, Surrey TW9 4DU) who will advise how complaints can be taken forward and explain our complaints procedure. ## 6. How The National Archives Responds To Comments And Complaints 6.1 Our aim is to resolve complaints as soon as we are aware of them, and this means that the member of staff who first deals with a complaint is responsible for: either resolving the problem personally, if it is within their area of responsibility, ensuring that complaints handling staff in the Customer Services and Complaints Team are kept fully informed for monitoring and recording purposes ## Or where this is not possible, for passing the complaint to our complaints handling staff to take forward. (Initial responsibility for investigating and responding to complaints will usually lie with the part of the organisation which is the subject of the complaint, but our Customer Service and Complaints Team monitors complaints handling across The National Archives to ensure that they are handled consistently well and maintains a central record of complaints. This team is responsible for providing data and information about complaints to The National Archives' Chief Executive and Executive Team.) ## 6.2 Procedures A member of the Customer Service and Complaints Team will acknowledge receipt of your comment or complaint within three working days (the day the complaint is received being Day 0). They will usually respond to you in writing, sometimes to confirm information given in a telephone call but also to let you know who will deal with your complaint. This will usually either be the Customer Service and Complaints Team or the department about which you have complained. The complaints handling team will ask the relevant department(s) to assist them to look into matters and respond fully to your concerns. If they think that a meeting or a telephone call may help to resolve your complaint, they will offer that option. A full response will normally be sent to you within ten working days. The complaint response will explain how to take matters forward if you are dissatisfied. If your complaint requires us to implement another policy (such as a disciplinary policy) as part of the investigation, we will write to let you know that this is happening, and how long it is likely to take. In situations where the process is lengthy, we will keep you informed of progress at least once every four weeks. If you are dissatisfied with our response, you can, within two calendar months from the date of our final response to your complaint, ask for an independent internal review. This will be carried out by the Chief Executive's Office, which reports directly to the Chief Executive. Staff in the Chief Executive's Office will contact you within five working days of receipt of your request. They will appoint a case reviewer and tell you who this is as soon as possible. The scope of the review will be agreed by you and the case reviewer. A draft report will usually be sent to you within 20 working days (the day the scope is agreed being Day 0). If the case reviewer is unable to complete the draft report within that time, they will explain the reasons why and tell you when you can expect a response. You will usually have ten working days to check the draft report for factual accuracy. The draft report will then go before the Chief Executive for consideration. After consideration, and usually within a further ten working days, you can expect a formal written response from the Chief Executive. An independent internal review may also be requested at any stage if you wish to complain through an independent channel, although it should be understood that such a request may automatically bring to a halt any work already under way to investigate the complaint elsewhere in The National Archives. If you are dissatisfied with the final response from the Chief Executive, you can refer your complaint to our independent complaints reviewer, ch&i associates. The complaints review service is entirely independent of The National Archives and can be contacted at: ch&i associates ltd 253 Park Lane Macclesfield SK11 8AA Telephone 0330 133 1492 Email enquiries@chi-assoc.com http://www.chi-assoc.com/ Should you remain dissatisfied with the outcome of the external review, you can ask a Member of Parliament to raise your case with the Parliamentary and Health Service Ombudsman (PHSO). ## 6.3. Redress When our services do not meet our published standards, we aim to make amends in a way that is appropriate to the problems experienced. Redress will always include:  an apology  an explanation of what happened and why and where appropriate:  we will take action to put things right  we will give an assurance that the same thing will not happen again and take steps to ensure this Since most services at The National Archives are provided without charge, redress will not normally take the form of a financial payment. However, we will consider the question of reimbursement if our mistakes or poor service have caused you additional expense or financial loss. We can only consider claims that are supported by evidence of loss. In addition, in unusual circumstances, we will consider whether a consolatory payment is appropriate in recognition of anxiety or distress caused to you. Because we are dealing with public funds, such payments will be small. ## 6.4 Treating The National Archives' Staff Fairly When you compliment our service or our staff we will pass on your comments to the staff and managers concerned. We will also pass on unfavourable comments so that our staff can learn from them and try to provide a better service. The National Archives has a responsibility to ensure that members of staff are treated fairly if a complaint is made against them. They are entitled to:  be informed immediately and fully of any complaint made about them and asked for their comments  be kept informed of progress in the investigation of the complaint  be told the outcome of the complaint investigation and the reasons for it If a member of staff makes a complaint about a user of our services, or a counter-complaint in response to a complaint, the matter will be looked into by our Customer Service and Complaints Team or a manager from a different department. In the case of a counter-complaint, a separate investigating officer will be assigned to look into it, to ensure fairness. ## 6.5 Feedback We welcome any comments on the fairness and efficiency of the complaints procedures and the effectiveness of The National Archives' replies to complaints. We will ask people who have made a complaint whether they are satisfied with the way their complaint was handled and the outcome. Sometimes we will use surveys to do this. We will take account of all feedback in annual reviews of our procedures. ## 7. How The National Archives Responds To Requests For Information If a complaint includes, or later leads to a request for information (for example, details of a policy, or documents from our files), we may be obliged to treat that request under the terms of the Freedom of Information Act 2000 (FoI). FoI requests are handled separately from complaints and, while this will not affect the way that we respond to your complaint, it may lead to your receiving separate responses. You can find out more information about making FoI requests on our website at http://nationalarchives.gov.uk/about/freedom-of-information/making-a-freedom-of-informationrequest/ ## 8. Confidentiality We respect the need for confidentiality when a complaint is made, both for the complainant and for members of staff who have a complaint made against them. We aim to investigate complaints with sensitivity, preserve confidentiality, and to share information only when it is a necessary part of the investigation. Some information about complaints will be published (see 11 below) but this will not include any personal details of a confidential or sensitive nature. If a complaint is referred to the Independent Complaints Reviewer, the ICR may need to have access to confidential information as part of their investigation. However, strict rules of confidentiality are observed by the ICR Office. ## 9. Staff Training Receiving and responding to comments and complaints about our service is an integral part of providing the service. We will train our staff in our complaints procedures and ensure they understand the value of comments and complaints, so that they can carry out their roles and responsibilities with confidence. ## 10. Policy For Dealing With Unreasonably Persistent Enquiries Our staff will treat people in a courteous, fair and proportionate manner and we expect similar courtesy and reasonable behaviour in return. Very occasionally, we will refuse to respond to a complaint. This will only happen if the person making the complaint is insulting or abusive towards our staff or if they refuse to accept that their complaint has been dealt with despite a thorough investigation on our part. We will only do this where it is absolutely necessary, and we will write to the person concerned to explain why we believe this to be the case. You can find out more information about unreasonably persistent enquiries on our website at http://www.nationalarchives.gov.uk/documents/persistent-enquiries-policy.pdf ## 11. Recording And Publishing Statistical Information In accordance with The National Archives' transparency agenda (see https://www.nationalarchives.gov.uk/about/our-role/transparency/our-public-services/), we will regularly publish anonymised information about the complaints we have received, which will include:  Online satisfaction levels  Onsite satisfaction levels  Satisfaction levels from the legislation.gov.uk website  Complaints feedback  Examples of comments, requests, compliments and complaints and actions taken to improve our services. In addition, the Independent Complaints Reviewer produces an annual statement that is included in The National Archives' Annual Report and Accounts. ## 12. Review Of Policy And Procedures We will review the complaints policy and procedures bi-annually. request received ment sent agreed	en
4221-pdf	What motivates you at work? LGA's Employee Engagement research into what motivates people and improves performance at work. Nigel Carruthers, Senior Advisor, LGA Councils have a workforce of some 1.5 million strong, covering over 800 distinct occupations with a pay bill of around £22 billion a year Since 2012, the LGA have worked with local authorities, NHS trusts and healthcare providers to measure workforce performance by looking at the quality of the employment relationship, which is expressed as an exchange of contributions - a dynamic and social exchange process between employer and employee - what we call the 'deal'. ## Employee Engagement - A Lg Journey - Employee Attitude Surveys - 76% (2006) in 55% EE Survey (2018) - Best Council to Work For (2007-2009) - Thank Goodness its Monday! https://youtu.be/_9-9A3uM-Yw (2010) - Top Ten Test - for CEOs/Boards 2010 - Engage For Success - Evidence / case studies (2010-2012) - Employee Value Proposition 2012-2016 - TEDD - The Employment Deal Diagnostic 2016… Reduced sickness - Engaged employees in the UK take an average of 2.69 sick days per year; the disengaged take 6.19. Average in LG is 8.8 days, 40% sickness is long term and a third of all sickness relates to stress and mental health. Improved customer service - 70% of engaged employees indicate they have a good understanding of how to meet customer needs; only 17% of non-engaged employees say the same. Retention - Engaged employees are 87% less likely to leave the organisation than the disengaged. The cost of high turnover among disengaged employees is significant; some estimates put the cost of replacing each employee at equal to annual salary. There is a 13.4% turnover rate in LG. 1 in 10 councils currently has a recruitment freeze and there is a 9.7% vacancy rate. Advocacy - 78% of engaged employees would recommend their organisation's services compared with 13% of the disengaged Better performance - Significant differences in financial performance of organisations with a highly-engaged workforce to their peers with a lessengaged workforce, over a 12 month period. Highly Engaged Employees High Performance workplaces What do you do to engage your team? Where's your evidence base that what you do improves performance? What would motivate you to do a better job? TEDD® is characterised as an exchange of contributions between employer and employee the extent to which employees believe that the organisation values their contributions and wellbeing, and thus feel obliged to reciprocate. is a fundamental defining feature of the relationship between an employee and employer. It can be used to understand the extent to which employees feel that their employer is fulfilling their promises and obligations such as terms and conditions, pay and, stimulating work. ## What We Know About Employee Engagement? Psychological Contract: Perceived Organisational Support : - Trust in the - Supportive - Role Autonomy - Encouragement to use - Trust in the line - Feeling valued ## What We Know About Employee Engagement? What Does "Trust In The Organisation" Look Like For You ? For me personally, in comparison to my friends who work within the private sector, I have a better working life, I will have a pension later in life (hopefully), holidays, better protection within the council's policies and procedures. Pay in not equal, rules for 1 and rules for another. different departments appear to be able to have higher grades for similar roles. You are expected to perform duties far beyond your pay scale and get no thanks for it ## What We Know About Employee Engagement? What Does "Supportive Organisational Culture " Look Like For You? The most enjoyable part of the role has been having direct access to the corporate director who has shown complete commitment to, and support for the new role. This has enabled me to gain confidence in my own ability to influence and make an impact in my role quickly. Lack of support when new procedures are implemented- managers seem to introduce new priorities without putting any support, training, and time in place for us. Mangers constantly 'reacting' rather than planning. ## What We Know About Employee Engagement? Conversational Practice Engagement and performance improved when employees were encouraged to speak openly about opportunities and constraints and given the opportunity to improve things. To achieve sustainable high performance, you need good quality conversational practices Negative impact (wellbeing, poor performance, low morale) occurred when • People are expected to do more with less • There is a tension between high quality service versus and the time available • Personal objectives are out of sink with organisational objectives • When job pressure was excessive ## What We Know About Employee Engagement? What Do Conversations Focused On Performance Look Like For You? We regularly have discussions about how to improve service delivery. He asks for my input and listens to it, and enables me to challenge the status quo. Most recently this has resulted in improved business planning and a tasking process that allows us to use our resources more efficiently. Sometimes when suggestions are put forward … these are often ignored and pushed aside… In the long run, it affects the quality of service we are giving to our customers and eventually leads to poor performance and underachievement ## What We Know About Employee Engagement? Balance Of The Deal Perceived organisational support were lowest for those with >10 years service and for non-managers Overall the balance of the deal in local government favours the employer Job engagement, Skills and capability were high Organisational engagement (advocacy, loyalty, and a sense of value congruence with the organisation were low) ## Re-Orientating Towards 21St Century Public Servant Data from over approx. 20,000 employees re-orientated to show both statistical and free text links with 21st Century Public Servant themes: ## What Did We Find? Data And 21Cps Municipal Engages citizens Recruits & Builds fluid combines PS rethinks PS to fluid and Distributed and Rooted in a reflected entrepreneur pooling rewards generic careers across ethos with survive at a supportive collaborative locality which practice / expertise skills sectors and commerciality time of permaorganisations leadership frames a sense learning focus services austerity not siloed and of loyalty and controlling identity https://engageforsuccess.org/ Nigel.carruthers@local.gov.uk Senior Advisor, Workforce Team, Local Government Association 07766251641	en
1655-pdf	This document is meant purely as a documentation tool and the institutions do not assume any liability for its contents # ►B ►C1 Regulation (Ec) No 853/2004 Of The European Parliament And Of The Council Of 29 April 2004 laying down specific hygiene rules for food of animal origin ◄ (OJ L 139, 30.4.2004, p. 55) Amended by: Official Journal No page date ►M1 Commission Regulation (EC) No 2074/2005 of 5 December 2005 L 338 27 22.12.2005 ►M2 Commission Regulation (EC) No 2076/2005 of 5 December 2005 L 338 83 22.12.2005 ►M3 Commission Regulation (EC) No 1662/2006 of 6 November 2006 L 320 1 18.11.2006 ►M4 Council Regulation (EC) No 1791/2006 of 20 November 2006 L 363 1 20.12.2006 ►M5 Commission Regulation (EC) No 1243/2007 of 24 October 2007 L 281 8 25.10.2007 ►M6 Commission Regulation (EC) No 1020/2008 of 17 October 2008 L 277 8 18.10.2008 ►M7 Regulation (EC) No 219/2009 of the European Parliament and of the Council of 11 March 2009 L 87 109 31.3.2009 ►M8 Commission Regulation (EC) No 1161/2009 of 30 November 2009 L 314 8 1.12.2009 ►M9 Commission Regulation (EU) No 558/2010 of 24 June 2010 L 159 18 25.6.2010 ►M10 Commission Regulation (EU) No 150/2011 of 18 February 2011 L 46 14 19.2.2011 ►M11 Commission Regulation (EU) No 1276/2011 of 8 December 2011 L 327 39 9.12.2011 ►M12 Commission Regulation (EU) No 16/2012 of 11 January 2012 L 8 29 12.1.2012 ►M13 Council Regulation (EU) No 517/2013 of 13 May 2013 L 158 1 10.6.2013 ►M14 Commission Regulation (EU) No 786/2013 of 16 August 2013 L 220 14 17.8.2013 ►M15 Commission Regulation (EU) No 218/2014 of 7 March 2014 L 69 95 8.3.2014 ►M16 Commission Regulation (EU) No 633/2014 of 13 June 2014 L 175 6 14.6.2014 ►M17 Commission Regulation (EU) No 1137/2014 of 27 October 2014 L 307 28 28.10.2014 ►M18 Commission Regulation (EU) 2016/355 of 11 March 2016 L 67 22 12.3.2016 Corrected by: ►C1 Corrigendum, OJ L 226, 25.6.2004, p. 22 (853/2004) # Regulation (Ec) No 853/2004 Of The European Parliament And Of The Council Of 29 April 2004 laying down specific hygiene rules for food of animal origin THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION, Having regard to the Treaty establishing the European Community, and in particular Article 152(4)(b) thereof, Having regard to the proposal from the Commission ( 1 ), Having regard to the opinion of the European Economic and Social Committee ( 2 ), Having consulted the Committee of the Regions, Acting in accordance with the procedure laid down in Article 251 of the Treaty ( 3 ), Whereas: (1) Pursuant to Regulation (EC) No 852/2004 ( 4 ), the European Parliament and the Council laid down general rules for food business operators on the hygiene of foodstuffs. (2) Certain foodstuffs may present specific hazards to human health, requiring the setting of specific hygiene rules. This is particularly the case for food of animal origin, in which microbiological and chemical hazards have frequently been reported. (3) In the context of the common agricultural policy, many Directives have been adopted to establish specific health rules for the production and placing on the market of the products listed in Annex I to the Treaty. These health rules have reduced trade barriers for the products concerned, contributing to the creation of the internal market while ensuring a high level of protection of public health. (4) With regard to public health, these rules contain common prin ciples, in particular in relation to the manufacturers 'and competent authorities' responsibilities, structural, operational and hygiene requirements for establishments, procedures for the approval of establishments, requirements for storage and transport and health marks. (5) These principles constitute a common basis for the hygienic production of food of animal origin, permitting the simplification of the existing directives. (6) It is desirable to achieve further simplification by applying the same rules wherever appropriate to all products of animal origin. ( 1 (7) The requirement in Regulation (EC) No 852/2004 whereby food business operators carrying out any stage of production, processing and distribution of food after primary production and associated operations must put in place, implement and maintain procedures based on hazard analysis and critical control point (HACCP) principles also permits simplification. (8) Taken together, these elements justify a recasting of the specific hygiene rules contained in existing directives. (9) The principal objectives of the recasting are to secure a high level of consumer protection with regard to food safety, in particular by making food business operators throughout the Community subject to the same rules, and to ensure the proper functioning of the internal market in products of animal origin, thus contributing to the achievement of the objectives of the common agricultural policy. (10) It is necessary to maintain and, where required to ensure consumer protection, to tighten detailed hygiene rules for products of animal origin. (11) Community rules should not apply either to primary production for private domestic use or to the domestic preparation, handling or storage of food for private domestic consumption. Moreover, where small quantities of primary products or of certain types of meat are supplied directly by the food business operator producing them to the final consumer or to a local retail estab lishment, it is appropriate to protect public health through national law, in particular because of the close relationship between the producer and the consumer. (12) The requirements of Regulation (EC) No 852/2004 are generally sufficient to ensure food safety in establishments carrying out retail activities involving the direct sale or supply of food of animal origin to the final consumer. This Regulation should generally apply to wholesale activities (that is, when a retail establishment carries out operations with a view to supplying food of animal origin to another establishment). Nevertheless, with the exception of the specific temperature requirements laid down in this Regulation, the requirements of Regulation (EC) No 852/2004 should suffice for wholesale activities consisting only of storage or transport. (13) Member States should have some discretion to extend or to limit the application of the requirements of this Regulation to retail under national law. However, they may limit their application only if they consider that the requirements of Regulation (EC) No 852/2004 are sufficient to achieve food hygiene objectives and when the supply of food of animal origin from a retail establishment to another establishment is a marginal, localised and restricted activity. Such supply should therefore be only a small part of the establishment's business; the establishments supplied should be situated in its immediate vicinity; and the supply should concern only certain types of products or establish ments. (14) In accordance with Article 10 of the Treaty, Member States are to take all appropriate measures to ensure that food business operators comply with the obligations laid down in this Regu lation. (15) The traceability of food is an essential element in ensuring food safety. In addition to complying with the general rules of Regu lation (EC) No 178/2002 ( 1 ), food business operators responsible for establishments that are subject to approval in accordance with this Regulation should ensure that all products of animal origin that they place on the market bear either a health mark or an identification mark. (16) Food imported into the Community is to comply with the general requirements laid down in Regulation (EC) No 178/2002 or to satisfy rules that are equivalent to Community rules. This Regu lation defines specific hygiene requirements for food of animal origin imported into the Community. (17) The adoption of this Regulation should not reduce the level of protection provided by the additional guarantees agreed for Finland and Sweden on their accession to the Community and confirmed by Commission Decisions 94/968/EC ( 2 ), 95/50/EC ( 3 ), 95/160/EC ( 4 ), 95/161/E ( 5 ) and 95/168/EC ( 6 ), and Council Decisions 95/409/EC ( 7 ), 95/410/EC ( 8 ) and 95/411/EC ( 9 ). It should establish a procedure for the granting, for a transitional period, of guarantees to any Member State that has an approved national control programme which, for the food of animal origin concerned, is equivalent to those approved for Finland and Sweden. Regulation (EC) No 2160/2003 of the European Parliament and of the Council of 17 November 2003 on the control of salmonella and other specified food-borne zoonotic agents ( 10 ) provides for a similar procedure in respect of live animals and hatching eggs. (18) It is appropriate for the structural and hygiene requirements laid down in this Regulation to apply to all types of establishments, including small businesses and mobile slaughterhouses. ( 1 ) Regulation (EC) No 178/2002 of the European Parliament and of the Council (19) Flexibility is appropriate to enable the continued use of traditional methods at any of the stages of production, processing or distribution of food and in relation to structural requirements for establishments. Flexibility is particularly important for regions that are subject to special geographical constraints, including the outermost regions referred to in Article 299(2) of the Treaty. However, flexibility should not compromise food hygiene objectives. Moreover, since all food produced in accordance with the hygiene rules will normally be in free circu lation throughout the Community, the procedure allowing Member States to exercise flexibility should be fully transparent. It should provide, where necessary to resolve disagreements, for discussion within the Standing Committee on the Food Chain and Animal Health established by Regulation (EC) No 178/2002 and for the Commission to coordinate the process and take appro priate measures. (20) The definition of mechanically separated meat (MSM) should be a generic one covering all methods of mechanical separation. Rapid technological developments in this area mean that a flexible definition is appropriate. The technical requirements for MSM should differ, however, depending on a risk assessment of the product resulting from different methods. (21) There are interactions between food business operators, including the animal feed sector, and connections between animal health, animal welfare and public health considerations at all stages of production, processing and distribution. This requires adequate communication between the different stakeholders along the food chain from primary production to retail. (22) In order to ensure proper inspection of hunted wild game placed on the Community market, bodies of hunted animals and their viscera should be presented for official post-mortem inspection at a game-handling establishment. However, to preserve certain hunting traditions without prejudicing food safety, it is appro priate to provide for training for hunters who place wild game on the market for human consumption. This should enable hunters to undertake an initial examination of wild game on the spot. In these circumstances, it is not necessary to require trained hunters to deliver all viscera to the game-handling establishment for post-mortem examination, if they carry out this initial exam ination and identify no anomalies or hazards. However, Member States should be allowed to establish stricter rules within their territories to take account of specific risks. (23) This Regulation should establish criteria for raw milk pending the adoption of new requirements for its placing on the market. These criteria should be trigger values, implying that, in the event of any overshooting, food business operators are to take corrective action and to notify the competent authority. The criteria should not be maximum figures beyond which raw milk cannot be placed on the market. This implies that, in certain circumstances, raw milk not fully meeting the criteria can safely be used for human consumption, if appropriate measures are taken. As regards raw milk and raw cream intended for direct human consumption, it is appropriate to enable each Member State to maintain or establish appropriate health measures to ensure the achievement of the objectives of this Regulation on its territory. (24) It is appropriate for the criterion for raw milk used to manu facture dairy products to be three times as high as the criterion for raw milk collected from the farm. The criterion for milk used to manufacture processed dairy products is an absolute value, whereas for raw milk collected from the farm it is an average. Compliance with the temperature requirements laid down in this Regulation will not halt all bacterial growth during transport and storage. (25) The present recasting means that the existing hygiene rules can be repealed. Directive 2004/41/EC of the European Parliament and of the Council of 21 April 2004 repealing certain directives on food hygiene and health conditions for the production and placing on the market of certain products of animal origin intended for human consumption ( 1 ) achieves this. (26) In addition, the rules of this Regulation on eggs replace those of Council Decision 94/371/EC of 20 June 1994 laying down specific public health conditions for the putting on the market of certain types of eggs ( 2 ), which the repeal of Annex II to Council Directive 92/118/EEC ( 3 ) renders void. (27) Scientific advice should underpin Community legislation on food hygiene. To this end, the European Food Safety Authority should be consulted whenever necessary. (28) To take account of technical and scientific progress, close and effective cooperation should be ensured between the Commission and the Member States within the Standing Committee on the Food Chain and Animal Health. (29) The requirements of this Regulation should not apply until all parts of the new legislation on food hygiene have entered into force. It is also appropriate to provide for at least 18 months to elapse between entry into force and the application of the new rules, to allow the industries affected time to adapt. (30) The measures necessary for the implementation of this Regulation should be adopted in accordance with Council Decision 1999/468/EC of 28 June 1999 laying down the procedures for the exercise of implementing powers conferred on the Commis sion ( 1 ), HAVE ADOPTED THIS REGULATION: ## Chapter I General Provisions Article 1 Scope 1. This Regulation lays down specific rules on the hygiene of food of animal origin for food business operators. These rules supplement those laid down by Regulation (EC) No 852/2004. They shall apply to unpro cessed and processed products of animal origin. 2. Unless expressly indicated to the contrary, this Regulation shall not apply to food containing both products of plant origin and processed products of animal origin. However, processed products of animal origin used to prepare such food shall be obtained and handled in accordance with the requirements of this Regulation. 3. This Regulation shall not apply in relation to: (a) primary production for private domestic use; (b) the domestic preparation, handling or storage of food for private domestic consumption; (c) the direct supply, by the producer, of small quantities of primary products to the final consumer or to local retail establishments directly supplying the final consumer; (d) the direct supply, by the producer, of small quantities of meat from poultry and lagomorphs slaughtered on the farm to the final consumer or to local retail establishments directly supplying such meat to the final consumer as fresh meat; (e) hunters who supply small quantities of wild game or wild game meat directly to the final consumer or to local retail establishments directly supplying the final consumer. 4. Member States shall establish, according to national law, rules governing the activities and persons referred to in paragraph 3(c), (d) and (e). Such national rules shall ensure the achievement of the objectives of this Regulation. 5. (a) Unless expressly indicated to the contrary, this Regulation shall not apply to retail. (b) However, this Regulation shall apply to retail when operations are carried out with a view to the supply of food of animal origin to another establishment, unless: (i) the operations consist only of storage or transport, in which case the specific temperature requirements laid down in Annex III shall nevertheless apply; or (ii) the supply of food of animal origin from the retail estab lishment is to other retail establishments only and, in accordance with national law, is a marginal, localised and restricted activity. (c) Member States may adopt national measures to apply the requirements of this Regulation to retail establishments situated on their territory to which it would not apply pursuant to subparagraphs (a) or (b). 6. This Regulation shall apply without prejudice to: (a) relevant animal and public health rules, including more stringent rules laid down for the prevention, control and eradication of certain transmissible spongiform encephalopathies; (b) animal welfare requirements; and (c) requirements concerning the identification of animals and the tracea bility of products of animal origin. ## Article 2 Definitions The following definitions shall apply for the purposes of this Regu lation: 1. the definitions laid down in Regulation (EC) No 178/2002; 2. the definitions laid down in Regulation (EC) No 852/2004; 3. the definitions laid down in Annex I; and 4. any technical definitions contained in Annexes II and III. ## Chapter Ii Food Business Operators' Obligations Article 3 General Obligations of Annexes II and III. 2. ►M7 Food business operators shall not use any substance other than potable water - or, when Regulation (EC) No 852/2004 or this Regulation permits its use, clean water - to remove surface contami nation from products of animal origin, unless use of the substance has been approved by the Commission. Those measures, designed to amend non-essential elements of this Regulation by supplementing it, shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 12(3). ◄ Food business operators shall also comply with any conditions for use that may be adopted under the same procedure. The use of an approved substance shall not affect the food business operator's duty to comply with the requirements of this Regulation. ## Article 4 Registration And Approval Of Establishments 1. Food business operators shall place products of animal origin manufactured in the Community on the market only if they have been prepared and handled exclusively in establishments: (a) that meet the relevant requirements of Regulation (EC) No 852/2004, those of Annexes II and III of this Regulation and other relevant requirements of food law; and (b) that the competent authority has registered or, where required in accordance with paragraph 2, approved. 2. Without prejudice to Article 6(3) of Regulation (EC) No 852/2004, establishments handling those products of animal origin for which Annex III to this Regulation lays down requirements shall not operate unless the competent authority has approved them in accordance with paragraph 3 of this Article, with the exception of establishments carrying out only: (a) primary production; (b) transport operations; (c) the storage of products not requiring temperature-controlled storage conditions; or (d) retail operations other than those to which this Regulation applies pursuant to Article 1(5)(b). 3. An establishment subject to approval in accordance with paragraph 2 shall not operate unless the competent authority has, in accordance with Regulation (EC) No 854/2004 of the European Parliament and of the Council of 29 April 2004 laying down specific rules for the organi sation of official controls on products of animal origin intended for human consumption ( 1 ): (a) granted the establishment approval to operate following an on-site visit; or (b) provided the establishment with conditional approval. 4. Food business operators shall cooperate with the competent auth orities in accordance with Regulation (EC) No 854/2004. In particular, food business operators shall ensure that an establishment ceases to operate if the competent authority withdraws its approval or, in the case of conditional approval, fails to prolong it or to grant full approval. 5. This Article shall not prevent an establishment from placing food on the market between the date of application of this Regulation and the first subsequent inspection by the competent authority, if the estab lishment: (a) is subject to approval in accordance with paragraph 2 and placed products of animal origin on the market in accordance with Community legislation immediately prior to the application of this Regulation; or (b) is of a type in respect of which there was no requirement for approval before the application of this Regulation. ## Article 5 Health And Identification Marking 1. Food business operators shall not place on the market a product of animal origin handled in an establishment subject to approval in accordance with Article 4(2) unless it has either: (a) a health mark applied in accordance with Regulation (EC) No 854/2004; or (b) when that Regulation does not provide for the application of a health mark, an identification mark applied in accordance with Annex II, Section I, of this Regulation. 2. Food business operators may apply an identification mark to a product of animal origin only if the product has been manufactured in accordance with this Regulation in establishments meeting the requirements of Article 4. 3. Food business operators may not remove a health mark applied in accordance with Regulation (EC) No 854/2004 from meat unless they cut or process it or work upon it in another manner. ## Article 6 Products Of Animal Origin From Outside The Community 1. Food business operators importing products of animal origin from third countries shall ensure that importation takes place only if: (a) the third country of dispatch appears on a list, drawn up in accordance with Article 11 of Regulation (EC) No 854/2004, of third countries from which imports of that product are permitted; (b) (i) the establishment from which that product was dispatched, and in which it was obtained or prepared, appears on a list, drawn up in accordance with Article 12 of Regulation (EC) No 854/2004, of establishments from which imports of that product are permitted, when applicable, (ii) in the case of fresh meat, minced meat, meat preparations, meat products and MSM, the product was manufactured from meat obtained in slaughterhouses and cutting plants appearing on lists drawn up and updated in accordance with Article 12 of Regulation (EC) No 854/2004 or in approved Community establishments, and (iii) in the case of live bivalve molluscs, echinoderms, tunicates and marine gastropods, the production area appears on a list drawn up in accordance with Article 13 of that Regulation, when applicable; (c) the product satisfies: (i) the requirements of this Regulation, including the requirements of Article 5 on health and identification marking; (ii) the requirements of Regulation (EC) No 852/2004; and (iii) any import conditions laid down in accordance with Community legislation governing import controls for products of animal origin, and (d) the requirements of Article 14 of Regulation (EC) No 854/2004 concerning certificates and documents are satisfied, when appli cable. 2. By way of derogation from paragraph 1, the importation of fishery products may also take place in accordance with the special provisions laid down in Article 15 of Regulation (EC) No 854/2004. 3. Food business operators importing products of animal origin shall ensure that: (a) products are made available for control upon importation in accordance with Directive 97/78/EC ( 1 ); (b) importation complies with the requirements of Directive 2002/99/EC ( 2 ); and (c) operations under their control that take place after importation are carried out in accordance with the requirements of Annex III. 4. Food business operators importing food containing both products of plant origin and processed products of animal origin shall ensure that the processed products of animal origin contained in such food satisfy the requirements of paragraphs 1 to 3. They must be able to demonstrate that they have done so (for example, through appropriate documentation or certification, which need not be in the format specified in paragraph 1(d)). ## Chapter Iii Trade Article 7 Documents 1. When required in accordance with Annex II or III, food business operators shall ensure that certificates or other documents accompany consignments of products of animal origin. 2. In accordance with the procedure referred to in Article 12(2): (a) model documents may be established; and (b) provision may be made for the use of electronic documents. ## Article 8 Special Guarantees 1. Food business operators intending to place the following food of animal origin on the market in Sweden or Finland shall comply with the rules set out in paragraph 2 in respect of salmonella: (a) meat from bovine and porcine animals, including minced meat but excluding meat preparations and MSM; (b) meat from poultry of the following species: domestic fowl, turkeys, guinea-fowl, ducks and geese, including minced meat but excluding meat preparations and MSM; and (c) eggs. 2. (a) In the case of meat from bovine and porcine animals and meat from poultry, samples of consignments shall have been taken in the dispatching establishment and been subjected to a microbiological test with negative results in accordance with Community legislation. (b) In the case of eggs, packing centres shall provide a guarantee that consignments originate from flocks that have been subjected to a microbiological test with negative results in accordance with Community legislation. (c) In the case of meat from bovine and porcine animals, the test provided for in subparagraph (a) need not be carried out for consignments intended for an establishment for the purposes of pasteurisation, sterilisation or treatment having a similar effect. In the case of eggs, the test provided for in subparagraph (b) need not be carried out for consignments intended for the manufacture of processed products by a process that guar antees the elimination of salmonella. (d) The tests provided for in subparagraphs (a) and (b) need not be carried out for foodstuffs originating in an establishment that is subject to a control programme recognised, in respect of the food of animal origin concerned and in accordance with the procedure referred to in Article 12(2), as equivalent to that approved for Sweden and Finland. (e) In the case of meat from bovine and porcine animals and meat from poultry, a trade document or certificate conforming to a model laid down by Community legislation shall accompany the food and state that: (i) the checks referred to in subparagraph (a) have been carried out with negative results; or (ii) the meat is intended for one of the purposes referred to in subparagraph (c); or (iii) the meat comes from an establishment covered by subparagraph (d). (f) In the case of eggs, a certificate stating that the tests referred to in subparagraph (b) have been carried out with negative results, or that the eggs are destined to be used in the manner referred to in subparagraph (c), must accompany consignments. ▼M7 3. (a) The requirements of paragraphs 1 and 2 may be updated by the Commission, in particular to take account of changes in Member States' control programmes or of the adoption of microbiological criteria in accordance with Regulation (EC) No 852/2004. Those measures, designed to amend nonessential elements of this Regulation, inter alia, by supple menting it, shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 12(3). (b) In accordance with the regulatory procedure referred to in Article 12(2), the rules laid down in paragraph 2 of this Article in respect of any of the foodstuffs referred to in paragraph 1 of this Article may be extended, in whole or in part, to any Member State, or any region of a Member State, that has a control programme recognised as equivalent to that approved for Sweden and Finland in respect of the food of animal origin concerned. 4. For the purposes of this Article, 'control programme' means a control programme approved in accordance with Regulation (EC) No 2160/2003. ## Chapter Iv Final Provisions ▼M7 Article 9 Transitional measures of general scope designed to amend non-essential elements of this Regulation, inter alia, by supplementing it with new non-essential elements, in particular further specifications of the requirements laid down in this Regulation, shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 12(3). Other implementing or transitional measures may be adopted in accordance with the regulatory procedure referred to in Article 12(2). ## ▼C1 Article 10 Amendment And Adaptation Of Annexes Ii And Iii 1. ►M7 Annexes II and III may be adapted or updated by the Commission taking into account: ◄ (a) the development of guides to good practice; (b) the experience gained from the implementation of HACCP-based systems pursuant to Article 5 of Regulation (EC) No 852/2004; (c) the technological developments and their practical consequences and consumer expectations with regard to food composition; (d) scientific advice, particularly new risk assessments; (e) microbiological and temperature criteria for foodstuffs; (f) changes in patterns of consumption. ▼M7 Those measures, designed to amend non-essential elements of this Regulation, inter alia, by supplementing it, shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 12(3). 2. Exemptions from Annex II and III may be granted by the Commission, provided that they do not affect the achievement of the objectives of this Regulation. Those measures, designed to amend nonessential elements of this Regulation, shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 12(3). ▼C1 3. Member States may, without compromising achievement of the objectives of this Regulation, adopt, in accordance with paragraphs 4 to 8, national measures adapting the requirements laid down in Annex III. 4. (a) The national measures referred to in paragraph 3 shall have the aim of: (i) enabling the continued use of traditional methods at any of the stages of production, processing or distribution of food; or (ii) accommodating the needs of food businesses situated in regions that are subject to special geographic constraints. (b) In other cases, they shall apply only to the construction, layout and equipment of establishments. 5. Any Member State wishing to adopt national measures as referred to in paragraph 3 shall notify the Commission and other Member States. Each notification shall: (a) provide a detailed description of the requirements that that Member State considers need to be adapted and the nature of the adaptation sought; (b) describe the foodstuffs and establishments concerned; (c) explain the reasons for the adaptation, including, where relevant, by providing a summary of the hazard analysis carried out and any measures to be taken to ensure that the adaptation will not compromise the objectives of this Regulation; and (d) give any other relevant information. 6. The other Member States shall have three months from the receipt of a notification referred to in paragraph 5 to send written comments to the Commission. In the case of adaptations arising from paragraph 4(b), this period shall, at the request of any Member State, be extended to four months. The Commission may, and when it receives written comments from one or more Member States shall, consult Member States within the committee referred to in Article 12(1). The Commission may decide, in accordance with the procedure referred to in Article 12(2), whether the envisaged measures may be implemented, subject, if necessary, to appropriate amendments. Where appropriate, the Commission may propose general measures in accordance with paragraph 1 or 2 of this Article. 7. A Member State may adopt national measures adapting the requirements of Annex III only: (a) in compliance with a decision adopted in accordance with paragraph 6; (b) if, one month after the expiry of the period referred to in paragraph 6, the Commission has not informed Member States that it has received written comments or that it intends to propose the adoption of a decision in accordance with paragraph 6; or (c) in accordance with paragraph 8. 8. A Member State may, of its own initiative and subject to the general provisions of the Treaty, maintain or establish national rules: (a) prohibiting or restricting the placing on the market within its territory of raw milk or raw cream intended for direct human consumption; or (b) permitting the use, with the authorisation of the competent auth ority, of raw milk not meeting the criteria laid down in Annex III, Section IX, as regards plate count and somatic cell count of the manufacture of cheeses with an ageing or ripening period of at least 60 days, and dairy products obtained in connection with the manu facture of such cheeses, provided that this does not prejudice the achievement of the objectives of this Regulation. ## Article 11 Specific Decisions ►M7 Without prejudice to the general application of Article 9 and Article 10(1), implementing measures may be laid down in accordance with the regulatory procedure referred to in Article 12(2), and amendments to Annex II or III, as measures designed to amend nonessential elements of this Regulation, may be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 12(3): ◄ 1. to lay down rules for the transport of meat while it is warm; 2. to specify, in respect of MSM, which calcium content is not signifi cantly higher than that of minced meat; 3. to lay down other treatments that may be applied in a processing establishment to live bivalve molluscs from class B or C production areas that have not been submitted to purification or relaying; 4. to specify recognised testing methods for marine biotoxins; 5. to lay down additional health standards for live bivalve molluscs in cooperation with the relevant Community Reference Laboratory, including: (a) limit values and analysis methods for other marine biotoxins; (b) virus testing procedures and virological standards; and (c) sampling plans and the methods and analytical tolerances to be applied to check compliance with the health standards; 6. to lay down health standards or checks, where there is scientific evidence indicating that they are necessary to protect public health; 7. to extend Annex III, Section VII, Chapter IX, to live bivalve molluscs other than pectinidae; 8. to specify criteria for determining when epidemiological data indicate that a fishing ground does not present a health hazard with regard to the presence of parasites and, consequently, for determining when the competent authority may authorise food business operators not to freeze fishery products in accordance with Annex III, Section VIII, Chapter III, Part D; 9. to lay down freshness criteria and limits with regard to histamine and total volatile nitrogen for fisheries products; 10. to permit the use for the manufacture of certain dairy products of raw milk not meeting the criteria laid down in Annex III, Section IX, as regards its plate count and somatic cell count; 11. without prejudice to Directive 96/23/EC ( 1 ), to fix a maximum permitted value for the combined total of residues of antibiotic substances in raw milk; and 12. to approve equivalent processes for the production of gelatine or collagen. ## Article 12 Committee Procedure 1. The Commission shall be assisted by the Standing Committee on the Food Chain and Animal Health. 2. Where reference is made to this paragraph, Articles 5 and 7 of Decision 1999/468/EC shall apply, having regard to the provisions of Article 8 thereof. The period provided for in Article 5(6) of Decision 1999/468/EC shall be set at three months. ▼M7 3. Where reference is made to this paragraph, Article 5a(1) to (4) and Article 7 of Decision 1999/468/EC shall apply, having regard to the provisions of Article 8 thereof. ## ▼C1 Article 13 Consultation Of The European Food Safety Authority The Commission shall consult the European Food Safety Authority on any matter falling within the scope of this Regulation that could have a significant impact on public health and, in particular, before proposing to extend Annex III, Section III, to other animal species. ## Article 14 Report To The European Parliament And To The Council 1. The Commission shall, not later than 20 May 2009, submit a report to the European Parliament and the Council reviewing the experience gained from the implementation of this Regulation. 2. The Commission shall, if appropriate, accompany the report with relevant proposals. ## Article 15 This Regulation shall enter into force on the 20th day after that of its publication in the Official Journal of the European Union. It shall apply 18 months after the date on which all of the following acts have entered into force: (a) Regulation (EC) No 852/2004; (b) Regulation (EC) No 854/2004; and (c) Directive 2004/41/EC. However, it shall apply no earlier than 1 January 2006. This Regulation shall be binding in its entirety and directly applicable in all Member States. ## Definitions For the purpose of this Regulation: 1. MEAT 1.1. 'Meat' means edible parts of the animals referred to in points 1.2 to 1.8, including blood. 1.2. 'Domestic ungulates' means domestic bovine (including Bubalus and Bison species), porcine, ovine and caprine animals, and domestic solipeds. 1.3. 'Poultry' means farmed birds, including birds that are not considered as domestic but which are farmed as domestic animals, with the exception of ratites. 1.4. 'Lagomorphs' means rabbits, hares and rodents. 1.5. 'Wild game' means: - wild ungulates and lagomorphs, as well as other land mammals that are hunted for human consumption and are considered to be wild game under the applicable law in the Member State concerned, including mammals living in enclosed territory under conditions of freedom similar to those of wild game; and - wild birds that are hunted for human consumption. 1.6. 'Farmed game' means farmed ratites and farmed land mammals other than those referred to in point 1.2. 1.7. 'Small wild game' means wild game birds and lagomorphs living freely in the wild. 1.8. 'Large wild game' means wild land mammals living freely in the wild that do not fall within the definition of small wild game. 1.9. 'Carcase' means the body of an animal after slaughter and dressing. 1.10. 'Fresh meat' means meat that has not undergone any preserving process other than chilling, freezing or quick-freezing, including meat that is vacuum-wrapped or wrapped in a controlled atmosphere. 1.11. 'Offal' means fresh meat other than that of the carcase, including viscera and blood. 1.12. 'Viscera' means the organs of the thoracic, abdominal and pelvic cavities, as well as the trachea and oesophagus and, in birds, the crop. 1.13. 'Minced meat' means boned meat that has been minced into fragments and contains less than 1 % salt. 1.14. 'Mechanically separated meat' or 'MSM' means the product obtained by removing meat from flesh-bearing bones after boning or from poultry carcases, using mechanical means resulting in the loss or modification of the muscle fibre structure. 1.15. 'Meat preparations' means fresh meat, including meat that has been reduced to fragments, which has had foodstuffs, seasonings or additives added to it or which has undergone processes insufficient to modify the internal muscle fibre structure of the meat and thus to eliminate the characteristics of fresh meat. 1.16. 'Slaughterhouse' means an establishment used for slaughtering and dressing animals, the meat of which is intended for human consumption. 1.17. 'Cutting plant' means an establishment used for boning and/or cutting up meat. 1.18. 'Game-handling establishment' means any establishment in which game and game meat obtained after hunting are prepared for placing on the market. ## 2. Live Bivalve Molluscs 2.1. 'Bivalve molluscs' means filter-feeding lamellibranch molluscs. 2.2. 'Marine biotoxins' means poisonous substances accumulated by bivalve molluscs, in particular as a result of feeding on plankton containing toxins. 2.3. 'Conditioning' means the storage of live bivalve molluscs coming from class A production areas, purification centres or dispatch centres in tanks or any other installation containing clean seawater, or in natural sites, to remove sand, mud or slime, to preserve or to improve organoleptic qualities and to ensure that they are in a good state of vitality before wrapping or packaging. 2.4. 'Gatherer' means any natural or legal person who collects live bivalve molluscs by any means from a harvesting area for the purpose of handling and placing on the market. 2.5. 'Production area' means any sea, estuarine or lagoon area, containing either natural beds of bivalve molluscs or sites used for the cultivation of bivalve molluscs, and from which live bivalve molluscs are taken. 2.6. 'Relaying area' means any sea, estuarine or lagoon area with boundaries clearly marked and indicated by buoys, posts or any other fixed means, and used exclusively for the natural purification of live bivalve molluscs. 2.7. 'Dispatch centre' means any on-shore or off-shore establishment for the reception, conditioning, washing, cleaning, grading, wrapping and packaging of live bivalve molluscs fit for human consumption. 2.8. 'Purification centre' means an establishment with tanks fed by clean seawater in which live bivalve molluscs are placed for the time necessary to reduce contamination to make them fit for human consumption. 2.9. 'Relaying' means the transfer of live bivalve molluscs to sea, lagoon or estuarine areas for the time necessary to reduce contamination to make them fit for human consumption. This does not include the specific operation of transferring bivalve molluscs to areas more suitable for further growth or fattening. ## 3. Fishery Products 3.1. 'Fishery products' means all seawater or freshwater animals (except for live bivalve molluscs, live echinoderms, live tunicates and live marine gastropods, and all mammals, reptiles and frogs) whether wild or farmed and including all edible forms, parts and products of such animals. 3.2. 'Factory vessel' means any vessel on board which fishery products undergo one or more of the following operations followed by wrapping or packaging and, if necessary, chilling or freezing: filleting, slicing, skinning, shelling, shucking, mincing or processing. 3.3. 'Freezer vessel' means any vessel on board which freezing of fishery products is carried out, where appropriate after preparatory work such as bleeding, heading, gutting and removal of fins and, where necessary, followed by wrapping or packaging. 3.4. 'Mechanically separated fishery product' means any product obtained by removing flesh from fishery products using mechanical means resulting in the loss or modification of the flesh structure. 3.5. 'Fresh fishery products' means unprocessed fishery products, whether whole or prepared, including products packaged under vacuum or in a modified atmosphere, that have not undergone any treatment to ensure preservation other than chilling. 3.6. 'Prepared fishery products' means unprocessed fishery products that have undergone an operation affecting their anatomical wholeness, such as gutting, heading, slicing, filleting, and chopping. ## 4. Milk 4.1. 'Raw milk' means milk produced by the secretion of the mammary gland of farmed animals that has not been heated to more than 40 °C or undergone any treatment that has an equivalent effect. 4.2. 'Milk production holding' means an establishment where one or more farmed animals are kept to produce milk with a view to placing it on the market as food. ## 5. Eggs 5.1. 'Eggs' means eggs in shell - other than broken, incubated or cooked eggs - that are produced by farmed birds and are fit for direct human consumption or for the preparation of egg products. 5.2. 'Liquid egg' means unprocessed egg contents after removal of the shell. 5.3. 'Cracked eggs' means eggs with damaged shell and intact membranes. 5.4. 'Packing centre' means an establishment where eggs are graded by quality and weight. ## 6. Frogs' Legs And Snails 6.1. 'Frogs' legs' means the posterior part of the body divided by a transverse cut behind the front limbs, eviscerated and skinned, of the species RNA (family Ranidae). 6.2. 'Snails' means terrestrial gastropods of the species Helix pomatiaLinné, Helix aspersaMuller, Helix lucorum and species of the family Achatinidae. ## 7. Processed Products 7.1. 'Meat products' means processed products resulting from the processing of meat or from the further processing of such processed products, so that the cut surface shows that the product no longer has the characteristics of fresh meat. 7.2. 'Dairy products' means processed products resulting from the processing of raw milk or from the further processing of such processed products. 7.3. 'Egg products' means processed products resulting from the processing of eggs, or of various components or mixtures of eggs, or from the further processing of such processed products. 7.4. 'Processed fishery products' means processed products resulting from the processing of fishery products or from the further processing of such processed products. 7.5. 'Rendered animal fat' means fat derived from rendering meat, including bones, and intended for human consumption. 7.6. 'Greaves' means the protein-containing residue of rendering, after partial separation of fat and water. 7.7. 'Gelatine' means natural, soluble protein, gelling or non-gelling, obtained by the partial hydrolysis of collagen produced from bones, hides and skins, tendons and sinews of animals. 7.8. 'Collagen' means the protein-based product derived from animal bones, hides, skins and tendons manufactured in accordance with the relevant requirements of this Regulation. 7.9. 'Treated stomachs, bladders and intestines' means stomachs, bladders and intestines that have been submitted to a treatment such as salting, heating or drying after they have been obtained and after cleaning. ## 8. Other Definitions 8.1. 'Products of animal origin' means: - food of animal origin, including honey and blood; - live bivalve molluscs, live echinoderms, live tunicates and live marine gastropods intended for human consumption; and - other animals destined to be prepared with a view to being supplied live to the final consumer. 8.2. 'Wholesale market' means a food business that includes several separate units which share common installations and sections where foodstuffs are sold to food business operators. ## Annex Ii Requirements Concerning Several Products Of Animal Origin Section I: Identification Marking When required in accordance with Article 5 or 6, and subject to the provisions of Annex III, food business operators must ensure that products of animal origin have an identification mark applied in compliance with the following provisions. ## A. Application Of The Identification Mark ▼M6 1. The identification mark must be applied before the product leaves the establishment of production. ▼M3 2. However, when a product's packaging and/or wrapping is removed or it is further processed in another establishment, a new mark must be applied to the product. In such cases, the new mark must indicate the approval number of the establishment where these operations take place. ▼M6 3. An identification mark is not necessary on packs of eggs when a packing centre code is applied in accordance with Part A of Annex XIV to Council Regulation (EC) No 1234/2007 ( 1 ). ▼C1 4. Food business operators must, in accordance with Article 18 of Regu lation (EC) No 178/2002, have in place systems and procedures to identify food business operators from whom they have received and to whom they have delivered products of animal origin. ## B. Form Of The Identification Mark 5. The mark must be legible and indelible, and the characters easily decipherable. It must be clearly displayed for the competent authorities. \| 6. \| \|--------------------------------------------------------------------------\| \| lishment is located, which may be written out in full or shown as a two- \| \| letter code in accordance with the relevant ISO standard. \| \| \| ▼M13 In the case of Member States, however, these codes are BE, BG, CZ, DK, DE, EE, GR, ES, FR, HR, IE, IT, CY, LV, LT, LU, HU, MT, NL, AT, PL, PT, SI, SK, FI, RO, SE and UK. ▼M2 __________ ▼C1 7. The mark must indicate the approval number of the establishment. If an establishment manufactures both food to which this Regulation applies and food to which it does not, the food business operator may apply the same identification mark to both types of food. ▼M6 8. ►M13 When applied in an establishment located within the Community, the mark must be oval in shape and include the abbreviation CE, EC, EF, EG, EK, EO, EY, ES, EÜ, EK, EB, EZ or WE. ◄ Those abbreviations must not be included in marks applied on products imported into the Community from establishments located outside the Community. ## C. Method Of Marking 9. The mark may, depending on the presentation of different products of animal origin, be applied directly to the product, the wrapping or the packaging, or be printed on a label affixed to the product, the wrapping or the packaging. The mark may also be an irremovable tag made of a resistant material. 10. In the case of packaging containing cut meat or offal, the mark must be applied to a label fixed to the packaging, or printed on the packaging, in such a way that it is destroyed when the packaging is opened. This is not necessary, however, if the process of opening destroys the pack aging. When wrapping provides the same protection as packaging, the label may be affixed to the wrapping. 11. For products of animal origin that are placed in transport containers or large packages and are intended for further handling, processing, wrapping or packaging in another establishment, the mark may be applied to the external surface of the container or packaging. 12. In the case of liquid, granulate and powdered products of animal origin carried in bulk, and fishery products carried in bulk, an identification mark is not necessary if accompanying documentation contains the information specified in points 6, 7 and, where appropriate, 8. 13. When products of animal origin are placed in a package destined for direct supply to the final consumer, it is sufficient to apply the mark to the exterior of that package only. 14. When the mark is applied directly to products of animal origin, the colours used must be authorised in accordance with Community rules on the use of colouring substances in foodstuffs. ## Section Ii: Objectives Of Haccp-Based Procedures 1. Food business operators operating slaughterhouses must ensure that the procedures that they have put in place in accordance with the general requirements of Article 5 of Regulation (EC) No 852/2004 meet the requirements that the hazard analysis shows to be necessary and the specific requirements listed in point 2. 2. The procedures must guarantee that each animal or, where appropriate, each lot of animals accepted onto the slaughterhouse premises: (a) is properly identified; (b) is accompanied by the relevant information from the holding of prov enance referred to in Section III; (c) does not come from a holding or an area subject to a movement prohibition or other restriction for reasons of animal or public health, except when the competent authority so permits; (d) is clean; (e) is healthy, as far as the food business operator can judge; and (f) is in a satisfactory state as regards welfare on arrival at the slaughter house. 3. In the event of failure to comply with any of the requirements listed under point 2, the food business operator must notify the official veterinarian and take appropriate measures. ## ▼C1 Section Iii: Food Chain Information Food business operators operating slaughterhouses must, as appropriate, request, receive, check and act upon food chain information as set out in this Section in respect of all animals, other than wild game, sent or intended to be sent to the slaughterhouse. ▼M6 1. Slaughterhouse operators must not accept animals onto the slaughterhouse premises unless they have requested, and been provided with, relevant food chain information contained in the records kept at the holding of provenance in accordance with Regulation (EC) No 852/2004. ▼C1 2. Slaughterhouse operators must be provided with the information no less than 24 hours before the arrival of animals at the slaughterhouse, except in the circumstances mentioned in point 7. ▼M6 3. The relevant food chain information referred to in point 1 is to cover, in particular: ▼M15 (a) the status of the holding of provenance or the regional animal health status, and whether the holding is officially recognised to apply controlled housing conditions in relation to Trichinella in accordance with Point A of Chapter I of Annex IV to Commission Regulation (EC) No 2075/2005 ( 1 ); ## ▼C1 (B) The Animals' Health Status; (c) veterinary medicinal products or other treatments administered to the animals within a relevant period and with a withdrawal period greater than zero, together with their dates of administration and withdrawal periods; (d) the occurrence of diseases that may affect the safety of meat; (e) the results, if they are relevant to the protection of public health, of any analysis carried out on samples taken from the animals or other samples taken to diagnose diseases that may affect the safety of meat, including samples taken in the framework of the monitoring and control of zoonoses and residues; (f) relevant reports about previous ante- and post-mortem inspections of animals from the same holding of provenance including, in particular, reports from the official veterinarian; (g) production data, when this might indicate the presence of disease; and (h) the name and address of the private veterinarian normally attending the holding of provenance. 4. (a) However, it is not necessary for the slaughterhouse operator to be provided with: (i) the information referred to in point 3(a), (b), (f) and (h), if the operator is already aware of this information (for example, through a standing arrangement or a quality assurance scheme); or (ii) the information referred to in point 3(a), (b), (f) and (g), if the producer declares that there is no relevant information to report. (b) The information need not be provided as a verbatim extract from the records of the holding of provenance. It may be provided through elec tronic data exchange or in the form of a standardised declaration signed by the producer. 5. Food business operators deciding to accept animals onto the slaughterhouse premises after evaluating the relevant food chain information must make it available to the official veterinarian without delay and, except in the circum stances mentioned in point 7, no less than 24 hours before the arrival of the animal or lot. The food business operator must notify the official veterinarian of any information that gives rise to health concerns before ante-mortem inspection of the animal concerned. 6. If any animal arrives at the slaughterhouse without food chain information, the operator must immediately notify the official veterinarian. Slaughter of the animal may not take place until the official veterinarian so permits. ▼M8 7. If the competent authority so permits and provided it does not jeopardise the objectives of this Regulation, food chain information may arrive less than 24 hours before the arrival of the animals of all species to which it relates at the slaughterhouse or accompany these animals to the slaughterhouse. However, any item of food chain information, knowledge of which may result in serious disruption of the slaughterhouse activity, is to be made available to the food business operator operating the slaughterhouse in sufficient time before the animals arrive at the slaughterhouse, in order for that food business operator to plan the slaughterhouse activity accordingly. The food business operator operating the slaughterhouse must evaluate the relevant information and must submit the food chain information received to the official veterinarian. The slaughter or dressing of the animals may not take place until the official veterinarian so permits. ▼C1 8. Food business operators must check passports accompanying domestic solipeds to ensure that the animal is intended for slaughter for human consumption. If they accept the animal for slaughter, they must give the passport to the official veterinarian. ## ▼M12 Section Iv: Requirements Applicable To Frozen Food Of Animal Origin 1. For the purposes of this Section, 'date of production' means: (a) the date of slaughter in the case of carcasses, half carcasses or quarter carcases; (b) the date of killing in the case of bodies of wild game; (c) the date of harvesting or catching, in the case of fishery products; (d) the date of processing, cutting, mincing or preparation, as appropriate, for any other food of animal origin. 2. Until the stage at which a food is labelled in accordance with Directive 2000/13/EC or used for further processing, food business operators must ensure that in the case of frozen food of animal origin intended for human consumption, the following information is made available to the food business operator to whom the food is supplied and, upon request, to the competent authority: (a) the date of production; and (b) the date of freezing, if different from the date of production. Where a food is made from a batch of raw materials with different dates of production and of freezing, the oldest dates of production and/or of freezing, as appropriate, must be made available. 3. The appropriate form in which the information must be made available is up to the choice of the supplier of the frozen food, as long as the information requested in paragraph 2 will be clearly and unequivocally available to and retrievable by the business operator to whom the food is supplied. ## Specific Requirements Section I: Meat Of Domestic Ungulates Chapter I: Transport Of Live Animals To The Slaught Erhouse Food business operators transporting live animals to slaughterhouses must ensure compliance with the following requirements. 1. During collection and transport, animals must be handled carefully without causing unnecessary distress. 2. Animals showing symptoms of disease or originating in herds known to be contaminated with agents of public health importance may only be trans ported to the slaughterhouse when the competent authority so permits. ## Chapter Ii: Requirements For Slaughterhouses Food business operators must ensure that the construction, layout and equipment of slaughterhouses in which domestic ungulates are slaughtered meet the following requirements. 1. (a) Slaughterhouses must have adequate and hygienic lairage facilities or, climate permitting, waiting pens that are easy to clean and disinfect. These facilities must be equipped for watering the animals and, if necessary, feeding them. The drainage of the wastewater must not compromise food safety. (b) They must also have separate lockable facilities or, climate permitting, pens for sick or suspect animals with separate draining and sited in such a way as to avoid contamination of other animals, unless the competent authority considers that such facilities are unnecessary. (c) The size of the lairage facilities must ensure that the welfare of the animals is respected. Their layout must facilitate ante-mortem inspec tions, including the identification of the animals or groups of animals. 2. To avoid contaminating meat, they must: (a) have a sufficient number of rooms, appropriate to the operations being carried out; (b) have a separate room for the emptying and cleaning of stomachs and intestines, unless the competent authority authorises the separation in time of these operations within a specific slaughterhouse on a case-bycase basis; (c) ensure separation in space or time of the following operations: (i) stunning and bleeding; (ii) in the case of porcine animals, scalding, depilation, scraping and singeing; (iii) evisceration and further dressing; (iv) handling clean guts and tripe; (v) preparation and cleaning of other offal, particularly the handling of skinned heads if it does not take place at the slaughter line; (vi) packaging offal; and (vii) dispatching meat; (d) have installations that prevent contact between the meat and the floors, walls and fixtures; and (e) have slaughter lines (where operated) that are designed to allow constant progress of the slaughter process and to avoid cross-contamination between the different parts of the slaughter line. Where more than one slaughter line is operated in the same premises, there must be adequate separation of the lines to prevent cross-contamination. 3. They must have facilities for disinfecting tools with hot water supplied at not less than 82 °C, or an alternative system having an equivalent effect. 4. The equipment for washing hands used by the staff engaged in handling exposed meat must have taps designed to prevent the spread of contami nation. 5. There must be lockable facilities for the refrigerated storage of detained meat and separate lockable facilities for the storage of meat declared unfit for human consumption. 6. There must be a separate place with appropriate facilities for the cleaning, washing and disinfection of means of transport for livestock. However, slaughterhouses need not have these places and facilities if the competent authority so permits and official authorised places and facilities exist nearby. 7. They must have lockable facilities reserved for the slaughter of sick and suspect animals. This is not essential if this slaughter takes place in other establishments authorised by the competent authority for this purpose, or at the end of the normal slaughter period. 8. If manure or digestive tract content is stored in the slaughterhouse, there must be a special area or place for that purpose. 9. They must have an adequately equipped lockable facility or, where needed, room for the exclusive use of the veterinary service. ## Chapter Iii: Requirements For Cutting Plants Food business operators must ensure that cutting plants handling meat of domestic ungulates: 1. are constructed so as to avoid contamination of meat, in particular by: (a) allowing constant progress of the operations; or (b) ensuring separation between the different production batches; 2. have rooms for the separate storage of packaged and exposed meat, unless stored at different times or in such a way that the packaging material and the manner of storage cannot be a source of contamination for the meat; 3. have cutting rooms equipped to ensure compliance with the requirements laid down in Chapter V; 4. have equipment for washing hands with taps designed to prevent the spread of contamination, for use by staff engaged in handling exposed meat; and 5. have facilities for disinfecting tools with hot water supplied at not less than 82 °C, or an alternative system having an equivalent effect. ## Chapter Iv: Slaughter Hygiene Food business operators operating slaughterhouses in which domestic ungulates are slaughtered must ensure compliance with the following requirements. 1. After arrival in the slaughterhouse, the slaughter of the animals must not be unduly delayed. However, where required for welfare reasons, animals must be given a resting period before slaughter. 2. (a) Meat from animals other than those referred to in subparagraphs (b) and (c) must not be used for human consumption if they die otherwise than by being slaughtered in the slaughterhouse. (b) Only live animals intended for slaughter may be brought into the slaughter premises, with the exception of: (i) animals that have undergone emergency slaughter outside the slaughterhouse in accordance with Chapter VI; (ii) animals slaughtered at the place of production in accordance with Section III; and (iii) wild game, in compliance with Section IV, Chapter II. (c) Meat from animals that undergo slaughter following an accident in a slaughterhouse may be used for human consumption if, on inspection, no serious lesions other than those due to the accident are found. 3. The animals or, where appropriate, each batch of animals sent for slaughter must be identified so that their origin can be traced. 4. Animals must be clean. 5. Slaughterhouse operators must follow the instructions of the veterinarian appointed by the competent authority in accordance with Regulation (EC) No 854/2004 to ensure that ante-mortem inspection of every animal to be slaughtered is carried out under suitable conditions. 6. Animals brought into the slaughter hall must be slaughtered without undue delay. 7. Stunning, bleeding, skinning, evisceration and other dressing must be carried out without undue delay and in a manner that avoids contaminating the meat. In particular: (a) the trachea and oesophagus must remain intact during bleeding, except in the case of slaughter according to a religious custom; (b) during the removal of hides and fleece: (i) contact between the outside of the skin and the carcase must be prevented; and (ii) operators and equipment coming into contact with the outer surface of hides and fleece must not touch the meat; (c) measures must be taken to prevent the spillage of digestive tract content during and after evisceration and to ensure that evisceration is completed as soon as possible after stunning; and (d) removal of the udder must not result in contamination of the carcase with milk or colostrum. 8. Carcases and other parts of the body intended for human consumption must be completely skinned, except in the case of porcine animals, the heads of ovine and caprine animals and calves, the muzzle and lips of bovine animals and the feet of bovine, ovine and caprine animals. Heads, including muzzle and lips, and feet must be handled in such a way as to avoid contamination. ▼C1 9. When not skinned, porcine animals must have their bristles removed immediately. The risk of contamination of the meat with scalding water must be minimised. Only approved additives may be used for this operation. Porcine animals must be thoroughly rinsed afterwards with potable water. 10. The carcases must not contain visible faecal contamination. Any visible contamination must be removed without delay by trimming or alternative means having an equivalent effect. 11. Carcases and offal must not come into contact with floors, walls or work stands. 12. Slaughterhouse operators must follow the instructions of the competent authority to ensure that post-mortem inspection of all slaughtered animals is carried out under suitable conditions in accordance with Regulation (EC) No 854/2004. 13. Until post-mortem inspection is completed, parts of a slaughtered animal subject to such inspection must: (a) remain identifiable as belonging to a given carcase; and (b) come into contact with no other carcase, offal or viscera, including those that have already undergone post-mortem inspection. However, provided that it shows no pathological lesion, the penis may be discarded immediately. 14. Both kidneys must be removed from their fatty covering. In the case of bovine and porcine animals, and solipeds, the peri-renal capsule must also be removed. 15. If the blood or other offal of several animals is collected in the same container before completion of post-mortem inspection, the entire contents must be declared unfit for human consumption if the carcase of one or more of the animals concerned has been declared unfit for human consumption. 16. After post-mortem inspection: ▼M3 (a) the tonsils of bovine animals, porcine animals and solipeds must be removed hygienically; ▼C1 (b) parts unfit for human consumption must be removed as soon as possible from the clean sector of the establishment; (c) meat detained or declared unfit for human consumption and inedible by-products must not come into contact with meat declared fit for human consumption; and (d) viscera or parts of viscera remaining in the carcase, except for the kidneys, must be removed entirely and as soon as possible, unless the competent authority authorises otherwise. 17. After completion of slaughter and post-mortem inspection, the meat must be stored in accordance with the requirements laid down in Chapter VII. 18. When destined for further handling: (a) stomachs must be scalded or cleaned; however, in the case of stomachs of young ruminants intended for rennet production, the stomachs need only be emptied; (b) intestines must be emptied and cleaned; (c) heads and feet must be skinned or scalded and depilated; however, when authorised by the competent authority, visibly clean feet may be trans ported to and skinned or scalded and depilated in an approved estab lishment further handling the feet for processing into food. ▼C1 19. Where establishments are approved for the slaughter of different animal species or for the handling of carcases of farmed game and wild game, precautions must be taken to prevent cross-contamination by separation either in time or in space of operations carried out on the different species. Separate facilities for the reception and storage of unskinned carcases of farmed game slaughtered at the farm and for wild game must be available. 20. If the slaughterhouse does not have lockable facilities reserved for the slaughter of sick or suspect animals, the facilities used to slaughter such animals must be cleaned, washed and disinfected under official supervision before the slaughter of other animals is resumed. ## Chapter V: Hygiene During Cutting And Boning Food business operators must ensure that cutting and boning of meat of domestic ungulates takes place in accordance with the following requirements. 1. Carcases of domestic ungulates may be cut into half-carcases or quarters, and half carcases into no more than three wholesale cuts, in slaughterhouses. Further cutting and boning must be carried out in a cutting plant. 2. The work on meat must be organised in such a way as to prevent or minimise contamination. To this end, food business operators must ensure in particular that: (a) meat intended for cutting is brought into the workrooms progressively as needed; (b) during cutting, boning, trimming, slicing, dicing, wrapping and pack aging, the meat is maintained at not more than 3 °C for offal and 7 °C for other meat, by means of an ambient temperature of not more than 12 °C or an alternative system having an equivalent effect; and (c) where the premises are approved for the cutting of meat of different animal species, precautions are taken to avoid cross-contamination, where necessary by separation of the operations on the different species in either space or time. 3. However, meat may be boned and cut before it reaches the temperature referred to in point 2(b) in accordance with Chapter VII, point 3. 4. Meat may also be boned and cut prior to reaching the temperature referred to in point 2(b) when the cutting room is on the same site as the slaughter premises. In this case, the meat must be transferred to the cutting room either directly from the slaughter premises or after a waiting period in a chilling or refrigerating room. As soon as it is cut and, where appropriate, packaged, the meat must be chilled to the temperature referred to in point 2(b). ## ▼C1 Chapter Vi: Emergency Slaughter Outside The Slaught Erhouse Food business operators must ensure that meat from domestic ungulates that have undergone emergency slaughter outside the slaughterhouse may be used for human consumption only if it complies with all the following requirements. 1. An otherwise healthy animal must have suffered an accident that prevented its transport to the slaughterhouse for welfare reasons. 2. A veterinarian must carry out an ante-mortem inspection of the animal. 3. The slaughtered and bled animal must be transported to the slaughterhouse hygienically and without undue delay. Removal of the stomach and intes tines, but no other dressing, may take place on the spot, under the super vision of the veterinarian. Any viscera removed must accompany the slaughtered animal to the slaughterhouse and be identified as belonging to that animal. 4. If more than two hours elapse between slaughter and arrival at the slaughter house, the animal must be refrigerated. Where climatic conditions so permit, active chilling is not necessary. 5. A declaration by the food business operator who reared the animal, stating the identity of the animal and indicating any veterinary products or other treatments administered to the animal, dates of administration and with drawal periods, must accompany the slaughtered animal to the slaughter house. 6. A declaration issued by the veterinarian recording the favourable outcome of the ante-mortem inspection, the date and time of, and reason for, emergency slaughter, and the nature of any treatment administered by the veterinarian to the animal, must accompany the slaughtered animal to the slaughterhouse. 7. The slaughtered animal must be fit for human consumption following postmortem inspection carried out in the slaughterhouse in accordance with Regulation (EC) No 854/2004, including any additional tests required in the case of emergency slaughter. 8. Food business operators must follow any instructions that the official veterinarian may give after post-mortem inspection concerning the use of the meat. ## ▼M15 __________ ▼C1 Chapter Vii: Storage And Transport Food business operators must ensure that the storage and transport of meat of domestic ungulates takes place in accordance with the following requirements. 1. (a) Unless other specific provisions provide otherwise, post-mortem inspection must be followed immediately by chilling in the slaught erhouse to ensure a temperature throughout the meat of not more than 3 °C for offal and 7 °C for other meat along a chilling curve that ensures a continuous decrease of the temperature. However, meat may be cut and boned during chilling in accordance with Chapter V, point 4. (b) During the chilling operations, there must be adequate ventilation to prevent condensation on the surface of the meat. 2. Meat must attain the temperature specified in point 1 and remain at that temperature during storage. 3. Meat must attain the temperature specified in point 1 before transport, and remain at that temperature during transport. However, transport may also take place if the competent authority so authorises to enable the production of specific products, provided that: (a) such transport takes place in accordance with the requirements that the competent authority specifies in respect of transport from one given establishment to another; and (b) the meat leaves the slaughterhouse, or a cutting room on the same site as the slaughter premises, immediately and transport takes no more than two hours. 4. Meat intended for freezing must be frozen without undue delay, taking into account where necessary a stabilisation period before freezing. 5. Exposed meat must be stored and transported separately from packaged meat, unless stored or transported at different times or in such a way that the packaging material and the manner of storage or transport cannot be a source of contamination for the meat. ## Section Ii: Meat From Poultry And Lagomorphs Chapter I: Transport Of Live Animals To The Slaught Erhouse Food business operators transporting live animals to slaughterhouses must ensure compliance with the following requirements. 1. During collection and transport, animals must be handled carefully without causing unnecessary distress. 2. Animals showing symptoms of disease or originating in flocks known to be contaminated with agents of public-health importance may only be trans ported to the slaughterhouse when permitted by the competent authority. 3. Crates for delivering animals to the slaughterhouse and modules, where used, must be made of non-corrodible material and be easy to clean and disinfect. Immediately after emptying and, if necessary, before re-use, all equipment used for collecting and delivering live animals must be cleaned, washed and disinfected. ## Chapter Ii: Requirements For Slaughterhouses Food business operators must ensure that the construction, layout and equipment of slaughterhouses in which poultry or lagomorphs are slaughtered meet the following requirements. 1. They must have a room or covered space for the reception of the animals and for their inspection before slaughter. 2. To avoid contaminating meat, they must: (a) have a sufficient number of rooms, appropriate to the operations being carried out; (b) have a separate room for evisceration and further dressing, including the addition of seasonings to whole poultry carcases, unless the competent authority authorises separation in time of these operations within a specific slaughterhouse on a case-by-case basis; (c) ensure separation in space or time of the following operations: (i) stunning and bleeding; (ii) plucking or skinning, and any scalding; and (iii) dispatching meat; (d) have installations that prevent contact between the meat and the floors, walls and fixtures; and (e) have slaughter lines (where operated) that are designed to allow a constant progress of the slaughter process and to avoid cross-contami nation between the different parts of the slaughter line. Where more than one slaughter line is operated in the same premises, there must be adequate separation of the lines to prevent cross-contamination. 3. They must have facilities for disinfecting tools with hot water supplied at not less than 82 °C, or an alternative system having an equivalent effect. 4. The equipment for washing hands used by the staff engaged in handling exposed meat must have taps designed to prevent the spread of contami nation. 5. There must be lockable facilities for the refrigerated storage of detained meat and separate lockable facilities for the storage of meat declared unfit for human consumption. 6. There must be a separate place with appropriate facilities for the cleaning, washing and disinfection of: (a) transport equipment such as crates; and (b) means of transport. These places and facilities are not compulsory for (b) if officially authorised places and facilities exist nearby. 7. They must have an adequately equipped lockable facility or, where needed, room for the exclusive use of the veterinary service. ## Chapter Iii: Requirements For Cutting Plants 1. Food business operators must ensure that cutting plants handling meat from poultry or lagomorphs: (a) are constructed so as to avoid contamination of meat, in particular by: (i) allowing constant progress of the operations; or (ii) ensuring separation between the different production batches; (b) have rooms for the separate storage of packaged and exposed meat, unless stored at different times or in such a way that the packaging material and the manner of storage cannot be a source of contamination for the meat; (c) have cutting rooms equipped to ensure compliance with the requirements laid down in Chapter V; (d) have equipment for washing hands used by staff handling exposed meat with taps designed to prevent the spread of contamination; and (e) have facilities for disinfecting tools with hot water supplied at not less than 82 °C, or an alternative system having an equivalent effect. 2. If the following operations are undertaken in a cutting plant: (a) the evisceration of geese and ducks reared for the production of 'foie gras', which have been stunned, bled and plucked on the fattening farm; or (b) the evisceration of delayed eviscerated poultry, food business operators must ensure that separate rooms are available for that purpose. ## Chapter Iv: Slaughter Hygiene Food business operators operating slaughterhouses in which poultry or lago morphs are slaughtered must ensure compliance with the following requirements. 1. (a) Meat from animals other than those referred to in (b) must not be used for human consumption if they die otherwise than by being slaughtered in the slaughterhouse. (b) Only live animals intended for slaughter may be brought into the slaughter premises, with the exception of: (i) delayed eviscerated poultry, geese and ducks reared for the production of 'foie gras' and birds that are not considered as domestic but which are farmed as domestic animals, if slaughtered at the farm in accordance with Chapter VI; (ii) farmed game slaughtered at the place of production in accordance with Section III; and (iii) small wild game in accordance with Section IV, Chapter III. 2. Slaughterhouse operators must follow the instructions of the competent authority to ensure that ante-mortem inspection is carried out under suitable conditions. 3. Where establishments are approved for the slaughter of different animal species or for the handling of farmed ratites and small wild game, precautions must be taken to prevent cross contamination by separation either in time or in space of the operations carried out on the different species. Separate facilities for the reception and storage of carcases of farmed ratites slaughtered at the farm and for small wild game must be available. 4. Animals brought into the slaughter room must be slaughtered without undue delay. \| 5. \| Stunning, bleeding, skinning or plucking, evisceration and other dressing \| \|------------------------------------------------------------------------------\|------------------------------------------------------------------------------\| \| must be carried out without undue delay in such a way that contamination \| \| \| of the meat is avoided. In particular, measures must be taken to prevent the \| \| \| spillage of digestive tract contents during evisceration. \| \| \| 6. \| Slaughterhouse operators must follow the instructions of the competent \| \| authority to ensure that the post-mortem inspection is carried out under \| \| \| suitable conditions, and in particular that slaughtered animals can be \| \| \| inspected properly. \| \| \| \| \| 7. After post-mortem inspection: (a) parts unfit for human consumption must be removed as soon as possible from the clean sector of the establishment; (b) meat detained or declared unfit for human consumption and inedible byproducts must not come into contact with meat declared fit for human consumption; and (c) viscera or parts of viscera remaining in the carcase, except for the kidneys, must be removed entirely, if possible, and as soon as possible, unless otherwise authorised by the competent authority. 8. After inspection and evisceration, slaughtered animals must be cleaned and chilled to not more than 4 °C as soon as possible, unless the meat is cut while warm. 9. When carcases are subjected to an immersion chilling process, account must be taken of the following. (a) Every precaution must be taken to avoid contamination of carcases, taking into account parameters such as carcase weight, water temperature, volume and direction of water flow and chilling time. (b) Equipment must be entirely emptied, cleaned and disinfected whenever this is necessary and at least once a day. 10. Sick or suspect animals, and animals slaughtered in application of disease eradication or control programmes, must not be slaughtered in the estab lishment except when permitted by the competent authority. In that event, slaughter must be performed under official supervision and steps taken to prevent contamination; the premises must be cleaned and disinfected before being used again. ## Chapter V: Hygiene During And After Cutting And Boning Food business operators must ensure that cutting and boning of meat of poultry and lagomorphs takes place in accordance with the following requirements. 1. The work on meat must be organised in such a way as to prevent or minimise contamination. To this end, food business operators must ensure in particular that: (a) meat intended for cutting is brought into the workrooms progressively as needed; (b) during cutting, boning, trimming, slicing, dicing, wrapping and pack aging, the temperature of the meat is maintained at not more than 4 °C by means of an ambient temperature of 12 °C or an alternative system having an equivalent effect; and (c) where the premises are approved for the cutting of meat of different animal species, precautions are taken to avoid cross-contamination, where necessary by separation of the operations on the different species in either space or time. 2. However, meat may be boned and cut prior to reaching the temperature referred to in point 1(b) when the cutting room is on the same site as the slaughter premises, provided that it is transferred to the cutting room either: (a) directly from the slaughter premises; or (b) after a waiting period in a chilling or refrigerating room. 3. As soon as the meat is cut and, where appropriate, packaged, it must be chilled to a temperature of not more than 4 °C. 4. Meat must attain a temperature of not more than 4 °C before transport, and be maintained at that temperature during transport. However, if the competent authority so authorises, livers for the production of foie gras may be transported at a temperature of more than 4 °C, provided that: (a) such transport takes place in accordance with the requirements that the competent authority specifies in respect of transport from one given establishment to another; and (b) the meat leaves the slaughterhouse, or a cutting room immediately and transport takes no more than two hours. 5. Meat derived from poultry and lagomorphs intended for freezing must be frozen without undue delay. 6. Exposed meat must be stored and transported separately from packaged meat, unless stored or transported at different times or in such a way that the packaging material and the manner of storage or transport cannot be a source of contamination for the meat. ▼C1 ## Chapter Vi: Slaughter On The Farm Food business operators may slaughter poultry referred to in Chapter IV, point 1(b)(i), on the farm only with the authorisation of the competent authority and in compliance with the following requirements. 1. The farm must undergo regular veterinary inspection. 2. The food business operator must inform the competent authority in advance of the date and time of slaughter. 3. The holding must have facilities for concentrating the birds to allow an antemortem inspection of the group to be made. 4. The holding must have premises suitable for the hygienic slaughter and further handling of the birds. 5. Animal welfare requirements must be complied with. 6. The slaughtered birds must be accompanied to the slaughterhouse by a declaration by the food business operator who reared the animal indicating any veterinary products or other treatments administered to the animal, dates of administration and withdrawal periods, and the date and time of slaughter. 7. The slaughtered animal must be accompanied to the slaughterhouse by a certificate issued by the official veterinarian or approved veterinarian in accordance with Regulation (EC) No 854/2004. 8. In the case of poultry reared for the production of 'foie gras', the unevis cerated birds must be transported immediately and, if necessary, refrigerated to a slaughterhouse or cutting plant. They must be eviscerated within 24 hours of slaughter under the supervision of the competent authority. 9. Delayed eviscerated poultry obtained at the farm of production may be kept for up to 15 days at a temperature of not more than 4 °C. It must then be eviscerated in a slaughterhouse or in a cutting plant located in the same Member State as the farm of production. ## ▼M1 Chapter Vii: Water Retention Agents Food business operators shall ensure that poultrymeat that has been treated specifically to promote water retention is not placed on the market as fresh meat but as meat preparations or used for the production of processed products. ## ▼C1 Section Iii: Meat Of Farmed Game 1. The provisions of Section I apply to the production and placing on the market of meat from even-toed farmed game mammals (Cervidae and Suidae), unless the competent authority considers them inappropriate. 2. The provisions of Section II apply to the production and placing on the market of meat from ratites. However, those of Section I apply where the competent authority considers them appropriate. Appropriate facilities must be provided, adapted to the size of the animals. 3. Notwithstanding points 1 and 2, food business operators may slaughter farmed ratites and farmed ungulates referred to in point 1 at the place of origin with the authorisation of the competent authority if: (a) the animals cannot be transported, to avoid any risk for the handler or to protect the welfare of the animals; (b) the herd undergoes regular veterinary inspection; (c) the owner of the animals submits a request; (d) the competent authority is informed in advance of the date and time of slaughter of the animals; (e) the holding has procedures for concentrating the animals to allow an ante-mortem inspection of the group to be made; (f) the holding has facilities suitable for the slaughter, bleeding and, where ratites are to be plucked, plucking of the animals; (g) animal welfare requirements are complied with; (h) slaughtered and bled animals are transported to the slaughterhouse hygienically and without undue delay. If transport takes more than two hours, the animals are, if necessary, refrigerated. Evisceration may take place on the spot, under the supervision of the veterinarian; (i) a declaration by the food business operator who reared the animals, stating their identity and indicating any veterinary products or other treatments administered, dates of administration and withdrawal periods, accompanies the slaughtered animals to the slaughterhouse; and (j) during transport to the approved establishment, a certificate issued and signed by the official veterinarian or approved veterinarian, attesting to a favourable result of the ante-mortem inspection, correct slaughter and bleeding and the date and time of slaughter, accompanies the slaughtered animals. ▼M10 3a. By way of derogation from point 3(j), the competent authority may authorise that the attestation of the correct slaughter and bleeding and of the date and time of slaughter be included only in the declaration by the food business operator referred to in point 3(i), provided that: (a) the holding is situated in a Member State or region, as defined in Article 2(2)(p) of Directive 64/432/EEC which is not under health restrictions in accordance with Union law or national legislation; (b) the food business operator has demonstrated the appropriate level of competence to slaughter animals without causing the animals any avoidable pain, distress or suffering in accordance with Article 7(2) of Regulation (EC) No 1099/2009 and without prejudice to Article 12 of that Regulation. ▼C1 4. Food business operators may also slaughter bison on the farm in accordance with point 3 in exceptional circumstances. ## Section Iv: Wild Game Meat Chapter I: Training Of Hunters In Health And Hygiene 1. Persons who hunt wild game with a view to placing it on the market for human consumption must have sufficient knowledge of the pathology of wild game, and of the production and handling of wild game and wild game meat after hunting, to undertake an initial examination of wild game on the spot. 2. It is however enough if at least one person of a hunting team has the knowledge referred to in point 1. References in this Section to a 'trained person' are references to that person. 3. The trained person could also be the gamekeeper or the game manager if he or she is part of the hunting team or located in the immediate vicinity of where hunting is taking place. In the latter case, the hunter must present the wild game to the gamekeeper or game manager and inform them of any abnormal behaviour observed before killing. 4. Training must be provided to the satisfaction of the competent authority to enable hunters to become trained persons. It should cover at least the following subjects: (a) the normal anatomy, physiology and behaviour of wild game; (b) abnormal behaviour and pathological changes in wild game due to diseases, environmental contamination or other factors which may affect human health after consumption; (c) the hygiene rules and proper techniques for the handling, transportation, evisceration, etc. of wild game animals after killing; and (d) legislation and administrative provisions on the animal and public health and hygiene conditions governing the placing on the market of wild game. 5. The competent authority should encourage hunters' organisations to provide such training. ## Chapter Ii: Handling Of Large Wild Game 1. After killing, large wild game must have their stomachs and intestines removed as soon as possible and, if necessary, be bled. 2. The trained person must carry out an examination of the body, and of any viscera removed, to identify any characteristics that may indicate that the meat presents a health risk. The examination must take place as soon as possible after killing. 3. Meat of large wild game may be placed on the market only if the body is transported to a game-handling establishment as soon as possible after the examination referred to in point 2. The viscera must accompany the body as specified in point 4. The viscera must be identifiable as belonging to a given animal. 4. (a) If no abnormal characteristics are found during the examination referred to in point 2, no abnormal behaviour was observed before killing, and there is no suspicion of environmental contamination, the trained person must attach to the animal body a numbered declaration stating this. This declaration must also indicate the date, time and place of killing. The declaration need not be attached to the animal body and may cover more than one animal body, provided that each animal body is appro priately identified and the declaration bears an indication of the identi fication number of each animal body covered by it, with the corresponding date, time and place of killing. All animal bodies covered by a single declaration may only be sent to a single gamehandling establishment. The head and the viscera need not accompany the body to the gamehandling establishment, except in the case of species susceptible to trichinosis (porcine animals, solipeds and others), whose heads (except for tusks) and diaphragm must accompany the body. However, the competent authority may authorise that heads of animals susceptible to Trichinella infestation be sent to a technical plant for the production of game trophies, which has been approved in accordance with Article 18 of Regulation (EC) No 1774/2002. The technical plant shall be indicated in the declaration of the trained person. A copy of that declaration shall be sent to the technical plant. Where the results of the Trichinella examination of the carcase are positive, the competent authority shall carry out an official check to verify the proper handling of the head in the technical plant. However, hunters must comply with any additional requirements imposed in the Member State where hunting takes place, in particular to permit the monitoring of certain residues and substances in accordance with Directive 96/23/EC. ▼C1 (b) In other circumstances, the head (except for tusks, antlers and horns) and all the viscera except for the stomach and intestines must accompany the body. The trained person who carried out the examination must inform the competent authority of the abnormal characteristics, abnormal behaviour or suspicion of environmental contamination that prevented him or her from making a declaration in accordance with (a); (c) If no trained person is available to carry out the examination referred to in point 2 in a particular case, the head (except for tusks, antlers and horns) and all the viscera except for the stomach and the intestines must accompany the body. 5. Chilling must begin within a reasonable period of time after killing and achieve a temperature throughout the meat of not more than 7 °C. Where climatic conditions so permit, active chilling is not necessary. 6. During transport to the game-handling establishment, heaping must be avoided. 7. Large wild game delivered to a game-handling establishment must be presented to the competent authority for inspection. ## ▼M16 8. In Addition, Unskinned Large Wild Game: (a) may be skinned and placed on the market only if: (i) before skinning, it is stored and handled separately from other food and it is not frozen; (ii) after skinning, it undergoes a final inspection in a game-handling establishment in accordance with Regulation (EC) No 854/2004; (b) may be sent to a game handling establishment in another Member State only if, during transport to that game-handling establishment, it is accompanied by a certificate conforming to the specimen set out in the Annex to Commission Implementing Regulation (EU) No 636/2014 ( 1 ) issued and signed by an official veterinarian, attesting that the requirements set out in point 4 as regards the availability of a declaration, when relevant, and the accompaniment of relevant parts of the body, have been complied with. In case the game handling establishment, close to the hunting area, is in another Member State, transport to this game handling establishment need not be accompanied by the certificate but by the declaration of the trained person referred to in point 2 to comply with Article 3(1) of Directive 89/662/EEC, taking into account the animal health status of the Member State of origin. ▼C1 9. The rules laid down in Section I, Chapter V, apply to the cutting and boning of large wild game. ## Chapter Iii: Handling Of Small Wild Game 1. The trained person must carry out an examination to identify any character istics that may indicate that the meat presents a health risk. The examination must take place as soon as possible after killing. 2. If abnormal characteristics are found during the examination, abnormal behaviour was observed before killing, or environmental contamination is suspected, the trained person must inform the competent authority. 3. Meat of small wild game may be placed on the market only if the body is transported to a game-handling establishment as soon as possible after the examination referred to in point 1. 4. Chilling must begin within a reasonable period of time of killing and achieve a temperature throughout the meat of not more than 4 °C. Where climatic conditions so permit, active chilling is not necessary. 5. Evisceration must be carried out, or completed, without undue delay upon arrival at the game -handling establishment, unless the competent authority permits otherwise. 6. Small wild game delivered to a game-handling establishment must be presented to the competent authority for inspection. 7. The rules laid down in Section II, Chapter V, apply to the cutting and boning of small wild game. ## Section V: Minced Meat, Meat Preparations And Mech Anically Separated Meat (Msm) Chapter I: Requirements For Production Establishments Food business operators operating establishments producing minced meat, meat preparations or MSM must ensure that they: 1. are constructed so as to avoid contamination of meat and products, in particular by: (a) allowing constant progress of the operations; or (b) ensuring separation between the different production batches; 2. have rooms for the separate storage of packaged and exposed meat and products, unless stored at different times or in such a way that the packaging material and the manner of storage cannot be a source of contami nation for the meat or products; 3. have rooms equipped to ensure compliance with the temperature requirements laid down in Chapter III; 4. have equipment for washing hands used by staff handling exposed meat and products with taps designed to prevent the spread of contamination; and 5. have facilities for disinfecting tools with hot water supplied at not less than 82 °C, or an alternative system having an equivalent effect. ## Chapter Ii: Requirements For Raw Material Food business operators producing minced meat, meat preparations or MSM must ensure that the raw materials used satisfy the following requirements. 1. The raw material used to prepare minced meat must meet the following requirements. (a) It must comply with the requirements for fresh meat; (b) It must derive from skeletal muscle, including adherent fatty tissues; (c) It must not derive from: (i) scrap cuttings and scrap trimmings (other than whole muscle cuttings); (ii) MSM; (iii) meat containing bone fragments or skin; or (iv) meat of the head with the exception of the masseters, the nonmuscular part of the linea alba, the region of the carpus and the tarsus, bone scrapings and the muscles of the diaphragm (unless the serosa has been removed). 2. The following raw material may be used to prepare meat preparations: (a) fresh meat; (b) meat meeting the requirements of point 1; and (c) if the meat preparation is clearly not intended to be consumed without first undergoing heat treatment: (i) meat derived from the mincing or fragmentation of meat meeting the requirements of point 1 other than point 1(c)(i); and (ii) MSM meeting the requirements of Chapter III, point 3(d). 3. The raw material used to produce MSM must meet the following require ments. (a) It must comply with the requirements for fresh meat; (b) The following material must not be used to produce MSM: (i) for poultry, the feet, neckskin and head; and (ii) for other animals, the bones of the head, feet, tails, femur, tibia, fibula, humerus, radius and ulna. ## Chapter Iii: Hygiene During And After Production Food business operators producing minced meat, meat preparations or MSM must ensure compliance with the following requirements. 1. The work on meat must be organised in such a way as to prevent or minimise contamination. To this end, food business operators must ensure in particular that the meat used is: (a) at a temperature of not more than 4 °C for poultry, 3 °C for offal and 7 °C for other meat; and (b) brought into the preparation room progressively as needed. 2. The following requirements apply to the production of minced meat and meat preparations. (a) Unless the competent authority authorises boning immediately before mincing, frozen or deep-frozen meat used for the preparation of minced meat or meat preparations must be boned before freezing. It may be stored only for a limited period. (b) When prepared from chilled meat, minced meat must be prepared: (i) in the case of poultry, within no more than three days of their slaughter; (ii) in the case of animal other than poultry, within no more than six days of their slaughter; or (iii) within no more than 15 days from the slaughter of the animals in the case of boned, vacuum-packed beef and veal. (c) Immediately after production, minced meat and meat preparations must be wrapped or packaged and be: (i) chilled to an internal temperature of not more than 2 °C for minced meat and 4 °C for meat preparations; or (ii) frozen to an internal temperature of not more than -18 °C. These temperature conditions must be maintained during storage and transport. 3. The following requirements apply to the production and use of MSM produced using techniques that do not alter the structure of the bones used in the production of MSM and the calcium content of which is not significantly higher than that of minced meat. (a) Raw material for deboning from an on-site slaughterhouse must be no more than seven days old; otherwise, raw material for deboning must be no more than five days old. However, poultry carcases must be no more than three days old. (b) Mechanical separation must take place immediately after deboning. (c) If not used immediately after being obtained, MSM must be wrapped or packaged and then chilled to a temperature of not more than 2 °C or frozen to an internal temperature of not more than –18 °C. These temperature requirements must be maintained during storage and transport. (d) If the food business operator has carried out analyses demonstrating that MSM complies with the microbiological criteria for minced meat adopted in accordance with Regulation (EC) No 852/2004 it may be used in meat preparations that are clearly not intended to be consumed without first undergoing heat treatment and in meat products. (e) MSM not shown to comply with the criteria referred to in (d) may be used only to manufacture heat-treated meat products in establishments approved in accordance with this Regulation. 4. The following requirements apply to the production and use of MSM produced using techniques other than those mentioned in point 3. (a) Raw material for deboning from an on-site slaughterhouse must be no more than seven days old; otherwise, raw material for deboning must be no more than five days old. However, poultry carcases must be no more than three days old. (b) If mechanical separation does not take place immediately after deboning the flesh-bearing bones must be stored and transported at a temperature of not more than 2 °C or, if frozen, at a temperature of not more than -18 °C. (c) Flesh-bearing bones obtained from frozen carcases must not be refrozen. (d) If not used within one hour of being obtained, MSM must be chilled immediately to a temperature of not more than 2 °C. (e) If, after chilling, MSM is not processed within 24 hours, it must be frozen within 12 hours of production and reach an internal temperature of not more than –18 °C within six hours. (f) Frozen MSM must be wrapped or packaged before storage or transport, must not be stored for more than three months and must be maintained at a temperature of not more than –18 °C during storage and transport. (g) MSM may be used only to manufacture heat-treated meat products in establishments approved in accordance with this Regulation. 5. Minced meat, meat preparations and MSM must not be re-frozen after thawing. ## Chapter Iv: Labelling 1. In addition to the requirements of Directive 2000/13/EC ( 1 ), food business operators must ensure compliance with the requirement of point 2 if, and to the extent that, national rules in the Member State in the territory of which the product is placed on the market so require. 2. Packages intended for supply to the final consumer containing minced meat from poultry or solipeds or meat preparations containing MSM must bear a notice indicating that such products should be cooked before consumption. ## Section Vi: Meat Products 1. Food business operators must ensure that the following items are not used in the preparation of meat products: (a) genital organs of either female or male animals, except testicles; (b) urinary organs, except the kidneys and the bladder; (c) the cartilage of the larynx, the trachea and the extra-lobular bronchi; (d) eyes and eyelids; (e) the external auditory meatus; (f) horn tissue; and (g) in poultry, the head - except the comb and the ears, the wattles and caruncles - the oesophagus, the crop, the intestines and the genital organs. 2. All meat, including minced meat and meat preparations, used to produce meat product must meet the requirements for fresh meat. However, minced meat and meat preparations used to produce meat products need not satisfy other specific requirements of Section V. ## Section Vii: Live Bivalve Molluscs ▼M9 1. This Section applies to live bivalve molluscs. With the exception of the provisions on purification, it also applies to live echinoderms, live tunicates and live marine gastropods. Provisions on classification of production areas set out in Chapter II part A of that Section do not apply to marine gastropods which are not filter feeders. ▼C1 2. Chapters I to VIII apply to animals harvested from production areas that the competent authority has classified in accordance with Regulation (EC) No 854/2004. Chapter IX applies to pectinidae harvested outside those areas. 3. Chapters V, VI, VIII and IX, and point 3 of Chapter VII, apply to retail. 4. The requirements of this Section supplement those laid down in Regulation (EC) No 852/2004: (a) In the case of operations that take place before live bivalve molluscs arrive at a dispatch or purification centre, they supplement the requirements of Annex I to that Regulation. (b) In the case of other operations, they supplement the requirements of Annex II to that Regulation. ## Chapter I: General Requirements For The Placing On The Market Of Live Bivalve Molluscs 1. Live bivalve molluscs may not be placed on the market for retail sale otherwise than via a dispatch centre, where an identification mark must be applied in accordance with Chapter VII. 2. Food business operators may accept batches of live bivalve molluscs only if the documentary requirements set out in points 3 to 7 have been complied with. 3. Whenever a food business operator moves a batch of live bivalve molluscs between establishments, up to and including the arrival of the batch at a dispatch centre or processing establishment, a registration document must accompany the batch. 4. The registration document must be in at least one official language of the Member State in which the receiving establishment is located and contain at least the information specified below. (a) In the case of a batch of live bivalve molluscs sent from a production area, the registration document must contain at least the following information: (i) the gatherer's identity and address; (ii) the date of harvesting; (iii) the location of the production area described in as precise detail as is practicable or by a code number; (iv) the health status of the production area; (v) the shellfish species and quantity; and (vi) the destination of the batch. (b) In the case of a batch of live bivalve molluscs sent from a relaying area, the registration document must contain at least the information referred to in (a) and the following information: (i) the location of the relaying area; and (ii) the duration of relaying. (c) In the case of a batch of live bivalve molluscs sent from a purification centre, the registration document must contain at least the information referred to in (a) and the following information: (i) the address of the purification centre; (ii) the duration of purification; and (iii) the dates on which the batch entered and left the purification centre. 5. Food business operators sending batches of live bivalve molluscs must complete the relevant sections of the registration document so that they are easy to read and cannot be altered. Food business operators receiving batches must date-stamp the document on receipt of the batch or record the date of receipt in another manner. 6. Food business operators must keep a copy of the registration document relating to each batch sent and received for at least twelve months after its dispatch or receipt (or such longer period as the competent authority may specify). 7. However, if: (a) the staff gathering live bivalve molluscs also operate the dispatch centre, purification centre, relaying area or processing establishment receiving the live bivalve molluscs; and (b) a single competent authority supervises all the establishments concerned, registration documents are not necessary if that competent authority so permits. ## Chapter Ii: Hygiene Requirements For The Production And Harvesting Of Live Bivalve Molluscs A. Requirements For Production Areas 1. Gatherers may only harvest live bivalve molluscs from production areas with fixed locations and boundaries that the competent authority has classified - where appropriate, in cooperation with food business operators - as being of class A, B or C in accordance with Regulation (EC) No 854/2004. 2. Food business operators may place live bivalve molluscs collected from class A production areas on the market for direct human consumption only if they meet the requirements of Chapter V. 3. Food business operators may place live bivalve molluscs collected from class B production areas on the market for human consumption only after treatment in a purification centre or after relaying. 4. Food business operators may place live bivalve molluscs collected from class C production areas on the market for human consumption only after relaying over a long period in accordance with Part C of this Chapter. 5. After purification or relaying, live bivalve molluscs from class B or C production areas must meet all of the requirements of Chapter V. However, live bivalve molluscs from such areas that have not been submitted for purification or relaying may be sent to a processing establishment, where they must undergo treatment to eliminate pathogenic micro-organisms (where appropriate, after removal of sand, mud or slime in the same or another establishment). The permitted treatment methods are: (a) sterilisation in hermetically sealed containers; and (b) heat treatments involving: (i) immersion in boiling water for the period required to raise the internal temperature of the mollusc flesh to not less than 90 °C and maintenance of this minimum temperature for a period of not less than 90 seconds; (ii) cooking for three to five minutes in an enclosed space where the temperature is between 120 and 160 °C and the pressure is between 2 and 5 kg/cm 2 , followed by shelling and freezing of the flesh to a core temperature of - 20 °C; and (iii) steaming under pressure in an enclosed space satisfying the requirements relating to cooking time and the internal temperature of the mollusc flesh mentioned under (i). A validated methodology must be used. Procedures based on the HACCP principles must be in place to verify the uniform distribution of heat. 6. Food business operators must not produce live bivalve molluscs in, or harvest them from, areas that the competent authority has not classified, or which are unsuitable for health reasons. Food business operators must take account of any relevant information concerning areas' suitability for production and harvesting, including information obtained from ownchecks and the competent authority. They must use this information, particularly information on environmental and weather conditions, to determine the appropriate treatment to apply to harvested batches. ## B. Requirements For Harvesting And Handling Following Harvesting Food business operators harvesting live bivalve molluscs, or handling them immediately after harvesting, must ensure compliance with the following requirements. 1. Harvesting techniques and further handling must not cause additional contamination or excessive damage to the shells or tissues of the live bivalve molluscs or result in changes significantly affecting their suit ability for treatment by purification, processing or relaying. Food business operators must in particular: (a) adequately protect live bivalve molluscs from crushing, abrasion or vibration; (b) not expose live bivalve molluscs to extreme temperatures; (c) not re-immerse live bivalve molluscs in water that could cause additional contamination; and (d) if carrying out conditioning in natural sites, use only areas that the competent authority has classified as being of class A. 2. Means of transport must permit adequate drainage, be equipped to ensure the best survival conditions possible and provide efficient protection against contamination. ## C. Requirements For Relaying Live Bivalve Molluscs Food business operators relaying live bivalve molluscs must ensure compliance with the following requirements. 1. Food business operators may use only those areas that the competent authority has approved for relaying live bivalve molluscs. Buoys, poles or other fixed means must clearly identify the boundaries of the sites. There must be a minimum distance between relaying areas, and also between relaying areas and production areas, so as to minimise any risk of the spread of contamination. 2. Conditions for relaying must ensure optimal conditions for purification. In particular, food business operators must: (a) use techniques for handling live bivalve molluscs intended for relaying that permit the resumption of filter-feeding activity after immersion in natural waters; (b) not relay live bivalve molluscs at a density that prevents purifi cation; (c) immerse live bivalve molluscs in seawater at the relaying area for an appropriate period, fixed depending on the water temperature, which period must be of at least two months' duration unless the competent authority agrees to a shorter period on the basis of the food business operator's risk analysis; and (d) ensure sufficient separation of sites within a relaying area to prevent mixing of batches; the 'all in, all out' system must be used, so that a new batch cannot be brought in before the whole of the previous batch has been removed. 3. Food business operators managing relaying areas must keep permanent records of the source of live bivalve molluscs, relaying periods, relaying areas used and the subsequent destination of the batch after relaying, for inspection by the competent authority. ## Chapter Iii: Structural Requirements For Dispatch And Purification Centres 1. The location of premises on land must not be subject to flooding by ordinary high tides or run-off from surrounding areas. 2. Tanks and water storage containers must meet the following requirements: (a) Internal surfaces must be smooth, durable, impermeable and easy to clean. (b) They must be constructed so as to allow complete draining of water. (c) Any water intake must be situated in a position that avoids contami nation of the water supply. 3. In addition, in purification centres, purification tanks must be suitable for the volume and type of products to be purified. ## Chapter Iv: Hygiene Requirements For Purification And Dispatch Centres A. Requirements For Purification Centres Food business operators purifying live bivalve molluscs must ensure compliance with the following requirements. 1. Before purification commences, live bivalve molluscs must be washed free of mud and accumulated debris using clean water. 2. Operation of the purification system must allow live bivalve molluscs rapidly to resume and to maintain filter-feeding activity, to eliminate sewage contamination, not to become re-contaminated and to be able to remain alive in a suitable condition after purification for wrapping, storage and transport before being placed on the market. 3. The quantity of live bivalve molluscs to be purified must not exceed the capacity of the purification centre. The live bivalve molluscs must be continuously purified for a period sufficient to achieve compliance with allow the health standards of Chapter V and microbiological criteria adopted in accordance with Regulation (EC) No 852/2004. 4. Should a purification tank contain several batches of live bivalve molluscs, they must be of the same species and the length of the treatment must be based on the time required by the batch needing the longest period of purification. 5. Containers used to hold live bivalve molluscs in purification systems must have a construction that allows clean seawater to flow through. The depth of layers of live bivalve molluscs must not impede the opening of shells during purification. 6. No crustaceans, fish or other marine species may be kept in a purifi cation tank in which live bivalve molluscs are undergoing purification. 7. Every package containing purified live bivalve molluscs sent to a dispatch centre must be provided with a label certifying that all molluscs have been purified. ## B. Requirements For Dispatch Centres Food business operators operating dispatch centres must ensure compliance with the following requirements. 1. Handling of live bivalve molluscs, particularly conditioning, calibration, wrapping and packing, must not cause contamination of the product or affect the viability of the molluscs. 2. Before dispatch, the shells of live bivalve molluscs must be washed thoroughly with clean water. 3. Live bivalve molluscs must come from: (a) a class A production area; (b) a relaying area; (c) a purification centre; or (d) another dispatch centre. 4. The requirements laid down in points 1 and 2 also apply to dispatch centres situated on board vessels. Molluscs handled in such centres must come from a class A production area or a relaying area. ## Chapter V: Health Standards For Live Bivalve Molluscs In addition to ensuring compliance with microbiological criteria adopted in accordance with Regulation (EC) No 852/2004, food business operators must ensure that live bivalve molluscs placed on the market for human consumption meet the standards laid down in this Chapter. 1. They must have organoleptic characteristics associated with freshness and viability, including shells free of dirt, an adequate response to percussion and normal amounts of intravalvular liquid. 2. They must not contain marine biotoxins in total quantities (measured in the whole body or any part edible separately) that exceed the following limits: (a) for paralytic shellfish poison (PSP), 800 micrograms per kilogram; (b) for amnesic shellfish poison (ASP), 20 milligrams of domoic acid per kilogram; (c) for okadaic acid, dinophysistoxins and pectenotoxins together, 160 micrograms of okadaic acid equivalents per kilogram; ## ▼M14 (D) For Yessotoxins, 3,75 Milligrams Of Yessotoxin Equivalent Per Kilogram; ▼C1 And (e) for azaspiracids, 160 micrograms of azaspiracid equivalents per kilogram. ## Chapter Vi: Wrapping And Packaging Of Live Bivalve Molluscs 1. Oysters must be wrapped or packaged with the concave shell downwards. ▼M9 2. All packages of live bivalve molluscs leaving dispatch centres or destined for another dispatch centre, must be closed. Packages of live bivalve molluscs, intended for direct retail sale, must remain closed until they are presented for sale to the final consumer. ## ▼C1 Chapter Vii: Identification Marking And Labelling 1. The label, including the identification mark, must be waterproof. 2. In addition to the general requirements for identification marks contained in Annex II, Section I, the following information must be present on the label: (a) the species of bivalve mollusc (common name and scientific name); and (b) the date of packaging, comprising at least the day and the month. By way of derogation from Directive 2000/13/EC, the date of minimum durability may be replaced by the entry 'these animals must be alive when sold'. 3. The retailer must keep the label attached to the packaging of live bivalve molluscs that are not in individual consumer-size packages for at least 60 days after splitting up the contents. ## Chapter Viii: Other Requirements 1. Food business operators storing and transporting live bivalve molluscs must ensure that they are kept at a temperature that does not adversely affect food safety or their viability. 2. Live bivalve molluscs must not be re-immersed in, or sprayed with, water after they have been packaged for retail sale and left the dispatch centre. ## ▼M9 Chapter Ix: Specific Requirements For Pectinidae And Marine Gastropods Which Are Not Filter Feeders Harvested Outside Classified Production Areas Food business operators harvesting pectinidae and marine gastropods, which are not filter feeders, outside classified production areas or handling such pectinidae and/or such marine gastropods must comply with the following requirements: 1. Pectinidae and marine gastropods, which are not filter feeders, may not be placed on the market unless they are harvested and handled in accordance with Chapter II, Part B, and meet the standards laid down in Chapter V, as proved by a system of own-checks. 2. In addition, where data from official monitoring programmes enable the competent authority to classify fishing grounds - where appropriate, in cooperation with food business operators - the provisions of Chapter II, Part A, apply by analogy to pectinidae 3. Pectinidae and marine gastropods, which are not filter feeders, may not be placed on the market for human consumption otherwise than via a fish auction, a dispatch centre or a processing establishment. When they handle pectinidae and/or such marine gastropods, food business operators operating such establishments must inform the competent authority and, as regards dispatch centres, comply with the relevant requirements of Chapters III and IV. 4. Food business operators handling pectinidae and live marine gastropods, which are not filter feeders, must comply: (a) with the documentary requirements of Chapter I, points 3 to 7, where applicable. In this case, the registration document must clearly indicate the location of the area where the pectinidae and/or live marine gastropods were harvested; or (b) with the requirements of Chapter VI, point 2 concerning the closing of all packages of live pectinidae and live marine gastropods dispatched for retail sale and Chapter VII concerning identification marking and labelling. ▼M9 1. This Section does not apply to bivalve molluscs, echinoderms, tunicates and marine gastropods if they are still alive when placed on the market. With the exception of Chapters I and II, it applies to such animals when not placed on the market live, in which case they must have been obtained in accordance with Section VII. It applies to thawed unprocessed fishery products and fresh fishery products to which food additives have been added in accordance with the appropriate Union legislation. ▼M6 2. Chapter III, Parts A, C and D, Chapter IV, Part A and Chapter V apply to retail. ▼C1 3. The requirements of this Section supplement those laid down in Regulation (EC) No 852/2004: (a) In the case of establishments, including vessels, engaged in primary production and associated operations they supplement the requirements of Annex I to that Regulation. (b) In the case of other establishments, including vessels, they supplement the requirements of Annex II to that Regulation. ▼M6 (c) In the case of water supply, they supplement the requirements of Annex II, Chapter VII to that Regulation; clean seawater may be used for the handling and washing of fishery products, the production of ice used to chill fishery products and the rapid cooling of crustaceans and molluscs after their cooking. ▼M5 By way of derogation from point (a), point 7 of Part A of Annex I to Regulation (EC) No 852/2004 may not apply to operators engaged in small-scale coastal fishing within the meaning of Article 26(1) of Council Regulation (EC) No 1198/2006 ( 1 ), and carrying out their activities only for short periods of less than 24 hours. ## ▼C1 4. In Relation To Fishery Products: (a) primary production covers the farming, fishing and collection of live fishery products with a view to their being placed on the market; and (b) associated operations cover any of the following operations, if carried out on board fishing vessels: slaughter, bleeding, heading, gutting, removing fins, refrigeration and wrapping; they also include: 1. the transport and storage of fishery products the nature of which has not been substantially altered, including live fishery products, within fish farms on land; and 2. the transport of fishery products the nature of which has not been substantially altered, including live fishery products, from the place of production to the first establishment of destination. ## Chapter I: Requirements For Vessels Food business operators must ensure that: 1. vessels used to harvest fishery products from their natural environment, or to handle or process them after harvesting, comply with the structural and equipment requirements laid down in Part I; and 2. operations carried out on board vessels take place in accordance with the rules laid down in Part II. ## I. Structural And Equipment Requirements A. Requirements For All Vessels 1. Vessels must be designed and constructed so as not to cause contamination of the products with bilge-water, sewage, smoke, fuel, oil, grease or other objectionable substances. 2. Surfaces with which fishery products come into contact must be of suitable corrosion-resistant material that is smooth and easy to clean. Surface coatings must be durable and non-toxic. 3. Equipment and material used for working on fishery products must be made of corrosion-resistant material that is easy to clean and disinfect. 4. When vessels have a water intake for water used with fishery products, it must be situated in a position that avoids contamination of the water supply. B. Requirements for vessels designed and equipped to preserve fresh fishery products for more than 24 hours 1. Vessels designed and equipped to preserve fishery products for more than 24 hours must be equipped with holds, tanks or containers for the storage of fishery products at the temperatures laid down in Chapter VII. 2. Holds must be separated from the engine compartments and from the crew quarters by partitions which are sufficient to prevent any contamination of the stored fishery products. Holds and containers used for the storage of fishery products must ensure their preser vation under satisfactory conditions of hygiene and, where necessary, ensure that melt water does not remain in contact with the products. 3. In vessels equipped for chilling fishery products in cooled clean seawater, tanks must incorporate devices for achieving a uniform temperature throughout the tanks. Such devices must achieve a chilling rate that ensures that the mix of fish and clean seawater reaches not more than 3 °C six hours after loading and not more than 0 °C after 16 hours and allow the monitoring and, where necessary, recording of temperatures. ## C. Requirements For Freezer Vessels Freezer vessels must: 1. have freezing equipment with sufficient capacity to lower the temperature rapidly so as to achieve a core temperature of not more than -18 °C; 2. have refrigeration equipment with sufficient capacity to maintain fishery products in the storage holds at not more than -18 °C. Storage holds must be equipped with a temperature-recording device in a place where it can be easily read. The temperature sensor of the reader must be situated in the area where the temperature in the hold is the highest; and 3. meet the requirements for vessels designed and equipped to preserve fishery products for more than 24 hours laid down in Part B, point 2. ## D. Requirements For Factory Vessels 1. Factory vessels must have at least: (a) a receiving area reserved for taking fishery products on board, designed to allow each successive catch to be separated. This area must be easy to clean and designed so as to protect the products from the sun or the elements and from any source of contamination; (b) a hygienic system for conveying fishery products from the receiving area to the work area; (c) work areas that are large enough for the hygienic preparation and processing of fishery products, easy to clean and disinfect and designed and arranged in such a way as to prevent any contamination of the products; (d) storage areas for the finished products that are large enough and designed so that they are easy to clean. If a waste-processing unit operates on board, a separate hold must be designated for the storage of such waste; (e) a place for storing packaging materials that is separate from the product preparation and processing areas; (f) special equipment for disposing waste or fishery products that are unfit for human consumption directly into the sea or, where circumstances so require, into a watertight tank reserved for that purpose. If waste is stored and processed on board with a view to its sanitation, separate areas must be allocated for that purpose; (g) a water intake situated in a position that avoids contamination of the water supply; and (h) hand-washing equipment for use by the staff engaged in handling exposed fishery products with taps designed to prevent the spread of contamination. 2. However, factory vessels on board which crustaceans and molluscs are cooked, chilled and wrapped, need not meet the requirements of point 1 if no other form of handling or processing takes place on board such vessels. 3. Factory vessels that freeze fishery products must have equipment meeting the requirements for freezer vessels laid down in Part C, points 1 and 2. ## Ii. Hygiene Requirements 1. When in use, the parts of vessels or containers set aside for the storage of fishery products must be kept clean and maintained in good repair and condition. In particular, they must not be contaminated by fuel or bilge water. 2. As soon as possible after they are taken on board, fishery products must be protected from contamination and from the effects of the sun or any other source of heat. ►M6 __________ ◄ 3. Fishery products must be handled and stored so as to prevent bruising. Handlers may use spiked instruments to move large fish or fish which might injure them, provided that the flesh of the products suffers no damage. 4. Fishery products other than those kept alive must undergo chilling as soon as possible after loading. However, when chilling is not possible, fishery products must be landed as soon as possible. ## ▼M6 __________ 6. Where fish are headed and/or gutted on board, such operations must be carried out hygienically as soon as possible after capture, and the products must be washed immediately and thoroughly. In that event, the viscera and parts that may constitute a danger to public health must be removed as soon as possible and kept apart from products intended for human consumption. Livers and roes intended for human consumption must be preserved under ice, at a temperature approaching that of melting ice, or be frozen. ▼C1 7. Where freezing in brine of whole fish intended for canning is practised, a temperature of not more than - 9 °C must be achieved for the product. The brine must not be a source of contamination for the fish. ## Chapter Ii: Requirements During And After Landing 1. Food business operators responsible for the unloading and landing of fishery products must: (a) ensure that unloading and landing equipment that comes into contact with fishery products is constructed of material that is easy to clean and disinfect and maintained in a good state of repair and cleanliness; and (b) avoid contamination of fishery products during unloading and landing, in particular by: (i) carrying out unloading and landing operations rapidly; (ii) placing fishery products without delay in a protected environment at the temperature specified in Chapter VII; and (iii) not using equipment and practices that cause unnecessary damage to the edible parts of the fishery products. 2. Food business operators responsible for auction and wholesale markets or parts thereof where fishery products are displayed for sale must ensure compliance with the following requirements. (a) (i) There must be lockable facilities for the refrigerated storage of detained fishery products and separate lockable facilities for the storage of fishery products declared unfit for human consumption. (ii) If the competent authority so requires, there must be an adequately equipped lockable facility or, where needed, room for the exclusive use of the competent authority. (b) At the time of display or storage of fishery products: (i) the premises must not be used for other purposes; (ii) vehicles emitting exhaust fumes likely to impair the quality of fishery products must not have access to the premises; (iii) persons having access to the premises must not introduce other animals; and (iv) the premises must be well lit to facilitate official controls. 3. When chilling was not possible on board the vessel, fresh fishery products, other than those kept alive, must undergo chilling as soon as possible after landing and be stored at a temperature approaching that of melting ice. 4. Food business operators must cooperate with relevant competent authorities so as to permit them to carry out official controls in accordance with Regu lation (EC) No 854/2004, in particular as regards any notification procedures for the landing of fishery products that the competent authority of the Member State the flag of which the vessel is flying or the competent authority of the Member State where the fishery products are landed might consider necessary. ## Chapter Iii: Requirements For Establishments, Including Vessels, Handling Fishery Products Food business operators must ensure compliance with the following require ments, where relevant, in establishments handling fishery products. ## A. Requirements For Fresh Fishery Products 1. Where chilled, unpackaged products are not distributed, dispatched, prepared or processed immediately after reaching an establishment on land, they must be stored under ice in appropriate facilities. Re-icing must be carried out as often as necessary. Packaged fresh fishery products must be chilled to a temperature approaching that of melting ice. ▼M6 2. Operations such as heading and gutting must be carried out hygieni cally. Where gutting is possible from a technical and commercial view point, it must be carried out as quickly as possible after the products have been caught or landed. The products must be washed thoroughly immediately after these operations. ▼C1 3. Operations such as filleting and cutting must be carried out so as to avoid contamination or spoilage of fillets and slices. Fillets and slices must not remain on the worktables beyond the time necessary for their preparation. Fillets and slices must be wrapped and, where necessary, packaged and must be chilled as quickly as possible after their prep aration. 4. Containers used for the dispatch or storage of unpackaged prepared fresh fishery products stored under ice must ensure that melt water does not remain in contact with the products. 5. Whole and gutted fresh fishery products may be transported and stored in cooled water on board vessels. They may also continue to be trans ported in cooled water after landing, and be transported from aqua culture establishments, until they arrive at the first establishment on land carrying out any activity other than transport or sorting. ## ▼C1 B. Requirements For Frozen Products Establishments on land that freeze fishery products must have equipment that satisfies the requirements laid down for freezer vessels in Section VIII, Chapter I, part I. C, points 1 and 2. ## C. Requirements For Mechanically Separated Fishery Products Food business operators manufacturing mechanically separated fishery products must ensure compliance with the following requirements. 1. The raw materials used must satisfy the following requirements. (a) Only whole fish and bones after filleting may be used to produce mechanically separated fishery products; (b) All raw materials must be free from guts. 2. The manufacturing process must satisfy the following requirements: (a) Mechanical separation must take place without undue delay after filleting. (b) If whole fish are used, they must be gutted and washed beforehand. (c) After production, mechanically separated fishery products must be frozen as quickly as possible or incorporated in a product intended for freezing or a stabilising treatment. ## ▼M11 D. Requirements Concerning Parasites 1. Food business operators placing on the market the following fishery products derived from finfish or cephalopod molluscs: (a) fishery products intended to be consumed raw; or (b) marinated, salted and any other treated fishery products, if the treatment is insufficient to kill the viable parasite; must ensure that the raw material or finished product undergo a freezing treatment in order to kill viable parasites that may be a risk to the health of the consumer. 2. For parasites other than trematodes the freezing treatment must consist of lowering the temperature in all parts of the product to at least: (a) - 20 °C for not less than 24 hours; or (b) - 35 °C for not less than 15 hours. 3. Food business operators need not carry out the freezing treatment set out in point 1 for fishery products: (a) that have undergone, or are intended to undergo before consumption a heat treatment that kills the viable parasite. In the case of parasites other than trematodes the product is heated to a core temperature of 60 °C or more for at least one minute; (b) that have been preserved as frozen fishery products for a sufficiently long period to kill the viable parasites; (c) from wild catches, provided that: (i) there are epidemiological data available indicating that the fishing grounds of origin do not present a health hazard with regard to the presence of parasites; and (ii) the competent authority so authorises; (d) derived from fish farming, cultured from embryos and have been fed exclusively on a diet that cannot contain viable parasites that present a health hazard, and one of the following requirements is complied with: (i) have been exclusively reared in an environment that is free from viable parasites; or (ii) the food business operator verifies through procedures, approved by the competent authority, that the fishery products do not represent a health hazard with regard to the presence of viable parasites. 4. (a) When placing on the market, except when supplied to the final consumer, fishery products referred to in point 1 must be accom panied by a document issued by the food business operator performing the freezing treatment, stating the type of freezing treatment that the products have undergone. (b) Before placing on the market fishery products referred to in points 3(c) and (d) which have not undergone the freezing treatment or which are not intended to undergo before consumption a treatment that kills viable parasites that present a health hazard, a food business operator must ensure that the fishery products originate from a fishing ground or fish farming which complies with the specific conditions referred to in one of those points. This provision may be met by information in the commercial document or by any other information accompanying the fishery products. ## ▼M6 __________ Chapter Iv: Requirements For Certain Processed Fishery Products Food business operators must ensure compliance with the following requirements in establishments handling certain processed fishery products. ## A. Requirements For Cooking Of Crustaceans And Molluscs 1. Rapid cooling must follow cooking. If no other method of preservation is used, cooling must continue until a temperature approaching that of melting ice is reached. 2. Shelling or shucking must be carried out hygienically, avoiding contami nation of the product. Where such operations are done by hand, workers must pay particular attention to washing their hands. 3. After shelling or shucking, cooked products must be frozen immediately, or be chilled as soon as possible to the temperature set out in Chapter VII. ## B. Requirements For Fish Oil Intended For Human Consumption 1. Raw materials used in the preparation of fish oil for human consumption must: (a) come from establishments, including vessels, registered or approved pursuant to Regulation (EC) No 852/2004 or in accordance with this Regulation; (b) derive from fishery products which are fit for human consumption and which comply with the provisions set out in this Section; (c) be transported and stored in hygienic conditions; (d) be chilled as soon as possible and remain at the temperatures set out in Chapter VII. By way of derogation from point 1(d), the food business operator may refrain from chilling the fishery products when whole fishery products are used directly in the preparation of fish oil for human consumption, and the raw material is processed within 36 hours after loading, provided that the freshness criteria are met and the total volatile basic nitrogen (TVB- N) value of the unprocessed fishery products do not exceed the limits set out in point 1 of Chapter I of Section II of Annex II to Commission Regulation (EC) No 2074/2005 ( 1 ). 2. The production process for fish oil must ensure that all raw material intended for the production of crude fish oil is subject to a treatment including, where relevant, heating, pressing, separation, centrifugation, processing, refining and purification steps before being placed on the market for the final consumer. 3. Provided that the raw materials and the production process comply with the requirements applying to fish oil intended for human consumption a food business operator may produce and store both fish oil for human consumption and fish oil and fish meal not intended for human consumption in the same establishment. 4. Pending the establishment of specific Community legislation food business operators must ensure compliance with national rules for fish oil being placed on the market for the final consumer. ## ▼C1 Chapter V: Health Standards For Fishery Products In addition to ensuring compliance with microbiological criteria adopted in accordance with Regulation (EC) No 852/2004, food business operators must ensure, depending on the nature of the product or the species, that fishery products placed on the market for human consumption meet the standards laid down in this Chapter. ►M6 The requirements of Parts B and D shall not apply to whole fishery products that are used directly for the preparation of fish oil intended for human consumption. ◄ ## A. Organoleptic Properties Of Fishery Products Food business operators must carry out an organoleptic examination of fishery products. In particular, this examination must ensure that fishery products comply with any freshness criteria. ## B. Histamine Food business operators must ensure that the limits with regard to histamine are not exceeded. ## C. Total Volatile Nitrogen Unprocessed fishery products must not be placed on the market if chemical tests reveal that the limits with regard to TVB-N or TMA-N have been exceeded. ## D. Parasites Food business operators must ensure that fishery products have been subjected to a visual examination for the purpose of detecting visible parasites before being placed on the market. They must not place fishery products that are obviously contaminated with parasites on the market for human consumption. ## ▼C1 E. Toxins Harmful To Human Health ▼M6 1. Fishery products derived from poisonous fish of the following families must not be placed on the market: Tetraodontidae, Molidae, Diodontidae and Canthigasteridae. Fresh, prepared, frozen and processed fishery products belonging to the family Gempylidae, in particular Ruvettus pretiosus and Lepidocybium flavobrunneum, may only be placed on the market in wrapped/packaged form and must be appropriately labelled to provide information to the consumer on preparation/cooking methods and on the risk related to the presence of substances with adverse gastrointestinal effects. The scientific name of the fishery products must accompany the common name on the label. ▼C1 2. Fishery products containing biotoxins such as ciguatoxin or muscle-para lysing toxins must not be placed on the market. However, fishery products derived from bivalve molluscs, echinoderms, tunicates and marine gastropods may be placed on the market if they have been produced in accordance with Section VII and comply with the standards laid down in Chapter V, point 2, of that section. ## Chapter Vi: Wrapping And Packaging Of Fishery Products 1. Receptacles in which fresh fishery products are kept under ice must be water-resistant and ensure that melt-water does not remain in contact with the products. 2. Frozen blocks prepared on board vessels must be adequately wrapped before landing. 3. When fishery products are wrapped on board fishing vessels, food business operators must ensure that wrapping material: (a) is not a source of contamination; (b) is stored in such a manner that it is not exposed to a risk of contami nation; (c) intended for re-use is easy to clean and, where necessary, to disinfect. ## Chapter Vii: Storage Of Fishery Products Food business operators storing fishery products must ensure compliance with the following requirements. 1. Fresh fishery products, thawed unprocessed fishery products, and cooked and chilled products from crustaceans and molluscs, must be maintained at a temperature approaching that of melting ice. ▼M9 2. Frozen fishery products must be kept at a temperature of not more than - 18 °C in all parts of the product; however, whole fish initially frozen in brine intended for the manufacture of canned food may be kept at a temperature of not more than - 9 °C. ▼C1 3. Fishery products kept alive must be kept at a temperature and in a manner that does not adversely affect food safety or their viability. ## Chapter Viii: Transport Of Fishery Products Food business operators transporting fishery products must ensure compliance with the following requirements. 1. During transport, fishery products must be maintained at the required temperature. In particular: (a) fresh fishery products, thawed unprocessed fishery products, and cooked and chilled products from crustaceans and molluscs, must be maintained at a temperature approaching that of melting ice; (b) frozen fishery products, with the exception of whole fish initially frozen in brine intended for the manufacture of canned food, must be main tained during transport at an even temperature of not more than - 18 °C in all parts of the product, possibly with short upward fluctuations of not more than 3 °C. ▼C1 2. Food business operators need not comply with point 1(b) when frozen fishery products are transported from a cold store to an approved estab lishment to be thawed on arrival for the purposes of preparation and/or processing, if the journey is short and the competent authority so permits. 3. If fishery products are kept under ice, melt water must not remain in contact with the products. 4. Fishery products to be placed on the market live must be transported in such a way as not adversely to affect food safety or their viability. ## ▼M3 Section Ix: Raw Milk, Colostrum, Dairy Products And Colostrum-Based Products For the purpose of this Section, 1. 'Colostrum' means the fluid secreted by the mammary glands of milkproducing animals up to three to five days post parturition that is rich in antibodies and minerals, and precedes the production of raw milk. 2. 'Colostrum-based products' means processed products resulting from the processing of colostrum or from the further processing of such processed products. ## Chapter I: Raw Milk And Colostrum - Primary Production Food business operators producing or, as appropriate, collecting raw milk and colostrum must ensure compliance with the requirements laid down in this Chapter. ## I. Health Requirements For Raw Milk And Colostrum Production 1. Raw milk and colostrum must come from animals: (a) that do not show any symptoms of infectious diseases communicable to humans through milk and colostrum; (b) that are in a good general state of health, present no sign of disease that might result in the contamination of milk and colostrum and, in particular, are not suffering from any infection of the genital tract with discharge, enteritis with diarrhoea and fever, or a recognisable inflammation of the udder; (c) that do not have any udder wound likely to affect the milk and colostrum; (d) to which no unauthorised substances or products have been admin istered and that have not undergone illegal treatment within the meaning of Directive 96/23/EC; (e) in respect of which, where authorised products or substances have been administered, the withdrawal periods prescribed for these products or substances have been observed. 2. (a) In particular, as regards brucellosis, raw milk and colostrum must come from: (i) cows or buffaloes belonging to a herd which, within the meaning of Directive 64/432/EEC ( 1 ), is free or officially free of brucellosis; (ii) sheep or goats belonging to a holding officially free or free of brucellosis within the meaning of Directive 91/68/EEC ( 2 ); or (iii) females of other species belonging, for species susceptible to brucellosis, to herds regularly checked for that disease under a control plan that the competent authority has approved. (b) As regards tuberculosis, raw milk and colostrum must come from: (i) cows or buffaloes belonging to a herd which, within the meaning of Directive 64/432/EEC, is officially free of tubercu losis; or (ii) females of other species belonging, for species susceptible to tuberculosis, to herds regularly checked for this disease under a control plan that the competent authority has approved. (c) If goats are kept together with cows, such goats must be inspected and tested for tuberculosis. 3. However, raw milk from animals that does not meet the requirements of point 2 may be used with the authorisation of the competent authority: (a) in the case of cows or buffaloes that do not show a positive reaction to tests for tuberculosis or brucellosis, nor any symptoms of these diseases, after having undergone a heat treatment such as to show a negative reaction to the alkaline phosphatase test; (b) in the case of sheep or goats that do not show a positive reaction to tests for brucellosis, or which have been vaccinated against brucellosis as part of an approved eradication programme, and which do not show any symptom of that disease, either: (i) for the manufacture of cheese with a maturation period of at least two months; or (ii) after having undergone heat treatment such as to show a negative reaction to the alkaline phosphatase test; and (c) in the case of females of other species that do not show a positive reaction to tests for tuberculosis or brucellosis, nor any symptoms of these diseases, but belong to a herd where brucellosis or tuber culosis has been detected after the checks referred to in point 2(a)(iii) or 2(b)(ii), if treated to ensure its safety. 4. Raw milk and colostrum from any animal not complying with the appropriate requirements of points 1 to 3, and in particular, any animal showing individually a positive reaction to the prophylactic tests vis-à-vis tuberculosis or brucellosis as laid down in Directive 64/432/EEC and Directive 91/68/EEC, must not be used for human consumption. 5. The isolation of animals that are infected, or suspected of being infected, with any of the diseases referred to in point 1 or 2 must be effective to avoid any adverse effect on other animals' milk and colostrum. ## Ii. Hygiene On Milk And Colostrum Production Holdings A. Requirements For Premises And Equipment 1. Milking equipment and premises where milk and colostrum are stored, handled or cooled must be located and constructed so as to limit the risk of contamination of milk and colostrum. 2. Premises for the storage of milk and colostrum must be protected against vermin, have adequate separation from premises where animals are housed and, where necessary to meet the requirements laid down in Part B, have suitable refrigeration equipment. 3. Surfaces of equipment that are intended to come into contact with milk and colostrum (utensils, containers, tanks, etc. intended for milking, collection or transport) must be easy to clean and, where necessary, disinfect and must be maintained in a sound condition. This requires the use of smooth, washable and non-toxic materials. 4. After use, such surfaces must be cleaned and, where necessary, disinfected. After each journey, or after each series of journeys when the period of time between unloading and the following loading is very short, but in all cases at least once a day, containers and tanks used for the transport of milk and colostrum must be cleaned and disinfected in an appropriate manner before re-use. ## B. Hygiene During Milking, Collection And Transport 1. Milking must be carried out hygienically, ensuring in particular: (a) that, before milking starts, the teats, udder and adjacent parts are clean; (b) that milk and colostrum from each animal is checked for orga noleptic or physico-chemical abnormalities by the milker or a method achieving similar results and that milk and colostrum presenting such abnormalities is not used for human consumption; (c) that milk and colostrum from animals showing clinical signs of udder disease are not used for human consumption otherwise than in accordance with the instructions of a veterinarian; (d) the identification of animals undergoing medical treatment likely to transfer residues to the milk and colostrum, and that milk and colostrum obtained from such animals before the end of the prescribed withdrawal period are not used for human consumption; and (e) that teat dips or sprays are used only after authorisation or registration in accordance with the procedures laid down in Directive 98/8/EC of the European Parliament and of the Council of 16 February 1998 concerning the placing of biocidal products on the market ( 1 ): (f) that colostrum is milked separately and not mixed together with raw milk. 2. Immediately after milking, milk and colostrum must be held in a clean place designed and equipped to avoid contamination. (a) Milk must be cooled immediately to not more than 8 o C in the case of daily collection, or not more than 6 o C if collection is not daily; (b) Colostrum must be stored separately and immediately cooled to not more than 8 o C in the case of daily collection, or not more than 6 o C if collection is not daily, or frozen. 3. During transport the cold chain must be maintained and, on arrival at the establishment of destination, the temperature of the milk and the colostrum must not be more than 10 o C. 4. Food business operators need not comply with the temperature requirements laid down in points 2 and 3 if the milk meets the criteria provided for in Part III and either: (a) the milk is processed within two hours of milking; or (b) a higher temperature is necessary for technological reasons related to the manufacture of certain dairy products and the competent authority so authorises. ## C. Staff Hygiene 1. Persons performing milking and/or handling raw milk and colostrum must wear suitable clean clothes. 2. Persons performing milking must maintain a high degree of personal cleanliness. Suitable facilities must be available near the place of milking to enable persons performing milking and handling raw milk and colostrum to wash their hands and arms. ## Iii. Criteria For Raw Milk And Colostrum 1. (a) The following criteria for raw milk apply pending the establishment of standards in the context of more specific legislation on the quality of milk and dairy products. (b) National criteria for colostrum, as regards plate count, somatic cell count or antibiotic residues, apply pending the establishment of specific Community legislation. 2. A representative number of samples of raw milk and colostrum collected from milk production holdings taken by random sampling must be checked for compliance with points 3 and 4 in case of raw milk and with the existing national criteria referred to in point 1(b) in case of colostrum. The checks may be carried out by, or on behalf of: (a) the food business operator producing the milk; (b) the food business operator collecting or processing the milk; (c) a group of food business operators; or (d) in the context of a national or regional control scheme. 3. (a) Food business operators must initiate procedures to ensure that raw milk meets the following criteria: (i) for raw cows' milk: Plate count at 30 o C (per ml) ≤ 100 000 () Somatic cell count (per ml) ≤ 400 000 () () Rolling geometric average over a two-month period, with at least two samples per month. (*) Rolling geometric average over a three-month period, with at least one sample per month, unless the competent authority specifies another methodology to take account of seasonal variations in production levels. (ii) for raw milk from other species: Plate count at 30 o C (per ml) ≤ 1 500 000 () () Rolling geometric average over a two-month period, with at least two samples per month. (b) However, if raw milk from species other than cows is intended for the manufacture of products made with raw milk by a process that does not involve any heat treatment, food business operators must take steps to ensure that the raw milk used meets the following criterion: Plate count at 30 o C (per ml) ≤ 500 000 () (*) Rolling geometric average over a two-month period, with at least two samples per month. 4. Without prejudice to Directive 96/23/EC, food business operators must initiate procedures to ensure that raw milk is not placed on the market if either: (a) it contains antibiotic residues in a quantity that, in respect of any one of the substances referred to in Annexes I and III to Regulation (EEC) No 2377/90 ( 1 ), exceeds the levels authorised under that Regulation; or (b) the combined total of residues of antibiotic substances exceeds any maximum permitted value. 5. When raw milk fails to comply with point 3 or 4, the food business operator must inform the competent authority and take measures to correct the situation. ## Chapter Ii: Requirements Concerning Dairy And Colostrum-Based Products I. Temperature Requirements 1. Food business operators must ensure that, upon acceptance at a processing establishment, (a) milk is quickly cooled to not more than 6 o C; (b) colostrum is quickly cooled to not more than 6 o C or maintained frozen, and kept at that temperature until processed. 2. However, food business operators may keep milk and colostrum at a higher temperature if: (a) processing begins immediately after milking, or within four hours of acceptance at the processing establishment; or (b) the competent authority authorises a higher temperature for tech nological reasons concerning the manufacture of certain dairy or colostrum-based products. ## Ii. Requirements For Heat Treatment 1. When raw milk, colostrum, dairy or colostrum-based products undergo heat treatment, food business operators must ensure that this satisfies the requirements laid down in Chapter XI of Annex II to Regulation (EC) No 852/2004. In particular, they shall ensure, when using the following processes, that they comply with the specifications mentioned: (a) Pasteurisation is achieved by a treatment involving: (i) a high temperature for a short time (at least 72 o C for 15 seconds); (ii) a low temperature for a long time (at least 63 o C for 30 minutes); or (iii) any other combination of time-temperature conditions to obtain an equivalent effect, such that the products show, where applicable, a negative reaction to an alkaline phosphatase test immediately after such treatment. (b) Ultra high temperature (UHT) treatment is achieved by a treatment: (i) involving a continuous flow of heat at a high temperature for a short time (not less than 135 o C in combination with a suitable holding time) such that there are no viable microorganisms or spores capable of growing in the treated product when kept in an aseptic closed container at ambient temperature, and (ii) sufficient to ensure that the products remain microbiologically stable after incubating for 15 days at 30 o C in closed containers or for seven days at 55 o C in closed containers or after any other method demonstrating that the appropriate heat treatment has been applied. 2. When considering whether to subject raw milk and colostrum to heat treatment, food business operators must: (a) have regard to the procedures developed in accordance with the HACCP principles pursuant to Regulation (EC) No 852/2004; and (b) comply with any requirements that the competent authority may impose in this regard when approving establishments or carrying out checks in accordance with Regulation (EC) No 854/2004. ## Iii. Criteria For Raw Cows' Milk ▼M6 1. Food business operators manufacturing dairy products must initiate procedures to ensure that, immediately before being heat treated and if its period of acceptance specified in the HACCP-based procedures is exceeded: (a) raw cows' milk used to prepare dairy products has a plate count at 30 °C of less than 300 000 per ml; and (b) heat treated cows' milk used to prepare dairy products has a plate count at 30 °C of less than 100 000 per ml. ▼M3 2. When milk fails to meet the criteria laid down in paragraph 1, the food business operator must inform the competent authority and take measures to correct the situation. ## Chapter Iii: Wrapping And Packaging Sealing of consumer packages must be carried out immediately after filling in the establishment where the last heat treatment of liquid dairy products and colostrum-based products, takes place by means of sealing devices that prevent contamination. The sealing system must be designed in such a way that, after opening, the evidence of its opening remains clear and easy to check. ## Chapter Iv: Labelling 1. In addition to the requirements of Directive 2000/13/EC, except in the cases envisaged in Article 13(4) and (5) of that Directive, labelling must clearly show: (a) in the case of raw milk intended for direct human consumption, the words 'raw milk'; (b) in the case of products made with raw milk, the manufacturing process for which does not include any heat treatment or any physical or chemical treatment, the words 'made with raw milk'; (c) in case of colostrum, the word 'colostrum'; (d) in case of products made with colostrum, the words 'made with colos trum'. 2. The requirements of paragraph 1 apply to products destined for retail trade. The term 'labelling' includes any packaging, document, notice, label, ring or collar accompanying or referring to such products. ## ▼M3 Chapter V: Identification Marking By way of derogation from the requirements of Annex II, Section I: 1. rather than indicating the approval number of the establishment, the identi fication mark may include a reference to where on the wrapping or packaging the approval number of the establishment is indicated; 2. in the case of the reusable bottles, the identification mark may indicate only the initials of the consigning country and the approval number of the estab lishment. ## ▼C1 Section X: Eggs And Egg Products Chapter I: Eggs 1. At the producer's premises, and until sale to the consumer, eggs must be kept clean, dry, free of extraneous odour, effectively protected from shocks and out of direct sunshine. ▼M6 2. Eggs must be stored and transported until sale to the final consumer at a temperature, preferably constant, that is best suited to assure optimal conser vation of their hygiene properties, unless the competent authority imposes national temperature requirements for egg storage facilities and for vehicles transporting eggs between such storage facilities. ▼C1 3. Eggs must be delivered to the consumer within a maximum time limit of 21 days of laying. ## Chapter Ii: Egg Products I. Requirements For Establishments Food business operators must ensure that establishments for the manufacture of egg products are constructed, laid out and equipped so as to ensure separation of the following operations: 1. washing, drying and disinfecting dirty eggs, where carried out; 2. breaking eggs, collecting their contents and removing parts of shells and membranes; and 3. operations other than those referred to in points 1 and 2. ## Ii. Raw Materials For The Manufacture Of Egg Products Food business operators must ensure that raw materials used to manufacture egg products comply with the following requirements. ▼M6 1. The shells of eggs used in the manufacture of egg products must be fully developed and contain no breaks. However, cracked eggs may be used for the manufacture of liquid egg or egg products if the estab lishment of production or a packing centre delivers them directly to an establishment approved for the manufacture of liquid egg or a processing establishment, where they must be broken as soon as possible. ▼C1 2. Liquid egg obtained in an establishment approved for that purpose may be used as raw material. Liquid egg must be obtained in accordance with the requirements of points 1, 2, 3, 4 and 7 of Part III. ## ▼C1 Iii. Special Hygiene Requirements For The Manufacture Of Egg Products Food business operators must ensure that all operations are carried out in such a way as to avoid any contamination during production, handling and storage of egg products, in particular by ensuring compliance with the following requirements. 1. Eggs must not be broken unless they are clean and dry. 2. Eggs must be broken in a manner that minimises contamination, in particular by ensuring adequate separation from other operations. Cracked eggs must be processed as soon as possible. \| 3. \| Eggs other than those of hens, turkeys or guinea fowl must be handled \| \|--------------------------------------------------------------------------\|--------------------------------------------------------------------------\| \| and processed separately. All equipment must be cleaned and \| \| \| disinfected before processing of hens', turkeys' and guinea fowls' eggs \| \| \| is resumed. \| \| \| 4. \| Egg contents may not be obtained by the centrifuging or crushing of \| \| eggs, nor may centrifuging be used to obtain the remains of egg whites \| \| \| from empty shells for human consumption. \| \| \| \| \| \| ▼M1 \| \| \| \| \| \| 5. \| After breaking, each particle of the liquid egg must undergo processing \| \| as quickly as possible to eliminate microbiological hazards or to reduce \| \| \| them to an acceptable level. A batch that has been insufficiently \| \| \| processed may immediately undergo processing again in the same estab \| \| \| lishment if this processing renders it fit for human consumption. Where \| \| \| a batch is found to be unfit for human consumption, it must be \| \| \| denatured to ensure that it is not used for human consumption. \| \| \| \| \| \| ▼C1 \| \| \| \| \| \| 6. \| Processing is not required for egg white intended for the manufacture of \| \| dried or crystallised albumin destined subsequently to undergo heat \| \| \| treatment. \| \| \| 7. \| If processing is not carried out immediately after breaking, liquid egg \| \| must be stored either frozen or at a temperature of not more than 4 °C. \| \| \| The storage period before processing at 4 °C must not exceed 48 hours. \| \| \| However, these requirements do not apply to products to be de-sugared, \| \| \| if de-sugaring process is performed as soon as possible. \| \| 8. Products that have not been stabilised so as to be kept at room temperature must be cooled to not more than 4 °C. Products for freezing must be frozen immediately after processing. ## Iv. Analytical Specifications 1. The concentration of 3-OH-butyric acid must not exceed 10 mg/kg in the dry matter of the unmodified egg product. 2. The lactic acid content of raw material used to manufacture egg products must not exceed 1 g/kg of dry matter. However, for fermented products, this value must be the one recorded before the fermentation process. 3. The quantity of eggshell remains, egg membranes and any other particles in the processed egg product must not exceed 100 mg/kg of egg product. ## ▼C1 V. Labelling And Identification Marking 1. In addition to the general requirements for identification marking laid down in Annex II, Section I, consignments of egg products, destined not for retail but for use as an ingredient in the manufacture of another product, must have a label giving the temperature at which the egg products must be maintained and the period during which conservation may thus be assured. ▼M1 2. In the case of liquid egg, the label referred to in point 1 must also bear the words: 'non-pasteurised liquid egg - to be treated at place of destination' and indicate the date and hour of breaking. ## ▼C1 Section Xi: Frogs' Legs And Snails Food business operators preparing frogs' legs or snails for human consumption must ensure compliance with the following requirements. 1. Frogs and snails must be killed in an establishment constructed, laid out and equipped for that purpose. 2. Establishment in which frogs' legs are prepared must have a room reserved for the storage and washing of live frogs, and for their slaughter and bleeding. This room must be physically separate from the preparation room. 3. Frogs and snails that die otherwise than by being killed in the establishment must not be prepared for human consumption. 4. Frogs and snails must be subjected to an organoleptic examination carried out by sampling. If that examination indicates that they might present a hazard, they must not be used for human consumption. 5. Immediately following preparation, frogs' legs must be washed fully with running potable water and immediately chilled to a temperature approaching that of melting ice, frozen or processed. 6. After killing, snails' hepato-pancreas must, if it might present a hazard, be removed and not be used for human consumption. ## Section Xii: Rendered Animal Fats And Greaves Chapter I: Requirements Applicable To Establishments Collecting Or Processing Raw Materials Food business operators must ensure that establishments collecting or processing raw materials for the production of rendered animal fats and greaves comply with the following requirements. 1. Centres for the collection of raw materials and further transport to processing establishments must be equipped with facilities for the storage of raw materials at a temperature of not more than 7 °C. 2. Each processing establishment must have: (a) refrigeration facilities; (b) a dispatch room, unless the establishment dispatches rendered animal fat only in tankers; and (c) if appropriate, suitable equipment for the preparation of products consisting of rendered animal fats mixed with other foodstuffs and/or seasonings. 3. However, the refrigeration facilities required under points 1 and 2(a) are not necessary if the arrangements for the supply of raw materials ensure that they are never stored or transported without active refrigeration otherwise than as provided for in Chapter II, point 1(d). ## Chapter Ii: Hygiene Requirements For The Preparation Of Rendered Animal Fat And Greaves Food business operators preparing rendered animal fats and greaves must ensure compliance with the following requirements. 1. Raw materials must: (a) derive from animals which have been slaughtered in a slaughterhouse, and which have been found fit for human consumption following antemortem and post-mortem inspection; (b) consist of adipose tissues or bones, which are reasonably free from blood and impurities; (c) come from establishments registered or approved pursuant to Regulation (EC) No 852/2003 or in accordance with this Regulation; and (d) be transported, and stored until rendering, in hygienic conditions and at an internal temperature of not more than 7 °C. However, raw materials may be stored and transported without active refrigeration if rendered within 12 hours after the day on which they were obtained. 2. During rendering the use of solvents is prohibited. 3. When the fat for refining meets the standards laid down in point 4, rendered animal fat prepared in accordance with points 1 and 2 may be refined in the same establishment or in another establishment with a view to improving its physico-chemical quality. 4. Rendered animal fat, depending on type, must meet the following standards: \| Ruminants \| Porcine animals \| Other animal fat \| \| \|----------------------\|--------------------\|--------------------\|----------\| \| Edible tallow \| \| \| \| \| Tallow for \| \| \| \| \| refining \| \| \| \| \| Edible fat \| \| \| \| \| Lard and \| \| \| \| \| other fat \| \| \| \| \| for refining \| \| \| \| \| Edible \| \| \| \| \| For \| \| \| \| \| refining \| \| \| \| \| Premier \| \| \| \| \| jus ( \| \| \| \| \| \| \| \| \| \| 1 \| \| \| \| \| \| \| \| \| \| ) \| \| \| \| \| Other \| Lard ( \| \| \| \| \| \| \| \| \| 2 \| \| \| \| \| \| \| \| \| \| ) \| \| \| \| \| Other \| \| \| \| \| \| \| \| \| \| FFA (m/m % oleic \| \| \| \| \| acid) maximum \| \| \| \| \| 0,75 \| 1,25 \| 3,0 \| 0,75 \| \| Peroxide maximum \| 4 meq/kg \| 4 meq/kg \| 6 meq/kg \| \| Total \| insoluble \| \| \| \| impurities \| \| \| \| \| Maximum 0,15 % \| Maximum 0,5 % \| \| \| \| Odour, taste, colour \| Normal \| \| \| \| \| \| \| \| ( 1 ) Rendered animal fat obtained by low-temperature rendering of fresh fat from the heart, caul, kidneys and mesentery of bovine animals, and fat from cutting rooms. ( 2 ) Rendered animal fat obtained from the adipose tissues of porcine animals. 5. Greaves intended for human consumption must be stored in accordance with the following temperature requirements. (a) When greaves are rendered at a temperature of not more than 70 °C, they must be stored: (i) at a temperature of not more than 7 °C for a period not exceeding 24 hours; or (ii) at a temperature of not more than –18 °C. (b) When greaves are rendered at a temperature of more than 70 °C and have a moisture content of 10 % (m/m) or more, they must be stored: (i) at a temperature of not more than 7 °C for a period not exceeding 48 hours or a time/temperature ratio giving an equivalent guarantee; or (ii) at a temperature of not more than –18 °C. (c) When greaves are rendered at a temperature of more than 70 °C and have a moisture content of less than 10 % (m/m), there are no specific requirements. ## Section Xiii: Treated Stomachs, Bladders And Intestines Food business operators treating stomachs, bladders and intestines must ensure compliance with the following requirements. 1. Animal intestines, bladders and stomachs may be placed on the market only if: (a) they derive from animals which have been slaughtered in a slaughter house, and which have been found fit for human consumption following ante-mortem and post-mortem inspection; (b) they are salted, heated or dried; and (c) after the treatment referred to in (b), effective measures are taken to prevent re-contamination. 2. Treated stomachs, bladders and intestines that cannot be kept at ambient temperature must be stored chilled using facilities intended for that purpose until their dispatch. In particular, products that are not salted or dried must be kept at a temperature of not more than 3 °C. ## Section Xiv: Gelatine 1. Food business operators manufacturing gelatine must ensure compliance with the requirements of this section. 2. For the purpose of this section, 'tanning' means the hardening of hides, using vegetable tanning agents, chromium salts or other substances such as aluminium salts, ferric salts, silicic salts, aldehydes and quinones, or other synthetic hardening agents. ## Chapter I: Requirements For Raw Materials 1. For the production of gelatine intended for use in food, the following raw materials may be used: ▼M9 (a) bones, other than specified risk materials as defined in Article 3(1)(g) of Regulation (EC) No 999/2001 of the European Parliament and of the Council ( 1 ); ▼C1 (b) hides and skins of farmed ruminant animals; (c) pig skins; (d) poultry skin; (e) tendons and sinews; (f) wild game hides and skins; and (g) fish skin and bones. 2. The use of hides and skins is prohibited if they have undergone any tanning process, regardless of whether this process was completed. 3. Raw materials listed in point 1(a) to (e) must derive from animals which have been slaughtered in a slaughterhouse and whose carcases have been found fit for human consumption following ante-mortem and post-mortem inspection or, in the case of hides and skins from wild game, found fit for human consumption. ▼M18 4. (a) Raw materials that have not undergone any preserving treatment other than chilling, freezing or quick-freezing must come from establishments registered or approved pursuant to Regulation (EC) No 852/2004 or in accordance with this Regulation, (b) The following treated raw materials may be used: (i) bones other than specified risk material as defined in Article 3(1)(g) of Regulation (EC) No 999/2001 coming from establishments under the control of and listed by the competent authority, and that have been subjected to one of the following treatments: - crushed to pieces of approximately 15 mm and degreased with hot water at a temperature of minimum 70 °C for at least 30 minutes, minimum 80 C for at least 15 minutes, or minimum 90 °C for at least 10 minutes, and then separated and subsequently washed and dried for at least 20 minutes in a stream of hot air with an initial temperature of minimum 350 °C, or for 15 minutes in a stream of hot air with an initial temperature of more than 700 °C, - sun-dried for a minimum of 42 days at an average temperature of at least 20 °C, - acid treatment such that the pH is maintained at less than 6 to the core for at least 1 hour before drying; (ii) hides and skins of farmed ruminant animals, pig skins, poultry skins and wild game hides and skins coming from establishments under the control of and listed by the competent authority, and that have been subjected to one of the following treatments: - treatment with alkali to establish a pH > 12 to the core followed by salting for at least 7 days, - drying for at least 42 days at a temperature of at least 20 °C, - acid treatment such that the pH is maintained at less than 5 to the core for a minimum of 1 hour, - alkali treatment throughout at a pH > 12 for at least 8 hours; (iii) bones other than specified risk material defined in Article 3(1)(g) of Regulation (EC) No 999/2001, hides and skins of farmed ruminant animals, pig skins, poultry skins, fish hides and wild game hides and skins that have undergone any other treatment than those specified in point (i) or (ii) and that come from establishments registered or approved pursuant to Regulation (EC) No 852/2004 or in accordance with this Regulation. For the purposes of the first 2 indents of point (b)(ii), the duration of the treatments may include the time of transportation. The treated raw materials referred to in points (b)(i) and (b)(ii) must be derived from: - domestic and farmed ruminant animals, pigs and poultry which have been slaughtered in a slaughterhouse and the carcasses of which have been found fit for human consumption following ante- and post-mortem inspection, or - from killed wild game whose carcasses have been found fit for human consumption following post-mortem inspection. ▼C1 5. Collection centres and tanneries may also supply raw material for the production of gelatine intended for human consumption if the competent authority specifically authorises them for this purpose and they fulfil the following requirements. (a) They must have storage rooms with hard floors and smooth walls that are easy to clean and disinfect and, where appropriate, provided with refrigeration facilities. (b) The storage rooms must be kept in a satisfactory state of cleanliness and repair, so that they do not constitute a source of contamination for the raw materials. (c) If raw material not in conformity with this chapter is stored and/or processed in these premises, it must be segregated from raw material in conformity with this chapter throughout the period of receipt, storage, processing and dispatch. ## Chapter Ii: Transport And Storage Of Raw Materials 1. In place of the identification mark provided for in Annex II, Section I, a document indicating the establishment of origin and containing the information set out in the Appendix to this Annex must accompany raw materials during transport, when delivered to a collection centre or tannery and when delivered to the gelatine-processing establishment. 2. Raw materials must be transported and stored chilled or frozen unless they are processed within 24 hours after their departure. However, degreased and dried bones or ossein, salted, dried and limed hides, and hides and skins treated with alkali or acid may be transported and stored at ambient temperature. ▼M18 3. After the veterinary checks provided for in Directive 97/78/EC, and without prejudice to the conditions laid down in Article 8(4) of that Directive, raw materials for the production of gelatine for human consumption, for which animal health certification is required, must be transported directly to the establishment at the place of destination. All precautions, including safe disposal of animal by-products, waste, unused or surplus material, shall be taken to avoid risks of spreading diseases to animals. ## ▼M5 Chapter Iii: Requirements For The Manufacture Of Gelatine 1. The production process for gelatine must ensure that: (a) all ruminant bone material derived from animals born, reared or slaughtered in countries or regions with a controlled or undetermined BSE risk in accordance with Community legislation is subjected to a process which ensures that all bone material is finely crushed and degreased with hot water and treated with dilute hydrochloric acid (at minimum concentration of 4 % and pH < 1,5) over a period of at least two days. This treatment is followed either by: - an alkaline treatment of saturated lime solution (pH > 12,5) for a period of at least 20 days with a heat treatment step of 138 °C minimum during at least four seconds, or - an acid treatment (pH < 3,5) during 10 hours minimum with a heat treatment step of 138 °C minimum during at least four seconds, or - a heat-and-pressure process for at least 20 minutes with saturated steam of 133 °C at more than 3 bars, or - any approved equivalent process; (b) other raw material is subjected to a treatment with acid or alkali, followed by one or more rinses. The pH must be adjusted subsequently. Gelatine must be extracted by heating one or more times in succession, followed by purification by means of filtration and heat treatment. 2. A food business operator may produce and store both gelatine intended for human consumption and gelatine not intended for human consumption in the same establishment provided that the raw materials and the production process comply with the requirements applying to gelatine intended for human consumption. ## ▼M18 Chapter Iv: Requirements For Finished Products Food business operators must ensure that gelatine complies with the residue limits set out in the following table. Residue Limit As 1 ppm Pb 5 ppm Cd 0,5 ppm Hg 0,15 ppm Cr 10 ppm Cu 30 ppm Zn 50 ppm SO 2 (European Pharmacopoeia, latest edition) 50 ppm H 2 O 2 (European Pharmacopoeia, latest edition) 10 ppm ## ▼M5 Chapter V: Labelling Wrapping and packaging containing gelatine must bear the words 'gelatine fit for human consumption' and must indicate the date of minimum durability. ## ▼C1 Section Xv: Collagen ▼M18 1. Food business operators manufacturing collagen must ensure compliance with the requirements of this section. Without prejudice to other provisions, products derived from collagen must be made from collagen which complies with the requirements of this section. ▼C1 2. For the purpose of this section, 'tanning' means the hardening of hides, using vegetable tanning agents, chromium salts or other substances such as aluminium salts, ferric salts, silicic salts, aldehydes and quinones, or other synthetic hardening agents. ## Chapter I: Requirements For Raw Materials ▼M9 1. For the production of collagen intended for use in food, the following raw materials may be used: (a) bones, other than specified risk materials as defined in Article 3(1)(g) of Regulation (EC) No 999/2001; (b) hides and skins of farmed ruminant animals; (c) pig skins; (d) poultry skin; (e) tendons and sinews; (f) wild game hides and skins; and (g) fish skin and bones. ▼C1 2. The use of hides and skins is prohibited if they have undergone any tanning process, regardless of whether this process was completed. 3. Raw materials listed in point 1(a) to (d) must derive from animals which have been slaughtered in a slaughterhouse and whose carcases have been found fit for human consumption following ante-and post-mortem inspection or, in the case of hides and skins from wild game, found fit for human consumption. ▼M18 4. (a) Raw materials that have not undergone any preserving treatment other than chilling, freezing or quick-freezing must come from establishments registered or approved pursuant to Regulation (EC) No 852/2004 or in accordance with this Regulation. (b) The following treated raw materials may be used: (i) bones other than specified risk material as defined in Article 3(1)(g) of Regulation (EC) No 999/2001 coming from establishments under the control of and listed by the competent authority, and that have been subjected to one of the following treatments: - crushed to pieces of approximately 15 mm and degreased with hot water at a temperature of minimum 70 °C for at least 30 minutes, minimum 80 °C for at least 15 minutes, or minimum 90 °C for at least 10 minutes, and then separated and subsequently washed and dried for at least 20 minutes in a stream of hot air with an initial temperature of minimum 350 °C, or for 15 minutes in a stream of hot air with an initial temperature of more than 700 °C, - sun-dried for a minimum of 42 days at an average temperature of at least 20 °C, - acid treatment such that the pH is maintained at less than 6 to the core for at least 1 hour before drying; (ii) hides and skins of farmed ruminant animals, pig skins, poultry skins and wild game hides and skins coming from establishments under the control of and listed by the competent authority, and that have been subjected to one of the following treatments: - treatment with alkali to establish a pH > 12 to the core followed by salting for at least 7 days, - drying for at least 42 days at a temperature of at least 20 °C, - acid treatment such that the pH is maintained at less than 5 to the core for a minimum of 1 hour, - alkali treatment throughout at a pH > 12 for at least 8 hours; (iii) bones other than specified risk material defined in Article 3(1)(g) of Regulation (EC) No 999/2001, hides and skins of farmed ruminant animals, pig skins, poultry skins, fish hides and wild game hides and skins that have undergone any other treatment than those specified in point (i) or (ii) and that come from establishments registered or approved pursuant to Regulation (EC) No 852/2004 or in accordance with this Regulation. For the purposes of the first 2 indents of point (b)(ii), the duration of the treatments may include the time of transportation. The treated raw materials referred to in point (b) must be derived from: - domestic and farmed ruminant animals, pigs and poultry which have been slaughtered in a slaughterhouse and the carcasses of which have been found fit for human consumption following ante- and post-mortem inspection, or - from killed wild game whose carcasses have been found fit for human consumption following post-mortem inspection. ▼C1 5. Collection centres and tanneries may also supply raw material for the production of collagen intended for human consumption if the competent authority specifically authorises them for this purpose and they fulfil the following requirements. (a) They must have storage rooms with hard floors and smooth walls that are easy to clean and disinfect and, where appropriate, provided with refrigeration facilities. (b) The storage rooms must be kept in a satisfactory state of cleanliness and repair, so that they do not constitute a source of contamination for the raw materials. (c) If raw material not in conformity with this chapter is stored and/or processed in these premises, it must be segregated from raw material in conformity with this chapter throughout the period of receipt, storage, processing and dispatch. ## Chapter Ii: Transport And Storage Of Raw Materials 1. In place of the identification mark provided for in Annex II, Section I, a document indicating the establishment of origin and containing the information set out in the Appendix to this Annex must accompany raw materials during transport, when delivered to a collection centre or tannery and when delivered to the collagen-processing establishment. 2. Raw materials must be transported and stored chilled or frozen unless they are processed within 24 hours after their departure. However, degreased and dried bones or ossein, salted, dried and limed hides, and hides and skins treated with alkali or acid may be transported and stored at ambient temperature. ▼M18 3. After the veterinary checks provided for in Directive 97/78/EC, and without prejudice to the conditions laid down in Article 8(4) of that Directive, raw materials for the production of collagen for human consumption, for which animal health certification is required, must be transported directly to the establishment at the place of destination. All precautions, including safe disposal of animal by-products, waste, unused or surplus material, shall be taken to avoid risks of spreading diseases to animals. ## ▼C1 Chapter Iii: Requirements For The Manufacture Of Collagen ▼M18 1. The Production Process For Collagen Must Ensure That: (a) all ruminant bone material derived from animals born, reared or slaughtered in countries or regions with a controlled or undetermined BSE risk as determined in accordance with Article 5 of Regulation (EC) No 999/2001 is subjected to a process which ensures that all bone material is finely crushed and degreased with hot water and treated with dilute hydrochloric acid (at a minimum concentration of 4 % and pH < 1,5) over a period of at least 2 days; this treatment must be followed by pH adjustment using acid or alkali followed by: (i) either one or more rinses and at least one of the following processes: - filtration, - milling, - extrusion, (ii) or any approved equivalent process; (b) raw materials other than that referred to in point (a) must be subjected to a treatment involving washing, pH adjustment using acid or alkali followed by: (i) either one or more rinses and at least one of the following processes: - filtration, - milling, - extrusion, (ii) or any approved equivalent process. ▼C1 2. After having been subjected to the process referred to in point 1, collagen may undergo a drying process. ▼M5 3. A food business operator may produce and store both collagen intended for human consumption and collagen not intended for human consumption in the same establishment provided that the raw materials and the production process comply with the requirements applying to collagen intended for human consumption. ## ▼M18 Chapter Iv: Requirements For Finished Products Food business operators must ensure that collagen complies with the residue limits set out in the following table. \| Residue \| Limit \| \|------------------------------------------\|----------\| \| \| \| \| As \| 1 ppm \| \| Pb \| 5 ppm \| \| Cd \| 0,5 ppm \| \| Hg \| 0,15 ppm \| \| Cr \| 10 ppm \| \| Cu \| 30 ppm \| \| Zn \| 50 ppm \| \| SO \| \| \| \| \| \| 2 \| \| \| \| \| \| (European Pharmacopoeia, latest edition) \| 50 ppm \| \| H \| \| \| \| \| \| 2 \| \| \| \| \| \| O \| \| \| \| \| \| 2 \| \| \| \| \| \| (European Pharmacopoeia, latest edition) \| 10 ppm \| \| \| \| ## ▼C1 Chapter V: Labelling Wrapping and packaging containing collagen must bear the words 'collagen fit for human consumption' and indicate the date of preparation. ▼M18 SECTION XVI: HIGHLY REFINED CHONDROITIN SULPHATE, HYALURONIC ACID, OTHER HYDROLYSED CARTILAGE PRODUCTS, CHITOSAN, GLUCOSAMINE, RENNET, ISINGLASS AND AMINO ACIDS 1. Food business operators manufacturing the following highly refined products of animal origin: (a) chondroitin sulphate, (b) hyaluronic acid, (c) other hydrolysed cartilage products, (d) chitosan, (e) glucosamine, (f) rennet, (g) isinglass, (h) amino acids that are authorised as food additives in accordance with Regulation (EC) No 1333/2008 of the European Parliament and of the Council ( 1 ), must ensure that the treatment of the raw materials used eliminates any animal or public health risk. 2. The raw materials used for the manufacturing of the highly refined products referred to in point 1 must derive from: (a) animals, including feathers thereof, which have been slaughtered in a slaughterhouse and whose carcasses have been found fit for human consumption following ante-mortem and post-mortem inspection, or; (b) fishery products complying with Section VIII. Human hair may not be used as a source for the manufacture of amino acids. ## Model Document To Accompany Raw Material Destined For The Production Of Gelatine Or Collagen Intended For Human Consumption Number of the commercial document: I. Identification of raw material Nature of the raw material: Animal species: Type of packaging: Number of packages: Net weight (kg): II. Origin of raw material Type, name, address and approval/registration/special authorisation number of the establishment of origin: Name and address of the consignor ( 1 ): III. Destination of raw material Type, name, address and approval/registration/special authorisation number of the production establishment of destination: Name and address of the consignee ( 2 ): IV. Means of transport: Done at , on (Signature of the operator of the establishment of origin or its representatives)	en
2961-pdf	Parliamentary briefing ## London Councils The Voice Of London Local Government Growth And Infrastructure Bill House Of Lords Report Stage - 12 March 2013 Overview London councils believe the Growth and Infrastructure Bill presents an opportunity for the government to remove the artificial housing borrowing cap, this would help tackle London's Housing Crisis, release funding for several London councils who are currently unable to build new homes and create jobs benefiting the wider economy. We urge you to support amendment 39 supported by Lord Shipley, Lord Tope, Lord Jenkin of Roding and Lord Best to remove the housing borrowing cap. Removing the housing borrowing cap We welcome steps the government has taken to promote local housing authority self-financing through the abolition of the housing revenue account subsidy system. We believe these reforms will ensure even stronger local asset management and generate significant efficiency savings. The housing borrowing cap limits the level of local authority housing debt this reduces local financial innovation and flexibility. This cap is over and above the Treasury's normal 'prudetial borrowing' rules that apply to most local authority borrowing. This artificial cap effectively halves the potential cash available for councils in London to invest in new homes. Aligning the housing borrowing cap with 'prudential borrowing' rules could allow local authorities to build an additional 54,000 extra affordable homes for Londoners. Councils inability to build new homes Removing the housing borrowing cap will allow local housing authorities to take evidence-based decisions regarding the level of debt appropriate to their individual financial circumstances. We believe the strong track record of local authorities demonstrates they will do this sustainably. Currently, the Royal Borough of Kensington and Chelsea, a triple AAA financially rated borough, have just £11 million borrowing headroom. With the cost of building in the borough, they are unable to build new home and are instead investing mainly in decent homes. Westminster, Kensington and Chelsea, and Hammersmith & Fulham councils have a housing port-folio worth £2.4 billion but are unable to use it to borrow as effectively as housing associations due to borrowing cap. They have drafted proposal for a pilot scheme in Westminster that would deliver 300 homes through an incremental investment of £53 million. The would deliver an annual surplus of £500,000 to the council's housing finances over 10 years, and an asset worth £64 million at the end of that period. The investment would engage 1,350 tenants and get 370 into work over five years, as well as creating 700 jobs in the construction industry. They are currently unable to carry out the pilot scheme due to the government's restrictions on housing borrowing. Where they can London Boroughs are building homes for their communities. Camden and Southwark are aiming to build 2000 homes by 2020. The capital's councils are ready and willing to build more new homes. London's Housing Crisis People living in London are already struggling to find affordable home to rent or buy. London already has one of the lowest levels of owner-occupations in the country and this is set to reduce as more people struggle to raise the substantial deposit required. Almost one in four households in London live in private rented accommodation. Rents in the capital already average more than half of an average London renters' salary. More than 360,000 London households are registered on London councils' housing waiting lists and more than 37,000 households in London are living in emergency temporary housing at a cost of £408 million a year. This problem is only set to get worse as the population grows at least 40,000 homes need to be built each year to keep up with demand. Yet in 2010/11 there were just 19,860 new homes built in the capital, in first half 2012/13 there were just 5,520 affordable homes built. The housing supply deficit is an entrenched problem that will require substantial and sustained investment to address over the long term. Allowing councils the scope to borrow against their existing housing assets to build some of the homes London needs will be a vital part of the long term solution to fixing the capital's housing infrastructure. Economic benefits Removing the housing borrowing cap not only will this help tackle London's housing crisis, but would have benefits for the wider economy. Every £1 invested in housing infrastructure generates £2.60 in additional spending in the supply chain. From London Councils analysis an additional £1.6 billion investment in housing infrastructure would create 19,200 jobs, many in the construction industry that has been hit hard by the recession. A report by three London Boroughs found that 'Incremental house building activity supports the economy, creating at least 2.3 new jobs for every additional home built, at a time when those jobs are most needed.' Conclusion There already exist sufficiently robust mechanisms for controlling local authority borrowing. To single out housing for this form of government control limits the ability of local authorities to respond to the needs of their communities, hampers badly needed investment in new housing and potentially undermines the spirit and operation of the Prudential Code. We urge you to support amendment 39 to remove the housing borrowing cap. ## Contact Ruby Peacock, Public Affairs Officer at ruby.peacock@londoncouncils.gov.uk or on 020 7934 9715 or Dominic Curran at dominic.curran@londoncouncils.gov.uk 020 7934 9508 London Councils represents all 32 London boroughs and the City of London. The Mayor's Office for Policing and Crime and the London Fire and Emergency Planning Authority are also in membership	en
0071-pdf	# Home Office Statistical Bulletin This release has been prepared by staff in Home Office Statistics under the National Statistics Code of Practice and can be downloaded from both the UK Statistics Authority website and the Home Office pages # Seizures Of Drugs In England And Wales, 2012/13 of the GOV.UK website: http://www.statistics.gov.uk https://www.gov.uk/government/organisa tions/home-office/about/statistics. Kathryn Coleman © Crown Copyright 2013 31 October 2013 HOSB: 04/13 You may re-use this information (not including logos) free of charge in any format or medium, under the terms of the Open Government Licence. To view this licence, visit http://www.nationalarchives.gov.uk/doc/o pen-government-licence/ or write to the Information Policy Team, The National Archives, Kew, London, TW9 4DU or e-mail: psi@nationalarchives.gsi.gov ISSN 1759-7005 ISBN 978-1-78246-258-3 ## Acknowledgements This bulletin has been prepared by Kathryn Coleman in the Home Office Statistics Unit in Home Office Science, from data supplied by police forces and Border Force. The author is grateful for the support and assistance of colleagues in the Home Office Statistics Unit, and would like to thank statistical staff in the police forces of England and Wales and Border Force's Performance Team for providing data relating to seizures. ## Further Information Copies of other Home Office publications are available from the GOV.UK website: https://www.gov.uk/government/organisations/home-office/about/statistics. The dates of forthcoming publications are pre-announced and can be found via the UK National Statistics Publication Hub: http://www.statistics.gov.uk/hub/index.html. For further information about the statistics in this publication, please email policestats@homeoffice.gsi.gov.uk or write to: Home Office Statistics, 5th Floor, Peel Building, 2 Marsham Street, London, SW1P 4DF. Home Office Responsible Statistician David Blunt, Chief Statistician and Head of Profession for Statistics Contact via crimestats@homeoffice.gsi.gov.uk. This statistical bulletin is a National Statistics output produced to the highest professional standards and free from political interference. It has been produced by statisticians working in the Home Office Statistics Unit in accordance with the Home Office's Statement of Compliance with the Code of Practice for Official Statistics, which covers Home Office policy on revisions and other matters. The governance arrangements in the Home Office for statistics were strengthened on 1 April 2008 to place the statistical teams under the direct line management of a Chief Statistician, who reports to the National Statistician with respect to all professional statistical matters. \| \| Page \| \|------------\|-------------------------------------------\| \| Contents 3 \| \| \| Summary \| \| \| 5 \| \| \| \| \| \| 1 \| Introduction \| \| 7 \| \| \| \| \| \| 2 \| Number of seizures \| \| \| 8 \| \| \| \| \| 3 \| Quantity of drugs seized \| \| \| 11 \| \| \| \| \| 4 \| Seizures by authority \| \| \| 13 \| \| 5 \| Data quality and interpreting the figures \| \| \| 16 \| \| 6 \| Revisions analysis \| \| \| 16 \| \| 7 \| Other data sources \| \| 17 \| \| \| \| \| ## Summary This statistical release presents figures for drug seizures made in 2012/13 in England and Wales by police (including the British Transport Police) and Border Force. The data relate to all drugs controlled under the Misuse of Drugs Act 1971 (MDA), which divides drugs into three categories - classes A, B and C - according to their harmfulness, with class A drugs considered to be the most harmful. Two police forces reported having difficulty in providing seizure figures to the Home Office for 2012/13. Hampshire Constabulary was unable to provide any data; Surrey Police could provide data for only the first half of the financial year. Unless otherwise specified, all data for 2011/12 and 2012/13 in this release exclude these 2 police forces.  Excluding the 2 police forces for which full data were not available, there were 193,980 drug seizures in England and Wales in 2012/13, an 8% decrease from 2011/12.  Class A seizures decreased by 3% between 2011/12 and 2012/13, to 31,430. Class B seizures fell by 9% to 160,292, while class C seizures fell by 12% to 5,859.  Cocaine was again the most commonly seized class A drug, though there was a 5% decrease in the number of seizures between 2011/12 and 2012/13, to 16,075. The second highest seized class A drug was heroin with 8,266 seizures, a 7% decrease from 2011/12.  The majority of class B seizures were for cannabis. The 151,843 seizures in 2012/13 compared to 169,192 during the previous year, a 10% decrease. There were decreases in each of the 3 forms of cannabis reported on, with the number of herbal, plant and resin seizures down by 7%, 10% and 42% respectively.  The most commonly seized class C drug in 2012/13 was benzodiazepine with 2,027 seizures, which was 23% lower than the previous year's 2,624 seizures.  Seizures of 'other class C' drugs decreased by 17%, from 1,965 in 2011/12 to 1,640 in 2012/13.  There were 3.0 tonnes of cocaine seized in England and Wales in 2012/13, compared with 3.5 tonnes in 2011/12 (down 12%).  Seizures of heroin amounted to 0.8 tonne in England and Wales in 2012/13, down 59% on the 1.8 tonnes seized in 2011/12 which had been largely due to the increase in seizures weighing 100 kg or more by Border Force.  There was a 43% decrease in the combined amount of cannabis resin and herbal cannabis seized between 2011/12 (41.7 tonnes) and 2012/13 (23.6 tonnes). In addition, there was a 19% decrease in the amount of cannabis plants seized over the same period (from 623,486 to 507,401 plants).  Approximately 1.5 million doses of anabolic steroids (up 42%), 1.4 tonnes of amphetamines (up 30%) and 244 kg of ketamine (up 204%) were seized. ## 1 Introduction This publication presents figures for drug seizures made in 2012/13 in England and Wales by the police (including the British Transport Police) and Border Force. Although Border Force will have made seizures outside England and Wales (e.g. Scotland, Northern Ireland), such seizures are excluded from figures presented in this publication. The presented figures are correct at time of publication and may include revisions submitted by police forces for the years covered by, and received since the publication of, 'Seizures of drugs in England and Wales, 2011/12'. Two police forces reported having difficulty in providing seizure figures to the Home Office for 2012/13. Hampshire Constabulary was unable to provide any data; Surrey Police could provide data for only the first half of the financial year. Unless otherwise specified, headline figures for 2011/12 and 2012/13, and percentage comparisons between these years, in this statistical release exclude data from Hampshire and Surrey. Data on the number of seizures and quantity of drugs seized can be found in the accompanying Excel and ODS workbooks. Police force level tables show available data from Hampshire (for 2011/12) and Surrey (2011/12 and first half of 2012/13), but their figures are excluded from region, country and overall totals. ## Substances Covered By This Release The statistics relate to all drugs controlled under the Misuse of Drugs Act 1971 (MDA), which divides drugs into three categories - classes A, B and C - according to their harmfulness, with class A drugs considered to be the most harmful. However, it is not feasible to publish seizure statistics in detail for every drug covered by the MDA. While all drugs are included in the totals, only those shown below are covered in detail within this bulletin.1 ## Drugs And Their Classifications Under The Misuse Of Drugs Act 1971 Class A Class B Class C Cocaine LSD Amphetaminesa Anabolic steroids Crack Methadone Barbituratesa Benzodiazepines Ecstasy Morphine Cannabisb GHB Heroin Ketamine Temazepam a. Amphetamines and barbiturates are class A drugs if prepared for injection. b. Cannabis was reclassified from a class B to a class C drug in January 2004, and then classified back as a class B drug on 26 January 2009. Phenazepam and pipradrol-related compounds - including desoxypipradrol (2-DPMP), diphenylmethtlpyrrolidine and diphenylprolinol (D2PM) - became controlled drugs in mid-June 2012. While seizures of these particular substances can be individually recorded on the statistical return that police forces submit to the Home Office, they are grouped as 'other class B' and 'other class C' drugs respectively for the purposes of this bulletin. As with previous years, Border Force has been unable to separately identify some of the drugs included in the above table from their recording system. This has resulted in Border Force seizures of methadone being included within the 'other class A' grouping, barbiturates within 'other class B', and benzodiazepines and temazepam within 'other class C'. ## 2 Number Of Seizures The numbers of seizures made are affected by police activity and changes in recording practices. Therefore, the number of drug seizures each year should not be taken as a measure of drug prevalence in England and Wales. This is addressed in the Drug Misuse publications, based on results from the Crime Survey for England and Wales (formerly the British Crime Survey).2  The number of drug seizures more than doubled between 2004 and 2008/09, to a peak of 241,473 seizures, before falling in each of the next 2 years.  Two police forces reported having difficulty in providing seizure figures to the Home Office for 2012/13. Hampshire Constabulary was unable to provide any data; Surrey Police could provide data for only the first half of the financial year. More information is included in the chapter on data quality and interpreting the figures.  Using all available data for England and Wales from police forces and Border Force shows an 11% decrease in the number of seizures in 2012/13 compared to 2011/12. However, this is not a valid comparison owing to the lack of data from Hampshire and Surrey in 2012/13. The total number for England and Wales excluding seizures by these two forces was 193,980 in 2012/13 compared to 211,165 in 2011/12, a decrease of 8%. Source: Home Office, Summary Table 1. Class A drugs Substances considered to be the most harmful are categorised as class A under the MDA. Between 2004 and 2011/12, approximately one-fifth of seizures involved at least 1 class A drug. Data for all forces in England and Wales show that seizures involving class A drugs rose for 3 consecutive years from 2004 (from 30,903 to 48,054 in 2007/08), before decreasing in each of the next 4 years (to 33,641 in 2011/12). Excluding data from Hampshire and Surrey, the number of class A seizures fell by 3% between 2011/12 and 2012/13, to 31,430.  Cocaine was again the most commonly seized class A drug in 2012/13 (16,075 seizures), down 5% on 2011/12. Cocaine seizures rose sharply between 2003 and 2008/09 and, despite the decline in recent years and notwithstanding the lack of data from 2 forces in 2012/13, the number of seizures this year was more than double the 7,251 made in 2003.  Seizures of heroin fell by 7% between 2011/12 and 2012/13, to 8,266.  Crack seizures decreased by 8%, to 4,477 in 2012/13.  Ecstasy seizures rose by 2% in 2012/13, to 3,020.  There were also 813 seizures of methadone (down 4%), 63 seizures of LSD (down 26%) and 124 seizures of morphine (up 14%). * Two figures for 2011/12 are presented. The unbroken line includes Hampshire and Surrey so that comparisons can be made with earlier years. The dashed line excludes these 2 forces so that a comparison can be made with 2012/13. Source: Home Office, Summary Table 1. Class B drugs There were 160,292 seizures of class B drugs in 2012/13, a 9% decrease from 2011/12.  As in previous years, the majority of class B seizures were for cannabis. At 151,843, there were 10% fewer cannabis seizures in 2012/13 than the previous year. This included decreases in each of the 3 types of cannabis recorded, with the number of herbal, plant and resin seizures down by 7%, 10% and 42% respectively.  The second highest number of seizures for a class B drug was for amphetamines with 5,748 in 2012/13, down from 6,594 in 2011/12.  In addition, the number of 'other class B' drugs in 2012/13 (4,758 seizures) was 54% higher than in 2011/12 (3,098 seizures) and almost 13 times more than the 377 seized in 2009/10. For police seizures this increase is largely due to mephedrone and other cathinone derivatives becoming controlled drugs in April 2010. Source: Home Office, Summary Table 1. ## Class C Drugs In 2012/13 there were 5,859 seizures involving class C drugs, a 12% decrease on 2011/12.  As in previous years, the most commonly seized class C drugs in 2012/13 were benzodiazepines, though the 2,027 seizures were 23% fewer than the previous year. The 139 seizures of temazepam in 2012/13 compared to 223 seizures in 2011/12 (down 38%). It should be noted that these figures relate only to police seizures, since Border Force seizures of benzodiazepines and temazepam cannot be separately identified from their recording system; for Border Force, both substances are instead included within the 'other class C' total.  The 1,401 ketamine seizures in 2012/13 represented a 2% decrease on the 1,430 made in 2011/12.  Seizures of anabolic steroids increased by 20%, from 694 in 2011/12 to 836 in 2012/13.  The number of 'other class C' drugs fell by 17%, from 1,965 in 2011/12 to 1,640 in 2012/13. ## Unknown Substances Recorded seizures of 'unknown' substances have increased year on year, from 42 seizures in 2004 to 4,946 in 2012/13. This is most likely to be due to police forces not updating statistical returns on the receipt of forensic test results, while changes to police forces' forensic analysis arrangements after the closure of the Forensic Science Service may also have had an impact. ## 3 Quantity Of Drugs Seized Quantities data fluctuate from year to year and do not necessarily move in line with the number of seizures made. Whilst most drug seizures consist of relatively small quantities, annual totals of drugs seized can be greatly influenced by a small number of large seizures. As with the number of drug seizures, any large quantity of seizures should not be taken as an indication of drug prevalence or availability. The quantities of drugs seized are summarised in terms of tonnes (for larger quantities), kilograms, doses or plants (for cannabis plants only). Most drugs can plausibly be seized in a preparation form other than kilograms or doses. Therefore, in order to present all seized quantities within a given drug type in terms of one comparable unit (either kilograms or doses), conversion factors are applied to estimate the overall quantity of drugs seized. As the basis for conversion factors has changed, seizure quantities for the years up to and including 2004 are not directly comparable with those for later years. Additionally, in order to make valid comparisons of amounts seized between 2011/12 and 2012/13, figures for these 2 years in Summary Table 2 exclude seizures made by Hampshire Constabulary and Surrey Police. See the User Guide for more information. ## Class A Drugs  In 2012/13, there were 3.0 tonnes of cocaine seized, down 12% on 2011/12 (3.5 tonnes). Sixtythree per cent of the 16,075 cocaine seizures in 2012/13 were of quantities of less than 1 gram, with a further 34% between 1 and 500 grams.  Police and Border Force seized 0.8 tonne of heroin in 2012/13, down 59% on the previous year (1.8 tonnes). Sixty-five per cent of the 8,266 seizures of heroin in 2012/13 were under 1 gram and a further 33% were between 1 and 500 grams.  Crack seizures in 2012/13 totalled 41 kg, compared with 34 kg in 2011/12. Just 0.2% of the 4,477 seizures made in 2012/13 consisted of amounts over 500 grams.  Also in 2012/13, approximately 434,000 doses of ecstasy (down 34% on 2011/12) and 101,500 doses of methadone (up 23% on 2011/12) were seized. In addition, approximately 23,000 doses of LSD were seized in 2012/13 compared with 4,000 doses the year before.  The majority of unweighed class A drug seizures in 2012/13 were for ecstasy with 3,020 seizures; 91% of these seizures were between 1 and 50 doses. There was also a high proportion of seizures consisting of between 1 and 50 doses for LSD (89%), while the proportion of morphine and methadone seizures consisting of between 1 and 50 doses stood at 79% and 69% respectively. 2012/13. Source: Home Office, Summary Table 2. Class B drugs  A combined total of 23.6 tonnes of herbal cannabis and cannabis resin was seized in 2012/13, compared to 41.7 tonnes in 2011/12 (down 43%). There was a 19% decrease in the number of cannabis plants seized in 2012/13 (507,401) compared to the previous year (623,486).  Of the 133,203 seizures of herbal cannabis, just over a quarter weighed under 1 gram (35,595 seizures, or 27%), while almost three-quarters weighed between 1 and 500 grams (96,314 seizures, or 72%). Eleven seizures weighed 100 kg or over. On average, each herbal cannabis seizure weighed 92 grams.  There were 8,161 seizures of cannabis resin, 8,019 (98%) of which weighed less than 500 grams.  Eighty-nine per cent of cannabis plant seizures involved 50 or fewer plants.  There was a 30% increase in the quantity of amphetamines seized in 2012/13 compared to the year before (1.4 tonnes compared to 1.1 tonnes in 2011/12); 97% of amphetamine seizures weighed between 0 and 500 grams. ## Class C Drugs  The quantity of anabolic steroids seized increased by 42%, from 1.0 million doses in 2011/12 to 1.5 million doses in 2012/13.  There was also an increase in the quantity of benzodiazepine seized (from 401,910 doses in 2011/12 to 501,031 doses in 2012/13, up 25%).  There was a three-fold increase in the quantity of ketamine seized, from 80 kg in 2011/12 to 244 kg in 2012/13. ## 4 Seizures By Authority Seizures from joint operations involving Border Force and the police are recorded against the lead agency that takes possession of the seized drugs. ## Number Of Seizures  In 2012/13, 188,285 or 97% of seizures were made by police forces with the remaining 5,695 or 3% made by Border Force. The number of seizures made by the police fell by 9% compared to 2011/12, while those made by Border Force rose by 59%.  For police forces, seizures of class A, class B and class C substances fell by 6%, 10% and 19% respectively.  For Border Force, seizures of class A, class B and class C substances rose by 85%, 56% and 30% respectively.  Police forces accounted for 94% of all seizures of class A drugs and 98% of all seizures of class B drugs. There was a lesser proportion for class C drugs, with police forces responsible for 81% of seizures.  Within the class A drugs seized, the police were responsible for almost all seizures of crack (100%), heroin (98%), cocaine (95%), morphine (95%), ecstasy (94%) and LSD (92%). Seizures of 'other class A' substances by Border Force increased by 345% and was mainly due to big increases in the number of times methamphetamine (up approximately 400%) and psilocin (up approximately 1,000%) were seized compared to 2011/12.3  For class B drugs, approximately 98% of both cannabis and amphetamine seizures were conducted by the police. All except one of the cannabis plant seizures were made by the police.  Of drugs in class C, all seizures of GHB in 2012/13 were conducted by the police. Border Force was responsible for 34% of anabolic steroid seizures and 13% of ketamine seizures.  It is not possible to calculate the proportion of methadone, barbiturates, benzodiazepines and temazepam seizures made by the police and Border Force for 2012/13 since the latter is unable to separately identify these drugs on its recording system. ## Number Of Seizures By Region Proportions of the number of drug seizures for Border Force and police force regions varied little from 2011/12 to 2012/13. At 26%, the largest proportion of drug seizures in 2012/13 took place in London, the most heavily populated region in England and Wales. Outside of London, and despite the lack of data from Hampshire Constabulary and Surrey Police, the largest proportion of seizures for regional police forces took place in the South East (10%); at 4%, the North East had the smallest proportion. Border Force and British Transport Police accounted for 3% and 2% of seizures in England and Wales. Their data cannot be broken down by region. The proportion of seizures made by Border Force has fluctuated only slightly since 2003, between 2% and 4%. Of the police force regions, and notwithstanding the fluctuations seen in intervening years, the proportion of seizures in the North West in 2012/13 was 6 percentage points lower than in 2003, while London saw an 8 percentage point increase over the same period. ## Quantity Of Seizures Although Border Force accounted for only 3% of seizures in 2012/13, the proportion they seized in terms of quantity was much higher. This is due to the fact that the agency is often involved in high profile operations where large quantities of drugs are seized, for example at airports or ferry ports. Source: Home Office, Summary Table 5.  In 2012/13, Border Force seized 80% of cocaine by quantity (85% in 2011/12), 59% of heroin (88% in 2011/12), 69% of ecstasy (77% in 2011/12) and 86% of LSD (13% in 2011/12), while police seized 83% of crack (88% in 2011/12).  Police seized 616 kg of cocaine in 2012/13, which was 18% higher than the amount seized in 2011/12 (522 kg). In contrast, Border Force seized 18% less cocaine in 2012/13 (2,415 kg) than in 2011/12 (2,933 kg). That Border Force's quantity figures are affected by high profile operations is demonstrated by a single cocaine seizure weighing approximately 1,200 kg in June 2011 aboard a pleasure cruiser at the port of Southampton, which was included within its 2011/12 quantity figures.  The 305 kg of heroin seized by police in 2012/13 was 37% higher than the amount seized in 2011/12 (223 kg), while Border Force seized 73% less heroin in 2012/13 (445 kg) than in 2011/12 (1,623 kg). The higher amount of heroin seized by Border Force in 2011/12 was largely due to 4 seizures weighing 100 kg or more.  One seizure weighing 1 kg was responsible for the increase in LSD seized by Border Force in 2012/13 (approximately 20,000 doses) compared to the year before (500 doses).  Border Force seized 59% of amphetamines in 2012/13 compared to 51% in the year before.  Almost 100% of cannabis plant seizures were made by police forces in 2012/13 (507,396 plants); the one seizure made by Border Force consisted of 5 plants. Border Force accounted for 15.7 tonnes (66%) of the herbal and resin cannabis seized compared to the police's 8.1 tonnes (34%).  Within class C drugs, Border Force seized 95% of anabolic steroids (89% in 2011/12) and 91% of ketamine (85% in 2011/12). One kilogram of GHB was seized in 2012/13, all by the police.  As with the number of drugs seized in 2011/12, the quantity of methadone, barbiturates, benzodiazepines and temazepam seized by Border Force could not be separately identified from its recording system. Source: Home Office, Summary Table 3.  Approximately the same proportion of police and Border Force seizures of the main class A and class B drugs (60% and 64% respectively) fell within the 1 to 500 g or 51 to 100 doses/plants groupings.  A further 39% of police seizures weighed less than 1 g or consisted of between 1 to 50 doses or plants, while only 4% of seizures made by Border Force fell within these groupings.  In contrast, 23% of Border Force seizures weighed more than 1 kg, compared to less than 1% of police seizures. ## 5 Data Quality And Interpreting The Figures Seizures from joint operations involving Border Force and the police are recorded against the lead agency that takes possession of the seized drugs. Two police forces reported having difficulty in providing seizure figures to the Home Office for 2012/13. Due to time constraints and operational demands, Hampshire Constabulary was unable to provide any data but is making efforts to resume recording seizures for 2013/14. Organisational changes within Surrey Police during 2012/13 affected the force's ability to provide robust drug seizures figures and, as a result, figures for 2012/13 included in this release relate only to the first half of the financial year. The force is, however, confident that it will be able to resume providing robust figures for 2013/14. Where a seizure is made of a drug not separately listed in this bulletin, it is aggregated into an 'other' class category. Further information on drugs covered under the MDA, including a link to the full list of drugs covered, is available at: http://www.legislation.gov.uk/ukpga/1971/38/schedule/2. Details about the counting rules used for calculating numbers of seizures in this bulletin are included in the User Guide. Amount groupings (e.g. under 1 gram, 1–50 doses) presented in the breakdowns shown in Summary Tables 3a and 3c of this publication include data on all seizures made by police forces. For the Border Force's data in Summary Tables 3b and 3c, quantities requiring conversion are not included in the breakdowns, although they are included in the total estimated quantity (kg or doses). ## 6 Revisions Analysis Revised data for 2011/12 are being presented in this statistical release, with the total number of seizures for England and Wales being revised upwards by 1%. Since the publication of 'Seizures of drugs in England and Wales, 2011/12', and after identifying an issue with the queries used to extract data from their reporting system, Nottinghamshire Police resubmitted their data for 2011/12. This resulted in the force's originally published figure for seizure numbers being revised upwards by approximately 109% (from 2,232 to 4,657), and an increase in the amount of drugs they seized. It is likely that this also affected the force's number of seizures data for 2009/10 and 2010/11. A summary of the affected 2011/12 headline figures are shown in the table below. \| 2011/12 \| Published on \| Published on \| Percentage \| \|----------------------------\|-----------------\|-----------------\|-------------------------\| \| 15 November 2012 \| 31 October 2013 \| change (%) \| \| \| Number of seizures \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Nottinghamshire Police \| 2,232 \| 4,657 \| 108.65 \| \| 216,296 \| 218,721 \| 1.12 \| England and Wales total \| \| (including Hants & Surrey) \| \| \| \| \| \| \| \| \| ## 7 Other Data Sources Seizures By Police In Scotland And Northern Ireland As well as providing a comparison to seizures in England and Wales, looking at drug seizure figures for Scotland and Northern Ireland allows for a more complete UK-wide picture. Data relating to seizures of drugs by police in Scotland are collected and published by the Scottish Government4, and follow the same counting rules as those presented for England and Wales. In 2011/12, police in Scotland made 27,319 seizures of controlled drugs. Of these, 6,232 involved a class A drug, 18,164 involved a class B drug and 4,256 involved a class C drug. Data for 2012/13 are not currently available. The Police Service for Northern Ireland5 collects and publishes data on drug seizures by police in Northern Ireland, and they are also on the same basis as those for England and Wales. Police recorded a total of 4,474 drug seizure incidents in Northern Ireland during 2012/13, the latest year for which data are available; class A, B and C totals are not presented. ## Border Force Seizures Seizures made by Border Force officials outside England and Wales (e.g. Scotland, Northern Ireland) are excluded from figures presented in this statistical release. A quarterly breakdown of Border Force seizures in the UK covering the period April 2011 and December 2012 is available online as part of their regular key performance indicators.6 ## Misuse Of Drugs The extent and trends in illicit drug use among adults aged 16 to 59, measured annually by the Crime Survey for England and Wales (CSEW), is published separately by the Home Office.7 According to the 2012/13 CSEW, around 1 in 12 (8.2%) adults had taken an illicit drug (excluding mephedrone) in the last year, a fall compared with 2011/12 (8.9%).	en
1931-pdf	## Norfolk County Council Corporate Management Structure 01 May 2019 Staff in top three tiers earning over £50,000 per annum ## Tier One Head of Paid Service/Executive Director of Community & Environmental Services Scale S Tom McCabe Permanent, Full Time £155,000 - £159,999 Max Salary - £158,047 ## Tier Two - Reporting To Head Of Paid Service Executive Director of Executive Director of Executive Director of Executive Director of Finance & Commercial Strategy and Adult Social Services Children's Services Services (Section 151 Governance Scale S Scale S Officer) Scale R James Bullion Sara Tough Scale S Fiona McDiarmid Simon George Permanent, Full Time Permanent, Full Time Permanent, Full Time £145,000 - £149,999 £145,000 - £149,999 Permanent, Full Time £125,000 - £129,999 Max Salary - £148,047 Max Salary - £148,047 £145,000 - £149,999 Max Salary - £127,710 Max Salary - £148,047 ## Tier Three - Reporting To Executive Director Of Adult Social Services Director of Assistant Director Head of Business Assistant Director Community Social Director of Strategy & Systems & Early Help and Work Commissioning Transformation Technology Prevention Scale Q Scale Q Scale Q Scale N Scale P £110,000 - [shared with £110,000 - £60,000 - £65,999 £95,000 - £99,999 £114,999 CCGs] £114,999 Permanent, Full Permanent, Full Permanent, Full Interim, Part Time Temporary, full Time Time Time Max Salary - time Max Salary - Max Salary - Max Salary - Max Salary - £110,160 £110,160 £62,397 £96,933 £110,160 ## Tier Three - Reporting To Executive Director Of Children'S Services Assistant Director Assistant Director, Assistant Director Assistant Director, Performance Business Design & Social Work Early Help and Education Planning and Change Lead Scale Q Prevention Scale Q Quality Assurance Scale O £110,000 - Scale P £110,000 - Scale P £70,000 - £74,999 £114,999 £95,000 - £99,999 £114,999 £95,000 - £99,999 Permanent, Full Permanent, Full Permanent, Full Temporary, full Permanent, Full Time Time Time time Max Salary - Time Max Salary - Max Salary - Max Salary - £110,160 Max Salary - £73,638 £110,160 £96,933 £96,933 ## Tier Three - Reporting To Executive Director Of Community & Environmental Services Assistant Head of Assistant Director Assistant Assistant Support & Director Chief Fire Director of Director Director Officer Developmen Culture & Community Information Public Highways Growth and Scale R Health t Heritage and Scale P Developmen Permanent, £95,000 - Scale N Scale P Learning £95,000 - t Full Time £99,999 £60,000 - £95,000 - Scale P £99,999 Vacant £125,000 - Permanent, £65,999 £99,999 £95,000 - Permanent, Permanent, £129,999 Full Time Permanent, Permanent, £99,999 Full Time Full Time Max Salary - Max Salary - Full Time Full Time Permanent, Max Salary - Max Salary - £127,710 £96,933 Max Salary - Max Salary - Full Time £96,933 £96,933 £96,933 £62,397 Max Salary - £96,933 ## Tier Three - Reporting To Executive Director Of Finance & Commercial Services Head of Assistant Chief Head of Finance Pensions, Head of Head of Head of IMT Director of Internal & Exchequer Investments Procurement Property Auditor Information Services & Treasury Scale P Scale P Finance Scale Q Scale O £110,000 - Scale O Scale P £95,000 - £95,000 - £110,000 - £70,000 - £114,999 £70,000 - £95,000 - £99,999 £99,999 £114,999 £74,999 Permanent, £74,999 £99,999 Permanent, Permanent, Permanent, Permanent, Full Time Permanent, Permanent, Full Time Full Time Full Time Full Time Max Salary - Full Time Full Time Max Salary - Max Salary - Max Salary - Max Salary - £110,160 £96,933 £96,933 Max Salary - Max Salary - £73,638 £110,160 £73,638 £96,933 ## Tier Three - Reporting To Executive Director Of Strategy And Governance Chief Legal Officer Head of Strategy & Head of Business Head of (Monitoring Director for People Delivery Unit Intelligence Communications Officer) Scale P Scale O Scale O Scale O Scale Q £95,000 - £99,999 £70,000 - £74,999 £70,000 - £74,999 £70,000 - £74,999 £110,000 - Permanent, Full Permanent, Full Permanent, Full Permanent, Full £114,999 Time Time Time Time Temporary, full Max Salary - Max Salary - Max Salary - Max Salary - time Max Salary - £96,933 £73,638 £73,638 £73,638 £110,160 ## Key To Information Displayed Job title of post Grade of post Salary band of individual in post (£5k bands) Contract details Max salary of post ## Note Where posts are filled by NCC staff their salary bands are shown Where external interims are in post, no salary is shown - details are published in the Council's Statement of Accounts ## Contact Email: information@norfolk.gov.uk Telephone: 0344 800 8020	en
0992-pdf	Atmospheric Measurement AMTD Open Access Techniques Atmos. Meas. Tech. Discuss., 7, 3397–3441, 2014 www.atmos-meas-tech-discuss.net/7/3397/2014/ doi:10.5194/amtd-7-3397-2014 © Author(s) 2014. CC Attribution 3.0 License. 7, 3397–3441, 2014 Discussions This discussion paper is/has been under review for the journal Atmospheric Measurement Techniques (AMT). Please refer to the corresponding final paper in AMT if available. G. Allen et al. ## Title Page Abstract Introduction # Atmospheric Composition And Thermodynamic Retrievals From The Aries Airborne Tir-Fts System - Part 2: Validation And Results From Aircraft Campaigns G. Allen1, S. M. Illingworth1, S. J. O'Shea1, S. Newman2, A. Vance2, S. J.-B. Bauguitte3, F. Marenco2, J. Kent2, K. Bower1, M. W. Gallagher1, J. Muller1, C. J. Percival1, C. Harlow2, J. Lee4, and J. P. Taylor2 1Centre for Atmospheric Science, University of Manchester, Manchester, M13 9PL, UK 2Met Office, Fitzroy Road, Exeter, EX1 3PB, UK 3Facility for Airborne Atmospheric Measurements, Cranfield, UK 4Centre for Atmospheric Science, University of York, York, UK Received: 7 March 2014 - Accepted: 26 March 2014 - Published: 7 April 2014 Correspondence to: G. Allen (grant.allen@manchester.ac.uk) Published by Copernicus Publications on behalf of the European Geosciences Union. ## Abstract This study validates trace gas and thermodynamic retrievals from nadir infrared spectroscopic measurements recorded by the UK Met Office Airborne Research Interferometer Evaluation System (ARIES) - a Thermal InfraRed Fourier Transform Spectrometer (TIR-FTS) on the UK Facility for Airborne Atmospheric Measurements (FAAM) BAe- 5 146 aircraft. Trace-gas-concentration and thermodynamic profiles have been retrieved and val- G. Allen et al. idated for this study throughout the troposphere and planetary boundary layer over a range of environmental variability using data from aircraft campaigns over and around London, the US Gulf Coast, and the Arctic Circle during the ClearfLo, JAIVEX, 10 ## Title Page Abstract Introduction Conclusions References and MAMM aircraft campaigns, respectively. Vertically-resolved retrievals of temperature and water vapour (H2O), and partial-column retrievals of methane (CH4), carbon monoxide (CO), and ozone (O3), over both land and sea, were compared to corresponding measurements from high-precision in-situ analysers and dropsondes operated on the FAAM aircraft. Average Degrees of Freedom for Signal (DOFS) over 15 a 0–9 km column range were found to be 4.97, 3.11, 0.91, 1.10, and 1.62 for temperature, H2O, CH4, CO, and O3, respectively, when retrieved on 10 vertical levels. Partial column mean biases (and 1σ bias) averaged across all flight campaigns were −0.4(±1.9) %, −6.0(±13.1) %, −0.6(±2.1) %, −3.0(±18.4) %, and +4.7(±24.9) %, respectively, while the typical total a posteriori errors for individually retrieved profiles 20 were 0.4 %, 9.5 %, 5.0 %, 21.2 %, and 15.0 %, respectively. Averaging kernels derived for progressively lower altitudes show improving sensitivity to lower atmospheric layers when flying at lower altitudes. Temperature and H2O display significant vertically resolved sensitivity throughout the column, whilst trace gases are usefully retrieved only as partial column quantities, with maximal sensitiv- 25 ity for trace gases other than H2O within a layer 1 km and 2 km below the aircraft. This study demonstrates the valuable atmospheric composition information content that can be obtained by ARIES nadir TIR remote sensing for atmospheric process studies. In Part 1 of this study, Illingworth et al. (2013) discussed the theoretical and technical aspects of the retrieval methodology and a peripheral algorithm for atmospheric state retrievals from nadir thermal infrared spectra recorded by the Airborne Research Interferometer Evaluation System (ARIES, see below). Illingworth et al. (2013) reviewed 5 G. Allen et al. how airborne remote sensing of the atmosphere can be used to derive important compositional and thermodynamic data for monitoring and modelling applications, and how such datasets can complement satellite retrievals (typically at lower spatial resolution) and high accuracy (but point-specific) in situ measurements to aid regional process studies. In summary, airborne remote sensing can help to bridge the gap between spa- 10 Title Page tial extremes locally and regionally through their ability to observe wide (and selectable) fields of view and to perform targeted sampling; for example through manoeuvring in the vertical. Abstract Introduction Illingworth et al. (2013), described and characterised the Manchester Airborne Re- Conclusions References trieval Scheme (MARS), a configurable system tailored for the optimally-estimated re- 15 20 trieval of atmospheric composition from infrared spectra recorded by the ARIES openpath-FTS instrument (described in detail by Wilson et al., 1999) flown on the UK Facility for Airborne Atmospheric Measurements (FAAM) BAe-146 aircraft. The ARIES is an analogue of the Infrared Atmospheric Sounding Interferometer (IASI) flown on the MetOp-A and B satellites, both having an apodised spectral resolution of ∼0.5 cm−1 between 4 and 16 µm. No further description of the ARIES and retrieval formalism will be given here and readers are referred to Illingworth et al. (2013) and references therein for details. We focus here on the validation of operationally-retrieved profiles of temperature, water vapour (H2O), methane (CH4), carbon monoxide (CO), and ozone (O3), which 25 will be referred to collectively as the retrieval products hereafter. In this paper, validation refers to the statistical and profile-by-profile comparison of retrieved data with their in-situ counterpart, both directly, and after convolution with retrieval-specific ARIES averaging kernels. For the trace gases, partial columns will be compared due to their constrained vertical resolvability (see Sect. 3). We will report the performance of operational retrievals from ARIES spectra across a range of environments, using airborne in situ measurements for the purpose of validation for each location. For context and later comparison, we now briefly discuss example validation studies of the retrieval prod- 5 ucts of concern to this study for three example infrared remote sensing instruments on satellite, airborne and ground-based platforms. The Total Column Carbon Observing Network (TCCON) is a network of ground- G. Allen et al. based, sun-viewing, near-IR, Fourier transform spectrometers that has been established to measure greenhouse gases as total column Dry Molar Fractions (DMFs). 10 ## Title Page Abstract Introduction Since its inception in 2004, the TCCON network has grown to include 18 sites globally, and currently produces DMFs of H2O, CO2, CO, CH4, and other trace gases (Wunch, 2011). Due to cited systematic biases in the spectroscopy, the absolute accuracy of the column measurements is quoted as ∼1 %, however this can be improved by calibrating them to the World Meteorological Organization (WMO) in situ trace gas measurement 15 scales, using profiles obtained with in situ instrumentation fiown on aircraft over the TCCON sites (Wunch, 2010). After this calibration, the precision of the DMFs retrieved from single spectra improves significantly, and is about 0.15 % for CO2, 0.2 % for CH4, and up to 0.5 % for CO (Toon, 2009). The Methane Airborne MAPper (MAMAP) is an airborne spectrometer system de- 20 signed to make measurements of dry air partial columns of CO2 and CH4 on small spatial scales with a precision of better than 2 % (Gerilowski, 2011). MAMAP operates with a ground pixel resolution of approximately 29m×33m for a typical aircraft altitude of 1250 m and a velocity of 200 kmh−1. The main uncertainties in the retrieval were noted to arise from potential inaccuracies in the calculation of the solar zenith angle 25 and the surface elevation of the scene. Such uncertainties (important in the visible and near-infrared) are not expected in the thermal infrared. Krings et al. (2011) reported that by using a CH4 proxy method (in which the retrieved CH4 is used to account for the light path modification by simultaneously retrieving alongside CO2), the total uncertainty estimate was reduced to 0.24 % in a standard individual column retrieval of CO2. ## Amtd The IASI has an Instantaneous Field of View (IFOV) that is approximately 12 km in 7, 3397–3441, 2014 diameter at nadir (Blumstein et al., 2004). Depending on the trace gas and the retrieval scheme employed, IASI can provide weakly resolved vertical profiles, with the number 5 of independent pieces of information for each gas depending mostly on the thermal state of the atmosphere (e.g. 1–2 for CO in the troposphere, and 3–5 for O3 up to 0.1 hPa, Hilton, 2012). Using an Optimal Estimation Method (OEM) developed by Coheur et al. (2005), Boynard et al. (2009), showed that on average, IASI O3 retrievals exhibit a consistent positive bias of about 3 % compared to ground-based measure- 10 ments. Similarly, Illingworth et al. (2011) showed that on average, total tropospheric column CO retrievals from IASI exhibit a positive bias of approximately 3 % when compared to modelled data. Despite small biases in comparison to other datasets, IASI retrieved products also have large associated uncertainties for individually retrieved profiles, where the dominant term is typically caused by the smoothing of the contin- 15 uous atmosphere by the retrieval schemes, which necessarily assume a discretized atmosphere. Illingworth et al. (2011) noted that typical smoothing uncertainty for IASI total tropospheric columns range from 18 % to 34 %. The brief discussion above demonstrates the relative limitations and benefits of remote sensing measurements within the troposphere from viewpoints below, within and 20 far above it. Each has specific weighting in terms of sensitivity to different layers within the tropospheric column and each has different uncertainties. We highlight here how aircraft remote sensing can help to bridge spatial sampling scales between groundbased and satellite platforms, whilst high precision in situ data can be simultaneously provided (where equipped) to routinely validate and calibrate retrievals. 25 The remainder of this manuscript is structured as follows: in Sect. 2, we will describe the validating measurements used for this study; Sect. 3 describes the validation flight campaigns where ARIES was operated; and Sect. 4 compares operational retrievals with in situ measurements. ## 2 Data Sources Amtd Measured data discussed in this paper were recorded using instrumentation on board the BAe146-301 atmospheric research aircraft. In this section, we describe the aircraft platform and in situ instrumentation used here for validation. Only relevant FAAM in-situ instrumentation that record measurements corresponding to the retrieval products are 5 introduced here. ## Validation And Results From Aircraft Campaigns 2.1 The Bae146 Platform G. Allen et al. The BAe-146-301 atmospheric research aircraft is operated by Directflight Ltd and managed by FAAM, which is a joint entity of the Natural Environment Research Council (NERC) and the UK Met Office. This four-engine jet plane is modified for research 10 ## Title Page Abstract Introduction Conclusions References Tables Figures use and capable of up to 5 h duration with a scientific payload of up to 4000 kg. In situ instrumentation described in Sect. 2.1 sampled ambient air inside the converted passenger cabin. This air was fed by purpose-built rearward facing window-mounted inlets (O'Shea et al., 2013). Typical air speed and aircraft pitch angle on science runs were around 115 ms−1 and +4.5◦respectively. The GPS position, aircraft orientation, 15 and velocity were all sampled at 50 Hz, and recorded at 32 Hz by an Applanix POS AV 510 GPS-aided Inertial Navigation (GIN) unit. ## 2.2 Trace Gas And Thermodynamic Measurements Thermodynamic and trace gas instruments on the BAe-146 used for this study are listed in Table 1. A 5-hole turbulence probe mounted on the aircraft nose was used in 20 ## Printer-Friendly Version Interactive Discussion conjunction with the GIN system to provide 3-D wind fields and high frequency (32 Hz) turbulence measurements. Thermodynamic instruments include a General Eastern GE 1011B Chilled Mirror Hygrometer, measuring dew-point temperature, and a Rosemount/Goodrich type-102 True Air Temperature sensor, which recorded data at 32 Hz using a non-de-iced Rosemount 102AL platinum resistance immersion thermometer, 25 mounted outside of the boundary layer of the aircraft near the nose. The turbulence probe also used measurements from the GIN and measurements of the ambient air temperature to correct for kinetic effects. Carbon monoxide was measured at 1 Hz by an AL5002 Fast CO Monitor using a UV fluorescence methodology, as described by Gerbig et al. (1999); the instrument was 5 G. Allen et al. regularly calibrated (once every 30 min) in flight against certified standards. Ozone was recorded at 1 Hz by a TECO 49C UV photometer, and the transmission time from the exterior to the instrument via the sampling line can be assumed to be negligible (less than the 1 s integration time for these in situ sensors). These instruments are core to the aircraft fit, and are used regularly in a variety of FAAM campaigns. Therefore, 10 the accuracy of the reported O3 and CO concentrations has been regularly assessed by intercomparisons with ground-based instruments and equivalent instrumentation on other aircraft. In those comparisons, both CO and O3 have been found to be consistently accurate to within 5 ppb across a range of typical atmospheric concentrations (e.g. as compared with instrumentation on the NSF C-130 aircraft reported in Allen 15 et al., 2011). This compares favourably with the reported instrument precision of 1 % above the instrument limits of detection, which are ∼20 ppb and 5 ppb for CO and O3, respectively. The CH4 observations on board the FAAM BAe-146 were made using a cavityenhanced absorption spectrometer. This system is based on a commercially available 20 analyser (Fast Greenhouse Gas Analyser, Model RMT- 200) from Los Gatos Research Inc., USA, which has been modified for airborne operation (O'Shea et al., 2013). Calibration curves are determined in-flight using three WMO traceable standards, with accuracy/bias estimated at no more than 1.28 ppb for CH4 (with 1σ precision of 2.48 ppb at 1 Hz). Measurements are reported as dry air mole fractions. 25 In addition to the in situ instrumentation, for some of the flights in this study Vaisala Printer-friendly Version RD93 dropsondes were released from the aircraft, from high altitude and when over the sea. The RD93 is a general-purpose dropsonde for high-altitude deployment from a variety of aircraft. Slowed in its descent through the atmosphere by a special parachute, the RD93 measures the atmospheric profiles of pressure, temperature, relative humidity and wind from the point of launch to the ground. The RD93 transmits meteorological data via a 400 MHz meteorological band telemetry link to the receiving system onboard the aircraft, with an on-board GPS receiver tracking the dropsonde horizontal movement as it is borne by the wind. The manufacturer-specified accuracies of the 5 RD93 are 0.2 K, 0.4 hPa, and 2 % for temperature, pressure and relative humidity, respectively. ## Validation And Results From Aircraft Campaigns 2.3 Cloud And Aerosol Lidar G. Allen et al. A mini-lidar cloud system on the FAAM aircraft has also been used here to test for successful cloud screening of the ARIES data (see Sect. 4). The mini-lidar is a Leo- 10 ## Title Page Abstract Introduction sphere (Model ALS450) elastic backscattering system with daytime capability, suitable for aerosol and cloud observations, and features a depolarization channel. Its operational wavelength is 355 nm and it is mounted in a nadir-viewing geometry. For more details about the mini-Lidar instrument, see Marenco et al. (2011). ## 3 Faam Campaigns Used For Validation 15 For validation purposes, we have chosen to use well-characterised datasets from several FAAM aircraft campaigns, conducted in diverse locations to capture the typical natural variability of composition and thermodynamic backgrounds across the range of environments in which the FAAM aircraft typically samples. The campaigns that were chosen for this study were: the Joint Airborne IASI Validation Experiment (JAIVEx); the 20 Clean air for London (ClearfLo) study; and the Methane and other greenhouse gases in the Arctic - Measurements, process studies and Modelling (MAMM) project. These campaigns were based around the US Gulf Coast, London and the Arctic Circle, respectively, and are described in more detail below. The JAIVEx campaign was a calibration-validation campaign which used ARIES radiance data to radiometrically validate the IASI instrument. It was conducted over the Gulf of Mexico and operated out of Houston, USA, during April–May 2007. For an overview of the JAIVEx mission, see Larar et al. (2010) and for a full discussion of the perfor- 5 G. Allen et al. mance of ARIES during the JAIVEx project, see Newman et al. (2012). In addition to temperature, water vapour and trace gas concentrations (see Sect. 2.2), the FAAM aircraft released dropsondes, which sampled the atmospheric thermodynamic structure below the aircraft at high spatial resolution (∼6 m), which will also be used here for validation. We present data collected during flight B290 during JAIVEX, which took place 10 on the morning of 30 April 2007 over the Gulf of Mexico. The B290 flight track and profile are shown in Fig. 1. Take-off time from Houston Airport was 12:45 UTC (07:45 LT) and landing time at New Orleans was 17:20 UTC (12:20 LT). The Gulf of Mexico area and the operational area of the aircraft were mostly cloudfree on 30 April 2007, as observed in-flight and from GOES satellite cloud imagery (not 15 shown). This makes this flight an ideal case study for nadir remote sensing validation, where cloudy scenes would otherwise prevent retrieval by MARS. Indeed, this area at this time of year was chosen for its climatologically low cloud fraction to facilitate this IASI calibration-validation mission. Two extended periods (of between 30 min and 1 h in duration) at cruising altitudes of 20 7.3 km and 9 km were conducted. These are the northwest-southeast and northeastsouthwest transects seen in Fig. 1, respectively. At these altitudes, the instantaneous ground footprint of ARIES due to the instrument's 44 mrad circular field of view (full angle) has a radius of ∼161 m, and 198 m, representing an instantaneous footprint area of ∼0.08 km2 and 0.12 km2, respectively. The exact footprint of the ARIES retrievals is 25 then a product of both this instantaneous footprint, and the ground-track of the aircraft integrated over the ARIES sampling/integration time (5 s in this case). ## 3.2 Clearflo The Clean air for London (ClearfLo) project was conceived to provide long-term integrated measurements of the meteorology and composition of London's urban atmosphere, recorded at street level and at elevated sites, and complemented by modelling to improve and characterise predictive capability for air quality. A separate but syner- 5 gistic FAAM airborne project took place during July and August 2012, consisting of five 5 h flights during which the ARIES and in situ trace gas instrumentation was operated to record measurements in a wide area around and centred on London (see Fig. 2). Repeated sampling was targeted on the downwind London plume and upwind background inflow; a detailed description of the ClearfLo campaign is given by Bohnen- 10 stengel (2012). Title Page For validation, we have used data from flights B724 and B725, both conducted be- \| Abstract \| Introduction \| \|-------------\|----------------\| \| Conclusions \| References \| tween 10:00 and 16:30 UTC for both 30 July 2012 and 9 August 2012, representing relatively clean and polluted cases, respectively, and characterised by well-mixed Atlantic westerly maritime inflow in the former and stagnant air (high pressure) in the 15 Figures latter. This contrast is useful for validation to characterise the ability to retrieve information in clean and polluted environments. Flight tracks for these two flights can be seen as the thick (B724) and thin (B725) traces in Fig. 2. In both flights, air upwind of London was seen to be less polluted than air downwind in the situ measurements (see Sect. 4). 20 Close ## 3.3 Mamm Full Screen / Esc Printer-friendly Version The MAMM project aims to improve quantitative knowledge of Arctic CH4 and other gases from various sources, whilst also determining their magnitudes and spatial distributions. The FAAM component of this mission involved three separate flying campaigns within the Arctic Circle: July 2012, August 2013, and September 2013. In this 25 Interactive Discussion study we have used data from the July 2012 period during two flights: B719 and B720, on 17 July 2012 and 18 July 2012, respectively, conducted between 09:00 UTC and 16:00 UTC. The former was conducted over the wetlands of western Finland and the latter predominantly over the Norwegian Sea between the coasts of Norway and Svalbard (see Fig. 3). These two flights provide contrast between sea and land retrievals in an otherwise similar natural environment, thereby allowing us to examine potential sources of systematic bias associated with surface type. The spiral ascent pattern seen 5 G. Allen et al. in Fig. 3 near 27◦E, 68◦N flown during B720 was centred on the Sodankylä TCCON site, however cloudy conditions on this day prevented a direct comparison with TC- CON CH4 and CO2 measurements. The in situ measurements recorded during this spiral provide the vertical profiles we have used for retrieval validation with in situ data for this flight. 10 ## Title Page 4 Results And Discussion Abstract Introduction Conclusions References Tables Figures The results of the validation using the FAAM dataset outlined in Sect. 2.3 are now presented and discussed. To illustrate typical examples for individual retrievals we show retrieval metrics of spectral fit and residual, averaging kernels, and sources of total-andcomponent a posteriori retrieval error for profiles chosen from one flight for each of the 15 retrieved parameters where comparable in situ data exists. We then present a statistical interpretation of the whole validation dataset across selected flights in terms of mean bias and uncertainty for the entire dataset (i.e. across all campaigns). The spectral window and co-retrieved state vectors for each nominal parameter (described further in Part 1 of this study) is given in Table 2. The ARIES spectra were co-added over 20 5 s of sampling time (10 scans) in all retrievals considered here and retrievals were all performed on 10 vertical levels unless otherwise stated. ## 4.1 Cloud Detection And Screening Performance We have tested a cloud-detection scheme based on the brightness temperature difference in a window and non-window spectral region (described further by Illingworth 25 et al., 2013). This method screens ARIES data for otherwise cloudy spectra and therefore false or poor retrievals. Clouds were detected by lidar using the non-depolarised, range-corrected signal P , of the UK Met Office mini-lidar system on the FAAM aircraft (described by Marenco et al., 2011). A cloud was detected if P (R) > 4000; P (R) > P (R −200m), and no other cloud top was found between (R −500m) and R, 5 where R is the range from the instrument. Once a cloud was detected, the cloud top range, RC, was set to be the first lidar measurement point before (R −200m), where P (RC) < 1.5·P (R−200m). The algorithm works by detecting large gradients in the Lidar signal, with peaks below 500 ma.s.l. automatically discarded as surface return. ## G. Allen Et Al. The Lidar cloud detections were compared to co-located detections found using the 10 ## Title Page Abstract Introduction ARIES cloud filter over a range of flights during the Microwave Emission Validation over sub-Arctic Lake Ice (MEVALI) campaign, which took place in March 2012. In total, cloud masks for over 2500 different scenes over a range of clear-land and open-sea, frozen and unfrozen, surface types were compared, and an average Spearman's rank correlation coefficient was calculated to be 0.91 indicating that the cloud filter performs 15 ## Conclusions References Figures well. Also, 100 % of clouds detected by the lidar were detected and some additional false positives were flagged by the ARIES scheme. We accept this small loss of some data, as the alternative would be to permit cloudy spectra into the retrieval scheme that would otherwise affect the quality of the retrieved dataset. ## 4.2 Water Vapour 20 Figure 4 shows convergence parameters for a single water vapour retrieval from a flight altitude of 7.4 km during flight B290 from JAIVEx. Figure 4a shows the measured (black) and fitted (green) radiance spectra; the fact that the measured spectrum cannot be readily observed on this figure demonstrates the excellent spectral fit. Figure 4b shows the residual (difference) spectrum between the fitted and measured spectra 25 and the total instrumental radiometric uncertainty (black dashed lines), demonstrating that this residual is comparable with the expected uncertainty. The absence of significant residual spectral structure or absorption lines gives confidence that no potentially important absorbing trace gas species have been excluded from the simulated atmosphere. Figure 4c shows the water vapour Averaging Kernel (AK) for the partial column below the aircraft. This AK and the associated Degrees of Freedom of Signal (DOFS) value of 3.34 demonstrate that there is significant vertical resolution of the retrieved H2O profile from this high altitude when using 10 vertical levels. There are partially in- 5 dependent peaks in the AK at the uppermost (6 km and 7 km) layers of the retrieval and a relatively smoothed free-tropospheric region between the surface and 4.5 km. This is consistent with the DOFS and vertical sensitivity simulated at comparable altitudes for Part 1 of this study (∼3.0 DOFS). The total a posteriori retrieval error for individual retrievals (orange line in Fig. 4d) in this example ranges between 1000 ppm (∼10 %) 10 at the surface and 120 ppm (∼22 %) at 7 km. It should be noted that the choice of prior can potentially have a large impact on the calculated DOFS (as discussed in Illingworth et al., 2013). In this study, the calculated DOFS above is representative of the MARS scheme and the method used to select prior information from ECMWF meteorological reanalysis data. 15 Figure 5 shows retrievals for the whole of flight B725, compared to dropsonde data over both land and sea surfaces to the east of the flight track shown in Fig. 2. Figure 5a shows individual retrievals (coloured for flight altitude), and dropsonde data (black). The a posteriori uncertainties for each retrieved profile are shown as coloured dotted horizontal bars and the a priori profile is shown in blue. In Fig. 5a, we note that the 20 ECMWF water vapour a priori profile has a positive bias (up to 1000 ppm in places) relative to the dropsonde data and that it does not contain fine structure present in the real atmosphere; for example the dry layer at 4.5 km. In contrast, the retrieved profiles derived from ∼6 km altitude (yellow colours) do capture this dry layer due to the good vertical sensitivity and vertical resolution of layers ∼2 km below the aircraft. Conversely, 25 Printer-friendly Version fine structure in profiles retrieved from higher altitude does not appear well resolved for lowermost layers because of poor sensitivity there (note the 3000 ppm negative bias in the yellow coloured profiles between 0 km and 2 km). However, when flying at lower altitudes, there is good sensitivity to the near-surface - this is reflected in the much smaller biases (less than 500 ppm) seen in the light-blue profiles in Fig. 5a retrieved from ∼3 km flight altitude. In all retrievals shown in Fig. 5a, the retrieval represents an improvement on the a priori profile. Figure 5b shows the flight-mean profiles, binned into 10 equidistant altitude layers, for the retrieved (red) and in-situ (black) data along with the in-situ profile convolved 5 G. Allen et al. with the mean ARIES AK (green) for the flight. The convolved profile is defined as xa + A(x −xa), where A is the averaging kernel, x is the retrieved profile and xa is the a priori profile. It should be noted that we would expect there to be natural variability in the retrieval scene during a flight and that some of the variability seen in the retrievals reflects this, but by comparing the mean of the retrievals with the mean of the in situ 10 data across the entire flight, we can compare a more consistent dataset than we would by comparing individual profiles. Due to the varying flight altitude, the mean retrieved and convolved profile represents a weighted mean reflecting the different sampling frequency within each altitude bin. Also shown in Fig. 5b are bars that represent the standard deviation of retrieved and 15 in situ data at each profile level which were calculated from the distribution of retrievals for the flight. This should not be confused with the a posteriori error associated with individual retrievals, which is reported separately in Table 3. The AK-convolved in situ profile (green) compares well with the mean retrieved profile (red), with the latter overlapping well within the corresponding 1σ of the dropsonde measurements. This shows 20 that the retrieval agrees well with an idealised retrieval scheme giving confidence in the optimal performance of the MARS. The mean bias in Fig. 5a ranges between 110 ppm (1 %) at 500 m and ∼1140 ppm (14 %) at 3 km. The increased bias at 3 km is due to the poorer performance of the retrievals from higher altitude which dominate the contribution to the mean profile at this altitude (yellow profiles in Fig. 5a), whereas the 25 profiles recorded from an altitude just below 3 km (light blue in Fig. 5a) do capture the locally drier layer between 2.5 km and 3 km. In summary, there is information content in vertically-resolved water vapour nadir retrievals from ARIES and fine vertical structure can be resolved in the layers nearest to the observer (within ∼2 km). Table 3 lists the performance across all flights where dropsonde data exists for validation, and reports weighted-mean-bias and standard error across the validation dataset. The DOFS remain similar across all campaigns (average of 3.11) and the flight-mean a posteriori uncertainty ranges from 5–13 % (average across all flights of 9.5 %) with the highest uncertainty noted for flight B720, which may be expected as this flight was 5 G. Allen et al. conducted in a cold Arctic environment with consequently reduced thermal contrast. Furthermore, the average retrieval standard error (∼9.5 %) is much reduced relative to the a priori uncertainty constraint (20 %). The partial-column-mean-bias is −4.8 % while the standard deviation of this mean bias is 9.4 %. This compares to a standard deviation of the in situ data of 7.5 %, suggesting that natural variability may explain 10 a large proportion of the observed variability in bias for individual profiles, i.e. for individual ARIES water vapour retrievals, the corresponding a posteriori error (which can vary from scene to scene) is comparable to the biases found here, which both agree within the observed natural variability. A direct comparison between in situ data and remote sensing data is never possible in practice due to the fact that airmasses can shift 15 below the aircraft in the time between in situ measurement and retrieval from above. However, the statistical agreement seen here across several flights and 389 retrieved profiles confirms that MARS water vapour profiles can be retrieved with a typical individual partial-column-mean profile uncertainty of 1144 ppm (∼10 %), with a statistically insignificant bias over a large sample of profiles. This uncertainty is also consistent with 20 the limit of the theoretical performance found for water vapour in Part 1 of this study. ## 4.3 Temperature Figure 6 shows convergence parameters (analogous to those presented for H2O in Fig. 4) for an example temperature retrieval recorded over the UK mainland at 8.9 km flight altitude during flight B725 (ClearfLo) on 8 August 2013. Figure 6a illustrates 25 a generally good simulated spectral fit (green) to the measured ARIES spectrum (black). Figure 6b shows the residual and we note some small residual structure, especially at the centre of a strong Q-branch of CO2 at ∼720 cm−1. The intensity of this Q-branch and its strong sensitivity to temperature makes it very sensitive to the effects of vertical discretisation necessary for the radiative transfer modelling, and as such, some error may be expected. However, the P and R branches of this band, which are likewise sensitive to temperature, but which do not saturate over path-lengths similar to the thickness of the layers used here (∼600 m), provide the bulk of the measurement 5 G. Allen et al. information in this spectral window. This is precisely why CO2 and temperature are simultaneously retrieved. There are also two weak unidentified potential absorption lines in the measured spectrum at 740 cm−1 and 746 cm−1. However, the overall residual is commensurate with the ARIES radiometric uncertainty (black dotted lines in Fig. 6b). The effect of this is also implicit to the a posteriori error calculation, which is consis- 10 tently ∼0.8 K across the profile and dominated by the smoothing and measurement uncertainty terms (Fig. 6d). ## Title Page The temperature AKs (Fig. 6c) for this example demonstrate excellent vertical reso- ## Introduction lution with a DOFS value of 4.73, which compares with the simulated (idealised) DOFS of ∼4 in Part 1 of this study. The AK peak at each altitude is only slightly dependent 15 on information content from other levels and is typically smoothed over a 1 km length (when using 10 levels at 9 km flight altitude). This result confirms that vertically-resolved tropospheric profiles of temperature can be usefully reported using MARS for ARIES measured spectra. This capability is especially useful for atmospheric process studies such as boundary layer transport and outflow, where knowledge of the thermodynamic 20 structure of the lower atmosphere is important. Figure 7 shows temperature retrievals for 103 individual profiles across flight B290 (Fig. 7a) and the weighted mean flight profiles together with their in situ counterparts (Fig. 7b) in the same manner as that presented for water vapour in Fig. 5. This flight was chosen as there were four dropsondes released over various locations along the 25 Printer-friendly Version Interactive Discussion flight track and we were interested in how MARS might respond to the presence of temperature inversions in the real atmosphere. Figure 7a shows that the retrieved temperature profiles (blue) were consistently negatively biased relative to dropsonde data between 2.5 km and 4 km by up to 5 K at peak. This compares with a negative bias in the European Centre for Medium-range Weather Forecasts (ECMWF) a priori profile of 3 K over the same altitude range. Also, the a priori does not show a weak temperature inversion seen in the dropsonde data between 1.5 km and 2.25 km. In the individual retrievals above 4.5 km, we see a clear tendency away from the a priori toward the dropsonde data and mean bias reduces to less than 0.5 K (see Fig. 7b). However, just 5 G. Allen et al. below the temperature inversion at ∼1.5 km, we see a positive bias in the retrieval of ∼2 K. The retrieval of such a sharp temperature inversion is not expected to be possible from ARIES spectra recorded from high altitude but we might expect (as we do observe here) that the retrieval will manifest such inversions as a positive and negative bias either side of the inversion itself due to smoothing across the inversion prescribed 10 by the averaging kernel. Comparing the AK-convolved in situ profile (green in Fig. 7b) with the retrieved profile (red) we see that much of the negative bias between 2.5 km and 5 km has been removed. The mean-profile-bias averaged across this flight was −0.4 K with a standard deviation of the bias of 1.9 K, which compares with a 2.5 K standard deviation for the in situ 15 validation dataset. The mean-retrieved and AK-convolved profiles in Fig. 7a also fall well within 1σ of the dropsonde data at all altitudes. This suggests that this small bias is indistinguishable within the range of natural variability observed across this flight. From Table 3, we see that mean bias averaged across all flights is −0.7(±1.9K), compared to a 2.1 K standard deviation in the in situ dataset. As this bias is consistently 20 and significantly less than the natural variability, we report the mean a posteriori error (0.9 K) as an appropriate typical uncertainty for individual temperature retrievals from ARIES using MARS. ## 4.4 Methane Figure 8 shows convergence parameters for a typical CH4 retrieval, derived from 25 Interactive Discussion ARIES spectra recorded over the UK mainland around midday at 9.0 km flight altitude during flight B724 from ClearfLo on 30 July 2012. Again we see an excellent simulated spectral fit to the measured ARIES spectrum (Fig. 8a) and a featureless residual (Fig. 8b). The AKs for methane (Fig. 8c) demonstrate significantly less vertical resolution than for H2O or temperature with a DOFS value of 0.86, which compares with the typical simulated DOFS for CH4 of ∼1.0 predicted in Part 1 of this study at similar altitudes. There is clearly more sensitivity to the upper layers of the column (between 5 km and 8 km); however information in these layers is noted to be strongly influenced by the 5 G. Allen et al. layers below. On inspection of the spectrally-resolved weighting function for CH4 (not shown) it can be seen that this arises because of saturation of strong CH4 absorption lines with the remainder of the lower layer information coming from much weaker lines and a commensurately reduced signal-to-noise. This is also typical of IASI retrievals of methane in the troposphere, which likewise show limited penetration and sensitivity 10 ## Title Page into the tropospheric column, and confirms that only partial columns can be usefully reported for ARIES retrievals. It is also important to note that this partial column information is mainly weighted to a 2 km layer below the aircraft. The total a posteriori error (Fig. 8d) on independent retrievals is significant at ∼100 ppb (∼5 %) of in situ concentration across the profile, which is again dominated 15 by the smoothing and measurement (radiometric uncertainty) components. Figure 9a shows 389 methane concentration retrievals (coloured profiles) from flight B725, compared to vertically binned (averaged into 10 equidistant layers across the profile) in situ concentration profiles measured by the FGGA (black). Firstly, we note that the a priori (operationally derived from the MACC database (see Inness et al., 20 2013 and Part 1 of this study for details) in blue shows a significant negative bias relative to in situ data of around 3 % (∼60 ppb at all altitudes). Despite this, the retrieved profiles tend well toward the in-situ data in all cases and the a posteriori error bars (dotted lines in Fig. 9a) always overlap the in situ profile. When averaged across a flight, Fig. 9b shows good agreement between retrieval and in situ data in the flight-averaged 25 Printer-friendly Version Interactive Discussion profiles between 2.5 km and 9 km, but shows a clear negative bias (up to ∼2.5 %) in the lowest layers (below 2 km). This is due to the lack of near-surface sensitivity noted from the AK in Fig. 8c, meaning that the retrieval in those layers tends toward a negatively biased a priori. Partial-column comparisons (see Table 3 and Fig. 9b) for B725 show a mean bias of −11 ppb (0.6 %) of the column-mean with a corresponding 1σ of ∼40 ppb (∼2 %). This agreement in the upper layers demonstrates that the retrieval can allow for large departures in ambient CH4 from expected climatology but also highlights a need for a better choice of a priori (as well as also highlighting a significant important bias in the MACC dataset). To test the sensitivity of MARS to this poor a pri- 5 ori, we also performed retrievals which used the measured in situ profile as the a priori constraint (not shown). This yielded marginally better mean profiles to those shown in Fig. 9b (< 0.5 % bias and a 1σ of 2 %). However, we will report on the use of the MACC prior for validation in-line with the operational MARS scheme, which we would use in the absence of prior knowledge from the FGGA measurements. As such, we can char- 10 acterise performance across the entire ARIES dataset where we have no choice but to rely on the available climatology. ## Title Page Averaged across all flights (see Table 3), the mean bias in the retrieved CH4 columns is −0.6 % with a 1σ of 41 ppb (2.2 %); however the bias for individual flights ranges from −2.7 % (flight B719) to +1.1 % (flight B720). Although this global mean bias is small, 15 the variability in the bias is significant when compared to the measured natural variability (14.8 ppb). Therefore, such bias is not negligible and we therefore characterise uncertainty for methane retrievals with a conservative upper limit of the total a posteriori error, which is consistently ∼5 % (∼100 ppb) for partial columns up to 9 km altitude. ## 4.5 Carbon Monoxide 20 Figure 10 shows convergence parameters for a carbon monoxide retrieval for ARIES spectra recorded over the UK mainland at 7.7 km flight altitude during flight B725 from ClearfLo at 11:55 UT 8 August 2012. Again we see a largely featureless residual broadly comparable with the measurement uncertainty. However, several of the CO lines are not fitted well. This is a persistent feature of the operational CO retrievals and 25 cannot be improved further in the MARS. There are many potential sources for this error. Several principal sources have been investigated which include wavenumber shift and ARIES instrument line shape. Other errors may be associated with the HITRAN 2012 reference spectroscopy used (HITRAN is described by Rothman et al., 2013) for CO but this seems unlikely as such residuals have not been noted in IASI retrievals for example. We note this error here and it is inclusive to the measurement error component seen in Fig. 10d (red line). This equates to ∼10 ppb (∼8 % in concentration terms), making it the second-most dominant term after the smoothing component in 5 the a posteriori error, which is highly significant at between 100 ppb (60 %) at the surface and 10 ppb (25 %) in the uppermost layers). This is similar to the uncertainty of 34 % reported for tropospheric IASI CO retrievals (Illingworth et al., 2011). The AK for CO (Fig. 10c) also demonstrates weak vertical sensitivity to the lowest G. Allen et al. layers (below 2 km) of the atmosphere with a DOFS value of 0.92. This compares 10 ## Title Page well with the typical simulated DOFS for CO of ∼1.0 simulated in Part 1. There is a broad (yet smoothed) sensitivity to much of the partial column below the aircraft with sensitivity down to ∼2 km. Much like CH4, IASI likewise shows limited penetration and sensitivity into the tropospheric column, confirming that, like IASI, only partial columns can be usefully reported for ARIES retrievals of CO. 15 Figure 11a shows 203 CO retrievals from flight B290 (JAIVEx) compared to verticallybinned (10 equidistant levels) in situ concentration profiles measured by the Aerolaser Inc. instrument (black line). The a priori (operationally derived from the MACC database) shows a negative bias relative to the in situ profile of around 30 % (∼20– 45 ppb across the profile). Due to the expected high relative variability of CO in the real 20 atmosphere (evident here by the ±25 ppb 1σ bars for in situ data in Fig. 11a), we use a 20 % a priori uncertainty constraint (as described further in Part 1), which allows the retrieval algorithm to diverge away from a potentially inaccurate climatology. Comparing the flight-mean and in-situ partial columns (Fig. 11b and Table 3) we see a mean bias of −2.2 % and a 1σ of this bias of ±11 % (17 ppb). 25 This high variability in the retrieved bias is lower than the high natural variability in CO Printer-friendly Version Interactive Discussion measured in situ (41 ppb, see Table 3), which represents a special case (other flights did not see such variation). This could indicate that the a priori is over-constrained for this flight. To examine this, we have also tested a more relaxed a priori covariance constraint in MARS. Figure 12a and b show CO mean-flight retrievals for two other flights - B720 and B724, from the MAMM and ClearfLo campaigns, respectively. For those flights, we tested the performance of MARS with a 25 % a priori covariance for each retrieval level (note the wider blue bars in Fig. 12 compared to Fig. 11b). When using this relaxed constraint, and despite the positively biased a priori, we observe 5 G. Allen et al. much better retrieval performance in the mean for altitudes above 2 km when comparing the in situ profile and that convolved with the ARIES AK (black and green lines respectively). For these two flights we see a mean partial column bias of −3 % and −2 % respectively, with a corresponding 1σ of 19 % and 22 %, respectively. This compares to natural sampled variability of 8 % and 12 %, respectively (see Table 3). Given 10 the small overall mean bias (−3 %, 3.3 ppb) in Table 3 compared to the overall natural variability of CO measured in the atmosphere (17 %, 17.6 ppb), which also compares to the variability in the bias (20 %, 20.4 ppb), we can be confident the a posteriori error from individual profiles is a conservative uncertainty for retrievals here; this is ∼21 % of the partial column (see Table 3), which compares favourably to the upper IASI un- 15 certainties of 34 % reported by Illingworth et al. (2011). ## 4.6 Ozone Figure 13 shows convergence parameters for example O3 retrievals over Northern Sweden at 8.3 km flight altitude during flight B719 during the MAMM campaign on 21 July 2012. We see a largely featureless residual comparable within the instrumental 20 radiometric uncertainty (Fig. 13b). The AK shows little vertical resolution and a sensitivity weighted to a layer ∼3 km below the aircraft (Fig. 13c). Total a posteriori error is ∼17 ppb (∼25 % in this example) across the profile and dominated by the smoothing term (80 % of total error), with the measurement error term contributing ∼20 % to the total error (Fig. 8d). 25 We also show results for flight B724 as a special contrasting case. Figure 14a shows 42 O3 retrievals from flight B724 (ClearfLo) compared to vertically-binned in situ concentration profile measured by the 2B Technologies instrument (black). The a priori (operationally derived from the MACC database in this case), has little bias below 7 km but appears to misrepresent the presence of stratospheric air enriched in ozone above 7 km (confirmed also by the aircraft-measured potential temperature profile, not shown). Meteorological charts for this day show a tropopause fold over the area (not shown) - a mesoscale feature not commonly captured by coarse-scale global circula- 5 G. Allen et al. tion models such as those employed for MACC. This makes this case study particularly interesting in assessing the performance of MARS to unexpected events. Encouragingly, the retrieved profiles in Fig. 14 do capture some of the (vertically smoothed) structure of this stratospheric intrusion despite the a priori constraint above 7 km. The AK at 7.1 km (Fig. 13c) contains dominant peaks from both that layer and the two adja- 10 cent layers (8.95 and 5.61 km), and this smoothing is manifest in the retrieved profile as a positive and negative bias in the layers around a rapidly increasing gradient in ozone at 7 km. This is analogous to the retrieval response to the presence of a strong temperature inversion discussed in Sect. 4.3 and shows that MARS can capture important (and unexpected) vertical gradients in ozone within 2 km of the aircraft altitude. 15 Comparing the B724 flight-mean and in situ partial columns (Fig. 14b and Table 3) we see a mean bias of +3.7 % and 1σ of this bias of ±17 % (22.4 ppb), compared to a natural variability of ±8 %. Figure 14b shows the mean bias standard error (red bars) and we see that this overlaps well within the 1σ in situ bars (black). Due to the potential of the FAAM aircraft to routinely sample stratospheric air, two fur- 20 ther flight examples are shown (Fig. 15) for incidences and absences of stratospheric intrusion during flights B720 (MAMM, Fig. 15a), and B290 (JAIVEx, Fig. 15b), respectively. In both examples, the retrieval performs well and captures smoothed vertical structure in the layers within 3 km below the aircraft. In these flights, mean partial column biases were found to be +5.4 % and +8.1 % with 1σ of the bias equal to 20 % and 25 Printer-friendly Version 13 % respectively (Table 3). This compares to natural variability of 17 % and 21 %, respectively. Global dataset bias can be summarised as being small compared to natural variability, which itself is comparable to the bias-standard-deviation. This suggests that bias cannot be distinguished from natural variability and therefore that (as for the other retrieval products), an error on ARIES ozone partial column retrievals is conservatively characterised by the a posteriori error (15 %, 11 ppb weighted mean concentration) for individual profile retrievals. ## 5 Conclusions Atmospheric trace-gas-concentration and thermodynamic profiles have been retrieved 5 G. Allen et al. and validated for the ARIES instrument using the MARS scheme throughout the troposphere and planetary boundary layer for aircraft campaigns around London, the US Gulf Coast, and the Arctic Circle during the ClearfLo, JAIVEX, and MAMM aircraft projects, respectively. Typically high DOFS for temperature (4.71) and water vapour (3.11) confirm that 10 ## Title Page Abstract Introduction Conclusions References Tables Figures vertically-resolved information can be obtained for these parameters, whilst only partialcolumn retrievals of CO, CH4, and O3 can be usefully reported. In the case of temperature and water vapour, PBL inversion layers and dry/moist layers could be qualitatively discerned. Retrieved data were compared to corresponding measurements from high-precision in-situ analysers and dropsondes operated on the FAAM air- 15 craft. Partial-column mean biases (and bias standard deviation) averaged across all flight campaigns were −0.4(±1.9) %, −4.8(±13.1) %, −0.6(±2.1) %, −3.0(±18.4) %, and +4.7(±24.9) % for T, H2O, CH4, CO, and O3, respectively, although such biases (and variability in bias) were much smaller than the measured natural variability. Dataset-averaged a posteriori errors were 0.4 %, 9.5 %, 5.0 %, 21.2 %, and 15.0 %, 20 respectively. Bias and flight-averaged repeatability compare favourably with remote sensing measurement of CH4 from the TCCON network and the MAMAP aircraft instrument and perform significantly better for all tropospheric state parameters studies here compared to IASI. The a posteriori error is quoted here as the typical uncertainty on individually retrieved profiles. 25 Averaging kernels derived for progressively lower altitudes showed improving sensitivity to lower atmospheric layers when flying at lower altitudes, typically peaking between 1 km and 2 km below the aircraft. In particular, vertical structure in this layer was accurately detected and resolved in the case of ozone (e.g. during two stratospheric intrusions not expected in reanalysis thermodynamic and ozone data used as a priori). This demonstrates that valuable additional information content can be obtained by nadir infrared remote sensing using ARIES by optimising the vertical sam- 5 pling of the FAAM aircraft for future atmospheric process studies using the MARS scheme. Acknowledgements. Airborne data was obtained using the BAe-146-301 Atmospheric Research Aircraft [ARA] flown by Directflight Ltd and managed by the Facility for Airborne Atmospheric Measurements [FAAM], which is a joint entity of the Natural Environment Research 10 Title Page Abstract Introduction Council [NERC] and the Met Office. The authors would like to BADC for hosting of, and access to, ECMWF and FAAM data, and the NERC for funding Allen's Fellowship (NE/I021276/1). MACC data provided by the MACC-II project were funded by the European Union under the 7th Framework Programme. Data from the MAMM project were obtained under NERC funding (N/E NE/I029293/1) and data have been used here with permission of the MAMM Principal 15 Conclusions References Investigator (John Pyle, Cambridge University). Tables Figures ## References ◀ ▶ Blumstein, D., Chalon, G., Carlier, T., Buil, C., Hebert, P ., Maciaszek, T., and Jegou, R.: IASI in- ◀ ▶ strument: technical overview and measured performances, in: Optical Science and Technology, the SPIE 49th Annual Meeting, 196–207, International Society for Optics and Photonics, 20 Back Close 2004. Bohnenstengel, S. I., Belcher, S. E., Allan, J. D., Allen, G., Bacak, A., Bannan, T. J., Barlow, J. F., Full Screen / Esc Printer-friendly Version Beddows, D. C. S., Bloss, W. J., Booth, A. M., Chemel, C., Coceal, O., Di Marco, C. F., Faloon, K. H., Fleming, Z., Furger, M., Geitl, J. K., Graves, R. R., Green, D. C., Grimmond, C. S. B., Halios, C., Hamilton, J. F., Harrison, R. M., Heal, M. R., Heard, D. E., 25 ## Interactive Discussion Helfter, C., Herndon, S. C., Holmes, R. E., Hopkins, J. R., Jones, A. M., Kelly, F. J., Kotthaus, S., Langford, B., Lee, J. D., Leigh, R. J., Lewis, A. C., Lidster, R. T., Lopez-Hilfiker, F. D., McQuaid, J. B., Mohr, C., Monks, P . S., Nemitz, E., Ng, N. L., Percival, C. J., Prévôt, A. S. H., Ricketts, H. M. A., Sokhi, R., Stone, D., Thornton, J. A., Tremper, A. H., Valach, A. C., Visser, S., Whalley, L. K., Williams, L. R., Xu, L., Young, D. E., and Zotter, P .: Meteorology, air quality, and health in London: the ClearfLo project, B. Am. Meteorol. Soc., in press, 2014. Boynard, A., Clerbaux, C., Coheur, P .-F., Hurtmans, D., Turquety, S., George, M., Hadji- Lazaro, J., Keim, C., and Meyer-Arnek, J.: Measurements of total and tropospheric ozone 5 from IASI: comparison with correlative satellite, ground-based and ozonesonde observations, Atmos. Chem. 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Soc., 93, 347–370, doi:10.1175/BAMS-D-11-00027.1, 2012. Illingworth, S. M., Remedios, J. J., Boesch, H., Moore, D. P ., Sembhi, H., Dudhia, A., and Tables Figures Walker, J. C.: ULIRS, an optimal estimation retrieval scheme for carbon monoxide using IASI 20 ◀ ▶ spectral radiances: sensitivity analysis, error budget and simulations, Atmos. Meas. Tech., 4, 269–288, doi:10.5194/amt-4-269-2011, 2011. Illingworth, S. M., Allen, G., Newman, S., Vance, A., Marenco, F., Harlow, R. C., Taylor, J., ◀ ▶ Moore, D. P ., and Remedios, J. J.: Atmospheric composition and thermodynamic retrievals from the ARIES airborne FTS system - Part 1: Technical aspects and simulated capability, 25 Back Close Atmos. Meas. Tech. Discuss., 6, 10833–10887, doi:10.5194/amtd-6-10833-2013, 2013. Inness, A., Baier, F ., Benedetti, A., Bouarar, I., Chabrillat, S., Clark, H., Clerbaux, C., Coheur, P ., Full Screen / Esc Printer-friendly Version Engelen, R. J., Errera, Q., Flemming, J., George, M., Granier, C., Hadji-Lazaro, J., Huijnen, V., Hurtmans, D., Jones, L., Kaiser, J. W., Kapsomenakis, J., Lefever, K., Leitão, J., Razinger, M., Richter, A., Schultz, M. G., Simmons, A. J., Suttie, M., Stein, O., Thépaut, J.-N., 30 Thouret, V., Vrekoussis, M., Zerefos, C., and the MACC team: The MACC reanalysis: an 8 yr data set of atmospheric composition, Atmos. Chem. Phys., 13, 4073–4109, doi:10.5194/acp- 13-4073-2013, 2013. Krings, T., Gerilowski, K., Buchwitz, M., Reuter, M., Tretner, A., Erzinger, J., Heinze, D., Pflüger, U., Burrows, J. P ., and Bovensmann, H.: MAMAP - a new spectrometer system for column-averaged methane and carbon dioxide observations from aircraft: retrieval algorithm and first inversions for point source emission rates, Atmos. Meas. Tech., 4, 1735–1758, doi:10.5194/amt-4-1735-2011, 2011. 5 Larar, A. M., Smith, W. L., Zhou, D. K., Liu, X., Revercomb, H., Taylor, J. P ., Newman, S. M., and Schlüssel, P .: IASI spectral radiance validation inter-comparisons: case study assessment from the JAIVEx field campaign, Atmos. Chem. Phys., 10, 411–430, doi:10.5194/acp-10- 411-2010, 2010. Marenco, F . and Hogan, R. J.: Determining the contribution of volcanic ash and boundary layer 10 G. Allen et al. aerosol in backscatter lidar returns: a three component atmosphere approach, J. Geophys. Res.-Atmos., 116, D00U06, doi:10.1029/2010JD015415, 2011. Newman, S. M., Larar, A. M., Smith, W. L., Ptashnik, I. V., Jones, R. L., Mead, M. I., Revercomb, H., Tobin, D. C., Taylor, J. K., and Taylor, J. P .: The Joint Airborne IASI Validation Title Page Experiment: an evaluation of instrument and algorithms, J. Quant. Spectrosc. Ra., 11, 1372– 15 Abstract Introduction 1390, 2012. O'Shea, S. J., Bauguitte, S. J.-B., Gallagher, M. W., Lowry, D., and Percival, C. J.: Development Conclusions References of a cavity-enhanced absorption spectrometer for airborne measurements of CH4 and CO2, Atmos. Meas. Tech., 6, 1095–1109, doi:10.5194/amt-6-1095-2013, 2013. Rothman, L. S., Gordon, I. E., Babikov, Y., Barbe, A., Chris Benner, D., Bernath, P . F., Birk, M., 20 Bizzocchi, L., Boudon, V., Brown, L. R., Campargue, A., Chance, K., Cohen, E. A., Coudert, L. H., Devi, V. M., Drouin, B. J., Fayt, A., Flaud, J.-M., Gamache, R. R., Harrison, J. J., Hartmann, J.-M., Hill, C., Hodges, J. T., Jacquemart, D., Jolly, A., Lamouroux, J., Le Roy, R. J., Li, G., Long, D. A., Lyulin, O. M., Mackie, C. J., Massie, S. T., Mikhailenko, S., Müller, H. S. P ., Naumenko, O. V., Nikitin, A. V., Orphal, J., Perevalov, V., Perrin, A., Polovtseva, E. R., 25 Richard, C., Smith, M. A. H., Starikova, E., Sung, K., Tashkun, S., Tennyson, J., Toon, G. C., Tyuterev, G., and Wagner, G.: The HITRAN2012 molecular spectroscopic database, J. Quant. Spectrosc. Ra., 130, 4–50, doi:10.1016/j.jqsrt.2013.07.002, 2013. Toon, G., Blavier, J. F ., Washenfelder, R., Wunch, D., Keppel-Aleks, G., Wennberg, P ., and ## Printer-Friendly Version Notholt, J.: Total column carbon observing network (TCCON), in: Fourier Transform Spec- 30 troscopy (p. JMA3), Optical Society of America, 2009. Wilson, S., Atkinson, N., and Smith, J.: The development of an airborne infrared interferometer for meteorological sounding studies, J. Atmos. Ocean. Tech., 16, 1912–1927, 1999. Wunch, D., Toon, G. C., Wennberg, P . O., Wofsy, S. C., Stephens, B. B., Fischer, M. L., Uchino, O., Abshire, J. B., Bernath, P ., Biraud, S. C., Blavier, J.-F. L., Boone, C., Bow- ## Amtd man, K. P ., Browell, E. V., Campos, T., Connor, B. J., Daube, B. C., Deutscher, N. M., Diao, M., Elkins, J. W., Gerbig, C., Gottlieb, E., Griffith, D. W. T., Hurst, D. F., Jiménez, R., Keppel- Aleks, G., Kort, E. A., Macatangay, R., Machida, T., Matsueda, H., Moore, F., Morino, I., 5 Park, S., Robinson, J., Roehl, C. M., Sawa, Y., Sherlock, V., Sweeney, C., Tanaka, T., and Zondlo, M. A.: Calibration of the Total Carbon Column Observing Network using aircraft profile data, Atmos. Meas. Tech., 3, 1351–1362, doi:10.5194/amt-3-1351-2010, 2010. Wunch, D., Toon, G. C., Blavier, J.-F. L., Washenfelder, R. A., Notholt, J., Connor, B. J. Griffith, D. W. T., Sherlock, V., and Wennberg, P . O.: The total carbon column observing network, 10 G. Allen et al. Philos. T. R. Soc. A, 369, 2087–2112, 2011. G. Allen et al. Instrument Technique Parameter Reference/Company Title Page Aerolaser AL5002 Fluorescence CO Aero-Laser GmbH, Gerbig et al. (1999) 2B Technologies 202 ozone analyser UV absorption O3 2B Technologies Inc Abstract Introduction Conclusions References Los Gatos FGGA Cavity enhanced absorption spectroscopy CH4, CO2 Los Gatos Inc., O'Shea et al. (2013) Aerodyne QCLAS Quantum Cascade Laser absorption Spectroscopy CH4, N2O Aerodoyne Inc. General Eastern GE 1011B Hygrometer Chilled mirror dewpoint H2O General Eastern Inc. \| Rosemount/Goodrich type 102 \| Thermistor \| \|-------------------------------\|--------------\| \| T \| \| \| Rosemount \| \| \| Aerospace Inc. \| \| \| Airborne Vertical Atmospheric \| \| \| Profiler System (AVAPS) \| \| \| Dropsonde \| \| \| + \| \| \| GPS \| \| \| T \| \| \| , \| \| \| P \| \| \| , RH, winds \| Vaisala Inc \| \| Mini Lidar Leosphere ALS450 \| \|-------------------------------\| \| Marenco et al. (2011) \| ## From Aircraft G. Allen et al. \| Retrieval Parameter \| Spectral Window \| Co-retrieved parameters \| \|-----------------------\|-------------------\|---------------------------\| T 690–775 cm−1 Ts, H2O, Aerosol extinction, CO2 H2O 1200–1410 cm−1 Ts, H2O, Aerosol extinction CH4 1240–1290 cm−1 Ts, H2O, Aerosol extinction O3 990–1040 cm−1 Ts, H2O, Aerosol extinction CO 2143–2181 cm−1 Ts, H2O, Aerosol extinction \| Param \| Flight \| \|-------------\|----------\| \| N \| \| \| DOFS \| \| \| ϵ \| \| \| p \| \| \| Mean Bias \| \| \| σ \| \| \| bias \| \| \| σ \| \| \| true \| \| \| T \| \| \| B290 \| 209 \| \| − \| \| \| 0.4(0.2 %) \| 1.9 \| \| B720 \| 41 \| \| − \| \| \| 1.3(0.6 %) \| 1.5 \| \| B724 \| 27 \| \| − \| \| \| 1.1(0.5 %) \| 2.1 \| \| B725 \| 125 \| \| − \| \| \| 0.7(0.3 %) \| 1.9 \| \| All \| 402 \| \| − \| \| \| 0.7(0.3 %) \| 1.9 \| \| H \| \| \| 2 \| \| \| O \| B290 \| \| − \| \| \| 910(4.4 %) \| 1030 \| \| B720 \| 41 \| \| + \| \| \| 560(5.7 %) \| 760 \| \| B724 \| 20 \| \| − \| \| \| 650(4.9 %) \| 1540 \| \| B725 \| 125 \| \| − \| \| \| 270(2.8 %) \| 1680 \| \| All \| 389 \| \| − \| \| \| 479(4.8 %) \| 1111 \| \| CH \| \| \| 4 \| \| \| B719 \| 14 \| \| − \| \| \| 45(2.7 %) \| 67.6 \| \| B720 \| 24 \| \| + \| \| \| 21(1.1 %) \| 63.2 \| \| B724 \| 20 \| \| − \| \| \| 29(1.5 %) \| 19.3 \| \| B725 \| 389 \| \| − \| \| \| 11(0.6 %) \| 40.1 \| \| All \| 447 \| \| − \| \| \| 11.2(0.6 %) \| 41.3 \| \| CO \| B290 \| \| − \| \| \| 2.2(2 %) \| 17.1 \| \| B719 \| 41 \| \| − \| \| \| 1.0(1.3 %) \| 13.2 \| \| B720 \| 41 \| \| − \| \| \| 3.2(3 %) \| 19.2 \| \| B724 \| 30 \| \| − \| \| \| 2.0(2 %) \| 22.4 \| \| B725 \| 110 \| \| − \| \| \| 6.3(6 %) \| 30.2 \| \| All \| 425 \| \| − \| \| \| 3.3(3 %) \| 20.4 \| \| O \| \| \| 3 \| \| \| B290 \| 191 \| \| + \| \| \| 8.1(12 %) \| 9.0 \| \| B719 \| 41 \| \| + \| \| \| 4.0(6.0 %) \| 14.9 \| \| B720 \| 58 \| \| + \| \| \| 4.4(5.4 %) \| 16.3 \| \| B724 \| 42 \| \| + \| \| \| 3.3(3.7) % \| 31.2 \| \| B725 \| 25 \| \| − \| \| \| 2.2(3.0) % \| 22.1 \| \| All \| 357 \| \| + \| \| \| 3.5(4.7 %) \| \| \| 18.7 \| 14.1 \| G. Allen et al. Title Page Abstract Introduction Conclusions References Tables Figures ◀ ## 746 747 Coded For Altitude As Indicated In The Legend. Permission Granted By Google Maps 748 Terrametrics, Inc To Display The Imagery Shown Here. 749 Validation And Results From Aircraft Campaigns 751 granted by Terrametrics, Inc to display the imagery shown here. Figure 2 Flight track of FAAM flights B724 (thick track) and B725 (thin track) on 30 July 2012 752 9 August 2012 respectively, and colour-coded for altitude as indicated in the legend. Permiss 753 granted by Terrametrics, Inc to display the imagery shown here. 754 ## 755 Validation And Results From Aircraft Campaigns 756 757 18 July 2012 Respectively, And Colour-Coded For Altitude As Indicated In The Legend. P 758 Granted By Google Maps And Terrametrics, Inc To Display The Imagery Shown Here. 759 760 Validation And Results From Aircraft Campaigns Figure 4: Example retrieval metrics for H2O during flight B290 over the Gulf of Mexico at 7.4 km 762 altitude showing: (a) Measured (ARIES, black) and fitted (green) spectra; (b) Residual difference 763 between the ARIES-measured and fitted spectrum (red) and noise-equivalent spectral radiance 764 (NESR, black); (c) Averaging kernels (and degrees of freedom for signal, inset); d) Total and 765 component systematic and random error components. 766 Fig. 4. Example retrieval metrics for H2O during flight B290 over the Gulf of Mexico at 7.4 km altitude showing: (a) measured (ARIES, black) and fitted (green) spectra; (b) residual difference between the ARIES-measured and fitted spectrum (red) and noise-equivalent spectral radiance (NESR, black); (c) averaging kernels (and degrees of freedom for signal, inset); (d) total and ## Amtd Validation And Results From Aircraft Campaigns Validation And Results From Aircraft Campaigns 775 777 Figure 6: Example retrieval metrics for temperature during flight B724 over land at 8.9 km 778 altitude showing: (a) Measured (ARIES) and fitted spectra; (b) Residual difference between the 779 ARIES-measured spectrum and fitted spectrum; (c) Averaging kernels (and degrees of freedom 780 for signal, inset); d) Total and component systematic and random error components. 781 ## Amtd Validation And Results From Aircraft Campaigns Validation And Results From Aircraft Campaigns 785 786 787 788 789 791 (d) total and component systematic and random error components. Figure 8: Example retrieval metrics for CH4 during flight B724 over land at 9.0 km altitude 792 showing: (a) Measured (ARIES) and fitted spectra; (b) Residual difference between the ARIES- 793 measured spectrum and fitted spectrum; (c) Averaging kernels (and degrees of freedom for 794 signal, inset); d) Total and component systematic and random error components. 795 797 uncertainty (total error) is shown by the red bars. Figure 9: a) 389 individual methane concentration retrieval profiles across flight B725 colour- 798 coded for observer (flight) altitude (red = 8.7 km, yellow = 6.1 km, green = 4.8 km). Retrieval 799 uncertainty (total error) is shown as the dotted bars in each case. In situ and a priori profiles are 800 also shown as per legend; b) Mean profiles from flight B725 for: retrieved (red), in-situ-measured 801 (black), in-situ average convolved with ARIES averaging kernels (green); and a priori (blue). 802 Standard deviations of the measurement variability and a priori are shown as correspondingly- 803 coloured bars at each binned vertical level and the root mean square retrieval uncertainty (total 804 error) is shown by the red bars. 805 807 808 809 810 811 3436 ## Validation And Results From Aircraft Campaigns Amtd Validation And Results From Aircraft Campaigns G. Allen et al. and component systematic and random error components. Figure 13: Example retrieval metrics for O3 during flight B719 over sea at 8.3 km altitude 828 showing: (a) Measured (ARIES) and fitted spectra; (b) Residual difference between the ARIES- 829 measured spectrum and fitted spectrum; (c) Averaging kernels (and degrees of freedom, inset); 830 d) Total and component systematic and random error components. 831 ## Validation And Results From Aircraft Campaigns Amtd Validation And Results From Aircraft Campaigns G. Allen et al. Fig. 15. (a) As for Fig. 14b but for 58 ozone concentration retrieval profiles averaged for flight B720; and (b) as for Fig. 14b but for 191 ozone concentration retrieval profiles averaged for flight B290. Figure 15: a) As for Figure 14b but for 58 ozone concentration retrieval profiles averaged for 843 flight B720; and b) As for Figure 14b but for 191 ozone concentration retrieval profiles averaged 844 for flight B290. 845	en
3312-pdf	## Internal Audit Report St Paul'S Ce Primary School (N11) 19 March 2018 To: Chair of Governors Headteacher Copied to: Education and Skills Director Strategic Director (Children and Young People) School Finance Manager (Finance Service) Local Authority Appointed Governor Clerk to Governors Contact: Internal audit We would like to thank management and staff of St Paul's School for their time and co-operation during the course of the internal audit. ## Cross Council Assurance Service Executive Summary \| Assurance level and Direction of Travel \| Number of actions by risk category \| \|--------------------------------------------\|-----------------------------------------\| \| Limited \| \| \| Critical \| High \| \| - \| \| \| \| \| \| 1 \| \| \| \| \| \| 5 \| 2 \| \| \| \| ## Background And Scope The audit of St Paul's School was carried out as part of the planned School audits for 2017-18. The audit review covered the period April 2016 to January 2018. St Paul's School is a Voluntary aided school with 221 pupils on role aged between 3 and 11 years of age. The School budgeted expenditure for 2017/18 is £1,333,696 with employee costs of £897,183 (67% of budgeted expenditure). The School was assessed as 'Good' by OFSTED in March 2014. A review of the five recommendations reported in the previous audit report dated 3 February 2014 found that three recommendations had been repeated (Income, After school club and Voluntary funds). The aim of the audit is to provide assurance on key areas of financial management. The review covered all major systems within the school to ensure compliance with the Scheme for Financing Schools and the Barnet Financial Guide for Schools, including Barnet Contract Standing Orders for Schools. The scope of the audit included assessment of the following:- - adequacy of accounting, financial and other controls; - compliance with established plans and procedures; - the integrity and reliability of financial and other information; - whether assets and other interests of the Council are properly safeguarded; and - whether the use of resources achieves value for money. In addition to the above, a review of the 'Schools Financial Values Standard' (SFVS) self-assessment was conducted to ensure that the self-assessment has been completed in line with requirements. The standard has been designed to assist schools in managing their finances and to give assurance that they have secure financial management in place. ## Summary Of Findings The table provided in Appendix 2 lists the areas audited and the number of recommendations in each area. Definitions of audit assurance levels and risk ratings for the issues identified are provided in Appendix 1. As part of the audit we were able to give 'Limited' Assurance to the school, noting one high, five medium and two low priority issues as part of the audit: - Governance– The school does not have an up to date Financial Procedures Manual to accompany the recently approved Financial Scheme of Delegation. (Finding one, low rated); - Purchasing– Procedures when using the school credit cards should be reviewed, documented and agreed by Governors to ensure a complete audit trail, separation of duties and proof of receipt of goods. Delivery notes should always be signed. (Finding two, medium rated); - Contracts– A signed contract was not available in school for the cleaning contract. No evidence of review of the cleaning contract. Evidence was not retained to confirm compliance with Contract Standing orders for schools when entering into agreements for leased photocopiers. (Finding three, medium rated); - Income– Record keeping for breakfast club income received into the school should be reviewed and updated to comply with the financial guide for schools. Adequate records should be maintained to provide a complete record of payments to date and outstanding debts. A system should be created where a regular review of income is undertaken by a senior member of staff. (Finding four, medium rated); - Lettings– The school should have an up to date signed agreement with regular users of the school premises, stating that they agree to the terms and conditions of hire. Administration arrangements should be adequate and effective. (Finding five, medium rated); - Voluntary funds– The accounting records for the voluntary fund were not available at the audit. It could not be confirmed that the account had been closed subsequent to the last internal audit visit and the balance transferred to the school's delegated budget. (Finding six, high rated); - Assets– The IT inventory was not found to be complete. No evidence of annual review or Governor Authorisation of disposals. (Finding seven, medium rated). Following our 'Schools Financial Values Standard' (SFVS) self - assessment review we were able to confirm that there were no major discrepancies in judgements noted, however, although the School has responded with 'Yes' or 'N/A', in the areas outlined below, it is the opinion of audit that this area has either not been met, or met 'In-Part' (refer also to Appendix 3 below): A5: Are business interests of governing body members and staff properly registered and taken into account so as to avoid conflicts of interest? - The school has answered 'Yes', but there was no evidence of review of business interests of office staff. C14: Does the school benchmark its income and expenditure annually against that of similar schools and investigate further where any category appears to be out of line? - The school has answered 'Yes, but there was no evidence in school that this was completed annually. D20: Is the governing body sure that there are no outstanding matters from audit reports or from previous consideration of weaknesses by the governing body? - The school has answered 'Yes', but three findings from the previous audit have been repeated (Income, After school club and Assets) D21: Are there adequate arrangements in place to guard against fraud and theft by staff, contractors and suppliers? - The school has answered 'Yes', but refer to Finding (Purchasing/Income/Voluntary funds/Assets), which should be addressed to ensure procedures are as robust as possible. ## D24: Does The School Have Adequate Arrangements For Audit Of Voluntary Funds?-The Accounting Records For The Amenities Account Were Not Available At The Audit. D25: Does the school have an appropriate business continuity or disaster recovery plan, including an up-to-date asset register and adequate insurance? - The school has answered 'Yes', but the asset register was not found to be complete. ## 2. Findings, Recommendations And Action Plan \| \| \| \| \| \| \|-----\|---------\|-------\|---------------\|------------------\| \| Ref \| Finding \| Risks \| Risk category \| Agreed action(s) \| ## 1. Governance Objective - To ensure the responsibilities of the governing body, its committees, the head teacher and staff are clearly defined and limits of delegated authority established; and that management, organisation and arrangements are adequate and effective leading to sound financial decisions. There is a risk to the effective financial management of the School if, in the absence of an up to date Financial Management and Procedures Policy, Governing Body members and key staff are not able to fulfil their responsibilities consistently. Finding - The school has recently approved a Financial Scheme of Delegation which includes reference to the schools' Financial Procedures Manual'. The school previously held a Financial Management Policy and Procedures document for internal use, but this has not been kept up to date. No other Financial Procedures Manual was available in school. There is a risk: ## 2. Purchasing Objective - To ensure that the School's purchasing, tendering and contracting arrangements achieve value for money i) That goods and services may be purchased which are not in line with School requirements; Finding - ii) Payments could be made by the School without receiving the goods/services, in the absence of proper verification of receipt; a) The school has school credit cards issued to the Headteacher and Deputy Headteacher that are used to purchase school supplies online. The school credit card policy could not be found during the audit visit. A review of school procedures found that a purchase log was prepared, but this did not allow for separation of duties between purchasing and authorising officer. Confirmation of receipt of goods was not always recorded for credit card purchases. Supplementary guidance issued by the Schools Finance Manager in November 2016 states that where the Headteacher is making the purchase using a credit card, approval for the purchase will be required from the Chair of Governors. This approval was not recorded for purchases made by the former Headteacher. \| Low \| Actions: \| \|----------------------------------------------\|-------------\| \| The school will approve a Financial \| \| \| Procedures Manual to accompany the \| \| \| Financial Scheme of Delegation. \| \| \| Responsible officer: \| \| \| Headteacher/Governors \| \| \| Target date: \| \| \| Summer term 2018 \| \| \| \| \| \| Medium \| Actions: \| \| The School will approve a credit card policy \| \| \| and use of the school credit cards to \| \| \| ensure that all purchases are reviewed and \| \| \| executed in accordance with requirements \| \| \| as approved within the School's Financial \| \| \| Procedures Manual, ensuring at all times \| \| \| that a separation of duties exists between \| \| \| purchase order request, purchase order \| \| \| approval and online payment by credit \| \| \| card, sufficient budget is available, a \| \| \| record is kept of delivery to the school and \| \| \| that approved purchase orders and credit \| \| \| card authorisation forms are retained for \| \| \| each purchase for independent review and \| \| \| scrutiny where necessary. When the \| \| \| Headteacher's \| credit \| \| purchases will be countersigned by the \| \| \| Chair of Governors. \| \| Delivery notes will be signed to evidence checking of goods received. These will be \| \| \| \| \| \| \|-------------------------------------------------------------\|---------\|-------\|---------------\|------------------\| \| Ref \| Finding \| Risks \| Risk category \| Agreed action(s) \| \| b) During our review of paid invoices it was noted that \| \| \| \| \| \| delivery notes had not been signed to confirm quality and \| \| \| \| \| \| quantity of goods received. \| \| \| \| \| \| \| \| \| \| \| \| 3. \| \| \| \| \| \| Contracts \| \| \| \| \| \| There is a risk that the school may not \| \| \| \| \| \| be seen to be: \| \| \| \| \| \| - Achieving 'value for money'; \| \| \| \| \| \| Objective - \| \| \| \| \| \| To ensure that the School's purchasing, \| \| \| \| \| \| tendering and contracting arrangements achieve value for \| \| \| \| \| \| money \| \| \| \| \| \| Finding - \| \| \| \| \| \| A signed contract could not be found in school for \| \| \| \| \| \| the cleaning contract. Annual contract value £16,500. \| \| \| \| \| \| - Demonstrating that it has acted in a \| \| \| \| \| \| fair and transparent manner when \| \| \| \| \| \| selecting contracts for works and \| \| \| \| \| \| services. \| \| \| \| \| \| There was no evidence that alternative quotes had been \| \| \| \| \| \| sought, or any documented review of performance for the \| \| \| \| \| \| cleaning contract. \| \| \| \| \| \| Without a formally signed contract \| \| \| \| \| \| confirming acceptance of terms and \| \| \| \| \| \| conditions and conditions by all parties, \| \| \| \| \| \| there is a risk that disputes may not be \| \| \| \| \| \| resolved correctly. \| \| \| \| \| \| \| \| \| \| \| \| The school has a number of photocopier lease contracts. \| \| \| \| \| \| Although the school advised that a value for money exercise \| \| \| \| \| \| had been undertaken, paperwork was not retained, and \| \| \| \| \| \| there was no evidence of Governor approval where the \| \| \| \| \| \| contract entered into was in excess of £10,000. \| \| \| \| \| \| \| \| \| \| \| ## 4. Income There is a risk of errors, financial loss and possible fraud or misappropriation of income, in the absence of; -Independent checks to confirm Objective - To ensure that all income due to the school is identified, collected, receipted, recorded and banked promptly and that, administration arrangements are adequate and effective. amounts banked agree to source records; Finding - filed with purchase orders and invoices in a systematic manner. Responsible officer: Headteacher/Governors/Office staff Target date: Summer term 2018 Medium Actions: Signed contracts will be retained for referral where necessary. For procurement exercises, quotes will be obtained and evaluated in line with 'Contract standing order for schools.' Records of quotes and evaluations will be retained for referral and scrutiny. Minutes of meetings will include consideration by governors of quotations for the renewal/procurement of any relevant contract, in order to ensure that there is clear and visible evidence of a fair and transparent selection process. Responsible officer: Headteacher/Governors/Office staff Target date: Next Contract Renewal Medium Actions: Strict income controls and procedures will be put in place to ensure effective financial management. Independent checks should be carried out to verify amounts banked agree to source records. These checks should be visibly evidenced. Reference: \| \| \| \| \| \| \|-----------------------------------------\|---------\|-------\|---------------\|------------------\| \| Ref \| Finding \| Risks \| Risk category \| Agreed action(s) \| \| -Clear audit trails and records for all \| \| \| \| \| \| income due/received. \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| a) Our review of the income system found that attendance records are kept for the breakfast club run by members of staff. Although amounts were seen to be banked, we were unable to evidence reconciliations of the register/receipt record to the amounts that had been paid into the bank. The Financial Guide for schools requires that documentation retained is structured and formal - which will aid considerably in the absence of key staff. It is recommended that the school documents systems, procedures, duties and responsibilities for requesting and recording income from breakfast club. The school should maintain a complete record of payments to date and outstanding debts in a format which is easily updated and visibly reviewed by a senior member of staff on a regular basis. b) Detailed records are kept in school to record receipt of money received for school meals. The school advised that two members of staff were involved in checking money banked, but there was no evidence of this check retained for audit purposes. There was no regular documented review of outstanding debts on a regular basis by a senior member of staff. (2016/7 Pupil paying meal income was £23,320.) ## 5. Lettings Objective - To ensure that all income due from lettings to the school is identified, collected, receipted, recorded and banked promptly and that, administration arrangements are adequate and effective. There is a risk that without formal approval from the Governing Body and comprehensive agreements, disputes and misunderstandings may occur without any point of reference by which to resolve them. There is a risk of errors, financial loss and possible fraud or misappropriation of income, in the absence of; -Independent checks to confirm amounts banked agree to source records; Finding - The school premises are used by external providers. No letting policy was available at the audit. No invoices for lettings were seen to be raised although regular amounts were banked from one user of school premises. The school provided a service agreement document dated July 2017 for use of the premises by KidFit Coaching Services who run an afterschool activity club and Holiday club for ten weeks of the school holidays. The Service agreement provided income to the school £1,200, but the -Clear audit trails and records for all income due/received. The Barnet Schools Financial Guide, section 7 (Income collection and administration) Responsible officer: Headteacher/Office staff Target date: Summer term 2018 Medium Actions: The Lettings procedures will be reviewed with reference to the Barnet Schools Financial Guide, section 7.9 (Lettings Policy and Administration). Governors will agree a lettings policy, and formal invoicing procedures will be agreed. All outstanding money to the school will be collected from users of the school premises. ## Responsible Officer: Headteacher/Governors/Office staff Target date: Summer term 2018 \| \| \| \| \| \| \|-------------------------------------------------------\|---------\|-------\|---------------\|------------------\| \| Ref \| Finding \| Risks \| Risk category \| Agreed action(s) \| \| \| \| \| \| \| \| school were unable to confirm if this amount had been \| \| \| \| \| \| invoiced or received. \| \| \| \| \| ## 6. Voluntary Funds Objective - The audit objective was to ensure that voluntary funds are administered as rigorously as public funds. Failure to apply the same standards of financial accounting, which apply to income and expenditure for the school's delegated budget, could lead to misuse of funds and loss of revenue to the School. Finding - At the date of the last audit in February 2014 it was noted that the school was operating an Amenities account. The audit report stated that the funds had not been audited on an annual basis, and the level of accountability and stewardship was not the same standard as for the School's delegated budget. In February 2014 the school agreed to close the Amenities account. Due to staff changes in school, records after August 2010 could not be found during the audit visit. ## 7. Assets Objective - To ensure that the school has adequate controls and records to safeguard its valuable/moveable assets and items of inventory. Failure to maintain a complete and accurate inventory could result in the School failing to identify possible lost/missing equipment and having insufficient details to provide in the event of an insurance claim. Finding - A review of the school's IT inventory, found that insufficient details were recorded to comply with the Financial Guide for schools (no note for all assets of cost or date of purchase.) There was no evidence of annual review, or Governor approval of disposals High Actions: The school will continue investigations with the support of the Schools Finance Support Service and Governors to locate missing paperwork. If the accounting records are located by the school, then the school will submit audited accounts to Governors in accordance with the Financial Guide for schools section 10. If the accounting records cannot be located by current staff, then the school will obtain records from the school bankers to establish that the Amenities account was closed, and the destination of the final balance. This information will be presented to Governors Responsible officer: Headteacher/Governors/Office staff Target date: Summer term 2018 Medium Actions: The Inventory will be updated with reference to the Barnet Schools Financial Guide, section 4.8 (Control of Assets). Annual check will be completed and Governors will approve disposals. Responsible officer: Headteacher/Governors/Caretaker \| \| \| \| \| \| \|------------------\|---------\|-------\|---------------\|------------------\| \| Ref \| Finding \| Risks \| Risk category \| Agreed action(s) \| \| Target date: \| \| \| \| \| \| Summer term 2018 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| ## Appendix 1: Definition Of Risk Categories And Assurance Levels In The Executive Summary Risk rating Critical Critical issue where action is considered imperative. Action to be effected immediately.  High Fundamental issue where action is considered imperative to ensure that the School is not exposed to high risks, also covers breaches of legislation and policies and procedures. Action to be effected within 1 to 3 months.  Medium Significant issue where action is considered necessary to avoid exposure to risk. Action to be effected within 3 to 6 months.  Low Issue that merits attention/where action is considered desirable. Action usually to be effected within 6 to 12 months.  Level of assurance Substantial The standard of controls operating in the systems audited at the school is robust and provides substantial confidence that the school is protected from loss, waste, fraud or error.  Reasonable The standard of controls operating gives reasonable assurance that the school is protected from loss, waste, fraud or error but there may be areas which need to be strengthened to provide robust confidence in the system of internal control.  Limited The standard of controls is insufficient to give confidence that the school is protected from loss, waste, fraud or error. Prompt attention needs to be given to strengthening one or more areas of the control system before sufficient confidence is provided.  No The standard of controls is poor and places the school in potential danger of loss from waste, loss, fraud or error. Urgent attention needs to be given by management to addressing weaknesses identified in the audit.  ## Appendix 2 - Areas Audited And Analysis Of Findings \| \| \| \| \| \| \| Summary of Findings \| \|------------------------------------------------------------------------------------------------------------------------------------------------------------------\|------------------\|---------------\|------------------\|--------\|-----\|------------------------\| \| Area \| \| Critical \| High \| Medium \| Low \| Advisory \| \| Governance \| \| \| \| \| \| \| \| \| \| \| 1 \| \| \| \| \| \| \| \| \| \| \| \| \| Financial Planning \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Budget Monitoring \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Purchasing \| \| \| \| \| \| \| \| \| \| 1 \| \| \| \| \| \| \| \| \| \| \| \| \| \| Contracts \| \| \| \| \| \| \| \| \| \| 1 \| \| \| \| \| \| \| \| \| \| \| \| \| \| Income \| \| \| \| \| \| \| \| \| \| 1 \| \| \| \| \| \| \| \| \| \| \| \| \| \| Lettings \| \| \| \| \| \| \| \| \| \| 1 \| \| \| \| \| \| \| \| \| \| \| \| \| \| Banking & Petty Cash \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Payroll \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Tax \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Voluntary Funds \| \| \| \| \| \| \| \| \| 1 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Assets \| \| \| \| \| \| \| \| \| \| 1 \| \| \| \| \| \| \| \| \| \| \| \| \| \| Insurance \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Data Security \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Pupil Premium \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Safeguarding* \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Schools Financial Values Standard \| \| \| \| \| \| \| \| \| \| \| 1 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| *Scope limited to confirmation as to whether the school has completed a Safeguarding audit tool and whether any issues were noted over its Single Central Record \| \| \| \| \| \| \| \| Timetable \| \| \| \| \| \| \| \| Audit agreed: \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Fieldwork \| \| \| \| \| \| \| \| commenced: \| \| \| \| \| \| \| \| Fieldwork \| \| \| \| \| \| \| \| completed: \| \| \| \| \| \| \| \| Draft report issued: \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Management \| \| \| \| \| \| \| \| comments received: \| \| \| \| \| \| \| \| Final report issued: \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| 13 November 2017 \| 19 February 2018 \| 19 March 2018 \| 20 February 2018 \| \| \| \| \| \| \| \| \| \| \| \| \| 05 March 2018 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| 19 March 2018 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| ## Appendix 3 - Review Of Schools Financial Values Standard 17/18 \| AUDIT CONCLUSION FOLLOWING \| LIST OF QUESTIONS \| \|-------------------------------------------------------------------------------------------\|-----------------------------------------\| \| SCHOOL \| \| \| REVIEW OF COMMENTS AND \| \| \| RESPONSE \| \| \| \| \| \| EVIDENCE \| \| \| A: The Governing Body and School Staff \| \| \| \| \| \| \| \| \| \| \| \| Yes \| Agreed \| \| have adequate financial skills among its members to fulfil its role of challenge and \| \| \| support in the field of budget management and value for money? \| \| \| \| \| \| Yes \| Agreed \| \| of reference and a knowledgeable and experienced chair? \| \| \| \| \| \| Yes \| Agreed \| \| school staff in the financial field? \| \| \| Yes \| Agreed \| \| 4. Does the governing body receive clear and concise monitoring reports of the school's \| \| \| budget position at least three times a year? \| \| \| 5. Are business interests of governing body members and staff properly registered and \| \| \| taken into account so as to avoid conflicts of interest? \| \| \| Yes \| In Part - Business Interests forms were \| \| not signed by office staff \| \| \| Yes \| Agreed \| \| when specialist finance staff are absent, eg on sick leave? \| \| \| 7. Does the school review its staffing structure regularly? \| Yes \| \| Yes \| Agreed \| \| performance criteria? \| \| \| Yes \| Agreed \| \| process in relation to the headteacher? \| \| \| B: Setting the Budget \| \| \| \| \| \| \| \| \| Yes \| Agreed \| \| for raising standards and attainment? \| \| \| \| \| \| Yes \| Agreed \| \| capital funds, for at least three years, using the best available information? \| \| \| \| \| Yes Agreed 12. Does the school set a well-informed and balanced budget each year (with an agreed and timed plan for eliminating any deficit)? Yes Agreed 13. Is end year outturn in line with budget projections, or if not, is the governing body alerted to significant variations in a timely manner, and do they result from explicitly planned changes or from genuinely unforeseeable circumstances? C: Value for Money Yes In Part - no evidence of annual review 14. Does the school benchmark its income and expenditure annually against that of similar schools and investigate further where any category appears to be out of line? Yes Agreed 15. Does the school have procedures for purchasing goods and services that both meet legal requirements and secure value for money? Yes Agreed 16. Are balances at a reasonable level and does the school have a clear plan for using the money it plans to hold in balances at the end of each year? Yes Agreed 17. Does the school maintain its premises and other assets to an adequate standard to avoid future urgent need for replacement? Yes Agreed 18. Does the school consider collaboration with others, eg on sharing staff or joint purchasing, where that would improve value for money? Yes Agreed 19. Can the school give examples of where it has improved the use of resources during the past year? D: Protecting Public Money Yes In Part - three findings have been repeated 20. Is the governing body sure that there are no outstanding matters from audit reports or from previous consideration of weaknesses by the governing body? 21. Are there adequate arrangements in place to guard against fraud and theft by staff, contractors and suppliers (please note any instance of fraud or theft detected in the last 12 months)? Yes Refer to Findings/Recommendations Purchasing/Income/Voluntary funds/Assets Yes Agreed 22. Are all staff aware of the school's whistleblowing policy and to whom they should report concerns? Yes Agreed 23. Does the school have an accounting system that is adequate and properly run and delivers accurate reports, including the annual Consistent Financial Reporting return? 24. Does the school have adequate arrangements for audit of voluntary funds? N/A Records were not available at audit Yes In Part - Asset register is not complete 25. Does the school have an appropriate business continuity or disaster recovery plan, including an up-to-date asset register and adequate insurance? ## Appendix 4 - Internal Audit Roles And Responsibilities Limitations Inherent To The Internal Auditor'S Work We Have Undertaken The Review Of St Paul'S School, Subject To The Limitations Outlined Below. Internal Control Internal control systems, no matter how well designed and operated, are affected by inherent limitations. These include the possibility of poor judgment in decision-making, human error, control processes being deliberately circumvented by employees and others, management overriding controls and the occurrence of unforeseeable circumstances. ## Future Periods Our assessment of controls is for the period specified only. Historic evaluation of effectiveness is not relevant to future periods due to the risk that: - the design of controls may become inadequate because of changes in operating environment, law, regulation or other; or - the degree of compliance with policies and procedures may deteriorate. Responsibilities of management and internal auditors It is management's responsibility to develop and maintain sound systems of risk management, internal control and governance and for the prevention and detection of irregularities and fraud. Internal audit work should not be seen as a substitute for management's responsibilities for the design and operation of these systems. We endeavour to plan our work so that we have a reasonable expectation of detecting significant control weaknesses and, if detected, we shall carry out additional work directed towards identification of consequent fraud or other irregularities. However, internal audit procedures alone, even when carried out with due professional care, do not guarantee that fraud will be detected. Accordingly, our examinations as internal auditors should not be relied upon solely to disclose fraud, defalcations or other irregularities which may exist.	en
0950-pdf	# Agri-Food & Biosciences Institute Annual Report Marine Biotoxin Analysis Official Control Monitoring Programme For Northern Ireland 1St January 2019 - 31St December 2019 Final Version 28/02/2020 Contract Reference: FS515003 ## 9 Pages Quality statement: This report is a compilation of the information included on the reports provided weekly/monthly to the FSANI and showing the results of the toxin analyses undertaken on samples submitted by third parties. All results were quality checked and approved prior to release to the FSANI and the results compiled in this report have been further checked against a copy of the original reports held on a central database. Information relating to the origin of the samples (place, date and time of collection) is as provided by sampling staff and has not undergone verification checks by AFBI. ## Method Standard Operating Procedures Used During The Course Of The Programme: Determination of Domoic Acid in Shellfish by High Performance Liquid Chromatography (CSD 406) Determination of Paralytic Shellfish Poison by High Performance Liquid Chromatography (CSD 408) Determination of Lipophilic Toxins in Shellfish Species by LC-MS/MS (CSD 379) ## Results Of Programme \| Sample Type \| Number of samples \| \|-------------------------\|----------------------\| \| Oyster \| 134 \| \| Mussel \| 326 \| \| Total number of samples \| 460 \| \| \| \| \| \| \| \| \| \| \| \| \| Test Oyster Mussel Total Domoic Acid 129 316 445 PSP 129 315 444 Lipophilic Toxins 134 325 459 Total number of tests 1348 Test Oyster Mussel Total Domoic Acid 0 0 0 PSP 0 0 0 Lipophilic Toxins 0 4 4 Total number of positive tests 4 Test Target Percentage within Target Domoic Acid 95% in 3 Days 100% PSP 95% in 3 Days 100% Lipophilic Toxins 95% in 3 Days 100% NI classified production areas No of Site Identification Shellfish Site location Reference (SIR) samples received Species Belfast Lough B1-AFFNI 55 51 Mussel 65 NEG NEG NEG <0.3 Belfast Lough B3-AFFNI 50 51 Mussel 135 NEG NEG NEG 1.2 Belfast Lough B12-AFFNI 54 51 Mussel 155 NEG NEG NEG 1.6 Belfast Lough B20-AFFNI 53 51 Mussel 134 NEG NEG NEG 0.5 Carlingford Lough C1-AFFNI 27 13 Mussel NEG NEG NEG NEG <0.3 Carlingford Lough C11-AFFNI 84 13 Oyster 63 NEG NEG NEG 0.32 Carlingford Lough C15-AFFNI 89 12 Oyster NEG NEG NEG NEG <0.3 Carlingford Lough C17-AFFNI 92 11 Oyster NEG NEG NEG NEG <0.3 Carlingford Lough C7-AFFNI 73 13 Oyster NEG NEG NEG NEG <0.3 Carlingford Lough C9-AFFNI 39 11 Oyster NEG NEG NEG NEG <0.3 Carlingford Lough NW-Wild Fishery 13 Mussel NEG NEG NEG NEG <0.3 Dundrum Bay DB1-AFFNI 95A 14 Oyster 30 NEG NEG NEG <0.3 Dundrum Bay DB1-AFFNI 95A 17 Mussel 261 NEG NEG NEG <0.3 Dundrum Bay DB2-AFFNI 95B 13 Mussel 170 NEG NEG NEG 0.74 Killough K1-AFFNI 18 6 Mussel 43 NEG NEG NEG <0.3 Killough K1-AFFNI 18 13 Oyster 11 NEG NEG NEG 0.54 Larne Lough L5-AFFNI 21B 10 Mussel NEG NEG NEG NEG <0.3 Larne Lough L5-AFFNI 21B 10 Oyster NEG NEG NEG NEG <0.3 Larne Lough L3-AFFNI 88 12 Oyster NEG NEG NEG NEG <0.3 Lough Foyle PA3M-Wild Fishery 12 Mussel NEG NEG NEG NEG <0.3 Lough Foyle PA3O-Wild Fishery 5 Oyster NEG NEG NEG NEG <0.3 Lough Foyle PA4M-Wild Fishery 12 Mussel NEG NEG NEG NEG <0.3 Lough Foyle PA4O- Wild Fishery 5 Oyster NEG NEG NEG NEG <0.3 Strangford Lough S7-AFFNI 76 12 Mussel NEG NEG NEG NEG <0.3 Strangford Lough S7-AFFNI 76 15 Oyster NEG NEG NEG NEG 0.33 Strangford Lough S2-AFFNI 42 14 Mussel 60 NEG NEG NEG <0.3 Maximum toxin levels detected in 2019 DSP OA/DTX/PTX DSP AZA DSP YTX PSP ASP (µg/kg) (µg/kg) (mg/kg) (µg/kg) (µg/g) ## Proficiency Test Results For Methods Used For Official Control Purposes In 2019 Performance in proficiency tests is assessed using a Z-score. This is calculated for each participant's data. Each sample /matrix combination is given an assigned value and Z-score is calculated thus: Z-score = Mean from Laboratory - Assigned Value Total Error The total error is based on values set for the proportional error and the constant error. These values are set by the organisers. The numbers in the z column indicate: \|Z\| < 2 satisfactory performance 2 < \|Z\| < 3 questionable performance \|Z\| > 3 unsatisfactory performance ## Domoic Acid 2019 Proficiency Test Summaries Reported Sample ID Sample description Assigned value value Units z-score EURLMB/19/A/01 Shellfish homogenate 7.3 7.2 mg/kg -0.10 EURLMB/19/A/02 Shellfish homogenate 76.5 77.9 mg/kg 0.10 Reported Sample ID Sample description Assigned value value Units z-score QST260BT Scallop tissue 27 26 mg/kg -0.29 QST261BT Queen scallop aductor muscle 28.1 29.5 mg/kg 0.39 QST262BT Pacific oyster 8.4 8.3 mg/kg -0.09 Reported Sample ID Sample description Assigned value value Units z-score QST269BT Oyster tissue 17.1 18.7 mg/kg 0.7 QST270BT Queen scallop aductor muscle 28.3 32.2 mg/kg 1.1 QST271BT Blue mussel 52.1 45.9 mg/kg -0.9 ## Psp 2019 Proficiency Test Summaries \| Sample ID \| Matrix \| Determinant \| \|----------------------\|----------------------\|----------------\| \| Assigned \| \| \| \| EURLMB/19/P/01 \| Shellfish homogenate \| Total toxicity \| \| EURLMB/19/P/01 \| Shellfish homogenate \| dcGTX-2,3 \| \| EURLMB/19/P/01 \| \| \| \| \| \| \| \| Shellfish homogenate \| dcSTX \| 642.8 \| \| EURLMB/19/P/01 \| Shellfish homogenate \| GTX-2,3 \| \| EURLMB/19/P/01 \| Shellfish homogenate \| GTX-5 \| \| EURLMB/19/P/01 \| Shellfish homogenate \| STX \| \| EURLMB/19/P/01 \| Shellfish homogenate \| dcNEO \| \| EURLMB/19/P/01 \| Shellfish homogenate \| GTX-6 \| \| EURLMB/19/P/02 \| Shellfish homogenate \| Total toxicity \| \| EURLMB/19/P/02 \| Shellfish homogenate \| C-1,2 \| \| EURLMB/19/P/02 \| Shellfish homogenate \| dcSTX \| \| EURLMB/19/P/02 \| Shellfish homogenate \| GTX-2,3 \| \| EURLMB/19/P/02 \| Shellfish homogenate \| GTX-5 \| \| EURLMB/19/P/02 \| Shellfish homogenate \| dcNEO \| \| EURLMB/19/P/02 \| Shellfish homogenate \| C-3,4 \| \| EURLMB/19/P/02 \| Shellfish homogenate \| GTX-6 \| \| EURLMB/19/P/03 \| Shellfish homogenate \| Total toxicity \| \| EURLMB/19/P/03 \| Shellfish homogenate \| GTX-2,3 \| \| \| \| \| \| 2.20 \| \| \| \| EURLMB/19/P/03 \| Shellfish homogenate \| STX \| \| Sample ID \| Sample description \| Determinant \| \|------------------\|-----------------------\|----------------\| \| Assigned \| \| \| \| Value \| \| \| \| QST 266BT \| \| \| \| Mussel tissue \| \| \| \| GTX-2,3 \| \| \| \| 3.21 \| 3.04 \| \| \| µmol/kg \| \| \| \| -0.37 \| \| \| \| QST 266BT \| \| \| \| Mussel tissue \| \| \| \| STX \| \| \| \| 1.74 \| 1.57 \| \| \| µmol/kg \| \| \| \| -0.62 \| \| \| \| QST 266BT \| \| \| \| Mussel tissue \| \| \| \| Total toxicity \| \| \| \| 1334 \| 1263 \| \| \| µgSTXdiHCleq./kg \| \| \| \| -0.42 \| \| \| \| QST 267BT \| \| \| \| \| \| \| \| Mussel tissue \| \| \| \| GTX-2,3 \| \| \| \| \| \| \| \| 2.94 \| 2.77 \| \| \| µmol/kg \| \| \| \| -0.38 \| \| \| \| QST 267BT \| \| \| \| \| \| \| \| Mussel tissue \| \| \| \| STX \| \| \| \| 1.41 \| 1.3 \| \| \| µmol/kg \| \| \| \| -0.48 \| \| \| \| QST 267BT \| \| \| \| Mussel tissue \| \| \| \| Total toxicity \| \| \| \| 1156 \| 1101 \| \| \| µgSTXdiHCleq./kg \| \| \| \| -0.37 \| \| \| \| QST 268BT \| \| \| \| Mussel tissue \| dc-Neo \| 0.21 \| \| µmol/kg \| \| \| \| 0.48 \| \| \| \| QST 268BT \| \| \| \| Mussel tissue \| dc-STX \| 1.87 \| \| µmol/kg \| \| \| \| -1.54 \| \| \| \| QST 268BT \| \| \| \| Mussel tissue \| GTX-2,3 \| 0.07 \| \| µmol/kg \| \| \| \| 0.00 \| \| \| \| QST 268BT \| \| \| \| Mussel tissue \| STX \| 0.08 \| \| µmol/kg \| \| \| \| -0.33 \| \| \| \| QST 268BT \| \| \| \| Mussel tissue \| \| \| \| Total toxicity \| \| \| \| 762.4 \| 592 \| \| \| µgSTXdiHCleq./kg \| \| \| \| -1.54 \| \| \| ## Reported Value Value Units z-Score Reported Value Units z-score \| Sample ID \| Sample description \| Determinant \| \|------------------\|-----------------------\|----------------\| \| Assigned \| \| \| \| Value \| \| \| \| Reported \| \| \| \| Value \| \| \| \| Units \| z-score \| \| \| QST275BT \| \| \| \| Mussel tissue \| \| \| \| GTX-2,3 \| \| \| \| 5.02 \| 4.56 \| \| \| µmol/kg \| \| \| \| -0.5 \| \| \| \| QST275BT \| \| \| \| Mussel tissue \| \| \| \| STX \| \| \| \| 3.4 \| 3.24 \| \| \| µmol/kg \| \| \| \| -0.3 \| \| \| \| QST275BT \| \| \| \| Mussel tissue \| \| \| \| Total toxicity \| \| \| \| 2327 \| 2224 \| \| \| µgSTXdiHCleq./kg \| \| \| \| -0.3 \| \| \| \| QST276BT \| \| \| \| Mussel tissue \| \| \| \| dc-STX \| \| \| \| 0.51 \| 0.44 \| \| \| µmol/kg \| \| \| \| -0.6 \| \| \| \| QST276BT \| \| \| \| Mussel tissue \| \| \| \| GTX-2,3 \| \| \| \| 5.35 \| 4.98 \| \| \| µmol/kg \| \| \| \| -0.4 \| \| \| \| QST276BT \| \| \| \| Mussel tissue \| \| \| \| STX \| \| \| \| 1.27 \| 1.11 \| \| \| µmol/kg \| \| \| \| -0.7 \| \| \| \| QST276BT \| \| \| \| Mussel tissue \| \| \| \| Total toxicity \| \| \| \| 1768 \| 1689 \| \| \| µgSTXdiHCleq./kg \| \| \| \| -0.3 \| \| \| \| QST277BT \| \| \| \| Mussel tissue \| GTX-2,3 \| 6.85 \| \| µmol/kg \| \| \| \| -0.5 \| \| \| \| QST277BT \| \| \| \| Mussel tissue \| STX \| 1.88 \| \| µmol/kg \| \| \| \| -0.7 \| \| \| \| QST277BT \| \| \| \| Mussel tissue \| \| \| \| Total toxicity \| \| \| \| 2163 \| 2012 \| \| \| µgSTXdiHCleq./kg \| \| \| \| -0.5 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| ## Lipophilic Toxins 2019 Proficiency Test Summaries Table 12: EURL 2019 - LC-MS/MS Reported Sample ID Matrix Determinant Assigned Value Value Units z-score EURLMB/19/L/01 Mussel homogenate Total OA group 1659.5 1435.8 µg OA eq./kg -0.80 EURLMB/19/L/01 Mussel homogenate Free OA 200.6 150.0 µg/kg -1.20 EURLMB/19/L/01 Mussel homogenate Free DTX2 165.0 123.0 µg/kg -1.10 EURLMB/19/L/01 Mussel homogenate Total OA 1418.8 1266.0 µg/kg -0.70 EURLMB/19/L/01 Mussel homogenate Total DTX2 330.2 283.0 µg/kg -0.80 EURLMB/19/L/01 Mussel homogenate Total YTX 3.0 3.0 mg YTX eq./kg 0.10 EURLMB/19/L/01 Mussel homogenate YTX 0.2 0.2 mg/kg 0.00 EURLMB/19/L/01 Mussel homogenate homo-YTX 2.1 1.9 mg/kg -0.50 EURLMB/19/L/01 Mussel homogenate 45 OH YTX 0.3 0.2 mg/kg -0.80 EURLMB/19/L/01 Mussel homogenate 45 OH homo YTX 1.2 1.5 mg/kg 1.40 EURLMB/19/L/02 Mussel homogenate Total OA group 82.1 47.2 µg OA eq./kg -1.90 EURLMB/19/L/02 Mussel homogenate Free OA 43.5 27.8 µg/kg -1.60 EURLMB/19/L/02 Mussel homogenate Total OA 80.7 47.2 µg/kg -1.80 EURLMB/19/L/02 Mussel homogenate AZA group 476.5 451.3 µg AZA eq./kg -0.30 EURLMB/19/L/02 Mussel homogenate AZA1 262.2 253.0 µg/kg -0.20 EURLMB/19/L/02 Mussel homogenate AZA2 73.8 74.1 µg/kg 0.00 EURLMB/19/L/02 Mussel homogenate AZA3 55.2 46.4 µg/kg -0.70 EURLMB/19/L/03 Mussel homogenate Total OA group 904.9 877.4 µg OA eq./kg -0.20 EURLMB/19/L/03 Mussel homogenate Free OA 20.8 14.8 µg/kg -1.20 EURLMB/19/L/03 Mussel homogenate Free DTX1 225.2 229 µg/kg 0.10 EURLMB/19/L/03 Mussel homogenate Total OA 49.4 23.4 µg/kg -2.10 EURLMB/19/L/03 Mussel homogenate Total DTX1 787.7 854 µg/kg 0.40 Reported Sample ID Sample Description Determinant Assigned Value Value Units z-Score QST263BT Mussel tissue 45-OH-homo-YTX 0.51 0.60 mg/kg 1.09 QST263BT Mussel tissue 45-OH-YTX 0.12 0.15 mg/kg 1.17 QST263BT Mussel tissue AZA-1 737.7 639 µg/kg -1.06 QST263BT Mussel tissue AZA-2 209.6 217 µg/kg 0.28 QST263BT Mussel tissue AZA-3 124.7 110 µg/kg -0.91 QST263BT Mussel tissue AZA-total 1303.6 1183 µg AZA eq./kg -0.73 QST263BT Mussel tissue Free-DTX1 85.8 71.2 µg/kg -1.27 QST263BT Mussel tissue Free-DTX2 567.2 520 µg/kg -0.65 QST263BT Mussel tissue free-Okadaic-Acid 149.1 134 µg/kg -0.79 QST263BT Mussel tissue Homo-YTX 1.1 1.04 mg/kg -0.37 QST263BT Mussel tissue Total OA group + PTX group 904.1 804 µg OA eq./kg -0.87 QST263BT Mussel tissue Total DTX1 112.6 101 µg/kg -0.79 QST263BT Mussel tissue Total DTX2 786.6 690 µg/kg -0.95 QST263BT Mussel tissue Total-free- OA+DTX1+DTX2 562.9 517 µg OA eq./kg -0.63 QST263BT Mussel tissue Total-hy- OA+DTX1+DTX2 924.4 804 µg OA eq./kg -1.01 QST263BT Mussel tissue Total okadaic acid 339.1 289 µg/kg -1.14 QST263BT Mussel tissue Total-YTX 1.76 1.75 mg YTX eq./kg -0.03 QST263BT Mussel tissue YTX 0.23 0.26 mg/kg 0.79 QST264BT Mussel extract AZA-1 97 87 µg/kg -0.77 QST264BT Mussel extract AZA-2 20.5 22.8 µg/kg 0.84 QST264BT Mussel extract AZA-3 36.8 32.3 µg/kg -0.93 QST264BT Mussel extract AZA-total 187 173.6 µg AZA eq./kg -0.54 QST264BT Mussel extract Free-DTX2 3.9 3.6 µg/kg -0.50 QST264BT Mussel extract free-Okadaic-Acid 38.7 37.9 µg/kg -0.16 QST264BT Mussel extract Total OA group + PTX group 47.9 49.8 µg OA eq./kg 0.31 QST264BT Mussel extract Total-DTX2 4.1 3.4 µg/kg -1.20 QST264BT Mussel extract Total-free- OA+DTX1+DTX2 41.3 40 µg OA eq./kg -0.23 QST264BT Mussel extract Total-hy-OA+DTX1+DTX2 48.4 49.8 µg OA eq./kg 0.22 QST264BT Mussel extract Total-Okadaic-Acid 46 47.7 µg/kg 0.29 QST265BT Mussel AZA-1 422.2 367 µg/kg -1.02 QST265BT Mussel AZA-2 118.6 130 µg/kg 0.75 QST265BT Mussel AZA-3 84.7 72.9 µg/kg -1.06 QST265BT Mussel AZA-total 767.5 703 µg AZA eq./kg -0.66 QST265BT Mussel Free-DTX2 101.4 82.8 µg/kg -1.41 QST265BT Mussel free-Okadaic-Acid 45.9 35.8 µg/kg -1.69 QST265BT Mussel Total-DTX2 146.5 119 µg/kg -1.44 QST265BT Mussel Total-free- OA+DTX1+DTX2 106.9 85.5 µg OA eq./kg -1.52 QST265BT Mussel Total-hy-OA+DTX1+DTX2 186.3 154.4 µg OA eq./kg -1.33 QST265BT Mussel Total-Okadaic-Acid 99.1 83 µg/kg -1.23 Reported Sample ID Sample Description Determinant Assigned Value Value Units z-Score QST272BT Mussel tissue Free-DTX2 407 392.4 µg/kg -0.3 QST272BT Mussel tissue Free-Okadaic acid 153 142.6 µg/kg -0.5 QST272BT Mussel tissue Total-free- OA+DTX1+DTX2 404 378.1 µg OA eq./kg -0.5 QST272BT Mussel tissue Total-DTX2 706 693.7 µg/kg -0.1 QST272BT Mussel tissue Totalk-Okadaic acid 484 475.2 µg/kg -0.1 QST272BT Mussel tissue Total-hy- OA+DTX1+DTX2 920 891.4 µg OA eq./kg -0.2 QST272BT Mussel tissue Total OA group + PTX group 924 891.4 µg OA eq./kg -0.3 QST273BT Mussel extract AZA-1 13.6 10.7 µg/kg -1.6 QST273BT Mussel extract AZA-2 3.87 3.5 µg/kg -0.7 QST273BT Mussel extract AZA-3 3.94 3.9 µg/kg -0.1 QST273BT Mussel extract AZA-total 25.4 22.5 µg AZA eq./kg -0.9 QST273BT Mussel extract Free-DTX2 60.8 53.4 µg/kg -0.9 QST273BT Mussel extract Free-Okadaic Acid 11.0 10.5 µg/kg -0.3 QST273BT Mussel extract Total-free- OA+DTX1+DTX2 49.4 42.5 µg OA eq./kg -1.1 QST273BT Mussel extract Total-DTX2 74.2 68.8 µg/kg -0.5 QST273BT Mussel extract Total-Okadaic Acid 18.7 16.7 µg/kg -0.8 QST273BT Mussel extract Total-hy- OA+DTX1+DTX2 63.0 57.9 µg OA eq./kg -0.6 QST273BT Mussel extract Total OA group + PTX group 64.4 57.9 µg OA eq./kg -0.8 QST273BT Mussel extract YTX 0.031 0.031 mg/kg 0.0 QST273BT Mussel extract Homo-YTX 0.302 0.328 mg/kg 0.5 QST273BT Mussel extract 45-OH-homo-YTX 0.174 0.196 mg/kg 0.6 QST273BT Mussel extract 45-OH-YTX 0.023 0.025 mg/kg 0.1 QST273BT Mussel extract Total-YTX 0.432 0.481 mg YTX eq./kg 0.7 QST274BT Blue mussel AZA-1 218 180.8 mg/kg -1.3 QST274BT Blue mussel AZA-2 59 59.2 mg/kg 0.0 QST274BT Blue mussel AZA-3 49.6 50.9 µg/kg 0.2 QST274BT Blue mussel AZA-total 392 358.5 µg AZA eq./kg -0.7 QST274BT Blue mussel Free-DTX2 297 284.7 µg/kg -0.3 QST274BT Blue mussel free-Okadaic-Acid 67.5 57.9 µg/kg -1.1 QST274BT Blue mussel Total-free- OA+DTX1+DTX2 250 228.7 µg OA eq./kg -0.6 QST274BT Blue mussel Total-DTX2 439 368.6 µg/kg -1.2 QST274BT Blue mussel Total-Okadaic-Acid 156 125.5 µg/kg -1.5 QST274BT Blue mussel Total-hy- OA+DTX1+DTX2 435 346.7 µg OA eq./kg -1.6 QST274BT Blue mussel Total OA group + PTX group 433 346.7 µg/kg -1.5 ## Overall Summary Of Proficiency Tests The proficiency tests for domoic acid were 100% satisfactory (8/8). For PSP they were 84% satisfactory (31/37); both rounds of the Quasimeme tests were 100% satisfactory but for the EURL there were 5 questionable and 1 unsatisfactory z-scores. The EURL report indicated that there were some problems with the identification and quantification of dcNEO in sample 1 with only half of participants identifying it. The sample was homogenised clam tissue originating from Spain during an episode of Gymnodinium catenatum, the toxin profiles of which have previously been particularly problematic to determine. The EURL report provided z-scores for total toxicity with and without the contribution of dcNeo and without it our z-score was 0.4 (satisfactory). The z-scores with the contribution of dcNeo and all other analytes were z'-scores (z prime) indicating a degree of uncertainty for the assigned value. Analysis of samples 2 and 3 led to one questionable z-score for each. Sample 2 was a homogenate of mussels again displaying a typical Gymnodinium catenatum profile. For this sample only 35% of participants identified dcNeo and again the scores for all analytes were given as z'-scores. The failing zscores were exclusively by overestimation of the assigned values and so may be attributed to the application of recovery correction creating falsely exaggerated results; this is not applied for the reporting of routine samples. The lipophilic exercises were 99% satisfactory (94/95). There was a single questionable z-score (-2.1) in the EURL exercise for the hydrolysed OA result for sample 3 but the total toxicity was satisfactory as was the hydrolysed OA results for samples 1 and 2. Internal non-conformance reports have been raised on our quality assurance system to address the discrepancies. Overall performance for the three toxin groups in the three proficiency tests is 95% satisfactory (133/140), 4.3% questionable and 0.7% unsatisfactory.	en
2013-pdf	the author known? Yes No Is the work a photograph or engraving? Has the work been published? No Yes Yes No Was the work published commercially less than 75 years after creation? Is the work an artistic work? Is the work a photograph? No Yes No Yes Yes No Copyright expires 50 Was the work Was the work Yes No Was the work published after 1 August 1989? years after Copyright expires 50 Copyright expires 125 created before published before 1 creation years after publication years after creation 1 June 1957? August 1989? Yes No Was the work published Was the work published Yes No commercially less than before 1 August 1989? 75 years after creation? No Yes No Yes Copyright Copyright Copyright expires Copyright expires 125 years after Copyright expires expires 31 expires 50 years 50 years after creation or on 31 December 50 years after December 2039 after publication publication	en
0122-pdf	# Developing Responses To Peer-Abuse: Learning From The Msu Local Site Support Project Dr Carlene Firmin MBE, University of Bedfordshire Sarah Wright, London Borough of Hackney - Partnership between UoB, Imkaan and Girls against Gangs project - Funded by Esmee Fairbairn Foundation, Trust for London and Samworth Foundation - Delivered in-depth support to develop practice in 11 local sites over 2.5 years in addition to internship programme for young people and policy engagement - Site support comprised two stages: 1) Audit of local practice - 6-9 months 2) Development and delivery of an action plan - 16 months ## Structure Of Site Work National Expert Advisory Panel and Government advisory groups Site training, strategic advice and assistance - 43 local authorities ## 1) Holistic Nature Of Peer-On-Peer Abuse Physical, sexual, emotional and financial abuse, and coercive control, exercised within young people's relationships ## 2) Contextual Dynamics Of Peer-On-Peer Abuse Learning From Across Sites • Majority of responses to peer-on-peer abuse are strategically positioned to engage with individual young people and their families • There are practical, conceptual and strategic barriers to addressing the contextual dynamics of peer-on-peer abuse • Within individual sites there are examples of individual services or practitioners who are developing a contextual response to peer-onpeer abuse • Delivery focused on capturing, scaling-up and amplifying evidence of contextual practice including: - Developing contextual harmful sexual behaviour meetings - Working with fair access panels to identify the use of managed moves in response to peer-on-peer abuse - Developing contextual and holistic problem profiles ## Contextual Responses– Examples Identified During Audits Reclaiming 'Vulnerable' Peer Group Mapping, Assessment And Contexts Intervention • Social workers and youth offending workers identified links between their individual cases • Met to map and refined assessment • Data used to identify environments where young people are being groomed i.e. shopping centre • Designed complimentary interventions ## Protecting Vulnerable Homes • Specialist workers, social workers and police visit those environments on a regular basis • Home identified where peer-on-peer abuse occurring • Lived in by mother with physical and learning disability • Young people expect to see them there and begin to talk to them • Lighting and CCTV improved • Engagement with schools officer • Peer group engaged through youth service and policing • Slowly this becomes a space where exploitation can't occur • Home no longer used for abuse ## Extending Child Concepts Of Child Protection (1) • Harm caused by the parent/carer OR • Capacity of parents to safeguard young people from significant harm • Processes in place to respond - S.17 (Child in Need), S.47 (Child Protection) • Case conferencing and child protection plan • Legal removal of the child or placement on voluntary agreement ## Transfer (1) - Capacity To Safeguard Who's capacity in which space? AND Which space is impacting which service's capacity? ## Extending Child Concepts Of Child Protection (2) Genograms Peer Group Information Capture Form Workshop To Identify Current Use: - For early intervention - For assessments - To task interventions into contexts Capture form used to aid social care and youth justice assessment - Nature of peer relationships (protective or presenting risk) - Role within the group - Open to social care or youth justice ## Aspirational Profiling Contextual Safeguarding (Firmin Et Al 2016): • Seeks to prevent, identify, assess and intervene with the social conditions of abuse • Incorporate extra-familial contexts into traditional child protection and safeguarding frameworks • Develop partnerships with sectors/individuals who are responsible for the nature of extrafamilial contexts • Monitor outcomes of success in relation to contextual, as well as individual, change ## Implications For Local Practice - A View From Hackney For more information and resources visit our website www.beds.ac.uk/ic carlene.firmin@beds.ac.uk @uniofbedscse	en
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Since copyright would not be infringed, archives do not require a declaration process where communicating information in response to an FOI request as they would in other circumstances to provide copies of copyright material (see section on Declarations). For further guidance from the Information Commissioner about FOI requests and copyright see ICO Intellectual property rights guidance Use of information provided by FOI - Copyright protection Information provided in response to an FOI request or listed in Publication Schemes, may be subject to copyright protection. The supply of documents under FOI does not automatically give the person or organisation who receives the information a right to reuse the documents in a way that would infringe copyright. The person who receives the information under FOI is obliged to respect the rights of the copyright owner. If they do not, the copyright owner can seek damages or an injunction for any infringement of copyright. Public authorities may advise the applicant if the information requested under FOI is subject to copyright protection where known, however it is the responsibility of the applicant to ensure they do not infringe copyright. Crown Copyright and Open Government Licences Details of the arrangements for reusing Crown copyright material can be found at Crown copyright. The re-use of Crown copyright information and Crown database rights are licensed through the Open Government Licence (OGL). The OGL is a simple set of terms and conditions for the re-use of a wide range of public sector information free of charge. Further information about the OGL is available at Licensing for re-use OGL. The Freedom of Information Act covers the wider public sector so not all public authorities' information will be Crown copyright. For a list of Crown bodies see Crown bodies. Crown bodies and archives holding Crown material can license its re-use under OGL without any need for approval. Other licence terms require a delegation. Public Sector Information Any information, whatever its form - including print, digital or electronic, and sound recordings - produced, held or disseminated by a public sector body is considered public sector information. This includes an enormous range of corporate information such as reports and financial data, mapping, codes of practice, public records, legislation, statistics, video, press releases, local planning and tourist information, artefacts, publication schemes, and so on. Enabling the re-use of public sector information aims to realise economic, societal and democratic benefits in permitting re-users other than the originating public authorities to create new products and services using official information, thereby stimulating economic activity, and to increase the efficiency and transparency of public functions. Accessible information which is produced, held or disseminated by the public sector body must be made available for re-use (unless it is otherwise restricted or excluded). Common examples of restrictions and exclusions include third-party copyright exclusion and the protection of personal data. All public sector bodies should make clear when granting access to information if there are any restrictions on re-use. PSI implementation guidance for public sector bodies The 2015 Re-use of Public Sector Information Regulations do not apply to documents held by public service broadcasters, educational, research or most cultural establishments. They did, however, bring archives together with museums and libraries within the scope of the regulations. Archives may, rather than must, permit re-use of documents in their collections. Refusals to give permission to re-use may not be discriminatory, and such decisions can be challenged. Archives must allow re-use of information if it has already been made available for re-use, including re-use by the archives themselves. Where re-use is permitted for more than one party, including by the archives, it must be on the same terms and conditions (non-discriminatory). Archives can charge to cover the cost of collection, production, reproduction, preservation and rights clearance together with a reasonable return on investment and they may decline the permission to re-use information. The Regulations recognise that archives and other cultural bodies have particular requirements regarding their need to make exclusive arrangements when digitising information. Whereas exclusive arrangements generally are banned, there is an exemption covering archive digitisation projects. There is further guidance on this in the PSI implementation guidance for cultural sector bodies. Documents are exempt from the regulations where copyright does not belong to the public sector body or the information is not accessible under FOI. Archives should be very clear in any contractual relationships where copyright belongs. Cultural sector public bodies are required to be transparent about what information can be re-used, the pricing of it, and the terms and conditions on which that re-use can take place. PSI implementation guidance for the cultural sector Public Records Any public record open to public inspection may be copied and a copy supplied without infringement of copyright in line with section 49 of CDPA. Additionally, section 47 of CDPA permits copying of material that is open to public inspection pursuant to a statutory requirement (or is on a statutory register), in certain circumstances, and section 48 of CDPA permits copying of material communicated to the Crown in the course of public business, in certain circumstances. Copyright material held by public bodies Third Party Copyrights Not all information provided in response to FOI requests, listed in Publication Schemes and held by archives will necessarily be in copyright owned by the public authority. It will, therefore, help researchers if any such material is identified together with details of who owns the copyright, where known. Authorisation to re-use copyright material not owned by the public body or Crown should be sought from the copyright holders concerned. ## Declarations The Copyright, Designs and Patents Act has been changed to make it easier and cheaper for cultural institutions like archives to use, share and preserve their collections. An archivist who is supplying a copy outside FOIA must ask a researcher to declare that they are doing non-commercial research; this can now be done electronically (for example, an electronic copyright declaration form could be signed using a typed name and check-box system). Exceptions to copyright: Libraries, Archives and Museums Further information on copyright and exceptions to copyright can be found on The Intellectual Property Office's website at IPO guidance - exceptions to copyright It is always advisable to check that any copying of copyright material is permitted. Other Forms of Intellectual Property Rights (IPR) Most information falling within the scope of FOI is likely to be covered by copyright. It is conceivable that some of the information supplied under the terms of the Act could relate to specific forms of intellectual property, e.g. patents and trademarks. Information on such Intellectual Property Rights can be found on the website of the Intellectual Property Office.	en
2415-pdf	\| Previous Years \| 2017/2018 \| \|-------------------------------------------\|-------------\| \| Collection \| \| \| Frequency \| \| \| 2014/2015 \| 2015/2016 \| \| % of working age population in employment \| \| \| (16-64) \| \| \| Quarterly \| 74.10% \| \| Up is \| \| \| Good \| \| \| Ÿ \| \| \| Green \| \| \| emp1 \| \| \| Regional Rank (Rank out of 15) \| Quarterly \| \| ŻŹ \| \| \| Employment Rate (Male) \| Quarterly \| \| Up is \| \| \| Good \| \| \| Neutral \| \| \| CJGE71 \| \| \| Regional Rank (Rank out of 15) \| Quarterly \| \| Employment Rate (Female) \| Quarterly \| \| Up is \| \| \| Good \| \| \| Ÿ \| \| \| Green \| \| \| CJGE72 \| \| \| Regional Rank (Rank out of 15) \| Quarterly \| \| CJGE03 \| York \| \| ¶ \| \| \| s unemployment rate below the national \| Quarterly \| \| Up is \| \| \| Good \| \| \| Ÿ \| \| \| Green \| \| \| ŻŹ \| \| \| % of Part time employees \| Quarterly \| \| Up is \| \| \| Bad \| \| \| Neutral \| \| \| Benchmark - National Data \| Quarterly \| \| CJGE05 \| \| \| Benchmark - Regional Data \| Quarterly \| ## 2. Employment Regional Rank (Rank out of 15) Quarterly 15 11 14 - - - - - % of panel who work inside York area Quarterly NC NC 79.91% 77.84% - - - - Neutral ŻŹ Neutral TAP14 % of panel who work outside York area Quarterly NC NC 20.09% 22.16% - - - - Neutral ŻŹ Neutral ŻŹ Quarterly NC NC 72.34% 68.13% - - - - Up is Good Neutral % of panel who agree their skills and qualifications are suited to jobs available in York TAP15 Quarterly NC NC 16.60% 19.23% - - - - Up is Bad Ÿ Red % of panel who disagree their skills and qualifications are suited to jobs available in York % of panel who agree that to develop their career need to commute out of York Quarterly NC NC 35.86% 41.48% - - - - Up is Bad Ÿ Red TAP16 % of panel who disagree that to develop their career need to commute out of York Quarterly NC NC 51.52% 46.59% - - - - Up is Good ź Red ŻŹ TAP17 % of panel who agree that to continue working in York will have to retrain Quarterly NC NC 19.29% 19.02% - - - - Up is Bad Neutral \| Previous Years \| 2017/2018 \| \|-------------------------------------------------\|-----------------------------------\| \| Collection \| \| \| Frequency \| \| \| 2014/2015 \| 2015/2016 \| \| ŻŹ \| \| \| TAP17 \| \| \| % of panel who disagree that to continue \| \| \| working in York will have to retrain \| \| \| Quarterly \| NC \| \| Up is \| \| \| Good \| \| \| Neutral \| \| \| ŻŹ \| \| \| % of panel who agree the council and its \| \| \| partners are helping to create jobs in the city \| \| \| Quarterly \| NC \| \| Up is \| \| \| Good \| \| \| Neutral \| \| \| TAP18 \| \| \| ŻŹ \| \| \| % of panel who disagree the council and its \| \| \| partners are helping to create jobs in the city \| \| \| Quarterly \| NC \| \| Up is \| \| \| Bad \| \| \| Neutral \| \| \| 2. Employment \| \| \| TOU25 \| % of jobs which are tourism based \| \| ŻŹ \| \| \| Neutral \| \| \| CJGE16 \| \| \| Earnings gap between the 25 percentile and \| \| \| WKHPHGLDQ…<RUN \| \| \| Annual \| \| \| … \| … \| \| - \| - \| \| Up is \| \| \| Bad \| \| \| Ÿ \| \| \| Red \| \| \| Median earnings of residents \| \| \| ± \| \| \| Gross Weekly \| \| \| 3D\… \| \| \| Annual \| 476.9 \| \| Up is \| \| \| Good \| \| \| Ÿ \| \| \| Green \| \| \| Benchmark - National Data \| Annual \| \| CJGE14 \| \| \| Benchmark - Regional Data \| Annual \| \| Regional Rank (Rank out of 15) \| Annual \| \| 4. Earnings \| \| \| ŻŹ \| \| \| Median earnings of residents - Gross Weekly \| \| \| 3D\…HQGHU3D\DS \| \| \| Annual \| 98.9 \| \| Up is \| \| \| Bad \| \| \| Neutral \| \| \| Benchmark - National Data \| Annual \| \| CJGE68 \| \| \| Benchmark - Regional Data \| Annual \| \| Regional Rank (Rank out of 15) \| Annual \| \| ŻŹ \| \| \| JSA Claimants: % of Working Age Population \| \| \| (16-64) \| \| \| Monthly \| 0.80% \| \| Up is \| \| \| Bad \| \| \| Neutral \| \| \| Benchmark - National Data \| Monthly \| \| CJGE06 \| \| \| Benchmark - Regional Data \| Monthly \| \| 1. Benefits \| \| \| Regional Rank (Rank out of 15) \| Monthly \| \| Previous Years \| 2017/2018 \| \|------------------------------------------------\|-------------------------------\| \| Collection \| \| \| Frequency \| \| \| 2014/2015 \| 2015/2016 \| \| % Total Benefit Claimants (Working Age 16- \| \| \| 64) \| \| \| Quarterly \| 7.30% \| \| Up is \| \| \| Bad \| \| \| ź \| \| \| Green \| \| \| Benchmark - National Data \| Quarterly \| \| CJGE09 \| \| \| Benchmark - Regional Data \| Quarterly \| \| Regional Rank (Rank out of 15) \| Quarterly \| \| 1. Benefits \| \| \| ŻŹ \| \| \| JSA and UC (Out of Work) % of working age \| \| \| population (16 - 64) \| \| \| Monthly \| NC \| \| Up is \| \| \| Bad \| \| \| Neutral \| \| \| CJGE151 \| \| \| Benchmark - National Data \| Monthly \| \| Benchmark - Regional Data \| Monthly \| \| CJGE23 \| % of vacant city centre shops \| \| Up is \| \| \| Bad \| \| \| Ÿ \| \| \| Red \| \| \| ŻŹ \| \| \| Business Deaths \| Annual \| \| Up is \| \| \| Bad \| \| \| Neutral \| \| \| CJGE29 \| \| \| Regional Rank (Rank out of 15) \| Annual \| \| ŻŹ \| \| \| 9$SHUKHDG… \| \| \| Annual \| 23,977 \| \| Up is \| \| \| Good \| \| \| Neutral \| \| \| CJGE30 \| \| \| Regional Rank (Rank out of 12) \| Annual \| \| ŻŹ \| \| \| 7RWDO9$…ELOOLRQ \| \| \| Annual \| 4.95 \| \| Up is \| \| \| Good \| \| \| Neutral \| \| \| CJGE31 \| \| \| 3. Business \| \| \| Regional Rank (Rank out of 11) \| Annual \| \| ŻŹ \| \| \| CJGE32 \| Business Startups - (YTD) \| \| Up is \| \| \| Good \| \| \| Neutral \| \| \| ŻŹ \| \| \| PP01 \| \| \| % of businesses reporting that contact with \| \| \| officers was helpful \| \| \| Annual \| 97.28% \| \| Up is \| \| \| Good \| \| \| Neutral \| \| \| ŻŹ \| \| \| PP03 \| \| \| % of businesses reporting that the information \| \| \| provided was useful \| \| \| Annual \| 98.14% \| \| Up is \| \| \| Good \| \| \| Neutral \| \| \| TAP19 \| \| \| % of panel who agree the council and its \| \| \| partners are supporting economic growth \| \| \| Quarterly \| NC \| \| Up is \| \| \| Good \| \| \| Ÿ \| \| \| Green \| \| \| Previous Years \| 2017/2018 \| \|--------------------------------------------------\|--------------------------------------------\| \| Collection \| \| \| Frequency \| \| \| 2014/2015 \| 2015/2016 \| \| TAP19 \| \| \| % of panel who disagree the council and its \| \| \| partners are supporting economic growth \| \| \| Quarterly \| NC \| \| Up is \| \| \| Bad \| \| \| ź \| \| \| Green \| \| \| ŻŹ \| \| \| TOU14 \| Parliament Street Footfall \| \| Up is \| \| \| Good \| \| \| Neutral \| \| \| 3. Business \| \| \| ŻŹ \| \| \| TOU24 \| Average expenditure per domestic day visit \| \| Up is \| \| \| Good \| \| \| Neutral \| \| \| ŻŹ \| \| \| % of working age population qualified - No \| \| \| qualifications \| \| \| Annual \| 4.80% \| \| Up is \| \| \| Bad \| \| \| Neutral \| \| \| Benchmark - National Data \| Annual \| \| CJGE17 \| \| \| Benchmark - Regional Data \| Annual \| \| 5. Education \| \| \| Regional Rank (Rank out of 15) \| Annual \| \| % of panel satisfied with their local area as a \| \| \| place to live \| \| \| Quarterly \| NC \| \| Up is \| \| \| Good \| \| \| Ÿ \| \| \| Green \| \| \| Benchmark - Community Life Survey \| Annual \| \| TAP01 \| \| \| Benchmark - LG Inform \| Annual \| \| ŻŹ \| \| \| % of panel dissatisfied with their local area as \| \| \| a place to live \| \| \| Quarterly \| NC \| \| Up is \| \| \| Bad \| \| \| Neutral \| \| \| % of panel agree the council treated them \| \| \| fairly and with respect in the last 12 months \| \| \| Quarterly \| NC \| \| Up is \| \| \| Good \| \| \| Ÿ \| \| \| Green \| \| \| TAP05 \| \| \| % of panel disagree the council treated them \| \| \| fairly and with respect in the last 12 months \| \| \| Quarterly \| NC \| \| Up is \| \| \| Bad \| \| \| ź \| \| \| Green \| \| \| % of panel who agree it is important to feel \| \| \| part of their local area \| \| \| Quarterly \| NC \| \| Up is \| \| \| Good \| \| \| Ÿ \| \| \| Green \| \| \| TAP06 \| \| % of panel who disagree it is important to feel part of their local area Quarterly NC NC 10.40% 9.58% - - - - Up is Bad ź Green % of panel who agree that they belong to their local area Quarterly NC NC 74.70% 78.44% - - - - Up is Good Ÿ Green TAP07 Benchmark - Community Life Survey Annual 72.00% 71.00% 61.56% - - - - - Benchmark - LG Inform Annual 66.30% 66.80% 69.17% - - - - - \| Previous Years \| 2017/2018 \| \|--------------------------------------------------\|-------------\| \| Collection \| \| \| Frequency \| \| \| 2014/2015 \| 2015/2016 \| \| TAP07 \| \| \| % of panel who disagree that they belong to \| \| \| their local area \| \| \| Quarterly \| NC \| \| Up is \| \| \| % of panel who agree that they can influence \| \| \| decisions in their local area \| \| \| Quarterly \| NC \| \| Up is \| \| \| Good \| \| \| Ÿ \| \| \| TAP11 \| \| \| Benchmark - Community Life Survey \| Annual \| \| % of panel who disagree that they can \| \| \| influence decisions in their local area \| \| \| Quarterly \| NC \| \| Up is \| \| \| Quarterly \| NC \| \| Up is \| \| \| Good \| \| \| % of panel who state it is important that \| \| \| residents can influence decisions in their local \| \| \| area \| \| \| TAP12 \| \| \| Quarterly \| NC \| \| Up is \| \| \| % of panel who state it is not important that \| \| \| residents can influence decisions in their local \| \| \| area \| \| % of panel who give unpaid help to any group, club or organisation Quarterly NC NC 64.30% 66.44% - - - - Up is Good Ÿ TAP13 Benchmark - Community Life Survey Annual 69.00% 70.00% 62.68% - - - - - % of panel who do not give unpaid help to any group, club or organisation Quarterly NC NC 32.66% 30.65% - - - - Up is Bad ź Green Green Bad ź Green ŻŹ Neutral ŻŹ Bad Neutral Green Bad ź Green	en
2327-pdf	## Withholding Information Section 40(2) - Personal Data Relating To Third Parties The information you have requested contains personal data. Personal data can only be released if to do so would not contravene any of the data protection principles. The first principle states: Personal data shall be processed fairly and lawfully and, in particular, shall not be processed unless— (a) at least one of the conditions in Schedule 2 is met, and (b) in the case of sensitive personal data, at least one of the conditions in Schedule 3 is also met. We believe releasing the requested information into the public domain would be unfair to the individuals concerned; these individuals have a clear and strong expectation that their personal data will be held in confidence and not disclosed to the public under the FOI Act. Disclosure would therefore breach the first data protection principle as it would be unfair. We do not have to consider schedules 2 and 3. Further information on the data protection principles is available as follows: http://www.legislation.gov.uk/ukpga/1998/29/schedule/1 http://www.legislation.gov.uk/ukpga/1998/29/schedule/2	en
3603-pdf	Universal Credit Local authority led pilots: Lewisham's experience Can transition independently Needs transitional support Needs intensive support 1. To develop an evidence based definition of vulnerability for transition and access to Universal Credit 2. To develop triage mechanisms for identifying and assessing individuals affected 3. To test an approach for providing a holistically locally delivered face to face transition support service which improves the ability of claimants to: • Budget and manage monthly payments • Sustain tenancies in the social and private rented sector • Transact with government services online • Access employment and work-focused training ## The Design Process: First Sketch Four areas identified as likely to need transitional support under UC. Each area needs to be considered together and in relation to each other (holistic) Need levels will vary for individuals on each area. Approach needs to be flexible enough to respond to needs as they are presented (flexible) # The Design Process: Refining Ideas ## The Prototype Model For Go Live Simple Language & Focused On Main Change Affecting Household Call To Action Focuses On The Financial Loss The Prototype Model For Go Live 20 questions, each with scores and triggers based on the four quadrants… ## The Prototype Model For Go Live Appointment Starts With A Calculation Demonstrating The Financial Impact Of Welfare Reform On Work…. Support focused conversation looks at: - Employment Establishes level of need - Financial and makes - Digital referrals to key - Housing agencies Builds the case for action and thinking differently about work in the context of welfare reform ## The Prototype Model For Go Live Support Plan Focuses On The Top 3-4 Barriers… Personalised… Referrals are named and contact the claimant directly… ## Progress & Redesign What Have We Learnt About The Process? I Am Pleased For All The Help I Received Today, They Mean So Much. Feedback From Customers Is Good - 97% Say The Intervention Was Helpful Triage And Basic Advice Over The Phone Takes About 20 Minutes, Appointments & Follow Up Support Plans Take About 2 Hours There Are Things We Can Do Better To Get People Engaged & We Need To Think About Sustaining The Positive Energy To Act Gives me more confidence and shows me which route to take. everything has been explained in a way that I can understand and now help myself. ## Learning About Our Residents: Financial Benefit cap loss ranges under £1 to over £200 a week…limited awareness of the personal impact and strategies for mitigating the impact. 'Work does not pay' is a widely held belief amongst this group. 48% have a bank account that supports direct debit and say they can cope with UC going into their account with some basic budgeting advice 42% have applied for a crisis loan in the past 11% have significant debt issues and have been referred to the CAB for intensive debt management advice. 46 referrals to the Credit Union (although relatively high existing membership levels)…when they show up, nearly all take on a service…but they aren't showing up! ## Learning About Our Residents: Digital 63% say they have internet access in their homes (not mobile) and can use it independently…although most only use it for social media at the moment A further 24% say they have access in their homes and can use it with help from friends or family…language usually being the main barrier This leaves 13% who need access and support…based on a 40,000 Lewisham caseload, this is 5,200 people needing access and support to complete a claim The numbers needing support might be higher…the unknown at the moment is the complexity of the form. Learning from the replacement social fund schemes…people will turn up if they have something urgent or are concerned…if they need to do something online, it needs to be close to where they present. ## Learning About Our Residents: Housing The overwhelming initial claimant response to the benefit cap is to try and find cheaper housing…but what people want is social housing. For most families with more than four children, there is no housing solution to the benefit cap. 31% have never been responsible for paying rent direct to their landlord. 39% are already in rent arrears. Mixed views on rent as a priority…'I am not going to worry about these changes because I think they are ridiculous. I would rather buy things for my children then worry about the shortfall of my rent.' ## Learning About Our Residents: Employment Less than 3% of this group have been in paid employment in the last 12 months 40% say they are not looking for work. 43% cite childcare as the main barrier to work…but only 23% request help or advice to fund or find childcare at appointments, preferring to use informal or other childcare networks. Strongly held belief that having children means work doesn't pay…some even had example calculations from JCP in their hands to prove this to us at appointments. The benefit cap means they ALL will be better off…some significantly. For most of these families, finding paid work is the only way to avoid the benefit cap. If they don't they will not be afford to live and budgeting advice under UC becomes irrelevant. ## Learning: Triage And Complex Needs There are some predictors of vulnerability but a set of questions and triggers on its own is unlikely to tell you who needs more on-going support…some examples: Ms E has 5 children, 3 of who still live with her. She is currently in a Rent Incentive Scheme property which is too big for her needs and will lose £350 a week after the benefit cap. Ms E has had a troubled life which has involved physical and sexual abuse. She Mr and Mrs H live in a 5 bedroom house with their 7 children and stand to lose £276 a week after the benefit cap. Mrs H has fled domestic violence in the past and Mr H has served 20 years in prison. Mr H doesn't claim JSA because he doesn't want to look for work as he thinks there is no point given his record. Mr and Mrs H have already been in contact with HOC because their landlord said they would start eviction proceedings because of the benefit cap. understandably has very low self-esteem and is experiencing depression and anxiety. Ms E said she would like to look for work but the JobCentre weren't interested in helping her. At the appointment discovered that Mrs H had worked as a cleaner. After her appointment she contacted her old boss to get required 16 hours. Despite initial enthusiasm and frequent telephone calls, Ms E failed to follow up on referrals for intensive family support offered. Ms T lives in temporary accommodation in a property provided by Hyde. She is a single parent with 3 children and stands to lose £93 a week after the benefit cap. She hasn't worked for a number of years. Ms T has moved frequently, one of her children has been in three different schools and is currently placed in a pupil referral unit in Lewisham. We made a referral for Ms T for intensive employment support. By the time the referral was followed up, she had already found 16 hours work as a carer. ## Designing A Complex Needs Support Service Model developed so far identifies 'standard' and 'non-standard' claimants and has developed a model for families needing SOME transitional support but the model is not sufficient for those requiring INTENSIVE transitional support. ## Next Phase - Developing A Model For Intensive Transitional Support Building a case work model which glues everything together - if one area falls apart, so will all the others. Focused on sustaining the impact of the intervention - investing in a casework approach now to stop people re-presenting to us at a later stage. Focuses on behaviour change (resilience, tenacity, responsibility) - which is ultimately the goal of UC ## Key Messages For The Lssf Housing and employment need to be built into local approaches - even if it just linking better to existing provision Universal Credit can't be seen in isolation from other welfare reforms - our residents don't separate them We need to have smarter ways of identifying vulnerability - this is beyond just the ability to budget and access the internet Behaviour 'nudge' needs to be integrated into our LSSF models - it is what UC is trying to achieve We can start testing some of this now - welfare reforms are happening now, what people need to do for these are not that different from what they need to do for UC Justine Roberts Universal Credit Pilot Manager justine.roberts@lewisham.gov.uk	en
2243-pdf	## Digital Preservation Guidance How To Look After Your Digital Records  Introduction The vast majority of records and documents produced now are born-digital - they have always been digital - and these need to be looked after carefully to preserve them for the future. Digital records can be vitally important to maintain for either personal or business reasons, and could take a variety of forms (documents, photographs, artworks). The work that goes into making sure digital files can survive and be accessed over time is termed Digital Preservation. This is an issue that affects most people in some way or another - we all rely on someone preserving information about us, and that information being reliable in the future, from health and pension records to online information and photos. Digital preservation can seem daunting, often due to the sheer amount of files produced, their intangible nature, and the risks associated with software obsolescence. Yet it's often just about using different techniques for the digital format but employing the same principles of caring for records that apply to paper. This guidance has been produced to offer some basic advice and tips on how to care for and maintain your digital records, and the main areas you need to consider such as file formats and storage. It also includes a number of other resources that can help with digital preservation.  What is a digital record? There are many different types of digital record, the finished product maybe the most valuable and what you are most keen to ensure survives but you may want to consider any preparatory work that went into creating your artwork. This could include; storyboards, sketches, commissioning documents and correspondence with your clients. If you have taken a photograph or scanned something that was on paper that you have thrown away, this can also be considered a digital record. ## __________________________________________________________________________  File Formats File formats are often something that people worry about when they think about digital records and preserving them, but there are no right and wrong answers. You should choose the format which best suits your needs at the point of creation and there is no reason not to continue to preserve your digital record in the very same format in which it was created; indeed this offers you the best chance of maintaining a true representation of your work over time. Similarly the decision to use either lossy or lossless compression should be dependent on the context of your records and how they were created and used; it is rarely as simple as lossless for preservation and lossy for access copies. When sharing or disseminating your work however, it may make sense to normalise your formats. Some examples are as follows but there are many other formats available that people will have little trouble downloading and/or viewing. Images: There are many popular and well known image formats e.g. JPEG is a good format for photographs whereas GIF is a good option for graphics; GIF can preserve transparency whereas JPEG cannot, conversely GIF can only handle 256 colours so is not as good for photographs as JPEG. PNG is a good option for all images and is lossless, but file sizes tend to be larger. Audio: FLAC offers lossless audio quality at a reduced file size compared with uncompressed WAV though file sizes can still be on the large side, whereas MP3 is lossy, but offers much smaller file sizes. Video: There are several different 'container' formats used to contain digital video with audio, such as AVI, MOV, WMV, FLV and MP4. MP4 is a ubiquitous and versatile video container format, commonly used for video content on the web and with good support across a large number of popular media players. Documents: PDF has become the de facto format for publishing and sharing documents however opting for open document formats that can be viewed in MS Office, Open Office, Libre Office etc, is also a viable option.  Managing file formats over time The National Archives maintains a registry of file formats which is utilised by our file format identification tool DROID, this tool can be freely downloaded from our website and used to scan files in order to identify what format they are. Once you are clear about what formats you have in your collection use the web to search for information about those file formats e.g. what software can be used to open them, especially if you are unable to do so with what you currently have installed. If you find you are using a particularly old version of a file format and you are worried about backwards compatibility with current software you may want to migrate to a newer version, this can often be as simple as opening and resaving your files. Likewise when you upgrade your own software packages and you no longer have access to the version of the software that you originally used to create your files think about what this will mean with regards to accessing your files going forward. You can always check with the software vendor directly for the most accurate information about backwards compatibility for earlier file format versions, if you can't find this information yourself by searching the web. If you cannot open older files with your newer software you might consider saving additional copies of the files affected to a more generic format so that they can be accessed or edited in other software packages. As a general rule of thumb as long as you can still open your own files they are safe. _______________________________________________________________________________________ ##  Storing Your Digital Records If You Don'T Have A Digital Repository In Which To Safely Preserve Your Digital Records Or Any Organisational It Infrastructure At Your Disposal, The Next Best Thing You Can Do Is To Keep Multiple Copies In Different Locations, A.K.A Backing Up. There are many options available for storing digital records, when evaluating these different options you should keep in mind the volume and type of digital records you need to keep, what resources you have at your disposal and any privacy or security concerns you may have. Storage options to consider: 1. Your PC or laptop - this will likely be where you keep your main/working copy as it will be easy to access and update. 2. Email attachments - consider emailing a copy to yourself, if you have multiple email accounts even better. You may want to create folders within your inbox(es) so you can find and keep track of these backup copies more easily. 3. Removable media e.g. memory sticks or portable hard drives - these devices will connect via usb to your laptop or pc, they can be used as additional storage and most importantly can be kept in a separate location e.g. if you take your laptop home with you, leave your backup hard drive at work. If, in the unlikely and unfortunate event that one premises gets burgled or flooded, a copy of your digital records will still survive. 4. Cloud storage - as with email attachments why not use the web to store your digital records? There are numerous online storage options available e.g. Dropbox, Google Drive, Amazon Cloud Drive and Microsoft OneDrive. Many of these services provide an initial amount of storage for free and are also designed to enable sharing and collaborative work. Many services will sync with your various devices so you can access and update your documents 'on the go'. Keeping multiple copies of your digital records in different places may seem a simple way of ensuring their longevity; however it can quickly become unmanageable. When keeping multiple backup copies in different locations consider the following: 1. File naming conventions - be consistent and detailed, consider including a date and anything else that will help you to find and identify your records with ease. 2. Similarly, if you are keeping your files within a wider folder structure, think about what you are naming your folders and don't nest files unnecessarily deeply. You could create folders per project, by year and month, by client or any other logical system. Think carefully about how you to store your records, as you do not want to create a time consuming structure to maintain and consider recording file paths so you can find your files easily within their wider structure. 3. If you update/edit one copy, remember to keep your other copies in sync. If you want to keep earlier versions make sure the versioning is clear in the name of the file e.g. by appending v.1.0, v. 1.1 etc. and indicate where a file is the final version by using terms such as 'FINAL' or 'PUBLISHED'. ##  Managing Your Storage Over Time Whatever Storage Options You Choose Initially, Continue To Review The Situation Going Forward. Are you running out of free space online or on a hard drive? Have the terms of use changed for your cloud storage or email services? Are they still compatible with your needs? What would you do in the event that one of these services went down either temporarily or permanently? The shelf life of hard drives and memory sticks is notoriously hard to predict; they can fail randomly at any time before the stage at which they start to actually wear out, and the point at which they begin to wear out depends upon how regularly they are in use. Whatever combination of storage options you use make sure it is not too onerous; if backing up is too complicated or time consuming, the chances are you won't do it! ## ________________________________________________________________________  Fixity And Virus Checking Just Storing Your Records Cannot Be Considered Active Digital Preservation, To Achieve This You Need To Regularly Check The Integrity Of Your Digital Records. The Simplest Way To Do This Is To Virus And Fixity-Check Your Records. Free anti-virus software is readily available, make sure you connect to the web and don't ignore prompts to update your anti-virus software. You can set up your computer to automatically run background virus scans but you can also scan on demand, usually just by right clicking and selecting your virus scanning software. The importance of protecting your digital records from becoming compromised by viruses cannot be underestimated. Fixity checking is ever so slightly more time consuming but it is the only way you can be sure your digital records are not changing over time without your explicit intervention. Fixity checking involves the generation of checksums or hashes, which are unique strings of letters and numbers produced by particular checksum algorithms. Checksumming software scans each file byte by byte in order to produce a unique hash. Once you have generated a checksum for a file using a particular algorithm e.g. SHA 1 or MD 5, you can regenerate the checksum using the same algorithm at any point in the future; if the checksums match your file is still the same, if they don't match something has changed and you will need to investigate further. As with anti-virus software there is free checksumming software available on the web right now for you to download and start using e.g. Gizmo. The National Archives DROID tool, which is free and open source, also has a tick box option to produce checksums. If you regularly virus and fixity check your records you will also be regularly accessing your records so you will notice, for example, if removable media is failing. If possible it is advisable to schedule this in at least every quarter. ## _____________________________________________________________________________________  Metadata Throughout This Document It Has Been Suggested That You Might Want To Record Certain Information About Your Digital Records To Help You Manage And Most Importantly Find Them, This Information Is Commonly Referred To As Metadata. You need only create a simple document, probably a spreadsheet, containing filenames and their location e.g. URL or filepath, their corresponding checksum and the date when anti- virus scans and checksum verification were last done. From there you can record as much other information as you like and is suitable to your needs e.g. dates, the software it was created in, copyright information. If you have a cataloguing schema for paper records it may well be applicable to your digital records. Likewise if you are using cataloguing software for your paper collection it may work for digital records or there may be a specific module available for digital records which you could upgrade to include. Although it may seem daunting, managing digital records requires exactly the same principles as looking after paper records - if you file things in an orderly fashion and name them well you will be well on your way. __________________________________________________________________________ Many useful resources online - and they are free: ## The National Archives Identifying file formats: DROID http://www.nationalarchives.gov.uk/information-management/manageinformation/policy-process/digital-continuity/file-profiling-tool-droid/ Archive Principles and Practice: an introduction to archives for non-archivists http://www.nationalarchives.gov.uk/documents/information-management/archive-principles-andpractice-an-introduction-to-archives-for-non-archivists.pdf Digital Collections http://www.nationalarchives.gov.uk/archives-sector/digital-collections.htm Digital Preservation FAQs http://www.nationalarchives.gov.uk/information-management/projects-andwork/digital-preservation-faqs.htm ## Oclc Research You've Got to Walk Before You Can Run: First Steps for Managing Born-Digital Content Received on Physical Media http://www.oclc.org/content/dam/research/publications/library/2012/2012-06.pdf ## Council On Library And Information Resources (Clir) Born digital: Guidance for Donors, Dealers and Archival Repositories http://www.clir.org/pubs/reports/pub159 ## University Of London Computer Centre (Ulcc) Digital Preservation Training Programme (DPTP) http://www.dptp.org/ ## Digital Preservation Coalition (Dpc) Digital Preservation Planning case study, Ed May, 2013 http://www.dpconline.org/component/docman/doc_download/548-5-a-ed-fay Our digital memory accessible tomorrow: http://www.dpconline.org/ Digital Preservation handbook: http://www.dpconline.org/advice/preservationhandbook http://www.dpconline.org/advice/preservationhandbook/decision-tree ## Library Of Congress (Loc) Personal Archiving: preserving your digital memories http://www.digitalpreservation.gov/personalarchiving/ ## Prestospace PrestoSpace: working to improve and standardise practice for audio-visual material, Preservation Guide, http://wiki.prestospace.org/pmwiki.php?n=Main.NavigationGuide	en
2328-pdf	## Freedom of Information Act 2000 Request Request I am currently writing a report investigating the reliability of children's eye witness testimony in the Justice System and was wondering if you could obtain the statistics for the amount of Child Witnesses that were required to testify in England and Wales Courts in 2015 and 2016? Response Please refer to attached table and accompanying caveats which show the number of victims and witnesses identified as a 'Child' who were required to attend a trial related hearing. The data is from January 2015 to September 2016. Data post September is unavailable because the Crown Prosecution Service (CPS) publishes its statistics quarterly in arrears as per our policy. These figures have been extracted from the Witness Management System (WMS), a purpose built electronic system, designed to enable Witness Care Unit staff to identify cases involving children and other vulnerable witnesses, and to assist in ensuring that the right level of information and support is directed towards these cases. WMS is not intended to provide a definitive record of the number of victims and witnesses falling into these categories, and it should be noted that the WMS is not used across all CPS Areas therefore the volumes reported are likely to be understated. The CPS is not able to confirm whether the victims and witnesses included in the attached table actually gave evidence in court. Information Management Unit 020 3357 0899 FOI.Unit@cps.gsi.gov.uk	en
0679-pdf	Peak District National Park Authority Tel: 01629 816200 E-mail: customer.service@peakdistrict.gov.uk Web: www.peakdistrict.gov.uk Minicom: 01629 816319 Aldern House . Baslow Road . Bakewell . Derbyshire . DE45 1AE To: Mr Paul Derbyshire C/o Maxine Parker 4 Turnpike Close Diggle Oldham OL3 5PH THIS NOTICE RELATES TO PLANNING CONTROL ONLY, ANY OTHER STATUTORY CONSENT MUST BE OBTAINED FROM THE APPROPRIATE AUTHORITY ## Town & Country Planning Acts & General Development Order In pursuance of the powers vested in the Peak District National Park Authority under the above Acts and Order, and with reference to your application for Full Planning Permission, details of which are as follows: \| Office Code No. \| NP/O/0616/0584 \| \|-------------------\|-----------------------------------------------------------------------------------\| \| Date received: \| 27 June 2016 \| \| Proposal: \| Alterations and conversion of outbuilding to ancillary residential accommodation. \| Location: Running Hill House, Running Hill Lane, Dobcross Parish: Saddleworth ## The Decision NOTICE IS HEREBY GIVEN THAT PERMISSION FOR THE PROPOSED DEVELOPMENT in the manner described on the application and shown on the accompanying plans and drawings is GRANTED subject to the following conditions: 1 The development hereby permitted shall be begun within 3 years from the date of this permission. 2 The development hereby permitted shall not be carried out otherwise than in complete accordance with the following approved plan: drawing number '31. B' received by the Authority on the 5th September 2016 subject to the following conditions or modifications. Continued overleaf… Signed Date 12 September 2016 Attention is called to the notes at the end of this Decision Notice 3 The roof shall be clad with natural stone slates. 4 The external doors and windows shall be of timber construction. Prior to the installation of any new window or doors, details of their precise design, recess and external finish shall be submitted to and approved in writing by the National Park Authority. The development shall be carried out in accordance with the approved details and permanently so maintained thereafter. 5 Prior to the installation of the roof lights, details of their precise design, size and position shall be submitted to and approved in writing by the National Park Authority. The development shall be carried out in accordance with the approved details and permanently so maintained thereafter. 6 The rainwater goods shall be black. The gutters shall be fixed directly to the stonework with brackets and without the use of fascia boards. There shall be no projecting or exposed rafters. 7 All works associated with the development shall be undertaken outside the breeding bird season (March - August). 8 The development hereby approved shall remain ancillary to Running Hill House throughout its lifetime, and Running Hill House and the development hereby approved shall be maintained as a single planning unit in perpetuity. ## Reasons For Conditions: 1 To comply with Sections 91, 92, and 93 of the Town and Country Planning Act 1990 (which requires the National Park Authority to reconsider the proposal afresh after a period of years) as amended by Section 51 of the Planning Compulsory Purchase Act 2004. 2-6 In the interests of the character and the appearance of the development and to ensure that the development respects the character and appearance of the listed building 7 To protect the ecological interests of the site. 8 The creation of an independent dwelling or otherwise separate planning unit would raise further material planning policy and amenity considerations over which the Authority wishes to retain control. ## Footnotes The Authority's Officers have assessed the proposal against Development Plan policies and any other material considerations and have recommended amendments which overcome any concerns and which ensure that the development follows guidance in the National Planning Policy Framework. Core Strategy Policies include: GSP1, GSP2, GSP3, GSP4, DS1, L3 Relevant Local Plan policies include: LC4, LC6 and LH4 _______________________________________________________________________________________ ## Please Note, Only The Applicant Possesses The Right Of Appeal. You Must Use A Planning Appeal Form - If you are aggrieved by the decision of your local planning authority to refuse permission for the proposed development or to grant it subject to conditions, then you can appeal to the Secretary of State under section 78 of the Town and Country Planning Act 1990. - As this is a decision to refuse, or approve planning permission subject to conditions for a householder application, if you want to appeal against your local planning authority's decision then you must do so within 12 weeks of the date of this notice. - Appeals must be made using a form which you can get from the Planning Inspectorate, Room 3Q, Kite Wing, Temple Quay House, 2 The Square, Temple Quay, Bristol, BS1 6PN (Tel: 0303 444 5000, email: enquiries@pins.gsi.gov.uk) or can be made online via the Planning Inspectorate website at https://acp.planninginspectorate.gov.uk/. - The Secretary of State can allow a longer period for giving notice of an appeal, but will not normally be prepared to use this power unless there are special circumstances which excuse the delay in giving notice of appeal. - The Secretary of State need not consider an appeal if it seems to the Secretary of State that the local planning authority could not have granted planning permission for the proposed development or could not have granted it without the conditions they imposed, having regard to the statutory requirements, to the provisions of any development order and to any directions given under a development order. - In practice, the Secretary of State does not refuse to consider appeals solely because the local planning authority based its decision on a direction given by him. ## Purchase Notices - If either the local planning authority or the Secretary of State for Communities and Local Government refuses permission to develop land or grants it subject to conditions, the owner may claim that he can neither put the land to a reasonably beneficial use in its existing state nor render the land capable of a reasonably beneficial use by the carrying out of any development which has been or would be permitted. - In these circumstances, the owner may serve a purchase notice on the Council (District Council, London Borough Council or Common Council of the City of London) or, where the land is situated in a National Park, the National Park Authority for that Park in whose area the land is situated. This notice will require the Council or Authority to purchase his interest in the land in accordance with the provisions of Part VI of the Town and Country Planning Act 1990. ## Planning Decision Notice Peak District National Park Authority Tel: 01629 816200 E-mail: customer.service@peakdistrict.gov.uk Web: www.peakdistrict.gov.uk Minicom: 01629 816319 Aldern House . Baslow Road . Bakewell . Derbyshire . DE45 1AE To: Mr Paul Derbyshire C/o Maxine Parker 4 Turnpike Close Diggle Oldham OL3 5PH Dear Sir or Madam Please find attached a copy of the approval notice for the development outlined below. Please read this notice carefully. It is particularly important that you comply with any conditions which require details to be submitted and agreed, or some other action to be taken, before work commences. These are often known as "pre-conditions" and usually start with words such as "Prior to the commencement of development" or "Before any work takes place", but there may be other similar words, so please read this notice carefully. Failure to comply with pre-conditions could result in any work carried out being unlawful and the permission not implemented. Similarly, failure to comply with the conditions and/or the approved plans could result in abortive work and possible enforcement action. If you are employing a builder or other contractor to carry out the work you should ensure that he has a copy of the approval notice and approved plans before starting work. If you wish to amend the approved plans in any way, you must first agree this with us. There is a formal process for submitting and agreeing both minor ("non-material amendments") and more significant amendments to the approved plans. Details can be found on the Authority's web site at http://www.peakdistrict.gov.uk/planning/advice/do-i-need-permission Please return the first tear-off section at the bottom of this letter before work commences and the second tear-off section once the work has been completed. Two pre-paid labels are enclosed for your use. Yours faithfully John Scott Director of Planning ## Planning Decision Notice Tel: 01629 816200 E-mail: customer.service@peakdistrict.gov.uk Web: www.peakdistrict.gov.uk Minicom: 01629 816319 Aldern House . Baslow Road . Bakewell . Derbyshire . DE45 1AE #------------------------------------------------------------------------------------------------------------------------------------- To Peak District National Park Authority, Aldern House, Baslow Road, Bakewell, Derbyshire DE45 1AE ## Application No: Np/O/0616/0584 P. 1475 Site Address: Running Hill House, Running Hill Lane, Dobcross, Development: Alterations And Conversion Of Outbuilding To Ancillary Residential Accommodation. The above development was completed on ______________________________________ Signed: __________________________________ Date____________________________ Name (in block capitals): _____________________________________________________ #------------------------------------------------------------------------------------------------------------------------------------- To Peak District National Park Authority, Aldern House, Baslow Road, Bakewell, Derbyshire DE45 1AE ## Application No: Np/O/0616/0584 P. 1475 Site Address: Running Hill House, Running Hill Lane, Dobcross, Development: Alterations And Conversion Of Outbuilding To Ancillary Residential Accommodation. The above development commenced on ______________________________________ Signed: __________________________________ Date____________________________ Name (in block capitals): _____________________________________________________	en
3806-pdf	MEASURING UP ANNUAL RAIL CONSUMER REPORT 2019 FINDINGS BY TRAIN COMPANY ## © Crown Copyright 2019 This publication is licensed under the terms of the Open Government Licence v3.0 except where otherwise stated. To view this licence, visit nationalarchives.gov.uk/doc/open-government-licence/version/3. Where we have identified any third party copyright information you will need to obtain permission from the copyright holders concerned. This publication is available at orr.gov.uk Any enquiries regarding this publication should be sent to us at orr.gov.uk/contact-us ## Contents \| Guidance Notes. \| \|--------------------------------------\| \| c2c 7-9 \| \| Caledonian Sleeper. \| \| 10-12 \| \| Chiltern Railways 13-15 \| \| CrossCountry 16-18 \| \| East Midlands Trains 19-21 \| \| Govia Thameslink Railway. \| \| 22-24 \| \| Grand Central 25-27 \| \| Great Western Railway 28-30 \| \| Greater Anglia 31-33 \| \| Heathrow Express. \| \| 34-36 \| \| Hull Trains. \| \| 37-39 \| \| London North Eastern Railway (LNER). \| \| 40-42 \| \| London Overground 43-45 \| \| Merseyrail. \| \| 46-48 \| \| Northern 49-51 \| \| ScotRail 52-54 \| \| South Western Railway 55-57 \| \| Southeastern. \| \| 58-60 \| \| TfL Rail. \| \| 61-63 \| \| TfW Rail (Arriva Trains Wales) 64-66 \| \| TransPennine Express 67-69 \| \| Virgin Trains West Coast 70-72 \| \| West Midlands Trains 73-75 \| ## Guidance Notes On How To Read The Train Company Reports Provision Of Information To Passengers Key Facts Owner group: This is the parent company which owns the train operating company. Operator: Train operating company. Franchise: Name of the franchise the train operating company operates. Franchise period: Period of time for which the train operating company has been contracted to run the franchise. Employees: Number of employees the train operating company has. Operated stations: Number of stations the train company operates. Sector: Long distance, Regional or London and South East. Passenger journeys per annum: Number of annual passenger journeys on the train operating company. ## Passenger Satisfaction With How Well The Train Company Deals With Delays Passenger satisfaction with how well the train company deals with delays, available at both train operating company and a national level. The data is sourced from the Transport Focus twice yearly National Rail Passenger Survey (NRPS). Data is included from Spring 2014 to Autumn 2018. Spring 2019 data was published on 27 June 2019. The side arrows indicate the percentage point change from Autumn 2017 to Autumn 2018. Source: Transport Focus, National Rail Passenger Survey Source: Transport Focus, National Rail Passenger Survey ## Transparency And Accountability Train operators produce a 'Local Plan' setting out how they will provide information to passengers. This can be tailored to how they run their services. Train operators need to publish their Local Plan (or a public facing version of it), a link to the current Code of Practice for the provision of customer information and an annual progress report. All operators were compliant with this in October 2015 but in October 2016 the industry changed its Code of Practice. This box records whether the operator has updated its website in accordance with the new Code of Practice. An audit of operator websites was undertaken in May 2017. ## Passenger Satisfaction With The Usefulness Of Information When Delays Occur Passenger satisfaction with the usefulness of information provided to passengers when delays occur, available at both train operating company and a national level. The data is sourced from the Transport Focus twice yearly National Rail Passenger Survey (NRPS). Data is included from Spring 2014 to Autumn 2018. Spring 2019 data was published on 27 June 2019. The side arrows indicate the percentage point change from Autumn 2017 to Autumn 2018. Source: Transport Focus, National Rail Passenger Survey ## Passenger Satisfaction With The Provision Of Information During The Journey Passenger Satisfaction With The Provision Of Information During The Journey, Available At Both Train Operating Company And A National Level. The data is sourced from the Transport Focus twice yearly National Rail Passenger Survey (NRPS). Data is included from Spring 2014 to Autumn 2018. Spring 2019 data was published on 27 June 2019. The side arrows indicate the percentage point change from Autumn 2017 to Autumn 2018. The information in this box outlines the actions the train company has informed ORR that it has taken in the period 2018-19 to improve the quantity and or quality of information it is providing to its passengers. Examples may have been supplied direct by the train operator or taken from its Local Plan ## Guidance Notes On How To Read The Train Company Reports Accessibility And Inclusion Booked Assistance Volumes The number of passenger assists requested. These assists were booked through the National Passenger Assistance Booking System, known as Passenger Assist, managed by the Rail Delivery Group (RDG). Please note, the data does not include unbooked assistance, often called 'Turn Up and Go'. The number of booked assistance requests are shown for each company that manages a station, and therefore not necessarily against the train company which the passenger travels with. For example, if a passenger requests an assist at Darlington station for a Cross Country train journey, the assist will be recorded against London North Eastern Railway, as London North Eastern Railway manage the station. This is why we do not have any data for those train companies who do not manage any stations. ## Passenger Experience Of Booked Assistance, 2018-19 Research on passenger experience of booked experience throughout 2018-19. Based on research by Breaking Blue where approximately 5,000 Passenger Assist users were asked about their experience. The 2018-19 data is a repeat of the research in 2017-18 (2017-18 research published here). The graphs are based on the following questions: 1). Passenger outcome for assistance that was booked: Question D5 - did you actually receive the following assistance? 2). Satisfaction with assistance at the station: Question D7 - how satisfied were you with the overall assistance at the station? ## 3). Satisfaction With The Helpfulness And Attitude Source: Research by Breaking Blue When published, the 2018-19 report will be available here: Research into passenger experience of Passenger Assist, 2018-19 Accessibility complaints rate (per 100,000 journeys), 2018-19 The volume of accessibility complaints per 100,000 journeys. This is shown for both the train company and at a national level. Accessibility rate is calculated using the complaint categories which train companies submit to ORR. Source: Train Operating Companies Data tables: Complaints by NRPS category by TOC - Table 14.5 ## Alternative Accessible Transport The number of instances where the train company provided Alternative Accessible Transport (AAT) in 2018-19. All operators must provide free alternative transport to take passengers to the nearest or most convenient accessible station in certain circumstances, for example when the station is inaccessible to the passenger or when rail replacement services are inaccessible. The volume of AAT may be high because an operator has a large number of inaccessible stations (for example) so it is important to view the figures in context. It should be noted that this only relates to AAT provided in relation to pre-booked assistance. Source: Train Operating Companies of staff who provided assistance at the station: Question D17a - how satisfied were you with the helpfulness and attitude of staff who provided assistance at the station? 4). Overall satisfaction with the whole process from booking assistance to assistance received: Question D21 - how satisfied are you with the whole process from booking the assistance to the assistance received for your last journey. The sample size is shown due to varying sample sizes between operators. Operators with a low sample size are not shown due to issues with the robustness of the data. Data not available for those operators who do not operate any stations, a note will indicate where this is the case. ## Disability And Equality Staff Training In 2018-19 The information in this box outlines the staff training in relation to disability and equality awareness issues the train company reports it has undertaken in 2018- 19 with a view to improving the quality of service it provides to passengers who require additional support when travelling on its services. Source: Train Operating Companies ## Guidance Notes On How To Read The Train Company Reports Complaints Handling And Delay Compensation Complaints Rate (Per 100,000 Journeys), 2018-19 By Quarter The volume of complaint correspondence closed per 100,000 journeys. Complaints are normalised by passenger journeys to allow effective comparison of data between time periods and train operating companies. Results are provided for the four quarters in 2018-19 which refer to 3-monthly time periods. Source: Train Operating Companies and LENNON (the rail industry's ticketing and revenue database) Data tables: Complaints rate by train operating company - Table 14.9 ## Top 5 Reasons For Complaints, 2018-19 The data in this box shows the top five causes of complaints for the train operator in 2018-19. The table also shows what proportion of complaints each of the top five complaints issues accounted for and the percentage point change for each complaint category versus 2017-18. PP = percentage point change Source: Train Operating Companies Data tables: Complaints by NRPS category by TOC - Table 14.5 ## Delay Compensation Claims, 2018-19 The left-hand side of this box displays the volume of delay compensation claims closed by the train operator in 2018-19. The graph shows this by 'rail period' where a rail period is normally 28 days, or four weeks, for business reporting purposes (Sunday to Saturday) and there are 13 rail periods in a financial year. ## Complaints Responded To Within 20 Working Days, 2018-19 By Quarter The percentage of complaints which are answered by the train operator within 20 working days. Our regulatory requirement is to close 95% of complaints within 20 working days. Results are provided for the four quarters in 2018-19 which refer to 3-monthly time periods. Source: Train Operating Companies Data tables: Complaints responded to within 10 and 20 working days by TOC - Table 14.2 ## Actions To Improve Services In Response To Complaints, 2018-19 The information in this box outlines the steps that each train company reports it has taken in 2018-19 to address issues highlighted in passenger complaints. This relates to the requirement for each licensee to demonstrate how it is embedding a culture of continuous improvement in its complaint handling. A link to the company's approved Complaints Handling Procedure is also provided. Source: Train Operating Companies Operator full response available here: https://orr.gov.uk/rail/ consumers/annual-rail-consumer-report The top-right hand side of this box displays the percentage of delay compensation claims closed which have been answered by the train operator within 20 working days since it was received. The bottom-right hand side of this box displays the percentage of delay compensation claims closed which have were approved by the train operator. Source: Train Operating Companies All train operators should publish the actions they are taking to improve passenger information in a Local Plan together with a link to the current industry Code of Practice (Oct 2016) and an Annual Progress Report (required to meet industry action PIDD-41). • Code of Practice - October 2016 • Local Plan - February 2017 ORR reviewed the 2017 version of the local plan although this has not been updated every year as per the commitments made. Source: Transport Focus, National Rail Passenger Survey The NRPS takes places twice a year, in Spring (S) and Autumn (A) c2c reports it has made the following changes to improve information to its passengers Data not supplied. All operators must provide free alternative transport to take passengers to the nearest or most convenient accessible station in certain circumstances: c2c received 1,057 booked assistance requests in 2018-19. This accounted for 0.1% of all booked assists made nationally in 2018-19. • When a station is inaccessible to the passenger; • When rail replacement services are running that are not accessible to the passenger (because of planned engineering works for example); or • When there is disruption to services at short notice that, for whatever reason, makes services inaccessible to disabled passengers. c2c were not able to report on the number of alternative accessible transport that were provided in 2018-19. Note: This excludes un-booked assistance. A 'rail period' is normally 28 days, or four weeks, for business reporting purposes (Sunday to Saturday) and there are 13 rail periods in a financial year. Data tables: Rail passenger assists by station operator - Table 16.03 ## Passenger Experience Of Booked Assistance, 2018-19 No data is available on this company's performance on the reliability of its booked assistance due to a low sample size, which is a natural effect of having lower than average booking volumes. Source: Research by Breaking Blue When published, the 2018-19 report will be available here: Research into passenger experience of Passenger Assist, 2018-19 ## Disability And Equality Staff Training In 2018-19 Accessibility complaints rate (per 100,000 journeys), 2018-19 • In 2018-19 a total of 700 c2c staff received disability and equality awareness training. • All new staff receive disability awareness training as part of their induction and existing staff are currently planned to receive fresher training at a minimum of every two years. • c2c use a combination of training methods including classroom training, coaching sessions, E-learning and on the job training. Source: Train Operating Companies Data tables: Complaints by NRPS category by TOC - Table 14.5 We therefore recommend reading the full detailed description of c2c's disability training activities here on our website: https://orr.gov.uk/rail/consumers/ annual-rail-consumer-report ## C2C Complaints Handling And Delay Compensation Top 5 reasons for complaints, 2018-19 Actions to improve services in response to complaints, 2018-19 Percentage of complaints Complaint type Change on last year 32.6% Smartcards -5.1 PP 15.8% 4.1 PP Punctuality/reliability (i.e. the train arriving/ departing on time) 10.4% No response from TOC 5.5 PP 7.6% Ticketing and refunds policy -3.7 PP 4.1% Ticket buying facilities - other 1.6 PP ## Complaints Responded To Within 20 Working - Table 14.2 c2c's Complaints Handling Procedure is available at: https://orr.gov.uk/rail/licensing/licensing-therailway/complaints-handling-procedures/complaintshandling-procedures-decision-letters c2c reports it has taken some of the following actions in 2018-19 to address issues highlighted in passenger complaints: • c2c have been engaging directly with customers through social media to respond to Smartcard queries. • c2c have introduced new IT systems to improve the processing and responding times for queries and complaints. A more detailed list of the actions which have been taken to improve services in response to complaints can be viewed here: https://orr.gov.uk/rail/ consumers/annual-rail-consumer-report there are 13 rail periods in a financial year. 17.01 ## Caledonian Sleeper Provision Of Information To Passengers Key Facts Owner group: Serco Operator: Caledonian Sleeper Franchise: Caledonian Sleeper Franchise period: 31 March 2015 - 31 March 2030 Employees: 174 Operated stations: 0 Sector: Scotland Passenger journeys per annum: 0.3 million Source: Train Operating Companies and LENNON (the rail industry's ticketing and revenue database) Data tables: TOC Key statistics ## Passenger Satisfaction With How Well The Train Company Deals With Delays Note: Caledonian Sleeper does not participate in the National Rail Passenger Survey. Instead, Transport Focus carry out an individual survey for Caledonian Sleeper. The latest data will be published on the Transport Focus website, see here for the latest results published June 2017. ## Transparency And Accountability All train operators should publish the actions they are taking to improve passenger information in a Local Plan together with a link to the current industry Code of Practice (Oct 2016) and an Annual Progress Report (required to meet industry action PIDD-41). • Code of Practice - None • Local Plan - None Currently non-compliant. ## Passenger Satisfaction With The Usefulness Of Information When Delays Occur Note: Caledonian Sleeper does not participate in the National Rail Passenger Survey. Instead, Transport Focus carry out an individual survey for Caledonian Sleeper. The latest data will be published on the Transport Focus website, see here for the latest results published June 2017. ## Passenger Satisfaction With Provision Of Information During The Journey Note: Caledonian Sleeper does not participate in the National Rail Passenger Survey. Instead, Transport Focus carry out an individual survey for Caledonian Sleeper. The latest data will be published on the Transport Focus website, see here for the latest results published June 2017. Caledonian Sleeper reports it has taken some of the following actions to improve its provision of information to passengers: • It has introduced a dedicated social media lead to drive forward our strategy and engagement on the various social media channels. • It has completed the installation of 37 information points at stations across our network. • It has recently launched a new website, giving a more enhanced level of detail and insight into the product it offers. ## Caledonian Sleeper Accessibility And Inclusion Booked Assistance Volumes Alternative Accessible Transport Data on the volume of booked assistance requests received in each rail period is available for each train operator that manages a station. This data is therefore not available for Caledonian Sleeper because they do not manage any stations. ## Passenger Experience Of Booked Assistance, 2018-19 Data On Passenger Satisfaction With Booked Assistance Is Not Available For Caledonian Sleeper As They Do Not Manage Any Stations. Source: Research by Breaking Blue When published, the 2018-19 report will be available here: Research into passenger experience of Passenger Assist, 2018-19 Accessibility complaints rate (per 100,000 journeys), 2018-19 Source: Train Operating Companies Data tables: Complaints by NRPS category by TOC - Table 14.5 All operators must provide free alternative transport to take passengers to the nearest or most convenient accessible station in certain circumstances: • When a station is inaccessible to the passenger; • When rail replacement services are running that are not accessible to the passenger (because of planned engineering works for example); or • When there is disruption to services at short notice that, for whatever reason, makes services inaccessible to disabled passengers. In 2018-19 alternative accessible transport was provided 4 times by Caledonian Sleeper. ## Disability And Equality Staff Training In 2018-19 • In 2018-19 a total of 131 Caledonian Sleeper staff received disability and equality awareness training. • All new staff receive disability awareness training as part of their induction and all existing staff receive refresher training on an annual basis. A full description of Caledonian Sleeper's disability training activities in 2018-19 can be viewed here on our website: https://orr.gov.uk/rail/consumers/ annual-rail-consumer-report ## Caledonian Sleeper Complaints Handling And Delay Compensation Top 5 reasons for complaints, 2018-19 Actions to improve services in response to complaints, 2018-19 Percentage of complaints Complaint type Change on last year 12.4% Upkeep and repair of the train 0.6 PP 12.2% Facilities on board 1.2 PP 8.6% 3.5 PP Punctuality/reliability (i.e. the train arriving/ departing on time) 7.6% Other complaints handling 2.2 PP 5.8% Other - miscellaneous -23.3 PP ## Complaints Responded To Within 20 Working - Table 14.2 Caledonian Sleeper's Complaints Handling Procedure is available at: https://orr.gov.uk/rail/ licensing/licensing-the-railway/complaints-handlingprocedures/complaints-handling-proceduresdecision-letters Caledonian Sleeper reports it has taken some of the following actions in 2018-19 to address issues highlighted in passenger complaints: • A new website was introduced to improve the passenger booking process. • Current trains have seen the addition of new soft furnishings such as new mattresses and improved catering facilities to address the provision of facilities on board. A more detailed list of the actions which have been taken to improve services in response to complaints can be viewed here: https://orr.gov.uk/rail/ consumers/annual-rail-consumer-report All train operators should publish the actions they are taking to improve passenger information in a Local Plan together with a link to the current industry Code of Practice (Oct 2016) and an Annual Progress Report (required to meet industry action PIDD-41). • Code of Practice - October 2016 • Local Plan - Oct 2016 The Local Plan was written for the old Code of Practice and needs to be updated. We have been in contact with Chiltern recently and await a draft of its updated plan. Source: Transport Focus, National Rail Passenger Survey The NRPS takes places twice a year, in Spring (S) and Autumn (A) Chiltern reports it has made the following changes to improve information to its passengers: • Prototype departure summary screens are being trialled at four busy stations, allowing better information to be provided including London Underground line statuses. • Multi-lingual staff have been recruited at three stations to provide improved customer information and assistance. Imminent launch of GPS train location feeds which will improve the quality of live train running information during disruption. • Trains between Harrow-on-the-Hill & Amersham will have live train running information for the first time. Chiltern received 17,068 booked assistance requests in 2018-19. This accounted for 1.3% of all booked assists made nationally in 2018-19. Note: This excludes un-booked assistance. A 'rail period' is normally 28 days, or four weeks, for business reporting purposes (Sunday to Saturday) and there are 13 rail periods in a financial year. Source: Research by Breaking Blue When published, the 2018-19 report will be available here: Research into passenger experience of Passenger Assist, 2018-19 Accessibility complaints rate (per 100,000 journeys), 2018-19 All operators must provide free alternative transport to take passengers to the nearest or most convenient accessible station in certain circumstances: • When a station is inaccessible to the passenger; • When rail replacement services are running that are not accessible to the passenger (because of planned engineering works for example); or • When there is disruption to services at short notice that, for whatever reason, makes services inaccessible to disabled passengers. In 2018-19 alternative accessible transport was provided 122 times by Chiltern. Disability and equality staff training in 2018-19 • In 2018-19 a total of 122 Chiltern staff received disability and equality awareness training. • All new staff receive disability awareness training as part of their induction and all existing staff receive refresher training every two years. • The disability and equality awareness element of Chiltern's induction course is delivered by Hear First. The refresher training is delivered by in-house trainers. A full description of Chiltern's disability training activities in 2018-19 can be viewed here on our website https://orr.gov. uk/rail/consumers/annual-rail-consumer-report ## Chiltern Railways Complaints Handling And Delay Compensation Top 5 reasons for complaints, 2018-19 Actions to improve services in response to complaints, 2018-19 Percentage of complaints Complaint type Change on last year Ticket buying facilities - other 4.4 PP 9.8% -1.7 PP Punctuality/reliability (i.e. the train arriving/ departing on time) 9.0% Ticket buying facilities 1.0 PP 8.4% -1.0 PP Sufficient room for all passengers to sit/ stand 5.7% Ticketing and refunds policy -0.1 PP ## Delay Compensation Claims, 2018-19 Chiltern closed 20,998 delay compensation claims in 2018-19. - Table 14.2 Chiltern's Complaints Handling Procedure is available at: https://orr.gov.uk/rail/licensing/licensing-therailway/complaints-handling-procedures/complaintshandling-procedures-decision-letters Chiltern reports it has taken some of the following actions in 2018-19 to address issues highlighted in passenger complaints: • Advertise price guarantees on TVM's to inform customers of their rights to claim refunds where appropriate. • Amended the timetable to increase the number of seats available to address complaints about standing/overcrowding. A more detailed list of the actions which have been taken to improve services in response to complaints can be viewed here: https://orr.gov.uk/rail/ consumers/annual-rail-consumer-report All train operators should publish the actions they are taking to improve passenger information in a Local Plan together with a link to the current industry Code of Practice (Oct 2016) and an Annual Progress Report (required to meet industry action PIDD-41). • Code of Practice - Oct 2016 • Local Plan - March 2019 We conducted a review of the new local plan in February 2019 and provided our feedback to CrossCountry. We were satisfied with its contents and happy for this to be published online. Source: Transport Focus, National Rail Passenger Survey The NRPS takes places twice a year, in Spring (S) and Autumn (A) CrossCountry reports it has made the following changes to improve information to its passengers It recently introduced a modular structure to improve the content of its PA announcements. It is working closely with its Training School, introducing a section based on customer wants/ needs to help new entrants understand what it is the customer wishes to hear about and when. The Arrakis Application has been placed on all smartphones for customer service grades. This will provide them with targeted information in the form of a push notification. All operators must provide free alternative transport to take passengers to the nearest or most convenient accessible station in certain circumstances: • When a station is inaccessible to the passenger; Data on the volume of booked assistance requests received is available for each train operator that manages a station. This data is therefore not available for CrossCountry because they do not manage any stations. • When rail replacement services are running that are not accessible to the passenger (because of planned engineering works for example); or • When there is disruption to services at short notice that, for whatever reason, makes services inaccessible to disabled passengers. In 2018-19 alternative accessible transport was provided 115 times by CrossCountry. ## Passenger Experience Of Booked Assistance, 2018-19 Data On Passenger Satisfaction With Booked Assistance Is Not Available For Crosscountry As They Do Not Manage Any Stations. When published, the 2018-19 report will be available here: Research into passenger experience of Passenger Assist, 2018-19 Disability and equality staff training in 2018-19 Accessibility complaints rate (per 100,000 journeys), 2018-19 • In 2018-19 a total of 229 CrossCountry staff received disability and equality awareness training. • All of these were new staff who received disability awareness and equality training as part of their induction programme. • CrossCountry's disability awareness and equality training is delivered by their in house training team and includes a mix of practical and theory based learning. A full description of CrossCountry's disability training activities in 2018-19 can be viewed here on our website: https://orr.gov.uk/rail/consumers/annualrail-consumer-report ## Crosscountry Complaints Handling And Delay Compensation Top 5 reasons for complaints, 2018-19 Actions to improve services in response to complaints, 2018-19 of complaints Complaint type last year -10.0 PP Punctuality/reliability (i.e. the train arriving/ departing on time) 25.5% Facilities on board 1.8 PP 15.3% 4.4 PP Sufficient room for all passengers to sit/ stand 6.0% -0.2 PP The helpfulness and attitude of staff on train 3.5% Other policy 2.6 PP - Table 14.2 CrossCountry's Complaints Handling Procedure is available at: https://orr.gov.uk/rail/licensing/licensingthe-railway/complaints-handling-procedures/ complaints-handling-procedures-decision-letters CrossCountry reports it has taken some of the following actions in 2018-19 to address issues highlighted in passenger complaints: • Additional catering staff were recruited and all boilers on Voyager trains were replaced to ensure adequate on-board catering provisions. • CrossCountry introduced a free advance ticket amendment service to allow passengers to travel on alternative trains to avoid crowding. A more detailed list of the actions which have been taken to improve services in response to complaints can be viewed here: https://orr.gov.uk/rail/ consumers/annual-rail-consumer-report business reporting purposes (Sunday to Saturday) and there are 13 rail periods in a financial year. Data tables: Rail delay compensation claims by TOC - Table 17.01 All train operators should publish the actions they are taking to improve passenger information in a Local Plan together with a link to the current industry Code of Practice (Oct 2016) and an Annual Progress Report. This is required to meet industry action PIDD-41. • Code of Practice - October 2016 • Local Plan - January 2019 A revised Local Plan has been reviewed by ORR. Source: Transport Focus, National Rail Passenger Survey The NRPS takes places twice a year, in Spring (S) and Autumn (A) East Midlands Trains reports it has made the following changes to improve information to its passengers • Introduced system enhancements to station CIS displays and announcements • Introduced a microsite to keep customers informed about future planned engineering work on London routes • Continued to roll out passenger information systems on board the local fleet. ## East Midlands Trains Accessibility And Inclusion Booked Assistance Volumes Alternative Accessible Transport East Midlands Trains received 63,312 booked assistance requests in 2018-19. This accounted for 4.9% of all booked assists made nationally in 2018-19. Note: This excludes un-booked assistance. A 'rail period' is normally 28 days, or four weeks, for business reporting purposes (Sunday to Saturday) and there are 13 rail periods in a financial year. Data tables: Rail passenger assists by station operator - Table 16.03 Source: Research by Breaking Blue When published, the 2018-19 report will be available here: Research into passenger experience of Passenger Assist, 2018-19 Accessibility complaints rate (per 100,000 journeys), 2018-19 All operators must provide free alternative transport to take passengers to the nearest or most convenient accessible station in certain circumstances: • When a station is inaccessible to the passenger; • When rail replacement services are running that are not accessible to the passenger (because of planned engineering works for example); or • When there is disruption to services at short notice that, for whatever reason, makes services inaccessible to disabled passengers. In 2018-19 alternative accessible transport was provided 233 times by East Midlands Trains. Disability and equality staff training in 2018-19 • In 2018-19 a total of 115 East Midlands Trains staff received disability and equality awareness training. • East Midlands Trains have a dedicated disability awareness and equality training programme for new staff. • All managers complete a e-learning programme. A total of 39 managers completed the course in 2018-19. A full description of East Midlands Trains' disability training activities in 2018-19 can be viewed here on our website: https://orr.gov.uk/rail/consumers/annual-rail-consumerreport ## East Midlands Trains Complaints Handling And Delay Compensation Top 5 reasons for complaints, 2018-19 Actions to improve services in response to complaints, 2018-19 Percentage of complaints Complaint type last year Sufficient room for all passengers to sit/ stand 1.1 PP Punctuality/reliability (i.e. the train arriving/ departing on time) 14.7% Facilities on board -0.1 PP 0.6 PP The helpfulness and attitude of staff on train Source: Train Operating Companies Data tables: Complaints by NRPS category by TOC - Table 14.5 Delay compensation claims, 2018-19 East Midlands Trains closed 68,781 delay compensation claims in 2018-19. PP = percentage point change Source: Train Operating Companies Data tables: Complaints responded to within 10 and 20 working days by TOC - Table 14.2 East Midlands Trains' Complaints Handling Procedure is available at: https://orr.gov.uk/rail/ licensing/licensing-the-railway/complaints-handlingprocedures/complaints-handling-proceduresdecision-letters East Midlands Trains reports it has taken some of the following actions in 2018-19 to address issues highlighted in passenger complaints: • Staff allocations are reviewed to ensure that there are adequate staffing levels to address complaints about facilities on board and the helpfulness and attitude of staff on the train. • Train and station staff have been trained on how to resolve reservation issues to address complaints about overcrowding. A more detailed list of the actions which have been taken to improve services in response to complaints can be viewed here: https://orr.gov.uk/rail/ consumers/annual-rail-consumer-report Note: A 'rail period' is normally 28 days, or four weeks, for business reporting purposes (Sunday to Saturday) and there are 13 rail periods in a financial year. Data tables: Rail delay compensation claims by TOC - Table 17.01 All train operators should publish the actions they are taking to improve passenger information in a Local Plan together with a link to the current industry Code of Practice (Oct 2016) and an Annual Progress Report (required to meet industry action PIDD-41). • Code of Practice - Oct 2016 • Local Plan - April 2019 The information is up to date. The Local Plan should be reviewed annually. The NRPS takes places twice a year, in Spring (S) and Autumn (A) Govia Thameslink Railway reports it has made the following changes to improve information to its passengers: • It has replaced 742 information screens on Southern and Gatwick Express. • In addition, it is focusing on communicating information regarding its upcoming engineering work. • It has rolled out 3000+ data enabled phones to its customer facing staff • It has introduced software upgrades to the Customer information systems to include "warning of future delays" and "location of train" ## Govia Thameslink Railway Accessibility And Inclusion Booked Assistance Volumes Alternative Accessible Transport Govia Thameslink Railway received 57,060 booked assistance requests in 2018-19. This accounted for 4.4% of all booked assists made nationally in 2018-19. Note: This excludes un-booked assistance. A 'rail period' is normally 28 days, or four weeks, for business reporting purposes (Sunday to Saturday) and there are 13 rail periods in a financial year. Data tables: Rail passenger assists by station operator - Table 16.03 Source: Research by Breaking Blue When published, the 2018-19 report will be available here: Research into passenger experience of Passenger Assist, 2018-19 ## Accessibility Complaints Rate (Per 100,000 Journeys), 2018-19 All operators must provide free alternative transport to take passengers to the nearest or most convenient accessible station in certain circumstances: • When a station is inaccessible to the passenger; • When rail replacement services are running that are not accessible to the passenger (because of planned engineering works for example); or • When there is disruption to services at short notice that, for whatever reason, makes services inaccessible to disabled passengers. In 2018-19 alternative accessible transport was provided 1,201 times by Govia Thameslink Railway. Disability and equality staff training in 2018-19 • In 2018-19 a total of 1,349 Govia Thameslink Railway staff received disability and equality awareness training. • All new staff attended disability and equality awareness training as part of GTR's induction programme. A total of 557 completed this training as part of their induction. • GTR use a mix of practical and theoretical training to deliver their disability and equality awareness training. A full description of Govia Thameslink Railway's disability training activities in 2018-19 can be viewed here on our website: https://orr.gov.uk/rail/consumers/annual-railconsumer-report ## Govia Thameslink Railway Complaints Handling And Delay Compensation Top 5 reasons for complaints, 2018-19 Actions to improve services in response to complaints, 2018-19 Percentage of complaints Complaint type Change on last year 20.1% 5.8 PP Punctuality/reliability (i.e. the train arriving/ departing on time) 13.1% Timetabling 12.6 PP 8.4% Smartcards 0.0 PP 6.1% Ticket buying facilities -3.1 PP 5.4% Level of compensation -2.4 PP Source: Train Operating Companies Data tables: Complaints by NRPS category by TOC - Table 14.5 ## Delay Compensation Claims, 2018-19 Govia Thameslink Railway closed 1,552,957 delay compensation claims in 2018-19. PP = percentage point change Source: Train Operating Companies Data tables: Complaints responded to within 10 and 20 working days by TOC - Table 14.2 Govia Thameslink Railway's Complaints Handling Procedure is available at: https://orr.gov.uk/rail/ licensing/licensing-the-railway/complaints-handlingprocedures/complaints-handling-proceduresdecision-letters Govia Thameslink Railway reports it has taken some of the following actions in 2018-19 to address issues highlighted in passenger complaints: • Proactively helping customers to rectify Delay Repay claim submissions. • Launched upgrades to Smartcard facilities to improve the experiences of Smartcard users. A more detailed list of the actions which have been taken to improve services in response to complaints can be viewed here: https://orr.gov.uk/rail/ consumers/annual-rail-consumer-report Note: A 'rail period' is normally 28 days, or four weeks, for business reporting purposes (Sunday to Saturday) and there are 13 rail periods in a financial year. Data tables: Rail delay compensation claims by TOC - Table 17.01 All train operators should publish the actions they are taking to improve passenger information in a Local Plan together with a link to the current industry Code of Practice (Oct 2016) and an Annual Progress Report (required to meet industry action PIDD-41). • Code of practice - Oct 2016 • Local plan - June 2018 The information is up to date. Local Plans should be reviewed annually. Source: Transport Focus, National Rail Passenger Survey The NRPS takes places twice a year, in Spring (S) and Autumn (A) Grand Central reports it has made the following changes to improve information to its passengers: Grand Central has introduced new procedures to ensure we proactively contact customers more often to advise them of potential issues with their upcoming journeys during our busiest periods. ## Grand Central Accessibility And Inclusion Booked Assistance Volumes Data on the volume of booked assistance requests received in each rail period is available for each train operator that manages a station. This data is therefore not available for Grand Central because they do not manage any stations. ## Passenger Experience Of Booked Assistance, 2018-19 Data On Passenger Satisfaction With Booked Assistance Is Not Available For Grand Central As They Do Not Manage Any Stations. Source: Research by Breaking Blue When published, the 2018-19 report will be available here: Research into passenger experience of Passenger Assist, 2018-19 ## Accessibility Complaints Rate (Per 100,000 Journeys), 2018-19 may partly explain the percentage increase compared to the previous year Source: Train Operating Companies Data tables: Complaints by NRPS category by TOC - Table 14.5 ## Alternative Accessible Transport All operators must provide free alternative transport to take passengers to the nearest or most convenient accessible station in certain circumstances: • When a station is inaccessible to the passenger; • When rail replacement services are running that are not accessible to the passenger (because of planned engineering works for example); or • When there is disruption to services at short notice that, for whatever reason, makes services inaccessible to disabled passengers. In 2018-19 no alternative accessible transport was provided by Grand Central. Disability and equality staff training in 2018-19 • In 2018-19 a total of 36 Grand Central staff received disability and equality awareness training. • All passenger facing staff are required to undertake Grand Central's dedicated disability awareness and equality training. Grand Central are currently designing refresher training. • Grand Central's operational and safety teams have received disability awareness and equality training. A full description of Grand Central's disability training activities in 2018-19 can be viewed here on our website: https://orr.gov.uk/rail/consumers/annualrail-consumer-report ## Grand Central Complaints Handling And Delay Compensation Top 5 reasons for complaints, 2018-19 Actions to improve services in response to complaints, 2018-19 Percentage of complaints Complaint type last year Upkeep and repair of the train \| 19.0% \| 8.9 PP \| \|---------------------------\|---------------------\| \| Punctuality/reliability \| \| \| (i.e. the train arriving/ \| \| \| departing on time) \| \| \| 17.0% \| 6.5 PP \| \| Sufficient room for \| \| \| all passengers to sit/ \| \| \| stand \| \| \| 10.7% \| Facilities on board \| \| 4.6% \| \| \| Unhappy at type/level \| \| \| of compensation \| \| \| -1.6 PP \| \| Note: A 'rail period' is normally 28 days, or four weeks, for business reporting purposes (Sunday to Saturday) and there are 13 rail periods in a financial year. Data tables: Rail delay compensation claims by TOC - Table 17.01 - Table 14.2 Grand Central's Complaints Handling Procedure is available at: https://orr.gov.uk/rail/licensing/licensingthe-railway/complaints-handling-procedures/ complaints-handling-procedures-decision-letters Grand Central reports it has taken some of the following actions in 2018-19 to address issues highlighted in passenger complaints: • To address issues of punctuality/reliability and upkeep and repair of the train, Grand Central have increased the number of suppliers assisting with air conditioner unit repair and on-board maintenance staff to ensure trains are back in service as soon as possible. A more detailed list of the actions which have been taken to improve services in response to complaints can be viewed here: https://orr.gov.uk/rail/ consumers/annual-rail-consumer-report All train operators should publish the actions they are taking to improve passenger information in a Local Plan together with a link to the current industry Code of Practice (Oct 2016) and an Annual Progress Report (required to meet industry action PIDD-41). • Code of Practice - Oct 2016 • Local Plan - April 2017 The information is up to date. Local Plans should be reviewed annually. Source: Transport Focus, National Rail Passenger Survey The NRPS takes places twice a year, in Spring (S) and Autumn (A) Great Western Railway reports it has taken some of the following actions to improve its provision of information to passengers: • It is working on platform zoning. • The train crew also have an app which allows them to correct formation and update customer information screens during the journey. Great Western Railway received 162,199 booked assistance requests in 2018-19. This accounted for 12.6% of all booked assists made nationally in 2018-19. Source: Research by Breaking Blue When published, the 2018-19 report will be available here: Research into passenger experience of Passenger Assist, 2018-19 Accessibility complaints rate (per 100,000 journeys), 2018-19 All operators must provide free alternative transport to take passengers to the nearest or most convenient accessible station in certain circumstances: • When a station is inaccessible to the passenger; • When rail replacement services are running that are not accessible to the passenger (because of planned engineering works for example); or • When there is disruption to services at short notice that, for whatever reason, makes services inaccessible to disabled passengers. In 2018-19 alternative accessible transport was provided 649 times by Great Western Railway. Disability and equality staff training in 2018-19 • In 2018-19 a total of 830 Great Western Railway staff received disability and equality awareness training. • All new staff receive disability awareness training as part of their induction. • GWR continue to work with charities such as Parkinson's UK, Purple Angels and Autism West Midlands to advise on in-house disability training programmes. A full description of Great Western Railway's disability training activities in 2018-19 can be viewed here on our website: https://orr.gov.uk/rail/consumers/annual-railconsumer-report ## Great Western Railway Complaints Handling And Delay Compensation Top 5 reasons for complaints, 2018-19 Actions to improve services in response to complaints, 2018-19 Percentage of complaints Complaint type Change on last year 13.3% 1.4 PP Sufficient room for all passengers to sit/ stand 10.2% Facilities on board 3.5 PP 10.1% Ticket buying facilities - other 0.9 PP 9.5% 1.8 PP Punctuality/reliability (i.e. the train arriving/ departing on time) 9.3% Ticketing and refunds policy 9.3 PP Great Western Railway closed 162,022 delay compensation claims in 2018-19. Note: A 'rail period' is normally 28 days, or four weeks, for business reporting purposes (Sunday to Saturday) and there are 13 rail periods in a financial year. Data tables: Rail delay compensation claims by TOC - Table 17.01 - Table 14.2 Great Western Railway's Complaints Handling Procedure is available at: https://orr.gov.uk/rail/ licensing/licensing-the-railway/complaints-handlingprocedures/complaints-handling-proceduresdecision-letters Great Western Railway reports it has taken some of the following actions in 2018-19 to address issues highlighted in passenger complaints: • To address crowding issues, new trains with increased capacity have been introduced across the network. • Improvements to Great Western Railway's website have been made to improve the ticket buying experience for customers. A more detailed list of the actions which have been taken to improve services in response to complaints can be viewed here: https://orr.gov.uk/rail/ consumers/annual-rail-consumer-report All train operators should publish the actions they are taking to improve passenger information in a Local Plan together with a link to the current industry Code of Practice (Oct 2016) and an Annual Progress Report (required to meet industry action PIDD-41). • Code of Practice - October 2016. • Local Plan - June 2015 Not compliant. PP = percentage point change Source: Transport Focus, National Rail Passenger Survey The NRPS takes places twice a year, in Spring (S) and Autumn (A) Greater Anglia reports it has made the following changes to improve information to its passengers: • Greater Anglia is working on the introduction of new trains. • Additionally, it is working on a connected stations project with a customer information screens supplier. Greater Anglia received 38,657 booked assistance requests in 2018-19. This accounted for 3.0% of all booked assists made nationally in 2018-19. Note: This excludes un-booked assistance. A 'rail period' is normally 28 days, or four weeks, for business reporting purposes (Sunday to Saturday) and there are 13 rail periods in a financial year. Source: Research by Breaking Blue When published, the 2018-19 report will be available here: Research into passenger experience of Passenger Assist, 2018-19 Accessibility complaints rate (per 100,000 journeys), 2018-19 All operators must provide free alternative transport to take passengers to the nearest or most convenient accessible station in certain circumstances: • When a station is inaccessible to the passenger; • When rail replacement services are running that are not accessible to the passenger (because of planned engineering works for example); or • When there is disruption to services at short notice that, for whatever reason, makes services inaccessible to disabled passengers. In 2018-19 alternative accessible transport was provided 470 times by Greater Anglia. Satisfaction with the helpfulness and attitude of staff who provided assistance at the station (for those passengers met by staff) ## Overall Satisfaction With The Whole Process From Booking Assistance To Assistance Received (All Passengers) Disability and equality staff training in 2018-19 • In 2018-19 a total of 601 Greater Anglia staff received disability and equality awareness training. • All staff receive dedicated disability awareness training as part of Greater Anglia's induction programme or as part of specific departmental training. • An external training provider has developed a bespoke training package for Greater Anglia. Greater Anglia has also developed their own programme using a number of resources. A full description of Greater Anglia's disability training activities in 2018-19 can be viewed here on our website: https://orr.gov.uk/rail/consumers/annual-rail-consumerreport ## Greater Anglia Complaints Handling And Delay Compensation Top 5 reasons for complaints, 2018-19 Actions to improve services in response to complaints, 2018-19 Percentage of complaints Complaint type Change on last year 32.1% -12.0 PP Punctuality/reliability (i.e. the train arriving/ departing on time) 9.3% Ticketing and refunds policy 3.3 PP 7.2% Ticket buying facilities -7.1 PP 6.6% Facilities on board 4.7 PP 5.4% 3.8 PP Sufficient room for all passengers to sit/ stand ## Delay Compensation Claims, 2018-19 Greater Anglia Closed 426,758 Delay Compensation Claims In 2018-19. PP = percentage point change Source: Train Operating Companies Data tables: Complaints responded to within 10 and 20 working days by TOC - Table 14.2 Greater Anglia's Complaints Handling Procedure is available at: https://orr.gov.uk/rail/licensing/licensingthe-railway/complaints-handling-procedures/ complaints-handling-procedures-decision-letters Greater Anglia reports it has taken some of the following actions in 2018-19 to address issues highlighted in passenger complaints: • In response to customer feedback, Greater Anglia reversed the decision to only sell advance tickets online. • Updated TVM software to improve the reliability of machines at rural stations. A more detailed list of the actions which have been taken to improve services in response to complaints can be viewed here: https://orr.gov.uk/rail/ consumers/annual-rail-consumer-report All train operators should publish the actions they are taking to improve passenger information in a Local Plan together with a link to the current industry Code of Practice (Oct 2016) and an Annual Progress Report (required to meet industry action PIDD-41. • Code of Practice - October 2016. • Local Plan - May 2018. We are aware that Heathrow Express are working on an update to its local plan and we have met with it to discuss the development of this draft. The NRPS takes places twice a year, in Spring (S) and Autumn (A) Heathrow Express reports it has made the following changes to improve information to its passengers: • Hot lessons learnt reviews following every contingency incident to ensure improvements are made and customer feedback considered • Developed a step by step guide for our duty managers to follow to ensure passengers are being updated in a timely manner through all available channels (web, app, social media) • Working with GWR and HAL Rail to improve onboard and platform announcements. ## Heathrow Express Accessibility And Inclusion Booked Assistance Volumes Alternative Accessible Transport All operators must provide free alternative transport to take passengers to the nearest or most convenient accessible station in certain circumstances: Heathrow Express received 459 booked assistance requests in 2018-19. This accounted for less than 0.1% of all booked assists made nationally in 2018-19. • When a station is inaccessible to the passenger; • When rail replacement services are running that are not accessible to the passenger (because of planned engineering works for example); or • When there is disruption to services at short notice that, for whatever reason, makes services inaccessible to disabled passengers. In 2018-19 no alternative accessible transport was provided by Heathrow Express, principally due to all its station being fully accessible. Note: This excludes un-booked assistance. A 'rail period' is normally 28 days, or four weeks, for business reporting purposes (Sunday to Saturday) and there are 13 rail periods in a financial year. Data tables: Rail passenger assists by station operator - Table 16.03 ## Passenger Experience Of Booked Assistance, 2018-19 No data is available on this Heathrow Express' performance on the reliability of its booked assistance due to a low sample size, which is a natural effect of having lower than average booking volumes. Source: Research by Breaking Blue When published, the 2018-19 report will be available here: Research into passenger experience of Passenger Assist, 2018-19 ## Disability And Equality Staff Training In 2018-19 Accessibility complaints rate (per 100,000 journeys), 2018-19 • In 2018-19 a total of 66 Heathrow Express staff received disability and equality awareness training. Accessibility complaint data is not available for Heathrow Express in 2018-19. • Heathrow Express frontline staff receive disability and equality awareness training as part of their induction which is then refreshed annually. • Training is delivered by an in-house training team. A full description of Heathrow Express's disability training activities in 2018-19 can be viewed here on our website: https://orr.gov.uk/rail/consumers/ annual-rail-consumer-report Source: Train Operating Companies ## Heathrow Express Complaints Handling And Delay Compensation Top 5 reasons for complaints, 2018-19 Actions to improve services in response to complaints, 2018-19 Percentage of complaints Complaint type Change on last year 31.8% -3.8 PP Punctuality/reliability (i.e. the train arriving/ departing on time) 28.6% Ticket buying facilities -3.9 PP 9.5% Environmental 4.1 PP 9.1% 2.0 PP Provision of information on website or mobile apps 7.4% 1.4 PP The attitudes and helpfulness of the staff at station Delay compensation claims, 2018-19 Heathrow Express closed 9,226 delay compensation claims in 2018-19. - Table 14.2 Heathrow Express' Complaints Handling Procedure is available at: https://orr.gov.uk/rail/licensing/licensingthe-railway/complaints-handling-procedures/ complaints-handling-procedures-decision-letters Heathrow Express reports it has taken some of the following actions in 2018-19 to address issues highlighted in passenger complaints: • Heathrow Express investigated a number of complaints relating to ticket buying facilities. A new website and mobile app will be launched in June 2019 to improve the overall ticket buying experience for customers. A more detailed list of the actions which have been taken to improve services in response to complaints can be viewed here: https://orr.gov.uk/rail/ consumers/annual-rail-consumer-report Note: A 'rail period' is normally 28 days, or four weeks, for business reporting purposes (Sunday to Saturday) and there are 13 rail periods in a financial year. Data tables: Rail delay compensation claims by TOC - All train operators should publish the actions they are taking to improve passenger information in a Local Plan together with a link to the current industry Code of Practice (Oct 2016) and an Annual Progress Report (required to meet industry action PIDD-41). • Code of practice - Oct 2016 • Local plan - May 2017 The information is up to date. Local Plans should be reviewed annually. ## Passenger Satisfaction With The Usefulness Of Information When Delays Occur response rates. Source: Transport Focus, National Rail Passenger Survey The NRPS takes places twice a year, in Spring (S) and Autumn (A) ## Passenger Satisfaction With Provision Of Information During The Journey PP = percentage point change Source: Transport Focus, National Rail Passenger Survey The NRPS takes places twice a year, in Spring (S) and Autumn (A) Hull Trains reports it has made the following changes to improve information to its passengers: • Launched a new website. All operators must provide free alternative transport to take passengers to the nearest or most convenient accessible station in certain circumstances: • When a station is inaccessible to the passenger; Data on the volume of booked assistance requests received in each rail period is available for each train operator that manages a station. This data is therefore not available for Hull Trains because they do not manage any stations. • When rail replacement services are running that are not accessible to the passenger (because of planned engineering works for example); or • When there is disruption to services at short notice that, for whatever reason, makes services inaccessible to disabled passengers. In 2018-19 alternative accessible transport was provided 7 times by Hull Trains. ## Passenger Experience Of Booked Assistance, 2018-19 Data On Passenger Satisfaction With Booked Assistance Is Not Available For Hull Trains As They Do Not Manage Any Stations. Source: Research by Breaking Blue When published, the 2018-19 report will be available here: Research into passenger experience of Passenger Assist, 2018-19 Disability and equality staff training in 2018-19 Accessibility complaints rate (per 100,000 journeys), 2018-19 • In 2018-19 a total of 23 Hull Trains staff received disability and equality awareness training. • Hull Train's training was predominantly delivered to staff new to the organisation as part of their induction programme. • Hull Train's disability awareness and equality training continues to be provided by their sister operator TransPennine Express. A full description of Hull Trains' disability training activities in 2018-19 can be viewed here on our website: https://orr.gov.uk/rail/consumers/annualrail-consumer-report Source: Train Operating Companies Data tables: Complaints by NRPS category by TOC - Table 14.5 ## Hull Trains Complaints Handling And Delay Compensation Top 5 reasons for complaints, 2018-19 Actions to improve services in response to complaints, 2018-19 Percentage of complaints Complaint type Change on last year 36.4% 5.3 PP Punctuality/reliability (i.e. the train arriving/ departing on time) 18.8% Upkeep and repair of the train 6.7 PP 7.0% Facilities on board -7.5 PP 6.4% -3.0 PP Sufficient room for all passengers to sit/ stand 4.1% -1.5 PP The helpfulness and attitude of staff on ## Complaints Responded To Within 20 Working Days, 2018-19 By Quarter - Table 14.2 Hull Trains' Complaints Handling Procedure is available at: https://orr.gov.uk/rail/licensing/licensingthe-railway/complaints-handling-procedures/ complaints-handling-procedures-decision-letters Hull Trains reports it has taken some of the following actions in 2018-19 to address issues highlighted in passenger complaints: • Employed additional staff to improve delay repay processing times. • Hull Trains revised their pricing on tickets for less populated services to encourage passengers to travel at alternative times to address crowding complaints. A more detailed list of the actions which have been taken to improve services in response to complaints can be viewed here: https://orr.gov.uk/rail/ consumers/annual-rail-consumer-report All train operators should publish the actions they are taking to improve passenger information in a Local Plan together with a link to the current industry Code of Practice (Oct 2016) and an Annual Progress Report (required to meet industry action PIDD-41). • Code of Practice - Oct 2016 • Local Plan - June 2018 LNER is currently reviewing its local plan and has provided a draft version of this. For now, the date of the published version remains as above although we have provided feedback on the draft copy and await this being published in the near future. Source: Transport Focus, National Rail Passenger Survey The NRPS takes places twice a year, in Spring (S) and Autumn (A) London North Eastern Railway reports it has made the following changes to improve information to its passengers: • It is working on a personal communications tool. It expects to launch this at the end of May to advise of changes to platforms/delays and cancellations. ## London North Eastern Railway Accessibility And Inclusion Booked Assistance Volumes Alternative Accessible Transport London North Eastern Railway received 107,820 booked assistance requests in 2018-19. This accounted for 8.4% of all booked assists made nationally in 2018-19. Note: This excludes un-booked assistance. A 'rail period' is normally 28 days, or four weeks, for business reporting purposes (Sunday to Saturday) and Source: Research by Breaking Blue When published, the 2018-19 report will be available here: Research into passenger experience of Passenger Assist, 2018-19 ## Accessibility Complaints Rate (Per 100,000 Journeys), 2018-19 All operators must provide free alternative transport to take passengers to the nearest or most convenient accessible station in certain circumstances: • When a station is inaccessible to the passenger; • When rail replacement services are running that are not accessible to the passenger (because of planned engineering works for example); or • When there is disruption to services at short notice that, for whatever reason, makes services inaccessible to disabled passengers. In 2018-19 alternative accessible transport was provided 52 times by London North Eastern Railway. Disability and equality staff training in 2018-19 • In 2018-19 a total of 372 London North Eastern Railway staff received disability and equality awareness training. • All new LNER staff receive disability awareness training as part of their induction. In 2018-19, a total of 372 staff attended LNER's induction programme and 213 front line staff undertook the full disability awareness training course. • The content of LNER's training programmes are based on the training guides developed by the Rail Delivery Group. A full description of London North Eastern Railway's disability training activities in 2018-19 can be viewed here on our website: https://orr.gov.uk/rail/consumers/annualrail-consumer-report ## London North Eastern Railway Complaints Handling And Delay Compensation Top 5 reasons for complaints, 2018-19 Actions to improve services in response to complaints, 2018-19 Percentage of complaints Complaint type Change on last year 34.3% Facilities on board 8.5 PP 11.9% Ticket buying facilities - other -9.7 PP 8.1% -0.6 PP Sufficient room for all passengers to sit/ stand 7.5% 1.6 PP The helpfulness and attitude of staff on train 5.6% Ticketing and refunds policy 0.3 PP Delay compensation claims, 2018-19 London North Eastern Railway closed 415,165 delay compensation claims in 2018-19. - Table 14.2 London North Eastern Railway's Complaints Handling Procedure can be viewed from here: https://orr.gov. uk/rail/licensing/licensing-the-railway/complaintshandling-procedures/complaints-handlingprocedures-decision-letters London North Eastern Railway reports it has taken some of the following actions in 2018-19 to address issues highlighted in passenger complaints: • To address complaints about ticket buying facilities, London North Eastern Railway's have made improvements to their website. • The introduction of new trains will address issues of crowding and on board facilities complaints. A more detailed list of the actions which have been taken to improve services in response to complaints can be viewed here: https://orr.gov.uk/rail/ consumers/annual-rail-consumer-report All train operators should publish the actions they are taking to improve passenger information in a Local Plan together with a link to the current industry Code of Practice (Oct 2016) and an Annual Progress Report (required to meet industry action PIDD-41). • Code of Practice - Oct 2016 • Local Plan - Nov 2016 A Local Plan review is required. The NRPS takes places twice a year, in Spring (S) and Autumn (A) London Overground reports it has taken some of the following actions to improve its provision of information to passengers: • It is working with enhanced technology alongside staff training and behaviours to improve its provision of imparting timely and accurate information to its customers. • At the Customer Experience Strategy level, it is undertaking an in depth review of how information is disseminated by its frontline teams, especially in times of disruption. It is examining whether the tools it uses are the most efficient and effective. ## London Overground Accessibility And Inclusion Booked Assistance Volumes Alternative Accessible Transport London Overground received 1,272 booked assistance requests in 2018-19. This accounted for 0.1% of all booked assists made nationally in 2018-19. Note: This excludes un-booked assistance. A 'rail period' is normally 28 days, or four weeks, for business reporting purposes (Sunday to Saturday) and there are 13 rail periods in a financial year. Data tables: Rail passenger assists by station operator - Table 16.03 ## Passenger Experience Of Booked Assistance, 2018-19 No data is available on this company's performance on the reliability of its booked assistance due to a low sample size, which is a natural effect of having lower than average booking volumes. Source: Research by Breaking Blue When published, the 2018-19 report will be available here: Research into passenger experience of Passenger Assist, 2018-19 Accessibility complaints rate (per 100,000 journeys), 2018-19 Note: London Overground received 31 accessibility complaints during 2018-19. This may partly explain the low accessibility complaints rate. Source: Train Operating Companies Data tables: Complaints by NRPS category by TOC - Table 14.5 All operators must provide free alternative transport to take passengers to the nearest or most convenient accessible station in certain circumstances: • When a station is inaccessible to the passenger; • When rail replacement services are running that are not accessible to the passenger (because of planned engineering works for example); or • When there is disruption to services at short notice that, for whatever reason, makes services inaccessible to disabled passengers. In 2018-19 alternative accessible transport was provided 68 times by London Overground. ## Disability And Equality Staff Training In 2018-19 • In 2018-19 a total of 763 London Overground staff received disability and equality awareness training. • All new staff receive disability awareness training as part of their induction and all existing and nonfrontline staff receive a refresher course annually. A full description of London Overground's disability training activities in 2018-19 can be viewed here on our website: https://orr.gov.uk/rail/consumers/ annual-rail-consumer-report ## London Overground Complaints Handling And Delay Compensation Top 5 reasons for complaints, 2018-19 Actions to improve services in response to complaints, 2018-19 Percentage of complaints Complaint type Change on last year 45.6% 6.4 PP Punctuality/reliability (i.e. the train arriving/ departing on time) 15.4% 0.0 PP The attitudes and helpfulness of the staff at station 4.8% Timetabling 4.6 PP 4.7% Your personal security on board 2.5 PP 4.5% 3.0 PP Provision of information on website or mobile apps PP = percentage point change Source: Train Operating Companies Data tables: Complaints responded to within 10 and 20 working days by TOC - Table 14.2 London Overground's Complaints Handling Procedure is available at: https://orr.gov.uk/rail/ licensing/licensing-the-railway/complaints-handlingprocedures/complaints-handling-proceduresdecision-letters London Overground reports it has taken some of the following actions in 2018-19 to address issues highlighted in passenger complaints: • Developed targeted training programmes to improve staff conduct. • Trialled predictive carriage occupancy technology to reduce crowding and improve the safety and security of passengers. A more detailed list of the actions which have been taken to improve services in response to complaints can be viewed here: https://orr.gov.uk/rail/ consumers/annual-rail-consumer-report All train operators should publish the actions they are taking to improve passenger information in a Local Plan together with a link to the current industry Code of Practice (Oct 2016) and an Annual Progress Report (required to meet industry action PIDD-41) • Code of Practice - October 2016 • Local Plan - June 2018. ORR has reviewed and provided feedback on the current version of the local plan. We also have arranged a meeting to discuss this face to face. ## Passenger Satisfaction With The Usefulness Of Information When Delays Occur Passenger Satisfaction With Provision Of Information During The Journey Actions To Improve Information For Passengers, 2018-19 Merseyrail reports it has taken some of the following actions to improve its provision of information to passengers: • Introduced new digital channels to link its control room, managers and stations together during disruption • Launched a new approach to managing information disruption including more PA announcements and greater visibility of colleagues to help • Continued to offer support to customers in real time through its dedicated social media service. All operators must provide free alternative transport to take passengers to the nearest or most convenient accessible station in certain circumstances: Merseyrail received 8,677 booked assistance requests in 2018-19. This accounted for 0.7% of all booked assists made nationally in 2018-19. • When a station is inaccessible to the passenger; • When rail replacement services are running that are not accessible to the passenger (because of planned engineering works for example); or • When there is disruption to services at short notice that, for whatever reason, makes services inaccessible to disabled passengers. In 2018-19 alternative accessible transport was provided 345 times by Merseyrail. Note: This excludes un-booked assistance. A 'rail period' is normally 28 days, or four weeks, for business reporting purposes (Sunday to Saturday) and there are 13 rail periods in a financial year. Data tables: Rail passenger assists by station operator - Table 16.03 ## Passenger Experience Of Booked Assistance, 2018-19 No data is available on Merseyrail's performance on the reliability of its booked assistance due to a low sample size, which is a natural effect of having lower than average booking volumes. Source: Research by Breaking Blue When published, the 2018-19 report will be available here: Research into passenger experience of Passenger Assist, 2018-19 ## Disability And Equality Staff Training In 2018-19 Accessibility Complaints Rate (Per 100,000 Journeys), 2018-19 • In 2018-19 a total of 1,140 Merseyrail staff received disability and equality awareness training. • Merseyrail have a dedicated disability awareness training package. • Staff training needs are appraised through risk assessments and Merseyrail staff undertake the training level which is most appropriate for their needs. Source: Train Operating Companies Data tables: Complaints by NRPS category by TOC - Table 14.5 A full description of Merseyrail's disability training activities in 2018-19 can be viewed here on our website: https://orr.gov.uk/rail/consumers/annualrail-consumer-report ## Merseyrail Complaints Handling And Delay Compensation Top 5 reasons for complaints, 2018-19 Actions to improve services in response to complaints, 2018-19 Percentage of complaints Complaint type Change on last year 37.6% -0.5 PP Punctuality/reliability (i.e. the train arriving/ departing on time) 6.4% 0.0 PP The attitudes and helpfulness of the staff at station 5.6% Ticket buying facilities -1.6 PP 5.6% Your personal security on board 1.5 PP 3.9% Other policy 0.5 PP Source: Train Operating Companies PP = percentage point change Source: Train Operating Companies Data tables: Complaints responded to within 10 and 20 working days by TOC - Table 14.2 Merseyrail's Complaints Handling Procedure is available at: https://orr.gov.uk/rail/licensing/licensingthe-railway/complaints-handling-procedures/ complaints-handling-procedures-decision-letters Merseyrail reports it has taken some of the following actions in 2018-19 to address issues highlighted in passenger complaints: • Increased the number of TVM's in response to increased demand. • In response to complaints about staff helpfulness, Merseyrail have introduced targeted staff training focusing on responding to customers and conflict resolution. A more detailed list of the actions which have been taken to improve services in response to complaints can be viewed here: https://orr.gov.uk/rail/ consumers/annual-rail-consumer-report Note: A 'rail period' is normally 28 days, or four weeks, for business reporting purposes (Sunday to Saturday) and there are 13 rail periods in a financial year. Data tables: Rail delay compensation claims by TOC - Table 17.01 All train operators should publish the actions they are taking to improve passenger information in a Local Plan together with a link to the current industry Code of Practice (Oct 2016) and an Annual Progress Report (required to meet industry action PIDD-41). • Code of Practice - none • Local Plan - Apr 2016 We have reviewed and provided feedback on the published local plan. However, a link to the Code of Practice needs to be published on the same page as the local plan. Source: Transport Focus, National Rail Passenger Survey The NRPS takes places twice a year, in Spring (S) and Autumn (A) Northern reports it has made the following changes to improve information to its passengers: • It has re-written its process for disseminating information to ensure accuracy and timeliness of information. • It has also taken steps to improve the consistency of delay information and advice across web pages, posters and announcements. • It has invested in 56 new information screens at stations on its network, providing clear and comprehensive information Northern received 47,209 booked assistance requests in 2018-19. This accounted for 3.7% of all booked assists made nationally in 2018-19. Note: This excludes un-booked assistance. A 'rail period' is normally 28 days, or four weeks, for business reporting purposes (Sunday to Saturday) and there are 13 rail periods in a financial year. Source: Research by Breaking Blue When published, the 2018-19 report will be available here: Research into passenger experience of Passenger Assist, 2018-19 ## Accessibility Complaints Rate (Per 100,000 Journeys), 2018-19 All operators must provide free alternative transport to take passengers to the nearest or most convenient accessible station in certain circumstances: • When a station is inaccessible to the passenger; • When rail replacement services are running that are not accessible to the passenger (because of planned engineering works for example); or • When there is disruption to services at short notice that, for whatever reason, makes services inaccessible to disabled passengers. In 2018-19 alternative accessible transport was provided 360 times by Northern. • In 2018-19 a total of 315 Northern staff received disability and equality awareness training. • Trainee conductors and retail staff undertake dedicated mental health awareness training as part of their induction programme. Train ramp, wheelchair training, hidden disabilities and basic communication training is embedded within the course. • Northern use a combination of classroom based and practical training. We therefore recommend reading the full detailed description of Northern's disability training activities in 2018-19 can be viewed here on our website: https://orr. gov.uk/rail/consumers/annual-rail-consumer-report ## Northern Complaints Handling And Delay Compensation Top 5 reasons for complaints, 2018-19 Actions to improve services in response to complaints, 2018-19 of complaints Complaint type last year Punctuality/reliability (i.e. the train arriving/ departing on time) The helpfulness and attitude of staff on train Sufficient room for all passengers to sit/stand The attitudes and helpfulness of the staff at station 4.4% Other - miscellaneous Delay compensation claims, 2018-19 Northern closed 246,484 delay compensation claims in 2018-19. ## Complaints Responded To Within 20 Working - Table 14.2 Northern's Complaints Handling Procedure is available at: https://orr.gov.uk/rail/licensing/licensingthe-railway/complaints-handling-procedures/ complaints-handling-procedures-decision-letters Northern reports it has taken some of the following actions in 2018-19 to address issues highlighted in passenger complaints: • Northern amended and improved the way Delay Repay is administered in response to passenger complaints. • To address complaints about the helpfulness and attitude of staff, on-train staff have received additional training to improve communication and resolve customer issues. A more detailed list of the actions which have been taken to improve services in response to complaints can be viewed here: https://orr.gov.uk/rail/ consumers/annual-rail-consumer-report Data tables: Rail delay compensation claims by TOC - Table 17.01 All train operators should publish the actions they are taking to improve passenger information in a Local Plan together with a link to the current industry Code of Practice (Oct 2016) and an Annual Progress Report (required to meet industry action PIDD-41). • Code of Practice - October 2016. • Local Plan - pending. We have seen a draft of an updated local plan and after providing our feedback, we are in the process of arranging a meeting to discuss the progress being made. Source: Transport Focus, National Rail Passenger Survey The NRPS takes places twice a year, in Spring (S) and Autumn (A) ScotRail reports it has made the following changes to improve information to its passengers: • It has introduced functionality for passengers to see where their train was last reported and provide additional delay reasons. • It has also created an extra post in control at weekends to focus on providing accurate customer information. • It has also refurbished its Paisley customer service centre. ScotRail received 66,981 booked assistance requests in 2018-19. This accounted for 5.2% of all booked assists made nationally in 2018-19. Note: This excludes un-booked assistance. A 'rail period' is normally 28 days, or four weeks, for business reporting purposes (Sunday to Saturday) and there are 13 rail periods in a financial year. Source: Research by Breaking Blue When published, the 2018-19 report will be available here: Research into passenger experience of Passenger Assist, 2018-19 Accessibility complaints rate (per 100,000 journeys), 2018-19 All operators must provide free alternative transport to take passengers to the nearest or most convenient accessible station in certain circumstances: • When a station is inaccessible to the passenger; • When rail replacement services are running that are not accessible to the passenger (because of planned engineering works for example); or • When there is disruption to services at short notice that, for whatever reason, makes services inaccessible to disabled passengers. In 2018-19 alternative accessible transport was provided 1,372 times by ScotRail. Satisfaction with the helpfulness and attitude of staff who provided assistance at the station (for those passengers met by staff) ## Overall Satisfaction With The Whole Process From Booking Assistance To Assistance Received (All Passengers) Disability and equality staff training in 2018-19 • In 2018-19 a total of 555 ScotRail staff received disability and equality awareness training. • All new staff receive disability awareness training as part of their induction. Refresher training is undertaken on a cyclical basis. • Scotrail's disability awareness training is delivered by both in-house trainers and specialist trainers. A full description of ScotRail's disability training activities in 2018-19 can be viewed here on our website: https://orr.gov. uk/rail/consumers/annual-rail-consumer-report ## Scotrail Complaints Handling And Delay Compensation Top 5 reasons for complaints, 2018-19 Actions to improve services in response to complaints, 2018-19 of complaints Complaint type Change on last year 28.0% 6.6 PP Punctuality/reliability (i.e. the train arriving/ departing on time) 11.4% 4.6 PP Sufficient room for all passengers to sit/ stand 9.9% Ticketing and refunds policy 0.5 PP 6.7% 0.3 PP The attitudes and helpfulness of the staff at station 5.1% Facilities on board -0.2 PP - Table 14.2 ScotRail's Complaints Handling Procedure is available at: https://orr.gov.uk/rail/licensing/licensing-therailway/complaints-handling-procedures/complaintshandling-procedures-decision-letters ScotRail reports it has taken some of the following actions in 2018-19 to address issues highlighted in passenger complaints: • To address complaints about the helpfulness and attitude of staff, passenger-facing staff received additional training to improve communications and resolve customer issues. • Introduced new trains to improve the provision of on-board facilities. A more detailed list of the actions which have been taken to improve services in response to complaints can be viewed here: https://orr.gov.uk/rail/ consumers/annual-rail-consumer-report and there are 13 rail periods in a financial year. Data tables: Rail delay compensation claims by TOC - All train operators should publish the actions they are taking to improve passenger information in a Local Plan together with a link to the current industry Code of Practice (Oct 2016) and an Annual Progress Report (required to meet industry action PIDD-41). • Code of practice - Oct 2016 • Local plan - October 2018 The information is up to date and ORR has provided feedback on the current version. Local Plans should be reviewed annually. Source: Transport Focus, National Rail Passenger Survey The NRPS takes places twice a year, in Spring (S) and Autumn (A) South Western Railway reports it has made the following changes to improve information to its passengers: Incident learning reviews continue to take place following significant disruption, with a focus on identifying potential improvements in passenger information provision. It is currently undertaking a review based on the recommendations of Sir Michael Holden's Independent Performance Report. Actions will be taken to improve the overall passenger information flow. South Western Railway received 71,779 booked assistance requests in 2018-19. This accounted for 5.6% of all booked assists made nationally in 2018-19. Note: This excludes un-booked assistance. A 'rail period' is normally 28 days, or four weeks, for business reporting purposes (Sunday to Saturday) and there are 13 rail periods in a financial year. Source: Research by Breaking Blue When published, the 2018-19 report will be available here: Research into passenger experience of Passenger Assist, 2018-19 Accessibility complaints rate (per 100,000 journeys), 2018-19 All operators must provide free alternative transport to take passengers to the nearest or most convenient accessible station in certain circumstances: • When a station is inaccessible to the passenger; • When rail replacement services are running that are not accessible to the passenger (because of planned engineering works for example); or • When there is disruption to services at short notice that, for whatever reason, makes services inaccessible to disabled passengers. In 2018-19 alternative accessible transport was provided 50 times by South Western Railway. Disability and equality staff training in 2018-19 • In 2018-19 a total of 491 South Western Railway staff received disability and equality awareness training. • South Western Railway have a one day disability equality training based on the most recent RDG recommendations. • The training course covers invisible impairments, mobility assistance, equipment training and communication. A full description of South Western Railway's disability training activities in 2018-19 can be viewed here on our website: https://orr.gov.uk/rail/consumers/annual-railconsumer-report ## South Western Railway Complaints Handling And Delay Compensation Top 5 reasons for complaints, 2018-19 Actions to improve services in response to complaints, 2018-19 Percentage of complaints Complaint type Change on last year 27.1% -8.1 PP Punctuality/reliability (i.e. the train arriving/ departing on time) 7.3% Level of compensation 6.6 PP 6.7% Claim rejected 5.3 PP 6.2% Compensation claims process 1.7 PP 4.5% -0.7 PP The attitudes and helpfulness of the staff at station Source: Train Operating Companies ## Delay Compensation Claims, 2018-19 PP = percentage point change Source: Train Operating Companies Data tables: Complaints responded to within 10 and 20 working days by TOC - Table 14.2 South Western Railway's Complaints Handling Procedure is available at: https://orr.gov.uk/rail/ licensing/licensing-the-railway/complaints-handlingprocedures/complaints-handling-proceduresdecision-letters South Western Railway reports it has taken some of the following actions in 2018-19 to address issues highlighted in passenger complaints: • Amended and improved the way Delay Repay is administered to reduce claim rejections. • Introduced automated delay repay for smartcard and advance season ticket holders to improve compensation complaints. A more detailed list of the actions which have been taken to improve services in response to complaints can be viewed here: https://orr.gov.uk/rail/ consumers/annual-rail-consumer-report were unable to provide figures on the final week of the period due to reconciliation issues with their new delay compensation system. A 'rail period' is normally 28 days, or four weeks, for business reporting purposes (Sunday to Saturday) and there are 13 rail periods in a financial year. Data tables: Rail delay compensation claims by TOC - Table 17.01 All train operators should publish the actions they are taking to improve passenger information in a Local Plan together with a link to the current industry Code of Practice (Oct 2016) and an Annual Progress Report (required to meet industry action PIDD-41). • Code of Practice - Oct 2016 • Local Plan - June 2019 An annual review of this is required each year and so while we previously approved the published plan, an updated version is required. The NRPS takes places twice a year, in Spring (S) and Autumn (A) Southeastern reports it has made the following changes to improve information to its passengers: • It was the first to introduce a raft of CIS improvements including automatic delay repay announcements where circumstances qualify. • It also introduced event driven messaging e.g. on arrival at a station where replacement buses are operating, train last reported and warning of future delays (if a currently on time train will be affected by disruption later on its journey). Southeastern received 29,625 booked assistance requests in 2018-19. This accounted for 2.3% of all booked assists made nationally in 2018-19. Note: This excludes un-booked assistance. A 'rail period' is normally 28 days, or four weeks, for business reporting purposes (Sunday to Saturday) and there are 13 rail periods in a financial year. Source: Research by Breaking Blue When published, the 2018-19 report will be available here: Research into passenger experience of Passenger Assist, 2018-19 Accessibility complaints rate (per 100,000 journeys), 2018-19 All operators must provide free alternative transport to take passengers to the nearest or most convenient accessible station in certain circumstances: • When a station is inaccessible to the passenger; • When rail replacement services are running that are not accessible to the passenger (because of planned engineering works for example); or • When there is disruption to services at short notice that, for whatever reason, makes services inaccessible to disabled passengers. In 2018-19 alternative accessible transport was provided 1,500 times by Southeastern. Disability and equality staff training in 2018-19 • In 2018-19 a total of 778 Southeastern staff received disability and equality awareness training. • The majority of Southeastern's disability and equality training takes place as a part of the initial induction training for staff. • Southeastern also provides visual impairment guiding sessions for Conductors which also includes information on Autism/Aspergers and dementia. A full description of Southeastern's disability training activities in 2018-19 can be viewed here on our website: https://orr.gov.uk/rail/consumers/annual-rail-consumerreport ## Southeastern Complaints Handling And Delay Compensation Top 5 reasons for complaints, 2018-19 Actions to improve services in response to complaints, 2018-19 Percentage of complaints Complaint type Change on last year 18.7% -0.5 PP Punctuality/reliability (i.e. the train arriving/ departing on time) 10.7% Facilities on board 4.4 PP 7.5% Claim rejected -0.4 PP 7.1% 1.6 PP Complaints not fully addressed/fulfilled by TOC 7.1% Smartcards -6.2 PP ## Delay Compensation Claims, 2018-19 PP = percentage point change Source: Train Operating Companies Data tables: Complaints responded to within 10 and 20 working days by TOC - Table 14.2 Southeastern's Complaints Handling Procedure is available at: https://orr.gov.uk/rail/licensing/licensingthe-railway/complaints-handling-procedures/ complaints-handling-procedures-decision-letters Southeastern reports it has taken some of the following actions in 2018-19 to address issues highlighted in passenger complaints: • Proactively offering compensation to passengers for disruption. • Southeastern are continuing to make technical improvements to support smartcard users A more detailed list of the actions which have been taken to improve services in response to complaints can be viewed here: https://orr.gov.uk/rail/ consumers/annual-rail-consumer-report Southeastern responded to 100.0% of delay compensation claims within 20 working days in 2018-19. Southeastern approved 79.5% of delay compensation claims closed in 2018-19. Note: A 'rail period' is normally 28 days, or four weeks, for business reporting purposes (Sunday to Saturday) and there are 13 rail periods in a financial year. Data tables: Rail delay compensation claims by TOC - Table 17.01 All train operators should publish the actions they are taking to improve passenger information in a Local Plan together with a link to the current industry Code of Practice (Oct 2016) and an Annual Progress Report (required to meet industry action PIDD-41). • Code of Practice - Oct 2016 • Local Plan - Jul 2017 The information is up to date. Local Plans should be reviewed annually. As such, a review is expected shortly. PP = percentage point change; Figures in 2018 not comparable with previous Source: Transport Focus, National Rail Passenger Survey The NRPS takes places twice a year, in Spring (S) and Autumn (A) TfL Rail reports it has made the following changes to improve information to its passengers: • It has now taken delivery of extra mobile customer information screens to use at stations. • Last reported location of train is now shown on CIS. • Mobile microphones have been provided at inner London stations to enable staff to make announcements from the platform. • It has recruited additional staff for its control room to deliver information to customers. TfL Rail received 2,071 booked assistance requests in 2018-19. This accounted for 0.2% of all booked assists made nationally in 2018-19. Note: This excludes un-booked assistance. A 'rail period' is normally 28 days, or four weeks, for business reporting purposes (Sunday to Saturday) and there are 13 rail periods in a financial year. Data tables: Rail passenger assists by station operator - Table 16.03 ## Passenger Experience Of Booked Assistance, 2018-19 No data is available on TfL Rail's performance on the reliability of its booked assistance due to a low sample size, which is a natural effect of having lower than average booking volumes. Source: Research by Breaking Blue When published, the 2018-19 report will be available here: Research into passenger experience of Passenger Assist, 2018-19 Accessibility complaints rate (per 100,000 journeys), 2018-19 TfL Rail received a low number of accessibility complaints (5 in 2017-18, All operators must provide free alternative transport to take passengers to the nearest or most convenient accessible station in certain circumstances: • When a station is inaccessible to the passenger; • When rail replacement services are running that are not accessible to the passenger (because of planned engineering works for example); or • When there is disruption to services at short notice that, for whatever reason, makes services inaccessible to disabled passengers. In 2018-19 alternative accessible transport was provided 4 times by TfL Rail. ## Disability And Equality Staff Training In 2018-19 • In 2018-19 a total of 485 TfL Rail staff received disability and equality awareness training. • All TfL Rail station staff attend four quarterly disability awareness and equality training briefings each year. • All station staff received annual ramp training. • All customer experience staff completed eLearning and attended an Institute Of Customer Services training/qualification within three months of joining the organisation. A full description of TfL Rail's disability training activities in 2018-19 can be viewed here on our website: https://orr.gov.uk/rail/consumers/annualrail-consumer-report ## Tfl Rail Complaints Handling And Delay Compensation Top 5 reasons for complaints, 2018-19 Actions to improve services in response to complaints, 2018-19 Percentage of complaints Complaint type Change on last year -8.9 PP Punctuality/reliability (i.e. the train arriving/ departing on time) 9.2% 0.3 PP The attitudes and helpfulness of the staff at station 8.3% 1.3 PP The upkeep/repair of the station buildings/ platforms 6.7% 1.3 PP Source: Train Operating Companies Delay compensation claims, 2018-19 TfL Rail closed 6,461 delay compensation claims in 2018-19. PP = percentage point change Source: Train Operating Companies Data tables: Complaints responded to within 10 and 20 working days by TOC - Table 14.2 TfL Rail's Complaints Handling Procedure is available at: https://orr.gov.uk/rail/licensing/licensing-therailway/complaints-handling-procedures/complaintshandling-procedures-decision-letters TfL Rail reports it has taken some of the following actions in 2018-19 to address issues highlighted in passenger complaints: • In response to punctuality/reliability complaints, TfL Rail introduced mobile customer information screens and installed mobile microphones for staff to make announcements during disruption. • Undergoing station upgrades to modernise and increase toilet facilities at stations. A more detailed list of the actions which have been taken to improve services in response to complaints can be viewed here: https://orr.gov.uk/rail/ consumers/annual-rail-consumer-report Note: A 'rail period' is normally 28 days, or four weeks, for business reporting purposes (Sunday to Saturday) and there are 13 rail periods in a financial year. Data tables: Rail delay compensation claims by TOC - Table 17.01 All train operators should publish the actions they are taking to improve passenger information in a Local Plan together with a link to the current industry Code of Practice (Oct 2016) and an Annual Progress Report (required to meet industry action PIDD-41). • Code of Practice - Oct 2016 • Local Plan - June 2015 When the franchise changeover occurred, the website went backwards to an old publication of the local plan. We have been in touch with Transport for Wales regarding this and expect to see a current version published online shortly. Source: Transport Focus, National Rail Passenger Survey The NRPS takes places twice a year, in Spring (S) and Autumn (A) TfW Rail reports it has made the following changes to improve information to its passengers: • Project underway to add and improve the onboard visual and audio enhancements to the 150 fleet. • Improved online and printed information detailing station information and how to get in touch • Dedicated Passenger Assist support at Cardiff Central • A huge transformation programme is underway which will see all trains and stations have improved facilities over the next 3-5 years. ## Transport For Wales Rail Accessibility And Inclusion Booked Assistance Volumes Alternative Accessible Transport TfW Rail received 60,443 booked assistance requests in 2018-19. This accounted for 4.7% of all booked assists made nationally in 2018-19. Note: This excludes un-booked assistance. A 'rail period' is normally 28 days, or four weeks, for business reporting purposes (Sunday to Saturday) and there are 13 rail periods in a financial year. Source: Research by Breaking Blue When published, the 2018-19 report will be available here: Research into passenger experience of Passenger Assist, 2018-19 ## Accessibility Complaints Rate (Per 100,000 Journeys), 2018-19 All operators must provide free alternative transport to take passengers to the nearest or most convenient accessible station in certain circumstances: • When a station is inaccessible to the passenger; • When rail replacement services are running that are not accessible to the passenger (because of planned engineering works for example); or • When there is disruption to services at short notice that, for whatever reason, makes services inaccessible to disabled passengers. In 2018-19 alternative accessible transport was provided 228 times by TfW Rail. Satisfaction with the helpfulness and attitude of staff who provided assistance at the station (for those passengers met by staff) ## Overall Satisfaction With The Whole Process From Booking Assistance To Assistance Received (All Passengers) Disability and equality staff training in 2018-19 • In 2018-19 a total of 112 TfW Rail staff received disability and equality awareness training. • All new frontline staff (Station staff and Conductors) have been trained in disability awareness. • A new disability training programme is currently being written for all staff to undertake over the next 2 years. A full description of TfW Rail's disability training activities in 2018-19 can be viewed here on our website: https://orr.gov. uk/rail/consumers/annual-rail-consumer-report ## Transport For Wales Rail Complaints Handling And Delay Compensation Top 5 reasons for complaints, 2018-19 Actions to improve services in response to complaints, 2018-19 Percentage of complaints Complaint type Change on last year 36.0% 1.3 PP Punctuality/reliability (i.e. the train arriving/ departing on time) 12.1% Sufficient room for all passengers to sit/stand 0.1 PP 3.9% Ticketing and refunds policy 0.3 PP 3.3% -0.6 PP The attitudes and helpfulness of the staff at station 3.2% -0.7 PP The helpfulness and attitude of staff on Source: Train Operating Companies PP = percentage point change Source: Train Operating Companies Data tables: Complaints responded to within 10 and 20 working days by TOC - Table 14.2 TfW Rail's Complaints Handling Procedure is available at: https://orr.gov.uk/rail/licensing/licensing-therailway/complaints-handling-procedures/complaintshandling-procedures-decision-letters TfW Rail reports it has taken some of the following actions in 2018-19 to address issues highlighted in passenger complaints: • Amended and improved the way Delay Repay is administered in response to passenger complaints. • Improved the provision of advance tickets. A more detailed list of the actions which have been taken to improve services in response to complaints can be viewed here: https://orr.gov.uk/rail/ consumers/annual-rail-consumer-report Note: A 'rail period' is normally 28 days, or four weeks, for business reporting purposes (Sunday to Saturday) and there are 13 rail periods in a financial year. Data tables: Rail delay compensation claims by TOC - Table 17.01 All train operators should publish the actions they are taking to improve passenger information in a Local Plan together with a link to the current industry Code of Practice (Oct 2016) and an Annual Progress Report (required to meet industry action PIDD-41). • Code of Practice - Oct 2016 • Local Plan - Jan 2017 A Local Plan review is overdue and we are aware that TPE is currently looking at this. We met with TPE earlier in the year and have been in further discussions around an updated local plan since. Source: Transport Focus, National Rail Passenger Survey The NRPS takes places twice a year, in Spring (S) and Autumn (A) TransPennine Express reports it has made the following changes to improve information to its passengers: Data not supplied. ## Transpennine Express Accessibility And Inclusion Booked Assistance Volumes Alternative Accessible Transport TransPennine Express received 24,270 booked assistance requests in 2018-19. This accounted for 1.9% of all booked assists made nationally in 2018-19. or four weeks, for business reporting purposes (Sunday to Saturday) and Source: Research by Breaking Blue When published, the 2018-19 report will be available here: Research into passenger experience of Passenger Assist, 2018-19 Accessibility complaints rate (per 100,000 journeys), 2018-19 All operators must provide free alternative transport to take passengers to the nearest or most convenient accessible station in certain circumstances: • When a station is inaccessible to the passenger; • When rail replacement services are running that are not accessible to the passenger (because of planned engineering works for example); or • When there is disruption to services at short notice that, for whatever reason, makes services inaccessible to disabled passengers. In 2018-19 alternative accessible transport was provided 31 times by TransPennine Express. Disability and equality staff training in 2018-19 • In 2018-19 a total of 140 TransPennine Express staff received disability and equality awareness training. • TransPennine Express provide a one day Disability Awareness training as part of their induction programme. • This training was developed with Action on Hearing Loss, Dementia Friends and RNIB. A full description of TransPennine Express' disability training activities in 2018-19 can be viewed here on our website: https://orr.gov.uk/rail/consumers/annual-railconsumer-report ## Transpennine Express Complaints Handling And Delay Compensation Top 5 reasons for complaints, 2018-19 Actions to improve services in response to complaints, 2018-19 Percentage of complaints Complaint type Change on last year 20.1% -8.6 PP Sufficient room for all passengers to sit/ stand 11.1% 5.6 PP Punctuality/reliability (i.e. the train arriving/ departing on time) 9.3% Ticketing and refunds policy 0.4 PP 8.9% Facilities on board 0.1 PP 5.5% Unhappy at type/level of compensation -1.0 PP Source: Train Operating Companies ## Delay Compensation Claims, 2018-19 TransPennine Express closed 158,056 delay compensation claims in 2018-19. Note: A 'rail period' is normally 28 days, or four weeks, for business reporting purposes (Sunday to Saturday) and there are 13 rail periods in a financial year. Data tables: Rail delay compensation claims by TOC - Table 17.01 PP = percentage point change Source: Train Operating Companies Data tables: Complaints responded to within 10 and 20 working days by TOC - Table 14.2 TransPennine Express' Complaints Handling Procedure is available at: https://orr.gov.uk/rail/ licensing/licensing-the-railway/complaints-handlingprocedures/complaints-handling-proceduresdecision-letters TransPennine Express reports it has taken some of the following actions in 2018-19 to address issues highlighted in passenger complaints: • Refurbished trains were introduced and are addressing complaints about on-board facilities. • New on-board customer information screens have been introduced to provide real time information during disruption. A more detailed list of the actions which have been taken to improve services in response to complaints can be viewed here: https://orr.gov.uk/rail/ consumers/annual-rail-consumer-report All train operators should publish the actions they are taking to improve passenger information in a Local Plan together with a link to the current industry Code of Practice (Oct 2016) and an Annual Progress Report (required to meet industry action PIDD-41). • Code of Practice - October 2016 • Local Plan - December 2018 We conducted a review of the updated local plan and provided our feedback to Virgin Trains. We are content with its contents and noted that our previous feedback had been taken into account. Source: Transport Focus, National Rail Passenger Survey The NRPS takes places twice a year, in Spring (S) and Autumn (A) Virgin Trains reports it has made the following changes to improve information to its passengers: • Launched new technology to better connect colleagues during times of disruption. • Trialling use of Disruption Co-ordinators at London Euston to manage train crews during times of disruption to reduce knock on delays and cancellations as a result of service disruption and late services inbound to London ## Virgin Trains West Coast Accessibility And Inclusion Booked Assistance Volumes Alternative Accessible Transport Virgin Trains received 105,649 booked assistance requests in 2018-19. This accounted for 8.2% of all booked assists made nationally in 2018-19. Source: Research by Breaking Blue When published, the 2018-19 report will be available here: Research into passenger experience of Passenger Assist, 2018-19 ## Accessibility Complaints Rate (Per 100,000 Journeys), 2018-19 All operators must provide free alternative transport to take passengers to the nearest or most convenient accessible station in certain circumstances: • When a station is inaccessible to the passenger; • When rail replacement services are running that are not accessible to the passenger (because of planned engineering works for example); or • When there is disruption to services at short notice that, for whatever reason, makes services inaccessible to disabled passengers. In 2018-19 alternative accessible transport was provided 122 times by Virgin Trains. Disability and equality staff training in 2018-19 • In 2018-19 a total of 63 Virgin Trains staff received disability and equality awareness training. • Virgin Trains launched the JAM card in March 2019 as part of their hidden disability awareness training. • In 2018/19, 45 train managers and 205 dispatch staff underwent practical ramp training. A full description of Virgin Trains' disability training activities in 2018-19 can be viewed here on our website: https://orr. gov.uk/rail/consumers/annual-rail-consumer-report ## Virgin Trains West Coast Complaints Handling And Delay Compensation Top 5 reasons for complaints, 2018-19 Actions to improve services in response to complaints, 2018-19 Percentage of complaints Complaint type Change on last year 21.7% Facilities on board 2.3 PP 16.6% -3.6 PP Punctuality/reliability (i.e. the train arriving/ departing on time) 12.2% Ticketing and refunds policy 1.5 PP 7.8% Ticket buying facilities - other 1.0 PP 7.2% No response from TOC -1.9 PP Source: Train Operating Companies Delay compensation claims, 2018-19 Virgin Trains closed 433,187 delay compensation claims in 2018-19. Data tables: Complaints responded to within 10 and 20 working days by TOC - Table 14.2 Virgin Trains' Complaints Handling Procedure is available at: https://orr.gov.uk/rail/licensing/licensingthe-railway/complaints-handling-procedures/ complaints-handling-procedures-decision-letters Virgin Trains reports it has taken some of the following actions in 2018-19 to address issues highlighted in passenger complaints: • Improved on board facilities by introducing a vegan menu, hot food options on Fridays and improved Wi-Fi on Pendolino trains. • Removed Friday afternoon peak restrictions to allow customers to travel more flexibly. A more detailed list of the actions which have been taken to improve services in response to complaints can be viewed here: https://orr.gov.uk/rail/ consumers/annual-rail-consumer-report for business reporting purposes (Sunday to Saturday) and there are 13 rail periods in a financial year. Data tables: Rail delay compensation claims by TOC - Table 17.01 All train operators should publish the actions they are taking to improve passenger information in a Local Plan together with a link to the current industry Code of Practice (Oct 2016) and an Annual Progress Report (required to meet industry action PIDD-41). • Code of Practice - Oct 2016 • Local Plan - Dec 2017 The information is up to date. An updated Local Plan has been reviewed by the ORR and feedback provided. We await a further response from West Midlands Trains in relation to this. Source: Transport Focus, National Rail Passenger Survey The NRPS takes places twice a year, in Spring (S) and Autumn (A) West Midlands Trains reports it has made the following changes to improve information to its passengers: • It has introduced a new style web site information during major incidents, to help our customers make informed decisions about their journey. • It has made improvements to its website Travel Updates portal, giving passengers easy to find and understand information about their journey. This portal will be having ongoing developments and improvements throughout the franchise. • It has also refined internal processes to makes sure information is more timely and accurate. ## West Midlands Trains Accessibility And Inclusion Booked Assistance Volumes Alternative Accessible Transport West Midlands Trains received 52,555 booked assistance requests in 2018-19. This accounted for 4.1% of all booked assists made nationally in 2018-19. Note: This excludes un-booked assistance. A 'rail period' is normally 28 days, or four weeks, for business reporting purposes (Sunday to Saturday) and Source: Research by Breaking Blue When published, the 2018-19 report will be available here: Research into passenger experience of Passenger Assist, 2018-19 Accessibility complaints rate (per 100,000 journeys), 2018-19 All operators must provide free alternative transport to take passengers to the nearest or most convenient accessible station in certain circumstances: • When a station is inaccessible to the passenger; • When rail replacement services are running that are not accessible to the passenger (because of planned engineering works for example); or • When there is disruption to services at short notice that, for whatever reason, makes services inaccessible to disabled passengers. In 2018-19 alternative accessible transport was provided 320 times by West Midlands Trains. Disability and equality staff training in 2018-19 • In 2018-19 a total of 81 West Midlands Trains staff received disability and equality awareness training. • Two tiers of focused disability equality training were carried out during 2018-19. All Executives underwent core equality training and equality awareness training. • A half day course was developed for Property and Project teams. • West Midlands Trains are currently working towards becoming a Disability Confident Employer (Level 2). A full description of West Midlands Trains disability training activities in 2018-19 can be viewed here on our website: https://orr.gov.uk/rail/consumers/annual-rail-consumerreport ## West Midlands Trains Complaints Handling And Delay Compensation Top 5 reasons for complaints, 2018-19 Actions to improve services in response to complaints, 2018-19 Percentage of complaints Complaint type Change on last year 31.0% -27.5 PP Punctuality/reliability (i.e. the train arriving/ departing on time) 14.0% 6.1 PP Sufficient room for all passengers to sit/ stand 8.3% Compensation claims process 4.0 PP 6.8% Ticket buying facilities 1.1 PP 6.1% Ticketing and refunds policy 1.5 PP Source: Train Operating Companies Note: A 'rail period' is normally 28 days, or four weeks, for business reporting purposes (Sunday to Saturday) and there are 13 rail periods in a financial year. Data tables: Rail delay compensation claims by TOC - Table 17.01 PP = percentage point change Source: Train Operating Companies Data tables: Complaints responded to within 10 and 20 working days by TOC - Table 14.2 West Midlands Trains' Complaints Handling Procedure is available at: https://orr.gov.uk/rail/licensing/licensingthe-railway/complaints-handling-procedures/complaintshandling-procedures-decision-letters West Midlands Trains reports it has taken some of the following actions in 2018-19 to address issues highlighted in passenger complaints: • To address punctuality/reliability complaints West Midland Trains continue to work with Network Rail to resolve infrastructure issues. • Additional compensation options have been introduced to address compensation claim complaints. A more detailed list of the actions which have been taken to improve services in response to complaints can be viewed here: https://orr.gov.uk/rail/consumers/annual-railconsumer-report	en
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1999-pdf	## A Guide To Criminal Justice Statistics Last updated 21 February 2013 ## Contents Contents...................................................................................................................... 2 Introduction ............................................................................................................... 3 Overview of Criminal Justice Statistics.................................................................. 4 Background to Criminal Justice Statistics Bulletin .................................................. 4 Timeframe and Publishing Frequency of Data........................................................ 4 Revisions................................................................................................................. 5 Data Sources and Data Quality................................................................................ 6 Out of Court Disposals............................................................................................ 7 Penalty Notices for Disorder (PND)..................................................................... 7 Cautions .............................................................................................................. 7 Cannabis Warnings............................................................................................. 8 Court Proceedings .................................................................................................. 9 Prosecutions, Convictions and Sentencing......................................................... 9 Remands........................................................................................................... 12 Failure to Appear (FTA) Warrants..................................................................... 13 Criminal Histories and First Time Entrants............................................................ 14 First Time Entrants (FTE) into the Criminal Justice System.............................. 14 First Offences and Further Offences................................................................. 14 Criminal Histories .............................................................................................. 15 Data Developments................................................................................................. 16 Ethnicity................................................................................................................. 16 Breaches............................................................................................................... 16 Historic shortfalls and weighting............................................................................ 16 Comparison of 'Criminal Justice Statistics' and 'Judicial and Court Statistics'...... 17 Background to the Criminal Justice System........................................................ 19 Reporting Crime.................................................................................................... 19 Investigation ...................................................................................................... 19 Offences not prosecuted by the Police ............................................................. 19 Deciding what happens with a case.................................................................. 19 Out of Court Disposals.......................................................................................... 21 Penalty Notices for Disorder (PND)................................................................... 21 Cautions ............................................................................................................ 22 Court Proceedings ................................................................................................ 24 Remand decisions............................................................................................. 26 Failure to Appear (FTA) warrants...................................................................... 26 Conviction and sentencing ................................................................................ 29 Compensation ................................................................................................... 34 Further sentences and orders ........................................................................... 35 Sentences specifically for juveniles................................................................... 35 Legislation coming into effect in the reporting period........................................ 39 Glossary................................................................................................................... 46 Directory of Related Internet Websites on the Criminal Justice System........... 50 ## Introduction This document provides more detail on criminal justice statistics presented in the publication Criminal Justice Statistics and is intended to be used as a guide to concepts and definitions. The examples provided within this document are for the 2011 data as the full validation process is carried out each year on the complete calendar year data. The key areas covered are:  An overview of criminal justice statistics detailing the frequency and timings of the bulletin and the revisions policy.  Details of the data sources and any associated data quality issues.  Data developments relating to criminal justice statistics.  A high level background to the Criminal Justice System (CJS) on the topics featured within the bulletin.  Major legislation coming into effect in the period covered by the bulletin.  A glossary of the main terms used within the publication.  A list of relevant internet sites on the Criminal Justice system. In addition a list of the offence classifications used by both the Ministry of Justice and Home Office for both CJS statistical outputs and crime statistics can be found at: www.justice.gov.uk/statistics/criminal-justice/criminal-justice-statistics ## Overview Of Criminal Justice Statistics This section describes the background to the bulletin, the timing and frequency of the publication and the revisions policy relating to the statistics published. Background to Criminal Justice Statistics Bulletin On the 17th November 2010 the Ministry of Justice launched a consultation on improving its statistics. One of the proposals was to assess interest in a quarterly criminal justice statistics bulletin which would give a statistical overview of the criminal justice system. The response from the consultation showed there was support for this proposal and a demand for more timely statistics. Full details of the consultation and response can be found at: www.justice.gov.uk/consultations/565.htm The bulletin covers statistics from the whole criminal justice system and as a result the following individual Ministry of Justice publications were discontinued:  Criminal Statistics Annual;  Sentencing Statistics Annual;  Sentencing Statistics quarterly brief;  Provisional Quarterly Criminal Justice System Information;  Youth Crime: Young people aged 10-17 receiving their first reprimand, warning or conviction. This bulletin is designated as National Statistics as it is produced to the standards specified in the Code of Practice for Official Statistics. The most recent assessments of Criminal Justice Statistics can be found on the UK Statistics Authority's website at the following address: www.statisticsauthority.gov.uk/assessment/assessment/assessmentreports/assessment-report-52---criminal-justice-system.pdf Timeframe and Publishing Frequency of Data The statistics in this publication are for a rolling twelve month reference period. This time period has been chosen over shorter timeframes to minimise the volatility caused by seasonality - for example reduced court volumes every December when many of the courts are closed over the Christmas period. Each quarter the latest reference period will be published so statistics will be for the year ending March, June, September or December. The first three datasets will be provisional and the year ending December statistics will be the final release of the calendar year data. As part of the final release, additional annexes will be published containing more detailed breakdowns of criminal justice statistics. Revisions In accordance with Principle 2 of the Code of Practice for Office Statistics, the Ministry of Justice is required to publish transparent guidance on its policy for revisions. A copy of this statement can be found at: www.justice.gov.uk/downloads/statistics/mojstats/statistics-revisions-policy.pdf The three reasons specified for statistics needing to be revised are changes in sources of administrative systems or methodology changes, receipt of subsequent information, and errors in statistical systems and processes. Each of these points, and its specific relevance to the criminal justice statistics publication, are addressed below: 1. Changes in source of administrative systems/methodology changes The data within this publication comes from a variety of administrative systems. This technical document will clearly present where there have been revisions to data accountable to switches in methodology or administrative systems. In addition, statistics affected within the publication will be appropriately footnoted. 2. Receipt of subsequent information The nature of any administrative system is that data may be received late. For the purpose of this criminal justice statistics publication, the late data will be reviewed on a quarterly basis but, unless it is deemed to make significant changes to the statistics released, revisions will only be made as part of the final release containing the calendar year statistics. However should the review show that the late data has major impact on the statistics then revisions will be released as part of the subsequent publication. 3. Errors in statistical systems and processes Occasionally errors can occur in statistical processes; procedures are constantly reviewed to minimise this risk. Should a significant error be found the publication on the website will be updated and an errata slip published documenting the revision. ## Data Sources And Data Quality This section outlines the different data sources used to compile the statistics presented in the bulletin with discussion on data quality where relevant. The three main sources the statistics are compiled from are:  Data returns submitted by individual police forces.  Data extracts from court database administrative systems.  Data extracts from the Police National Computer. Out of Court Disposals Data on Penalty Notices for Disorder, cautions and cannabis warnings are issued and recorded by police forces. These data are received either via the individual police forces or extracted from administrative database systems. Penalty Notices for Disorder (PND) Since 2004, when PNDs were piloted, data has been received from the individual police forces on a monthly basis. The two returns provided are details of PNDs issued and their subsequent outcomes. The returns are checked by the statistical teams for completeness and accuracy. Any anomalies in the data are queried with the force and any duplication of data is removed from the database. On an annual basis, a full reconciliation process is undertaken where each police force is given the opportunity to verify the monthly figures they have supplied and make revisions to the annual returns prior to publication. A new PND for the offence of possession of cannabis was introduced in 2009. Guidance was issued limiting the use of this PND to adults, i.e. to those aged 18 and over. The data submitted in 2011 showed that some PNDs were issued for this offence to juveniles, i.e. those aged under 18. These were queried with the relevant forces and subsequently 68.8 per cent were cancelled. A new IT system PentiP commenced roll out to police forces during 2012, as a single replacement for their existing databases, one use of which being to capture data on PNDs. For forces using PentiP, details of PNDs issued and their subsequent outcomes are extracted from the live administrative system on a quarterly basis. The returns are checked in the same way by the statistical teams for completeness and accuracy, and any anomalies in the data queried with the PentiP system administrators. Until PentiP is fully established and rolled out to all forces, data will continue to be received from individual forces not using the system. For the quarter July to September 2012, due to technical problems with PentiP, it is not possible for nine forces currently on the system to separate between those PNDs paid in full within 21 days and those paid in full outside the 21 day period. The issue is under investigation and is expected to be resolved ahead of the 2012 annual publication. Cautions From April 2011 all cautions data are collected from the Police National Computer, the records are validated for accuracy and completeness and amended as necessary. Additionally any apparent cautions given for serious offences, such as rape, are investigated thoroughly with forces. All cautions data prior to April 2011 were collected directly from police forces and have been through the same validation process. From 2009/10 the reporting of conditional cautions was made mandatory, including those given to juveniles aged 16 and 17. This meant from 1st April 2009 all returns distinguish conditional cautions from other caution type interventions. In addition Youth Conditional Cautions (YCC), for juveniles aged 16 or 17, were introduced from 1 April 2009. Cannabis Warnings This data is supplied from the Home Office and extracted using Management Information Systems (MIS). It is collated on a monthly basis and any anomalies are queried with the Home Office. Court Proceedings The complexities of the criminal justice system and the constraints on resources in collating and processing data limit the amount of information collected routinely so only the final outcome of proceedings at magistrates' courts and the Crown Court (where applicable) is recorded. Prosecutions, Convictions and Sentencing Data sources Statistics on prosecutions, convictions and sentencing are either derived from the LIBRA case management system, which holds the magistrates' courts records, or the Crown Court's CREST system which holds the trial and sentencing data. The data includes offences where there has been no police involvement, such as those prosecutions instigated by government departments, private organisations and individuals. From July 1995 all Crown Court data on trials and sentences has been received directly from the Court Service's CREST computer system and from November 2008 all magistrates' courts data has been provided by the LIBRA case management system. Prior to November 2008 the Police reported on magistrate court proceedings and it is thought that for some police force areas there may have been under-reporting of proceedings, in particular those relating to motoring offences, TV Licence evasion and other summary offences with no police involvement. The extent of underreporting may vary from year to year. Validation process The court system data used in this bulletin go through a variety of validation and consistency checks. Individual records are validated in an automated process that highlights irregularities and inconsistencies. In particular, checks are made, where possible, to ensure that:  Offences are correct and legitimate for the age of the defendant;  The sentence given for an offence is applicable in law;  Hearings are consistent with the court they are heard in; and  Sentences follow guidelines given the age of the offender and the offence committed. In general data validation is ongoing to investigate unusual trends or records. For serious offences (such as homicide and serious sexual offences) and severe disposals (such as life imprisonment and indeterminate sentences of Imprisonment for Public Protection [IPP]) individual records are flagged for manual confirmation which further reduces the possibility of error. For the Crown Court, where these validation failures occur, the data are corrected by referring to original court registers. Approximately 17,000 individual records in 2011 were corrected. At the magistrates' courts the sheer volume of courts records (around 2.8 million per year compared with 100,000 Crown Court records) means these files cannot follow the same process. The majority of validation failures are subject to automatic amendment and any serious errors are manually checked. Some examples of the automatic validation checks are given below: Example 1 A record is received with a fine as the principal sentence when the offender also received a custodial sentence for the same offence. The action taken would be to re-order the disposals so that the custodial sentence is counted as the principal sentence. Example 2 The sentence recorded is incompatible with the age of the offender, e.g. a 25 year old is given a Youth Rehabilitation Order. If the case occurred at the Crown Court then the court record is examined and the correct age/sentence is recorded. If this is found to be a frequent error at the magistrates' court then additional automated changes will be made to correct the issue. Example 3 An offence coded 19/16 ("Rape of a female child under 13 by a male" under the Sexual Offences Act 2003) is reporting the sex of the offender as female. This implies that either the offence code is incorrect and needs updating, or the gender has been entered inaccurately. In this case the original court record will be looked up and the statistical record amended. Example 4 The age of an offender dealt with at a Youth Court is entered as 25, this cannot be correct and the age will default to 17. Example 5 An adult offender is sentenced at a magistrates' court to a custodial sentence of 18 months (a maximum custodial sentence of six months can be imposed at the magistrates' court). As this is a serious error the court record will be inspected and the sentence amended. Statistics published The tables on court proceedings relate to proceedings completed in the year. In this publication a defendant may appear more than once in the tables if proceedings were completed against that defendant on more than one occasion during the year. In the statistics, the term 'other defendants' is used to denote companies and other bodies such as businesses, local authorities and public bodies. Additionally, following the introduction of the LIBRA case management system, defendants at magistrates' courts can be recorded as sex "Not Stated". Reporting on the principal offence and principal sentence Where proceedings involve more than one offence, the tables report the principal offence. The basis for the selection of the principal offence is as follows:  Where a defendant is found guilty of one offence and acquitted of another, the offence selected is the one for which they are found guilty;  Where a defendant is found guilty of two or more offences, the offence selected is the one for which the heaviest sentence is imposed;  Where the same disposal is imposed for two or more offences, the offence selected is the one for which the statutory maximum penalty is the most severe. The offence shown in the tables on court proceedings is the one for which the court took its final decision and is not necessarily the same as the offence for which the defendant was initially prosecuted, for example when the court accepts a guilty plea from the defendant on a lesser charge. Unless otherwise stated, the sentence shown is the most severe sentence or order given for the principal offence (i.e. the principal sentence), secondary sentences given for the principal offence and sentences for non-principal offences are not counted in the tables. The exceptions to this rule are the tables containing statistics on compensation, confiscation and forfeiture where any one of the first four disposals may be counted. Examples of how the principal offence and principal sentence are constructed can be found below: Example 1 - the principal offence An offender appearing in court on one charge of Actual Bodily Harm (ABH) and one charge of common assault would appear in the tables with the charge of ABH counted as their principal offence as it is the offence with the most severe maximum sentence. Example 2 - the principal offence and principal sentence An offender convicted and sentenced for one charge of ABH and one charge of common assault who receives a custodial sentence of 6 months for the ABH and a fine for the common assault would be counted as having been convicted of ABH (the principal offence) and as having received a 6 month sentence for ABH (the principal offence and principal sentence). Example 3 - the principal sentence and ancillary order An offender who receives a 6 month custodial sentence for an offence of ABH and a compensation order for that offence would be counted as having received a custodial sentence and counted once in the total sentenced column. For the table on compensation orders they would be counted in the table on compensation orders but only if the compensation order and custodial sentence were for the same offence (i.e. both for ABH). ## Remands The statistics in the remands chapter relate to persons remanded in each year in each completed court case rather than to the number of remand decisions (a person may be remanded several times during a case). Cases are recorded in the year in which the final court decisions were made and this is not necessarily the same year in which the person was originally remanded. From 2008, following the introduction of the LIBRA case management system, the number of custodial remands at magistrates' court proceedings has been overreported in the data supplied to the Ministry of Justice. Therefore all magistrates' courts remand data published in this chapter are estimates. Data relating to cases tried at the Crown Court are not affected. For the years 2008 to 2011 the magistrates' courts data has been matched with prisons remand reception data (records when defendants were received into custody). Where a defendant in the court proceedings data was also found to be recorded in the prisons remand reception data, it was taken that the defendant had been remanded in custody at some point. The criteria used to determine whether a match exists (implying a remand status of custody) were surname, initial, date of birth and sex, with the additional criterion being that the date of the reception into prison had to be earlier than the date of conclusion of the case at the magistrates' court. In addition, a degree of fuzzy matching was employed to allow for common variations in the spelling of defendants' surnames. In 2011, out of a total 1.6 million defendants who were proceeded against at magistrates' courts, approximately 55,000 (three per cent) were remanded in custody at some point. Of all indictable offences, approximately ten per cent were remanded in custody and of all summary offences approximately one per cent were remanded in custody. Matching process: Where a matched case exists, we accept that the court remand decision is "custody". Where a match does not exist the following assumptions are made:  The remand decisions by the police and magistrates' are considered. If the police remand decision is "bail" and the code at magistrates' court is also "bail", the final remand decision shown will be "bail". Otherwise the remand decision will be "not remanded".  Where the court remand decision at the first hearing or a subsequent hearing is "bail" and there is no "custody" decision at any hearing then the final remand decision is "bail".  Those cases flagged as bail throughout the hearing are accepted as bail else otherwise recorded as "Not Remanded". The "Not Remanded" category includes those where the remand status is not stated or not known. Prior to 2008, estimates of the number of defendants remanded in custody at magistrates' courts were derived by excluding certain police force areas where coverage of remands decisions was outside the accepted norm for the rest of England and Wales. These forces were excluded and the remaining annual year's data approximated to produce estimates for England and Wales. Tables Q 3.1 and Q 3.2 show estimates for defendants remanded in custody by the police and at magistrates' courts respectively. The totals in these tables will not sum when presented on a quarterly basis because the annual approximation is applied to each quarter's data to generate the quarterly estimates. Failure to Appear (FTA) Warrants Data on Failure to Appear (FTA) warrants are reported to the Ministry of Justice by each of the 43 police forces in England and Wales. Returns are submitted electronically on a monthly basis. Upon receipt of the returns, they are checked by the statistical teams for completeness. As part of the collation process, any large variations between the current and the previous month's data are automatically flagged up and an explanation sought from the force concerned. Any other anomalies in the data are queried with the relevant police force and revised data are requested where necessary. The FTA tables present data showing the number of each category of FTA warrants outstanding and the percentage of each category of warrants executed within their deadlines, by police force area. Criminal Histories and First Time Entrants The figures on first time entrants and previous criminal histories have been taken from the Ministry of Justice's extract from the Police National Computer (PNC), the operational database used by all police forces in England and Wales. The PNC covers 'recordable' offences, which are defined as offences that can attract a custodial sentence plus some additional offences defined in legislation. Some nonrecordable offences are also included on the PNC, particularly when they accompany recordable offences in the same case. A range of less serious summary offences, such as TV licence evasion and many motoring offences are not recorded on the PNC. Like any other large scale administrative database the PNC is subject to delays and errors on recording and data entry. All the figures shown may be subject to revision in later editions of this publication as more information is recorded by the police. First Time Entrants (FTE) into the Criminal Justice System A FTE is an offender who has received their first reprimand, warning, caution or conviction for an offence processed by a police force in England or Wales or by the British Transport Police. The measure excludes any offenders who at the time of their first conviction or caution, according to their PNC record, were resident outside England or Wales. Penalty notices for disorder, other types of penalty notice, cannabis warnings and other sanctions given by the police are not counted. The figures for juvenile FTEs presented in this publication are an update to those found in the publication entitled 'Youth Crime: Young people aged 10-17 receiving their first reprimand, warning or conviction, 2000-01 to 2009-10' published by the Ministry of Justice in October 2010. The rates of FTEs per 100,000 people in the population are based on Office for National Statistics mid-year population estimates. Where an offender was cautioned or convicted of more than one offence on their first occasion the offence type figures relate to the principal offence on that occasion, this generally being the most serious offence or the offence that attracted the heaviest penalty. The Local Authority figures have been calculated by mapping individuals to Local Authorities using the home address or postcode recorded by police on the Police National Computer (PNC). For those with no address recorded the postcode of where the offence was committed has been used. For those with no home address information or offence postcode, a model, based on the patterns of offenders dealt with by police stations, has been used to allocate offenders to Local Authorities. The breakdown of FTEs by police force area has been calculated using details of the police force that processed the case rather than the area in which the offender lived. First Offences and Further Offences The figures shown for first offences follow the same definition as for first time entrants and therefore agree with the FTE figures. A further offence is any other primary offence recorded on the PNC that resulted in a reprimand, warning, caution or conviction and where the offender had received at least one of these sanctions on a previous occasion. Criminal Histories The tables of criminal histories relate to cautioning or sentencing occasions recorded on the PNC for indictable offences, although some figures are for summary offences that are recorded by the police. Where an offender has been cautioned or sentenced on more than one occasion the offender's criminal history on each occasion has been included. Where an offender has been cautioned or sentenced on the same occasion for several offences it is the details of primary offence that have been presented. The figures relate to cautioning or sentencing occasions for offences prosecuted by police forces in England and Wales including British Transport Police; they exclude sentences resulting from prosecutions brought by other authorities such as the Department for Work and Pensions (DWP), HM Revenue & Customs (HMRC) and the Ministry of Defence (MOD). Although some of these cases are recorded on the PNC they may not always be linked to the offender's previous criminal history and have therefore been excluded. Certain offences, such as benefit fraud, which are commonly prosecuted by non-police authorities, are undercounted in these tables. The tables show criminal history figures for offenders at each cautioning or sentencing occasion. These criminal history figures are counts of separate previous occasions when the offender received a reprimand, final warning, caution or conviction. They cover all offences recorded by the police on the PNC, including both indictable and summary offences, and include cases brought by non-police prosecuting authorities. ## Data Developments Ethnicity The Criminal Justice System statistical bulletin includes high level trends on the ethnicity of defendants and offenders given cautions, PND's, and those proceeded against, convicted and sentenced at court. The ethnic breakdown presented in all cases is based on the 4+1 visual appearance/officer identified classification - White, Black, Asian, Other and Unknown. Historically the recording of ethnicity data for magistrates' courts cases has been poor with high numbers of unknown ethnic identity. The recording of ethnicity data for indictable offences has been more complete than summary offences because in charged cases the defendant will have been seen by the police and asked about their ethnicity. In cases where the defendant received a summons, they will not have been seen by the prosecutor, and may not have appeared in court. After a considerable programme of work, a substantial improvement in the data were noted in the recording of ethnicity for indictable offences, with 10 per cent of convictions having an unknown ethnicity in 2011 and 2010, compared with 81 per cent in 2001. In 2011 two per cent of offenders cautioned were of unknown ethnicity and eighteen per cent of PND's were given to offenders of unknown ethnicity. Breaches Breaches of court orders that are a criminal offence in their own right (e.g. breach of an anti-social behaviour order) have been included in the published tables since 2009. Prior to 2009 these were excluded from the count of court proceedings because of recording issues and are not included in the published tables. Historic shortfalls and weighting Prior to the introduction of the LIBRA case management system, data was supplied by the Police using their legacy systems. In some years problems were identified in the supply of data relating to some offences and some police force areas. The areas affected included Humberside, Merseyside, Northumbria, Staffordshire and Surrey police in 2001 who were not able to supply complete returns for summary proceedings. The data supply problems were:  In 2001, a single month's shortfall or part thereof was found for indictable and summary motoring offences at Humberside, Merseyside, Staffordshire and Surrey police.  In 2002, part shortfalls were noted for Merseyside over all offences groups for a five-month period, together with summary motoring and/or summary nonmotoring for Gwent, Norfolk and Northamptonshire.  In 2003 there were shortfalls for South Yorkshire and Thames Valley for summary non-motoring offences. For summary motoring offences the main shortfalls were for Suffolk and Northamptonshire.  No significant shortfalls were identified in 2004, 2005, 2006, 2007, 2009, 2010, 2011 or 2012. The following estimates have been constructed on the shortfalls in the number proceeded against in magistrates' courts for each year since 2001, arising from the circumstances described in the previous paragraph. For practical reasons it is not possible to include these estimates in the numerous tabulations of court proceedings data produced. \| \| \| \| \| \| \| \| \| \| \| England and Wales \| Number (thousands) and percentages \| \|-----------------------------------------\|---------\|---------\|---------\|---------\|---------\|---------\|---------\|---------\|---------\|-------------------------------------------------------------------------------------------------------\|--------------------------------------\| \| Type of offence \| 2001 \| 2002 \| 2003 \| 2004 \| 2005 \| 2006 \| 2007 \| 2008 \| 2009 \| 2010 \| 2011 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Estimated shortfall in data (thousands) \| \| \| \| \| \| \| \| \| \| \| \| \| Indictable \| 2.2 \| 0.9 \| 0.8 \| - \| - \| - \| - \| - \| - \| - \| \| \| - \| \| \| \| \| \| \| \| \| \| \| \| \| Summary non-motoring \| 3.7 \| 2.2 \| 7.7 \| - \| - \| - \| - \| - \| - \| - \| \| \| - \| \| \| \| \| \| \| \| \| \| \| \| \| Summary motoring \| 2.5 \| 2.5 \| 4.9 \| - \| - \| - \| - \| - \| - \| - \| \| \| - \| \| \| \| \| \| \| \| \| \| \| \| \| All offences \| 8.4 \| 5.6 \| 13.4 \| - \| - \| - \| - \| - \| - \| - \| \| \| - \| \| \| \| \| \| \| \| \| \| \| \| \| Number proceeded against with \| \| \| \| \| \| \| \| \| \| \| \| \| allowance for shortfall (thousands) \| \| \| \| \| \| \| \| \| \| \| \| \| Indictable \| 503.1 \| 518.0 \| 510.0 \| 453.3 \| 423.4 \| 406.2 \| 404.9 \| 397.5 \| 415.6 \| 438.0 \| 414.0 \| \| Summary non-motoring \| 575.7 \| 624.2 \| 641.8 \| 665.3 \| 637.0 \| 612.0 \| 599.3 \| 593.3 \| 619.2 \| 607.1 \| 598.0 \| \| Summary motoring \| 767.3 \| 788.3 \| 862.5 \| 904.0 \| 834.7 \| 761.1 \| 728.4 \| 649.2 \| 659.6 \| 608.1 \| 547.0 \| \| All offences \| 1,846.1 \| 1,930.4 \| 2,014.2 \| 2,022.6 \| 1,895.0 \| 1,779.3 \| 1,732.5 \| 1,640.0 \| 1,694.4 \| 1,653.2 \| 1,559.0 \| \| Change on a year earlier (percentages) \| \| \| \| \| \| \| \| \| \| \| \| \| Indictable \| 2 \| 3 \| -2 \| -11 \| -7 \| -4 \| 0 \| -2 \| 5 \| 5 \| -5 \| \| -10 \| \| \| \| \| \| \| \| \| \| \| \| \| Summary non-motoring \| -8 \| 8 \| 3 \| 4 \| -4 \| -4 \| -2 \| -1 \| 4 \| -2 \| \| \| -1 \| \| \| \| \| \| \| \| \| \| \| \| \| Summary motoring \| -3 \| 3 \| 9 \| 5 \| -8 \| -9 \| -4 \| -11 \| 2 \| -8 \| \| \| All offences \| -3 \| 5 \| 4 \| 0 \| -6 \| -6 \| -3 \| -5 \| 3 \| -2 \| \| \| -6 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| ## Comparison of 'Criminal Justice Statistics' and 'Judicial and Court Statistics' Crown Court data The publications Criminal Justice Statistics (CJS) and Judicial and Court Statistics (JCS) both contain data on the number of proceedings heard in the Crown Court. The figures are derived from the same core source (the CREST system), but they are not directly comparable as there are known differences between them. These are due to a number of factors, including differences in the data collation methods and counting methodologies used, which reflect different underlying drivers of the analyses being performed. By way of a broad illustration, Criminal Justice Statistics counts numbers of defendants and focuses on the final outcomes of criminal court proceedings, whilst Judicial and Court statistics counts numbers of cases and focuses on flows through the court system. Work is currently under way to investigate and review the differences between the two sets of statistics and their compilation processes with a view to aligning the two datasets in future. In 2010/11 the Ministry of Justice, with the support of a methodologist from the Office for National Statistics, undertook work to better understand the differences between the two publications. Among the key differences between the two datasets are:  Definition of final outcome: Judicial and Court statistics include cases ending as a result of all charges being quashed, discontinued by the prosecution, or where a bench warrant was issued or executed and other outcomes. These outcomes are not counted in Criminal Justice Statistics as the statistics focus on the final outcome of criminal cases and the sentences passed;  Different validation rules;  Timing of data extraction; Magistrates' courts data For magistrates' courts data the number of proceedings reported in Judicial and Court Statistics exceeds those in Criminal Justice Statistics because the former counts issuance of a bench warrant as the end of a set of proceedings. This implies that a case may be counted once by Criminal Justice Statistics but twice, as two sets of proceedings, by Judicial and Court Statistics. ## Background To The Criminal Justice System Reporting Crime This section relates to crimes that are reported to the Police and recorded by them. The Criminal Justice System (CJS) cannot work without the support of the community. In particular, victims and witnesses play a vital part in the justice process. If crimes aren't reported, offenders can't be brought to justice. Investigation Following the report of a crime the police will investigate, their role is to:  Investigate the crime;  Identify suspects;  Arrest and question them. Once their investigations are complete, the police will either:  Charge the suspect, in conjunction with the Crown Prosecution Service (CPS);  Apply for a summons for the suspect to appear at court;  Deal with them by using an out-of-court disposal (an alternative to prosecution);  Resolve the matter informally (e.g. the victim agrees to informal resolution or restorative justice approach);  Release the individual without charge on the basis they should not face criminal action. Offences not prosecuted by the Police Not all offences under law are investigated or prosecuted by the Police. For example television licence evasion is investigated by the TV licensing authority, and offences relating to benefits were prosecuted by the Revenue and Customs Prosecution Office (RCPO) which was an independent prosecuting authority reporting to the Attorney General. The RCPO was merged into the Crown Prosecution Service from 1 January 2010. Deciding what happens with a case The Crown Prosecution Service (CPS) is responsible for prosecuting suspects in court. However, the police investigate the alleged offence and in some cases will decide whether to administer an out-of-court disposal or charge the individual. In the most serious cases, Crown Prosecutors will decide whether to charge a person with a criminal offence, and will determine the appropriate charge or charges. The CPS will decide whether or not to prosecute by applying the Code for Crown Prosecutors to the facts of the particular case. In those less serious cases where the police determine the charge, they apply the same principles. When a file is received from the police, a Crown Prosecutor will decide whether or not there is enough evidence against the suspect and if it is in the public interest to bring that person to court. Because circumstances can change, the Crown Prosecutor must keep the case under continual review. If the Crown Prosecutor is thinking of changing the charges, i.e. downgrading the original offence, or stopping the case, they will contact the police wherever possible. This gives the police the chance to provide more information that may affect the decision. Although the police and the CPS work closely together, both organisations are independent of each other, and the final responsibility for the decision as to whether or not to proceed with an offence that has been charged rests with the CPS. When deciding whether a case should be prosecuted, the police and Crown Prosecutors consider the alternatives to prosecution, i.e. out-of-court disposals, in appropriate circumstances. These include: For adults (aged 18+), a:  Cannabis warning;  Simple caution;  Conditional caution;  Penalty Notice for Disorder;  Fixed Penalty Notice (for driving offences); For young people (aged 10–17 years), a:  Reprimand;  Final warning;  Penalty notice for disorder; More information on crime, detection, court procedures and sentencing can be found at the following link: www.direct.gov.uk/en/CrimeJusticeAndTheLaw/index.htm ## Out Of Court Disposals Penalty Notices for Disorder (PND) Penalty Notices for Disorder (PND's) were introduced in s1-11 of the Criminal Justice and Police Act 2001. Their aim was to provide the police with a quick and effective means of dealing with low-level, nuisance behaviour and are available for a specified range of offences including being drunk and disorderly in a public place, retail theft under £100, behaviour likely to cause fear, alarm or distress, and cannabis possession. The majority of offences included in the scheme are summary offences where the most likely court outcome would be a fine. The scheme enables the police to issue penalty notices on the spot, in a police station, or at a suitable location such as a suspect's house. PND's can offer a quick and proportionate alternative to prosecution, which helps to reduce the burden on the courts. The police have less paperwork to complete, allowing them to spend more time on frontline duties and tackling serious crime. PND's provide an efficient means for the police to tackle minor offences which may not previously have warranted the resources required for prosecution. Under the scheme the police may issue a person who has committed a specified penalty offence with a fixed £50 or £80 penalty. The recipient then has 21 days (the Suspended Enforcement Period - SEP) in which to pay the penalty amount in full or request a court hearing. If the penalty is paid they discharge all liability to conviction of the penalty offence and there is no criminal record. If a court hearing is requested the process defaults to a standard prosecution. If no action is taken within the SEP then a fine of one and a half times the penalty amount is automatically registered (without the need for a court case) against the recipient. The fine will be enforced in the same way as any other fine by the courts. The scheme is based on the long standing Fixed Penalty Notice scheme for road traffic offences. PND's are issued to individuals and there is no requirement for an admission of guilt nor is a conviction recorded against the recipient. PND's are issued to individuals who are suspected of committing specified penalty offences. The offences are divided into lower and higher tiers which attract penalties of £50 and £80 respectively: Offences which attract an £80 penalty:  Wasting police time or giving a false report;  Using a public telecommunications system for sending false messages;  Knowingly giving a false alarm to a fire brigade;  Causing harassment, alarm or distress;  Throwing fireworks in a thoroughfare;  Drunk and disorderly;  Selling alcohol to person under 18;  Selling alcohol to a person who is drunk;  Supplying alcohol to a person under 18;  Purchasing alcohol for person under 18 in licensed premises;  Purchasing alcohol for person under 18 for consumption in a bar in licensed premises;  Delivering alcohol to person under 18 or allowing such delivery;  Destroying/damaging property (under £500);  Theft (retail under £200);  Breach of fireworks curfew;  Possessing Category 4 firework;  Possessing adult firework by person under 18;  Possessing cannabis (from 26th January 2009). Offences which attract a £50 penalty;  Trespassing on a railway;  Throwing stones etc. at trains or other things on railways;  Being drunk in a highway, other public place or licensed premises;  Consuming alcohol in designated public place;  Depositing and leaving litter;  Consuming alcohol by person under 18 in licensed premises;  Allowing consumption of alcohol by person under 18 in licensed premises;  Purchase of alcohol by a person under 18. A new PND for the offence of possession of cannabis was introduced in 2009. Revised statutory guidance on PND's published in July 2009 limited the use of PND's for cannabis possession to offenders aged 18 and over. Since this time a number of forces issued PND's for possession of cannabis to under 18's. Forces have been made aware that PND's are restricted to adults and are reviewing the situation. PND payment Once a PND has been issued the recipient has the SEP in which to either pay the penalty amount in full or request a court hearing. No admission of guilt is required and by paying the penalty the recipient discharges all liability to conviction of the offence. PND's contested at court As an alternative to paying the penalty amount in full, recipients of PND's can request a court hearing. Just one per cent of penalty notices have been contested at court in each year since PND's were rolled out in England and Wales in 2004. This figure is consistent across all age groups and offences. Fine registration If a recipient fails to pay the penalty amount or request a court hearing within the SEP, a fine of one and half times the penalty amount is registered against the recipient by the courts, for enforcement action. Cautions A caution can be administered when there is sufficient evidence to provide a realistic prospect of a conviction and it is not considered to be in the public interest to institute criminal proceedings. Additionally, the offender must admit guilt and consent to a caution in order for one to be given. Cautions are intended for low level, often first time, offending. There are two types of cautions, simple cautions and conditional cautions. Simple Cautions A 'simple caution' is used to deal quickly and simply with those who commit less serious crimes. It aims to divert offenders away from court, and to reduce the likelihood that they will offend again. If you are given a simple caution you will be officially warned about the unacceptability of your behaviour, that the simple caution forms part of your criminal record and may be disclosed, and the likely consequences of committing further crimes will be explained to you. Young people, aged 10-17, cannot get simple cautions but are instead given similar reprimands and warnings which can also involve interventions to prevent further offending. Simple cautions are currently available for all offences. The decision to offer a simple caution is made by the police except in indictable only offences where the decision must be made by a Crown Prosecutor. Conditional Cautions A 'conditional caution' is a caution with conditions attached. Examples of conditions might be:  Rehabilitation - conditions that help to change the behaviour of the offender, reduce the likelihood of re-offending or help to reintegrate the offender into society such as an alcohol treatment programme;  Reparation - conditions that aim to repair the damage done by the offender such as an apology to the victim or to physically repair any damage caused. In January 2010 punitive financial penalty conditions and a youth conditional caution for 16 and 17 year olds were piloted in five police force areas. An offender has to admit the offence and agree to accept the caution and the conditions. If the conditions are not complied with the offender may be prosecuted for the original offence. Currently conditional cautions are only available for summary (non-motoring) offences and a few either way offences such as criminal damage and theft. Conditional cautions are available for adults aged 18 or over and in some areas for young people aged 16-17. The decision to administer a conditional caution is currently made by the Crown Prosecution Service. Like simple cautions, conditional cautions aim to keep lower level offenders from overburdening the court system. They also address the needs of both victims and offenders by dealing with the offender's behaviour quickly, and allowing action to be taken to rehabilitate the offender or to repair the damage caused by the offence. Court Proceedings If an out of court disposal is not deemed to be appropriate the next step is for court proceedings to be initiated. Charging - The Criminal Justice Act 2003 requires that the decision to charge a person in all but the most minor or routine offences is now undertaken by the Crown Prosecution Service (CPS). The police remain responsible for responding to allegations that a person has committed a crime, deciding whether an investigation is required and subsequently conducting the investigation. The police can still charge both summary only and either way offences if there is an anticipation of a guilty plea and the likely sentence would be handed down in a magistrates' court. Under the charging arrangements, the Director of Public Prosecutions' Guidance requires that charging decisions are made - by the police or CPS - in accordance with the Code for Crown Prosecutors following a review of the evidence. The guidance for prosecutors can be found at the following link: www.cps.gov.uk/publications/directors_guidance/dpp_guidance_4.html Prosecutors are responsible for making charging decisions in the most serious cases, ensuring pre-charge decisions are timely, and identifying cases appropriate for out of court disposals prior to charge. In police charged cases these are made prior to the first hearing. These arrangements allow for strong cases to be built from the start and cases where there is not enough evidence to bring a prosecution are sifted out as quickly as possible. Once an accused person is charged, the law requires that they are brought before a magistrates' court as soon as possible. There are three main methods of ensuring the defendant attends court:  they have been held in custody by the police to appear as soon as practicable;  they may have been released on bail to attend court;  they have been summoned to appear in court. Generally, an arrest warrant may only be issued where  the offence is triable only on indictment or is punishable with imprisonment; or  the address of the accused is not sufficiently established for a summons to be served. No branch of the government or the judiciary can direct a police officer or the CPS to bring criminal proceedings (or not to do so) in a particular case - this includes Ministers of the Crown. The CPS will continue to review cases after a Charging Decision has been made and throughout the court process in accordance with the Code for Crown Prosecutors. If as part of this on-going review, the CPS considers there is no longer sufficient evidence for a realistic prospect of conviction or that prosecution is no longer in the public interest, it may discontinue the proceedings at any time before the start of the trial or committal. Court jurisdiction Magistrates' courts: Virtually all criminal cases start in magistrates' courts and 95 per cent of cases finish there. As well as hearing criminal cases magistrates deal with family matters. Cases in magistrates' courts are usually heard by a panel of three magistrates (Justices of the Peace) supported by a legally qualified Court Clerk. There are also around 130 district judges. They are experienced barristers or solicitors who sit alone and deal with more complex or sensitive cases. Magistrates cannot normally order sentences of imprisonment that exceed six months (or 12 months for consecutive sentences), or fines exceeding £5,000. In cases that are triable-either-way (in either magistrates' courts or the Crown Court) the offender may be committed by the magistrates to the Crown Court for sentencing if a more severe sentence is thought necessary. The Crown Court: The Crown Court deals with more serious criminal cases such as murder, rape or robbery, some of which are on appeal or referred from magistrates' courts. Trials are heard by a Judge and a 12 person jury. Members of the public are selected for jury service or may have to go to court as witnesses. The Crown Court is based at 77 centres across England and Wales. It deals with cases transferred from magistrates' courts. It also hears appeals against decisions of magistrates' courts, and deals with cases sent for sentence from magistrates' courts. Penalty levels vary depending on the court trying the offence. Proceedings involving young persons Young people aged between 10 and 17 are mainly dealt with in the youth courts by specially trained magistrates. In youth courts, no person is allowed to be present unless authorised by the court, except for the members and officers of the court, parties to the case (normally including parents/guardians), their legal representatives, witnesses and bona fide representatives of the media. Proceedings may be reported in the press but the young person may not generally be identified. A child or young person is generally tried in the youth court unless any of the below apply:  He or she is charged with homicide (such as murder or manslaughter), when they must be sent to the Crown Court for trial;  He or she is aged 10 and over and under 18 and is charged with a 'grave crime' (an offence for which an adult could be imprisoned for at least 14 years), indecent assault or dangerous driving. These cases may be sent to the Crown Court if magistrates decide that if convicted, the appropriate sentence would be more than they have the power to give;  He or she is charged jointly with another person aged 18 or over, when both should be dealt with in the Crown Court. Remand decisions The police, magistrates and Crown Court may make different remand decisions at each point in the proceedings. The police can release an arrested suspect on bail while they make further inquiries. This means that the suspect is released from custody on condition that they return to the police station on a specified date. The police can also give bail to a defendant who has been charged with an offence. In this situation the defendant is given bail on condition that they appear at a magistrates' court on a specified date. A magistrates' court may: adjourn a hearing without remand; commit a defendant to the Crown Court for trial or sentence; or remand the defendant either in custody or on bail. There is a statutory right to bail, but this may be denied in specific circumstances, namely where the court has substantial grounds for believing that if a defendant were remanded on bail, he or she would fail to surrender to custody, commit an offence while on bail, interfere with witnesses, or otherwise obstruct the course of justice. The prosecution may, in certain circumstances, appeal to a Crown Court Judge against the decision by a magistrates' court to grant bail. The appeal must be made within 48 hours. Those charged with, or convicted of, homicide or rape where the defendant has a previous conviction for any of those offences are only granted bail if there are exceptional circumstances which justify it. A magistrates' court has the power to remand a defendant in custody for up to eight days in the first instance but thereafter may remand him/her for up to 28 days, provided that the defendant is present in court and has previously been remanded in custody for the same offence. The court is not bound to act as recommended by either the defence or the prosecution, or on the historic past recommendations of another court. It must decide, on each occasion, whether the defendant presents such a bail risk as to warrant custody. The court may decide to grant bail, but only under certain conditions and, should these conditions be broken, the defendant would be liable to immediate arrest. The court has to make a risk assessment, balancing the risk which releasing the defendant on bail may pose to the public or the administration of justice, against the consideration that it is a serious step to remand in custody. Failure to Appear (FTA) warrants Failure to Appear (FTA) warrants are issued by courts when defendants do not turn up at court on a specified date having either been summonsed or granted bail at an earlier stage of proceedings. Police forces then attempt to execute these warrants. The number of such warrants received and executed by each police force in England and Wales is reported to the Ministry of Justice. These include the following types of FTA warrants:  FTA warrants arising from cases in response to a charge under section 6 of the Bail Act (warrants issued under Section 7 Bail Act 1976).  FTA warrants arising from cases in response to summons (warrants issued under Section 13 Magistrates' Courts Act 1980).  FTA warrants arising from non-appearance at a Crown Court ('bench warrant').  FTA warrants resulting from breach hearings (but only where warrants are issued on the sworn information of the court, under Section 7 Bail Act 1976 or Section 13 Magistrates' Courts Act 1980).  FTA warrants arising from cases in response to first instance warrants (warrants issued under Section 1 Magistrates' Courts Act 1980, but only where the warrant relates to a case where proceedings have been commenced at court). For the purpose of these statistics, the following definitions are used:  Executed warrants are be those warrants that have resulted in successful execution (either through an arrest or the serving of a bail notice in the case of backed-for-bail warrants), and will include those executed when an individual wanted on multiple warrants is arrested. When a defendant surrenders, the warrant should also be counted in the "executed" category. Domestically-held warrants that are executed by 'chance' by other forces (not exported) should count as executed domestically.  Withdrawn warrants will therefore count all of those warrants withdrawn by the court as a result of applications by the CPS and police based on audits or new intelligence. They should also include those issued in error and withdrawn immediately (according to judicial process).  Outstanding are those that have been issued by the local area but have not been executed or withdrawn, including those that will rely on out of area executions. Warrants count as outstanding from the moment they are received from the courts, until the time they are either executed or withdrawn, and regardless of whether or not they are within their target timescales for timely execution. Category A, B and C Warrants Categorisation of a warrant is the process that determines the executing agency and the timescales that it should be executed in. Generally, Category A warrants relate to the most serious offence. Some of the additional factors to be considered are the risk to the public and the intelligence value. The following offences should be categorised as 'A':  Treason;  Murder;  Manslaughter;  Rape;  Other serious sexual assault;  Kidnapping;  An offence under section 3, 50(2), 68(2) or170 of the Customs and excise Management Act 1979;  Cause explosion likely to endanger life or property;  Possession of firearms with intent to injure;  Use of firearm / imitation firearm to resist arrest;  Carrying firearms with criminal intent;  Hostage taking;  Hijacking;  Torture;  Cause death by dangerous driving;  Cause death by careless driving under influence of drink / drugs;  Offences under the Aviation and Maritime Security Act 1990;  Offences under the Channel Tunnel Security Order 1994;  Protection of Children Act 1978 - indecent photographs of children;  Publication of obscene matter;  Offences under Sexual Offences Act 2003;  Production, Supply and Possession for supply of controlled drugs;  Offences under the Criminal Justice International Co-operation Act 1990;  Terrorism offences. Any conspiracy to commit, attempt, aid, abet, counsel or procure any of the above should be included as 'serious offences'. Other offences may also be classed as serious if their consequences are as per the following list. Such cases will be rare and it is possible that the individual grading the warrant will not have this information. If this information is not clearly known to the person grading the warrant then the warrant would be graded B or C as appropriate.  Serious harm to the security of the state or public order  Serious interference with the administration of justice or investigation of an offence  The death or serious injury of a person  Substantial financial gain or loss to a person As an example, a traffic offence that would otherwise have been minor and classed as a category C should be graded as an A where the consequences have led to the death or serious injury of a person. Enforcement Officers (EOs) (Police, Police Civilian EOs, Court Civilian EOs) should execute the warrant as soon as practicable but should as an absolute minimum make every effort to execute in the timescales below: Category A - within 14 total days. Category B - within 21 total days. Category C - within 28 total days. ## Conviction and sentencing The section below details the main purposes of sentencing and describes some of the major disposals presented in this publication, the web addresses shown below from the Crown Prosecution Service give more detail of sentencing practice and the available orders. www.cps.gov.uk/legal/s_to_u/sentencing_-_general_principles/ www.cps.gov.uk/legal/s_to_u/sentencing_manual/ When an offender is convicted, in either a magistrates' or the Crown Court, the court can either pass sentence immediately or if further information is required they may adjourn to a later date. The Criminal Justice Act 2003 set out the five main purposes of sentencing for adults:  The punishment of offenders;  The reduction of crime (including its reduction by deterrence);  The reform and rehabilitation of offenders;  The protection of the public;  The making of reparation of offenders to persons affected by their offences. While courts are obliged to have regard to these principles, sentence will generally be determined according to seriousness of the offence. Seriousness is made up of the harm caused by the offence and the culpability of the offender in committing it. There is also a statutory aggravating which provides that recent and relevant previous convictions make an offence more serious. There are thresholds of penalty based on seriousness:  Offences that are so serious that neither a fine alone nor a community sentence can be justified;  Offences that are serious enough to warrant a community sentence. If neither of these thresholds is reached then a fine or a discharge will be appropriate. ## Disposals Given In Court Immediate Custody Adults Aged Over 21 Will Be Sentenced To Imprisonment, Adults Aged 18–20 Will Be Sentenced To Detention In A Young Offenders Institution. Maximum Penalties Are Specified For All Offences According To The Seriousness Of The Offence. Generally, The Maximum Custodial Penalties Are Set At One Of The Following Levels:  1 Month;  3 months;  6 months;  12 months;  2 years;  5 years;  7 years;  10 years;  14 years;  life. One of the characteristics of the criminal law in England and Wales is that offences are defined very broadly. Hence sentences imposed tend to cluster much lower than the maxima. Short sentences - Under 12 months Those sentenced to under 12 months (made under the Criminal Justice Act 1991) spend the first half of their sentence in prison and are then released and considered 'at risk' for the remaining period. This means they are under no positive obligations and do not report to the probation service but, if they commit a further imprisonable offence during the at risk period, they can be made to serve the remainder of the sentence in addition to the punishment for the new offence. The exception to this is those aged 18–20 who have a minimum of three months' supervision on release. Sentences of 12 months or over The Criminal Justice Act 2003 created a distinction between standard determinate sentences and public protection sentences. Offenders sentenced to a standard determinate sentence serve the first half in prison and the second half in the community on licence and subject to conditions. Offenders convicted of a sexual or violent offence may be sentenced to a public protection sentence. In such cases, the court has to determine whether the offender is dangerous to the extent that there is a significant risk to the public of serious harm through the commission by him or her of a further sexual or violent offence. If the court does consider that to be the case, it may impose a public protection sentence. There are two such sentences: Imprisonment or detention for public protection (IPP - sections 225 and 226 of the Criminal Justice Act 2003) - where the maximum for the offence is ten years or more and where a life sentence is not available or appropriate. An IPP is an indeterminate sentence; an offender will serve the tariff (minimum term) as set by the judge and then is eligible to be released if considered safe by the Parole Board. The only significant distinction between life and IPP is that, whereas life sentences last for the whole of the offender's life, the Parole Board can bring an IPP licence to an end after a minimum of 10 years in the community following release. Extended sentence (EPP - section 227 of the 2003 Act) - where the maximum for the offence is less than 10 years. An extended sentence comprises the normal determinate custodial period plus an extended period on licence. The offender may be released at any time between the half way point and the end of the normal custodial period and is on licence until the end of the extension period. The Criminal Justice and Immigration Act 2008 changed the provisions so as to give judges more discretion over the use of public protection sentences; they were to be restricted to offences for which two years real time is justified; and for release from an extended sentence to be automatically at the half way point of the custodial period with licence extending from then until the end of the extension period. These changes apply to cases sentenced on or after 14 July 2008. Licence For the duration of the licence, an offender is obliged to comply with the terms of that licence. These may include requirements to report to the probation service, restrictions as to where he may live and what work he may undertake, and requirements to attend programmes. If an offender breaches his licence he is liable to be recalled to prison, potentially until the end of his sentence. Life Sentence The main types of life sentence and the respective age related variants are as follows: Mandatory Life Sentences  Imprisonment for Life - this is the only sentence that can be imposed on anyone over the age of 21 who is convicted of murder.  Detention during Her Majesty's Pleasure - this is the mandatory sentence for a person convicted of murder who was aged 10 or over but under 18 at the time of the offence.  Custody for Life - this is the mandatory sentence for a person aged 18 or over but under 21 at the time of the offence who is convicted of murder and sentenced while under 21. Discretionary Life Sentences  Imprisonment for Life - this is the maximum sentence for those over 21 convicted of certain serious offences, e.g. manslaughter, attempted murder, rape, armed robbery, arson etc.  Detention for Life - this is the maximum sentence for a person aged 10 or over but under 18, who is convicted of offences other than murder for which a discretionary life sentence may be passed on a person over 21.  Custody for Life - this sentence may also be imposed where a person aged 18 or over but under 21 at the time of the offence is convicted of any other offence for which a discretionary life sentence may be passed on an adult. Under any life sentence the court determines the minimum term to be served in custody before the offender can be considered for release by the Parole Board. If and when the offender is released he or she remains on licence, and subject to recall to custody, for the rest of their lives. Mandatory minimum custodial sentences The Powers of Criminal Courts (Sentencing) Act 2000 introduced mandatory minimum sentences of:  Seven years for a third Class A drug trafficking offence committed after 30 September 1997.  Three years for a third domestic burglary committed after 30 November 1999.  An automatic life sentence for a second serious offence committed after 30 September 1997. This section has subsequently been replaced from 4 April 2005 by indeterminate sentences for public protection. The Criminal Justice Act 2003 also introduced a mandatory minimum sentence of five years (three years in the case of those aged 16 or 17) for certain offences under section 5 of the Firearms Act 1968. Suspended sentence orders These sentences were introduced under the Criminal Justice Act 2003 and are available for offences committed on or after 4 April 2005. They enable a court which passes a custodial sentence of 12 months or less to suspend that sentence for a period of between six months and two years while ordering the offender to undertake certain requirements in the community (drawn from the same list as those available for the community order). If the offender breaches the requirements there is a presumption that the custodial sentence will be given effect. Community Sentences Since the implementation of the Criminal Justice Act 2003, there has been a single community order that can comprise up to 12 requirements depending on the offence and the offender. These are:  Unpaid work (formerly community service/community punishment) - a requirement to complete between 40 and 300 hours' unpaid work;  Activity - e.g. to attend basic skills classes;  Programme - there are several designed to reduce the prospects of reoffending;  Prohibited activity - requirement not to do something that is likely to lead to further offender or nuisance;  Curfew - electronically monitored;  Exclusion - not much used as no reliable electronic monitoring yet available;  Residence - requirement to reside only where approved by probation officer;  Mental health treatment (requires offender's consent);  Drug rehabilitation (requires offender's consent);  Alcohol treatment (requires offender's consent);  Supervision - meetings with probation officer to address needs/offending behaviour;  Attendance centre - three hours of activity, usually on Saturday afternoons, between a minimum of 12 hours and a maximum of 36 in total. Typically, the more serious the offence and the more extensive the offender's needs, the more requirements there will be. Most orders will comprise one or two requirements but there are packages of several available where required. The court tailors the order as appropriate and is guided by the probation service through a presentence report. Fines Fines are available to punish all offenders (other than where mandatory minimum sentences apply, such as for murder). In general, the maximum fine that can be imposed by magistrates' courts is defined in terms of level. There are five levels, currently set as follows:  Level 1 £200  Level 2 £500  Level 3 £1,000  Level 4 £2,500  Level 5 £5,000 In practice, fine levels are generally much less than the maximum as courts must take account of offenders' means when deciding on the amount to impose. The Crown Court may fine an unlimited amount. Discharges A court may discharge a person either absolutely or conditionally where the court takes the view that it is not necessary to impose punishment. An absolute discharge requires nothing from the offender and imposes no restrictions on future conduct. The majority of discharges are conditional discharges where the offender remains liable to punishment for the offence if he is convicted of a further offence within whatever period the court specifies (but not more than three years). Compensation In cases involving death, injury, loss or damage, the courts are required to consider making a compensation order, and to give reasons where no such order is made. A compensation order can also be made in addition to any other sentence or order, or can be the only sentence imposed for a particular offence. Magistrates' courts can order compensation up to a maximum of £5,000 per offence, but there is no such limit in the Crown Court. However, courts are required to have regard to the means of the offender when deciding whether to make a compensation order and when deciding on its amount. When the defendant makes payments against financial penalties, compensation orders are paid off before fines. Further sentences and orders Other punishments are used to a lesser extent. These include binding over orders, confiscation orders, exclusion orders and disqualification from driving. When a defendant stands convicted before the Crown Court of a drug trafficking offence, the Court is required to determine whether he has benefited from drug trafficking at any time, and if so, to make a confiscation order. The amount to be recovered is what the court assesses to be the value of the defendant's proceeds from drug trafficking, or that which can be realised. The courts have general power to penalise a defendant by making an order for the forfeiture of property associated with the offence. Sentences specifically for juveniles Sentencing for juveniles is bound by the provisions of the Crime and Disorder Act 1998 and the Children and Young Persons Act 1933. The Acts set out two main purposes of youth sentencing:  Every court in dealing with a child or young person who is brought before it, either as an offender or otherwise, shall have regard to the welfare of the child or young person and shall in a proper case take steps for removing him from undesirable surroundings, and for securing that proper provision is made for his education and training.  It shall be the principal aim of the youth justice system to prevent offending by children and young persons. Custodial sentences The custodial sentences available for juveniles are:  Detention and Training Order: Detention and Training Orders (DTO's: sections 100–107 of PCC(S)A 2000) were introduced from 1 April 2000 to replace the sentences of Detention in a YOI for 15–17 year olds and the Secure Training Order for 12–14 year olds. A DTO may be given for a term of 4, 6, 8, 10, 12, 18 or 24 months, of which usually half is served in detention and the remainder in the community under supervision.  Section 91 Powers of Criminal Courts (Sentencing) Act 2000: Section 91 Powers of Criminal Courts (Sentencing) Act 2000 (PCC(S) A 2000) restated the power (originally in section 53(2) of the Children and Young Persons Act 1933) to detain juveniles who commit certain serious offences (mostly those with a statutory maximum of 14 years imprisonment or more in the case of an adult) for a period equivalent to the maximum for which an adult committing the same offence could be imprisoned.  Section 90 Powers of Criminal Courts (Sentencing) Act 2000: A juvenile offender convicted of murder will be sentenced to Detention during Her Majesty's Pleasure, the provisions of which are found in S.90 of the Powers of Criminal Courts (Sentencing) Act 2000. Offences committed prior to August 2000 would have been sentenced under S. 53(1) (2) Children and Young Persons Act 1933.  Detention for Life: This is the maximum sentence for a person aged 10 or over but under 18, who is convicted of offences other than murder for which a discretionary life sentence may be passed on a person over 21. Community sentences Community sentences for juveniles are supervised by Youth Offending Teams (YOTs) and comprise different orders than are available for adults. The community order is not available for juveniles and a reform of juvenile sentencing means all the orders listed below, with the exception of the Reparation Order and the Referral Order, have been replaced by the Youth Rehabilitation Order for offences committed from 30 November 2009. Community sentences available prior to 30 November 2009:  Action Plan Order is a three month programme available for 10–17 year olds and comprises a short intensive community based programme which may include reparation and attendance centre sessions.  Attendance Centre Orders are available for 10–17 year olds and are run by police with offenders attending on Saturdays for between four and 24 hours. The sessions; usually two hours long, involve physical exercise and group work.  Curfew Orders with electronic monitoring: Available for 10–17 year olds and for up to three months. The court can order an offender to comply with a curfew backed up with electronic monitoring. The tagged curfews can help to break patterns of offending by keeping offenders off the street and out of trouble at times they are most likely to offend.  Supervision Order: Available for 10–17 year olds and can last from six months up to three years. The offender is supervised by a member of the YOT. A range of conditions can be attached for more serious offences; these can include drug treatment, residence requirements, curfews, and additional activities specified by the YOT (normally reparation, offending behaviour, group work or anger management).  Community Punishment and Rehabilitation Order: Available for offenders aged 16+ and the order can last from 12 months up to three years. The order requires an offender to be under supervision and to perform unpaid work for not less than 40 and no more than 100 hours.  Community Punishment Order: Available for offenders aged 16+ and for between 40 and 240 hours. Involves undertaking unpaid work in the community, typically work such as carpentry workshops, conservation, decorating or caring tasks.  Community Rehabilitation Order: Available for offenders aged 16+ and lasts between six months and three years. It is the juvenile equivalent of supervision by the probation service and is only available for 'mature' 16 and 17 year olds. It can also come with conditions attached such as residence requirements. Current community sentences:  Referral Order: Is given to 10–17 year olds pleading guilty for a first offence only where the court deems a custodial sentence is not warranted. They are required to attend a youth offender panel, which is made up of two volunteers from the local community and panel adviser from a YOT. The panel, with the young person, their parents/carers and the victim (where appropriate), agree a contract lasting between three and 12 months. The aim of the contract is to repair the harm caused by the offence and address the causes of the offending behaviour. The conviction is 'spent' once the contract has been successfully completed. This means that in most circumstances the offence will not have to be disclosed by the young person when applying for work.  Reparation Order: Available for 10–17 year olds convicted of an offence it must comprise a maximum of 24 hours and must be completed within three months of the date the order is passed. The views of the victim must be sought before a reparation order can be made. If the victim is not prepared to have any further contact with the offender then reparation can be made to the community at large. Reparation cannot consist of financial reparation; courts have other means to enforce financial reparation if they believe it to be suitable.  Youth Rehabilitation Order (YRO): has replaced most of the previously available community sentences with a 'menu' of requirements that can be tailored to suit the individual risks and needs of an offender. In this respect it is similar to the community order available for adults. The YRO can be made for up to three years. The following requirements can be attached to a YRO:  Activity Requirement  Curfew Requirement  Exclusion Requirement  Local Authority Residence Requirement  Education Requirement  Mental Health Treatment Requirement  Unpaid Work Requirement (16/17 years)  Drug Testing Requirement  Intoxicating Substance Treatment Requirement  Supervision Requirement  Electronic Monitoring Requirement  Prohibited Activity Requirement  Drug Treatment Requirement  Residence Requirement  Programme Requirement  Attendance Centre Requirement  Intensive Supervision and Surveillance (based on the current ISSP)  Intensive Fostering. ## Legislation Coming Into Effect In The Reporting Period The legislation described below relates mainly to legislation that came into force in the period from January 2000 to the end of 2010. It is only a short summary of the sections that may have affected the published statistics. The following web site has details of all legislation that has come into force in the intervening period. www.legislation.gov.uk/ The coverage of the sentencing statistics in this volume may have been affected by the following legislation, which has altered the modes of trial, sentencing framework or significantly altered the range of offences:  Powers of Criminal Courts (Sentencing) Act 2000  Criminal Justice and Police Act 2001  Proceeds of Crime Act 2002  Criminal Justice Act 2003  Sexual Offences Act 2003  Fraud Act 2006  Criminal Justice and Immigration Act 2008  Coroners and Justice Act 2009  Legal Aid, Sentencing and Punishment of Offenders Act 2012 The Powers of Criminal Court (Sentencing) Act 2000 consolidated legislation on sentencing and the treatment of offenders that was previously contained within twelve other Acts. It was divided into the following parts:  Part I Powers exercisable before sentence: covering deferment of sentence, committal to the Crown Court for sentence, powers to remit young offenders to youth courts for sentence and the power for magistrates' to adjourn sentencing to enable a medical exam.  Part II Absolute and Conditional Discharge: giving the power for a court to discharge an offender absolutely or conditionally in cases where the penalty is not fixed by law or imposed under section 109(2), 110(2) or 111(2) of this act. Conditional discharges require an offender not to commit another offence within a period no greater than three years, if breached the original court is to sentence for the original offence as if he had just been convicted before that court.  Part III Mandatory and discretionary referral of young offenders: establishing referral orders (see Appendix 1) where offenders aged under 18 who have pleaded guilty to an offence can be referred to a youth offender panel.  Part IV Community orders and reparation orders: establishing curfew orders, action plan orders and general provisions for community sentences, most of this section was subsequently repealed by the Criminal Justice Act 2003.  Part V Custodial sentences etc.: consolidated legislation establishing six months as the maximum term for which magistrates' can sentence to custody, also introduced the custodial sentence with extended licence period for specified violent or sexual offences.  Chapter II of part V contained many provisions regarding the detention and custody of offenders under 21 years of age. Sections 90–91 still apply to offenders aged under 18 convicted of serious offences such as murder or rape and specify the periods of detention that can or should be imposed.  Section 100 consolidated legislation in the Crime and Disorder Act which introduced Detention and Training Orders (DTO's) for offenders aged under 18 convicted of an offence which would be punishable by imprisonment for an offender aged over 21. A DTO is for a set period of 4, 6, 8, 10, 12, 18 or 24 months with half the sentence to be served in secure accommodation and the remaining period to be served in the community but with supervision by a local social work department or Youth offending team.  Sections 109–111 consolidated legislation on mandatory minimum terms for: offenders convicted of a second serious offence in which case the minimum term is life imprisonment, a third class A drug trafficking offence in which case the court should impose a custodial sentence of seven years or a third domestic burglary in which case a custodial sentence of three years should be imposed. Section 109 relating to life imprisonment has since been replaced by the provisions contained within the Criminal Justice Act 2003 for IPP sentences.  Section 118 contained some provisions on the imposition of suspended sentences which have since been replaced by the Suspended Sentence Order. The Criminal Justice and Police Act 2001 introduced on the spot fixed penalties for a range of offences including retail theft under £100, behaviour likely to cause fear of harassment, alarm or distress and being drunk and disorderly in a public place. The Act allows local councils to create areas in which drinking could be restricted and the power to confiscate alcohol in these areas. It also introduced a new offence of protesting in an intimidating manner, as well as making kerb crawling, 'hit and run' accidents, and importing obscene material arrestable offences. It also gave new powers to magistrates to remand children aged between 12 and 16 into custody when charged with offences such as theft and criminal damage. The Proceeds of Crime Act 2002 consolidated drug trafficking and criminal justice legislation on the confiscation of convicted defendants' earnings. Confiscation orders can only be made in the Crown Court and the powers of magistrates to make a confiscation order were also abolished by this Act. The Act made the power to confiscate mandatory and the Crown Court must instigate confiscation proceedings if requested by the prosecutor. Confiscation hearings are conducted according to the civil standard of proof, i.e. on the balance of probabilities. In some cases the court is empowered to assume that the defendants assets and earnings from the six years prior to conviction have been derived from criminal conduct and to make an order accordingly, the court is further required to make this assumption following a conviction for drug trafficking. The Criminal Justice Act 2003 brought in means to involve the Crown Prosecution Service in charging decisions and to reform the system for allocating cases to court. It introduced a new presumption against bail in certain circumstances where an offence has been committed while on bail or for defendants charged with an imprisonable offence. The Act aimed to ensure that criminal trials are run more efficiently and to ensure a reduction in abuse of the system: Rules on evidence were changed to allow the use of previous convictions where relevant, and to allow the use of reported (hearsay) evidence where there is good reason why the original source cannot be present, or where the judge otherwise considers it would be appropriate, with effect from 4 April 2005. A right of appeal for the prosecution against judicial decisions to direct or order an acquittal before the jury has been asked to consider the evidence. This will be introduced to balance the defendant's right of appeal against both conviction and sentence (not yet in force). The Act provides a sentencing framework that is clearer and more flexible than before:  The purposes of sentencing of adults are identified in statute for the first time, as punishment, crime reduction, reform and rehabilitation, public protection and reparation.  The principles of sentencing are set out, including that any previous convictions, where they are recent and relevant, should be regarded as an aggravating factor, which will increase the severity of the sentence, with effect from 4 April 2005.  Through the implementation of section 167 of the act, a new Sentencing Guidelines Council was established on 27 February 2004. This Council and the Sentencing Advisory Panel worked together to ensure that sentencing guidelines are produced which encourage consistency in sentencing throughout the courts of England and Wales and support sentencers in their decision making (the Sentencing Guidelines Council has since been superseded by the Sentencing Council - see Coroners and Justice Act 2009).  Sentence lengths of 12 months or over are served in full, with half in custody, half in the community and with supervision extended to the end of the sentence rather than the ¾ point as previously, with effect from 4 April 2005. It brought in changes to the sentences available to the courts:  The various kinds of community orders for adults were replaced by a single community order with a range of possible requirements, commenced 4 April 2005.  Serious violent and sexual offenders attracted new sentences, to ensure that they are kept in prison or under supervision for longer periods than previously, with effect from 4 April 2005.  An increase in sentence length for any offence where it is aggravated by hostility towards the victim on the basis of disability, sexual orientation, race or religion, with effect from 4 April 2005.  Some new short custodial sentences were introduced. These include custody plus, intermittent custody and a reformed suspended sentence in which offenders have to complete a range of requirements imposed by the court. Intermittent custody was piloted from January 2004 to November 2006, but not implemented, and the new suspended sentence was commenced from 4 April 2005. Custody plus has not been implemented. The Act also addressed a number of other areas:  It contains a number of provisions on drug related offending, extending to those aged 14 and above, the provisions to test persons in police detention and at other points in the criminal justice system for specified Class A drugs. It also reclassified Cannabis as a class C drug, introduced on 1 August 2004. This decision was subsequently reversed and cannabis was re-classified as a class B drug from 26 January 2009.  It established a five year mandatory minimum custodial sentence (three years for 16-17 year olds) for unauthorised possession of a prohibited firearm, with effect from 22 January 2004.  It increased the maximum penalty for causing death by dangerous driving from 10 to 14 years, with effect from 27 February 2004.  In relation to juveniles, the Act extended the use of parenting orders by making them available at an earlier stage and introduced individual support orders, requiring young people with anti-social behaviour orders to undertake educationrelated activities, introduced on 27 February 2004.  In relation to fines it introduced the financial circumstances order which compelled offenders to inform the court of their financial circumstances so that the court can impose a fine that both reflects the seriousness of the offence and the ability of pay of the offender. The Sexual Offences Act 2003 was brought in from May 2004 and repealed virtually all of the previous legislation relating to sexual offences. It included the following main offences, with effect from 1 May 2004:  Rape and the evidential and conclusive presumptions about consent regarding adults, covering an individual's ability to make a choice or where violence or threats of violence take place.  Assault by penetration, committing an offence, causing a person to engage in sexual activity without consent.  Rape and other offences against children under 13, where the offence is committed intentionally.  Child sex offences, including causing or inciting a child to engage in sexual activity making it constitute an offence regardless of whether the activity incited actually takes place.  Causing a child to watch a sexual act and child sex offences committed by children or young persons.  Re-enacting and amending abuse of position of trust under sections 3 and 4 of the Sexual Offences (Amendment) Act 2000.  Familial child sex offences, including intension and incitement of the offence.  Offences against persons with a mental disorder.  Indecent photographs of children redefining a 'child' for the purposes of the Protection of Children Act 1978, as a person under 18 years of age.  Abuse of children through prostitution and pornography, covering under 18s and under 13s.  Exploitation of prostitution including trafficking of a person into or out of the UK for sexual exploitation.  Preparatory offences and sex with an adult relative. The act also defined the interpretation of the terms 'sexual' and 'consent'. The Act also introduced new civil preventative orders:  Notification orders: This is an order which can be made, on application by a chief officer of police, in respect of individuals who have been convicted, cautioned etc. abroad for sexual offences equivalent to the sexual offences listed in Schedule 3 of the 2003 Act. The effect of the order is to make such offenders subject to the notification requirements of Part 2 of the 2003 Act as if they had been convicted, cautioned etc. in the UK of a relevant offence, with effect from 1 May 2004.  Sexual offences prevention orders (SOPOs): This order replaced both the sex offender order and the restraining order. Therefore, a SOPO can be made on application by a chief officer of police in respect of a convicted sex offender or by a court at conviction. The SOPO is also an improvement on the existing orders. A conditional discharge cannot be received as punishment for breach of a SOPO, with effect 1 May 2004.  Foreign travel orders: This order enables the courts, in certain circumstances and on application by a chief officer of police, to prohibit those convicted of sexual offences against children aged under 16 from travelling overseas where there is evidence that they intend to cause serious sexual harm to children in a foreign country, with effect 1 May 2004.  Risk of sexual harm orders (RSHOs): This order, similar to the SOPO, aims to restrict the activities of those involved in grooming children for sexual activity. A previous conviction, caution etc. for a sexual offence is not a prerequisite in applying for a RSHO, with effect 1 May 2004. None of the provisions in the Act applied retrospectively. The Fraud Act 2006 commenced from 15 January 2007 and summarised fraud into three categories:  Fraud by false representation;  Fraud by failing to disclose information;  Fraud by abuse of position. It also created new offences for:  Obtaining Services Dishonestly;  Possessing, making or supplying articles for use in Fraud;  Sole traders, who are now subject to fraudulent trading charges. The aim of the Act was to criminalise the intent of a fraudulent act rather than the act itself; this will allow the Act to respond to technological advances which may alter the means by which a fraudulent act can be committed. The Criminal Justice and Immigration Act 2008 commenced from November 2008 and was a wide ranging Act which aimed to make further provisions about the criminal justice system; dealing with offenders; the management of offenders; and to amend the Repatriation of Prisoners Act 1984. It created or amended a number of offences, including:  A new offence of inciting hatred on the grounds of sexual orientation;  A ban on the possession of extreme pornographic images;  Clarification of the law on self-defence;  New civil penalties for serious breaches of data protection principles and made unlawfully obtaining personal data an offence punishable by up to two years in prison;  Abolished the common law offence of blasphemy and blasphemous libel. It also made changes to sentencing, including:  The creation of Violent Offender Orders (VOOs): Civil preventative orders that allow courts to impose post-sentence restrictions on those convicted of violent offences.  The clarification of sentencing procedures for young offenders.  The creation of the youth conditional caution and the Youth Rehabilitation Order (YRO) a generic community sentence similar to the adult community order in which a 'menu' of requirements is chosen from to create a bespoke order specific to an offender and their offending behaviour. The YRO came into effect on 30 November 2009.  Amended provisions in the Criminal Justice Act 2003 so as to give judges more discretion over the use of public protection sentences; for the use of public protection sentences to be restricted to offences for which two years real time in prison is justified or where the offender has previously been convicted of a specified offence (listed in Schedule 15A to the 2003 Act); and for release from an extended sentence to be automatic at the half way point of the custodial period with licence extending then until the end of the extension period. These changes apply to cases sentenced on or after 14 July 2008. The Coroners and Justice Act 2009 introduced several new offences:  Offences relating to encouraging or assisting suicide  Possession of prohibited images of children. It also made changes to:  Retrospective application of genocide, crimes against humanity and war crimes  Persons suffering from diminished responsibility, partial defence: loss of control relating to murder  Driving disqualifications for those also sentence to immediate custody  Added certain terrorist offence to the list for which Indeterminate sentences for public protection are available. The Act introduced provisions for anonymity in certain investigations and for certain witness. It also established the Sentencing Council to replace the Sentencing Guidelines Council. The Legal Aid, Sentencing and Punishment of Offenders Act 2012 received Royal Assent on 1 May 2012. The Act introduces a wide range of reforms to the justice system as well as delivering structural reforms to the administration of legal aid. Explanation of sections of the act which commenced at the point of Royal Assent and will have a potential impact on the data can be found at the link below:  www.justice.gov.uk/downloads/legislation/bills-acts/legal-aidsentencing/laspo-sections-commenced-on-assent.pdf ## Glossary Absolute discharge: When the court decides someone is guilty, but decides not to punish them further at this time, they will be given a 'discharge'. Discharges are given for minor offences. An 'absolute discharge' means that no more action will be taken. Average custodial sentence length (ACSL): Average length of determinate custodial sentences given in months. This excludes indeterminate sentences (life or Imprisonment for Public Protection sentences) as the length of these sentences is not recorded. Example of calculation of average custodial sentence length (ACSL): Offenders in four cases are sentenced to immediate custody and the sentence lengths handed down are: 6 months, 1 year, 18 months and a life sentence. The calculation of ACSL excludes the life sentence as this is an indeterminate sentence and it is not known how long the offenders will serve in custody. The mean is calculated on the remaining 3 sentences implying the ACSL for these offences is: (6+12+18)/3 = 12 months Community sentence: When a court imposes a community sentence, the offender doesn't go to prison. But the court says there are specific things the offender can, can't and must do while serving their sentence. The magistrate or judge will decide which combination of these 'requirements' will most effectively punish the offender for their crime, while also reducing the risk of them offending again. Conditional discharge: When the court decides someone is guilty, but decides not to punish them further at this time, they will be given a 'discharge'. Discharges are given for minor offences. A 'conditional discharge' means that the offender won't be punished unless they commit another offence within a set period of time (no longer than three years). Conviction ratio: The conviction ratio is defined as the ratio of convictions to prosecutions for a principal offence over one year. As trials can span more than one year, offenders found guilty in a reporting year are not always the same defendants who were prosecuted in that year. Crime: is an action or an instance of negligence that is deemed injurious to the public welfare or morals or to the interests of the state and that is legally prohibited. An incident is counted as a crime if reported to the authorities and following investigation is confirmed as a "crime" and recorded as such. Disposal: The end result of a trial at court. In this publication the disposals of interest are sentences, but other disposals are possible, for example where there is no finding of guilt and the defendant is acquitted. Downgrading: A crime recorded by the police that results in a conviction for a lesser offence than initially recorded. For example, following investigation a crime is recorded "Wounding with intent to cause grievous bodily harm" and charged as such but during the court process more evidence comes to light which means that prosecutors believe the more appropriate charge is for a less serious offence of "Actual bodily harm". Fine: Fines are the most common criminal sentence, given to punish an offender financially. They're usually given for less serious crimes that don't merit a community or prison sentence. They limit the amount of money offenders have to spend. How much someone is fined depends on how serious a crime is, and the offender's ability to pay. First time entrants: The basic concept of a first time entrant to the Criminal Justice System is an individual who receives their first criminal sanction following a criminal act. Formally disposed offending: An offence is said to be formally disposed of if an offender receives a conviction at court or an out-of-court disposal for the offence. Immediate custody: Prison sentences are given when an offence is so serious that it is the only suitable punishment. A prison sentence will also be given when the court believes the public must be protected from the offender. There are three different types of prison sentence: suspended sentences, determinate sentences (those having a fixed term) and indeterminate sentences (which have only a minimum term and include life sentences). Mean and median: The average fine has been defined as both the median fine amount and the arithmetic mean. The median fine amount is used as occasional large fines (>£1,000,000) handed down to companies or other organisations can have a misleading impact when using the mean to represent average fine amounts. In this situation the median (the middle number in a sorted list of numbers) is more informative about the true mid-point of the data than a simple (mean) average. ## Example Illustrating The Difference Between The Mean And The Median Measure Defendants in 13 cases were sentenced to the following fine amounts: £5, £5, £10, £10, £10, £10, £20, £20, £20, £20, £50, £50, £2,000. Calculating the average (mean) and mid-point (median) values from this list will produce very different results: The mean is calculated by taking the sum of all values and then dividing by the number of values. In this example the mean fine amount is £171.54. The median however looks for the value which lies in the middle of the set of numbers when those numbers are placed in ascending or descending order. In this instance the middle value is £20 (the 7th value in the list). Therefore in this example the median value of £20 is more representative of the average fine value issued compared to the mean value of £171.54. Notifiable offence: The term 'notifiable' covers offences that are notified to the Home Office, and they are collectively known as 'recorded crime'. Notifiable offences include all indictable and triable-either-way offences (excluding section 6 of the Bail Act 1976), together with certain closely associated summary offences. Police recorded crime statistics cover notifiable offences. Otherwise dealt with: includes a number of orders, for example hospital orders, confiscation orders and compensation orders. Primary/Principal offence: Where more than one offence is considered in a court case or cautioning occasion, the offence that would/did attract the most severe sentencing outcome is deemed to be the Principal offence and other offences also dealt with in that case would be ignored. If two offences in the same case attract the same sentence the offence with the statutory maximum sentence is deemed the 'Principal offence'. Proven offending: An individual is considered as a proven offender if they receive one of the following sanctions:  Simple caution  Caution  Final warning,  Reprimand  Conditional caution  Penalty Notice for Disorder  Cannabis Warning  Prosecution resulting in conviction Proven Offending Rate (or disposal rate): This is an offence based measure as it measures the number of offences where someone is proven to have committed that offence: There are two ways of measuring this:  All offence category: A comparison of crimes to outcome for any offence e.g. the number of murders recorded compare to a conviction for any offence.  Within offence category: A comparison of crimes to outcome for the same offence category, e.g. the number of murders recorded compared to a conviction for murder. Recordable offence: Recordable offences are those that the police are required to record on the Police National Computer. They include all offences for which a custodial sentence can be given plus a range of other offences defined as recordable in legislation. They exclude a range of less serious summary offences, for example television licence evasion, driving without insurance, speeding and vehicle tax offences. Triable only on indictment: These offences are the most serious breaches of the criminal law and must be tried at the Crown Court before a judge and jury. These 'indictable-only' offences include murder, manslaughter, rape and robbery. Triable-either-way: These offences may be tried either at the Crown Court or at a magistrates' court. These offences include criminal damage where the value is £5,000 or greater, theft, burglary and drink driving. Triable only on indictment and triable either way are frequently amalgamated to form indictable offences. Summary offences: These offences are usually heard only by a magistrates' court. This group is dominated by motoring offences, for some of which fixed penalties can be issued, but also includes such offences as common assault and criminal damage up to £5,000. Suspended sentence: A court may give an offender a 'suspended' prison sentence if the time they would otherwise spend in prison is under 12 months. With a suspended sentence, the offender doesn't go directly to prison but they do have to meet conditions in the community, set by the court. These conditions can last for up to two years. If the offender breaks these conditions, or commits another offence, they will usually have to serve the original sentence in prison. Victims: individuals who are subject to an incident punishable under criminal law. Witnesses: individuals or groups of people who observe an incident punishable under criminal law. A victim may also be a witness. Victims and witnesses can report an incident which following investigation can become a crime. Reporting of an incident by either group will depend on their participation in the event and their perception of the seriousness of the event. If a victim does not report an incident, but a witness does, the police will still investigate and record as a crime if appropriate. ## Directory Of Related Internet Websites On The Criminal Justice System The following list of web sites contains information in the form of publications and/or statistics relating to the criminal justice system that may be of interest. Justice, www.justice.gov.uk/. This site provides information on the organisations within the justice system, reports and data, and guidance:  Details of Ministry of Justice Statistical and Research publications, most of which can be viewed on-line, can be found at: www.justice.gov.uk/publications/statistics-and-data/index.htm For historic publications, see the links to 'earlier volumes in the series' (on Home Office site) on individual publication pages.  Information on the bodies within the justice system, such as HM Prison Service, the Youth Justice Board and HM Courts & Tribunals Service can be found at: www.justice.gov.uk/about/index.htm The Crown Prosecution Service, www.cps.gov.uk Gives information on the department and provides particulars in relation to legal guidance/victims and witnesses, in addition to details of publications. The Attorney General's Office, www.attorneygeneral.gov.uk Provides information on the role of the department including new releases; updates; reports; reviews and links to other law officer's departments and organisations. The Welsh Assembly Government, www.wales.gov.uk Gives information on all aspects of the Welsh Assembly together with details of publications and statistics. The Scottish Government, www.scotland.gov.uk Gives information on all aspects of the Scottish Executive together with details of publications and statistics. Criminal Justice System Northern Ireland, www.nidirect.gov.uk/justice Provides access to the main statutory agencies and organisations that make up the CJS together with details of publications. UK National Statistics Publication Hub, www.statistics.gov.uk This is the UK's home of official statistics, reflecting Britain's economy, population and society at national and local level. There are links to the Office for National Statistics and the UK Statistics Authority. The Sentencing Council, sentencingcouncil.judiciary.gov.uk/ The Sentencing Council is an independent, non-departmental public body of the Ministry of Justice and replaces the Sentencing Guidelines Council and the Sentencing Advisory Panel. The site contains information on: sentencing guidelines; general information on sentencing; and research and analysis undertaken by the Sentencing Council.	en
2218-pdf	## 1Stst Purpose of Meeting Permanent Secretary Month of Meeting Name of External Organisation October PWC Introduction meeting October Taxpayer Taxation issues October Mapeley Board to Board October Director Flame TV Programme on HMRC October Taxpayer Taxation issues October Taxpayer Taxation issues October James Eadie QC Taxpayer Confidentiality October BASDA Mobile bookkeeping app October Taxpayer Taxation issues November Cap Gemini IT matters November Taxpayer Taxation issues November Taxpayer Taxation issues November Cap Gemini IT issues November Taxpayer Taxation issues November Taxpayer Taxation issues November Alexis Lautenberg Former Swiss Ambassador in London November Taxpayer Taxation issues December PWC Taxation issues December Multiple tax agents Agents Steering Group December Taxpayer Taxation issues December Taxpayer Taxation issues December Karen Smith NAO feedback interview Does not normally include meetings with Government bodies such as other Government Departments and Agencies, non-departmental public	en
4801-pdf	# Proven Reoffending Statistics Quarterly Bulletin, October 2015 To December 2015 ## Main Points This bulletin provides key statistics on Proven Reoffending for adult and juvenile offenders who were released from custody, received a non-custodial conviction at court, or received a caution in the period October to December 2015. This is the first publication of proven reoffending statistics based on the new methodology, as announced in 'Response to consultation on changes to proven reoffending statistics' in April 2016 and previous publications. The main changes to the methodology are:  Changing to a three month cohort instead of the previous 12 month cohort. The publication reports on offenders who are released from custody, received a non-custodial conviction at court, or received a caution within a three month period, for all measures of reoffending, including for juveniles.  Production of adjusted reoffending rates for adults (alongside the raw rates), using the Offender Group Reconviction Scale (OGRS4/G) to take account of the influence that differences in offender mix can have on the binary reoffending rates.  A change from calendar year to financial year for annual figures. Annual figures are formed by taking a weighted average of the four preceding 3 month offender cohorts. Figures for the 2015/16 financial year will be published in January 2018. In addition the data source used to compile the statistics has changed from October 2015 following probation services reforms. For more information on the impact of these changes please see 'How the measure of proven reoffending has changed and the effect of these changes'. This bulletin, associated tables and data tools present the proportion of offenders who reoffend (proven reoffending rate) and the number of proven reoffences by offender history, demographics, individual prisons, probation area, local authorities and youth offending teams. For technical details and more information on how the measurement of proven reoffending has changed please refer to the accompanying guide to proven reoffending statistics. This bulletin also contains the number of Serious Further offences (Annex A). For any feedback related to the content of this publication, please let us know at Statistics.enquiries@justice.gsi.gov.uk ## How Is Proven Reoffending Measured? An offender enters the cohort if they are released from custody, received a non-custodial conviction at court or received a reprimand or warning in a three month period: October 2015 to December 2015. It is important to note that this is not comparable to previous proven reoffending publications which reported on a 12 month cohort. A proven reoffence is defined as any offence committed in a one year follow-up period that leads to a court conviction, caution, reprimand or warning in the one year follow-up or within a further six month waiting period to allow the offence to be proven in court as shown in the diagram below. The change from 12 month offender cohorts to 3 month offender cohorts' results in a greater proportion of prolific offenders and therefore an increase in the reoffending rate of around 4-5 percentage points for both adults and juveniles. The change in data source in October 2015 also introduces potential variability. Therefore users should be cautious when making any comparison between the October to December 2015 cohort and earlier cohorts. For further details on this, and how proven reoffending is measured, please see the guide to proven reoffending statistics and 'How the measure of proven reoffending has changed and the effect of these changes'. ## 1. Overall - Adult And Juvenile Offenders 29.6% Of Offenders In The October To December 2015 Cohort Reoffended Within A Year In October to December 2015 around 130,000 adult and juvenile offenders were cautioned1, received a non-custodial conviction at court or released from custody. Around 39,000 of these offenders committed a proven re-offence within a year. This gives an overall proven reoffending rate of 29.6%. Over time the overall proven reoffending rate has fluctuated around 29% to 32%. Around 148,000 proven reoffences were committed over the one year follow-up period, with those that reoffended committing, on average, 3.83 reoffences each. The average number of reoffences per reoffender has gradually increased since 2009 and is the highest since 2005. In the October to December 2015 cohort, 83% were male and 17% were female, a split that has changed little since 2005. Male offenders reoffended at a higher rate of 30.9% compared to female offenders who reoffended at a rate of 23.4%. Both rates have remained broadly stable since 2005. December and Q4 = January-March. ## 2. Adult Offenders 28.7% Of Adult Offenders In The October To December 2015 Cohort Reoffended Within A Year Adult offenders accounted for 93% (around 121,000) of the October to December 2015 cohort and juvenile offenders accounted for 7% (around 9,000)3. Around 35,000 of all adult offenders were proven to have committed a reoffence within a year, giving a proven reoffending rate of 28.7%. As noted previously there is a change in data source in October 2015 and therefore users should remain cautious when comparing the latest quarter with results from previous quarters. However, the adult reoffending rate has remained broadly flat since 2005 fluctuating between 28% and 31%. Around 132,000 proven reoffences were committed by adults over the one year follow-up period. Those that reoffended committed on average 3.82 reoffences each. Generally, offenders with a large number of previous offences have a higher rate of proven reoffending than those with fewer previous offences. In the cohort, the proven reoffending rates for adults ranged from 7.3% for offenders with no previous offences to 50.0% for offenders with 11 or more previous offences. Adult offenders with 11 or more previous offences made up 38% of all adult offenders in the cohort, but committed over 75% of all adult proven reoffences. ## 3. Adjusted Reoffending Rates When Controlling For Offender Characteristics 28.4% Of Adult Offenders In The October To December 2015 Cohort Reoffended Within A Year For the first time adjusted proven reoffending rates for adults are published, using the Offender Group Reconviction Scale (OGRS4/G). OGRS4 is based on a wellestablished, peer reviewed methodology for assessing and representing reoffending risk4. The raw rates have been adjusted to the 2011 calendar year, in line with the Payment by Result statistics. Between 2005 and 2011 the average OGRS score increased, but since 2011 it has remained broadly flat. This indicates that between 2005 and 2011 the cohort had an increasing propensity to reoffend, but since 2011 this has since levelled off. As a result the raw reoffending rate for adults are adjusted upwards between 2005 and 2011 reflecting the cohort having a greater propensity to reoffend. Since 2011 the raw rates and the adjusted rates have tracked each other more closely. For example, the raw reoffending rate for adults for the October to December 2015 period was 28.7%, but the adjusted rate was 28.4%. This suggests that while raw reoffending rates have remained broadly flat since 2005 the adjusted rates have shown a decreasing trend to reflect the greater propensity to reoffend of cohorts over this time. ## 4. Juvenile Offenders5 41.8% Of Juvenile Offenders In The October To December 2015 Cohort Reoffended Within One Year Around 9,000 juvenile offenders were cautioned, convicted or released from custody in the October to December 2015 cohort and around 4,000 of them committed a reoffence. This gives a proven reoffending rate of 41.8%. ## Since 2005, the reoffending rate has increased by around 3-4 percentage points, but the size of the cohort has fallen by around 80% over the same period. Around 15,000 proven reoffences were committed by juveniles over the one year follow-up period. Those that reoffended committed on average 3.88 reoffences each, the highest rate since 2005. Juvenile offenders with 11 or more previous offences had a higher reoffending rate than those with no previous offences –77.1% compared to 24.1%. Offenders aged 10 to 14 had the highest reoffending rate of any age group, with a reoffending rate of 42.3%. However, the number of offenders in this age group has fallen by around 85% since 2005. The reoffending rate for this age group overtook offenders aged 15 to 17 in 2013/14, who previously had a consistently higher reoffending rate but are now second highest. Figure 4 shows that the proven reoffending rate generally falls with increasing age. ## 5. Index Disposal6 - Adults Adults released from custody or starting court orders had a proven reoffending rate of 38.1% The index disposal of the offender is the type of sentence the offender received for their index offence. For Proven Reoffending Statistics this is defined as custody, court order, or other disposal resulting from a conviction at court, such as a fine or discharge, or caution. For adult offenders starting a court order (Community sentence or Suspended Sentence Order) the proven reoffending rate was 33.9%. The rate for this group has declined since 2005 by around 3-5 percentage points. The proven reoffending rate for adult offenders released from custody was 49.2%. The effect of changing data source in October 2015 is concentrated among offenders discharged from custody, particularly among the less than 12 months custodial sentence length group. This might be connected to the introduction of statutory supervision for this group and further investigation is ongoing. The rate for those released from short sentences has been consistently higher compared to those released from longer sentences. Adults who served sentences of less than 12 months reoffended at a rate of 65.5%, compared to 29.9% for those who served determinate sentences of 12 months or more. The trend for adults released from custodial sentences of 12 months or more has been decreasing since 2010. ## 6. Index Disposal - Juveniles ## Juvenile Offenders Given Youth Caution Had A Proven Reoffending Rate Of 30.4% The reoffending rate for juvenile offenders given a youth caution was 30.4%. This has remained broadly flat since 2013, but has increased by around 3-4 percentage points since 2005. Reprimands and warnings for youths were abolished under Legal Aid Sentencing and Punishment of Offenders Act 2012 with effect from 8 April 2013 and replaced with youth cautions. Youth cautions are a formal out-of-court disposal that can be used as an alternative to prosecution for juvenile offenders in certain circumstances. A Youth Caution may be given for any offence where the young offender admits an offence, there is sufficient evidence for a realistic prospect of conviction but it is not in the public interest to prosecute. Between October and December 2015, 231 juvenile offenders were released from custody and 150 of these (64.9%) were proven to have committed a reoffence within a year. This represents a fall of approximately 9-11 percentage points since 2005. ## 7. Index Offences In The October To December 2015 Cohort, Adult Offenders With An Index Offence Of 'Theft' Had The Highest Reoffending Rate At 50.8% The offence that leads to an offender being included in the offender cohort is called the index offence. In the October to December 2015 cohort, adult offenders with an index offence of 'Theft' had the highest proven reoffending rate of 50.8%. The second highest reoffending rate for adult offenders was for those with an index offence of 'Public Order' with a rate of 36.2%. With the exception of index offences recorded as 'Other', those with the lowest rate of reoffending in the adult cohort had an index offence of 'Fraud' - reoffending at a rate of 11.4%. Additionally, the 'Fraud' index offence category saw the largest decrease and those with an index offence of 'Violence against the Person' saw the biggest increase since 2005. In the juvenile cohort those with an index offence of 'Miscellaneous Crimes Against Society' had the highest proven reoffending rate at 54.2%, closely followed by those with an index offence of 'Public Order' at 50.0%. Those with the lowest rate had a 'Sexual' index offence and reoffended at a rate of 11.5%. ## 8. Annex A: Serious Further Offences This section provides management information on the total number of Serious Further Offences (SFOs) as collected from the SFO Review Process. This is an update to the information that was published in the annual proven reoffending publication, which was published on 27 October 2016 and covered the period 2014/15. Since 1 December 2008, an SFO review will be triggered when an offender is charged with an offence listed in Schedule 15a to the Criminal Justice Act 2003, alleged to have been committed within the probation supervision period or within 28 working days of the supervision period terminating. Mandatory SFO reviews are triggered in the following circumstances:  any eligible offender who has been charged with one of the most serious SFOs - murder, manslaughter, other offence causing death, rape, assault by penetration or a sexual offence against a child under 13 years (including attempted offences); and,  any eligible offender who has been charged with another offence on the SFO list and is or has been assessed as high/very high risk of serious harm during their current supervision period or has not been subject to a risk assessment during that period. A review may be carried out on a discretionary basis in the following circumstances:  Any eligible offender who has been charged with an offence, irrespective of whether that offence is a qualifying offence, and the National Offender Management Service (NOMS) and the supervising probation provider have identified public-interest reasons for conducting a review. Users should refer to the '2012 Compendium of Reoffending Statistics and Analysis' for further definitions of the terms used in this notice, and for commentary to help interpret these. Care must be taken when interpreting the figures in 2015/16, as a number of cases where offenders have been charged with a qualifying SFO have not concluded their course through the judicial system. The table in this statistical notice provides the numbers of SFO notifications under the Probation SFO Review Process which resulted in a conviction for a serious further offence between 2010/11 and 2015/16. The table reflects the number of offenders who received an SFO notification up to 2015/16 and who were subsequently convicted of an SFO, up to 15 September 2017. Some offenders are eventually convicted of offences lesser than the offences with which they were charged and which triggered the SFO notification. \| \| \| \| \| \|------------------------------------------\|---------------------------------\|-------------------------------------\|-----------\| \| Type of Offence \| 2010/11 2011/12 2012/13 2013/14 \| 2014/15 \| 2015/2016 \| \| 7 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Murder \| 50 \| 67 \| 50 \| \| \| \| \| \| \| Attempted Murder \| 12 \| 13 \| 16 \| \| \| \| \| \| \| Manslaughter \| 18 \| 15 \| 16 \| \| \| \| \| \| \| Rape/assault by penetration \| 103 \| 76 \| 90 \| \| \| \| \| \| \| Arson with Intent to endanger life \| 8 \| 8 \| 7 \| \| \| \| \| \| \| Kidnapping/Abduction/False imprisonment \| 2 \| 14 \| 16 \| \| \| \| \| \| \| Attempted Kidnapping/Abduction \| 0 \| 0 \| 0 \| \| \| \| \| \| \| Other serious sexual or violent offences \| \| \| \| \| 8 \| \| \| \| \| \| 67 \| 60 \| 74 \| \| \| \| \| \| \| All SFO convictions \| 260 \| 253 \| 269 \| \| \| \| Offences which did not meet the SFO \| \| \| criteria \| \| \| \| \| 9 \| \| \| \| \| \| 66 \| 55 \| 65 \| \| \| \| \| \| \| All Convictions \| 326 \| 308 \| 334 \| \| \| \| \| \| \| \| \| \| \| ## Further Information Accompanying Files As well as this bulletin, the following products are published as part of this release:  A technical guide to proven reoffending statistics providing information on how proven reoffending is measured, and the data sources used.  A set of overview tables, covering each section of this bulletin.  A number of data tools which provide proven reoffending data by demographics, offender history, individual prisons (available from January 2005 - September 2015) and probation area and geography. ## The Impact Of Community-Based Drug And Alcohol Treatment On Re-Offending This experimental statistical report contains initial findings from a project that has linked data from the National Drug Treatment Monitoring System (NDTMS) held by Public Health England (PHE) with data on offenders held by the Ministry of Justice (MoJ). The aim of this report is to improve the evidence base of the links between communitybased treatment for substance misuse and changes in reoffending. This report contains initial findings from analysing the final matched dataset to support policy development and is intended to demonstrate the potential utility in linking treatment and offending data. This is joint publication from Public Health England (PHE) and the Ministry of Justice (MoJ). ## National Statistics Status National Statistics status means that official statistics meet the highest standards of trustworthiness, quality and public value. All official statistics should comply with all aspects of the Code of Practice for Official Statistics. They are awarded National Statistics status following an assessment by the Authority's regulatory arm. The Authority considers whether the statistics meet the highest standards of Code compliance, including the value they add to public decisions and debate. It is the Ministry of Justice's responsibility to maintain compliance with the standards expected for National Statistics. If we become concerned about whether these statistics are still meeting the appropriate standards, we will discuss any concerns with the Authority promptly. National Statistics status can be removed at any point when the highest standards are not maintained, and reinstated when standards are restored. ## Contact Press enquiries should be directed to the Ministry of Justice press office: Tel: 020 3334 3536 Email: newsdesk@justice.gsi.gov.uk Other enquiries about these statistics should be directed to the Justice Statistics Analytical Services division of the Ministry of Justice: Nick Mavron, Head of Prison, Probation, Reoffending and PbR Statistics Ministry of Justice, 7th Floor, 102 Petty France, London, SW1H 9AJ Email: Statistics.enquiries@justice.gsi.gov.uk ## Next Update: January 2018 URL: www.gov.uk/government/collections/proven-reoffending-statistics ## © Crown Copyright Produced By The Ministry Of Justice Alternative formats are available on request from statistics.enquiries@justice.gsi.gov.uk	en
0301-pdf	\| \| Organisation Name \| Expression of Interest Start \| Contract Reference Number \| \|-----------------------------------------------------------------------\|-------------------------------------\|---------------------------------\|------------------------------\| \| Tender Title \| Description of goods \| \| \| \| Service within the council \| Contract Start Date \| Contract End Date \| Review Date \| \| Rochdale Metropolitan Borough Council \| 09/07/2018 DN351109 \| \| \| \| Boiler Servicing within various \| 391111 - Repair & Maintenance \| \| \| \| Rochdale - neighbourhoods \| 26/07/2018 \| 30/06/2020 \| 30/03/2020 \| \| \| \| \| \| \| \| \| \| \| \| Rochdale Metropolitan Borough Council \| 31/07/2018 DN356737 \| \| \| \| Rochdale Town Hall Development \| 100000 - Building Construction \| \| \| \| Rochdale - Resources \| 31/07/2018 \| 20/08/2018 \| 20/06/2018 \| \| \| \| \| \| \| \| \| \| \| \| Rochdale Metropolitan Borough Council \| 21/08/2018 DN361108 \| \| \| \| Weather Forecast Services \| 182100 - Weather Forecasts \| \| \| \| Rochdale - Neighbourhoods \| 01/10/2018 \| 30/04/2021 \| 30/01/2021 \| \| 270000 - Information Communication Rochdale - Neighbourhoods \| \| \| \| \| \| \| \| \| \| Rochdale Metropolitan Borough Council \| 28/08/2018 DN362160 \| \| \| \| Peripherals and Ad-Hoc IT Equipment Technology \| \| \| \| \| 01/10/2018 \| 30/09/2021 \| 30/06/2021 \| \| \| \| \| \| \| \| Rochdale Metropolitan Borough Council \| 03/09/2018 DN363129 \| \| \| \| Adverse Childhood Experiences Needs 151515 - Not Elsewhere Classified \| \| \| \| \| Rochdale - Childrens \| 01/10/2018 \| 31/01/2019 \| 31/10/2018 \| \| \| \| \| \| \| Rochdale Metropolitan Borough Council \| 03/09/2018 DN363118 \| \| \| \| MARKET EVENT: Social Transport \| 360000 - Public Transport, 401504 - \| \| \| \| Rochdale - Childrens \| 03/09/2018 \| 14/09/2018 \| 14/07/2018 \| \| \| \| \| \| \| Rochdale Metropolitan Borough Council \| 14/09/2018 DN365870 \| \| \| \| The Provision of Children Rights, \| 401501 - Support Services & \| \| \| \| Rochdale - Childrens \| 01/04/2019 \| 31/03/2021 \| 31/12/2020 \| \| Rochdale Metropolitan Borough Council \| 14/09/2018 DN365913 \| \| \| \| Architectural Lighting \| \| \| \| \| Rochdale - Neighbourhoods \| 25/11/2018 \| 31/03/2019 \| 31/12/2018 \| \| \| \| \| \| \| Rochdale Metropolitan Borough Council \| 17/09/2018 DN365459 \| \| \| \| Security Manned Guarding at Number 192200 - Security \| \| \| \| \| Rochdale - Resources \| 10/12/2018 \| 29/02/2020 \| 29/11/2019 \| ## 401007 - Voluntary Sector Support \| Provision of Voluntary and \| Services e.g. Activities, 401001 \| \|---------------------------------------\|-------------------------------------\| \| Community Sector Infrastructure \| Community Based Services, 321100 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Support Service for the Borough of \| Social Community Care Supplies & \| \| Rochdale Metropolitan Borough Council \| 19/09/2018 DN364631 \| \| Rochdale \| Services - Children \| \| Rochdale - Neighbourhoods \| 01/01/2019 \|	en
3094-pdf	Purpose: HMRC Tax Transparency Sector Board Venue: 100 Parliament Street London SW1A 2BQ Date / Time: Monday 25th February 2013 ‐ 2‐4pm Attendees: Apologies: Edward Troup Narmada de Silva Dyfed Alsop Judith Jones Peter Cummings Peter Fanning Professor Paul Boyle HMRC Jonathan Athow ‐ HMRC ‐ Knowledge, Analysis and Intelligence (KAI) Mike Hawkins ‐ HMRC ‐ Knowledge, Analysis and Intelligence (KAI) Cindy Bell – HMRC ‐ Central Policy Adrian Ball‐ HMRC ‐ Security and Information Alec Waterhouse – HMRC ‐ Personal Tax Bill Elmore – HMRC ‐ KAI Data Policy & Co‐ordination Daniele Bega – HMRC ‐ KAI Data Policy & Co‐ordination Ian Parfitt – HMRC ‐ KAI Data Policy & Co‐ordination James Templeton – HMRC ‐ Business Customer and Strategy Executive agencies Colin Yeend ‐ Valuation Office Agency (VOA) Melanie Bond ‐ Valuation Office Agency (VOA) Other Government Departments Ed Parkes ‐ Cabinet Office (CO) Academia Fiona Armstrong ‐ Economic & Social Research Council (ESRC) External representatives Johanna Edwards – Equifax (EQU) Chris Taggart – Opencorporates (OC) Jonathan Shaw ‐ Institute for Fiscal Studies (IFS) Keith Dugmore ‐ Demographics User Group (DUG) Dominique Lazanski ‐ Taxpayers Alliance (TPA) Rory Meakin ‐ Taxpayers Alliance (TPA) Richard Baron ‐ Institute of Directors (IOD) 1. Welcome and introductions (Jonathan Athow ‐ HMRC ‐ Knowledge, Analysis and Intelligence) - Jonathan welcomed everyone to the second meeting of the HMRC Tax Transparency Sector Board. - He thanked everyone for taking the time to be part of this board once more. 2. Action Points (Ian Parfitt ‐ HMRC ‐ Knowledge, Analysis and Intelligence) - AP1 ‐ 17.12.13 To be discussed at item 6 on the agenda - AP2 ‐ 17.12.13 Closed: Chris Taggart had accepted invitation to Transparency Sector Board in addition to Public Sector Transparency Board and was present at meeting. - AP3 ‐ 17.12.13 The British Retail Consortium (BRC) had declined to attend previously, due to a change of Director General but Ian will ask again. Ian will invite the Confederation of British Industry (CBI) to the May event. - AP4 ‐ 17.12.13 Action point carried forward, as Peter Fanning was not available 3. Update on HMRC's initiatives (Daniele Bega ‐ HMRC ‐ Knowledge, Analysis and Intelligence) - Tax Administration Research Centre (TARC) In January 2013, HMRC and HMT established a Tax Administration Research Centre, jointly funded with the Economic and Social Research Council (ESRC). The Centre is led by Professor Gareth Myles from Exeter University, working in partnership with the IFS and a number of UK and International Academic Institutions The aim of the Centre is to support high quality research and related activities on tax administration with a view to strengthening our understanding of the delivery and design of tax operations and policies. The centre represents a new approach to research on tax administration, addressing taxation policy and operational challenges, and is designed to build upon current UK research strengths and complement existing centres of expertise. - Open Data Written Ministerial Statements The Open Data White Paper (June 2012) committed the Cabinet Office to lay before Parliament a quarterly Written Ministerial Statement on progress against the Public Data Principles on behalf of all departments. A self assessment approach is taken for gathering the information from Departments and additionally, allowed departments to highlight areas where there had been innovative or forward thinking. Departments populate a template with published commitments that should have been made publically available before the end of the reporting quarter. Additionally, they will allocate a rating of 'met' or 'not met' based on the date/period of the latest core departmental published data available on data.gov.uk against the date/period of the data that should have been the latest data publically available on data.gov.uk. Report for 2012 Q3 shows HMRC has met all of its commitments, bar one. The exception has been remedied. HMRC will ensure this continues to be closely monitored. Ed Parkes will advise Minister on how/when to publish summary report. - Engagement with Open Data Institute (ODI) In the Open Data Strategy, HMRC has made a commitment to engage with software developers to explore innovative ways for using their information. HMRC are currently holding some discussions with the Open Data Institute to investigate the possibility to take part in one of their programmes of engagement with software developers. From a legal point of view, HMRC are not able to make individual taxpayers data available, but there might be some information that could be released as open data such as: ‐ Tax calendar for tax agents (dates of reminders) ‐ Some UK trade statistics ‐ Transparency stats Opencorporates is involved in the work of the ODI and welcomed HMRC's engagement with this organisation. Chris pointed out that there is a need to define 'taxpayer' information to be able to assess what information can be used in the ODI programmes. Various commercial organizations make 'taxpayer' information available, such as Companies House. Cindy pointed out that any person or legal entity must be protected as HMRC have a duty of confidentiality and will not be able to release information even if it is made available by an external organisation. ## 4. Data Requests From The Open Data User Group (Ed Parkes ‐ Cabinet Office (Co)) - Background The Open Data User Group (ODUG) began a call for open data users to request data from Government in October 2012. This is hosted as a request form on Data.gov.uk. Any member of the public is able to put a request in for a dataset they would like to see released as Open Data. Requesters are asked to complete as much information as they have available on the data they are requesting. The request is then published on Data.gov.uk although they also have the ability to make a request confidentially. These requests are initially analysed by the Cabinet Office Transparency Team and those which are identified as being of most value or which are likely to involve negotiations relating to building a more detailed case for release are referred on to the Open Data User Group for consideration. Where cases are seen as being relatively straightforward these are referred by the Transparency Team departmental account manager straight to working level contacts in Departments to investigate whether the data can be released. - Requests for HMRC data There have so far been eight requests received through this process that have been identified as relating to HMRC held data. Those six requests which have been submitted publicly are for: a. CHIEF database(Customs Handling of Import and Export Freight ‐ the computer system for processing customs declarations) b. Anonymised dataset of UK taxpayers c. VOA business listings d. Small area wealth or income data e. Companies Tax Records f. The London Rent Map Raw Data A number of these are being pursued at a working level and one has been raised to the Data Strategy Board. Considerations for the Board The board was asked: a. to give their thoughts on the content of these requests to inform the prioritisation of the work that HMRC is undertaking to understand whether the data can be released; and b. to consider how they would like to remain updated on an ongoing basis in terms of new requests that come in via this process. Board members suggested, and others agreed, that the general presumption should be to publish available information, rather than having the default setting as restricting the majority of data from publication. HMRC commented that it supported release within the existing legislation that governs the department (Commissioners for Revenue and Customs Act) and taking into account HMRC's business needs. It was noted that while Data Protection Act covers information about living natural persons, the Human Rights Act covers information about non‐natural persons and bodies (eg companies, partnerships, trusts). In discussion of CHIEF database, it was observed that not many people are aware of CHIEF and that it is difficult for non‐government people to understand government systems/data. Release of CHIEF data, as for example in US, would help with understanding of Import / Exports, Sourcing and Supply Chains and how these have changed over time. It was observed that import data is already published and sold and that ICO opinion was that the same data protection issues apply whether data are sold or given away. HMRC confirmed that the Department packages and sell companies reports based on their own data, but, due to the legislation, it does not release information on third parties in CHIEF. Trade Info publishes importers' details for free but not exporters' ‐ this derived from EU Legislation which provided an appropriate legal gateway. HMRC undertook to provide more information on the legal gateway used to publish importers data and on the CHIEF reports. (Links below for information) Disclosure of information as to imports : http://www.legislation.gov.uk/ukpga/1988/39/section/8 HMRC on CHIEF : http://customs.hmrc.gov.uk/CHIEF (AP5 25.02.13) To aid general understanding of HMRC data holdings, it was requested that more information be made available on HMRC datasets held and their contents. This might help others to articulate their requirements for HMRC data. HMRC indicated they had tried to address this through a Transparency Data Catalogue, listing the majority of datasets held by the Department, that is available on the HMRC website: http://www.hmrc.gov.uk/transparency/implementation‐plan‐catalogue.xls There was discussion about how to process requests from ODUG efficiently and the need to prioritise what is discussed at Board meetings. Some of the requests presented were very general and it was unclear how best to respond to these. There was general agreement that it would be helpful for Board members to see a listing of ODUG proposals a week before each Board meeting, to give them proper consideration and be prepared for discussion at the Board meeting. Cabinet Office undertook to talk to the Open Data User Group (ODUG) on how to proceed. We need to explain why certain datasets won't be made public and log postings on Data.gov.uk. (AP6 25.02.13) 5. VAT Register Requests (James Templeton – HMRC ‐ Business Customer and Strategy) James listed a number of positive reasons for the publication of the VAT Register : - It includes details of business proprietors alongside details of business and when it (de)‐ registered for VAT - Potential improvements in credit scores, especially for VAT‐registered businesses which are unincorporated - Fraud reduction potential - Anti money laundering (must know customer) potential But there is a need to understand fully what the benefits are and to this end, the next stage is to carry out a research project to do just that. This will need to look at and provide a robust assessment of how the data will be used, what change in outcomes will arise and what the scale of benefits might be taking account of any displacement effects. Conversely, there are also complex legal and policy issues to investigate in order to inform advice to the Board and Ministers, include the following: - Taxpayer confidentiality under CRCA - Personal data issues under DPA - Fit with HMRC data strategy given it would be setting a precedent - VAT fraud risks - Different disclosure options (eg full vs redacted) - Should there be a consent option i.e. opting in or out. If this is to go forward, it will also need legislation and to go through parliamentary processes. So, Phase 2 will be to look at viable options and bottom out the legal issues, over the coming months. Board members agreed that clarity on societal benefits was important. Data sharing should also make it easier to spot existing fraud. Other considerations include risks to individuals / directors from publishing individual data, limiting availability to certain organizations and risking enriching them at expense of others etc. 6. Tax Transparency Sector Board Work Plan (Daniele Bega ‐ HMRC ‐ Knowledge, Analysis and Intelligence) HMRC has collated the initial list of requests received from Board members at the first meeting of the Tax Transparency Sector Board in December. Daniele Bega asked the group about the best way forward to define a work plan for the sector board. In discussion it was agreed that the key considerations when prioritizing should be the legality, the effectiveness and efficiency of assembling the data and benefits that might arise from the data release. Thought would need to be given to suitable scoring criteria. Equally, it was suggested the descriptions provided in the HMRC list should be sharpened to make the requests more specific requests so that they could be evaluated more thoroughly. On available information, HMRC thought the most promising areas could be small area stats, VOA data and CHIEF. HMRC work plan might focus on these three areas subject to the outcome of an agreed action that everyone would review the list of requests for HMRC and clarify requirements. (AP7 25.02.13) It was noted that it would be helpful for the group to have information on the legal issues for HMRC. HMRC undertook to provide a one page on the legal issues around HMRC Data for next time. (AP8 25.02.13) Mention was made of impending changes to the Data Protection Act that arise from new EU General Data Protection Regulation. This may affect scope/feasibility of proposals the Board considers. There was discussion of an observation that Companies House had proposals to publish data from XBRL submissions. Of particular interest would be to understand the difference between what companies publish in accounts and what they return for tax purposes. HMRC undertook to consult Companies House on the information they plan to publish from XBRL submissions and timing for publication (AP9 25.02.13). 7. Summary and AOB Next meeting : Monday 10th May 2013 (10:30 to 12:30pm) 100 Parliament Street London SW1A 2BQ (Room G16)	en
0456-pdf	## Covid Alert Levels Steps Of Adjustment To Current Social Distancing Measures We can help control the virus if we all stay alert ## Mobility (Uk) Apple Maps Directions Requests Data 01 March to 16 May 2020 Source: Apple mobility data. Opinions and Lifestyle Survey, Office for National Statistics. Data not available for 11/12 May. Further details on data sources can be found here: https://www.gov.uk/government/collections/slides-and-datasets-toaccompany-coronavirus-press-conferences ## Opinions And Lifestyle Survey 24 April to 3 May 2020 ## Testing And New Cases (Uk) Testing Some people are tested more than once. tests as of 18 May tests in total ## Confirmed Cases Only includes cases tested positive. There are more cases than confirmed here. cases confirmed as of 18 May Source: NHS England and devolved administrations. Further details on data sources can be found here: https://www.gov.uk/government/collections/slides-and-datasetsto-accompany-coronavirus-press-conferences ## Data From Hospitals Source: NHS England and devolved administrations. Further details on data sources can be found here: https://www.gov.uk/government/collections/slides-and-datasetsto-accompany-coronavirus-press-conferences ## People In Hospital With Covid-19 (Uk) 9,408 people are in hospital with COVID-19 in Great Britain, down from 10,762 this time last week. Due to technical difficulties hospitalisation data for 16 May is missing from the Northern Ireland return. Source: NHS England and devolved administrations. Further details on data sources can be found here: https://www.gov.uk/government/collections/slides-anddatasets-to-accompany-coronavirus-press-conferences ## Daily Covid-19 Deaths Confirmed With A Positive Test (Uk) The numbers presented here from the Department for Health and Social Care relate to deaths where COVID-19 was confirmed with a positive test. Weekly registered deaths from the Office for National Statistics include cases where COVID-19 is mentioned on the death certificate but was not confirmed with a test. On 1st May, ONS reported 36,591 cumulative registered deaths from COVID-19. This was 9,082 more than the DHSC figure for the same date. Source: DHSC, sourced from NHSE, PHE, devolved administrations. Further details on data sources can be found here: https://www.gov.uk/government/collections/slides-and-datasets-toaccompany-coronavirus-press-conferences ## Annex: Statistical Notes Mobility Apple directions requests: The insights are drawn from changes from a relative volume of directions requests per country/region or city compared to a baseline volume on January 13th, 2020. Data were not available for the 11/12 May for any location. This data only includes journeys searched for using Apple Maps, and therefore does not include users searching through alternative journey planners. In many countries relative volume has increased since January 13th, consistent with normal, seasonal usage of Apple Maps. Insights are calculated based on data from a subset of users. As with all samples, this may or may not represent the exact behavior of a wider population and the results should be interpreted with caution. Opinion and lifestyle survey: Information on the survey can be found here. Employed adults are those employed or self- employed; doing casual work for payment; or doing unpaid/voluntary work in the previous week. The 2019 estimate of people working from home is taken from the Annual Population Survey, and is not directly comparable to the Opinions and Lifestyle survey estimate. Testing and new cases (UK) Tests: The number of tests includes; (i) tests processed through our labs, and (ii) tests sent to individuals at home or to satellite testing locations. Cases: Cases are reported when lab tests are completed. This may be a few days after initial testing. Chart date corresponds to the date tests were reported as of the 24 hours before 9am that day. Only includes cases tested positive. There are more cases than confirmed here. Data from hospitals Estimated daily admissions with COVID-19 (England): England data captures people admitted to hospital who already had a confirmed COVID-19 status at point of admission, and adds those who tested positive in the previous 24 hours whilst in hospital. Inpatients diagnosed with COVID-19 after admission are assumed to have been admitted on the day prior to their diagnosis. Critical care beds (UK): Different health systems collect this data differently. In England critical care beds count high dependency units / intensive therapy units beds as critical care beds and this includes the surge capacity which has been introduced in recent weeks. In Wales critical care beds are taken to be invasive ventilation beds including new surge capacity. In Scotland critical care beds include ICU beds and additional surge capacity. In Northern Ireland critical care beds includes all ICU beds. People in hospital with COVID-19 (UK) Community hospitals are included in figures for Wales from 23 April onwards. England and Scottish data includes 'confirmed' cases, Northern Ireland and Welsh data includes 'confirmed' and 'suspected' cases. Due to the way Northern Ireland report, the UK figure is calculated by taking the most recent day for Great Britain plus the previous day for Northern Ireland. National data may not be directly comparable as data about COVID-19 patients in hospitals is collected differently across nations. Due to technical difficulties hospitalisation data for 16 May is missing from the Northern Ireland return. Daily COVID-19 deaths confirmed with a positive test (UK) Figures on deaths relate to those who have tested positive for COVID-19. The 7-day rolling average (mean) of daily deaths is plotted on the last day of each seven day period.	en
2990-pdf	# National Habitat Network Maps # User Guidance V.2 May 2020 Natural England # National Habitat Network Maps ## User Guidance V.2 \| Contents \| \| \| \| \| \| Page \| \|------------------------------------------------\|----------------------------------\|-----\|-----\|-----\|-----\|---------------\| \| 1 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Introduction \| \| \| \| \| \| \| \| 2 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Individual Habitat Network Maps \| \| \| \| 4 \| \| \| \| 3 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Combined Habitat Networks Map \| \| \| \| 9 \| \| \| \| 4 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Grouped Habitat Networks Maps \| \| \| \| 10 \| \| \| \| 5 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Woodlands, Open Waters and Coastal Habitats \| \| \| \| 11 \| \| \| \| 5.1 Woodland Habitats \| \| \| \| \| 11 \| \| \| 5.2 Lakes and Rivers \| \| \| \| \| \| 12 \| \| 5.3 Coastal Habitats \| \| \| \| \| \| 15 \| \| 6 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Relationship to the Nature Network Handbook \| \| 16 \| \| \| \| \| \| 7 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Further Information/Frequently Asked Questions \| \| 18 \| \| \| \| \| \| 7.1 Habitat data used \| \| \| \| \| 18 \| \| \| \| \| \| \| \| \| \| \| 7.2 Habitat network tool & approach \| \| \| \| 21 \| \| \| \| \| Annex 1 - Additional Information \| \| \| \| 28 \| \| Citation: Cover Photo: ©26429/Natural England/Chris Gomersall, 1990 ## 1. Introduction Making Space for Nature, A review of England's Wildlife Sites and Ecological Network1, published 2010, set out the essence of what needs to be done to enhance the resilience and coherence of England's ecological networks. The report proposed that this could be summarised in four key words: more, bigger, better and joined. Theresa Villiers (Secretary of State for Environment, Food and Rural Affairs) speech2 on the Environment Bill stated that this will "require the preparation and publication of Local Nature Recovery Strategies mapping nature-rich habitats so that investment can be targeted where it will make the most difference. The Government will provide data, guidance, and support, but these local plans will embrace local knowledge to strengthen links between neighbouring communities and support the wider Network. These provisions will play a crucial role in protecting what we have and restoring nature that is in decline". The Government's 25 Year Environment Plan3 includes provision for a Nature Recovery Network (NRN) and states that it will deliver on the recommendations of the Lawton Report1 and that recovering wildlife will require more habitat; in better condition; in bigger patches that are more closely connected. As well as helping wildlife thrive, the NRN could be designed to bring a wide range of additional benefits: greater public enjoyment; pollination; carbon capture; water quality improvements and flood management. We have produced a series of habitat network maps to help address the challenges outlined in the Lawton report1 and believe they should provide a useful baseline for the development of a NRN as required within the 25 Year Environment Plan and Local Nature Recovery Strategies as proposed within the Environment Bill. This guidance provides an outline of the methodology we have used in the development of these habitat network maps and how we have combined these maps to create a combined habitat networks map for England4. ENRR081 'Nature Network Evidence Handbook - Creating Nature Networks for Wildlife & People'5 identifies these habitat network maps as a valuable tool for use in the development of local ecological networks (see Section 5 of this guidance for more information). The habitat network maps are intended to be used to help identify areas for future habitat creation and restoration at a landscape scale but need to be considered alongside other local datasets and knowledge. The maps have been created by the Habitat Networks Mapping Project Team consisting of Jeff Edwards, Michael Knight, Sarah Taylor & Ian Crosher with support and guidance from a range of Natural England Habitat Specialists including; Ruth Hall, Chris Mainstone, Richard Jefferson, Sue Reece, Emma Goldberg, Suzanne Perry, Iain Diack and many others. For further information on the approach and use of the maps please contact either: Jeff Edwards or Michael Knight. The main outputs available are;  23 individual Habitat Network Maps  A combined habitat networks map (23 individual habitat network maps combined).  A series of grouped habitat network maps6 We created these maps to provide a national overview of the distribution of habitat networks with suggestions for future action to enhance biodiversity. We hope that these maps will help to stimulate local engagement with partners and to agree local priorities and identify where action might help build more ecologically resilient ecosystems across landscapes. Although the maps cover the whole of England the information we have used can be interpreted at a local scale. The habitat network maps have been created using a bespoke GIS tool that follows a standard process as outlined in Sections 2 to 4. For some habitats the process has been modified as outlined in Section 5. Further information on the methodology is also provided in Section 7. The current maps are a product of the data input and manipulation parameters used within our tool both of which may be amended to suit specific local situations. As such the maps should not be considered as NE's definitive advice on where an ecological network or NRN should be created or specifically where action needs to take place but we hope that they may act as a guide for local consideration taking full account of local opportunities and constraints. We suggest that the maps are used in conjunction with other datasets and with local knowledge to identify opportunities for action. If more precise local data exists it may be possible to re-run the mapping analysis to incorporate this7. These maps look specifically at habitat creation and restoration in the vicinity of existing habitat and are not designed to reflect the potential for naturally occurring ecosystems across landscapes, particularly in respect of natural hydrology as outline in Section 6 and more detailed explanation of the biodiversity importance of natural ecosystem function can be found in NERR 071 'Generating more integrated biodiversity objectives'. The individual habitat network maps can be viewed individually or in combination with other network maps. However each individual habitat map may have a degree of overlap with other habitat network maps and to overcome the difficulties interpreting multiple maps we have prepared a single map that combines all 23 individual habitat network maps which we feel should help facilitate interpretation and understanding of how the networks operate together (see Section 3). However with such a large number of network maps this combined map may not provide sufficient information to help guide a local project in terms of action to deliver against a specific objective. For this reason we will also be creating a set of grouped habitat network maps (see Section 4). Accessing the Maps  The combined map is available externally on MAGIC and both the combined map and all the individual network maps as GIS files from Here .  Please contact NE data services for any other mapping product. Note: When accessing the GIS files we use 3 letter codes for each habitat, see Annex 1 for more details.  For NE staff the map is available internally on WebMap2. A separate guide for WebMap2 users is available here. ## 2. Individual Habitat Network Maps In this section we provide some details on the different components of the individual networks maps which we hope will help you better understand what the maps are showing and how they can be used. Further information on aspects of the maps may be found within Section 7 of this document. We have prepared an individual habitat network map for each of the following 23 priority habitats: Priority habitats  Upland calcareous grassland  Blanket bog  Lowland calcareous grassland  Limestone pavements  Reedbeds  Coastal sand dunes  Lowland meadows  Coastal vegetated shingle  Upland hay meadows  Maritime cliff and slope  Purple moor grass and rush pasture  Saltmarsh  Lowland dry acid grassland  Lakes  Lowland heathland  Rivers  Upland heathland  Ancient woodland  Upland fens, flushes & swamps  Wood-pasture & parkland  Lowland fens  Traditional orchards (draft map)  Lowland raised bog ## Notes:  We have created a grouped coastal habitat network map for coastal habitats (see section 4 and 5 for more information)  We have not produced a habitat network map for some priority habitats, e.g. coastal floodplain grazing marsh, and the reasons for this are explained in Section 7. ## Mapping Components We Have Developed A Standard Process For Creating The Individual Habitat Network Map Which Include Using The Following 8 Standard Mapping Components As Shown In Figure 1 And Figure 2. The Mapping Components Are Divided Into (A) 'Existing Habitat' And (B) 'Network Enhancement & Expansion' As Outlined Below. A) Existing Habitat - We Mapped Existing Habitat Using The Following Four Components: (See Figure 1) 1. Primary Habitat: The priority habitat 8which is the focus of the individual habitat network e.g. lowland heathland. 2. Associated Habitat: Other priority habitat types that form a mosaic or an ecologically coherent group within the landscape and may, for example, be essential for some species associated with the primary habitat. See Annex 1 for more information. 3. Habitat Creation/Restoration: Areas where work is underway to either create or restore the primary habitat. 4. Restorable Habitat: Areas of land, predominantly composed of existing semi-natural habitat where the primary habitat is present in a degraded or fragmented form and which are likely to be suitable for restoration. B) Network Enhancement & Expansion - We have mapped the following 4 network zones around the habitat components described above (see Figure 2): 5. Network Enhancement Zone 1: Land connecting existing patches of primary and associated habitats which is likely to be suitable for creation of the primary habitat. Factors affecting suitability include: proximity to primary habitat, land use (urban/rural), soil type, slope and proximity to coast. Action in this zone to expand and join up existing habitat patches and improve the connections between them can be targeted here. 6. Network Enhancement Zone 2: Land connecting existing patches of primary and associated habitats which is less likely to be suitable for creation of the primary habitat. Action in this zone that improves the biodiversity value through land management changes and/or green infrastructure provision can be targeted here. 7. Fragmentation Action Zone: Land within Enhancement Zone 1 that connects existing patches of primary and associated habitats which are currently highly fragmented and where fragmentation could be reduced by habitat creation. Action in this zone to address the most fragmented areas of habitat can be targeted here. 8. Network Expansion Zone: Land beyond the Network Enhancement Zones with potential for expanding, linking/joining networks across the landscape i.e. conditions such as soils are potentially suitable for habitat creation for the specific habitat in addition to Enhancement Zone 1. Action in this zone to improve connections between existing habitat networks can be targeted here. We have modified our standard process for some habitat network maps and Table 1 below provides a list of which components have been used in each map. More information is given in Sections 5 in relation to the Network Maps for Ancient Woodlands, Wood-pasture & parklands, Lakes and Rivers. \| Habitat Components \| Mapping Zones \| \|-----------------------------------\|------------------\| \| Habitats Network Maps \| \| \| Code \| \| \| Zone 1 \| Zone 2 \| \| Habitat \| Habitat \| \| Habitats \| \| \| Network \| Network \| \| Creation / \| \| \| Associated \| Restorable \| \| Habitat Mapping \| \| \| Restoration \| \| \| Action Zone \| \| \| Enhancement \| Enhancement \| \| Fragmentation \| \| \| Expansion Zone \| \| \| Primary Habitat \| \| \| Upland calcareous grassland \| \| \| UCG \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \| Lowland calcareous grassland \| \| \| LCG \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \| Reedbeds \| \| \| RDB \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \| Lowland meadows \| \| \| LMW \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \| Upland hay meadows \| \| \| UHM \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \| Purple moorgrass and rush pasture \| \| \| PMG \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \| Lowland dry acid grassland \| \| \| LAG \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \| Lowland heathland \| \| \| LHL \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \| Upland heathland \| \| \| UHL \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \| Upland fens, flushes & swamps \| \| \| UFS \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \| \| \| \| Lowland fens \| \| \| LFN \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \| Lowland raised bog \| \| \| 4 \| \| \| LRG \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \| Blanket bog \| \| \| 4 \| \| \| \| \| \| BBG \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \| Limestone pavements \| \| \| 4 \| \| \| \| \| \| LSP \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \| \| \| \| Coastal sand dunes \| \| \| CSD \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \| Coastal vegetated shingle \| \| \| CVS \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \| Maritime cliff and slope \| \| \| MCS \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \| \| \| \| Saltmarsh \| \| \| CSM \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \| Lakes \| \| \| 4 \| \| \| \| \| \| LAK \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \| \| \| \|  \| \| \| \| \| \| \| \| \|  \| \| \| \| \| \| \| \| \| Rivers \| \| \| 4 \| \| \| \| \| \| RIV \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \| \| \| \|  \| \| \| 1 \| \| \| \| \| \| \| \| \|  \| \| \| \| \| \| \| \| \| Ancient woodland \| \| \| 4 \| \| \| \| \| \| ASNW \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| 2 \| \| \| \| \| \|  \| \| \| \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \| \| \| \| Wood-pasture & parkland \| \| \| 4 \| \| \| \| \| \| WWP \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \| Traditional orchards \| \| \| TRO \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| 3 \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \|  \| \| \| \| \| \| \| \| = Not included within Map 1 = see Section 2.3 for more information 2 = it is hoped that information on deciduous woodland creation & restoration will be added within the next update to the maps. 3 = AES data for this habitat has not been included but we hope to include this within the next update to the maps 4 See Section 4 for more information The aim of the habitat network maps is to help identify possible locations for actions to improve ecological resilience of the current habitat network in line with Lawton principles 'more, bigger, better and joined'. The zones for potential action are illustrated in Figure 2 above and include;  Decreasing habitat fragmentation - we believe that reducing habitat fragmentation is a priority for action within the Enhancement Zone. The Fragmentation Action Zone, as identified on the habitat network maps, should be considered as a priority location for addressing this. We identify these by analysing; a) locations where smaller patches of the primary and associated habitats could be expanded to increase the patch size of the habitat or join up with other areas of habitat, and b) locations where the habitat patch has a large boundary to patch size ratio. By identifying this, we seek to address potential adverse effects from adjoining land - known as the 'edge effect'. In these locations adjoining semi-habitat that is not mapped e.g. scrub or rough grassland, may currently be of ecological benefit and the habitat patch may therefore already be buffered against edge-effects.  Increase the extent of habitat - we believe that the primary aim should be to deliver more priority habitat within Network Enhancement Zone 1 particularly to create bigger and better joined habitat patches but also that creating other semi-natural habitats or improving land management to increase landscape permeability would also be beneficial within both Network Enhancement Zones.  Restoring degraded habitat - we have identified areas of 'Restorable Habitat' on the maps using data derived from a range of sources that suggest there is potential to restore the site to a primary habitat type. In some cases this may involve converting an existing semi-natural habitat type of some biodiversity value to one or more e.g. mosaic, which are more ecologically appropriate to the landscape/ecosystem. Care is required to ensure that the action proposed results in an appropriate net biodiversity gain. The Nature Networks Handbook provides further advice in relation to considering the restoration of more naturally functioning habitat mosaics using local knowledge to understand local issues.  Expanding, linking & joining the networks - we have created the Expansion Zone as we recognise that the boundary for each habitat Network Enhancement Zone is drawn around the 4 habitat components it means that, at a landscape scale, these clusters of habitat, surrounded by their Network Enhancement Zone, can fall into a number of discrete but separated clusters. The spatial configuration of each network cluster depends upon the presence of the habitat, which itself is based on the landscape physical conditions e.g. geology, soils, hydrology, altitude etc. and, most importantly, the extent of habitat loss. The 'Network Expansion Zone' identifies potential locations to consider improving the links and joins and reduce fragmentation at a wider landscape scale. ## 3. Combined Habitat Networks Map We have combined all 23 individual habitat network maps into a 'Combined Habitat Networks Map', (see Figure 3) as we recognised that, in many cases, to identify potential opportunities and to gain a fuller picture across a landscape, it is best to consider a wider mosaic of habitats rather than just focussing on a single priority habitat. The combined habitat networks map includes some additional habitat information not included in the individual habitat maps but excludes some of the details found within the individual habitat maps. Below is a list of some of the key issues that we believe need to be understood when using this combined map.  Associated habitats - these are not identified on the combined map as the vast majority of habitats listed as associated habitat on the individual habitat network maps will be identified on the combined map as a primary habitat. Any associated habitat that does not have an individual habitat network map plus all other priority habitat is shown on the combined map as 'PHI_Other'.  Restorable habitats - In order to keep the processing of these maps as efficient as possible it means that the GIS process we have used to create the combined map does not allow us to specify which habitat this relates to. Some data used to identify restorable habitats e.g. 'semi-improved species rich grassland' may be used in a number of grasslands network maps as it is not possible to be specific as to the type of grassland. In addition Plantations on Ancient Woodland Sites (PAWS) have ]also been classed as restorable but it is not possible for these to be identified.  Network Enhancement Zones and the Network Expansion Zone are not specific to a particular habitat  Other priority habitat - Any additional priority habitat, including deciduous woodland, not included within any individual habitat network map is shown on the combined habitat networks map where this occurs within the Enhancement Zone 1.  SSSIs - The combined habitat networks map also incorporates the areas of SSSIs that sit outside any of the mapped habitat components (Section 2A & Figure 1) of the individual habitat networks. For this map we only identify the land that is designated not the habitat type. For coastal habitats this may extend into estuaries e.g. the Wash.  Wood-pasture & Parkland - As Wood-pasture and Parkland is often found on sites also identified as another habitat e.g. lowland meadows or lowland heathland, it has not been possible to identify and annotate the combined map to show the areas of overlap. Where this habitat is likely to be of interest it is important to use the individual woodpasture and parkland habitat network map to compliment the combined habitat networks map. ## Note: We Advise That If The Combined Habitat Networks Map Appears Not To Identify Important Aspects Relating To A Specific Habitat That The Relevant Individual Habitat Network Map Should Be Used. 4. Grouped Habitat Networks Maps We intend to create some examples of grouped habitat network maps that we believe may be more meaningful in particular locations depending on the local objective and to better account for how such habitats occur naturally in landscapes. The current example groupings we are considering are;  Coastal Habitats - saltmarsh, sand dunes, shingle and maritime cliff and slope9  Lowland Grasslands - lowland meadows, lowland calcareous grassland, lowland acid grassland and upland hay meadows  Lowland Wetland - lowland fen, lowland raised bog and reedbed  Upland Habitats - blanket bog, upland heathland and upland flushes fens and swamps We do not intend to create grouped maps for other habitats e.g. lowland heath or deciduous woodlands as we believe that the individual habitat network map should be adequate as they take account of other habitats by incorporating 'associated habitats' into the network e.g. lowland acidic grassland and lowland fen are associated habitats within the lowland heathland habitat network map. The full list of associated habitats used within each habitat network map is provided within Annex 1. The mapping tool we have used can create bespoke maps for any number of different habitats, please contact NE data services to request any additional grouped habitat maps. ## 5. Woodlands, Open Water And Coastal Habitats 5.1 Woodland Habitats Woodlands We recognise that all woodlands can be important for biodiversity and/or for other reasons. We also recognise that the Forestry Commission (FC) have produced a range of guidance documents and maps in relation to woodlands including a map that specifically identifies locations for new woodland planting (CS Biodiversity - Priority Habitat Network note: it is 374MB). Please note when using this FC map that it does not identify areas of existing priority habitat as a constraint. It is also important that the guidance on 'Assess environmental impact before you create new woodland' is referred to. For projects seeking to convert woodland to open habitats the following FC guidance needs to be followed 'Consents required in relation to the conversion of woodland to open habitats'. Ancient Woodland Network Map We have focussed our Habitat Network Map on Ancient Woodland as this is considered a top priority for nature conservation. The Ancient Woodland Network Map has been prepared using the same approach as the other habitat network maps but with some minor modifications as outlined below. ## Existing Habitat  Primary Habitat: Ancient semi-natural Woodland as identified within the Ancient Woodland Inventory (AWI)10.  Associated Habitat: Other deciduous woodland, wood-pasture and parkland and traditional orchards.  Habitat Creation/Restoration: Not identified as yet  Restorable Habitat: Plantations on Ancient Woodland Sites (PAWS) as identified on the AWI. ## Network Enhancement & Expansion  Network Enhancement Zone 2: We have only included Network Enhancement Zone 2 on our map. There is no Enhancement Zone 1 or Network Expansion Zone as potential locations for woodland planting are shown on other FC maps. For areas where woodland expansion, particularly through regeneration, would be particularly beneficial see Fragmentation Action Zone below. Actions that improve the biodiversity value and help develop habitat mosaics and/or increase green infrastructure provision would be beneficial within Enhancement Zone 2.  Fragmentation Action Zone: As per all other habitat network maps. Action to address the most fragmented areas of habitat e.g. through increasing woodland extent (note: regeneration is preferred over planting) may be targeted here. Please note: The most up to date version of the Ancient Woodland Inventory should always be used for clarification on the status of a woodland. We recognise that Plantations on Ancient ## Woodland Sites (Paws) Are Ancient Woodlands Even Though They Are Identified As 'Restorable Habitat' Within The Ancient Woodland Network Map. Wood-Pasture & Parkland The Wood-pasture and Parkland Network Map has been prepared using the same approach as the other habitat network maps. However, the following specific issues have had to be taken into account in terms of identifying the Primary Habitat. As there is no definitive inventory for this habitat we have used a combination of data sets has been used as the best available data to identity sites considered to support this habitat. The Provisional Wood-pasture & Parkland inventory contains attributes identifying locations where the habitat has been confirmed as well as where the presence still needs to be verified. We only used sites that had been verified as 'definitely being present' as representing the primary habitat for the network map. We have supplemented the sites selected from the draft inventory with additional information using the Ancient Tree Inventory11 to verify the presence of wood-pasture and parkland. The remaining areas of the draft wood-pasture and parkland inventory identified as 'restorable habitat' where they occur in close proximity to the primary habitat. A particular feature of this habitat is that on occasions it will overlap with sites recognised on the PHI as supporting other priority habitat, such as grasslands, heathland and woodland (termed 'allowable overlap'). In the Combined Habitat Map layer we have not been able to show sites that overlap with other habitats and we therefore recommend, when considering WP&P in the wider countryside that the wood-pasture and parkland network map is also used. As the features of importance for this habitat also occur outside of recognised wood-pasture and parkland sites, e.g. ancient trees within hedgerows or within ancient woodlands, we also recommend that the following map layers are used:  NE's Provisional Wood-pasture & Parkland inventory (this will help show all other areas where wood-pasture and parkland may occur including sites that still need to be verified)  PAWS and deciduous woodland (to provide an overview of woodland cover more generally)  The Woodland Trust's Ancient tree inventory (this will identify locations of individual trees so far recorded within the wider countryside) ## 5.2 Lakes And Rivers General Approach The UK priority habitat definitions for lakes and rivers effectively encompass all lakes and the large majority of the river network. These definitions have been interpreted in England in order to generate a limited subset of the river and lake habitat resource that can be deemed priority habitat, involving identifying sites that meet requirements relating to the natural functioning of the habitat - hydrological, physical, chemical and biological. Report NERR064 provides more information on the natural functioning of these habitats, whilst a new website hosted by the FBA provides an easily accessible explanation of how the priority river and lake habitat maps have been generated. The total extent of habitat on the priority river and lake habitat maps is relatively small compared to the extent of the wider habitat resource, such that much of the action needed on rivers and lakes relates to improving the natural functioning of sites that are not on the priority habitat maps. Rivers and lakes are key components of all landscapes and river corridors in particular provide important biological connectivity for all habitats. Their biodiversity value is strongly influenced by the type and quality of land management and other activities in the catchment, which makes their restoration very complex. Key points in relation to generating network map for river and lakes are given below.  We selected the majority of other habitats as an associated habitat for both network maps.  We identified areas as 'restorable habitat' using a different method to that of other habitats,  We recognised that these maps are not just focussing on habitat expansion but on improving the condition of degraded sites, which because of their degraded nature do not feature on the priority habitat maps. Relevant restoration measures can include any measure that helps restore the natural functioning (physical, chemical, hydrological and biological) of lakes and rivers either on site or in the catchment. To help ensure riparian habitats (which are considered an integral part of river and lake habitat) is of suitable quality, we have identified the area around river and lake priority habitat as Enhancement Zone 2 rather than Zone 1, We have not included 'Fragmentation Action Zones' on either of these open water habitat network maps as the main focus is on improving the condition of the remaining habitat which is addressed through the 'restorable habitat' component of the map. The 'restorable habitat' component of these maps identifies river stretches or lakes where restoration action may take place to improve condition and connectivity. Whilst this is an important consideration for rivers and lakes as it is for other habitats, there are equally important consideration associated with the specific nature of impacts on a given site, the position of sites within catchments, and the scale and nature of constraints to restoration. For this reason sites identified by the river and lake habitat network maps constitute one strand in a wider process of identifying the best places to restore natural functioning in the river and lake network. A broader process of identifying priorities for restoring natural function within the river and lake network, to contribute to meeting priority habitat objectives, is being developed with stakeholders. The habitat network maps described here will be used to help populate these restoration priorities maps. For more information on this work see the new website on priority river and lake habitats. More details of how the habitat network maps have been created is outlined below. ## Priority Lakes Habitat Network Map Lakes on the lake priority habitat layer along with other lakes considered to be worthy of further consideration, e.g. notified as SSSI lake habitat, were identified as the 'primary habitat' for this network map. In order to identify further 'restorable habitat' the entire lake resource was assessed using the UK Lakes Database layer sourced from the UK Lakes Portal which identifies most lakes in England that are greater than 1 ha and some smaller water bodies. We have identified all lakes from this layer that fall within Enhancement Zone 1 of the Combined Habitat Networks Map as 'Restorable Habitat' within the Lakes Habitat Network Map. This is because lakes with catchments with semi-natural land use are likely to have better water quality and provide greater biodiversity benefit, if restored, due to habitat connectivity with terrestrial habitats (see NERR064 'A narrative for conserving freshwater and wetland habitats in England'). We have created the individual priority lakes habitat network using the following components; ## Existing Habitat  Primary Habitat: Priority Lake habitat identified as described above  Associated Habitat: Other adjacent priority habitats (see Annex 1)  Restorable Habitat: All lakes contained within the Combined Habitat Network. ## Network Enhancement & Expansion  Network Enhancement Zone 2: (There is no Enhancement Zone 1 or an Expansion Zone as the priority is to restore the existing resource and not create new habitat). Within Enhancement Zone 2 actions that improve lake habitat such as; increase semi-natural habitat, develop more habitat mosaics, increase the extent of wildlife friendly land management or green infrastructure, may be targeted here. Priority Rivers Network Map In addition to the general approach outlined above we have used the priority rivers habitat layers from NE open data portal as the primary habitat. We have also carried out a network analysis over all watercourses not recognised as priority river habitat to identify stretches of non-priority river habitat that connect and joins stretches of priority river habitat. We have labelled these sections as 'restorable habitat' and here action to improve the condition of the river in terms of natural function that would help extend and link up the current priority river habitat resource would be beneficial. The Priority River habitat inventory also includes priority river headwater areas i.e. the headwater catchments most likely to support headwater streams that are sufficiently naturally functioning to be included on the priority habitat map. These are particularly important to the priority river habitat resource and this map would be useful to refer to when considering action to improve rivers. The combined habitat networks map will also provide information on the extent of priority habitats within most of the priority headwater areas. We have created the individual priority river habitat network using the following components; Existing Habitat  Primary Habitat: Priority River Habitat.  Associated Habitat: Other adjacent priority habitat (see Annex 1)  Restorable Habitat: Sections of non-priority river habitat that link existing sections of priority river habitat. ## Network Enhancement  Network Enhancement Zone 2: (There is no Enhancement Zone 1 or an Expansion Zone as the priority is to restore the existing resource and not create new habitat). Enhancement Zone 2 includes all terrestrial land adjoining the existing stretches of priority river habitat. Action in this zone to improve the condition or extent of semi-natural habitat/habitat mosaics or increase extent of wildlife friendly land management or green infrastructure that improves river habitat functioning, may be targeted here. 5.3 Coastal Habitats We recognise that coastal habitats are dynamic systems which are shaped by coastal processes that influence the location, scale and ultimately the success of any management and/or proposed enhancement. Other factors that need to be considered when using the coastal habitat network map(s) include the current topography, the elevation of the land and the current land use. Shoreline Management Plans (SMPs) set out the future strategy for a stretch of coastline relating to issues of coastal defence which will also help identify potential locations for future action to increase the resilience of the existing habitat network. It is also important to consider all other local opportunities and constraints as these are not mapped on the habitat network maps. The Marine Management Organisation has also published a useful document entitled 'Identifying sites suitable for marine habitat restoration or creation (MMO1135)' and a set of maps to support this. As outline in Section 4 we have developed a grouped habitat network map of the 4 coastal priority habitat maps (saltmarsh, sand dunes, shingle and maritime cliff and slope). The individual maps may be viewed separately, but it is advised in the first instance that users should use the grouped 'coastal habitats map'. ## 6. Relationship To The Nature Network Handbook ENRR081 'Nature Network Evidence Handbook - Creating Nature Networks for Wildlife & People'5 is intended to help our staff and external partners apply some of the objectives of the 25 Year Environment Plan when delivering or planning landscape scale projects for biodiversity and people. The Handbook sets out 8 principles, including number 7, which is specifically about planning ecological networks: Think "networks": Networks need to be planned at multiple spatial scales & address multiple issues, with joined-up actions across adjacent landscapes, delivering integrated outcomes, ensuring the network acts as a coherent whole to deliver for all users (species, ecosystems and people) within the area. The Handbook includes a set of 'Rules of Thumb' for the design of ecological networks, building on the principles in Lawton et al. (2010), these include: ## Bigger Sites  Big enough to encourage natural processes - include areas that ensure functioning ecosystems.  Provide space for ecosystem dynamism supporting mosaics and to encourage succession.  Reduce edge effects by decreasing the edge: area ratio.  Join habitat fragments; choose the ones that will create the biggest site.  Restore degraded habitat surrounding the site.  Enlarge sites to >40 ha (or >100 ha for wide-ranging species). ## More Sites  Target areas of important habitat potential in the surrounding area.  Target degraded areas with high ecosystem service delivery. ## Stepping Stones & Permeable Matrix  Sites should be < 1km from each other and < 200m apart for highly specialised species within a habitat.  Expand sites towards existing habitat to reduce space between patches.  Increase the cover of semi-natural habitat in landscape to at least 20%.  Reduce the intensity and increase the diversity of land use in the surrounding countryside. The Nature Network Evidence Handbook provides guidance on how different habitats are naturally provided by landscapes, and how an understanding of this natural pattern of habitat provision should be used in building habitat networks to generate the most integrated biodiversity outcomes possible. The information needed to do this relates to factors such as natural hydrological regimes (in the absence of land drainage for example) and natural soil and sediment processes. Such information largely comes from local knowledge and data sources and is not very amenable to national mapping exercises of the type described in this guidance. The national habitat network maps will require careful interpretation to ensure that local decision-making is rooted in promoting biodiversity conservation through naturally functioning habitat mosaics as far as this is possible and desirable. More detailed explanation of the biodiversity importance of natural ecosystem function can be found in Natural England Research Report 071 'Generating more integrated biodiversity objectives'. The new Climate Change Adaptation Manual is also a good place to look for information on how to plan ecological resilience in the face of climate change, which is essential for all conservation planning. ## 7. Further Information/Frequently Asked Questions This section provides more information on the habitat data and the network tool and approach/methodology we used to create the maps. Habitat Data used: 1. What baseline habitat data is used? 2. Is it possible to improve the baseline habitat data? 3. Can local data be used in the approach? 4. Can I integrate additional data? 5. Are all habitats included, are there any missing? 6. Why have we focussed on priority habitats? 7. Why is coastal/floodplain grazing marsh not included? Habitat network tool & approach: 8. What GIS tool has been used to create the maps? 9. Can you repeating the analysis easily? 10. Can I use the tool? 11. What evidence have you used to support the assumptions in the approach? 12. How does the variable buffering work? 13. Why is the Enhancement Zone different in some Habitat Network Maps? 14. How is information on soils used in the approach? 15. What Constraints and Opportunities are mapped? 16. How are urban areas treated in the approach? 17. What is the patch size threshold? 18. What is the associated habitat group? 19. What additional habitat information is included? 20. How is current habitat creation/restoration information included? 21. How do we know where the areas of restorable habitat are? 22. Why is there a combined map? 23. How is the combined map created? ## 7.1 Habitat Data Used: 1. What Data Is Used In The National Maps? We Have Used The Following Data Sources To Build The Components Of This Version Of The National Habitat Network (Version 2.1) Mapping: \| Component \| \|-------------------------------------------------------------------\| \| Primary Habitat \| \|  \| \| \| \| Priority Habitat Inventory (PHI v2_2) \| \| 1 \| \| , \| \|  \| \| \| \| Alkaline Fen and Transition Mire and Quaking Bog Annex 1 habitats \| \| in England \| \| 1 \| \| , \| \|  \| \| \| \| Ancient Woodland Inventory \| \| 1 \| \| , \| \|  \| \| \| \| Priority Rivers Habitat Map \| \| 1 \| \| , \| \|  \| \| \| \| CEH UK Lakes Portal, \| \|  \| \| \| \| Draft Wood-pasture & Parkland \| \| 1 \| \| , \| \|  \| \| \| \| Woodland Trust Ancient Tree Inventory, \| \|  \| \| \| \| PTES Traditional Orchards HAP data layer. \| 1 = NE data is available from the Natural England Open Data Geoportal \| Associated Habitat \| A range of habitats that typically occur as a mosaic with the primary habitat, \| \|------------------------------------------------------------------------------\|-----------------------------------------------------------------------------------\| \| care is taken to avoid including habitats that simply lie adjacent to the \| \| \| primary habitat i.e. transitional habitats, particularly where the extent of \| \| \| such habitats overwhelms and/or distorts the network map for the primary \| \| \| habitat. The source of this is the PHI. \| \| \| Restorable Habitat \| Datasets of non-priority habitats e.g. Semi-improved species rich grassland, \| \| fragmented heathland, grass moor, 'No main habitat but priority habitat \| \| \| present' where the primary habitat is listed as present from the PHI. \| \| \| Plantations on Ancient Woodland (PAWS) \| \| \| NSRI Soilscapes data (26 & 27) used for blanket bog and lowland raised bog \| \| \| in combination with additional PHI data. \| \| \| Habitat \| \| \| restoration or \| \| \| creation \| \| \| All relevant Agri-environment scheme options where they lie in close \| \| \| proximity to existing habitat patches. Data from NE Green Infrastructure \| \| \| database, other data from partners on habitat creation where available \| \| \| (Dorset heathland project) \| \| \| Network \| \| \| Enhancement \| \| \| Zone \| \| \| NSRI Soilscapes data (see below for more information on soil types) \| \| \| A digital terrain model \| \| \| Urban Settlements \| \| \| EA Flood Risk Zone 3 tidal \| \| 2. Is it possible to improve the baseline habitat data? We have used the Priority Habitat Inventory as the primary data source for the majority of the habitat network maps. We are aware this is not comprehensive or 100% accurate. We therefore encourage the improvement of the PHI dataset with better local data and promote the use of the Habitat Network maps alongside local knowledge and data. Data supplied to NE for inclusion within the network map should first be supplied for inclusion within the PHI and will therefore need to be supplied with the relevant metadata and under an open licence compatible with the Government Open Data Licence. Other mapping components such as restorable habitat and habitat creation can be supplied directly to the habitat network project but again this has to be under a licence compatible with the Government Open Data Licence. 3. Can local habitat data be used in the analysis? Where available local, open source habitat data can be prepared for inclusion in the PHI and as such this can then be included in the analysis, to identify primary and associated habitat presence. In addition to this other local, open source data on the location of habitat creation and restoration happening in your area can be used in the habitat restoration or creation component of the analysis. We can also use data on sites with restorable habitat where this is known. We hope this project can facilitate the contribution of local data to the PHI to make the national dataset better for everyone. 4. Can I integrate additional data on other habitats? You should be considering any additional habitat data in addition to these maps where this exists locally to improve any local network maps. When planning or designing the delivery of landscape scale ecological networks, it is important to ensure that all habitats present within the landscape are taken into account, as well as any local opportunities and/or constraints. This will include habitats that are not on the PHI or do not have an inventory. We therefore recommend that other data sets are also used to provide wider context and a more comprehensive picture of the ecological resource and opportunities (and potentially constraints) including, National data such as:  SSSIs  Forestry Commission National Inventory of Woods and Trees  Existing HLS or CS agreements Local data such as:  Existing Local Ecological Networks or Opportunity Maps  Local Wildlife Sites  Other local habitat creation projects  External partners land holdings 5. Why have we focussed on priority habitats? We have focussed on priority habitats and used the PHI or other inventories that we consider represent the best available habitat data at a national level. We have focussed the network maps around priority habitats as this is the current common classification used for conservation purposes and recognised in legislation i.e. Section 41 of the NERC Act 2006. ## 6. Are All Habitats Included, Are There Any Missing? The Following Habitats Do Not Have A National Habitat Network: \| Priority Habitat \| Reasons for not compiling a Habitat Network Map \| \|----------------------------------------------------------\|-------------------------------------------------------------\| \| Saline lagoons \| \| \| \| \| \| Habitats are adequately covered as an associated habitat \| \| \| within other habitat networks \| \| \| Mountain heath & willow \| \| \| scrub \| \| \| Calaminarian grassland \| \| \| \| \| \| Coastal & floodplain grazing \| \| \| marsh \| \| \| See below \| \| \| Mudflats \| A transitionary habitat between marine and terrestrial that \| \| was considered to require a different approach. \| \| \| Arable Field Margins \| \| \| \| \| \| No national inventory \| \| \| Hedgerows \| \| \| \| \| \| Open Mosaic Habitats \| Draft Inventory not of sufficient standard to be used at \| \| present \| \| \| Network Maps may be developed as part of future work \| Ponds \| \| \| \| 7. Why is there no network map for coastal & floodplain grazing marsh? We recognise that coastal and floodplain grazing marsh may be an important component of many catchments but we have not prepared a habitat network map for this habitat as the biodiversity quality varies with much of it being of low biodiversity value. The habitat is essentially a drained version of other wetland semi-natural habitats including fens, reedbeds and wet woodland. The current habitat definition focusses on its importance for breeding waders, overwintering waterfowl and species rich ditch systems with little consideration for expanding the semi-natural wetland habitats and accommodating natural function. For this reason work is ongoing to investigate the potential to modify the habitat definition to take greater account of the needs for better natural functioning floodplains and coastal change. We have included areas of the existing coastal and floodplain grazing marsh into other wetland habitat network maps as a restorable habitat in recognition of the potential for these habitats to develop in the floodplain. The current maps do not distinguish between areas of high or low biodiversity value or the level of constraint or opportunity to covert this habitat as we believe this is best determined at a local level. Work is currently on going to help define the areas of floodplain grazing marsh of biodiversity value and to define the potential functional boundary for defining any future floodplain wetland mosaic habitat. ## 7.2 Habitat Network Tool & Approach: 8. What Gis Tool Has Been Used To Create The Maps? The Spatial Data Analysis Used To Create The Habitat Network Maps Was Undertaken Using A Data Integration Software Tool Called Feature Manipulation Engine (Fme). The Process Has Been Built Into An Fme Workspace Designed To Facilitate Re-Runs Of The Analysis, Incorporating New Data Or Varying The Process Parameters As Required. This Means That The National Networks Can Be Quickly And Easily Updated, And Also Provides For Bespoke Analysis Of Local Habitat Networks. 9. Can You Repeating The Analysis Easily? These Maps Are Not Intended To Be Automatically Adopted To Form Local Ecological Networks. Further Local Interpretation, Including Addition Of Local Knowledge And Data Will Be Required Before Planning Any Action. However, It Is Anticipated That These Maps Will Help Inform Local Decisions About The Development Of Local Ecological Networks. As the process we have used to create the Habitat Networks is flexible and repeatable, it means that it is also possible to be re-run the analysis to include local data to help improve local accuracy and increase relevance to partners but any bespoke runs of local data that is not included in the PHI is extremely difficult and may not be possible due to staff resources. 10. Can I use the tool? If you can use FME and if you can work with us on the analysis you are doing it may be possible to access the tool. Ideally this would be reciprocated by the exchange of habitat data to enhance the PHI and align any local maps with the national map. 11. What evidence have you used to support the assumptions in the approach? Here are some extra details on the assumptions we have made in a number of the network components:  Individual habitat networks maps - we have created habitat network maps on a habitat by habitat basis as we believe that this may be helpful when considering priorities for action within a certain location particularly if there are specific local or national objectives/targets to meet for specific species or habitats.  Associated habitats - we recognise that an individual habitat will co-exist within a landscape with other habitats and that many function as an ecologically unit. We have used our practitioner judgement alongside specialist validation to decide which priority habitats should be treated as an 'associated habitat' within each of the habitat network maps. The habitats chosen are those that are ecologically connected with, and often exist together in a matrix with, the primary habitat. The full list of Associated Habitat groups are listed in Annex 1.  Using Soils choices - we have based the associations between soils and habitats in our mapping approach based on an assessment of the habitat requirements, the descriptions within the Soilscapes data base and the evidence from EN Research Report 712 'Guidance on understanding and managing soils for habitat restoration projects'  Habitat clusters– We have not sought to identify ecological networks that are considered to be viable based on species movements and dispersal distances e.g. 200m, 500m or 1000m. Instead we have taken the evidence presented within the Lawton report and focussed our mapping on identifying locations where habitat clusters together within the landscape. Within the maps we have also sought to identify locations for action to improve the ecological resilience of the network.  Lawton Approach - The Lawton report12 (section 4.4) assesses whether the current extent and spatial distribution of the remaining habitat is adequate to form a coherent and resilient ecological network. This is judged against 5 key attributes and concludes that for 4 of the 5; "there are serious short-comings in the network. Notably, many of England's wildlife sites are too small; losses of certain habitats have been so great that the area remaining is no longer enough to halt additional biodiversity losses without concerted efforts".  We have developed the Habitat network Maps to focus on the current spatial distribution of habitat patches in a way that identifies how the habitat survives in clusters where positive action, such as creating more habitat or improving the connections and matrix between the patches and between the network clusters would help build a more coherent and resilient ecological network. We recognise that species loss from existing habitat patches will continue to occur over a long time and that for many species that currently survive within a habitat patch the population may no longer be viable (an effect called an extinction debt13). To help address this issue we have identified where the more vulnerable habitat patches occur, i.e. the smaller habitat patches or those with excessive edges, occur. We have identified these areas as Fragmentation Action Zones and consider that action may be focussed here as a priority. We also recognise that improving the links between the habitat clusters may also be important so we have identified potential locations where clusters occur in close proximity where action to improve connections between the habitat clusters may be beneficial and have identified an Expansion Zone to help facilitate planning for this action. 12. How does the variable buffering work? The Network Enhancement Zone boundaries are drawn around the 4 habitat components (primary habitat, associated habitat, restorable habitat and habitat restoration or creation) - based on a standard, though variable, distance of 500m. The buffer is variable in that it is stretched where a slight extension would capture more habitat and/or present a more complete network, i.e. its reach is extended in the direction of another relevant habitat patch. It works in the following way (see also fig.7):  Habitat patches are buffered by 500m.  Any overlapping buffers are merged.  Any holes (marked H in fig.7) left when buffers are merged within patches of >100ha are filled in.  The buffers are then reduced to 250m in order to constrain them where they aren't meeting other buffers.  The resulting buffer area shown in orange in the figure 7 below.  This leads to a theoretical maximum buffer distance of around 1km. but in practice the vast majority of buffers will not exceed far beyond 500m. This 500m distance between patches has been selected based on our review of the literature and evidence relating to other network mapping approaches. The Enhancement Zone drawn through this standard approach is intended as a guide only and seeks to show the location of habitat patches that are more clustered together within the landscape to focus action to build greater ecological resilience of existing habitat patches. The distance used may be varied within the tool to prepare bespoke network maps for specific species if there is sufficient evidence available to justify this. We have used a 1km buffer for the blanket bog habitat network map due to the extensive habitat patches and the aim to capture a more complete hydrological unit required for restoration. NERR081 provides more information on this and states "To ensure adequate connectivity between core sites or stepping stone sites, placement is important. Many studies have explored the effect of isolation on the likely colonisation rates of different taxa between patches of suitable habitat……... It should be noted that dispersal will be moderated by the relative permeability of the intervening matrix. However, in can be concluded that for highly specialised species within a habitat, adjacent sites need to be < 200m apart and for more generalist species < 1km apart". ## 13. Why Are The Enhancement & Expansion Zones Different In Some Habitat Network Maps? The Extract From Table 1 Lists 7 Habitats Network Maps Where The Approach Used In The Maps Varies And The Table Below Provides Reason For Modify The Approach. Type of modification Reason for modifying our approach No Network Enhancement Zone 1 Limestone pavements Habitat is impossible to recreate, the creation/restoration of relevant associated habitats should be the focus to building greater ecological resilience. For this reason the Habitat Network Maps only identify Enhancement Zone 2. Ancient woodland Habitat Network Maps identify Enhancement Zone 2 as the map is not intended to identifying all potential areas for woodland planting as FC's maps exist for this purpose. This habitat is also considered irreplaceable and the priority we have focussed to address is fragmentation and restoration of PAWS. Rivers Lakes Habitat Network Maps identify Enhancement Zone 2 only as creating new lake habitat to link and join existing habitat is not a priority. Priority is to improve the condition pf all habitat, restore natural function of the existing non-priority habitat rather than create more open water resource. No Fragmentation Action Zone Reason for modifying our approach Lakes Rivers Habitat Network Maps identify Enhancement Zone 2 only as creating new habitat to reduce fragmentation is not a priority. Priority is to enhance existing non-priority habitat, Lake Habitat Network Map identifies non-priority lakes for restoration as restorable habitat. Stretches of existing non-priority river habitat that join existing priority habitat are identified as restorable habitat. Traditional Orchards Draft Network Map, Further consideration is required in terms of identifying priorities for action. No Network Expansion Zone Reason for modifying our approach Limestone pavements This habitat is Irreplaceable and building greater resilience can best be achieved through the expansion of other habitats such as calcareous grassland. Upland flushes fens and swamps We consider that the Enhancement Zone 1 is sufficiently large to meet current priorities for this habitat. The habitat is most frequently found within a mosaic of other upland habitats and developing greater ecological resilience is probably best addressed through enhancing these habitats e.g. addressing issues of structure and function. Maritime cliff & slope A linear habitat dependent upon saline influences such as salt spray where expansion inland is dependent upon relatively slow natural processes. The extent of landward movement is sufficiently captured by the Enhancement Zone. Lakes Focus for developing greater resilience should focus on better land management of the catchment, including increasing the extent of semi-natural habitat, to improve natural function. Rivers Ancient woodland This habitat is Irreplaceable. We have mapped the Fragmentation Action Zone to reduce impacts on small woodlands and the restoration of PAWS as priorities for action. This map is not intended to identifying all potential areas for woodland planting and therefore no expansion zone is identified. Traditional orchards Draft Network Map, current proposal is to focus for developing greater resilience within and around the existing habitat patches which are generally small. We consider that the Enhancement Zone 1 is sufficiently large to meet current priorities for this habitat. 14. How is information on soils used in the approach? NSRI Soilscapes data is a simplified version of the 1:250,000 scale Digital National Soil Map for England and Wales. It has been tailored to provide extensive, understandable and useful interpreted soil data for the non-soil specialist. Soilscapes defines 27 soil map units, each fully described with a range of valuable attributes. These were thought to be the most useful and practical classifications to use within the National Habitat Network mapping approach. The soils data is used within the Habitat Network Maps to help determine the extent of Network Enhancement Zone 1 and the Expansion Zone only where soils and other conditions exist for habitat creation and restoration are more suitable. Network Enhancement Zone 2 extends over other areas e.g. areas without suitable soil types or over areas of urban development to identify where other actions, such as the provision of green infrastructure or changes in land management, might also be undertaken to improve resilience. To select the soils for each habitat we referenced the Natural England Research Report 712 'Guidance on understanding and managing soils for habitat restoration projects' and compared their descriptions of habitat suitability. 15. What Constraints and Opportunities are mapped? Other than the urban areas no constraints or opportunities are identified on the Habitat Network Maps as these are likely to vary according to the individual landscape and project objective. 16. How are urban areas treated in the approach? Where the Enhancement Zone extends into urban area it becomes Network Enhancement Zone 2 due to the limited opportunities for habitat creation. However, we consider that there may be opportunities here for some action e.g. urban Green Infrastructure that may contribute towards building greater resilience 17. What is the patch size threshold? Patch size is used as part of the calculation to carry out the fragmentation assessment used within the analysis. The patch size varies according to the habitat type so habitats that are largely made up of relatively smaller patches are not disproportionately selected for fragmentation action thereby ignoring habitats with generally larger patches (however they will be selected more frequently due to their high levels of fragmentation). Figure 8 below provides further information on this. The primary and associated habitat patches are assessed together and the following conditions must be true for a patch of habitat to be included as part of a fragmentation action zone: Smaller Patches  Habitat patches must be less than a certain size based on fragmentation patch assessment threshold of 10%, 20%, 30% or 40% i.e. it is relatively small compared to the patch size range and total resource (see Figure 8) ## Or Medium Patches with excessive boundary  This selects out habitat patches that are less than twice the size of the smaller patches, as outlined above, and identifies those with an extensive boundary compared to its area i.e. either it is long and thin or has an excessive undulating boundary. This is calculated using a Perimeter-Area Ratio assessment to identify patches with a Perimeter-Area Ratio 2.5 greater than the area i.e. the patch area is greater than an equivalent assessment of a true circle of same area. ## And The patches identified above must be in close proximity to other patches  Neighbouring patches are within 200m i.e. it could easily be joined with another patch of habitat. Habitat % of Habitat Patch Size (ha) Blanket bog Upland heath 75 Coastal sand dunes 65 Lowland raised bog 35 Limestone pavement 20 Coastal salt marsh Coastal vegetated shingle 25 Maritime cliff & slope 35 Lowland acid grassland 50 Lowland heath 50 Lowland fen 20 Upland calcareous grassland 25 ASNW 50 Lowland Calcareous grassland 30% 25 Reedbed 15 Lowland meadows Purple moor-grass 20 Upland hay meadow 10 18. What is the associated habitat? Each individual Habitat Network has a list of associated habitats that are considered to be functionally related to the primary habitat i.e. they frequently co-exist within landscapes and form ecologically coherent mosaics that are used by a range of species associated with the primary habitat for that network. For example, for the Lowland Heathland Network the following associated habitats were selected; Dry Acid Grassland and Lowland Fens as these often occur in a functional 165 Larger less fragmented 10% patches 25 20% Smaller more fragmented 20 patches 40% habitat mosaic. See Annex 1 for the full list of habitats included within each individual habitat network map. 19. How is habitat creation/restoration information included? Data on sites where relevant habitat creation or restoration is underway is extracted from the Natural England database for AES schemes. Some other data sets have also be used but we recognise that what is represented on the maps is only a sub-set of the total extent of activity taking place and we would like to include more information from other sources where possible. We have included these sites in the habitat network maps as we believe that they are likely to be making some contribution towards the ecological integrity of the network and with appropriate management could make a greater ecological contribution. 20. How do we know where the areas of restorable habitat are? The areas identified as 'restorable habitat' require local verification and should be considered as potential locations for restoration activity as the data used may be out of date and is likely to be less reliable than some of the other data sets. For this we have used a range of data sets including; areas considered to be non-priority habitat (e.g. semi-improved species rich grassland, fragmented heathland, grass moor, and areas from the 'No main habitat but additional habitat present') from the PHI. Plantations on Ancient Woodland (PAWS) from the Ancient Woodland Inventory. For each habitat a specific data set has been selected where we believe the information suggests there is an opportunity for restoration to the primary habitat. We only use this information where the sites exist in close proximity to the primary habitat. 21. Why is there a combined map? As a result of feedback from consultation on the individual Habitat Network Maps, we recognised the need to produce a combined Habitat Networks Map to provide a clearer spatial representation of the way the habitat networks lie within the context of the wider landscape. The combined map helps to show where the full range of habitats exist in close proximity to each other and how they interact as functional mosaics beyond that shown within the individual habitat network. However, not all the detail of the individual network maps can be represented on the combined networks map and the individual maps are best used if where is a specific habitat focus. 22. How is the combined map created? The data layers for the individual habitat networks are overlaid and resolved into a single data layer. Where elements of different networks overlap a priority hierarchy determines which takes precedence and is retained in the combined map. The process of creating the combined map means that some detail specific to individual habitat networks is lost. In the individual habitat networks the Network Enhancement Zones and the Expansion Zone will be shaped by soils or other environment factors specific to the requirements of the habitat. In the combined map all the individual enhancement and expansion zones are merged and their link to specific habitats lost. ## Annex 1 - Additional Information Associated Habitats & Restorable Data Layers PRIMARY HABITAT NETWORK Associated Habitats Restorable Habitats ANCIENT WOODLAND DECIDUOUS WOODLAND, WOOD-PASTURE & PARKLAND, TRADITIONAL ORCHARDS BLANKET BOG UPLAND FLUSHES FENS & SWAMPS, LAKES, UPLAND HEATHLAND (not on deep peat) COASTAL SAND DUNES COASTAL SALTMARSH, COASTAL VEGETATED SHINGLE, SALINE LAGOONS, LOWLAND ACID GRASSLAND, LOWLAND CALCAREOUS GRASSLAND, LOWLAND HEATH, REEDBED COASTAL SALTMARSH COASTAL SAND DUNES, COASTAL VEGETATED SHINGLE, MUDFLATS, SALINE LAGOONS, REEDBED COASTAL VEGETATED SHINGLE COASTAL SAND DUNES,COASTAL SALTMARSH,SALINE LAGOONS,LOWLAND ACID GRASSLAND, LOWLAND CALCAREOUS GRASSLAND, LOWLAND HEATH, REEDBED LOWLAND ACID GRASSLAND COASTAL SAND DUNES, COASTAL VEGETATED SHINGLE, LOWLAND CALCAREOUS GRASSLAND, LOWLAND FEN, LOWLAND HEATH, LOWLAND MEADOWS, MARITIME CLIFF & SLOPE LAKES BLANKET BOG, CALAMINARIAN GRASSLAND, COASTAL SALTMARSH, COASTAL SAND DUNES, COASTAL VEGETATED SHINGLE, LIMESTONE PAVEMENT, LOWLAND CALCAREOUS GRASSLAND, LOWLAND ACID GRASSLAND, LOWLAND FEN, LOWLAND HEATH, LOWLAND MEADOWS, LOWLAND RAISED BOG, MARITIME CLIFF & SLOPE, MUDFLATS, PURPLE MOORGRASS & RUSH PASTURE, REEDBED, SALINE LAGOONS, TRADITIONAL ORCHARDS, UPLAND CALCAREOUS GRASSLAND, UPLAND FLUSHES FENS & SWAMPS, UPLAND HAY MEADOW, UPLAND HEATHLAND, WOOD-PASTURE & PARKLAND LOWLAND CALCAREOUS GRASSLAND COASTAL SAND DUNES, COASTAL VEGETATED SHINGLE, LOWLAND ACID GRASSLAND, LOWLAND MEADOWS, LIMESTONE PAVEMENT, MARITIME CLIFF & SLOPE, UPLAND CALCAREOUS GRASSLAND, CALAMINARIAN GRASSLAND, LOWLAND FEN LOWLAND FEN CALAMINARIAN GRASSLAND, LOWLAND ACID GRASSLAND, LOWLAND CALCAREOUS GRASSLAND, LOWLAND HEATH, LOWLAND MEADOWS, LOWLAND RAISED BOG, LIMESTONE PAVEMENT, PURPLE MOORGRASS & RUSH PASTURE, REEDBED, UPLAND CALCAREOUS GRASSLAND, UPLAND FLUSHES FENS & SWAMPS,UPLAND HAY MEADOW LOWLAND HEATH LOWLAND ACID GRASSLAND, LOWLAND FEN, MARITIME CLIFF & SLOPE, LOWLAND RAISED BOG, PURPLE MOORGRASS & RUSH PASTURE, LOWLAND MEADOWS, CALAMINARIAN GRASSLAND LOWLAND MEADOWS LOWLAND ACID GRASSLAND, LOWLAND CALCAREOUS GRASSLAND, LOWLAND FEN, MARITIME CLIFF & SLOPE, PURPLE MOORGRASS & RUSH PASTURE, TRADITIONAL ORCHARDS, WOOD-PASTURE & PARKLAND, UPLAND HAY MEADOW, COASTAL SAND DUNES LOWLAND RAISED BOG LOWLAND ACID GRASSLAND, LOWLAND FEN, LOWLAND HEATH, PURPLE MOORGRASS & RUSH PASTURE, REEDBED LIMESTONE PAVEMENT UPLAND CALCAREOUS GRASSLAND, UPLAND HAY MEADOW, UPLAND FLUSHES FENS & SWAMPS, CALAMINARIAN GRASSLAND, LOWLAND CALCAREOUS GRASSLAND, LOWLAND FEN MARITIME CLIFF & SLOPE LOWLAND ACID GRASSLAND, LOWLAND CALCAREOUS GRASSLAND, LOWLAND HEATH, LOWLAND MEADOWS PURPLE MOORGRASS & RUSH PASTURE LOWLAND FEN, LOWLAND MEADOWS, LOWLAND RAISED BOG, REEDBED, LOWLAND HEATH, LOWLAND ACID GRASSLAND, UPLAND HAY MEADOW REEDBED LOWLAND FEN, LOWLAND MEADOWS, LOWLAND RAISED BOG, PURPLE MOORGRASS & RUSH PASTURE, COASTAL SALTMARSH, PAWS Fragmented heathland on deep peat, Grassmoor on deep peat, Upland heathland on deep peat, No main habitat with Blanket bog present Good quality semi-improved grassland, No main habitat with coastal sand dunes present Good quality semi-improved grassland, No main habitat with coastal saltmarsh present Good quality semi-improved grassland, No main habitat with coastal shingle present Good quality semi-improved grassland, No main habitat with lowland acid grassland present Lakes within Enhancement Zones of all other priority habitat network maps Good quality semi-improved grassland, No main habitat with lowland calcareous grassland present Good quality semi-improved grassland, No main habitat with lowland fen present, coastal floodplain grazing marsh Fragmented heathland No main habitat with lowland heath present Good quality semi-improved grassland, No main habitat with lowland meadows present Good quality semi-improved grassland, No main habitat with lowland raised bog present n/a No main habitat with maritime cliff & slope present No main habitat with purple moorgrass and rush pasture present No main habitat with reedbed pasture present, coastal floodplain grazing marsh COASTAL SAND DUNES, COASTAL VEGETATED SHINGLE, SALINE LAGOONS, RIVERS, LAKES RIVERS BLANKET BOG, CALAMINARIAN GRASSLAND, COASTAL SALTMARSH, COASTAL SAND DUNES, COASTAL VEGETATED SHINGLE, LIMESTONE PAVEMENT, LOWLAND CALCAREOUS GRASSLAND, LOWLAND ACID GRASSLAND, LOWLAND FEN, LOWLAND HEATH, LOWLAND MEADOWS, LOWLAND RAISED BOG, MARITIME CLIFF & SLOPE, MUDFLATS, PURPLE MOORGRASS & RUSH PASTURE, REEDBED, SALINE LAGOONS, TRADITIONAL ORCHARDS, UPLAND CALCAREOUS GRASSLAND, UPLAND FLUSHES FENS & SWAMPS, UPLAND HAY MEADOW, UPLAND HEATHLAND, WOOD-PASTURE & PARKLAND, LAKES UPLAND CALCAREOUS GRASSLAND LIMESTONE PAVEMENT, UPLAND FLUSHES FENS & SWAMPS, UPLAND HAY MEADOW, CALAMINARIAN GRASSLAND, LOWLAND CALCAREOUS GRASSLAND, LOWLAND MEADOWS, PURPLE MOORGRASS & RUSH PASTURE UPLAND FLUSHES FENS & SWAMPS LOWLAND FEN, BLANKET BOG, UPLAND CALCAREOUS GRASSLAND, UPLAND HEATHLAND, UPLAND HAY MEADOW UPLAND HEATHLAND BLANKET BOG, UPLAND CALCAREOUS GRASSLAND, CALAMINARIAN GRASSLAND, UPLAND FLUSHES FENS & SWAMPS, LOWLAND HEATH, LOWLAND ACID GRASSLAND, LOWLAND FEN, PURPLE MOORGRASS & RUSH PASTURE, LOWLAND CALCAREOUS GRASSLAND, LIMESTONE PAVEMENT UPLAND HAY MEADOW LIMESTONE PAVEMENT, LOWLAND MEADOWS, PURPLE MOORGRASS & RUSH PASTURE, LOWLAND ACID GRASSLAND, LOWLAND FEN, LOWLAND CALCAREOUS GRASSLAND, CALAMINARIAN GRASSLAND, UPLAND CALCAREOUS GRASSLAND, UPLAND FLUSHES FENS & SWAMPS WOOD-PASTURE & PARKLAND LOWLAND MEADOWS, LOWLAND CALCAREOUS GRASSLAND, LOWLAND ACID GRASSLAND, LOWLAND HEATH, LOWLAND FEN, PURPLE MOORGRASS & RUSH PASTURE, LIMESTONE PAVEMENT, UPLAND CALCAREOUS GRASSLAND, TRADITIONAL ORCHARDS, ANCIENT SEMI-NATURAL WOODLAND TRADITIONAL ORCHARDS LOWLAND CALCAREOUS GRASSLAND, LOWLAND ACID GRASSLAND, LOWLAND FEN, LOWLAND MEADOWS, PURPLE MOORGRASS & RUSH PASTURE, ## Priority Habitat Gis Codes  Upland calcareous grassland (UCG)  Lowland calcareous grassland (LCG)  Reedbeds (RBD)  Lowland meadows (LMW)  Upland hay meadows (UHM)  Purple moor grass and rush pasture (PMG)  Lowland dry acid grassland (LAG)  Lowland heathland (LHL)  Upland heathland (UHL)  Upland fens, flushes & swamps (UFS)  Lowland fens (LFN) River connections (see section 5) Good quality semi-improved grassland, No main habitat with upland calcareous grassland present No main habitat with upland flushes fens and swamps pasture present Fragmented heathland on shallow peat, Grassmoor on shallow peat, No main habitat with Upland heathland present Good quality semi-improved grassland, No main habitat with upland hay meadows present PAWS, Draft WP&P inventory sites where the habitat has not be confirmed as definitely present n/a  Lowland raised bog (LRG)  Blanket bog (BBG)  Limestone pavements (LSP)  Coastal sand dunes (CSD)  Coastal vegetated shingle (CVS)  Maritime cliff and slope (MCS)  Saltmarsh (CSM)  Lakes (LAK)  Rivers (RIV)  Ancient woodland (ASNW)  Wood-pasture & parkland (WPP)  Traditional orchards (TRO)	en
1600-pdf	## Campylobacter How campylobacter is spread and how to minimise your chances of eating food contaminated with campylobacter. Campylobacter is a cause of food poisoning. The majority of people who get food poisoning from campylobacter recover fully and quickly but it can cause long-term and severe health problems in some. Children under five and older people are most at risk because they may have weaker immune systems. You can't see campylobacter, smell it or even taste it on food. But if it affects you, you won't forget it. ## How Campylobacter Is Spread One of the main ways to get and spread campylobacter poisoning is through cross-contamination from raw chicken. For example, washing raw chicken can spread campylobacter by splashing it onto hands, work surfaces, clothing and cooking equipment. Campylobacter is also found in red meat, unpasteurised milk and untreated water. Although it does not normally grow in food, it spreads easily. Campylobacter has a low infective dose, which means that coming into contact with a few bacteria can cause illness. This is especially important if you are young or have an underlying illness. ## Avoiding Campylobacter Poisoning At Home You can help keep your family safe from campylobacter by chilling your food, cooking chicken correctly, avoiding cross-contamination and ensuring good personal hygiene. ## Chilling Your Food To chill your food, always store your food in the fridge, which should be at 5° or below. ## Cooking Chicken Correctly It is important to cook chicken correctly by following the guidance on time and temperature and checking: the meat is steaming hot all the way through none of the meat is pink when you cut into the thickest part any juices run clear ## Avoiding Cross-Contamination You can avoid cross-contamination by never washing chicken or letting raw chicken come into contact with ready-to-eat foods. Good personal hygiene will help ensure that any bacteria you have come into contact with aren't passed to your friends and family in their food. ## Fsa Explains Foodborne Bacteria Foodborne bacteria live in the gut of many farm animals. During rearing, slaughter and processing it can be transferred into: meat eggs poultry milk Other foods like green vegetables, fruit and shellfish can become contaminated through contact with animal and human faeces. For example, from manure used to improve soil fertility or sewage in water. Foodborne bacteria can be spread by cross-contamination. For example, if raw and cooked foods are stored together, bacteria will spread from the raw food to the cooked food. This is why it is important to follow the '4Cs' which are: cleaning chilling cooking avoiding cross-contamination Some foodborne bacteria can also be spread from pets to people and from person to person through poor hygiene. This includes things like failing to wash your hands properly after going to the toilet or after handling pets.	en
3838-pdf	## Microsoft Word For Beginners Contents 1. Introduction into word .......................................................................................... 1 2. How to create a document ................................................................................... 1 3. How to select text in a document ......................................................................... 4 4. How to change text size and font ......................................................................... 6 5. How to print a document ...................................................................................... 8 6. How to save a document ................................................................................... 10 ## 1. Introduction Into Word Microsoft Word is a word-processing application that can be part of the Microsoft Office suite or a stand-alone program installed on to your computer. The program can be used to write letters and different types of documents that can include graphics and pictures. This guide explains how to create a document, how to select text in a document, how to change text size and font, how to print a document and how to save a document. It will feature Word 2010 for PCs. A word processor included free with the Windows operating system is WordPad, which doesn't have all the features of Word but does have some formatting features. ## 2. How To Create A Document It can be found in the 'Start' menu under 'Microsoft Office'. Click on 'All programs' and then scroll to 'Microsoft Office' folder You'll need: A computer with Microsoft Word installed. Follow these step-by-step instructions to create a document in Microsoft Word Step 1: From the desktop or from your 'Start' menu, open Microsoft Word by clicking on 'All programs' then navigating through to Microsoft word 2010 as below: Step 2: Microsoft Word will open up and present a blank document ready for you to start typing. Step 3: The flashing cursor (mouse pointer) in the document tells you where you're typing. Wherever the flashing cursor is placed, the letters that you type will be inserted at that point. When you start a blank document, the flashing cursor will be at the start of your document ready for you to start typing. Step 4: As you type, the cursor will also move with each letter. This guides you so that you know where the focus is for typing. Step 5: The mouse can be used for moving around a document. When the mouse pointer is moved over a text area, the pointer will change from an arrow to a 'text select' or 'I-beam' icon. Step 6: Move the text select/mouse pointer with your mouse to where you would like to change or add text. Click the left-hand mouse button. This will then place the flashing cursor at the point where you have clicked so that you can edit or insert text. Step 7: You can also move around your document using the arrow keys on the keyboard. Step 8: Pressing these arrow keys will move the flashing cursor up a line of text, down a line or left one character or right one character. Using a combination of keystrokes can also move the cursor further - e.g. holding down the Ctrl (control) key and pressing the left arrow key will move the cursor left one word. Holding down Ctrl and pressing the up arrow key will move the cursor to the start of each paragraph. ## 3. How To Select Text In A Document Step 1: If you are not already in a Word document, you will need to open it. From the desktop or from your 'Start' menu, open Microsoft Word. Step 2: Click 'File' button in the top left. Select Open and browse to the document you wish to open. Double-click on the file name to open. ## Step 3: The mouse can be used to select text. When the mouse pointer is moved over a text area, the pointer will change from an arrow to a 'text select' or 'I-beam' icon. Step 4: Move the text select/mouse pointer with your mouse to where you'd like to start your selection. Click and hold down the left mouse button. While doing this, move the mouse across your text to where you'd like the selection to stop. As you move the mouse, the text will be selected. When you've finished your selection, release the left mouse button. Step 5: The selected text can now be formatted or changed if required. ## Step 6: You Can Also Move And Select Text Using The Arrow Keys On The Keyboard, which some people may find easier than the mouse. If you use a combination of keyboard keys - e.g. holding down Ctrl and Shift and pressing the left or right arrow key - you can move the cursor and select the text in different directions. Step 7: Once text is selected (highlighted), it can be changed or edited as required. ## 4. How To Change Text Size And Font Step 1: Open an existing Word document or start a new document and type your text. Step 2: If you'd like to change a portion of the text to a different font, it will need to be selected or highlighted first. When the mouse pointer is moved over a text area, it will change from an arrow to a 'text select' or 'I-beam' icon. Step 3: Select your text so that it's highlighted. Step 4: To change the font style, click the arrow next to the font style in the ribbon at the top of your document. ## Step 5: Choose Your Font Style From The Drop-Down List Given Step 6: Next to the font style box is a box containing a number and an arrow. This changes the size of the font. Click on the arrow Step 7: Choose the size of font from the drop-down list of options ## Step 8: If you'd like the same size and style of font set up every time you start a new document, you can set a 'default font'. Click on the 'Font' arrow just above the main screen. ## Step 9: A dialogue box will pop up. In this, choose your font size and style from the options Step 10: Click Set as Default in the bottom left-hand corner of the dialogue box. Step 11: Another dialogue box will pop up asking if you're sure you want to change the font for all Word documents. Click Yes. Now, whenever you open a new document in Word, the default font will be used. ## 5. How To Print A Document To print a document, your computer needs to be connected to a printer. Step 1: Open an existing Word document or start a new document and type your text. Step 2: Once you've completed your document and are ready to print, click 'File' in the top left-hand corner. Step 3: Move down and click 'print' in the menu. This will bring up the 'Print' dialogue box. ## Step 4: Choose How Many Copies Of Your Document You Need. Step 5: Depending on your printer options, you can choose other printing features such as whether you want to print all pages or only certain pages. You can also change the orientation of the print from portrait to landscape and tell your computer and printer whether you're printing on a certain size of paper. You'll also see, on the right, a preview of your printed document will look like. Step 6: When you're happy with your settings, click 'Print'. The document will now start printing on your printer. ## 6. How To Save A Document It is good practice to regular save your document as you are working on it. This means that your document will be backed up on the computer in case your computer inexplicitly shuts down which would result in losing your document if it is not saved. There are several ways to save a document in word. The following instructions will take you through the different options. Step 1: If you are saving a document for the first time, on the 'Quick Access Toolbar', click 'Save' , or press 'CTRL+S.' Step 2: Type a name for the document, and then click 'Save'. Word saves the document in a default location. To save the document in a different location, select another folder in the list of folders. ## Save An Existing Document As A New Document (Save As) To prevent overwriting the original document, use the 'Save As' command to create a new file as soon as you open the original document. Step 1: Open the document that you want to save as a new file. Step 2: Click the 'File' tab. Step 3: Click 'Save As'. Step 4: Type a name for the document, and then click 'Save'. Step 5: Word saves the document in a default location. To save the document in a different location, click another folder in the 'Save in' list (down the left hand side) in the 'Save As' dialog box. If you want to change the default location where Word saves documents, adjust settings for saving documents. ## Adjust Settings For Saving Documents Step 1: Click the 'File' tab. Step: 2 Under 'Help' click 'Options'. ## Step 3: Click 'Save'. Step 4: In the 'Save files in this format box', click the file format that you want to use. Step 5: Next to the 'Default file location' box, click 'Browse', and then click the folder where you want to save your files. These options control the default behavior the first time that you use the 'Open', 'Save', or 'Save As' command when you start Word. Whenever you save a document, you can override these settings by specifying a different location or format in the 'Open', 'Save', or 'Save As' dialog box.	en
0974-pdf	## Allergen Guidance For Food Businesses Guidance for food businesses on providing allergen information and best practice for handling allergens. Food business operators in the retail and catering sector are required to provide allergen information and follow labelling rules as set out in food law. This means that food business operators must: provide allergen information to the consumer for both prepacked and non-prepacked food and drink handle and manage food allergens effectively in food preparation. Food businesses must make sure that staff receive training on allergens. Staff can complete our free food allergy training. Managers can also share our allergen checklist with staff for tips on food allergy best-practice. We have separate guidance for food manufacturers and institutional caterers. ## 14 Allergens Food businesses need to tell customers if any food they provide contain any of the listed allergens as an ingredient. Consumers may be allergic or have intolerance to other ingredients, but only the 14 allergens are required to be declared as allergens by food law. The 14 allergens are: celery, cereals containing gluten (such as barley and oats), crustaceans (such as prawns, crabs and lobsters), eggs, fish, lupin, milk, molluscs (such as mussels and oysters), mustard, peanuts, sesame, soybeans, sulphur dioxide and sulphites (if they are at a concentration of more than ten parts per million) and tree nuts (such as almonds, hazelnuts, walnuts, brazil nuts, cashews, pecans, pistachios and macadamia nuts). This also applies to additives, processing aids and any other substances which are present in the final product. ## Allergen Labelling For Different Types Of Food There are a number of ways in which allergen information can be provided to your customers. You will need to choose the method which is best for your business and the type of food you serve. Prepacked foods refer to any food put into packaging before being placed on sale, while nonprepacked food (loose food) is unpackaged food. Different allergen labelling rules apply depending on how the food is provided. Our technical guidance provides a detailed explanation of the labelling requirements for each ## Important Eu References In Fsa Guidance Documents The FSA is updating all EU references, to accurately reflect the law now in force, in all new or amended guidance published since the Transition Period ended at the end of 2020. In some circumstance it may not always be practicable for us to have all EU references updated at the point we publish new or amended guidance. Other than in Northern Ireland, any references to EU Regulations in this guidance should be read as meaning retained EU law. You can access retained EU law via HM Government?EU Exit Web Archive. This should be read alongside any EU Exit legislation that was made to ensure retained EU law operates correctly in a UK context. EU Exit legislation is on?legislation.gov.uk. In Northern Ireland, EU law will continue to apply in respect to the majority of food and feed hygiene and safety law, as listed in the Northern Ireland Protocol, and retained EU law will not apply to Northern Ireland in these circumstances. ## Tips Use our allergen and ingredients food labelling tool to find out more about the different requirements for food labelling and what your business needs to do. ## Prepacked Prepacked products refer to any food put into packaging before being placed on sale. Food is prepacked when it: is either fully or partly enclosed by the packaging cannot be altered without opening or changing the packaging is ready for sale. Prepacked food must have an ingredients list present on the packaging. Allergens present in the product must be emphasised each time they appear in the ingredients list. ## Prepacked For Direct Sale Prepacked for direct sale products are foods that have been packed on the same premises from which they are being sold. Common foods that can fall into this category include sandwiches, salads and pies made and sold from the premises in which they are made. It is expected that the customer is able to speak with the person who made or packed the product to ask about ingredients. Currently, allergen information can be provided in the same way as for non-prepacked (loose) foods. From October 2021, the way food businesses must provide allergen labelling information for Prepacked for Direct Sale (PPDS) will change. Foods will need to have a label with a full ingredients list with allergenic ingredients emphasised within it. These changes will provide essential information to help people with a food allergy or intolerance make safe food choices. ## Non-Prepacked (Loose) Foods If you provide non-prepacked foods, you must supply allergen information for every item that contains any of the 14 allergens. Non-prepacked (loose) foods include: foods sold loose in retail outlets foods which are not sold prepacked. Non-prepacked allergen information requirements can apply to loose items sold at a delicatessen counter, a bakery, a butcher's, as well as meals served in a restaurant, and food from a takeaway. ## Free-From, Gluten-Free And Vegan Claims Making free-from claims for foods requires strict controls of ingredients, how they are handled and how they are prepared. A free-from claim is a guarantee that the food is suitable for all with an allergy or intolerance. For example, if you are handling wheat flour in a kitchen and you cannot remove the risk of crosscontamination through segregation by time and space, you should let the customer know. You should not make any gluten-free or wheat-free claims. The Food and Drink Federation provides specific information and guidance on free-from and gluten-free claims. Customers sometimes assume that vegan meals are free-from animal based allergens (egg, fish, crustaceans, molluscs, milk). This is not always the case as low-level cross-contamination from these ingredients can occur during the production process. You need to be clear about this risk in the food you provide. The Food and Drink Federation provides specific information and guidance on allergen-free and vegan claims. ## Allergen Information For Different Types Of Food Businesses How you provide allergen information to customers will depend on the type of food business. Food business staff can learn more about providing allergen information by completing our free food allergy training and by using our allergen checklist. ## Food Businesses You must provide allergen information in writing if you sell or provide food to your customers directly. This could be either: full allergen information on a menu, chalkboard or in an information pack a written notice placed in a clearly visible position explaining how your customers can obtain this information When allergen information is provided as part of a conversation with a customer, this can be backed up by written information. This would ensure that it is accurate and consistent. You can display this allergy and intolerance sign to tell customers how they can find allergy information, or create your own. ## Buffets If you offer food in the form of a buffet, you need to provide allergen information for each food item separately. You should not provide it for the buffet as a whole. You can provide this information by labelling the allergens contained in individual dishes, or by displaying a sign directing customers to ask staff for allergen information. This information must be visible, clearly legible and easily accessible to the customer. ## Food Delivery And Takeaway Food If food is sold online or by phone through distance selling, allergen information must be provided at two stages in the order process. You must provide allergen information: before the purchase of the food is completed - this can be in writing (on a website, catalogue or menu) or orally (by phone) when the food is delivered - this can be in writing (allergen stickers on food or an enclosed copy of a menu) or orally (by phone). Allergen information should be available to a customer in written form at a point between a customer placing the order and taking delivery of it. Takeaway meals should be labelled clearly so customers know which dishes are suitable for those with an allergy. ## Allergen Requirements And Best-Practice For Food Businesses It is important to manage allergens effectively in your food business to ensure food is safe for customers with food allergies. This involves including allergen information when menu planning and having good food preparation and hygiene practices in place to avoid cross-contamination in your kitchen. Detailed guidance on how to manage allergens in the kitchen can be found in our Safer food, better business information packs for caterers. We provide free food allergy training on best practice for managing allergens. You can also share our allergen checklist with staff. ## Allergen Ingredient Recording You need to make sure that you know what is in the food you provide. You can do this by recording allergen ingredient information in a written format. Allergen ingredients information should be: recorded on product specification sheets included on ingredients labels and ingredients should be kept in original or labelled containers included in recipes or explanations of the dishes provided - you need to consider the impact when recipes change up to date. We have allergen ingredient templates and other training resources which may be useful in allergen planning your menu. ## Avoiding Allergen Cross-Contamination It is important for food businesses to take steps to avoid cross-contamination in food preparation to protect customers with a food allergy. There are a number of actions you can take to prevent cross-contamination with allergens. These include: cleaning utensils before each usage, especially if they were used to prepare meals containing allergens washing hands thoroughly between preparing dishes with and without certain allergens storing ingredients and prepared foods separately in closed and labelled containers keeping ingredients that contain allergens separate from other ingredients Allergen cross-contamination can also happen through using the same cooking oil. To cook gluten-free chips, you can't use the same oil which has been previously used for cooking battered fish. If you can't avoid cross-contamination in food preparation, you should inform customers that you can't provide an allergen-free dish. The Food and Drink Federation provides specific information and guidance on free-from and gluten-free claims. ## Enforcement And Penalties Apart from the possibility of making a customer seriously ill, you could also face the risk of financial and reputational damage to your food business if you fail to comply with allergen information requirements. Local authorities enforce allergen information regulations. Failure to comply can result in action from the local authority. If you fail to act on advice given by the local authority, an improvement notice may be issued. If you do not meet the requirements of this notice, you will be issued with a penalty. You have 14 days to appeal an improvement notice from the date the notice was issued. In some cases businesses may also face prosecution.	en
2407-pdf	## The Eatwell Guide Helping you eat a healthy, balanced diet Public Health England in association with the Welsh Government, Food Standards Scotland and the Food Standards Agency in Northern Ireland. ## Get Started Now Eating well and having a healthy lifestyle can help us feel our best - and make a big difference to our long-term health. So why not make a change today? The Eatwell Guide shows the proportions in which different types of foods are needed to have a well-balanced and healthy diet. The proportions shown are representative of your food consumption over the period of a day or even a week, not necessarily each meal time. ## Is The Eatwell Guide For Me? The Eatwell Guide applies to most people regardless of weight, dietary restrictions/ preferences or ethnic origin. However, it doesn't apply to children under 2 because they have different nutritional needs. Between the ages of 2 and 5, children should gradually move to eating the same foods as the rest of the family, in the proportions shown on the Eatwell Guide. Anyone with special dietary requirements or medical needs might want to check with a registered dietitian on how to adapt the Eatwell Guide to meet their individual needs. ## How Can The Eatwell Guide Help? The Eatwell Guide shows the different types of foods and drinks we should consume - and in what proportions - to have a healthy, balanced diet. • Eat at least 5 portions of a variety of fruit and vegetables every day • Base meals on potatoes, bread, rice, pasta or other starchy carbohydrates; choosing wholegrain versions where possible • Have some dairy or dairy alternatives (such as soya drinks); choosing lower fat and lower sugar options • Eat some beans, pulses, fish, eggs, meat and other proteins (including 2 portions of fish every week, one of which should be oily) • Choose unsaturated oils and spreads and eat in small amounts • Drink 6-8 cups/glasses of fluid a day If consuming foods and drinks high in fat, salt or sugar have these less often and in small amounts. ## When Should I Use The Eatwell Guide? You can use the Eatwell Guide to help you make healthier choices whenever you're: • deciding what to eat • at home cooking • out shopping for groceries • eating out in a restaurant, cafe or canteen • choosing food on the go Aim to fill your trolley with a healthy balance of different types of food. ## How Does It Work? The Eatwell Guide divides the foods and drinks we consume into five main groups. Try to choose a variety of different foods from each of the groups to help you get the wide range of nutrients your body needs to stay healthy and work properly. It is important to get some fat in the diet, however, foods high in fat, salt and sugar are placed outside of the main image as these types of foods are not essential in the diet and most of us need to cut down on these to achieve our healthy balance. Unsaturated fats from plant sources, for example vegetable oil or olive oil, are healthier types of fat. But remember, all types of fat are high in energy and so should only be eaten in small amounts. Many of the foods we eat, such as pizzas, casseroles, pasta dishes and sandwiches, are combination foods and contain ingredients from more than one of the food groups. For these sorts of food, you just need to work out the main ingredients and think about how these fit with the sections on the guide. For example, if you're having a cottage pie the potato fits into the yellow segment, the milk in the mashed potato fits into the blue segment, the spread in the mashed potato fits into the purple segment, the meat, meat substitute or beans would fall into the pink segment, the onion, carrots and peas would fit into the green segment. Let's take a closer look at each of the food groups... ## A Closer Look At Fruit And Vegetables Most people know we should be eating more fruit and veg, but many of us aren't eating enough. Fruit and veg should make up just over a third of the food we eat each day. Aim to eat at least five portions of a variety of fruit and veg each day. If you count how many portions you're having, it might help you increase the amount and variety of fruit and veg you eat. Choose from fresh, frozen, canned, dried or juiced. A portion is 80g or any of these: 1 apple, banana, pear, orange or other similar-size fruit, 3 heaped tablespoons of vegetables, a dessert bowl of salad, 30g of dried fruit (which should be kept to mealtimes) or a 150ml glass of fruit juice or smoothie (counts as a maximum of one portion a day). ## Potatoes, Bread, Rice, Pasta And Other Starchy Carbohydrates Starchy food is a really important part of a healthy diet and should make up just over a third of the food we eat. Choose higher-fibre, wholegrain varieties when you can by purchasing wholewheat pasta, brown rice, or simply leaving the skins on potatoes. Base your meals around starchy carbohydrate foods. So, you could: • start the day with a wholegrain breakfast cereal; choose one lower in salt and sugars • have a sandwich for lunch • round off the day with potatoes, pasta or rice as a base for your evening meal Some people think starchy food is fattening, but gram for gram it contains less than half the calories of fat. You just need to watch the fats you add when you're cooking and serving this sort of food, because that's what increases the calorie content. ## Why Choose Wholegrain? Wholegrain food contains more fibre than white or refined starchy food, and often more of other nutrients. We also digest wholegrain food more slowly so it can help us feel full for longer. Wholegrain food includes: wholemeal and wholegrain bread, pitta and chapatti, wholewheat pasta, brown rice, wholegrain breakfast cereals and whole oats. Remember, you can also purchase high fibre white versions of bread and pasta which will help to increase your fibre intake using a like-for-like substitute of your family favourites. Dairy and alternatives Try to have some milk and dairy food (or dairy alternatives) - such as cheese, yoghurt and fromage frais. These are good sources of protein and vitamins, and they're also an important source of calcium, which helps to keep our bones strong. Some dairy food can be high in fat and saturated fat, but there are plenty of lower-fat options to choose from. Go for lower fat and lower sugar products where possible. For example, why not try 1% fat milk which contains about half the fat of semi-skimmed milk without a noticeable change in taste or texture? Or reduced fat cheese which is also widely available. Or you could have just a smaller amount of the full-fat varieties less often. When buying dairy alternatives, go for unsweetened, calcium-fortified versions. ## Beans, Pulses, Fish, Eggs, Meat And Other Proteins These foods are sources of protein, vitamins and minerals, so it is important to eat some foods from this group. Beans, peas and lentils (which are all types of pulses) are good alternatives to meat because they're naturally very low in fat, and they're high in fibre, protein, vitamins and minerals. Pulses, or legumes as they are sometimes called, are edible seeds that grow in pods and include foods like lentils, chickpeas, beans and peas. Other vegetablebased sources of protein include tofu, bean curd and mycoprotein; all of which are widely available in most retailers. Aim for at least two portions (2 x 140g) of fish a week, including a portion of oily fish. Most people should be eating more fish, but there are recommended limits for oily fish, crab and some types of white fish. For more information on fish please see www.nidirect.gov.uk/fish-and-shellfish. Also www.msc.org for more guidance on sustainably sourced fish. Some types of meat are high in fat, particularly saturated fat. So when you're buying meat, remember that the type of cut or meat product you choose, and how you cook it, can make a big difference. To cut down on fat: choose lean cuts of meat and go for leaner mince, cut the fat off of meat and the skin off of chicken, try to grill meat and fish instead of frying and have a boiled or poached egg instead of fried. If you eat more than 90g of red or processed meat per day, try to cut down to no more than 70g per day. The term processed meat includes sausages, bacon, cured meats and reformed meat products. ## Oils And Spreads Although some fat in the diet is essential, generally we are eating too much saturated fat and need to reduce our consumption. Unsaturated fats are healthier fats that are usually from plant sources and in liquid form as oil, for example vegetable oil, rapeseed oil and olive oil. Swapping to unsaturated fats will help to reduce cholesterol in the blood, therefore it is important to get most of our fat from unsaturated oils. Choosing lower fat spreads, as opposed to butter, is a good way to reduce your saturated fat intake. Remember that all types of fat are high in energy and should be limited in the diet. ## Foods High In Fat, Salt And Sugars This includes products such as chocolate, cakes, biscuits, full-sugar soft drinks, butter and ice-cream. These foods are not needed in the diet and so, if included, should only be done infrequently and in small amounts. If you consume these foods and drinks often, try to limit their consumption so you have them less often and in smaller amounts. Food and drinks high in fat and sugar contain lots of energy, particularly when you have large servings. Check the label and avoid foods which are high in fat, salt and sugar! ## Hydration Aim to drink 6-8 glasses of fluid every day. Water, lower fat milk and sugar-free drinks including tea and coffee all count. Fruit juice and smoothies also count towards your fluid consumption, although they are a source of free sugars* and so you should limit consumption to no more than a combined total of 150ml per day. Sugary drinks are one of the main contributors to excess sugar consumption amongst children and adults in the UK. Swap sugary soft drinks for diet, sugar-free or no added sugar varieties to reduce your sugar intake in a simple step. Alcohol Alcohol also contains lots of calories (kcal) and should be limited to no more than 14 units per week for men and women. The calorific content of an alcoholic beverage depends on the type of alcohol, the volume served and the addition of mixers. As an example 1 pint of standard strength lager contains approximately 135kcals and a 175ml medium glass of wine contains approximately 135kcals. A 25ml shot of spirit (40% vol) contains approximately 56kcals and a 35ml shot of spirit (40% vol), which is the measure used in Northern Ireland, contains approximately 78kcals. ## Food Labelling Lots of pre-packaged foods have a food label on the front of pack which shows the nutrition information per serving. They also refer to reference intake which tells you how much of each nutrient should be included in the daily diet. The percentage refers to the contribution that the product makes to the reference intake for each nutrient. Free sugars - Any sugar added to food or drink products by the manufacturer, cook or consumer including those naturally found in honey, syrups and unsweetened fruit juice. Food labels can help you to choose between foods and to pick those that are lower in energy, fat, saturated fat, sugar and salt. Where colour coded labels are used you can tell at a glance if they are high, medium* or low in fat, saturated fat, sugars and salt. For a healthier choice, try to pick products with more greens and ambers and fewer reds. Remember that the portion sizes used on the label are suggestions and may not be the same as you actually consume. For example, some foods and drinks commonly consumed as single servings have the nutritional information presented per half pack. To find out more about food labelling you can visit www.nidirect.gov.uk/front-of-pack-labelling. ## Cutting Down On Saturated Fat Cutting down on saturated fat can lower your blood cholesterol and reduce your risk of heart disease. Most people in the UK eat too much saturated fat. The average man should have no more than 30g saturated fat a day. The average woman should have no more than 20g saturated fat a day. Children should have less saturated fat than adults. But remember that a low-fat diet isn't suitable for children under five. One of the easiest ways to cut down on saturated fat is to compare the labels on similar products and choose the one lower in saturated fat. Watch out for foods that are high in saturated fat, including fatty cuts of meat, sausages, butter, cream, cheese, chocolate, pastries, cakes and biscuits. You don't need to stop eating these foods altogether, but eating too much of these can make it easy to have more than the recommended maximum amount of saturated fat. To find out more, see www.nidirect.gov.uk/types-of-fat. ## Cutting Down On Sugar Regularly consuming foods and drinks high in sugar increases your risk of obesity and tooth decay. Ideally, no more than 5% of the energy we consume should come from free sugars. Currently, children and adults across the UK are consuming 2-3 times that amount. Age Recommended maximum free sugars intake Sugar cubes 4-6 years No more than 19g/day 5 cubes 7-10 years No more than 24g/day 6 cubes From 11 years, including adults No more than 30g/day 7 cubes Free sugars - Any sugar added to food or drink products by the manufacturer, cook or consumer including those naturally found in honey, syrups and unsweetened fruit juice. Many packaged foods and drinks contain surprisingly high amounts of free sugars including some breakfast cereals, yoghurts and fruit juice drinks. Use the food label to help you choose foods lower in sugar. Swap sugary breakfast cereals for plain cereals such as plain porridge, wholewheat biscuit cereals, shredded wholewheat or no added sugar muesli. Cereal bars often contain high levels of free sugars too, so remember to check the label. Swap flavoured or corner-style yoghurts for low fat, lower sugar yoghurts, adding fresh fruit for variety. Sugary drinks have no place in a child's daily diet but account for a surprisingly large proportion of the daily sugar intake of both children and adults. Almost a third of the free sugars consumed by 11-18 year olds comes from soft drinks. We should aim to swap sugary drinks for water, lower fat milk or sugar-free drinks including tea and coffee. Be sure to check the label for added sugar. For more information, visit www.nidirect.gov.uk/sugars. ## Cutting Down On Salt Eating too much salt can raise your blood pressure, which increases your risk of developing heart disease or stroke. And since many people in the UK eat too much salt, that means that lots of people would benefit from cutting down. Adults should eat no more than 6g of salt a day. Children should have even less. 6g of salt is about a teaspoonful. But remember we're not just talking about the salt you add to your food because most of the salt we eat is already in everyday foods such as bread, breakfast cereal, pasta sauce and soup. Try replacing salt with pepper, herbs and spices to add flavour to your favourite dishes. Checking the label and choosing foods that are lower in salt is one of the best ways to cut down. For more information, visit www.nidirect.gov.uk/salt. ## How Much Food Do I Need? We all need different amounts of energy (or calories) from food to be a healthy weight. How much you need depends on lots of things, including how active you are. Whenever we eat more than our body needs, we put on weight. This is because we store the energy we don't use as fat. Even if we have just small amounts of extra energy each day, we can put on weight. And most people in the UK eat more than they need. Daily energy requirements kcal kJ \| 1 \| 765 \| 3201 \| 717 \| 3000 \| \|-------------\|-------\|--------\|-------\|--------\| \| 2 \| 1004 \| 4201 \| 932 \| 3899 \| \| 3 \| 1171 \| 4899 \| 1076 \| 4502 \| \| 4 \| 1386 \| 5799 \| 1291 \| 5402 \| \| 5 \| 1482 \| 6201 \| 1362 \| 5699 \| \| 6 \| 1577 \| 6598 \| 1482 \| 6201 \| \| 7 \| 1649 \| 6899 \| 1530 \| 6402 \| \| 8 \| 1745 \| 7301 \| 1625 \| 6799 \| \| 9 \| 1840 \| 7699 \| 1721 \| 7201 \| \| 10 \| 2032 \| 8302 \| 1936 \| 8100 \| \| 11 and over \| 2500 \| 10,460 \| 2000 \| 8368 \| ## Try To: • eat only as much food as you need. Improve the balance of your diet by looking at the Eatwell Guide • get more active! If you're eating a good balance of the different food groups, and you're a healthy weight, you're probably eating about the right amount If you're overweight, then you may need to eat less, improve the balance of your diet and/or get more active. Ask your GP, or another health professional, for advice about losing weight. Do you know if you're a healthy weight? Find out at: www.nidirect.gov.uk/healthy-weight. ## Do I Need Vitamin And Mineral Supplements? Most people can get all the nutrients their body needs by eating healthily. However, some people do need certain supplements. For example, if you are planning a pregnancy, you should take a daily 400 microgram (μg) folic acid supplement from the time you stop using contraception until the 12th week of pregnancy. Women who have already had a pregnancy affected by neural tube defects, or if there is a history of neural tube defects in the family, need to take 5mg of folic acid each day until the 12th week of pregnancy. In addition, women who have diabetes and those taking anti-epileptic medicines should consult their GP for advice. In spring and summer, most people will get all the vitamin D they need through sunlight on the skin and from a healthy, balanced diet. However, during the autumn and winter we need to rely on dietary sources of vitamin D. Since it is difficult for people to get enough vitamin D from food alone, everyone should consider taking a daily supplement containing 10 micrograms of vitamin D during autumn and winter. People whose skin has little or no exposure to the sun, or who always cover their skin when outside, risk vitamin D deficiency and need to take a daily supplement containing 10 micrograms of vitamin D throughout the year. Ethnic minority groups with dark skin, from African, Afro- Caribbean and South Asian backgrounds, may not get enough vitamin D from sunlight in the summer and therefore should consider taking a supplement all year round. Children aged 1 to 4 years should also have a daily 10 microgram vitamin D supplement. As a precaution, all babies under 1 year should have a daily 8.5 to 10 microgram vitamin D supplement to ensure they get enough. Children who have more than 500ml of infant formula a day do not need any additional vitamin D as formula is already fortified. For more information, talk to your GP or another health professional, or visit www.nidirect.gov.uk/articles/vitamin-d. ## Remember Fruit Juice And/Or 8 Tips For Eating Well Smoothies Should Be Limited To No More Than 150Ml Per Day In Total. 1. Base your meals on starchy foods 2. Eat lots of fruit and veg 3. Eat more fish - including a portion of Leaner: Choose leaner cuts of meat and poultry, remove any visible fat. oily fish each week Lower: Go for lower fat, salt and sugar products - especially dairy and starchy carbohydrate foods. 4. Cut down on saturated fat and sugar 5. Eat less salt - no more than 6g a day for adults 6. Get active and be a healthy weight 7. Don't get thirsty 8. Don't skip breakfast Less: Use less oils and spreads. Choose foods high in fat, salt and sugar less often. \| Food group \| What's included? \| How much? \| Tips \| \|--------------\|--------------------\|-------------\|--------\| All fruit and vegetables including fresh, frozen, canned, dried and juiced varieties. Potatoes do not count as they are considered a starchy carbohydrate food. Fruit and vegetables • bread, including: • potatoes • polenta • breakfast cereals, oats • millet, spelt • pasta, noodles • wheat, pearl barley • maize, cornmeal • yams and plantains soda bread, rye bread, pitta, flour tortilla, baguettes, chapatti, bagels Potatoes, bread, rice, pasta and other starchy carbohydrates • couscous, bulgur • rice Dairy and dairy alternatives Milk, cheese, yoghurt, fromage frais, quark, cream cheese. This also includes non-dairy alternatives to these foods. Butters and creams are not included in this group as they are high in saturated fat and so they fit into the 'foods to eat less often and in small amounts' section. • meat, poultry and game, • oily fish (fresh, frozen • nuts • eggs Beans, pulses, fish, eggs, meat and other proteins • beans and other pulses, including: lamb, beef, pork, chicken, bacon, sausages, burgers or canned), including: mackerel, sardines, trout, salmon, whitebait • white fish (fresh, frozen or • shellfish (fresh, frozen including: lentils, whitebait chickpeas, baked beans, • vegetarian meat canned), including: haddock, plaice, pollock, coley, cod, tuna kidney beans, butter beans or canned), including: prawns, mussels alternatives e.g. tofu, mycoprotein Oils and spreads Unsaturated oils including vegetable oil, rapeseed oil, olive oil and sunflower oil. Soft spreads made from unsaturated oils. Butters are not included in this section as these are high in saturated fat and are included in the 'foods to eat less often and in small amounts' section. • cakes • pastries • sauces • biscuits • ice cream • butter Foods to eat less often and in small amounts \| • chocolate \| • jam \| • cream \| \|---\|---\|---\| \| • sweets \| • honey \| • mayonnaise \| \| • puddings \| • crisps \| \| Eat plenty of fruit and vegetables. Aim for at least 5 portions of a variety of fruit and vegetables every day. Remember that a portion of dried fruit is 30g and should be kept to mealtimes. Limit fruit juice and smoothies to a combined total of 150ml which counts as 1 of your 5 A Day. There is evidence to suggest that people who eat lots of fruit and veg are less likely to develop chronic diseases such as coronary heart disease and some types of cancer. Try to eat as many different types of fruit and vegetables as possible. Avoid adding sauces/ dressing high in fat, salt or sugar to your fruit and veg e.g. chocolate sauce on banana or honey/butter glaze on your parsnips. Bulk out your meals with vegetables such as grated carrot, mushrooms or peppers for an extra portion of your 5 A Day which will make your meal spread further. Remember to keep fruit in your bag as a convenient and healthy snack and frozen vegetables in your freezer so you don't run out. Eat plenty of starchy carbohydrates including potatoes, bread, rice and pasta. Choose wholegrain varieties, or keep the skins on potatoes, for more fibre, vitamins and minerals. Base your meals around starchy carbohydrates. Check the labels and choose the products lowest in fat, salt and sugar. If you are having chips, go for oven chips lower in fat and salt. If you are serving starchy foods, try to avoid adding too much fat (eg oil or butter on roast potatoes) or sauces (creamy pasta) as these contain lots of calories. Eat some dairy or dairy alternatives. Choose lower fat options when possible. For products like yoghurt, check the label and go for ones lower in fat and sugars. Try swapping to 1% fat milk as opposed to whole or semi-skimmed milk. Cheese is high in saturated fat, so try buying reduced fat cheese. Alternatively grate it instead of slicing it to avoid using more than you need. Try to use low fat plain yoghurt as opposed to cream, crème fraiche or mayonnaise. Eat some beans, pulses, fish, eggs, meat and other proteins. Eat at least 2 portions (2 x 140g) of fish each week, one of which is oily. Limit processed meats such as sausages, bacon and cured meats. If you eat more than 90g per day of red or processed meats, try to reduce the amount to no more than 70g per day. When you're cooking and serving these foods, try not to add extra fat or oil. When you're buying meat, ask your butcher for a lean cut or compare the labels on different products and choose the one lower in saturated fat. Watch out for meat and fish products in pastry, batter or breadcrumbs as these can be high in fat and/or salt. Remember that an 80g portion of beans or pulses can count as 1 of your 5 A Day! Use these products sparingly as they are high in fat. Cutting down on these types of foods could help to control your weight as they are high in calories. Choose lower fat spreads where possible and use sparingly. Check the label and choose oils high in unsaturated fat and low in saturated fat. Oils expand when heated and so heating oil in the pan before you use it will make it go further so you don't need to use as much. These foods are not required as part of a healthy, balanced diet. If included, they should only be consumed infrequently and in small amounts. Most of us need to cut down on the amount of high fat, salt and sugar foods we eat and drink. Use lower fat spread instead of butter. Swap cakes and biscuits for a slice of malt loaf or a teacake with low fat spread. If you add sugar to your food or drinks, gradually reduce the amount you add until your taste buds adapt and you can cut it out altogether. Alternatively try using a calorie-free sweetener instead. ## How Can I Find Out More About Healthy Eating? To find out more: • get general advice from food.gov.uk/eatwell and www.nidirect.gov.uk/eat-well • contact your local community dietician, you can do this through your health centre or GP • for healthy eating ideas, handy tips and recipes visit, www.choosetolivebetter.com © Crown copyright 2020 Gateway number: 2015588 You may re-use this information (excluding logos) free of charge in any format or medium, under the terms of the Open Government Licence v3.0. To view this licence, visit OGL. Where we have identified any third party copyright information you will need to obtain permission from the copyright holders concerned.	en
1759-pdf	ISSUING OFFICE ADDRESS LINE 1-----X ISSUING OFFICE ADDRESS LINE 2-----X ISSUING OFFICE ADDRESS LINE 3-----X ISSUING OFFICE ADDRESS LINE 4-----X ISSUING OFFICE ADDRESS LINE 5-----X ISSUING OFFICE ADDRESS LINE 6-----X POSTCODE X REPRINT-REFERENCE--X 999 Unique tax reference (UTR) 99999 99999 RECIPIENT NAME LINE 1 ------------X RECIPIENT NAME LINE 2 ------------X ADDRESS LINE 1 -------------------X ADDRESS LINE 2 -------------------X ADDRESS LINE 3 -------------------X ADDRESS LINE 4 -------------------X ADDRESS LINE 5 -------------------X POSTCODE X Accounts Office reference 999PA99999999 CIS Helpline 9999 999 9999 Date 99 XXXXXXXXX 9999 ## 99/99/9999 Construction Industry Scheme Contractor'S Monthly Return For Period Ending We have received your Contractor's monthly return for the above period. There are no amounts entered on the monthly return and you have not filled in the nil declaration box on page 4. Although we have treated this as a nil return, please make sure that future returns are filled in correctly.	en
4333-pdf	## 29 October 2015 Offender Management Statistics Bulletin, England and Wales Quarterly April to June 2015 Ministry of Justice Statistical Bulletin Ministry of Justice S Statistical Bulletin ## Introduction This bulletin provides the latest statistics relating to offenders who are in prison or supervised in the community in England and Wales. The statistics are presented in detail, with commentary, and reference to longer term trends, in the following sections of the bulletin. This bulletin covers the prison population as at 30 September 2015 and the probation caseload as at 30 June 2015, and compares them to the same time in the previous year. This bulletin also covers prison receptions and probation starts, as the flows into these services, and releases from prison and probation terminations, as the flows out of these services. For each of these topics this bulletin reports on the quarter April to June 2015, compared to the same period in the previous year. Further information about background, data definitions, data quality issues, and users of the statistics are available in the accompanying document. The next edition of this bulletin, covering the period July to September 2015, with prison population figures as at 31 December 2015, will be published on 28 January 2016 at 9.30am. In the publication of Offender Management Quarterly Statistics January to March 2015, the number of prisoners reported as serving determinate sentences of ten years or more was misreported as 4,420 prisoners, representing 5% of the total prison population as at 30 June 2015. This was reported both in the key findings and the prison population section of the bulletin. While the underlying statistics were correct. Only prisoners serving 10 to less than 14 years were included in the total and those serving determinate sentences of 14 years or more were not. This value therefore should have been reported as 7,466 prisoners, representing 9% of the total prison population. ## Key Findings  The total number of prisoners has remained relatively stable over the last twelve months to 30 September 2015 with an increase of fewer than 200 prisoners. The composition of those on remand, sentenced and noncriminal population, however, has changed.  The sentenced prison population continues to shift towards a population serving longer determinate sentences. The number of prisoners serving determinate sentences of four years or more continued to increase. It can now be reported that 9% of the prison population, is serving a determinate sentence of ten years or more.  Prison receptions and releases for determinate sentences decreased across all sentence lengths over the last year, apart from receptions for long determinate sentences of four years or more, which continued to increase, by 19% compared to the same period in 2014.  The Offender Rehabilitation Act 2014 (ORA) expanded licence supervision so that anyone sentenced to more than a day in prison will receive at least 12 months supervision on release. This has affected both the probation caseload and the number of offenders recalled to custody to the end of June 2015.  The total annual probation caseload (court orders and pre and post release supervision) stood at 228,844 at the end of June 2015, up 5% on the end of June 2014. This rise is mainly due to the impact of ORA. The court order caseload (offenders on community orders (COs) and suspended sentence orders (SSOs)) rose slightly by 1%, with the CO caseload falling 1% but the SSO caseload rising by 7% between the quarters ending June 2014 and 2015. The increase in SSOs is likely to be related to legislative changes as described below.  There were 1,140 recalls of offenders serving a sentence of less than 12 months between April and June 2015. The fact that these sentences only became eligible for recall as a result of ORA, since 1 February 2015 explains the majority of the 28% increase in licence recalls compared with the same period in 2014.  The proportion of offenders not returned to custody by the end of September 2015, following a licence recall over the whole period 1999 to the end of March 2015, remained stable with only 6 in every 1,000 prisoners not being returned to custody. ## Prison Population The prison population grew rapidly between 1993 and 2008, at an average of 4% a year. This rapid rise was driven by:  Increases in the number of people sentenced to immediate custody from 1993 to 2002;  Increases in the average custodial sentence length and increased use of indeterminate sentences; and  Increases in the number of offenders recalled to prison following breaches of their licence conditions, along with increases in the average length of time these offenders spent in prison once recalled. The rise in the prison population slowed considerably from the summer of 2008, in part due to the introduction of the Criminal Justice and Immigration Act 2008, which changed sentencing and offender management in ways which helped to reduce growth in the prison population. This flatter trend continued until the public disorder seen in UK cities from 6 to 9 August 2011 which had an immediate but temporary impact on the prison population. During 2012 and into 2013, the prison population began to fall due to a falling remand population and a continued decline in the number of under 18s in custody. The falling remand population during 2012 reflected falling volumes going through the courts plus the introduction of the Legal Aid, Sentencing and Punishment of Offenders (LASPO) Act in December 2012. This Act restricted the use of remand for offenders who would be unlikely to receive a custodial sentence. The 'Story of the Prison Population 1993 to 2012' is an in-depth look at what happened to the prison population between 1993 and 2012 and the major factors contributing to the changes. Following the LASPO Act in December 2012, and up until the end of June 2013, the prison population stabilised. In particular, by March 2013 the remand population stopped falling as it had done since August 2011. After settling at a lower level the remand population then began to rise again from August 2013, and contributed to the sharp rise in the prison population seen between the end of August and October 2013. Overall, since June 2013 the prison population has increased, albeit at a slower rate than in previous years, typically growing at around 1% a year. ## The total number of prisoners has remained relatively stable over the last twelve months to 30 September 2015 with an increase of fewer than 200 prisoners. The composition of those on remand, sentenced and non-criminal population, however, has changed. This was driven by a 1% increase in the sentenced population and a 5% increase in the non-criminal population. Since the beginning of 2015, the remand population has gradually decreased, which is represented by an 8% drop since 30 September 2014. The demographics of the overall prison population are also changing. Remand Since late 2014, the remand population has steadily decreased to just under 11,500 prisoners as at 30 September 2015. This is consistent with Criminal Court Statistics Quarterly, which shows there to be a decreased number of outstanding cases in the Crown Court. The number of prisoners on remand for possession of weapons has nearly doubled over the last twelve months to 30 September 2015. This may be due to changes in the volume and nature of prosecutions for knife crime or linked to the provisions in the Criminal Justice and Courts Act 2015. Under the 2015 Act, offenders aged 18 or over convicted of a second offence of possession of a blade or offensive weapon sentenced on or after 17 July 2015 now face a minimum custodial sentence of six months or four months if the offender is aged between 16 or 17. It is possible increases in this offence group seen in earlier quarters may have been due to the impact of the Bill on the Justice system before its implementation. Sentenced In line with the long term trend, the sentenced population only increased slightly, however its composition continued to change. The number of prisoners serving sentences less than four years decreased whereas those serving determinate sentences of four years or more continued to increase. Over the twelve months to 30 September 2015, the number of prisoners serving these long determinate sentences increased by 6%. Much of this increase is attributable to the population serving an extended determinate sentence (EDS); there were 2,204 prisoners serving an EDS on 30 September 2015, which is now 3% of the sentenced prison population. Over a third of the prison population was serving a determinate sentence of four years or more, excluding indeterminate sentences, on 30 September 2015. As part of the more detailed breakdown on sentence lengths introduced, it can now be reported that 7,636 prisoners, representing 9% of the total prison population, were serving determinate sentences of ten years or more, excluding EDSs. This statistic was misreported in the July release. The rise in the long determinate sentenced population is in line with the increasing number of sentenced sex offenders. At the end of September 2015, there were 11,738 sentenced sex offenders in the prison population, which is 9% higher than twelve months before. This is consistent with the recent 'Crime in England and Wales' bulletin from the Office for National Statistics that reported the highest number of sexual offences recorded by the police since 2002/03, for the year ending June 2015. In contrast, the sentenced population for violence against the person offences remains the largest sentenced population by offence group and has increased by 3% over the last year to September 2015. The number of prisoners serving indeterminate sentences (IPP (Indeterminate Sentence for Public Protection) or life) was down 5% on the previous year, to 11,835. As a result of the abolition of the IPP sentence, offenders are no longer receiving these sentences and prisoners are only being released. Therefore over the last year, the decrease in the indeterminate sentence population is explained almost entirely by the IPP population. In the longer term, the IPP population has fallen by over a quarter from 6,020 as at the end of September 2012 to 4,431 as at the end of September 2015. The number of IPP prisoners who are post-tariff has remained broadly flat over the last year, meaning that the proportion of the population post-tariff has been increasing. More than three quarters of IPP prisoners are now post-tariff. The number of life sentenced prisoners remained stable at around 7,400. There were 52 whole-life prisoners at the end of June 2015, with four additional life prisoners being treated in secure hospitals. One life prisoner has moved from a secure hospital to prison since the last quarter. ## Recalls There is no clear evidence to explain the growth in the recall population, which has increased by 14% to 6,356 prisoners over the year. Whilst the Offender Rehabilitation Act 2014 (ORA) expanded licence supervision, so that anyone sentenced to more than a day in prison will receive at least 12 months supervision on release, this only came into effect for those who committed an offence and were sentenced after 1 February 2015. As at 30 September 2015 there were 315 prisoners recorded as being recalled under ORA, representing 5% of the recall population. Foreign National Offenders There was a slight increase in the foreign national population in custody, which was up 1% on the previous year to 10,442 on 30 September 2015. Looking at the longer trend, the foreign national population increased from the year 2002 to its highest value of 11,498 as at the end of June 2008 when they accounted for 14% of the population. There was then a small decrease in the population until March 2011 when it fell to 10,745. Since then the foreign national population has remained stable, representing around 12-13% of the population. The five most common nationalities, after British Nationals, in prisons in England and Wales are Polish, Irish, Romanian, Jamaican and Albanian, accounting for approximately one third of the foreign national population and one in twenty of the prison population overall. ## Prison Receptions First receptions count prisoners the first time they appear in prison from court. A prisoner's reception type is counted each time they are first received into custody as untried, convicted unsentenced, and sentenced prisoners from court. This means that prisoners can be counted in more than one of these categories if their custody status changes as they progress through the Criminal Justice System in the reporting period. A total of 24,790 offenders were received into custody as first receptions in the quarter ending June 2015. The total number of first receptions for this quarter is slightly lower than the number of first receptions seen in the preceding three quarters. There was a 7% decrease in the number of untried receptions when compared to the same quarter last year whilst the number of sentenced receptions increased marginally compared to April to June 2014. Large percentage decreases were observed relative to the same quarter in the previous year in the number of fine defaulters (44%) and indeterminate sentences (29%). There continues to be a trend for increased numbers of longer determinate sentences of four years or more. Young adult (18 to 20 years) and juvenile (15 to 17 years) untried remand receptions have decreased by more than a tenth compared to the same quarter last year. The number of young adult sentenced receptions has also decreased (13%) although this was less pronounced for 15 to 17 year olds (5%). For young adults, decreases in the number of receptions were observed in all categories of sentence lengths of less than 4 years. In contrast, the total number of young adult sentenced receptions for 4 years or more increased by 20%. Former Members of the Armed Forces In December 2014, the Government published a response to the review of exarmed forces in the criminal justice system. In line with recommendation 2, National Offender Management Service have been recording whether remand and newly sentenced prisoners have been a member of the armed services on first reception into prison. The intention is to publish this data in 2016 once sufficient validation and quality assurance checks have been completed. ## Prison Releases A total of 17,671 offenders were released from custody in the quarter ending June 2015, a decrease of 3% compared with the same quarter last year. This has been driven by decreases in the number of releases across all determinate sentence length bands. In contrast, there were 110 prisoners released from an IPP and a further 76 from a life sentence which when taken together have increased by 38% on the same quarter last year. In addition, 13 indeterminate sentenced prisoners were removed under the Tariff Expired Removal Scheme (TERS) in the latest quarter. This scheme allows indeterminate sentenced foreign national prisoners, who are liable to removal from the UK, to be deported from the country on or after the date of their tariff expiry without referral to the Parole Board. The scheme began in May 2012, and by the end of June 2015 there had been 326 removals in total. The number of releases on Home Detention Curfew (HDC) fell by 1% to 2,059 between the quarters ending June 2014 and June 2015. To be considered for release under HDC an offender must be serving a sentence of less than 4 years, and the number of offenders serving such sentences has been falling (see Prison population). The decrease of 4% in the eligible population will have a direct impact on the number that can be considered for HDC release and the number that are therefore subsequently released. Between April and June 2015, there were 83,091 incidences of release on temporary licence (ROTL) from prisons in England and Wales. This is a 31% reduction since the same period in 2014. All types of licence showed decreases. The number of release incidences for females decreased by 26%, compared to a 31% decrease for males over the same period. The number of individuals given at least one instance of ROTL between April and June 2015 was 3,668, which represents a 28% decrease compared to the same quarter last year. Of the individuals given at least one instance of ROTL, 21% were on an indeterminate sentence. There were 37 recorded temporary release failures (TRFs) between April and June 2015, which is around half of the number of failures seen in same quarter of the previous year. ## Probation Transforming Rehabilitation is a reform programme that is changing the way offenders are managed in the community. Since the 1st June 2014, Probation Trusts have been replaced by the National Probation Service (NPS), which manages the most high-risk offenders across seven divisions; and 21 new Community Rehabilitation Companies (CRCs), who manage medium and lowrisk offenders. The total annual probation caseload (court orders and pre and post release supervision) increased by 39% between 2000 and 2008 to 243,434. Since then the probation caseload fell year on year, reaching 217,359 at the end of 2014. However, at the end of June 2015, the total caseload stood at 228,844, up 5% on the number one year earlier. This recent rise is mainly due to statutory supervision on release from prison for all offenders given custodial sentences. The court order caseload (offenders on community orders (COs) and suspended sentence orders (SSOs)) rose slightly by 1%, with the CO caseload falling by 1% but the SSO caseload rising by 7% between the quarters ending June 2014 and 2015. The increase in SSOs is likely to be related to changes under the LASPO Act 2012, which provided for custodial sentences of two years or less to be suspended where previously only custodial sentences of 12 months or less could be suspended. The number of offenders starting COs and SSOs with requirements shows increases over this period, but this may be explained, at least partly, by the fact that starts were under-counted slightly in the previous quarter due to a change in the data collection methodology and the transition from probation trusts to NPS Divisions/CRCs from June 2014. In addition, in the quarter ending June 2015 there were 2,586 starts of SSOs without requirements attached. This brings the total number of stand-alone SSOs starts to more than 17,500 since they were introduced under the LASPO Act 2012 (see Accompanying Information Appendix A - Data sources and quality). The caseload of offenders supervised before or after release from prison increased by 10% between the quarters ending June 2014 and 2015, whilst the number of pre-release supervision starts has more than doubled. This is due to the introduction of the Offender Rehabilitation Act 2014 (ORA) on 1st February 2015, where all offenders given custodial sentences are now subject to statutory supervision on release from prison. Previously only adults sentenced to over 12 months in custody and all young offenders were subject to statutory supervision. With regards to the number of requirements started under court orders, there has again been a notable rise in curfews and standalone curfews in particular. This, as well as a rise in unpaid work requirements, may reflect the continuing impact of a mandatory punitive requirement in every community order, introduced from December 2013 under the Crime and Courts Act 2013. There have generally been falls across the other requirements, with the supervision requirement in particular being replaced by the rehabilitation requirement introduced under ORA. Of the court orders terminated in the quarter ending June 2015, 67% of community orders were terminated successfully; they either ran their full course or were terminated early for good progress. For the supervision periods of suspended sentence orders, some 70% were terminated successfully over this period. The number of court reports prepared by the Probation Service continued to fall over the last couple of years - 39,864 court reports were prepared in the quarter ending June 2015, reflecting the continuing downward trend in the number of cases being dealt with by the courts. In general, courts follow the sentences proposed in pre-sentence reports (PSRs), particularly where an immediate custodial sentence has been recommended. Around 88% of such proposed sentences in PSRs resulted in immediate custody. ## Licence Recalls A key element of public protection is that offenders released on licence should be effectively supervised in the community and swiftly recalled to custody if they breach their licence or if their behaviour gives cause for concern. It is explained to offenders at the outset that they are liable to be recalled to custody if they breach any of the conditions of their licence. There are various reasons why offenders are recalled to custody for breaching their licence conditions besides committing a further offence. For example, an offender may be recalled if there is any deterioration in behaviour which leads the National Offender Management Service (NOMS) to conclude that there is an increased risk of the offender committing further offences. There has been a 28% increase in licence recalls compared with April to June 2014; however this is almost entirely due to the implementation of the Offender Rehabilitation Act 2014 (ORA). Expanded licence supervision as a result of ORA came into effect for those sentenced from 1 February 2015 and means that anyone sentenced to more than a day in prison will receive at least 12 months supervision on release. April to June 2015 is therefore the first quarter in which offenders were eligible for this type of recall throughout the whole period. There were 1,140 recalls of offenders serving a sentence of less than 12 months between April and June 2015. The number of recalls of prisoners sentenced to 12 months or more (including indeterminate sentences), who would not be affected by ORA, increased by only 1% compared to the same quarter in 2014. Between April 1999 and June 2015, 196,121 of those released on licence were recalled to custody for breaching the conditions of their licence, e.g. failing to report to their probation officer. Of all those recalled over the period, 99.4% were returned by the end of September 2015. Of all those released on licence and recalled to custody between April 1999 and June 2015, there were 1,197 who had not been returned to custody by the end of September 2015. This means the proportion of prisoners not returned to custody over this period is 0.6%, which is constant compared to previous years. A further 18 offenders had not been returned to custody as of 30 September 2015 after recall between 1984 and April 1999, meaning the total number of offenders not returned to custody at the end of September 2015 was 1,215. These figures include some offenders believed to be dead or living abroad but who have not been confirmed as dead or deported. The last edition of OMSQ included a response to the consultation on how licence recalls tables could be presented after the changes made as part of the transforming rehabilitation reforms. It was intended that this edition would include a breakdown showing whether recalls occurred in the licence period or supervision period. Data quality work on this breakdown is ongoing and will be published in due course once it has been suitably quality assured. ## Contact Points Press enquiries should be directed to the Ministry of Justice press office: Tel: 020 3334 3536 Other enquiries about these statistics should be directed to: Nick Mavron Ministry of Justice Justice Statistics Analytical Services 7th Floor 102 Petty France London SW1H 9AJ General enquiries about the statistical work of the Ministry of Justice, or requests for alternative formats of this publication can be e-mailed to: statistics.enquiries@justice.gsi.gov.uk General information about the official statistics system of the UK is available from: statisticsauthority.gov.uk/about-the-authority/uk-statistical-system Ministry of Justice publishes data relating to offender management in England and Wales. Equivalent statistics for Scotland and Northern Ireland can be found at: www.scotland.gov.uk/Topics/Statistics/Browse/Crime-Justice www.dojni.gov.uk/index/statistics-research/stats-research-publications.htm This publication and associated spreadsheet files of the tables contained in this document and detailed information of definitions, sources and key legislative changes are available for download at: www.gov.uk/government/collections/offender-management-statistics-quarterly ## © Crown Copyright 2015 This publication is licensed under the terms of the Open Government Licence v3.0 except where otherwise stated. To view this licence, visit nationalarchives.gov.uk/doc/open-government-licence/version/3 or write to the Information Policy Team, The National Archives, Kew, London TW9 4DU, or email: psi@nationalarchives.gsi.gov.uk.	en
3177-pdf	# Public Records Bodies: Determination And Change Of Status ## How To Identify A Public Records Body ## © Crown Copyright 2012 You may re-use this information (excluding logos) free of charge in any format or medium, under the terms of the Open Government Licence. To view this licence, visit nationalarchives.gov.uk/doc/open-government-licence or email psi@nationalarchives.gsi.gov.uk. Where we have identified any third-party copyright information, you will need to obtain permission from the copyright holders concerned. This publication is available for download at nationalarchives.gov.uk. ## Contents \| Purpose \| 3 \| \|----------------------------------------------------------------------------------\|-----\| \| \| \| \| Determining of status \| \| \| \| \| \| Identifying a Public Records Body \| 5 \| \| \| \| \| Changing the status of a Public Body \| 6 \| \| \| \| \| New Public Bodies \| \| \| \| \| \| Non-public Record Bodies \| 7 \| \| \| \| \| Request for determination of status of records under the Public Records Act 1958 \| 8 \| \| \| \| \| Decision tree: Determination of status \| 10 \| \| \| \| \| Decision tree: Change of status \| \| \| \| \| ## Purpose The purpose of this guidance is to assist an organisation in determining whether it is a body which creates public records under the Public Records Act 19581. In this guidance, a body which creates public records will be referred to as a 'Public Records Body'. Under Schedule 1, paragraph 2 of the Public Records Act 1958 ('the Act'), records created by government departments and any other office, commission or other body established under Her Majesty's Government are public records. On occasion, it is not immediately clear whether certain bodies are subject to the Act. For a number of reasons, the Act excludes certain bodies (or certain records). The National Archives needs to be included in the determination process. Under the Public Records Act 1958, the Keeper of Public Records has a responsibility to ensure the preservation of public records2. The National Archives will capture decisions on determinations and changes in status. This guidance includes information on how the public body should check or confirm its status if its status as a Public Records Body is unclear. This guidance outlines how an organisation can work with The National Archives to determine its status, highlighting the information required and processes involved. It also includes an annotated version of the form required by The National Archives in order to record said status (see page 8). Send enquiries and forms to: information.management@nationalarchives.gsi.gov.uk. ## Determining Of Status Determining the status of a public body can start in one of two ways:  enquiry from existing body  creation of a new body The process for determination can start by one, or a combination, of:  Hansard (establishment/change to public body announced in House, or in Ministerial Statement)  Ministry of Justice (establishment/change to public body announced through news feed from Ministry of Justice to CEO's Office)  newspaper/journal/internet article noting establishment/change to public body The list of sources is not exhaustive. In order to inform the determination process, a responsible officer (either within the existing body, the Parent Department, or The National Archives) will need to research and collate information on the organisation, including its functions and purpose. The officer could use the following sources to help to establish the status of the public body:  legislation that establishes or changes the status of the public body  Public Records Act 1958  Freedom of Information Act 2000  Parliamentary Commissioner Act 1967  ministerial statements  annual reports (Public Body and/or parent department)  establishment documentation (terms of reference, appointment correspondence, royal warrants)  the Crown bodies list maintained by The National Archives ## Identifying A Public Records Body If the organisation is:  a government department or an executive agency of a government department (Schedule 1, paragraph 2(1)(a))  a court or tribunal (it falls under one of the categories under Schedule 1, paragraph 4)  an establishment or an office under the Crown (Schedule 1, paragraph 2(1)(b))  listed in any part of Schedule 1, paragraph 3 then it creates public records and therefore it is a Public Records Body. The Decision Trees at the end of this guidance can assist organisations in determining if it comes under the Public Records Act. If the organisation is established or owned by HM Government, or has property which is wholly owned by HM Government, then the organisation is a body which creates public records. Note that many but not all public bodies that have Crown status (that is, the documents created by their staff are Crown copyright) are Public Records Bodies. The National Archives has published a Crown bodies list that may be helpful in determining whether Crown status applies. Remember that only the definition contained in Schedule 1 to the Public Records Act 1958 is relevant in determining the public records status of records considered in this guidance. The definition of Crown copyright is different but Crown copyright status can often be helpful as an indicator. If the organisation, or specific records of particular organisations, is excluded from the Public Records Act 1958 (by virtue of Schedule 1, paragraph 2(2) and 3(2)) then its (or those) records are not public records. If it is not covered by any of the above criteria, then the status of the organisation needs to be determined. With information provided by the existing body or the parent department (the form on page 8), a responsible officer within The National Archives will undertake the determination of status. The responsible officer will examine the functions the organisation discharges, the source of its funding, and any appropriate legislation or other instrument by which the body was established. ## Changing The Status Of A Public Body If it is determined that the public body should be a Public Records Body, The National Archives will consult with the Parent Department and/or the existing body in following set procedures for creating new Public Record Bodies. These include:  using powers to make Orders in Council, subject to negative resolution, at paragraph 3A of Schedule 1 to the Act  for Courts and Tribunals, using Schedule 1, paragraph 4 (1)(o)  for legacy records, using Schedule 1, paragraph 7(1) (retrospective effect) When the organisation is added to the list in Schedule 1, paragraph 3, they become a Public Records Body and any records they create from that point on will be public records. The already existing records can be treated as if they were public records. If an organisation has been removed from the list in Schedule 1, paragraph 3 then the records that they created/inherited (while they were listed in the paragraph) will remain public records (see s16, paragraphs (1)(b) and (c), Interpretation Act 1978). ## New Public Bodies For new bodies, the legal team which has responsibility for the passage of the relevant legislation should consult with The National Archives, to ensure the team:  is aware or the requirements of the Act  includes an appropriate amendment to the Act (Schedule 1, paragraph 3) in the draft bill  includes a reference to the body's status as a Public Records Body (although this is not a requirement, as inclusion in Schedule 1, paragraph 3 is enough) ## Non-Public Record Bodies Non-public Record Bodies still need to consider managing their records appropriately, especially if they need to comply with other legislation, for example  Freedom of Information Act 2000  Companies Act 2006  Data Protection Act 1998 The National Archives has published general guidance on best practice in information management and digital continuity which may assist organisations in meeting its own recordkeeping requirements. The National Archives also recommends that non-public record bodies should consider the desirability of deposit with an appropriate archival repository, in order to ensure long-term preservation and access for research purposes. The National Archives' Archives Sector Development (ASD) area may be able to assist in identifying appropriate organisations. Email ASD at: asd@nationalarchives.gov.uk ## Request For Determination Of Status Of Records Under The Public Records Act 1958 Department………………………………………………………………………. Body………………………………………………………………………………. (1) By what method was the body established, for example by statute, Royal charter, Royal warrant or administrative action: (2) What are its terms of reference? (3) How is it financed, for example by departmental vote, grant in aid, statutory levy or other method? (4) Who appoints the members? (5) Is the chairperson a Minister? (6) How is it staffed, for example by civil servants, seconded civil servants or persons recruited by the body itself? (7) Is it subject to ministerial direction? (8) Does it report to a Minister? (9) Are its accounts audited by the Comptroller and Auditor General? (10) Is it subject to scrutiny by the Parliamentary Commissioner for Administration? (11) Is it a Body Corporate or registered under the Companies Acts? (12) Does it have a statutory power to own property? When completed, this form should be sent to: ……………………………………………………….. using the following email: information.management@nationalarchives.gsi.gov.uk ## Organisations Will Need To Request This Form For Completion From The Address Listed Above. Decision Tree: Determination Of Status Decision Tree: Change Of Status	en
4147-pdf	## Northampton Borough Council Overview And Scrutiny Committee 25 September Briefing Note: Nbc Street Lighting 1. Introduction 1.1 Northamptonshire County Council (NCC) has been maintaining and paying the electricity for a number of Northampton Borough Council (NBC) and Northamptonshire Partnership Homes (NPH) owned street lights for a number of years. NCC propose to hand the 607 street lights back to NBC/NPH to manage and maintain. Any that are not accepted will be removed by NCC at the end of September 2017. 1.2 Following the Overview and Scrutiny report in July 2015 and the Cabinet response in January 2017, an Officer/Member working group was established which is chaired by the Deputy Leader, Cllr Phil Larratt. The working group has met on five occasions with the next planned for 18 September 2017. 1.3 The lighting in question sits on a number of parks and housing estate areas. The ownership of the 607 lighting columns breakdown is as follows: NBC Assets: 179 (29.5%) NPH: 428 (70.5%) The responsibility for the management and maintenance of the lights will fall as per the percentages above. 1.4 This paper provides an update on progress made and the next steps. ## 2. Update 2.1 The key responsibility of the working group is to identify, monitor and evaluate current usage of all NBC owned Street Lighting. The working group will also oversee the transfer of those street lights which are owned by NBC but currently managed and maintained by NCC. A number of these street lights are on NPH land and discussions are underway regarding the management and maintenance of these. 2.2 NBC/NPH are keen to ensure that the street lighting asset list is accurate and comprehensive. Some assessment work therefore is necessary. To help to identify any street lighting that NBC may not be aware of, a communication has been composed which has been sent to the NBC and NCC Ward Councillors, the two Business Improvement Districts (town centre and Brackmills), Parish Councils and local groups. This states that NBC are in the process of updating their street lighting asset list and that their assistance may be required in terms of identification of street lights which may need repairing/replacing. Some responses have already been received from these emails and relevant work is being carried out. 2.3 NCC attended the last working group to outline their current position as follows:  NCC have undertaken an audit of their street lighting and will no longer be managing, maintaining or paying the electricity for any street lighting that is not on their land or owned by them.  NCC have a deadline of the end of September 2017 to hand back all of these street lights to the relevant authorities.  Any which are not on NCC land and are not accepted by the local authorities will remain in their management and will be removed.  NBC and NPH will need to decide whether or not to accept the transfer which is scheduled for 2 October 2017.  NBC and NPH will have to manage, maintain and pay the electricity for the street lighting that is accepted from NCC. 2.4 The lighting is situated in a number of housing estate areas and parks. If they were to be removed, this would have a detrimental effect for the tenants of those areas and the visitors to the parks in the darkened hours. ## 3. Next Steps 3.1 Considering the information in 2.3 and 2.4, a paper is going to Cabinet on Wednesday13 September with the recommendation that NBC and NPH accept the transfer from NCC and the responsibility for the maintenance and electricity costs for the 607 NBC/NPH owned lighting columns. 3.2 The NBC Owned Street Lighting Group are working on completing a comprehensive asset list which will include all of the NBC/NPH owned lighting. This will also include the lighting to be accepted from NCC and ensure NBC and NPH are maintaining the lighting to the highest standard possible. Following the Cabinet decision, a report will be commissioned to survey all of the NBC owned street lighting, undertake and options appraisal and make any recommendations of energy saving opportunities as well as any which may need replacing/removing. It is likely that this will bring forward opportunities for an invest to save programme 3.3 A map containing all the NBC and NPH street lights is in the process of being completed which will inform the survey. ## 4. The Way Forward 4.1 The information within the survey report and options appraisal will allow NBC and NPH to make an informed decision on the future of each street light. This will include upgrading, removal and replacement. Recommendations from this report will be consulted on with the relevant wards and taken to Cabinet for approval. 4.2 NCC will begin to remove any unwanted street lighting starting at the end of September 2017. 4.3 NBC and NPH to negotiate with a management company to manage and maintain the lighting assets on behalf of NBC and NPH. 4.4 The cost implications arising from the management and maintenance of street lights are yet to be established, however an indicative figure will be reported to Cabinet of £72,500 for the electricity and maintenance costs. Once finalised the cost apportionment will be discussed and finalised with NPH. 4.5 A method to enable the public to report any defects to NBC or its nominated contractor, as may be appropriate, will need to be identified. ## 5. Recommendations 5.1 That Overview & Scrutiny; 1. Note the progress that has been made to date and invites the Director of Regeneration, Enterprise and Planning to submit a further update in due course 2. Endorse the way forward outlined in this briefing.	en
3409-pdf	## Jeff James, Chief Executive And Keeper, The National Archives Archive Accreditation - The National Theatre Friday 2 February 2018 I'm delighted to be here tonight at The National Theatre to present the certificate marking the archive's accreditation, and celebrate your success. Archive Service Accreditation is the UK-wide standard for archive services. It is a national benchmark and quality standard. It recognises good performance across three important areas: organisational health, collections management and access. Archive Service Accreditation is a partnership of the Archives and Records Association (UK), Archives and Records Council Wales, National Records of Scotland, Public Record Office of Northern Ireland, Scottish Council on Archives, The National Archives; and the Welsh Government through its Museums, Archives and Libraries Wales division. There are over 2,500 archives across the UK, of which 104 have now gained Archive Service Accreditation. You now join the 4.3% of services in the country to earn the award - a great achievement. And archives matter. They are our collective memory, allowing society to hold governments to account; to explore our collective and personal identities; to underpin research; to connect generations with stories from the past to the present to the future; and to inspire innovation and creativity. This award is particularly special as the National Theatre is the 100th service to be awarded Accreditation, and the first theatre. In assessing the National Theatre's Archive, the Accreditation panel were hugely impressed by the archives considerable achievements and by how valued the archive is by the entire organisation. They also noted the - collaborative working across the theatre's departments - clear contribution of archive service to theatre's overall mission to open up theatre-making and theatre-history to all - strong support from the Senior Management Team to deliver outward-looking and innovative ways of accessing the rich collections - dedicated staff and the emphasis on professional development - emphasis on reaching new audiences and making collections and spaces both on-site and online - as accessible as possible - commitment to increasing digital access and meeting digital preservation challenge - ambition, professional commitment, collaboration that shines through the service I'd also like to take this opportunity to thank Erin for her contribution to our work in developing Archives Unlocked, the government's new strategic vision for archives which was launched in March last year, just next door at the Southbank Centre. Once again, many congratulations. A well-deserved recognition. I'd like to invite Lisa Burger to receive the award on behalf of the service.	en
1051-pdf	## Department For International Development Annual Report And Accounts 2013–14 Department For International Development Annual Report And Accounts 2013–14 Annual Repor t presented to Parliament pursuant to Section 1 of the International Development (Repor ting and Transparency) Act 2006 Accounts presented to the House of Commons pursuant to Section 6(4) of the Government Resources and Accounts Act 2000 Accounts presented to the House of Lords by Command of Her Majesty Ordered by the House of Commons to be printed on 15 July 2014 ## © Crown Copyright 2014 You may re-use this information (excluding logos) free of charge in any format or medium, under the terms of the Open Government Licence v .2. To view this licence visit www.nationalarchives.gov .uk/ doc/open-government-licence/version/2/ or email PSI@nationalarchives.gsi.gov .uk Where third par ty material has been identified, permission from the respective copyright holder must be sought. This publication is available at www.gov .uk/government/publications Any enquiries regarding this publication should be sent to us at enquiry@dfid.gov .uk Print ISBN 9781474106634 Web ISBN 9781474106641 Printed in the UK by The Williams Lea Group on behalf of the Controller of Her Majesty's Stationery Office ID SGD004702 06/14 Printed on paper containing 75% recycled fibre content minimum ## Contents \| Headline results \| 4 \| \|-----------------------------------------------------------------\|----------------------------------------------------\| \| Foreword by the Secretary of State \| 5 \| \| Lead Non-Executive Director's introduction to the Annual Report \| 8 \| \| Chapter 1: \| DFID overview, priorities and expenditure \| \| Chapter 2: \| DFID results \| \| Chapter 3: \| Results in DFID priority countries and regions \| \| Chapter 4: \| Delivering through multilateral organisations \| \| Chapter 5: \| Effective development co-operation \| \| Chapter 6: \| Accounts: Department for International Development \| \| \| \| \| Chapter 7: \| Analysis of departmental expenditure \| \| \| \| \| Annex A: \| DFID allocations by programme \| \| Annex B: \| Annual reporting of statistical information \| \| \| \| ## Headline Results By 2013–14, DFID had achieved the following results:* Q provided 43.1 million people with access to clean water, better sanitation or improved hygiene conditions - suppor ted 10.2 million children - 4.9 million girls - to go to primary and lower secondary school Q ensured that 3.6 million bir ths took place safely with the help of nurses, midwives or doctors Q prevented 19.3 million children under 5 and pregnant women from going hungry Q reached 11.4 million people with emergency food assistance Q provided 54.4 million people, including 26.9 million women, with access to financial services to help them work their way out of pover ty Q reached 6.7 million people with cash transfers programmes Q helped 85.8 million people to hold their authorities to account and have a say in their community's development In 2013, the multilateral organisations that DFID suppor ted: Q provided food assistance to 80.9 million people in 75 countries; of these 67.9 million were women and children (World Food Programme) Q immunised 48 million children against preventable diseases (GAVI Alliance) Q detected and treated 1.5 million cases of tuberculosis (The Global Fund to Fight AIDS, TB and Malaria) Q gave 1.0 million new households a water supply (Asian Development Bank) Q provided 9.7 million people with new or improved electricity connections (African Development Bank) Q suppor ted over 4.5 million children in primary education, including 2.2 million girls (Global Par tnership for Education) Q enabled 11.5 million people to benefit from healthcare facilities (International Committee of the Red Cross) Q generated 6.5 million jobs and livelihoods in 113 countries, of which 58% were for women (United Nations Development Programme) ## Foreword By The Secretary Of State Photo: Rt Hon Justine Greening. This year we officially became the first G7 country to meet the UN target of spending 0.7% of gross national income on international development. By achieving this we are not only meeting a longstanding promise to the poorest people in the world, we are acting firmly in Britain's national interest. The way we act in developing countries today is crucial to our long-term economic prospects and to our security. DFID is now developing its most coherent, focused and ambitious approach to inclusive economic development it has ever had. Alongside our work on providing core services such as health, education and sanitation, we are increasingly suppor ting sustainable growth to help end aid dependency through growth and jobs. This approach recognises that businesses are crucial to a country's development and bring vital investment, taxes and innovation as well as jobs and economic oppor tunities for the communities where they operate. This smar ter approach to aid benefits Britain too by creating new markets for British businesses to invest in. UK expor ts to developing countries increased by $17 billion between 2008 and 2013 and Britain's long term economic plan depends on us increasing our global expor ts. By driving growth and de-risking investment in emerging and frontier markets, we have an oppor tunity to do even more business with them. The countries we are giving development assistance to today are the trading par tners of tomorrow. British development money is helping to build up strong and investable business environments in developing countries by cutting red tape, breaking down barriers to trade and improving infrastructure. We recognise that small and medium enterprises are critical to creating more jobs and more prosperous economies. The UK is suppor ting a number of programmes that are helping entrepreneurs and small businesses get access to finance. DFID's Impact Investment Fund made its first investment commitment of $15 million earlier this year into Novastar Ventures, a venture capital fund focused on developing and growing breakthrough businesses in east Africa. We are also expanding the range of instruments DFID deploys to share risk with investors and suppor t development. In November last year I took a high-level business delegation with me to Tanzania to explore oppor tunities for investment - the first time DFID has led such a delegation in Africa. I announced DFID would co-invest with commercial and not for profit par tners in 4 business projects, including new tea and rice estates, with clear development outcomes for Tanzanians. This means we will share some of the risk that would otherwise stop investment from taking place, and we will also share the reward if the venture is a success. I believe British businesses have a crucial role to play in the development effor t and DFID is increasingly par tnering up with key industries and professions. Last year I launched a new relationship between DFID and the London Stock Exchange to suppor t capital market development in sub-Saharan Africa. We are deploying some of the UK's top accounting institutes to countries including Ethiopia, Zambia and Nigeria to help raise professional standards, improve financial repor ting and build investor confidence. We are also working more closely across government to ensure a coherent UK approach to economic development in new markets. Last year DFID, the Foreign Office and UK Trade and Investment launched new High Level Prosperity Par tnerships to strengthen the commercial links between the UK and 5 pilot countries: Angola, Côte d'Ivoire, Ghana, Mozambique and Tanzania. It is critical that we tackle the causes as well as the symptoms of pover ty. Sustainable economic growth and development require peace, the rule of law, an absence of corruption, the recognition of proper ty rights and institutions that ser ve all the people, not just a select few. This is what our Prime Minister calls the Golden Thread of Development: open societies and open economies that give people the space to live and be heard and companies the cer tainty to invest. DFID has a growing por tfolio of projects and programmes that work to strengthen the legal, regulatory and institutional frameworks in developing countries. We are helping countries to build their own tax base, so that when economic growth does happen they are well placed to then reap and reinvest the gains. The G8 land par tnerships, launched during the UK presidency last year, are helping to attract responsible investment through better assessment of the land related risks and how to mitigate them. No country can truly develop if it leaves half its population behind and improving the prospects of girls and women sits alongside economic development at the hear t of DFID's strategy. Following the International Development Gender Equality Act passed in May this year, DFID has a statutory duty to ensure gender equality is a consideration across all of its work: UK development is helping women around the world have choices in their own lives, control over their future and a voice in their community. That includes education, financial services, contraception, land rights, security and access to justice. In November last year the UK hosted an international call to action on violence against girls and women in emergencies and gained an unprecedented global agreement on prioritising the needs of girls and women in our humanitarian responses. We will continue to step up this work. The UK will host the Girl Summit, a global summit on the 22 July to tackle 2 previously neglected issues: female genital mutilation and child, early and forced marriage. We will be bringing together governments, NGOs, charities, activists and businesses to galvanise international effor ts to end these abuses once and for all. Life-saving humanitarian assistance will continue to be one of DFID's most fundamental responsibilities. In 2013, DFID led the world in our response to 2 enormous humanitarian catastrophes in Syria and the Philippines. Our funding for Syria and the region is now £600 million, which reflects the scale of the suffering. In the Philippines the UK was one of the first donors to get relief to the worst-affected areas in the wake of Typhoon Haiyan. The government sent 2 Royal Navy warships carrying marines, engineers and trained medical staff to the islands in a response praised by international obser vers and by ICAI. In total the UK has provided £77 million in humanitarian suppor t to help 1 million people affected and we are committed to helping the people of the Philippines as they rebuild their country. It sat alongside £94 million raised directly by the DEC appeal from the British public. We have continued to drive value for money in everything we do on behalf of the British taxpayer. We are improving our procurement and programme management, and making sure staff have the skills to deliver the Depar tment's priorities. In October last year I launched a new online Development Tracker tool that allows UK taxpayers to track how hard their overseas development investment is working right down to individual project level. DFID is a world leader in pioneering innovative payments by results programmes for tackling complex development problems. We will shor tly launch one of the world's first Development Impact Bonds to invest in the prevention of deadly sleeping sickness in Uganda. This project will bring together private and public investment to fund schemes for treating infected cattle before the disease spreads and investors will earn a return if their programme is a success. This results based aid could be a major par t of how DFID works in the future. And we continue to achieve against our commitments. By 2013-14 we had: - provided 54.4 million people, including at least 26.9 million women, with access to financial services as a means to work their way out of pover ty - suppor ted 10.2 million children, 4.9 million of them girls, to go to primary and lower secondary school; - ensured 3.6 million bir ths took place safely - suppor ted 144.7 million people to vote in elections - reached 11.4 million people with emergency food assistance The next year promises to be an equally critical year for international development. The Millennium Development Goals for tackling pover ty are due to expire at the end of 2015 and we have a historic oppor tunity to agree an even more ambitious set of goals and to finish the job the MDGs star ted. The UK will continue to play an absolutely central role in this. Our ultimate goal is to end aid dependency and secure a better, more prosperous future for everyone. We will continue to ensure that every pound DFID spends has the biggest possible impact on the ground and by driving sustainable growth overseas I believe we can also build a stronger, more competitive economy here in the UK. Rt Hon Justine Greening Secretary of State for International Development July 2014 ## Lead Non-Executive Director'S Introduction To The Annual Report The past year has been about both consolidation and change for the Board, and for the Depar tment as a whole. The current Ministerial team has been in place since September 2012. Two Directors General left the Depar tment during 2013-14, a new Director General position focused on economic development was created, and there were also changes at the non-executive level. Eric Salama and Tim Robinson were both appointed to the Board in June, taking the total number of non-executives to 4. Eric also sits on the Audit Committee, which continues to be chaired by Richard Keys, and Tim chairs the Digital Advisory Panel. Their extensive and varied experience has brought welcome new perspectives to Board discussions, and I look forward to working with all of my non-executive colleagues over the coming year. For DFID, 2013-14 was a landmark year in which the government's commitment to spend 0.7% of GNI on international development was met. I have been impressed by the way in which the Depar tment managed delivery of this commitment, and in par ticular by the continued focus on ensuring value for money. The quality of management information seen by the Board has continued to improve, enabling us to track progress on results and broader por tfolio quality. A strengthened effor t on ensuring timely completion of annual and completion reviews was par ticularly impor tant in this regard. This push was one par t of an overall focus this year on programme management, following an end to end review of DFID's programme and project management cycle. A package of reforms to improve programme leadership, capability and processes has been agreed. Embedding these reforms, and the associated cultural changes, will be a key challenge for the coming year, and something which the Board and its sub-committees will track closely. The Board met 7 times during the year, including 3 excellent away days in spring and early summer focused on DFID's Business Model for the post-2015 period. These discussions focused on ensuring that the Depar tment invests in the right things, in the right places and in the right way. The Board's conclusions determined DFID's future footprint, and shaped the ongoing resource allocation process for 2015-16. DFID was one of 5 Depar tments to pilot Depar tmental Improvement Plans (DIPs). Finalised in June 2014 with strong involvement from the Board, the DIP sets out how DFID plans to build on the conclusions of the 2012 Capability Review and make progress against the Civil Ser vice Reform plan. On skills, it prioritised building finance, commercial and digital capacity. There has been good progress over the past year on all of these, and par ticularly on commercial transformation. 75% of the Senior Civil Service had under taken commercial skills training by the end of April, and all will have done so by the end of September 2014. An impor tant task for the coming year is to develop a longer-term commercial vision for the Depar tment. There has also been a continued focus on driving fur ther efficiencies across the organisation. In October, DFID successfully introduced a new human resources and payroll system - HR Passpor t - which delivered both greater self-ser vice for staff, and better access to accurate management information, with anticipated savings of £1 million per annum from 2014–15. A review of Board effectiveness, and the Depar tment's broader corporate governance, was under taken in early 2014. The purpose was to build on the good progress made in the past year in strengthening the operation of the Board. The recommendations, which have been agreed by the Secretary of State, include: increasing the frequency of formal Board meetings to 6 a year, better aligned with the production of management information; rationalising the number of sub-committees; clarifying the differing roles of the Board and Executive Management Committee; and focusing non-executive engagement on the enhanced Depar tmental Board. These changes will be implemented over the coming months. ## Dfid Overview, Priorities And Expenditure Overview About Dfid 1.1 The Depar tment for International Development (DFID) leads the UK government's effor t to promote stability and sustainable development and to end extreme pover ty and aid dependency through growth and jobs. DFID operates under the International Development Act, which came into force in 2002 and establishes the legal basis for UK development assistance. This means that the Secretary of State for International Development can provide development assistance for sustainable development and welfare, providing that she is satisfied that this assistance is likely to contribute to pover ty reduction. 1.2 The 2006 International Development (Repor ting and Transparency) Act strengthens the accountability of the UK government in delivering its pledges to help the world's poorest countries and people. The Act requires DFID to repor t annually to Parliament on development policies and programmes and on the provision of development assistance to par tner countries and the way it is used. This Repor t discharges DFID's responsibilities under the Act for 2013–14. This chapter is shor ter than in the 2012–13 Repor t, reflecting the increase in information made available by the Depar tment online; this approach will continue for the rest of the Repor t in the future as DFID looks to produce a more focused Repor t that satisfies Parliamentary and legal requirements. 1.3 DFID is represented in the Cabinet by the Secretary of State for International Development, the Right Honourable Justine Greening MP . In the House of Commons, the Secretary of State is suppor ted by Minister of State, the Right Honourable Alan Duncan MP and Parliamentary Under-Secretary of State, Lynne Featherstone MP and in the House of Lords by Spokesperson Baroness Nor thover. 1.4 The most senior civil ser vant in DFID is the Permanent Secretary, Mark Lowcock, who is assisted on the DFID Executive Management Committee by the Directors General. 1.5 The DFID Business Plan for 2012–15 set out a number of priorities for the Depar tment. These priorities are to: - honour international commitments and suppor t actions to achieve the Millennium Development Goals (MDGs)1 - drive transparency, value for money and open government - boost economic development - strengthen government and security in fragile and conflict-affected countries and make the UK's humanitarian response more effective - lead international action to improve the lives of girls and women - combat climate change 1.6 DFID's other major areas of responsibility are to: - respond to humanitarian disasters - deliver on obligations to the Overseas Territories - influence the global development system ## Where Dfid Works 1.7 DFID works from its UK headquar ters in London and East Kilbride and from offices overseas. DFID had over 2,750 staff in 2013–14, over half of whom worked in developing countries. In 2013–14, DFID continued to ensure that resources were focused on the places where they will achieve the most impact. Internally, DFID has developed its business model to ensure that it is doing the right things in the right places in the right ways. 1.8 DFID promotes development in the poorest countries around the world. Resources are delivered through a range of par tners including multilateral institutions, civil society organisations and the private sector. Additionally, DFID has bilateral country programmes2 in 28 priority countries so that suppor t can be targeted where it will make the biggest difference. DFID also has regional programmes in Africa, Asia, the Middle East and Nor th Africa, and the Caribbean, and development relationships with the Overseas Territories. ## What Dfid Spent In 2013–14 1.9 In the financial year 2013–14, DFID's total expenditure was £10,103 million - up from £7,921 million in 2012–13; this enabled delivery of the government's target of spending 0.7% of gross national income3 (GNI) as Official Development Assistance (ODA) in 2013. The UK became the first G7 nation to deliver on the 0.7% spending target. The total comprised £9,918 million programme expenditure, £116 million administration and depreciation costs and £69 million annually managed expenditure. A detailed breakdown of DFID's programme expenditure by programme area is shown in Annex A. 1.10 A total of £3,259 million was spent directly by DFID's 28 priority country offices. Fur ther details of the programmes in priority countries can be found in Chapter 3. The largest country programme was Ethiopia, with expenditure of £284.4 million. 1.11 A total of £4,338 million4 was spent through core contributions to multilateral organisations5 such as the United Nations (UN) Development Programme. Additional information on DFID's multilateral programmes is set out in Chapter 4. The remaining programme spend focused on regional and other country programmes, as well as research and programmes to deliver policy priorities. ## What The Uk Spent On Oda In 2013 1.12 ODA is the internationally agreed standard definition of aid, as laid out in the Statistical Repor ting Directives of the Development Assistance Committee of the Organisation for Economic Co-operation and Development. ODA is repor ted by calendar year. In total, including spending by other UK government depar tments, provisional UK ODA in 2013 was £11,437 million or 0.72% of UK GNI. DFID accounted for £10,040 million, or 88% of UK ODA. Table 1.1 below shows the distribution of ODA across UK government depar tments. Final UK ODA figures for 2013 will be published in October 2014. All of the data is produced in publications that have been accredited as 'National Statistics', the highest grading of official statistics, by the UK Statistics Authority. Government departments Depar tment for International Development 7,593 86.6 10,040 87.8 Depar tment of Energy and Climate Change 246 2.8 412 3.6 Foreign and Commonwealth Office (FCO) 282 3.2 289 2.5 Depar tment for Business, Innovation and Skills (BIS) 48 0.5 44 0.4 Depar tment for Environment, Food and Rural Affairs 22 0.3 33 0.3 Expor t Credits Guarantee Depar tment 20 0.2 30 0.3 Home Office 29 0.3 30 0.3 Depar tment of Health 15 0.2 12 0.1 Scottish Government 10 0.1 11 0.1 Depar tment for Work and Pensions 10 0.1 10 0.1 Ministry of Defence 5 0.1 5 0.0 Welsh Government 1 0.0 1 0.0 Depar tment for Culture, Media and Spor t 2 0.0 1 0.0 Other sources of UK ODA Conflict Pool (non-DFID) 176 2.0 192 1.7 EC Attribution (non-DFID) 109 1.2 134 1.2 CDC Group plc 103 1.2 100 0.9 Gift Aid 91 1.0 91 0.8 Colonial Pensions 3 0.0 2 0.0 Total UK ODA 8,766 100 11,437 100 Source: Statistical Release - Provisional UK Official Development Assistance as a propor tion of Gross National Income, 2013. 2012 ODA (£million) 2012 share of UK ODA (%) 2013 ODA (£million) 2013 share of UK ODA (%) ## Dfid Policy Priorities In 2013–14 Boosting Economic Development And Creating Jobs 1.13 Economic development is the only sustainable long term way to end aid dependency. In 2013–14, DFID made economic development a key priority: it published the Economic Development Strategic Framework and used a wider array of instruments to stimulate investment that reduces pover ty through jobs, by raising incomes for individuals through employment, and providing tax receipts for governments to fund services such as health and education. 1.14 In developing countries, 900 million people are working but are living in pover ty, mostly in Africa and south Asia. Many DFID-led initiatives contribute to raising incomes and improving job prospects for poor people. For example, a skills programme in Punjab, Pakistan, trained 7,500 people and monitored employment status after training; and over 700,000 people in the hor ticulture and garment sectors in Kenya, South Africa and Bangladesh are expected to benefit through the Trade and Global Value Chains Initiative which works with global businesses to improve working conditions and job oppor tunities. 1.15 DFID works with businesses to encourage them to invest more, and more responsibly, in developing countries. In November 2013, DFID's Secretary of State visited Tanzania accompanied by representatives of 18 UK and international companies to promote investment through par tnerships and co-investment. As a result of the visit, DFID has co-invested in Kilombero Plantations Ltd to suppor t the pilot stage of a new gasification plant to expand irrigation for rice cultivation. Through the Food Retail Industry Challenge Fund, DFID helped small farmers in Kenya access the UK distribution market with a yellow passion fruit which is now sold in over 100 stores in the UK. 1.16 In 24 developing countries, the UK directly suppor ts reforms to reduce the costs and time taken to register a business, secure title to land, clear goods across borders and enforce contracts in local cour ts. In Afghanistan, DFID assistance through the Afghanistan Investment Climate Facility has helped reduce the number of steps needed to obtain a land lease from 52 to 9, and those to obtain a business licence from 21 to 8. 1.17 Financial markets play an impor tant role in enabling growth, with access to finance being key to making this growth inclusive for poor people. In 2013, DFID helped 11.6 million poor people get access to financial ser vices through branchless banking, using their mobile phones, across sub-Saharan Africa, south Asia and Latin America. Of these, 46% or 5.3 million were women. 1.18 CDC Group plc is the UK's development finance institution, 100% owned by the UK government. CDC's mission is to suppor t the building of businesses throughout Africa and south Asia, to create jobs and make a lasting difference to people's lives in some of the world's poorest places. CDC has £2,504.2 million invested in 1,298 companies, suppor ting over 1 million jobs in 75 countries. CDC-backed companies have created around 495,000 jobs since 2008. In 2013, CDC made 26 new investments totalling £608 million, including 13 direct investments. ## Improving The Lives Of Girls And Women 1.19 The Secretary of State for International Development has championed the rights of girls and women, enabling them to have voice, choice and control over their own development. The Parliamentary Under-Secretary of State has continued to play a pivotal and driving role in tackling violence against women and girls internationally and through her campaign to end female genital mutilation (FGM) in a generation. Beyond DFID, the Foreign Secretary has also played a vital international role in raising awareness of and addressing the issue of sexual violence in conflict-affected countries. 1.20 DFID led on government suppor t for Bill Cash MP's International Development (Gender Equality) Act 2014, which became law on 13 March. The Act means that before providing development assistance, consideration must be given to how it will contribute to reducing gender inequality. Gender-related differences in needs must also be taken into account before the provision of humanitarian assistance.7 The Act also introduces a new annual repor ting duty on progress towards achieving the MDG 3. 1.21 In 2013, DFID refreshed its Strategic Vision for Girls and Women. The Strategic Vision drives action to increase oppor tunities for girls and women through: - Voice in decision making in their household, community and country, in politics, business, the media and civil society - Choice to complete education and to benefit from paid work and economic oppor tunities; over whether, when and with whom to have sex, marry and/or have children, ending child, early and forced marriage - Control over their own bodies and mobility, including their safety from violence; over income, productive assets and other resources (including food, water, energy); with equal legal rights and access to justice; and freedom from discriminatory social norms such as female genital mutilation/ cutting (FGM/C) 1.22 Enabling girls' and women's voices to be heard: DFID worked with the Foreign and Commonwealth Office (FCO), the Government Equalities Office, the Home Office and par tners around the world to secure a successful outcome at the UN Commission on the Status of Women in March 2014, where governments called for a post-2015 development goal on gender equality and for women's rights to be mainstreamed across the post 2015 agenda. 1.23 Enabling girls and women to have greater choice in their lives: By 2013–14, DFID had suppor ted 4.9 million girls in primary and lower secondary school (out of 10.2 million children) through its bilateral aid programmes around the world. 1.24 Enabling girls and women to have more control over their lives: In March 2013, DFID star ted a second phase of suppor t to the Africa-led movement to end FGM through a UN Joint Programme, now operating in 17 countries. In January 2014, the End FGM/C Social Change Campaign was launched which will work in at least 10 affected countries and with the UK diaspora, to build a movement to end FGM/C. 1.25 In November 2013, the UK co-chaired with Sweden 'Keep Her Safe', an international Call to Action on Protecting Girls and Women in Emergencies. Some 13 donors, 10 multilaterals and over 20 of the world's leading non-governmental organisations (NGOs) made commitments to prioritise the prevention of and response to violence against women and girls as a lifesaving intervention in emergencies. The UK committed £21.6 million. 1.26 In 2013–14, the Prime Minister announced the Girl Summit 2014 - a high level event on 22 July 2014 to galvanise global action behind developing country effor ts to end child, early and forced marriage and FGM within a generation. ## The Golden Thread Of Development 1.27 DFID works to promote open societies and open governments, enabling states to function for their citizens and citizens to lead their own development. 1.28 By 2013–14, DFID had helped 85.8 million people hold decision makers to account. An example of this is our programme in Tanzania where DFID suppor ted over 5 million Tanzanian women and men to understand what ser vices they should be able to expect, access ser vices including water, education and health ser vices, and enabled communities to hold authorities to account in cases of poor performance. By 2013–14, DFID had provided assistance to 11 countries to suppor t freer and fairer electoral processes across the developing world, including in Pakistan and Nepal. 1.29 In 2013, the UK used its G8 Presidency to push for greater transparency on how governments and companies operate, at home and abroad. At Lough Erne, G8 members, alongside Panama, Ireland and the Philippines, endorsed the Open Data Char ter. G8 members agreed that they would take action towards common global standards of extractives transparency and that all land transactions should be transparent, respecting the proper ty rights of local communities. The G8 launched 8 country par tnerships to improve land governance and implement the global Voluntary Guidelines on the Responsible Governance of Tenure of Land and 8 par tnerships to improve transparency, accountability and capacity to manage extractives. 1.30 The UK hosted and co-chaired the Open Government Par tnership (OGP) Summit in October 2013, where DFID launched its Development Tracker website, making development data accessible and transparent. Membership of the OGP increased from 45 to 53 countries committed to greater government transparency and accountability. 1.31 The Prime Minister co-chaired the UN High-Level Panel of eminent persons on the post 2015 Development Agenda, which submitted its repor t to the UN Secretary General in May 2013.8 The repor t set out the 5 transformative shifts needed to turn the vision that this can and must be the generation to eradicate extreme pover ty, into a reality. ## Responding To Humanitarian Emergencies 1.32 DFID leads the UK government's response to humanitarian emergencies throughout the world, responding rapidly and decisively to save lives. - the UK acted decisively and rapidly in response to Typhoon Haiyan, which struck the Philippines on 8 November 2013 and in which over 6,200 people died, 4.1 million were displaced and 1.1 million homes were damaged or destroyed. The UK provided £77 million in suppor t, more than any other donor, helping more than a million people. In its repor t, the Independent Commission for Aid Impact (ICAI) gave the UK response to Typhoon Haiyan the highest ever rating for a UK aid programme - in the Sahel, DFID is providing suppor t to communities facing food insecurity and malnutrition and to those affected by conflict. This suppor t is expected to benefit over 1.6 million people across the region in 2013–14 - the UK is providing humanitarian assistance in the Central African Republic in response to a severe escalation in the crisis. Suppor t is provided through the International Committee of the Red Cross, NGOs and UN agencies in emergency healthcare, clean water, food security and logistics and is expected to benefit over 100,000 people - since conflict erupted in South Sudan in December 2013, displacing up to 1 million people, the UK has allocated £95 million to the humanitarian response, making it the second largest donor. DFID has worked with the UN and others to raise awareness of the crisis, to press the government and opposition to respect a ceasefire and allow access for humanitarian aid, and to secure increased commitments of funds from other donors - in October 2013, after Cyclone Phailin in Odisha, India, DFID provided 200,000 people with clean water, basic shelter and other essential items such as blankets and cooking utensils, with a focus on the most vulnerable, including women and girls ## Uk Response To The Crisis In Syria DFID allocated £295 million in aid to the Syria crisis in 2013–14, contributing to making this the largest ever UK response to a humanitarian crisis. Over 9 million people are in dire need of humanitarian aid, with 6.5 million people internally displaced and 2.6 million who have fled to neighbouring countries. The scale of the crisis means that DFID now works with over 30 partners in 6 countries - Syria as well as the neighbouring countries of Jordan, Lebanon, Turkey, Iraq and Egypt. DFID leads on UK government efforts to alleviate humanitarian suffering and supports FCO-led efforts to achieve a political solution to the conflict. £295 million was allocated to partners in 2013–14: Syria 43% Lebanon 23% Jordan 21% Turkey 4% Iraq 4% Egypt 1% Regional 4% With over 30 different partners, DFID is able to provide support in various sectors. Headline results for 2013–14 are: - food for up to 535,000 people per month - drinking water for over 600,000 people - over 100,000 individuals benefiting from medical consultations and trauma care - shelter and basic household items for over 50,000 people - DFID also contributes to the No Lost Generation initiative which involves providing child protection, psychosocial support and education to Syrian children affected by the crisis - this includes textbooks for 300,000 children in Lebanon ## Implementing The Humanitarian Emergency Response Review 1.33 The government's response to Lord Ashdown's Humanitarian Emergency Response Review (HERR) was published in June 2011. This committed the government to improve and reinforce the UK's response to humanitarian emergencies. A more effective response requires greater investment in preparedness, anticipation and prevention by building resilience. HERR milestones reached in 2013–14 include: - a new Global Humanitarian Risk Register used by senior decision makers to give a picture of global risk and trends and to ensure that country programming addresses risks - multi-year humanitarian programmes providing more predictable funding in chronic situations, including triggers for releasing extra funding in response to rapid changes in need - support for the new Rapid Response Fund, 'Start', to respond to small scale forgotten crises across the world - work with governments in several at-risk countries to ensure they have systems and capability in place to respond to disasters (Nepal, Bangladesh, Burma, Mozambique, Malawi, Philippines, Occupied Palestinian Territories) - innovative use of science in humanitarian response through the Science in Humanitarian Emergencies and Disasters mechanism and collaboration with the Met Office to use its weather data in humanitarian crises - UK International Emergency Trauma Register incorporated into DFID's humanitarian response - training courses and deployments are already under way to allow 1,000 UK medical personnel to join the UK humanitarian response - investment in the UK stockpile, increasing its size in order to provide up to 75,000 people with lifesaving non-food items ## Improving Access To Basic Services 1.34 Poor health is both a cause and a consequence of pover ty and widens inequalities. The Health Position Paper, published in July 2013, sets out how DFID works to improve health outcomes in developing countries. It explains DFID's public health approach, which combines investments that achieve targeted results with investments that strengthen broader health systems. 1.35 Achievements during 2013–14 included suppor t to increasing access to HIV medicines through market shaping by the Clinton Health Access Initiative, resulting in an estimated cost saving of $6.2–8.1 million for 4 African countries. In addition, the Health Par tnership Scheme, which funds par tnerships between UK health professionals and institutions and those in low income countries, suppor ted par tnerships involving 77 UK health institutions to share skills and develop capacity in 41 low and middle income countries. 1.36 In 2013–14, DFID-suppor ted reproductive, maternal and new-born health programmes resulted in 747,000 bir ths being attended by a skilled bir th attendant and 1.4 million additional women using modern methods of family planning. DFID also helped suppor t 120 million polio vaccinations through the Global Polio Eradication Initiative and the immunisation of over 77 million additional children through suppor t to the GAVI Alliance and the Measles and Rubella Initiative. Over 57 million people received mass drug administration for neglected tropical diseases and 9 million long-lasting insecticide treated bed nets were procured and distributed in high burden countries to prevent malaria. 1.37 Education facilitates pover ty reduction, equality and long term economic development. During 2013–14, DFID stepped up its work on the Girls' Education Challenge, and is now suppor ting 39 projects globally. This includes teaming up with global businesses to match fund their joint £15.8 million investments (resulting in a total of £31 million) in projects which will increase educational and economic oppor tunities for marginalised girls in sub-Saharan Africa. 1.38 DFID's task force of leading international higher education exper ts has completed its assessment of the role of higher education in a country's development and provided its views on where development assistance can deliver the biggest impact. Internationally, DFID has been an active par ticipant in the Learning Metrics Task Force aiming to put access plus learning at the hear t of post-2015 education. 1.39 On 8 June 2013, the UK held a high level nutrition event, 'Nutrition for Growth: beating hunger through business and science' co-hosted by the Government of Brazil and the Children's Investment Fund Foundation. It brought governments, civil society, business and science together to reverse the neglect of undernutrition. A high-level declaration, the Global Nutrition for Growth Compact, was endorsed by over 100 governments, business and organisations, and new international financial commitments were made of £2.7 billion to suppor t direct nutrition programmes. Alongside significant commitments made by others, the UK committed an additional £375 million (between 2013 and 2020) for programmes which address the immediate causes of undernutrition spend, and up to £280 million of matched funding between 2013 and 2020. DFID also committed to increase funding to prevent undernutrition through other sectors (such as social protection, agriculture and water, sanitation and hygiene) by approximately £604 million between 2013 and 2020.9 ## Combating Climate Change 1.40 The £3.87 billion International Climate Fund (ICF) is par t of the UK's international effor t to address the challenge of climate change. It suppor ts programmes that help people in developing countries adapt to the impacts of climate change, promote low carbon growth and protect forests. These programmes aim to improve the quality of people's lives - par ticularly women and girls; suppor t people's livelihoods; and underpin long term economic growth and development. For example, DFID is providing up to £150 million from the ICF to the International Fund for Agricultural Development's Adaptation for Smallholder Agriculture Programme which will help up to 6 million smallholder farmers in 30 countries cope with the impacts of climate change. 1.41 Internationally, DFID has continued to play a leading role in shaping the international climate finance architecture, in par ticular through membership of the board of the Green Climate Fund. DFID's suppor t for climate programmes has been recognised internationally: the Legal Response Initiative by the DFID funded Climate and Development Knowledge Network programme, designed to assist poor and climate vulnerable countries make their voices heard in the global climate negotiations, won the Climate Week 'best campaign or educational initiative' award. 1.42 DFID continues to work towards ensuring that climate and environment considerations are integrated into all UK development assistance. By the end of 2013, every DFID depar tment had under taken a strategic review to identify how investments and operations can best address climate and environment issues. Deeper analysis of the links between pover ty, climate change and resource scarcity and how DFID may need to respond is being taken forward through a strategy led by DFID's Executive Management Committee. ## Dfid Results 2.1 Introduction 2.1 DFID has invested heavily over the past few years in strengthening its focus on results. In 2011, the DFID Results Framework (DRF) was published setting out the results the UK aims to achieve by 2015. Alongside this, the UK made a number of results commitments as outlined within 'UK aid: Changing lives, delivering results'1 and 'DFID's Strategic Vision for Girls and Women'.2 2.2 The Results Framework is used as a tool to monitor and repor t progress in delivering these results commitments, providing evidence of the impact of UK aid and the improvements made to the lives of poor people in the countries where the UK works. 2.3 As illustrated in Figure 2.1, the Results Framework is organised into 4 levels. It sets out the development outcomes DFID is seeking to contribute to (level 1), the actual results DFID will deliver (level 2), and the metrics DFID use to measure its organisational effectiveness and efficiency (level 3 and 4). It is impor tant to note that the Framework does not capture everything that DFID is delivering. Chapter 3 provides a summary of headline results achieved in each of DFID's priority countries and regions, which vary reflecting the specific priorities and operational context in each country and region. Fur ther information on the Results Framework can be found at: www.gov .uk/government/publications/dfid-s-results-framework 2.4 This chapter repor ts information against each level of the Results Framework, as well as impact and input indicators which are included in DFID's business plan. The data is available to download from the GOV .UK website.3 ## 2.2 Reporting Against Dfid'S Results Framework Level 1: Progress On Key Development Outcomes 2.5 The first level of the Results Framework monitors progress towards the Millennium Development Goal (MDG) standard indicators. Progress towards these outcomes is driven by the collective action of developing countries and diverse development par tners, and not the actions of DFID alone. Monitoring progress of these goals is crucial to understanding what results are being achieved through all development resources, not just our own. Where progress is slow or regressing, DFID actively uses this evidence to inform and guide its future programming. 2.6 In addition to the MDG standard indicators, level 1 of the DFID Results Framework includes one additional DFID-specific indicator relating to children who can read with sufficient fluency. DFID has incorporated this indicator to reflect the impor tance of monitoring the quality of education provided in DFID's priority countries alongside the number of children enrolling in school. DFID is working with global par tners to develop data systems and tools to measure progress against this indicator by 2015. 2.7 The indicators included in level 1 of DFID's Results Framework are summarised in Figure 2.2. As in previous Annual Repor ts, DFID assesses progress against these indicators in 2 ways: - Global progress based on the UN assessment is displayed in Figure 2.3 with a shor t narrative provided for each MDG in Figure 2.4. The UN assessment is based on information available as at June 2013. The latest available data for most indicators refers to 2011 to 2013. - Country progress against a subset of 7 MDG indicators based on DFID's assessment of progress in each of its priority countries is provided in Chapter 3. 4 \| Indicator \| Millennium Development Goal \| \|------------------------------------------------------------------------------------------------\|----------------------------------------------\| \| (MDG) \| \| \| Proportion of population below $1.25 (PPP) per day \| \| \| Goal 1: Eradicate extreme \| \| \| Growth rate of GDP per person employed \| \| \| poverty and hunger \| \| \| Employment to population ratio \| \| \| Prevalence of underweight children under 5 years of age \| \| \| Net enrolment ratio in primary school \| \| \| Goal 2: Achieve universal \| \| \| Proportion of pupils star \| ting grade 1 who reach last grade of primary \| \| primary education \| \| \| Literacy rate of 15–24 year olds, women and men \| \| \| Percentage of children that can read with sufficient fluency for comprehension in early grades \| \| \| 4 \| \| \| Ratio of girls to boys in primary, secondary and ter \| tiary education \| \| \| \| \| Share of women in wage employment in the non-agricultural sector \| \| \| Goal 3: Promote gender equality \| \| \| and empower women \| \| \| Proportion of seats held by women in national parliament \| \| \| Goal 4: Reduce child mortality \| \| \| Under 5 mortality rate \| \| \| Maternal mortality ratio \| \| \| Goal 5: Improve maternal health \| \| \| Proportion of births attended by skilled health personnel \| \| \| Unmet need for family planning \| \| \| Incidence and death rates associated with malaria \| \| \| HIV prevalence among population aged 15–24 years \| \| \| Goal 6: Combat HIV/AIDS, \| \| \| malaria and other diseases \| \| \| Proportion of population with advanced HIV infection with access to antiretroviral drugs \| \| \| Proportion of population using an improved drinking water source \| \| \| Goal 7: Ensure environmental \| \| \| Proportion of population using an improved sanitation facility \| \| \| sustainability \| \| \| Proportion of land area covered by forest \| \| \| CO \| \| \| 2 \| \| \| emissions, total, per capita, and per $1 GDP (PPP) \| \| 1 ## Goal 4: Reduce Child Mortality Goal 5: Improve Maternal Health moderate access (Amber) moderate Access to reproductive low access high access access health (Amber) (Green) (Amber) ## Goal 6: Combat Hiv/Aids, Malaria And Other Diseases Halt and begin to low high low low low low low low intermediate reverse the spread of incidence incidence incidence incidence incidence incidence incidence incidence incidence HIV/AIDS (Red) (Green) (Amber) (Amber) (Green) (Amber) (Green) (Amber) (Red) low mortality (Green) moderate mortality (Green) moderate Halt and reverse spread low mortality mortality of tuberculosis (Amber) (Amber) ## Goal 7: Ensure Environmental Sustainability Halve propor tion of high low high moderate high high low high moderate population without coverage coverage coverage coverage coverage coverage coverage coverage coverage improved drinking water (Green) (Amber) (Green) (Green) (Green) (Amber) (Amber) (Green) (Red) Halve propor tion of high very low low low very low moderate very low moderate high population without coverage coverage coverage coverage coverage coverage coverage coverage coverage sanitation (Green) (Amber) (Green) (Green) (Amber) (Amber) (Amber) (Green) (Green) moderate very high Key to colour coding in tables: Green = target already met or expected to be met by 2015 Amber = progress insufficient to reach the target if prevailing trends persist Red = no progress or deterioration Grey = missing or insufficient data Pover ty progress for Eastern Asia is assessed based on China's data only. Note that the descriptive text (eg very high pover ty) listed against the indicators in Figure 2.3 relates to the current status while the red/amber/green status relates to the relative progress that has been made. access (Amber) moderate access (Amber) moderate access (Amber) low mortality (Green) low mortality (Green) moderate mortality (Amber) high mortality (Amber) moderate mortality (Green) ## Figure 2.4: Narrative On Global Progress Towards The Mdgs Mdg 1: Eradicate Extreme Poverty And Hunger Target 1.A: Halve, Between 1990 And 2015, The Proportion Of People Whose Income Is Less Than $1 A Day. Global Progress: Met Ahead Of Schedule. The world reached the pover ty reduction target 5 years ahead of schedule. In developing regions, the propor tion of people living on less than $1.25 a day fell from 47% in 1990 to 22% in 2010. About 700 million fewer people lived in conditions of extreme pover ty in 2010 than in 1990. Extreme pover ty rates have fallen in every developing region, with China leading the way. Pover ty remains widespread in sub-Saharan Africa and southern Asia, although progress in the latter region has been substantial. 4 out of 5 of the 970 million people expected to be living in extreme pover ty in 2015 will be in sub-Saharan Africa and southern Asia. ## Target 1.B: Achieve Full And Productive Employment And Decent Work For All, Including Women And Young People. Global Progress: Lagging.6 Since 2001, the number of workers living on less than $1.25 a day has declined by 294 million. However, 400 million people still work below the $1.25 income threshold and a fur ther 480 million between $1.25 and $2 a day. The propor tion of workers in vulnerable employment has also decreased globally between 1991 and 2011 - a positive result for women who are far more likely than men to be engaged in vulnerable employment, especially in Nor thern Africa and Western Asia. However, a large gender gap in employment persists and is unchanged. The employment-to-population ratio for men in developing countries remains at 75% compared to 48% for women. Unemployment remains a key challenge for young people. Negative labour market trends for youth have accounted for 41% of the decline in the global employment-to-population ratio since 2007. The combination of more youth being available for work and falling employment rates among youth contributed two fifths of the global decline in the employment-to-population ratio since 2007. ## Target 1.C: Halve, Between 1990 And 2015, The Proportion Of People Who Suffer From Hunger. Global Progress: Lagging. Good progress has been made towards this target in some regions but hunger and undernutrition remain unacceptably high in sub-Saharan Africa and south Asia. The 2013 Nutrition for Growth (N4G) event, co-hosted by the UK, aimed to secure the scale of commitment needed to accelerate reductions in undernutrition beyond 2015. Through N4G, over 100 governments, donors, businesses and civil society organisations pledged to reduce the number of stunted children in the world by 20 million by 2020. Approximately £14.4 billion was committed by governments of affected countries and donors to suppor t scale-up of ser vices to improve nutrition outcomes. A new Global Repor t on Nutrition will be published annually to track progress against N4G commitments and to hold stakeholders to account for delivering results in high-burden countries. ## Mdg 2: Achieve Universal Primary Education Target 2: Ensure That, By 2015, Children Everywhere, Boys And Girls Alike, Will Be Able To Complete A Full Course Of Primary Schooling. Global Progress:* Lagging. Greater numbers of children living in developing regions are enrolled in primary education than ever before. The enrolment rate in primary education stands at an impressive 90%. However, there are regional differences. In sub-Saharan Africa the rate of progress in reducing the out-of-school population has stalled, leaving 22% of primary school age children, in that region, out of school. More widely, on current projections, there are concerns that only 68 out of 122 countries will achieve universal primary enrolment by 2015. DFID is committed to working with international effor ts to focus on reaching the most vulnerable, increasing rates of school completion and improving learning outcomes. ## Mdg 3: Promote Gender Equality And Empower Women Target 3: Eliminate Gender Disparity In Primary And Secondary Education, Preferably By 2005, And In All Levels Of Education No Later Than 2015. Global Progress: Lagging. Significant progress has been made for girls and women. Globally, more girls go to school, women are living longer, having fewer children and have greater par ticipation in the labour market. However, only 2 out of 103 countries have achieved the target of gender parity in all levels of education. Progress seen at the star t of the decade has slowed considerably. 31 million girls of primary school age have never been to school. Gender disparities in education increase at secondary level and are most pronounced at ter tiary level as gender-discriminatory social norms and increased education costs prevent girls from staying in school. Some progress is also being made in relation to the propor tion of women in wage employment in the non-agricultural sector. 40 out of 100 wage-earning jobs in the non-agricultural sector are held by women, a significant improvement since 1990. ## Mdg 4: Reduce Child Mortality Target 4: Between 1990 And 2015, Reduce The Under-5 Mortality Rate By Two-Thirds. Global Progress: Lagging. The majority of child deaths are due to conditions that can be prevented or treated with simple, affordable inter ventions. Globally, the mor tality rate for children under 5 has declined by nearly 50% from 1990 to 2011. However, despite steady progress, the MDG target is unlikely to be reached without accelerated action to tackle the leading killers in children (newborn deaths 44%, pneumonia 17%, diarrhoea 9% and malaria 7%) and increased effor ts to reduce childhood malnutrition (linked to 45% of child deaths), par ticularly in sub-Saharan Africa where 1 in 9 children die before the age of 5. Newborn mor tality requires par ticular attention, with 1 million children a year not surviving their first day of life. ## Mdg 5: Improve Maternal Health Target 5.A: Between 1990 And 2015, Reduce The Maternal Mortality Ratio By Three Quarters. Global Progress: Lagging. Globally the maternal mor tality rate declined by 47% over the past 2 decades, from 400 maternal deaths per 100,000 live bir ths in 1990 to 210 in 2010. All regions have made progress, with the highest reductions in eastern Asia (69%), nor thern Africa (66%) and southern Asia (64%). However, meeting the MDG target of reducing the ratio by three quar ters will require accelerated interventions, improved access to emergency obstetric care, assistance from skilled health personnel at delivery and the provision of antiretroviral therapy to all women who need it. The propor tion of deliveries attended by skilled personnel rose from 55% in 1990 to 66% in 2011. However, in about 46 million of the 135 million live bir ths in 2011, women delivered alone or with inadequate care. Wide disparities are found among regions in the level of skilled attendance at bir th with women in rural areas at a disadvantage. ## Target 5.B: Achieve, By 2015, Universal Access To Reproductive Health. Global Progress: Lagging. The need for family planning is slowly being met for more women, but demand is also increasing at a rapid pace. Worldwide, the unmet need for family planning dropped from 15% in 1990 to 12% in 2011, driven by progress in developing regions. Current levels of unmet need range from 4% in eastern Asia to 25% in Oceania and sub-Saharan Africa. This means that 140 million women (married or in union) would like to delay or avoid pregnancy, but are not using contraception. However, by 2015, total demand for family planning among married women is projected to grow to more than 900 million, mostly due to population growth, and remains a considerable challenge. Expanding access to information, counselling and supplies for a wide range of contraceptive methods is essential to meeting the target of universal access to reproductive health. ## Mdg 6: Combat Hiv/Aids, Malaria And Other Diseases Target 6.A: Have Halted By 2015 And Begun To Reverse The Spread Of Hiv And Aids. Global Progress: Lagging. UNAIDS 2012 data shows that globally there were 1 million fewer infections in 2012 than in 2001. New HIV infections among children have declined by 52% over the same period. However, there were still 2.3 million new infections with an estimated 35 million people living with HIV, 3.3 million of whom are children, in 2012. HIV infection rates are twice as high in young women aged 15–24 compared to young men, and account for 22% of all new HIV infections. Greater effor ts are needed to prevent and treat HIV and TB co-infection, par ticularly in southern and eastern Africa where 50% of tuberculosis (TB) patients are estimated to be living with HIV . ## Target 6.B: Achieve Universal Access To Treatment For Hiv/Aids For All Those Who Need It. Global Progress: Not Met. There has been a 29% decrease in AIDS-related deaths (adults and children) since 2005 due to massive scale-up of antiretroviral therapy. By 2012, nearly 10 million people were on antiretroviral treatment and for many HIV is now a manageable chronic condition. However, due to stigma and discrimination and poorly functioning health systems, at least 16 million people in need of treatment are still not accessing services under new World Health Organization 2013 treatment guidelines. Available treatment for children remains much lower than for adults, with paediatric treatment coverage in sub-Saharan Africa unacceptably low at 34% in 2012. ## Target 6.C: By 2015, To Have Halted And Begun To Reverse The Incidence Of Malaria And Other Major Disease. Global Progress: On Track. Malaria cases are estimated to have reduced by 25% globally and 31% in Africa between 2000 and 2012, and progress is faster in countries with lower numbers of cases. Malaria mor tality rates are estimated to have fallen by 42% in all age groups and by 48% in children aged under 5 years. Globally, the target has been met for TB incidence and continues to decline slowly. All regions except Africa and Europe are on track to achieve the Stop TB Par tnership target of a 50% decline in mor tality by 2015. However, in 2012 there were an estimated 8.6 million new TB cases (including 1.1 million cases with HIV) and an estimated 1.3 million deaths (including 320,000 people with HIV). 3 million people who developed TB are estimated to be missing out on quality care. The spread of drug resistance poses major threat to malaria and TB progress. There were reductions in incidence for many neglected tropical diseases (NTDs). 700 million people received mass drug administration (MDA) for one or more NTDs in 2012, but only 36% of people requiring MDA worldwide received all the drugs they needed. ## Mdg 7: Ensure Environmental Sustainability Target 7.A: Integrate The Principles Of Sustainable Development Into Country Policies And Programmes And Reverse The Loss Of Environmental Resources. Global Progress: Lagging.* Natural resource stocks and flows continue to deteriorate with deforestation and unsustainable fishing practices undermining the health of natural assets and presenting a threat to sustainable development. More integrated approaches between agriculture and forest sectors are needed to make real progress in reversing the loss of natural resources, including forests, and to fulfil international commitments related to climate change mitigation, biodiversity conservation and sustainable land management. Carbon emissions are continuing to increase globally and the rate of growth in global emissions has accelerated, rising 10% from 1990 to 2000 and 33% from 2000 to 2010. Containing the growth in global emissions demands co-ordinated national and international action including concluding negotiations on a global agreement by 2015 to begin implementation in 2020. ## Target 7.B: Reduce Biodiversity Loss, Achieving, By 2010, A Significant Reduction In The Rate Of Loss. Global Progress: Not Met. Significant progress has been made since 1990 in increasing the coverage of protected areas dedicated to safeguarding and maintaining biological diversity and natural resources. From 1990 to 2012, protected terrestrial areas grew from 8.9% to 14.6% of the world's land surface. Over the same period, marine protection has more than doubled in coastal waters, from 4.6% to 9.7%. However, biodiversity loss is continuing. All species groups with known trends are deteriorating in status, moving closer to extinction and away from stable populations. Therefore, continued effor ts are needed, in par ticular to improve the effectiveness of the global protected area network. ## Target 7.C: By 2015, Halve The Proportion Of People Without Sustainable Access To Safe Drinking Water And Basic Sanitation. Global Progress: Water Target Met Ahead Of Schedule. Sanitation Target Lagging. Achieving the water target in 2010 was a major success. Since 1990, 2.1 billion people gained access to improved drinking water sources. Most of the 768 million people without access live in rural areas, with access lowest in sub-Saharan Africa. To meet the sanitation target, another 1 billion people need to gain access by 2015. There has been significant progress with 1.9 billion people gaining access since 1990, leaving 2.5 billion people without access. The propor tion of the global population practising open defecation has reduced from 24% to 15% since 1990, but 1.1 billion people still lack access to any form of toilet. South Asia and sub-Saharan Africa are the regions where access to sanitation is lowest. ## Target 7.D: By 2020, To Have Achieved A Significant Improvement In The Lives Of At Least 100 Million Slum Dwellers. Global Progress: Met. Between 2000 and 2010, over 200 million slum dwellers gained improved water sources, sanitation facilities, durable housing or sufficient living space. The propor tion of slum dwellers in developing regions decreased from 39% in 2000 to 33% in 2012. The decline occurred in most regions with eastern Asia, southern Asia and south-eastern Asia achieving the largest percentage decreases. The high propor tion of slum dwellers in sub-Saharan Africa dropped from 65% in 2000 to 62% in 2012. However, the number of slum dwellers, in absolute terms, continues to grow, due in par t to the fast pace of urbanisation, being estimated at 863 million in 2012 compared with 760 million in 2000. ## Mdg 8: Develop A Global Partnership For Development Target 8.A: Develop Further An Open, Rule-Based, Predictable, Non-Discriminatory Trading And Financial System. Global Progress: Lagging. Market access for developing and least developed countries (LDCs) has continued to improve although average tariffs for clothing and textiles for LDCs still remain relatively high. Over 98% of impor ts from LDCs are admitted duty free into the EU under its Everything But Arms preference scheme. An historic agreement was reached at the World Trade Organization's (WTO) ninth Ministerial Conference in Bali in December on a package wor th $100 billion. This reconfirms the WTO's relevance with the first multilateral deal in 20 years. It will also inject fresh momentum into resolving some of the remaining issues in the Doha Development Agenda (DDA) which are critical for developing countries. ## Target 8.B: Address The Special Needs Of The Least Developed Countries. Global Progress: Lagging. From 2010 to 2012 there had been a year on year reduction in net bilateral official development assistance (ODA) flow to LDCs. This trend has been reversed in 2013 with a 12.3% increase in real terms from 2012 to 2013. This increase is encouraging but it should be noted that there was exceptional debt relief to Burma in 2013. ODA to LDCs had increased from a low of 0.05% of total donors' Gross National Income (GNI) in the late 1990s to 0.11% in 2010. However, the trend has reversed in recent years, decreasing to 0.10% in 2011 and 0.09% in 2012. Figures on ODA to LDCs as a propor tion of donors' GNI are not yet available for 2013. ## Target 8.C: Address The Special Needs Of Landlocked Developing Countries And Small Island Developing States. Global Progress: Lagging. Progress has been mixed on this target. ODA spend on landlocked developing countries fell in 2010 and again in 2011. However, assistance to small island developing states increased substantially. Assistance to sub-Saharan Africa plays a large par t in achieving this MDG since the region hosts 14 of the world's 31 landlocked developing countries. Bilateral aid to this region fell by 4% in real terms from 2012 to 2013. ## Target 8.D: Deal Comprehensively With The Debt Problems Of Developing Countries Through National And International Measures And Make Debt Sustainable In The Long Term. Global Progress: On Track. Of the 39 countries eligible or potentially eligible for Heavily Indebted Poor Country (HIPC) Initiative assistance, 35 have received debt relief from Paris Club bilateral creditors and International Financial Institutions including the IMF and World Bank. This has resulted in reductions in debt ser vicing and increases in pover ty reducing expenditure. The international community is focused on ensuring that the remaining 4 countries are able to access debt relief under HIPC in line with the requirements. The IMF and World Bank have been monitoring and suppor ting debt sustainability in low income countries through the joint Debt Sustainability Framework which helps guide countries and donors in mobilising the financing of low income countries' development needs, while reducing the chances of an excessive build-up of debt in the future. For those countries which have received debt relief the focus must now be on maintaining the gains by keeping debt levels sustainable. DFID has continued to suppor t HM Treasury's lead on debt issues, suppor ting eligible countries' progress through the internationally agreed HIPC Initiative. ## Target 8.E: In Co-Operation With Pharmaceutical Companies, Provide Access To Affordable Essential Drugs In Developing Countries. Global Progress: Lagging. Resources to suppor t the provision of essential medicines through some disease-specific global health funds increased in 2013. Drug donations to treat neglected tropical diseases also increased. However, availability of essential medicines remains low across developing countries with large inequalities in the availability and quality of generics across countries. Data indicates a minor improvement in effor ts to bring the price of essential medicines in developing countries in line with international reference prices. ## Target 8.F: In Co-Operation With The Private Sector, Make Available The Benefits Of New Technologies, Especially Information And Communications. Global Progress: Lagging. Growing infrastructure in information and communications technology, including mobile-broadband networks, along with social media, innovative applications and falling prices for services continue to drive internet uptake in all regions of the world. However, major regional differences remain. In the developing world, 31% of the population are online, compared to 77% in the developed world. Sub-Saharan Africa, where less than 20% of the population are using the internet, remains the region with the lowest penetration rate. Both the number of fixed and mobile-broadband subscriptions in developing countries surpassed those in developed countries. But penetration rates lag seriously behind. While developed countries have fixed and mobile-broadband penetration rates of 27% and 75% respectively, rates for developing countries stood at 6% for fixed and 20% for mobile-broadband subscriptions. In sub-Saharan Africa, fixedbroadband penetration is below 1%. Besides differences in penetration rates, major disparities remain in the coverage, price and quality of broadband services. The limited availability of international internet bandwidth and backbone infrastructure in many developing countries continues to pose challenges. Despite a significant drop in prices, the cost of broadband access in relation to average income remains far too high for most in developing countries. More effor ts must be made to make broadband available, affordable and truly high-speed for all. ## Level 2: Dfid'S Contribution To Development Results 2.8 The indicators in level 2 of DFID's Results Framework measure the outputs that can be directly linked to DFID programmes and projects whether delivered through bilateral country programmes, or through contributions to multilateral organisations. The bilateral indicators were selected primarily through analysis of expected results set out in individual DFID country Operational Plans, while the multilateral indicators capture key outputs as repor ted by the multilateral organisations themselves. The multilateral results are presented alongside the UK's funding share of the multilateral organisation, in order to show the extent of the UK's contribution. 2.9 It is impor tant to note that the indicators in level 2 of the Results Framework reflect those outputs where it is possible to aggregate results across different countries and so do not capture all the results that DFID is delivering. Results that are vital to each country's development may not be covered here simply because they cannot be aggregated across countries. Chapter 3 provides a summary of the headline results delivered through each country and regional programme, reflecting the priorities and operational context in each area. A fuller set of results are set out in the individual country Operational Plans, published on the GOV .UK website. ## Progress Towards Dfid'S Results Commitments 2.10 DFID has made a number of results commitments, setting out the results that UK investment in development will deliver by 2015. These targets were initially set out in 'UK aid: Changing lives, delivering results'7 and in some cases have been updated with subsequent announcements. This repor t presents the progress that has been made towards the 2015 targets. Some highlights are summarised below. 2.11 By 2013–14, the UK had suppor ted: - 6.7 million people with cash transfer programmes, meeting our target of 6 million - 3.6 million bir ths delivered with the help of nurses, midwives or doctors, meeting the target of 2 million - 85.8 million people to hold their authorities to account and have a say in their community's development, meeting the target of 40 million - 54.4 million people with access to financial ser vices, providing the means to help suppor t people to work their way out of pover ty, meeting the target of 50 million - 43.1 million people with access to a water, sanitation or hygiene intervention - 19.3 million children under 5 or pregnant women with nutrition programmes. 2.12 A shor t summary of the results achieved is now presented for each of the following sectors, showing progress towards DFID's commitments for each indicator in level 2 of the Results Framework. - Wealth creation - Pover ty, vulnerability, nutrition and hunger - Education - Water, sanitation and hygiene - Humanitarian assistance - Governance and security - Climate change - Health. Some technical notes to be aware of when using the results estimates are provided in Figure 2.5 and the multilateral acronyms used in the tables are explained in Figure 2.6. ## Results Achieved By Sector - Wealth Creation Two impor tant aspects of wealth creation are an individual's ability to access financial ser vices and their ability to have secure rights over their land and other proper ty. An estimated 2.5 billion adults do not have access to formal financial services. A World Bank-Gallup survey in 148 countries in 2012 repor ted that 76% of adults in sub-Saharan Africa and 67% of adults in south Asia do not have access to formal financial ser vices, compared to only 11% in high income countries. In low income countries, women, on average, are 10% less likely than men to have access to formal financial ser vices while people living in rural areas are nearly 15% less likely to have access than their urban counterpar ts. Lack of access to formal services including borrowing, saving, payments or insurance hinders the ability of poor people to star t or grow small businesses, smooth their consumption, build assets and withstand shocks such as ill health or natural disasters. By improving access to finance, evidence8 shows this can raise incomes and help suppor t people to work their way out of pover ty. Some 75% of the world's population do not hold legally enforceable rights to the land they live and work on. In sub-Saharan Africa alone, over half the population live on less than £1 a day and less than 10% of the rural land is legally registered. There is strong evidence that the responsible governance of tenure of land and other natural resources is an essential component for achieving sustainable development and pover ty eradication. Indeed, findings from a recently published DFID Evidence Paper9 on securing proper ty rights found "evidence of a strong association between secure proper ty rights, long-term economic growth and sustainable pover ty reduction, where impor tant complementary measures (e.g. infrastructure, access to credit and agricultural inputs) were in place". Consequently, as a key economic institution, proper ty rights and their protection sit at the hear t of the UK's 'golden thread' vision for international development and pover ty reduction. ## Dfid Commitment In 'UK aid: Changing lives, delivering results' DFID has a commitment to provide more than 50 million people with access to financial ser vices to help them work their way out of pover ty by March 2015. DFID has also committed to secure the right to land and proper ty for more than 6 million people, of whom 50% will be women, by March 2015. DFID's Strategic Vision for Girls and Women made a fur ther and more ambitious commitment to secure access to land for 4.5 million women. ## Indicators Used To Measure Progress There are 2 wealth creation indicators included in the DFID Results Framework to measure progress: - Number of people with access to financial ser vices as a result of DFID suppor t - Number of people suppor ted through DFID to improve their rights to land and proper ty ## Results Achieved By 2013–14, DFID had achieved the following results: - Supported an estimated 54.4 million people to gain access to financial services - Helped 1.6 million people to secure their land and property rights The results for the financial access indicator come from a variety of financial sector development programmes focusing on direct delivery of financial services to the unbanked and on development of markets for financial ser vices with a view to paving the way for the private sector to ser ve the needs of the poor. The indicator is not a direct measure of pover ty but rather a measure of access to financial services such as credit, savings/deposits, insurance, leasing and transfer payments. The data mainly focuses on bilateral activities but in the case of multidonor funded programmes, results are attributed to DFID on the basis of DFID's share in the total programme cost. DFID is committed to scaling up programmes that improve the security of land tenure rights in developing countries, par ticularly for women and girls. The programmes contributing to this indicator tackle specific challenges to the security of rights to land and proper ty, especially for the poor. For example, the lack of up to date and collectable land use and ownership information; the lack of delimitation or registration of communal land; or the lack of recognition of women's user and ownership rights. All of these make it more difficult for individuals and communities to get a good return from their assets. ## Progress Towards Dfid Results Commitments \| Indicator \| Indicator \| Results achieved up to 2013–14 inclusive \| \|------------------------------------------------\|--------------\|---------------------------------------------\| \| type \| \| \| \| Male \| Female \| Not \| \| identified \| \| \| \| Number of people with access to financial \| \| \| \| services as a result of DFID support* \| \| \| \| Peak year \| 27,073,000 \| 26,912,000 \| \| 54,450,000 \| \| \| \| Cumulative \| 765,000 \| 739,000 \| \| 1,570,000 \| \| \| \| Number of people supported through DFID \| \| \| \| programmes to improve their rights to land and \| \| \| \| property \| \| \| * Results achieved through both multilateral and bilateral channels. ## Results Achieved By Country The largest contributor to the financial access indicator is DFID's Private Sector Depar tment (PSD) which provides central funding to programmes operating in a wide range of countries. With regard to improvements to land and proper ty rights, the highest number of people suppor ted has been in India and Nepal with 85% of the results delivered in these countries. ## Number Of People With Access To Financial Services As A Result Of Dfid Support Number Of People Supported Through Dfid Programmes To Improve Their Rights To Land And Property Other refers to departments which contribute <4% of results, and includes Tanzania, Bangladesh, Middle East and North Africa Department Regional, multilateral organisations, Burma, Rwanda, Uganda, South Africa, Sudan, Yemen, Zambia, Zimbabwe, Malawi, Central Asia and Nepal. ## Results Achieved By Multilateral Organisations The following results are delivered by multilateral organisations, and fall broadly within the wealth creation sector. These indicators were included in the multilateral section of DFID's Results Framework. The results presented here are based on all funding that the multilateral receives, not just funding from DFID or the UK. These results are presented alongside DFID's share of core funding to the multilateral organisations, in order to illustrate that DFID contributes a share of those results. \| Indicator \| Multilateral \| Reporting \| \|--------------------------------------------------------------\|-----------------\|--------------\| \| period \| \| \| \| Number of microfinance accounts opened or end borrowers \| \| \| \| reached \| \| \| \| AsDB \| 2013 \| 831,000 \| \| \| \| \| \| Number of micro/small/medium productive enterprises financed \| IADB \| 2013 \| \| Number of active borrowers in microfinance \| IFAD \| 2012 \| \| Number of voluntary savers \| IFAD \| 2012 \| \| Number of housing loans \| IFC \| FY 2012–13 \| \| Number of microfinance and SME loans \| IFC \| FY 2012–13 \| \| Number of long term jobs created \| PIDG \| \| \| Cumulative \| \| \| \| data to 2013 \| \| \| \| 188,000 \| 67 \| \| Total \| Latest result \| \|------------------\| \| contribution \| \| as a % of \| \| total core \| \| funding \| ## Results Achieved By Sector - Pover Ty, Vulnerability, Nutrition And Hunger About 700 million fewer people lived in extreme pover ty conditions in 2010 compared to 1990. Despite this fall, around 1.2 billion people live in extreme pover ty.10 If we are to break the cycle of pover ty, we need to address the most pressing need of all - hunger. Today, 1 in 8 people in the world remain chronically undernourished. Hunger and malnutrition rob children of their life chances - making them much more likely to become ill, limiting brain development and stunting growth. The Millennium Development Goals (MDGs) include 2 targets in this area. The first is to halve, by 2015, the propor tion of people whose income is less than $1.25 a day. This target was met 5 years ahead of the deadline, and the global pover ty rate had fallen by 2010 to less than half the rate in 1990. However, more than 1.2 billion people globally still live in extreme pover ty. The second target is to halve, by 2015, the propor tion of people who suffer from hunger. The world is on track to reach the hunger target by 2015, but globally about 870 million people are still estimated to be undernourished, and in sub-Saharan Africa and South Asia hunger and undernutrition remain unacceptably high. ## Dfid Commitment DFID has 3 specific commitments within this sector: - Help more than 6 million of the world's poorest people to escape extreme pover ty by March 2015 - Stop 20 million more children going hungry by December 2015 - Ensure that another 3 million people have enough food throughout the year by March 2015 ## Indicators Used To Measure Progress There are 3 indicators included in the DFID Results Framework to measure progress on results achieved in this sector through DFID suppor t: - Number of people benefiting from DFID-suppor ted cash transfer programmes - Number of children under 5 and pregnant women reached through DFID's nutrition-relevant programmes - Number of people achieving food security through DFID suppor t ## Results Achieved By 2013–14, DFID had achieved the following results: - Supported 6.7 million people with cash transfer programmes - Reached 19.3 million children under 5 and pregnant women through DFID's nutrition-relevant programmes - Provided food security to 2.5 million people For 2 of the indicators in this sector , 'number of people benefiting from DFID-supported cash transfer programmes' and 'number of people achieving food security through DFID support', results have been delivered solely through DFID's bilateral programme. For the indicator 'number of children under 5 and pregnant women reached through DFID's nutrition-relevant programmes', the majority of results have been delivered through DFID's bilateral programme but some have been delivered through core funding to UNICEF and the World Food Programme. ## Progress Towards Dfid Results Commitments \| Results achieved up to 2013–14 inclusive \| Indicator \| Indicator \| \|--------------------------------------------------\|---------------------\|--------------\| \| type \| \| \| \| Total \| \| \| \| Male \| Female \| Not \| \| identified \| \| \| \| Number of people benefiting from DFID-supported \| \| \| \| cash transfer programmes \| \| \| \| Peak year \| 2,606,000 3,296,000 \| 752,000 \| \| 6,655,000 \| \| \| \| Peak year \| 4,496,000 6,148,000 \| 8,661,000 \| \| 19,305,000 \| \| \| \| Number of children under 5 and pregnant women \| \| \| \| reached through DFID's nutrition-relevant \| \| \| \| programmes \| \| \| \| Number of people achieving food security through \| \| \| \| DFID support \| \| \| \| Peak year \| 1,170,000 1,302,000 \| 0 \| \| 2,472,000 \| \| \| * Results achieved through both multilateral and bilateral channels. ## Results Achieved By Country Each of the 3 indicators in this sector has very different geographical coverage. Close to two thirds of all people benefiting from cash transfer programmes lived in Bangladesh, Pakistan or Ethiopia. There were also significant numbers living in Kenya, Uganda, Rwanda and the Occupied Palestinian Territories, as well as smaller numbers in 6 other DFID priority countries, mainly within sub-Saharan Africa. The number of children under 5 and pregnant women who were reached by DFID's nutrition programmes was spread more evenly across countries, mainly in Africa. As well as a significant number of beneficiaries in Nigeria, India, Ethiopia and Mozambique, children and pregnant women in Zambia, Bangladesh and other DFID priority countries (within Africa and Western Asia) also benefited from nutrition programmes. Three quarters of people achieving food security through DFID support lived in Zimbabwe and Bangladesh. The remaining quarter of beneficiaries lived in Burma or Ethiopia. ## Number Of People Benefiting From Dfid-Supported Cash Transfer Programmes Results achieved up to 2013–14 inclusive Other refers to departments which contribute <4% of results, and includes Zambia, Zimbabwe, Ghana, Mozambique, Yemen and South Sudan. ## Number Of People Achieving Food Security Through Dfid Support Results achieved up to 2013–14 inclusive ## Results Achieved By Multilateral Organisations The following results are delivered by multilateral organisations, and fall broadly within the poverty, vulnerability, nutrition and hunger sector. These indicators were included in the multilateral section of DFID's Results Framework. The results presented here are based on all funding that the multilateral receives, not just funding from DFID or the UK. These results are presented alongside DFID's share of core funding to the multilateral organisations, in order to illustrate that DFID contributes a share of those results. \| Indicator \| Multilateral \| \|-------------------------------------------------\|----------------\| \| Reporting \| \| \| period \| \| \| Number of farmers given access to improved \| \| \| agricultural services and investment \| \| \| Number of people receiving services from \| \| \| International Fund for Agricultural Development \| \| \| supported projects \| \| \| Number of people trained in crop production \| \| \| practices/technologies \| \| \| Number of malnourished children provided with \| \| \| special nutritional support \| \| \| Number of people provided with food \| WFP \| \| Number of school children receiving school meal \| \| \| and take home rations \| \| \| Number of women and children provided with food \| \| \| \| \| \| and nutritional support \| \| ## Number Of Children Under 5 And Pregnant Women Reached Through Dfid'S Nutritionrelevant Programmes Results achieved up to 2013–14 inclusive Other refers to departments which contribute <4% of results, and includes Yemen, Nepal, Malawi, Somalia, Kenya, Uganda and multilateral organisations. \| Latest result \| DFID's contribution \| \|----------------------\|------------------------\| \| as a % of total core \| \| \| funding \| \| \| IADB \| 2013 \| \| IFAD \| 2012 \| \| IFAD \| 2012 \| \| WFP \| 2012 \| \| WFP \| 2012 \| \| WFP \| 2012 \| \| 31 \| \| ## Results Achieved By Sector - Education A good education is a human right, a global public good and a necessary ingredient for economic development and pover ty reduction. Education enables people to live healthier and more productive lives. The UK government is committed to helping to ensure that every girl and boy can access and complete a good quality basic education.11 The MDGs include a target to ensure by 2015 that children everywhere will be able to complete a full course of primary schooling. Significant progress has been made on getting children into school with the number of children out of school dropping from 108 million in 1999 to 57 million in 2013. This progress shows what sustained national and international investment can achieve but more needs to be done - and done differently - to ensure all girls and boys are not just in school but learning while there. It is estimated that there are at least 250 million children who cannot read or count, even if they have spent 4 years in school. Learning is a vital and measurable dimension of a quality education and is at the hear t of DFID's education programming. ## Dfid Commitments DFID has made the following commitments: - To suppor t 11 million girls and boys in primary and secondary schools by March 2015, including at least 4.5 million in primary12 and 700,000 girls in secondary school13 - To train more than 190,000 teachers14 and improve the quality of education and children's learning15 ## Indicators Used To Measure Progress There are 4 education indicators used to measure progress on ensuring boys and girls can access and complete a good quality basic education: - Number of children suppor ted by DFID in primary education (per annum), by sex16 - Number of children suppor ted by DFID in lower secondary education (per annum), by sex - Number of children completing primary education suppor ted by DFID (per annum), by sex - Number of teachers trained17 The first 2 indicators provide estimates of the number of children which DFID fully funds to be enrolled in primary and lower secondary school, or the number of children which we can demonstrate would not be in school, or not learning at all, without DFID suppor t. ## Results Achieved By 2013–14, DFID had achieved the following results: - Supported 10.2 million children in primary and lower secondary school - including 4.1 million girls in primary school and 729,000 girls in lower secondary school - Supported 1.4 million children, including 710,000 girls, to complete primary school - this result is based on the number of children completing primary school education suppor ted by DFID (per annum) and uses the number of new entrants to the last grade of primary education as an estimate for those completing primary school - Through multilateral channels, DFID supported the training of 123,000 teachers It should be noted that these results do not represent the full reach of DFID's investments in education. Some significant DFID education investments, including (for example) some technical assistance and suppor t for improved education data, as well as training teachers, are not reflected in these results. The results above also do not include children supported through global or multilateral programmes such as the Girls' Education Challenge Fund and the Global Par tnership for Education. ## Progress Towards Dfid Results Commitments \| Indicator \| Indicator type \| Results achieved up to 2013–14 inclusive \| \|-------------------------------------------------\|-------------------\|---------------------------------------------\| \| Number of children supported by DFID in primary \| \| \| \| and lower secondary education (per annum) \| \| \| \| Peak year \| 5,321,000 \| 4,874,000 \| \| 10,195,000 \| \| \| \| Number of children completing primary education \| \| \| \| supported by DFID (per annum) \| \| \| \| Cumulative \| 705,000 \| 712,000 \| \| 1,417,000 \| \| \| \| Number of teachers trained \| \| \| \| Cumulative \| 0 \| 0 \| \| 123,000 \| \| \| Results achieved through multilateral channels only. ## Results Achieved By Country The highest numbers of children suppor ted in primary and lower secondary school by the end of 2013–14 were in Ethiopia (2.8 million), India (1.4 million), South Sudan (1.2 million), Pakistan (1.1 million) and Bangladesh (0.8 million). These 5 country programmes accounted for 72% of the overall 10.2 million figure. The remaining 16 country programmes (and one centrally managed programme) each account for around 5% or less of the overall 10 million figure. ## Number Of Children Supported In Primary And Lower Secondary Education By Country Results achieved up to 2013–14 inclusive Ethiopia 27.1% India 13.7% South Sudan 12.2% Pakistan 10.5% Bangladesh 8.1% Malawi 5.0% Tanzania 5.0% Other* 18.4% Other refers to departments which contribute <4% of results, and includes Sierra Leone, Rwanda, Mozambique, Nigeria, Zimbabwe, Ghana, Vietnam, Zambia, Burundi, the Occupied Palestinian Territories, Nepal, Yemen, Civil Society Department, Uganda and Kenya. ## Results Achieved By Multilateral Organisations The following results are delivered by multilateral organisations, and fall broadly within the education sector. These indicators were included in the multilateral section of DFID's Results Framework. The results presented here are based on all funding that the multilateral receives, not just funding from DFID or the UK. These results are presented alongside DFID's share of core funding to the multilateral organisations, in order to illustrate that DFID contributes a share of those results. Indicator Multilateral Reporting period Number of teachers trained AsDB 2013 515,000 5 Number of teachers trained GPE 2012 61,000 24 Number of teachers trained IADB 2013 120,000 2 Number of teachers recruited or trained IDA FY 2012–13 1,100,000 11 Number of education ministry officials trained and coached in strategic planning and management UNESCO 2012 1,400 6 Total Male Female Not identified Latest result DFID's contribution as a % of total core funding ## Results Achieved By Sector - Water, Sanitation And Hygiene Sustained utilisation of safe drinking water and hygienic latrines together with habitual hand washing with water and soap is effective in reducing diarrhoea and could prevent almost 1.4 million unnecessary child deaths every year.18 The MDGs include a target to halve, by 2015, the propor tion of the population without sustainable access to safe drinking water and basic sanitation. The target has been met for water but an estimated 768 million people still did not use an improved source of drinking water in 2011. The world is off track on the sanitation target and by the end of 2011, 2.5 billion people lacked access to an improved sanitation facility.19 ## Dfid Commitment DFID has a commitment to reach 60 million people through its water, sanitation and hygiene (WASH) programmes by December 2015. This commitment was made at the Sanitation and Water for All (SWA) High Level Meeting in 2012. This superseded 3 separate targets for our water, sanitation and hygiene programmes, which were included in DFID's 'UK aid: Changing lives, delivering results'20 publication. ## Indicators Used To Measure Progress There are 4 WASH indicators included in the DFID Results Framework to measure progress on the number of people reached with these basic services through DFID suppor t: - Number of unique people reached with one or more water, sanitation or hygiene promotion intervention - Number of people with sustainable access to clean drinking water sources through DFID suppor t - Number of people with sustainable access to an improved sanitation facility through DFID suppor t - Number of people reached with access to improved hygiene through DFID suppor t to hygiene promotion The first of these indicators tracks progress on DFID's commitment to reach 60 million through our WASH programmes by December 201521. This provides a measure of the number of people reached through DFID's WASH programmes. Each person may be reached with one, two or all three of water, sanitation or hygiene inter ventions. The indicator methodology ensures that each person is only counted once. ## Results Achieved By 2013–14, DFID had achieved the following: - Supported over 43 million people to access clean water, better sanitation or improved hygiene conditions through DFID's WASH programmes The number of people reached with each of the 3 separate types of intervention by 2013–14 through DFID suppor t were: - 14.8 million people with sustainable access to clean drinking water sources - 14.5 million people with sustainable access to an improved sanitation facility - 29.4 million people with access to improved hygiene The majority of these results contributing to DFID's commitment (around 80%) have been delivered through DFID's bilateral programme but some results are delivered through core funding to multilaterals (around 20%), primarily the World Bank's International Development Association (IDA), but also through the African Development Bank (AfDB), the Asian Development Bank (AsDB) and the Caribbean Development Bank (CDB). ## Progress Towards Dfid Results Commitments \| Indicator \| Indicator \| Results achieved up to 2013–14 inclusive \| \|------------------------------------------------------\|---------------------------------------------------\|---------------------------------------------\| \| type \| \| \| \| \| Number of unique people reached with one or more \| \| \| water, sanitation or hygiene promotion intervention \| \| \| \| Cumulative \| 16,359,000 \| 16,058,000 10,681,000 \| \| 43,099,000 \| \| \| \| \| Number of people with sustainable access to clean \| \| \| drinking water sources through DFID support * \| \| \| \| Cumulative \| 5,722,000 \| 5,510,000 \| \| 14,767,000 \| \| \| \| \| Number of people with sustainable access to an \| \| \| improved sanitation facility through DFID support* \| \| \| \| Cumulative \| \| \| \| 6,452,000 \| 6,396,000 \| 1,651,000 \| \| 14,499,000 \| \| \| \| \| Number of people with access to improved hygiene \| \| \| through DFID support to hygiene promotion*** \| \| \| \| Cumulative \| 14,175,000 \| 14,099,000 \| \| 29,454,000 \| \| \| * Results achieved through both multilateral and bilateral channels. *** These results reflect bilateral results only. In addition the three sub-indicators do not sum to the headline indicator because of double counts. ## Results Achieved By Country The highest numbers of people reached with one or more water, sanitation or hygiene promotion interventions were in Bangladesh (9.3 million), Nigeria (3.7 million), Zambia (3.3 million), Sierra Leone (3.3 million), Ethiopia (3.1 million), Pakistan (1.9 million), India (1.9 million) and Tanzania (1.6 million). Most of these larger programmes are delivered through UNICEF and par tner governments. The other 10 country programmes, in addition to 2 regional programmes and 4 centrally managed programmes from DFID HQ, each account for around 4% or less of the overall 43 million figure. ## Number Of Unique People Reached With One Or More Water, Sanitation Or Hygiene Promotion Intervention Results Achieved Up To 2013–14 Inclusive Bangladesh 21.5% Multilaterals 15.9% Nigeria 8.5% Zambia 7.7% Sierra Leone 7.6% Ethiopia 7.2% Pakistan 4.5% India 4.3% Other* 22.8% ## Results Achieved By Multilateral Organisations The following results are delivered by multilateral organisations, and fall broadly within the water, sanitation and hygiene sector. The results presented here are based on all funding that the multilateral receives, not just funding from DFID or the UK. These results are presented alongside DFID's share of core funding to the multilateral organisations, in order to illustrate that DFID contributes a share of those results. Indicator Multilateral Reporting period Number of people with new or improved access to water and sanitation AfDB 2013 921,000 12 Number of new households served with water supply AsDB 2013 1,003,000 5 Number of households with access to water supply and sanitation CDB 2013 4,000 22 Number of households with new or upgraded sanitary connections IADB 2013 392,000 2 Number of people with access to clean drinking water IDA FY 2012–13 40,100,000 11 Number of people with access to improved sanitation facilities IDA FY 2012–13 4,300,000 11 Total Male Female Not identified Other refers to departments which contribute <4% of results, and includes Tanzania, Middle East and North Africa Department Regional, the Democratic Republic of Congo, Sudan, Zimbabwe, Yemen, Nepal, Private Sector Department, Malawi, Human Development Department, Civil Society Department, Africa Regional, Mozambique, Vietnam, Research and Evidence Division, South Sudan and Uganda. \| Latest result \| \|------------------\| \| contribution \| \| as a % of total \| \| core funding \| \| \| \| \| ## Results Achieved By Sector - Humanitarian Assistance DFID leads the UK government's response to humanitarian emergencies throughout the world, responding rapidly and decisively to save lives. The Humanitarian Emergency Response Review22 (HERR) recommended how the UK could better deliver a response fit to deal with the challenges of the 21st century, based around 7 key themes: Anticipation, Resilience, Leadership, Innovation, Accountability, Par tnership and Humanitarian space. DFID continues to improve and reinforce the UK response to humanitarian emergencies, in line with the recommendations of the HERR. ## Dfid Commitment By its nature, humanitarian assistance is reactive to unplanned events; therefore DFID has no specific targets for the amount of humanitarian assistance to be delivered. Instead, DFID focuses on delivering the best possible humanitarian assistance to people in need. ## Indicators Used To Measure Progress There is one humanitarian assistance indicator included in the DFID Results Framework: - Number of people reached with emergency food assistance through DFID suppor t. ## Results Achieved By 2013–14, DFID had achieved the following: - Reached over 11 million people with emergency food assistance. ## In Addition: - Following Typhoon Haiyan in the Philippines DFID suppor ted more than a million people. - In the Sahel, DFID is providing suppor t to communities facing food insecurity, malnutrition and those affected by conflict. This suppor t is expected to benefit over 1.6 million people across the region in 2013–14. - The UK is providing humanitarian assistance in the Central African Republic in response to a severe escalation in the crisis. Suppor t is provided through the International Committee of the Red Cross (ICRC), non governmental organisations (NGOs) and UN agencies in emergency healthcare, clean water, food security and logistics and is expected to benefit over 100,000 people. - In October 2013 after Cyclone Phailin in Odisha, India, DFID suppor ted 200,000 people with clean water, basic shelter and other essential items such as blankets and cooking utensils, with a focus on the most vulnerable including women and girls. - Following the flooding in Uttarakhand in India in July 2013, DFID provided suppor t to 15,000 of the most vulnerable people including essential food and water, and bedding and basic shelter materials. - In Haiti, DFID provided rental suppor t cash grants to 2,195 households, enabling them to leave camps and return to their communities of origin in a secure and dignified manner. DFID is also helping Haiti to develop greater resilience to natural disasters, so that when the next disaster hits, Haiti will be better able to cope. ## Progress Towards Dfid Results Commitments \| \| Indicator \| Indicator type \| Results achieved up to 2013–14 inclusive \| \|-----------------------------------\|--------------\|-------------------\|---------------------------------------------\| \| Cumulative \| 4,158,000 \| 4,234,000 \| 2,958,000 \| \| 11,351,000 \| \| \| \| \| Number of people reached with \| \| \| \| \| emergency food assistance through \| \| \| \| \| DFID support \| \| \| \| ## Results Achieved By Country The highest numbers of people have been reached through programmes in Ethiopia (2.6 million), Afghanistan (2.1 million), Pakistan (1.2 million), Somalia (0.7 million) and Malawi (0.5 million). Programmes running in multiple African countries (Africa Regional) have reached a fur ther 2.4 million people (which includes 0.5 million people in Ethiopia, 0.4 million in Malawi, 0.3 million in Kenya and 0.2 million each in Mali and Chad). \| Male \| \|---------\| \| Total \| ## Number Of People Reached With Emergency Food Assistance Through Dfid Support Results achieved up to 2013–14 inclusive Ethiopia 23.0% Africa Regional Department 20.7% Afghanistan 18.3% Pakistan 10.2% Somalia 6.2% Malawi 5.2% Middle East and North Africa Department Regional 4.4% Yemen 4.3% Other 7.6% Other refers to departments which contribute <4% of results, and includes Kenya, Uganda, the Democratic Republic of Congo, Bangladesh, Tanzania, South Africa and Civil Society Department. ## Results Achieved By Multilateral Organisations The following results are delivered by multilateral organisations' humanitarian assistance projects, which may also be funded by other countries or agencies. These results are presented alongside DFID's share of core funding to the multilateral organisations, in order to illustrate that DFID contributes a share of those results. \| Indicator \| Multilateral \| Reporting \| \|-------------------------------------------------------------\|-----------------\|--------------\| \| period \| \| \| \| Number of people benefiting from disaster preparedness \| \| \| \| activities \| \| \| \| ECHO \| 2013 \| 18,000,000 \| \| Number of people provided with humanitarian assistance \| ECHO \| 2013 \| \| Number of civilians provided with essential household items \| ICRC \| 2013 \| \| Number of detainees visited \| ICRC \| 2013 \| \| Number of migrants, internally displaced persons, refugees \| \| \| \| and other vulnerable groups receiving emergency, migration \| \| \| \| and durable support (eg shelter) \| \| \| \| Number of displaced people (refugees and internally \| \| \| \| displaced people) receiving protection or assistance \| \| \| \| UNHCR \| 2013 \| 35,600,000 \| \| Number of severely malnourished children aged 6–59 \| \| \| \| months reached with therapeutic feeding programmes \| \| \| \| UNICEF \| 2013 \| 2,400,000 \| \| Latest result \| DFID's \| \|------------------\|-----------\| \| contribution \| \| \| as a % of \| \| \| total core \| \| \| funding \| \| \| IOM \| 2013 \| ## Results Achieved By Sector - Governance And Security DFID will tackle the underlying causes of pover ty by suppor ting strong and inclusive economic, social and political institutions and empowered citizens. Effective policing, a legal system that can be trusted, local ser vices and the right to vote are among the key building blocks of any stable and prosperous society. Without them, it is difficult for a country to educate its children, grow its economy or build a healthcare system. By suppor ting more governments to put them in place, we can help them meet their people's needs. In the long term this means we are spending now to save later, as countries reach a point where they can stand on their own two feet. The impor tance of governance and security is recognised in the Millennium Declaration23 (September 2000): "We will spare no effor t to promote democracy and strengthen the rule of law, as well as respect for all internationally recognized human rights and fundamental freedoms, including the right to development." The May 2013 repor t24 of the High Level Panel on the post-2015 Development Agenda co-chaired by David Cameron has fur ther reinforced this message: "Freedom from fear, conflict and violence is the most fundamental human right, and the essential foundation for building peaceful and prosperous societies. At the same time, people the world over expect their governments to be honest, accountable, and responsive to their needs." ## Dfid Commitments The results commitments relating to this sector were all announced in the publication 'UK aid: Changing lives, delivering results'25 and are as follows. - We will suppor t freer and fairer elections in 13 countries with more than 300 million voters - We will suppor t 40 million people to hold authorities to account - We will help 10 million women to access justice through the cour ts, police and legal assistance In addition the commitment on access to justice for women and girls is reiterated in DFID's Strategic Vision for Girls and Women. The end date for each of the commitments is March 2015. ## Indicators Used To Measure Progress For governance and security there are 4 indicators in level 2 of the DFID Results Framework of which the first 2 are very closely related: - Number of people who vote in elections suppor ted by DFID - Number of countries suppor ted by DFID in freer and fairer elections - Number of people suppor ted to have choice and control over their own development and to hold decision makers to account - Number of women and girls with improved access to security and justice ser vices through DFID suppor t ## Results Achieved By 2013–14 DFID had achieved the following results: - Supported elections in 11 countries in which 144.7 million people voted - Supported 85.8 million people to have choice and control over their own development and to hold decision makers to account - Improved access to security and justice services for 10.8 million women and girls There are 48 projects which suppor t people to have choice and control over their own development and to hold decision makers to account. The suppor t varies by context and includes building awareness among citizens on the services they should be able to expect from their governments, suppor ting people to meet and discuss issues with their elected representatives, and helping men and women to par ticipate in community decision-making processes. Bilateral programmes help to improve access to security and justice services for women by suppor ting nationally owned reform of security and justice institutions such as the police, prosecutions and the judiciary; increasing awareness and availability of community legal services; building par tnerships between communities and service providers; and ensuring effective responses to violence against women and girls. There are no results arising from DFID core funding of multilateral organisations that contribute to these indicators at level 2 of the DFID Results Framework. Neither are there other headline results achieved by multilateral organisations that would relate to this pillar. ## Progress Towards Dfid'S Results Commitments The electoral events suppor ted in 2013–14 were in Mozambique, Zimbabwe (constitutional referendum), Nepal and Pakistan. Progress on this indicator depends significantly on the timing of elections in par tner countries which is not determined by DFID. The target to suppor t 40 million people to hold authorities to account has been exceeded. An impor tant factor in this is the strong performance of a centrally managed project to meet the information needs of the world's poorest people (delivered by BBC Media Action). \| Indicator \| Indicator \| Results achieved up to 2013–14 inclusive \| \|--------------------------------------------\|-----------------------\|---------------------------------------------\| \| type \| \| \| \| Male \| Female Not identified \| \| \| Total \| \| \| \| Number of people who vote in elections \| \| \| \| supported by DFID \| \| \| \| Cumulative \| 43,257,000 \| 30,208,000 \| \| 144,653,000 \| \| \| \| Number of countries supported by DFID in \| \| \| \| freer and fairer elections \| \| \| \| Cumulative \| N/A \| N/A \| \| 11 \| \| \| \| Peak year \| 45,105,000 \| 33,688,000 \| \| 85,806,000 \| \| \| \| Number of people supported to have choice \| \| \| \| and control over their own development and \| \| \| \| to hold decision makers to account \| \| \| \| Peak year \| N/A \| 10,778,000 \| \| 10,778,000 \| \| \| \| Number of women and girls with improved \| \| \| \| access to security and justice services \| \| \| \| through DFID support \| \| \| ## Results Achieved By Country The elections with most voters have been in Pakistan (47 million) and Nigeria (40 million). The single largest contribution (52 million) to the indicator on suppor ting people to have choice and control is from a centrally managed project delivered by BBC Media Action. Those results are in turn delivered in Bangladesh, Burma, Kenya, Nepal, Nigeria, the Occupied Palestinian Territories and Sierra Leone. In terms of girls' and women's improved access to justice and security, results have been achieved in a number of countries including Bangladesh, Sudan, the Caribbean, the Democratic Republic of Congo, South Sudan, Sierra Leone, Ethiopia, Pakistan, Nepal, Uganda, Zimbabwe and Somalia. ## Number Of People Who Vote In Elections Results achieved up to 2013–14 inclusive Other refers to departments which contribute <4% of results, and includes Zimbabwe, Zambia, Sierra Leone and Mozambique. ## Number Of Women And Girls With Improved Access To Security And Justice Services Results achieved up to 2013–14 inclusive ## Number Of People Supported To Have Choice And Control Over Their Own Development Results achieved up to 2013–14 inclusive Other refers to departments which contribute <4% of results, and includes Ethiopia, Rwanda, the Democratic Republic of Congo, Africa Regional, Nigeria, Caribbean, Pakistan, Sudan, Bangladesh, Burma, Ghana, Malawi, Burundi, Nepal, Zambia, Mozambique, Indonesia and Civil Society Department. Other refers to departments which contribute <2% of results, and includes Ethiopia, Pakistan, Nepal, Uganda, Zimbabwe and Somalia. ## Results Achieved By Sector - Climate Change Climate change threatens to undermine progress to reduce global pover ty. Many poor people already suffer the effects of weather variability and indications are that climate change is increasing the frequency and scale of these events, with floods, famine and droughts already taking their toll. The recent repor ts by the Inter-governmental Panel on Climate Change (IPCC) were unequivocal in assessing that climate change is happening and greenhouse gas emissions caused by human activities are the dominant cause. Concer ted international action is required, as unmitigated climate change poses great risks to human health, global food security and economic development. The £3.87 billion International Climate Fund (ICF) is par t of the UK's international effor t to address the challenge of climate change. It suppor ts programmes that help poor people adapt to the impacts of climate change, promote low carbon growth and protect forests in developing countries. These programmes aim to improve the quality of people's lives - par ticularly women and girls'; suppor t people's livelihoods; and underpin long term economic growth and development. From 2011–16 the ICF is split between 3 UK government depar tments: - Depar tment for International Development (DFID) - contributes £2.4 billion - Depar tment of Energy & Climate Change (DECC) - contributes £1.329 billion - Depar tment for Environment, Food & Rural Affairs (Defra) - contributes £140 million The results presented in the DFID Annual Repor t are for DFID programmes only. The majority, but not all, of these programmes are funded under the ICF . For a summary of overall ICF results please see the ICF results monitoring repor t on the GOV .UK website. ## Dfid Commitments DFID has made a commitment to: - Help millions of poor people to protect their lives and livelihoods from the effects of climate change - Help millions of poor people secure clean energy - Give more protection to the world's forests and the 1.2 billion people who depend on them ## Indicators Used To Measure Progress There are 3 climate change indicators included in the DFID Results Framework to measure progress towards the climate change commitment: - Number of people suppor ted by DFID programmes to cope with the effects of climate change - Number of people with improved access to clean energy as a result of DFID programmes - Number of hectares where deforestation and degradation have been avoided through DFID suppor t ## Results Achieved By 2013–14, DFID had achieved the following results: - Supported nearly 3.4 million people to cope with the effects of climate change - Improved access to clean energy for almost 2.4 million people - Avoided approximately 5,000 hectares of deforestation and degradation ## Progress Towards Dfid Results Commitments \| Indicator \| Indicator type \| Results achieved up to 2013-14 inclusive \| \|------------------------------------\|-------------------\|---------------------------------------------\| \| Male \| Female \| Not identified \| \| Total \| \| \| \| Cumulative \| 709,000 \| 738,000 \| \| 3,396,000 \| \| \| \| Number of people supported by \| \| \| \| DFID funding to cope with the \| \| \| \| effects of climate change \| \| \| \| Cumulative \| 1,090,000 \| 1,060,000 \| \| 2,393,000 \| \| \| \| Number of people with improved \| \| \| \| access to clean energy as a result \| \| \| \| of DFID funding \| \| \| \| Cumulative \| N/A \| N/A \| \| 5,000 \| \| \| \| Number of hectares where \| \| \| \| deforestation and degradation have \| \| \| \| been avoided \| \| \| ## Results Achieved By Country The majority of people have been suppor ted to cope with climate change through centrally managed programmes in DFID's Climate and Environment Depar tment (CED) (1.8 million) as well as Nepal (620,000) and Uganda (320,000). Most people with improved access to clean energy have been targeted through programmes in India (1.1 million), Bangladesh (630,000) and Nepal (220,000). Only Nepal has been able to repor t the number of hectares (5,000) where deforestation and degradation have been avoided. This is due to a large number of programmes unable to repor t achieved results for this indicator. For fur ther details please refer to the methodology note published on the GOV.UK website.26 ## The Number Of People Supported To Cope With The Effects Of Climate Change Results achieved up to 2013–14 inclusive Other refers to departments which contribute <4% of results, and includes Kenya, Malawi and Africa Regional. ## The Number Of People With Improved Access To Clean Energy Results achieved up to 2013–14 inclusive Other refers to departments which contribute <4% of results, and includes Malawi, Climate and Environment Department, Caribbean and Research and Evidence Division. ## Results Achieved By Sector - Health Poor health is both a cause and a consequence of pover ty, and widens inequities. Globally, health is improving. Yet the poorest people in both low and middle income countries suffer the most from ill health, and women suffer more than men.27 Progress is being made against the 3 MDGs which relate to health: MDG 4 (reduce child mor tality), MDG 5 (improve maternal health) and MDG 6 (combat HIV/AIDS, malaria and other diseases). Since 1990 the number of children under 5 years of age dying from preventable causes has fallen from around 12 million each year to around 7 million.28 Maternal mor tality and under 5 mor tality have both declined by 47% since 1990. In 2010, 63% of women aged 15–49 years who were married or in union were using contraception, while 12% wanted to stop or postpone childbearing but were not using contraception. Fifty-five percent of pregnant women received the recommended minimum of 4 antenatal visits for the period 2005–12. The propor tion of bir ths attended by a skilled bir th attendant is above 90% in 3 of the 6 World Health Organization (WHO) regions, but remains below 50% in the WHO African Region (WHO factsheets 290 and 348). To translate this into lives saved, continued attention to skilled bir th attendance is needed, including ensuring health workers are appropriately trained and have access to the right drugs and equipment. There have been reductions in illness and death due to malaria in the worst-affected countries. Between 2000 and 2012, estimated malaria mor tality rates fell by 42% in all age groups and by 48% in children aged under 5 years. The estimated incidence of malaria per 1,000 persons at risk (which takes into account population growth over time) shows a reduction of 25% globally, and 31% in the African Region, between 2000 and 2012.29 ## Dfid Commitments By March 2015, DFID is committed to: - Saving the lives of 50,000 women in pregnancy and childbir th - Saving the lives of 250,000 thousand newborn babies - Helping halve the number of deaths from malaria in at least 10 high burden countries - Suppor ting 2 million bir ths with skilled bir th attendants - Enabling an additional 10 million couples to access modern methods of family planning, including 1 million young women aged 15-19 years - Helping immunise more than 55 million children against preventable diseases These commitments were made at the MDG summit in 2010 and included in DFID's 2011 'UK aid: Changing lives, delivering results'30 publication. ## Indicators Used To Measure Progress The following indicators are included in the DFID Results Framework to measure progress towards the health commitments: - Number of maternal lives saved through DFID suppor t (modelled) - Number of newborn lives saved through DFID suppor t (modelled) - Malaria attributable deaths (modelled) - Number of insecticide treated bed-nets distributed with DFID suppor t - Number of bir ths delivered with the help of nurses, midwives or doctors through DFID suppor t - Number of additional women using modern methods of family planning through DFID suppor t - Number of children immunised against preventable disease through suppor t to GAVI ## Results Achieved By 2013–14, DFID had achieved the following results: - 36,000 maternal lives saved - 64,000 newborn lives saved - Contribution to a reduction in malaria mortality from 29 malaria attributable deaths per 100,000 at risk worldwide in 2009 to 24 malaria attributable deaths per 100,000 at risk worldwide in 2012 (a 17% reduction). The bulk of these deaths occurred in Africa. In Africa there were an estimated 83 malaria attributable deaths per 100,000 at risk in 2012, down from 103 in 2009 (a 20% reduction)31 - 33.7 million long-lasting insecticide-treated bednets distributed - 3.6 million births attended by a skilled birth attendant - 5.0 million additional women using modern methods of family planning - 40.7 million children immunised against preventable diseases The lives saved indicators are obtained by modelling the impact of health-related programmes (reproductive, maternal and newborn health; HIV; malaria; case management of illness; nutrition; vaccination; and humanitarian assistance), as well as general and health sector budget suppor t, using a software application called the Lives Saved Tool (LiST).32 Malaria programmes operate bilaterally, regionally, multilaterally and through civil society organisations. The multilateral malaria contribution is mainly delivered through the Global Fund to Fight AIDS, Tuberculosis and Malaria. The regional programme 'Strengthening the use of data for malaria decision making in Africa' covers 22 countries in sub-Saharan Africa. 18 DFID focus countries are implementing programmes that contribute to DFID's malaria results. The civil society component includes the Malaria Consor tium. Malaria results are also being delivered through suppor t to malaria focused research and product development, and UNITAID. Programmes for skilled bir th attendance are mainly bilateral, operating in 19 DFID focus countries. A civil society component is delivered through Save the Children. Family planning programmes operate bilaterally, regionally, multilaterally and through civil society organisations. Bilateral family planning programmes operate in 16 DFID focus countries, accounting for half the results. The regional programme Prevention of Maternal Deaths from Unwanted Pregnancy (PMDUP) covers 14 countries in Africa and Asia. The multilateral family planning contribution is delivered through UNFPA's global programme to enhance reproductive health commodity security (GPRHCS). The civil society component is delivered through Marie Stopes International (MSI) and International Planned Parenthood Federation (IPPF). Immunisation programmes are delivered multilaterally by GAVI, to whom DFID provides a core contribution each year. ## Progress Towards Dfid Results Commitments \| Results achieved up to 2013–14 inclusive \| Indicator \| Indicator \| \|-----------------------------------------------\|--------------\|--------------\| \| type \| \| \| \| Total \| \| \| \| Male \| Female \| Not \| \| identified \| \| \| \| Modelled \| N/A \| 36,000 \| \| 36,000 \| \| \| \| Number of maternal lives saved through DFID \| \| \| \| support \| \| \| \| Modelled \| 0 \| 0 \| \| 64,000 \| \| \| \| Number of neo-natal lives saved through DFID \| \| \| \| support \| \| \| \| Number of malaria-specific deaths per \| \| \| \| 100,000 persons per year \| \| \| \| Modelled \| 0 \| 0 \| \| 24 \| \| \| \| Number of insecticide treated bed-nets \| \| \| \| distributed with DFID support \| \| \| \| Cumulative \| 0 \| 0 \| \| 33,689,000 \| \| \| \| Cumulative \| 0 \| 0 \| \| 3,582,000 \| \| \| \| Number of births delivered with the help of \| \| \| \| nurses, midwives or doctors through DFID \| \| \| \| support \| \| \| \| Cumulative \| N/A \| 4,966,000 \| \| 4,966,000 \| \| \| \| Number of additional women using modern \| \| \| \| methods of family planning through DFID \| \| \| \| support* \| \| \| \| Number of children immunised against \| \| \| \| preventable disease through support to GAVI** \| \| \| \| Cumulative \| 0 \| 0 \| \| 40,660,000 \| \| \| * Results achieved through both multilateral and bilateral channels. The approach to measuring the multilateral contribution towards family planning has been changed this year from one based on couple years of protection (CYP) to a more robust methodology based on a country by year analysis of contraceptive prevalence rate (CPR). This has resulted in reduced estimates of additional family planning users in each year. Overall results for 2013–14 are fur ther lowered due to 2013 outputs from GPRHCS not yet having been repor ted. Results achieved through multilateral channels only. ## Results Achieved By Country The summaries below cover total results achieved up to 2013–14 inclusive. Due to limited space, the pie char ts can be accessed on the GOV .UK website. For malaria, the highest numbers of long-lasting insecticide treated bed-nets that have been procured and distributed using DFID country bilateral suppor t are in Kenya (6.5 million), Ghana (5.5 million), the Democratic Republic of Congo (4.6 million), Nigeria (4.5 million) and Tanzania (2.8 million). The highest number of maternal lives saved has been in Ethiopia (5,000), Bangladesh (4,000), India (2,000), Pakistan (2,000) and Malawi (1,000). The highest number of newborn lives saved has been in India (20,000), Bangladesh (12,000), Pakistan (9,000), Ethiopia (6,000) and Nigeria (5,000). The highest numbers of bir ths attended by a skilled bir th attendant have been achieved in Pakistan (700,000), India (690,000), Nigeria (430,000), Ethiopia (420,000) and the Democratic Republic of Congo (340,000). For family planning, the highest numbers of additional users have been reached through programmes in Bangladesh (890,000), Uganda (610,000), India (400,000), Kenya (360,000) and Malawi (260,000). ## Results Achieved By Multilateral Organisations The following results are delivered by multilateral organisations, and fall broadly within the health sector. These indicators were included in the multilateral section of DFID's Results Framework. The results presented here are based on all funding that the multilateral receives, not just funding from DFID or the UK. These results are presented alongside DFID's share of core funding to the multilateral organisations, in order to illustrate that DFID contributes a share of those results. \| Indicator \| Multilateral \| \|----------------------------------------------------\|---------------------\| \| Reporting \| \| \| period \| \| \| Latest result \| DFID's contribution \| \| as a % of total core \| \| \| funding \| \| \| Number of children immunised against preventable \| \| \| disease \| \| \| GAVI \| 2013 \| \| Number of HIV positive women provided with \| \| \| treatment to prevent transmission to their babies \| \| \| GFATM \| 2013 \| \| Number of insecticide treated bed nets distributed \| GFATM \| \| Number of people provided with treatment for AIDS \| GFATM \| \| Number of tuberculosis cases detected and treated \| GFATM \| \| Number of children immunised \| IDA FY 2012–13 \| \| People provided with a basic package of health, \| \| \| nutrition or population services \| \| \| IDA FY 2012–13 \| 34,800,000 \| \| Number of female condoms procured \| UNFPA \| \| Number of vitamin A treatments procured \| UNICEF \| \| Children benefiting from child-friendly HIV/AIDS \| \| \| medicines \| \| \| UNITAID \| 2012 \| \| Children supplied with TB treatments \| UNITAID \| ## Figure 2.5: Technical Notes Some Important Points To Note In Relation To The Level 2 Results Data Data Sources - The information on results is collected from DFID country offices, central DFID depar tments and multilateral institutions. The data is collected from a variety of sources, such as representative sample sur veys of households, management information systems held by our par tner country governments and individual project data generated from routine project monitoring by our par tners. ## Reporting - Total results achieved since baseline up to 2013–14 are presented. Baselines were set in March 2011 and may vary across country and indicator reflecting the latest data available at the time. The results are disaggregated by sex where relevant, subject to data availability. - The results estimates are either cumulative indicators or peak year indicators: - Cumulative indicators take the sum of the results achieved across the various years to measure performance. - Peak year indicators aggregate results for each programme in the par ticular year for which the programme achieved the greatest results. This ensures we measure the number of unique individuals reached and avoids any double counting. - DFID results estimates have been rounded to the nearest thousand. Multilateral results are rounded to the nearest thousand except in cases where the multilateral institution uses a different rounding practice. ## Timeliness - The results presented in the 2013–14 Annual Repor t represent the latest data available, and generally represent results as at end March 2014 (unless otherwise specified). - Results for 2013–14 for some programmes have not been included, as they were not available at the time of publication. This means that in some cases results up to 2013–14 are underestimated. Also, for some indicators data is sourced from household sur veys which are only carried out every few years. - Updated estimates will be published in next year's Annual Repor t to take account of fur ther information for 2013–14 and earlier years that was not available at end March 2014. ## Accuracy - Given the range of data sources used, the accuracy of the results data varies and is subject to the quality of the underlying data source. In many cases DFID uses data collected by others (eg par tner country governments, international organisations) and therefore DFID has limited control over the quality of the data. - Statistics Advisers in DFID under take quality assurance of the results data and attempt to minimise the source of any errors although there is a risk that errors may still exist. The types of errors which DFID attempts to minimise include: - Double counting - identifying unique beneficiaries and avoiding duplication in repor ting between programmes. - Attribution - measuring the results which can be associated with DFID inter ventions/funding. - Coverage: to ensure the results are representative there is sometimes a need to overcome challenges in collecting data such as security challenges. This can sometimes jeopardise the completeness and the accuracy of the results estimates. ## Coherence And Comparability - DFID has developed and published methodological guidance on each indicator to help ensure consistency of measurement across countries and permit meaningful aggregation of results. - Where possible, indicators use internationally agreed definitions as outlined in the methodology notes. ## Further Information - For information on the methodology for measuring the results indicators, details of the data sources used and information on the quality of the estimates, please visit the indicator methodology notes on the GOV .UK website at www.gov .uk/government/publications/indicator methodology-notes - For a breakdown of results by sector, country, sex, over time, please visit the Annual Repor t datasets: www.gov .uk/government/publications/dfid-annual-repor t-and-accounts-2013–14 datasets \| Abbreviation \| Full name \| Source \| \|-------------------------------------------------------\|-----------------------------------------------------\|-----------\| \| AfDB \| \| \| \| African Development Bank \| AfDB Annual Repor \| t 2012 \| \| AsDB \| \| \| \| Asian Development Bank \| AsDB internal database \| \| \| CDB \| \| \| \| Caribbean Development Bank \| Caribbean Development Bank: Development \| \| \| Effectiveness Review 2013 \| \| \| \| ECHO \| \| \| \| European Union budget and Humanitarian Aid and Civil \| \| \| \| Protection department of the European Commission \| \| \| \| GAVI \| \| \| \| Global Alliance for Vaccines and Immunisation \| GAVI Alliance mission and strategic goal indicators \| \| \| GFATM \| \| \| \| Global Fund to Fight AIDS, Tuberculosis and Malaria \| 2013 Global Fund programmatic results \| \| \| GPE \| \| \| \| Global Partnership for Education \| GPE Results for Learning Report 2013 \| \| \| IADB \| \| \| \| Inter-American Development Bank \| IADB Development Effectiveness Report 2013 \| \| \| ICRC \| \| \| \| International Committee of the Red Cross \| ICRC Annual Report 2013 \| \| \| IDA \| \| \| \| International Development Assistance \| The World Bank Corporate Scorecard \| \| \| IFAD \| \| \| \| International Fund for Agricultural Development \| 2013 Report on IFAD's Development Effectiveness \| \| \| (RIDE) \| \| \| \| IFC \| \| \| \| International Finance Corporation \| IFC Annual Report 2013 \| \| \| IOM \| \| \| \| International Organization for Migration \| IOM Annual Report 2013 \| \| \| PIDG \| \| \| \| Private Infrastructure Development Group \| Results from internal post-completion monitoring \| \| \| database \| \| \| \| UNESCO \| \| \| \| United Nations Educational, Scientific and Cultural \| \| \| \| Organization \| \| \| \| UNFPA \| \| \| \| United Nations Population Fund \| UNFPA (internal) donor support database \| \| \| UNHCR \| \| \| \| United Nations High Commissioner for Refugees \| UNHCR Global Report 2013 \| \| \| UNICEF \| \| \| \| United Nations Children's Fund \| Annual Report of the Executive Director 2014 \| \| \| UNITAID \| \| \| \| United Nations International Drug Purchasing Facility \| UNITAID key performance indicators 2012 \| \| \| WFP \| \| \| \| World Food Programme \| Annual Performance Report for 2012 \| \| ECHO internal database UNESCO internal database ## Level 3: Measuring Dfid'S Operational Effectiveness 2.13 Level 3 of the DFID Results Framework monitors how well the Depar tment manages itself to deliver results and ensure value for money. DFID monitors closely the following performance areas: - Pipeline delivery - data on DFID's pipeline of programmes (either approved or under design) to help assess whether DFID has sufficient good quality plans in place to ensure that it will achieve its results commitments and spend its budget effectively. - Por tfolio quality - a measure of the extent to which DFID's inter ventions are on track to deliver their expected outputs and outcomes. - Monitoring and evaluation - data on the extent to which DFID is actively reviewing its programmes and learning lessons for the future. - Structural Reform Plan - data to assess how well DFID is delivering against its corporate objectives and areas prioritised by the UK coalition government. ## Pipeline Of Programmes Approved Or Under Design 2.14 DFID regularly monitors its pipeline of projects at both approved and design stages to ensure it has sufficient plans in place that represent value for money. This was of par ticular impor tance over the last few years as DFID built a strong pipeline of programmes to deliver the increase in its budget from 2013–14. 2.15 Going forward, as DFID's budget levels off, sustaining a strong pipeline of projects will drive choice and competition, ensuring that the best value programmes are implemented. 2.16 Figure 2.7 shows that DFID is in a strong position with programmes of over £8 billion already approved for 2014–15 and almost £3 billion more programmes in the pipeline. Similarly for 2015–16 over £5 billion programmes are approved and nearly £7 billion of programmes are being developed. ## Portfolio Quality 2.17 DFID takes its responsibility to drive efficiency and effectiveness in its programmes very seriously. Every DFID project or programme is underpinned by a business case (approved by ministers if the value is over £5 million). Performance of every programme, irrespective of value, is reviewed in each year of its life to assess whether they are on track to deliver the benefits at the costs expected in the business case. Programmes that fail to deliver expected results and fail to improve will be closed. 2.18 During 2013–14, over 1,100 projects were reviewed, an increase of 40% on the previous year. Those projects scoring A and above represent over 80% of the value and volume of projects scored. This means that over 80% of the por tfolio is achieving or exceeding its objectives. The propor tion of projects scoring A and above has been relatively stable throughout the year, and these programmes are on average higher in value than those projects scoring lower grades. 2.19 DFID's Por tfolio Quality Index provides a weighted measure of how well the por tfolio of projects is performing based on reviews performed in the previous 12 months, with a range from 50 to 150. At the end of March 2014 the Por tfolio Quality Index was 98.1 and remained in the range 97.7 to 99.1 throughout the year. ## Monitoring And Evaluation 2.20 In 2013–14 the Secretary of State introduced new programme management controls. There has been a successful effor t to reduce the volume and value of overdue reviews in the second half of the year, shown in Figure 2.9 below. 2.21 At 31 March 2014 there were 13 annual reviews and one project completion review overdue, compared with 63 annual reviews and 22 project completion reviews at the same time last year. All reviews overdue were less than one month beyond the deadline. Ten of the annual reviews and the project completion review were completed during the first week in April, with 2 of the remaining 3 completed later in April. 2.22 During 2013–14, 30 evaluations were completed, of which 13 have been published on the DFID section of the GOV .UK website. The remaining evaluations are either going through the quality assurance process or are joint evaluations managed by other donors which will be published in tandem with par tners. ## Performance Against Dfid'S Structural Reform Plan 2.23 DFID's structural reform priorities are set out in the Structural Reform Plan in the DFID Business Plan as published in May 2013. The Business Plan (available at http://transparency.number10.gov .uk) outlines the Coalition Government's vision up to 2015, including future reform priorities. It also includes information on results, expenditure and efficiency and transparency measures. 2.24 During 2013–14, DFID performed very strongly in implementing its structural reform priorities. As shown in Table 2.1, 27 actions were completed, 22 of these on time and 5 in advance of deadline. \| Structural Reform \| No. of actions \| No. of actions \| Details of actions completed \| \|------------------------------------------------------------------------\|-------------------\|-------------------\|---------------------------------\| \| Plan priorities \| completed \| continuing \| \| \| into 2014–15 \| (2013–2015) \| during \| \| \| 2013–14 \| \| \| \| \| \| \| \| \| \| 1. Boost economic \| \| \| \| \| 4 \| \| 10 \| \| \| - \| \| \| \| \| introduced new web-based tools so people in the developing world \| \| \| \| \| development \| \| \| \| \| better understand how trade policy affects them \| \| \| \| \| \| \| \| \| \| - \| \| \| \| \| worked with Cabinet Office to deliver a UK G8 Presidency event to \| \| \| \| \| increase international awareness of the social impact investment \| \| \| \| \| market \| \| \| \| \| \| - \| \| \| \| established a range of novel public-private partnerships able to \| \| \| \| \| reach 4 million farmers in India \| \| \| \| \| \| \| \| \| \| - \| \| \| \| \| worked closely with other government departments to develop \| \| \| \| \| mechanisms by which UK science can have a greater impact on \| \| \| \| \| international development objectives \| \| \| \| \| \| \| \| \| \| 2. Honour \| \| \| \| \| 4 \| 9 \| \| \| \| - \| \| \| \| \| ensured the MDG Countdown event 2013 effectively drew \| \| \| \| \| international \| \| \| \| \| international attention to MDG successes and lessons learned and \| \| \| \| \| commitments \| \| \| \| \| secured commitment to gender goals \| \| \| \| \| \| \| \| \| \| - \| \| \| \| \| expanded access to schooling and educational outcomes for poor \| \| \| \| \| children in at least 4 countries \| \| \| \| \| \| \| \| \| \| - \| \| \| \| \| jointly led the Global Partnership for Effective Development \| \| \| \| \| Co-operation which accelerated action on domestic resource \| \| \| \| \| mobilisation, transparency, knowledge sharing and the private \| \| \| \| \| sector's contribution to development \| \| \| \| \| \| \| \| \| \| - \| \| \| \| \| worked effectively across Whitehall and with G8 par \| tners to ensure \| \| \| \| the UK's G8 Presidency reached ambitious but achievable \| \| \| \| \| developmental commitments \| \| \| \| \| \| \| \| \| \| 5 \| \| 11 \| \| \| - \| \| \| \| \| supported a greater number of DFID partner countries to join the \| \| \| \| \| Open Government Partnership during the UK co-chair tenure \| \| \| \| \| \| \| \| \| \| 3. Drive \| \| \| \| \| transparency, value \| \| \| \| \| for money and open \| \| \| \| \| government \| \| \| \| \| - \| \| \| \| \| ensured all governance advisers and key finance posts were \| \| \| \| \| certified to the level required on the anti-corruption and counter- \| \| \| \| \| fraud accreditation framework \| \| \| \| \| \| \| \| \| \| - \| \| \| \| \| conducted a follow-up report to the Multilateral Aid Review \| \| \| \| \| \| \| \| \| \| - \| \| \| \| \| piloted traceability of DFID aid under the Aid Transparency \| \| \| \| \| Challenge and proposed roll out plan \| \| \| \| \| \| \| \| \| \| - \| \| \| \| \| introduced new ways to allow poor people to directly monitor and \| \| \| \| \| comment on aid projects as part of the Global Poverty Action Fund \| \| \| \| \| \| \| \| \| \| 4. Strengthen \| \| \| \| \| 3 \| 7 \| \| \| \| - \| \| \| \| \| implemented new security and justice programmes in 12 fragile and \| \| \| \| \| governance and \| \| \| \| \| conflict-affected states \| \| \| \| \| security in fragile \| \| \| \| \| - \| \| \| \| \| supported the political transition process in Yemen following the Gulf \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| and conflict-affected \| \| \| \| \| Cooperation Council Initiative \| \| \| \| \| \| \| \| \| \| countries and make \| \| \| \| \| humanitarian \| \| \| \| \| - \| \| \| \| \| supported the Federal Government of Somalia to develop and \| \| \| \| \| response more \| \| \| \| \| deliver their priorities: robust public financial management, building \| \| \| \| \| effective \| \| \| \| \| political stability and improved security and justice \| \| \| \| \| Details of actions completed \| Structural Reform \| \|----------------------------------------------------------------------\|----------------------\| \| Plan priorities \| \| \| (2013–2015) \| \| \| No. of actions \| \| \| continuing \| \| \| into 2014–15 \| \| \| No. of actions \| \| \| completed \| \| \| during \| \| \| 2013–14 \| \| \| \| \| \| 6 \| 3 \| \| - \| \| \| worked in partnership with the Nike Foundation to bring private \| \| \| sector expertise into DFID's strategy on gender equality, and \| \| \| stimulated innovative approaches to empowering adolescent girls \| \| \| 5. Lead international \| \| \| action to improve the \| \| \| lives of girls and \| \| \| women \| \| \| \| \| \| - \| \| \| assessed the progress of international organisations on delivering \| \| \| for girls and women where this was identified as a reform priority \| \| \| following the Multilateral Aid Review \| \| \| \| \| \| - \| \| \| ensured Risk Assessments for Violence against Women and Girls are \| \| \| undertaken in all UK funded humanitarian suppor \| t \| \| \| \| \| - \| \| \| conducted a mid-term review of the Reproductive, Maternal and \| \| \| Neonatal Health Framework for Results including progress against \| \| \| results and its commitments to save women and children's lives \| \| \| \| \| \| - \| \| \| designed a programme to contribute to helping 120 million additional \| \| \| women access family planning \| \| \| \| \| \| - \| \| \| established a programme to reduce the practice of female genital \| \| \| mutilation/cutting by 30% in 10 countries over 5 years \| \| \| \| \| \| 6. Combat climate \| \| \| change \| \| \| 5 \| 3 \| \| - \| \| \| supported the future design of the Green Climate Fund to have a \| \| \| clear focus on innovation, effectiveness and results \| \| \| \| - \| \| enhanced developing countries' access to private finance by \| \| \| attracting new private sector investors or sovereign wealth funds to \| \| \| the climate public-private partnership programme \| \| \| \| \| \| - \| \| \| implemented programmes in 6 countries to help at least 1 million \| \| \| people cope with the effects of climate change \| \| \| \| \| \| - \| \| \| supported climate technology innovation centres in 2 countries \| \| \| \| \| \| - \| \| \| ensured that climate change risks and opportunities were identified \| \| \| and addressed across DFID's programmes through the \| \| \| implementation of Strategic Programme Reviews \| \| ## Level 4: Measuring Organisational Efficiency In Dfid 2.25 In advance of 2013–14, DFID put in place resources and processes to manage effective delivery of the UK's commitment to spend 0.7% of GNI as ODA in 2013 while reducing its administration costs (excluding depreciation) from £131 million in 2010–11 to £102 million in 2013–14. 2.26 During 2013–14, DFID under took an end-to-end review of its programme management cycle. A package of reforms was agreed to improve programme leadership, capability and processes. These were designed to fur ther strengthen its reputation for world class delivery of results and use of evidence; ensure it remains well equipped to address the underlying causes of pover ty and conflict; and enable its staff to build the skills and capabilities which will increasingly be required across the Civil Service. The reforms, including the strengthening of accountability and roles and responsibilities, streamlining processes and accrediting a professional programme management cadre under a new Head of Profession, are all on track to be delivered in 2014–15. This will build on the work to professionalise programme management, which has seen 700 staff receive training. 2.27 As par t of the Civil Service Reform agenda, DFID has put in place an Operational Excellence programme to drive improvement in DFID's business operating model, developing a leaner, more customer-focused approach to business. This programme includes: the modernisation of DFID's finance operating model; the restructuring of DFID's Human Resources operating model; and implementation of DFID's digital strategy. 2.28 DFID has modernised its finance operating model to strengthen the par tnership between core finance and the rest of the organisation and embed financial management throughout the corporate, geographic, policy and global divisions. Finance business par tners have been introduced for each Director General area along with finance managers and financial analysts within individual depar tments. In addition financial transaction processing has been centralised. 2.29 In October 2013, DFID introduced a new Human Resources and Payroll system (HR Passpor t) which delivers an improvement in the efficiency and effectiveness of people management across DFID. The introduction of improved self-service, simpler standardised processes and better access to accurate management information reduces some of the HR transactional work carried out across DFID. This contributes to a more efficient and cost-effective delivery of corporate ser vices and anticipates savings of around £1 million per annum from 2014–15. 2.30 DFID published its Digital Strategy in December 2012 which set out the approach to using digital across the organisation. This includes 3 priorities: how technology can suppor t better delivery of programmes; can make DFID a better organisation to do business with (streamlining systems and business processes); and can suppor t DFID to be more open and engaging, including how digital channels can suppor t gathering feedback which in turn suppor ts better decision making. During 2013–14 the development tracker (which publishes data on how DFID and other government depar tments invest in developing countries) was launched and social media was used to engage with stakeholders and the public on major events such as the Syria crisis and Typhoon Haiyan. A digital advisory panel has been established to provide advice and challenge to DFID on its Digital Strategy. A skills audit was under taken to provide evidence as to current levels of knowledge and experience, and the results of this are informing the development of a programme of work to improve digital capability. 2.31 DFID's Commercial Strategy is driving better value for money through effective and efficient open procurement procedures, increasing commercial capability and better contract management. During 2013–14 DFID's commercial adviser network has been developed. Eleven advisers are now embedded within operational depar tments and offices, responsible for devising, developing and implementing tailored commercial strategies, improving commercial decisions and appraisals in project design, and embedding robust supplier contract and performance management. All senior civil ser vants are undergoing a mandatory commercial leadership course. DFID has also made strong progress in monitoring a range of contracts through its Key Supplier Management (KSM) programme, which involves Contract Performance Reviews and senior level reviews twice a year across DFID's 11 'key' (strategic) suppliers. DFID's inaugural supplier conference was held in July 2013. Over 30 of DFID's key suppliers, including private sector companies, NGOs and SMEs, attended the conference alongside senior DFID representatives for a series of presentations and workshops focusing on the theme Supplying Value. The next conference will be held in July 2014. DFID's Commercial Strategy has delivered savings of £111 million in 2013–14 against a target of £100 million. 2.32 DFID, along with other government depar tments including the Foreign and Commonwealth Office (FCO), British Council and Home Office, has a significant presence overseas. One HMG is a programme of work to streamline the way the UK government operates through the numerous overseas locations in which it is represented. The programme aims to identify the best ways of working and to implement these across other UK government depar tments, removing barriers to better delivery. DFID's work to date has focused on collaboration (to build a stronger single, crossgovernment team at each overseas post behind an overall FCO lead), co-location (now almost complete), regionalisation, consolidation (establishing a single provider of corporate ser vices at each overseas post) and harmonisation (aligning pay, terms and conditions for both locally employed staff in country and UK-based staff serving overseas across government depar tments, with DFID working closely with FCO). ## One Year On From Whitehall Relocation One year on from the relocation of DFID's London office, the approach to space utilisation and use of modern technology has enabled the implementation of a more effective office, with administration running costs reducing by around £7 million per annum between the old and new offices. ## Business Plan Indicators 2.33 A summary of DFID 2013–14 spend by budget type, type of internal operation and type of transaction is shown in Table 2.2 below. This is published quar terly for all government depar tments in a consistent format at www.gist.cabinetoffice.gov .uk/. 2.34 A subset of the level 2 results indicators is repor ted as par t of DFID's Business Plan (impact indicators) along with information relating to the costs of these results (input indicators). Data for 2013–14, alongside data for the previous year, is shown in Table 2.3. 2013–14 spending (A) Spend By budget type (A3) Other expenditure outside DEL and AME £0.00m (A1 + A2 + A3) Total spend £10,089.27m (B) Spend by type of internal operation (B1) Cost of running the estate, sub-total (B2) Cost of running IT , sub-total (B3) Cost of corporate services, sub-total (B4) Policy and policy implementation, sub-total (B1 + B2 + B3 + B4 + B5) Total spend (C ) Spend by type of transaction (C1) Procurement costs, sub-total £1,018.35m (C2) People costs, sub-total £123.35m (C3) Grants, sub-total £7,952.20m (C1 + C2 + C3 + C4) Total spend £10,089.27m Note: Excludes depreciation. \| \| Actual £m \| \|---------------------\|-------------\| \| Total spend \| £10,089.27m \| \| (A1) DEL, sub-total \| £10,020.27m \| \| (A2) AME, sub-total \| £68.99m \| \| £11.08m \| \| \| £8.85m \| \| \| £13.93m \| \| \| £9,864.76 \| \| \| (B5) Other costs \| £190.66 \| \| £10,089.27m \| \| \| (C4) Other costs \| £995.36m \| \| \| Input indicators[1] \| 2012–13 \| 2013–14 \| \|-----------------------------------------------------------------------------------------\|---------------------------------------------\|----------------\|------------\| \| Cost per child suppor \| ted in primary education \| $110 \| $95 \| \| Average unit price of long-lasting insecticide treated bed-nets procured[2] \| $3.66 \| $3.14 \| \| \| Cost per person of providing sustainable access to an improved sanitation facility \| £17 \| £10 \| \| \| Cost per person of improving access to financial services[3] \| Not available \| Not available \| \| \| DFID spend on elections - through DFID's bilateral programme[4] \| £29 million \| £39 million \| \| \| DFID spend on elections - DFID's Imputed Multilateral Share[5] \| £15 million \| £7 million \| \| \| Cost per birth delivered by a skilled birth attendant[6] \| £221 \| £261 \| \| \| Spend on climate change adaptation, low carbon development and protecting forests \| \| \| \| \| - through DFID's bilateral programme \| \| \| \| \| Spend on climate change adaptation, low carbon development and protecting forests \| \| \| \| \| - through DFID's multilateral programme \| \| \| \| \| DFID spend through multilateral organisations \| £3,252 million \| £4,423 million \| \| \| Impact indicators \| 2012–13 \| 2013–14 \| \| \| Number of children supported by DFID in primary education[7] \| 8.7 million \| \| \| \| Number of insecticide treated bed-nets distributed with DFID support - through \| \| \| \| \| DFID's bilateral programme[8] \| \| \| \| \| Number of people with sustainable access to an improved sanitation facility as a result \| \| \| \| \| of DFID programmes \| \| \| \| \| Number of people with access to financial services as a result of DFID suppor \| t - \| \| \| \| through DFID's bilateral programme \| \| \| \| \| Number of people with access to financial services as a result of DFID suppor \| t - \| \| \| \| through DFID's multilateral programme (IFAD)[9] \| \| \| \| \| Number of people who vote in elections supported by DFID \| 26.0 million \| 60.6 million \| \| \| Number of births delivered with the help of nurses, midwives or doctors through DFID \| \| \| \| \| funding \| \| \| \| \| Number of people DFID supports to cope with the impacts of climate change \| 0.2 million \| 2.9 million \| \| \| Other datasets \| 2012–13 \| 2013–14 \| \| \| UK ODA as a percentage of GNI \| 0.56 \| 0.72 \| \| \| % share of global ODA of donors who are publishing their aid information in an IATI \| \| \| \| \| compliant format \| \| \| \| \| Number of volunteers par \| ticipating in International Citizen Service \| 1,010 \| 2,146 \| \| Structural Reform Plan actions \| 2012–13 \| 2013–14 \| \| \| Total number of actions completed during the year \| 22 \| 27 \| \| \| Total number of actions overdue at the end of the year \| 0 \| 0 \| \| \| Number of actions overdue that are attributable to external factors \| 0 \| 0 \| \| \| Total number of actions ongoing \| 42 \| 43 \| \| ## Notes [1] The input indicators provide information on the cost effectiveness of DFID's programmes by linking spend to performance. It should be noted that many of the inputs measured are not true unit cost indicators. Instead they show aggregate spend on sectors related to the results. Other results, which are not captured in the impact indicators, are also being delivered through this spending. [2] Data was also provided by UNICEF , the US President's Malaria Initiative, the subset of Global Fund procurements realised through the Voluntary Pooled Procurement mechanism and direct DFID procurement for the calendar year 2013. The average unit price was between $2.97 and 3.10 for 190x180x150 net and $3.06 and 3.16 for all nets. The average unit price for DFID procured nets was £2.23. DFID, GFATM and USPMI reported ex-works (EXW) prices and UNICEF a free carrier (FCA) price. The price of long-lasting insecticidal nets (LLINs) varies significantly depending on a number of market factors, such as availability, capacity and timing of demand, in addition to product factors including size, shape, colour and denier, and logistical factors such as INCOTERMS. [3] It is not currently possible to derive accurate data on direct cost incurred in supporting access to financial services by individuals, given financial access for individuals is often a part of wider financial sector development programmes. [4] Data relates to spend reported against CRS code 15151 (Elections). [5] Data relates to spend reported against CRS code 15151 (Elections) and is repor ted with a one year time lag relating to calendar year ODA expenditure (ie the figure under the 2013–14 column relates to 2012, and the figure under 2012–13 relates to 2011 ODA spend). [6] There is no specific target for this indicator. Improvements in quality and increased efforts to reach the poorest and most vulnerable can lead to increases in unit costs. [7] The figure of 8.7 million represents the total number of children supported in primary education up to 2013–14 inclusive, so includes results achieved in earlier years. It is not appropriate to present data for individual years for this indicator as the data is drawn from national systems and governments' enrolment data may be subject to a time lag of a year or more. [8] Results achieved through DFID's bilateral programme only. Multilateral information associated with DFID's unique efforts is not currently available. [9] Latest results = calendar year 2012; 2013 results not yet available. The figures are reported with a time lag as there is a delay in these being available from the multilateral organisations. \| £281 million \| £321 million \| \|-----------------\|-----------------\| \| £31 million \| £34 million \| \| 11.2 million \| 9.1 million \| \| 5.0 million \| 5.5 million \| \| 19.6 million \| 26.7 million \| \| 0.1 million \| Not available \| \| 1.0 million \| 0.7 million \| \| 75% \| 83% \| ## Results In Dfid Priority Countries And Regions 3.1 This chapter focuses on DFID's work in suppor ting sustainable pover ty reduction through development programmes in DFID's 28 priority countries and DFID's associated regional programmes - Africa, Asia, and the Middle East and Nor th Africa. It also covers DFID's work in the Overseas Territories. 3.2 DFID's priority countries are: Afghanistan, Bangladesh, Burma, Democratic Republic of Congo, Ethiopia, Ghana, India, Kenya, Kyrgyz Republic, Liberia, Malawi, Mozambique, Nepal, Nigeria, Occupied Palestinian Territories, Pakistan, Rwanda, Sierra Leone, Somalia, South Africa, South Sudan, Sudan, Tajikistan, Tanzania, Uganda, Yemen, Zambia and Zimbabwe. 3.3 The country and regional pages within this chapter summarise key priorities, contributions and results (as set out in country and regional Operational Plans), as well as spend by sector. 3.4 In addition, each country page documents the effectiveness of DFID's bilateral programmes in contributing towards the Millennium Development Goals (MDGs). As in previous repor ts, one indicator per MDG is used to illustrate a country's progress.1 3.5 Progress towards the MDGs is monitored annually through the collaborative effor ts of agencies and organisations within the United Nations (UN) and international statistical systems. Data at a global and regional level is published annually. Based on the same international data and in conjunction with Oxford Policy Management, DFID developed its own assessment methodology several years ago to monitor progress towards the MDGs at country level. 3.6 Throughout this chapter the following colour coding is used to illustrate country progress against the specific MDG indicators:2,3 Green Countries have either 'achieved' their target or are 'on track' to achieve their target. They have a rate of progress that, if continued, will mean that they will reach the target by 2015. Amber Countries have made progress, but too slowly to reach the target by 2015. Continuing at the same rate, they will reach the goal by 2040. These countries are rated 'off track'. Red Countries have made very slow progress, no progress at all, or have regressed. These countries are rated 'severely off track'. Countries have insufficient data to be able to monitor progress. Grey 3.7 MDG data was taken from the United Nations Statistical Division (UNSD) website for the MDGs. DFID consulted its country offices on the appropriateness of the UNSD data. Where countries felt that other data sources, such as health, demographic or household sur veys, had more recent data, longer time series or more accurately reflected the position of the country, this data has been used instead. As such, some of the data used here may differ from UNSD data. 3.8 Key country statistics are also presented, using the following sources: - Population: UN prospect4 (2010) unless otherwise quoted - % population living on less than $1.25/day: World Bank5 (year quoted) - Total fer tility rate: UN prospect6 (2005–10) - Annual Gross domestic product (GDP) growth rate: World Bank7 (2012 unless otherwise quoted). 3.9 In a small number of cases, alternative data sources have been used if they provide more recent data or more accurately reflect the position of the country. Details of the sources are referenced on the respective country pages with the year the data relates to included in the brackets. 3.10 Please note the key statistic on the '% living below less than $1.25 a day' is based on 2005 international prices using purchasing power parities (PPPs) to conver t the nominal value of pover ty lines measured in local currencies to USD for international comparisons. These were the latest estimates published by the World Bank at the time of preparing DFID's Annual Repor t, and do not take into account newly released PPPs for 2011. 3.11 A wide range of additional statistics are produced at country level by international organisations and can be accessed online from websites such as the World Bank (http://data.worldbank.org/indicator), the UN (http://unstats.un.org/unsd/databases.htm), the IMF (http://www.imf.org/external/data.htm) and the OECD (http://www.oecd.org/dac/stats/). 3.12 For each country and region, the repor t includes a summary breakdown of programme expenditure by sector in 2013–14. This expenditure reflects programmes managed by DFID country offices and regional teams as described in the published Operational Plans. The data is derived from DFID's input sector code system. This system permits each individual project to be allocated up to 8 codes which correspond to the sector where the relevant funds will be spent. The sector codes are derived largely from those used by the OECD Development Assistance Committee. Some char ts may not sum to exactly 100% due to rounding. 3.13 Figure 3.1 shows the 2013–14 breakdown of all DFID's bilateral expenditure on the same basis. The sector receiving the highest overall amount was health (£1,174 million), followed by humanitarian (£891 million), wealth creation (£730 million) and then governance and security (£724 million). 3.14 More detail on DFID's targets and plans to achieve the targets over the current spending review period 2012–15 can be found in Country Operational Plans. To view an Operational Plan, visit the relevant country page on the GOV .UK website and click 'See all our publications'. Country programme DFID Ethiopia DFID Nigeria DFID Bangladesh DFID Pakistan DFID Afghanistan DFID Tanzania DFID India 169.1 DFID DRC 162.2 DFID South Sudan 139.6 DFID Kenya DFID Zimbabwe DFID Nepal DFID Uganda DFID Occupied Palestinian Territories DFID Ghana DFID Rwanda 85.8 DFID Malawi 85.1 DFID Somalia 83.6 DFID Yemen 81.4 DFID Mozambique DFID Burma DFID Sierra Leone 68.6 DFID Zambia 66.6 DFID Southern Africa 50.3 DFID Sudan 48.0 DFID Liberia 9.0 DFID Tajikistan DFID Kyrgyz Republic Out-turn expenditure (£million) 284.4 266.2 262.2 253.0 182.3 175.2 136.2 106.0 104.7 94.7 93.9 90.8 77.4 69.7 8.8 4.7 ## Afghanistan Country Summary And Top Priorities In 2013–14 Over 30 years of conflict have left Afghanistan one of the poorest countries in the world. While progress has been made over the last decade, Afghanistan has a long way to go to achieve the MDGs and has agreed a 5 year extension until 2020. This year marks an impor tant transition and international troops will withdraw by the end of 2014. DFID's vision is for a more peaceful, stable, viable and prosperous Afghanistan. In suppor of this, the UK has committed to maintain current levels of assistance (£178 million per year) until at least 2017. ## Top Priorities: - suppor ting peace, security and political stability - promoting economic stability, growth and jobs - helping the state to deliver improved ser vices - suppor ting women and girls ## Contribution To The Mdgs UK suppor t has helped make progress on achieving universal primary education and promoting gender equality through suppor t to the Afghanistan Reconstruction Trust Fund (ARTF). DFID assistance helped to get approximately 4.5 million children into primary school in 2011–12, of which 1.8 million were girls - up from less than a million children under the Taliban, vir tually none of whom were girls. 36% of Afghans live below the national pover ty line. Nearly 1 child in 10 dies before their fifth bir thday. DFID provided more than 320,000 people with humanitarian suppor t in 2013–14 and has suppor ted the creation of over 35,000 jobs since 2011. ## Delivery Of Dfid Headline Results Education: DFID assistance has helped to get approximately 4.5 million children into primary school in 2011–12, of which 1.8 million were girls. Wealth creation: DFID assistance has created more than 35,000 jobs since 2011. Wealth creation: DFID has contributed to rehabilitation of more than 500km of rural roads between 2012 and 2013. Humanitarian: DFID reached more than 320,000 people (more than 190,000 females) with lifesaving humanitarian support in 2013–14. This included support to internally displaced people and those affected by natural disaster . Governance and security: The propor tion of the Afghan government's projected budget actually spent by the 10 highest spending ministries has increased from 44% in 2009–10 to 62% in 2013–14. Gender: With DFID suppor t, 55% of women representatives on community development councils are repor ting that they take an active par t in decision making compared to 35% in 2011. Governance and security: With suppor t from DFID and other international par tners through the ARTF , the number of Afghan government ministries completing pay and grading reforms has increased from 8 in 2011 to 21 in 2013–14. ## Progress Towards The Mdgs MDG indicator Current assessment Proportion of population below $1.25 a day Grey Net enrolment in primary education Red Ratio of girls to boys in primary education Amber Under 5 mortality ratio Amber Maternal mortality ratio Amber HIV prevalence, 15–49 years old Grey Improved water source Red ## Key Statistics Population8 27 million % living below $1.25 a day No data Fertility rate 6.3 % annual GDP growth rate 14.4 ## Afghanistan Programmes By Sector 2013–14 Total Spend £182.3 Million ty, hunger and vulnerability 0.1% ## Bangladesh Country Summary And Top Priorities In 2013–14 Bangladesh is a poor and politically fragile country, highly vulnerable to natural disasters and already experiencing the effects of climate change and rapid urbanisation. Good progress has been made on development outcomes; income pover ty and maternal deaths have fallen and more girls are in school. Many challenges remain, however; 1 in 19 children die before they reach 5 years old and around 120,000 newborns die every year . ## Top Priorities: - managing risks to development, including political governance/stability and climate related shocks - targeting off-track MDGs and accelerating progress; helping the country keep pace with its expanding population and urban migration - suppor ting Bangladesh to achieve target growth rates through a strengthened investment climate. Increasing access to jobs and developing skills to increase income for the poorest ## Contribution To The Mdgs Bangladesh is on track to halve income pover ty by 2015, yet large inequalities remain. DFID is targeting the extreme poor, par ticularly women, by giving assets (eg livestock) and providing training to help them set up viable businesses. High levels of under-nutrition among women and children persist. DFID is targeting them with nutritional suppor t. Enrolment in primary education is high, par ticularly among girls, but dropout rates are high too. DFID is improving the quality of teaching in schools and focusing on those who remain excluded. Despite good progress on fer tility and maternal health, over 7,000 pregnant women die each year and there is still unmet need for family planning. DFID focuses on making sure more women can give bir th safely and fewer babies die, as well as ensuring family planning is available for all who need it, using the private sector to help. Bangladesh is off track on water and sanitation targets; 17% of the population lack access to an improved water source and 45% lack access to adequate sanitation facilities. DFID continues to work on providing safe water sources and improved toilets to the poor, par ticularly in urban slums. ## Delivery Of Dfid Headline Results Governance and security: An additional 720,000 registered taxpayers since 2011–12. Wealth creation: A net accumulated increase of $157 million in income for 1.4 million farmers and small businesses since 2012–13. Education: 366,000 children suppor ted to complete primary education since 2011–12, of which 208,000 were girls. Health: 352,000 bir ths attended by skilled personnel since 2010–11. Poverty, hunger and vulnerability: 742,000 people lifted out of extreme pover ty since 2010–11, of which 410,000 were women and girls. Climate change: Since 2011–12, 27 million people have been provided with access to systems for warning and information for floods and cyclones. Water and sanitation: 1.4 million people have been provided with access to clean drinking water since 2010–11 and 4 million people with access to adequate sanitation. ## Progress Towards The Mdgs MDG indicator Current assessment Proportion of population below $1.25 a day Green Net enrolment in primary education Green Ratio of girls to boys in primary education Green Under 5 mortality ratio Green Maternal mortality ratio Green HIV prevalence, 15–49 years old Green Improved water source Red Key statistics Population 150 million 43% % living below $1.25 a day (2010) Fertility rate 2.3 % annual GDP growth rate 6% Bangladesh programmes by sector 2013–14 Total spend £262.2 million ## Burma Country Summary And Top Priorities In 2013–14 Burma's aim is to harness its potential to help create a better governed, more peaceful and prosperous Burma that uses its increased wealth to improve education and health ser vices, and reduce pover ty. The remarkable process of change has given the UK a great oppor tunity to transform the lives of vulnerable people in Burma. ## Top Priorities: - promoting good governance, including improved transparency and the rule of law - promoting inclusive growth and responsible investment - strengthening parliament and elected bodies at sub-national levels - helping the process of peace building and ethnic reconciliation - suppor ting productive and sustainable livelihoods and improved access to better health and education ser vices ## Contribution To The Mdgs Burma is off track to meet most of the MDGs and has some of the worst health indicators in Asia. Programmes to suppor t wealth creation and reduce pover ty, hunger and vulnerability are helping people access much needed credit and produce more food. It is critical that Burma contains the spread of drug resistant malaria and, with DFID suppor t, 500,000 people will receive appropriate treatment to contain the disease. Over the last 3 years, DFID has helped over 170,000 children to star t and complete primary education, and provided humanitarian aid to 349,000 people in conflict affected communities. ## Delivery Of Dfid Headline Results Wealth creation: 3 UK funded development finance organisations (International Finance Corporation, World Bank and Asian Development Bank) have committed capital to Burma to improve the investment environment, more transparent use of public funds, and to suppor t the private sector since 2012–13. Wealth creation: 115,000 women have been provided with access to financial services in 2013–14. Governance and security: DFID Burma contributed to sustaining improvements in political rights and civil liber ties as measured by Freedom House: Burma is still rated 'Not Free' but with improvements and a stable status. Governance and security: Since 2011–12 DFID has suppor ted 120,000 people to have choice and control over their own development. Health: Since 2012–13 80,000 unintended pregnancies have been aver ted. Health: 376,000 women and men have received appropriate treatment to contain the spread of drug-resistant malaria since 2011–12. Education: 170,000 girls and boys assisted to overcome barriers to accessing and completing primary school in 2013–14. Humanitarian: 349,000 people in conflict affected communities provided with DFID humanitarian aid in 2013–14. ## Progress Towards The Mdgs MDG indicator Current assessment Proportion of population below $1.25 a day Grey Net enrolment in primary education Grey Ratio of girls to boys in primary education Green Under 5 mortality ratio Amber Maternal mortality ratio Amber HIV prevalence, 15–49 years old Amber Improved water source Green ## Key Statistics Population 51.9 million No data % living below $1.25 a day 2.1 Fertility rate % annual GDP growth rate9 7.3% Burma programmes by sector 2013–14 Total spend £69.7 million Poverty, hunger and vulnerability 7.7% Reproductive, maternal and newborn health 12.1% Water and sanitation 0.3% Wealth creation 22.3% ## Democratic Republic Of Congo (Drc) Country Summary And Top Priorities In 2013–14 DRC has enormous potential. Decades of poor governance, chronic corruption and civil war have, however , taken their toll and DRC languishes at the bottom of the UN's Human Development Index. But DRC's political environment is more stable than it was a decade ago, and its economy is showing some signs of growth. Armed conflict remains a major challenge. Poor governance and corruption continue to deter foreign investment and stifle economic growth. In 2013–14 DFID spent £162.2 million on its programmes in DRC. ## Top Priorities: - suppor t the establishment of peace and stability in the country and ensure humanitarian needs are met - invest in infrastructure and basic service provision, while promoting better governance to ensure improvements are maintained in the longer term - suppor t sound economic management, with the promotion of a better enabling environment for the private sector ## Contribution To The Mdgs DRC is unlikely to meet any of the MDGs by 2015. DFID's programmes suppor t progress across all MDG areas in DRC, focusing on the delivery of inclusive, quality and sustainable services. DFID's largest investment between 2011 and 2015 in terms of sectors is health, which will help suppor t the reduction of child mor tality, as well as improvements in maternal health and combating malaria. DFID has also increased investment in improving access to water and sanitation (by an additional £63 million from 2011 to 2015), helping to deliver improvements across a number of MDG areas. New programmes continue to be designed in the education and political governance sectors. ## Delivery Of Dfid Headline Results Governance and security: DFID's support has improved access to security and justice services for 378,000 women and girls since 2009; and gave more than 1.7 million people choice and control over their own development in 2012–13. Health: More than 4.6 million insecticide treated bed nets have been distributed since 2011–12 with DFID suppor t; and through DFID health programmes, 334,000 babies have been delivered with the help of nurses, midwives or doctors since 2011. Water, sanitation and hygiene: DFID assistance has given 922,000 people sustainable access to water, sanitation or hygiene since the end of 2008. Humanitarian: DFID suppor t reached more than 152,000 people who were provided with emergency food assistance during a one month period in 2013. Wealth creation: In 2013, 300km of roads were built or upgraded with DFID suppor t. ## Progress Towards The Mdgs MDG indicator Current assessment Proportion of population below $1.25 a day Grey Net enrolment in primary education Red Ratio of girls to boys in primary education Amber Under 5 mortality ratio Amber Maternal mortality ratio Amber HIV prevalence, 15–49 years old Grey Improved water source Red ## Key Statistics Population 62.2 million 87.7 % living below $1.25 a day (2006) Fertility rate 6.5 % annual GDP growth rate 7.2 ## Ethiopia Country Summary And Top Priorities In 2013–14 Ethiopia is populous and poor , with low per capita domestic, donor and other resources. The government's commitment to poverty reduction, economic growth and strengthening financial management is strong. There have been marked improvements in poverty reduction and progress on most economic and social rights is on a broadly positive trend, with the government taking steps to address some persisting inequalities, including on gender . Concerns remain about limitations on other , primarily civil and political, rights. As the government enters its next 5 year planning period, there are important opportunities to: increase economic transformation; improve quality and equality in service delivery; improve good governance; enhance the position of women and girls; and further build resilience to external shocks. ## Top Priorities: - suppor t for economic development and an increased role for the private sector - advance gender equality and empowerment of women and girls - boost Ethiopia's tax collection capability and the accountability of its democratic institutions - build resilience to avoid future humanitarian crises in Ethiopia and enable it to respond better ## Contribution To The Mdgs Star ting from a low base, strong investment, including significant DFID funding, in social ser vices has driven good progress against many of the MDG indicators. The propor tion of the population living below $1.25 a day has fallen to 31% from 35% in 2005; and MDG 5 on child mor tality has already been attained. Despite this progress there remain significant challenges. There are still over 25 million people living in extreme pover ty . DFID suppor t to national programmes in health has contributed to an increase in the propor tion of skilled bir th attendance to 23% in 2013 (from 20% in 2012) yet the maternal mor tality rate remains stubbornly high. Net enrolment rates in primary education have levelled off although the numbers of children in school continue to increase suppor ted by DFID Ethiopia's largest sector investment. ## Delivery Of Dfid Headline Results Education: During 2012–13, DFID suppor ted 2.5 million children in primary education, nearly half of whom were girls. Health: Since 2011–12 DFID funding has ensured over 325,000 bir ths have been delivered by skilled health professionals. Water and sanitation: DFID assistance provided 300,000 more people with access to clean drinking water in 2012–13. Poverty, hunger and vulnerability: Nearly 3 million pregnant women and children were reached by DFID suppor ted nutrition inter ventions in 2012–13. Poverty, hunger and vulnerability: Nearly 270,000 individuals have become more food secure through DFID suppor t to the Productive Safety Nets Programme since 2011–12. Humanitarian: In 2013, DFID Ethiopia provided emergency food assistance for 2.6 million people. ## Progress Towards The Mdgs MDG indicator Current assessment Proportion of population below $1.25 a day Green Net enrolment in primary education Amber Ratio of girls to boys in primary education Green Under 5 mortality ratio Green Maternal mortality ratio Red HIV prevalence, 15–49 years old Amber Improved water source Amber ## Key Statistics Population 87.1 million 30.7 % living below $1.25 a day (2011) Fertility rate 4.8 % annual GDP growth rate 8.5 Ethiopia programmes by sector 2013–14 Total spend £284.4 million Wealth creation 2.4% ## Ghana Country Summary And Top Priorities In 2013–14 Ghana is a stable democracy that has benefited from a long period of political stability and sustained economic growth. Growth has slowed somewhat recently and there are risks in the shor t term, par ticularly around macroeconomic instability. Tackling income and regional inequality, delivering suppor t and ser vices to the most vulnerable, and ensuring shared growth will play a vital role in suppor ting fur ther pover ty reduction. ## Top Priorities: - robust, inclusive and transformational economic growth that will result in more and better jobs, and increase incomes for Ghanaians - ensuring no one is left behind, DFID is suppor ting pover ty reduction and growth in the nor th of Ghana, and helping to improve the lives of women and girls, par ticularly through improved health and increasing their education and economic oppor tunities - moving towards a sustainable self-financed exit from pover ty, including through competent, transparent and accountable governance and improved capacity to deliver ser vices ## Contribution To The Mdgs Ghana is on track to halve income pover ty by 2015, yet large inequalities remain. DFID is suppor ting the Government of Ghana's cash transfer programme for the poorest and most vulnerable. Enrolment in primary education has seen substantial increases but has stagnated in recent years. DFID is suppor ting children's enrolment in school through helping children not in school return to mainstream education, and providing incentive packages for girls to stay in secondary education. DFID is suppor ting the Government of Ghana scheme for universal anti malarial bed net coverage and deepening the private sector's role in preventing malaria. DFID is working to address the unmet need for family planning through purchase of commodities and delivery of family planning ser vices, with a par ticular focus on adolescent girls. ## Delivery Of Dfid Headline Results Wealth creation: DFID has helped nearly 5,000 producers (1,600 women) in the nor th of Ghana to access business services since 2012–13. Health: Since 2011–12, DFID has suppor ted just under 550,000 women users of family planning. Health: DFID suppor t has meant that just under 5.5 million bed nets have been distributed since 2011–12. Poverty reduction: In 2013–14, nearly 160,000 (88,000 women and girls) received DFID suppor ted cash grants. Education: In 2013–14, 24,000 girls received targeted incentives to stay in secondary education. Governance and security: Since 2011–12, 250,000 people (120,000 women) have been suppor ted to influence their own development and to hold decision makers to account. ## Progress Towards The Mdgs MDG indicator Current assessment Proportion of population below $1.25 a day Green Net enrolment in primary education Amber Ratio of girls to boys in primary education Red Under 5 mortality ratio Amber Maternal mortality ratio Amber HIV prevalence, 15–49 years old Amber Improved water source Green ## Key Statistics Population 24.3 million 28.6 % living below $1.25 a day (2006) Fertility rate 4.2 % annual GDP growth rate10 7.1 Ghana programmes by sector 2013–14 Total spend £90.8 million ## India Country Summary And Top Priorities In 2013–14 DFID's par tnership with India is in transition. As par t of the new development relationship DFID stopped approving new financial grant aid in 2012. However , DFID will honour commitments to existing projects, all of which will finish in 2015. After 2015 DFID's par tnership will focus on sharing skills and exper tise and making private sector investments which will help the poorest people and generate returns; and strengthening par tnership on global development issues such as food security and climate change. ## Top Priorities: - catalyse the private sector's potential to combat pover ty in the 8 poorest states using technical assistance and returnable capital mechanism - deepen the UK's engagement with India on global development issues - improve the lives of over 10 million poor women and girls in 3 of the poorest states to help them access quality schooling, healthcare, nutrition and jobs ## Contribution To The Mdgs Pover ty is falling rapidly and India will meet the target to halve the propor tion of people living under $1.25 per day, as well as the targets for education enrolment and maternal mor tality. However, India is off track to meet targets of reducing under 5 mor tality and underweight children. ## Delivery Of Dfid Headline Results Wealth creation: Across 8 low income states, 26 new public private par tnership deals have been awarded since 2011–12. Climate change: Over 600,000 additional people have had access to low carbon energy since 2011–12. Health: Over 310,000 babies have been delivered more safely with the help of nurses, midwives or doctors since 2011–12. Poverty, hunger and vulnerability: Over 3.5 million pregnant women and children under 5 were covered by nutrition programmes in 8 low income states in 2013–14. Water and sanitation: Over 1.2 million people have sustainable access to an improved sanitation facility. Education: Between 2011–12 and 2013–14 DFID has suppor ted over 840,000 children (400,000 girls) in primary school and over 550,000 children (270,000 girls) in junior secondary school. Governance and security: Over 5 million people (3 million women) since 2011–12 have been suppor ted to have choice and control over their own development and to hold decision makers to account. ## Progress Towards The Mdgs MDG indicator Current assessment Proportion of population below $1.25 a day Green Net enrolment in primary education Green Ratio of girls to boys in primary education Amber Under 5 mortality ratio Amber Maternal mortality ratio Green HIV prevalence, 15–49 years old Grey Improved water source Green ## Key Statistics Population 1,210.5 million 32.7 % living below $1.25 a day (2010) Fertility rate 2.7 % annual GDP growth rate 3.2 ## Kenya Country Summary And Top Priorities In 2013–14 Kenya is one of around 10 DFID countries where the number of poor people is thought to be rising, due to low economic growth, rising inequality and high population growth. Although it has the largest and most diversified economy in east Africa, its economic growth is lagging behind its peers due to political and climatic shocks and weak competitiveness. ## Top Priorities: - strengthen democracy through improving the capacity and accountability of national and local government - promote broad based sustainable economic development and job creation through improving the investment climate, market development, trade and access to finance - strengthen systems for delivering health, education and social protection ser vices - ensure that no one is left behind from development processes, including women and girls, the extreme poor living in Kenya's Arid and Semi-Arid Lands (ASALs), and refugees from neighbouring countries ## Contribution To The Mdgs Kenya's progress on the pover ty MDG (the propor tion of people living below $1.25 a day) is lagging. The UK is suppor ting market development and financial inclusion, which are key ingredients to growth, and enabling more people to move out of pover ty, including women and girls. The poorest Kenyans live in climate vulnerable arid and semi-arid areas where a package of DFID programmes (including cash transfers, climate change adaptation and drought management) will strengthen household resilience to shocks and stresses. DFID also has programmes aimed at helping women to access health services, par ticularly maternal health, and providing modern family planning. ## Delivery Of Dfid Headline Results Climate change: In 2013–14, 120,000 Kenyans were suppor ted to cope with the effects of climate change and almost 130,000 were suppor ted to have access to clean energy, half of whom were women. Wealth creation: DFID suppor ted the creation of 3,000 jobs and contributed suppor t enabling 12.4 million people, 5 million of whom were women, to have access to financial services in 2013–14. Poverty, hunger and vulnerability: 100,000 households (665,000 people) benefited from DFID funded cash transfers through the Hunger Safety Net and Orphan and Vulnerable Children programmes in 2013–14. Over two thirds of these households were headed by women. Health: DFID suppor ted 360,000 women to use modern family planning methods in 2013–14 and has suppor ted the distribution of almost 6.5 million bed nets, predominantly to pregnant women, since 2011–12. Education: 97,000 children received suppor t to be in primary education and to improve their learning in 2013–14. ## Progress Towards The Mdgs MDG indicator Current assessment Proportion of population below $1.25 a day Red Net enrolment in primary education Green Ratio of girls to boys in primary education Green Under 5 mortality ratio Green Maternal mortality ratio Amber HIV prevalence, 15–49 years old Red Improved water source Amber ## Key Statistics Population 40.1 million 43.4 % living below $1.25 a day (2005) Fertility rate 4.8 % annual GDP growth rate 4.6 ## Kyrgyz Republic Country Summary And Top Priorities In 2013–14 Kyrgyz Republic is the second poorest country in central Asia with GDP per capita of $880. The economic base is narrow, fragile and dependent on remittances (which represented 35% of GDP in 2012), trade and transit. Social indicators are poor. Ethnic tension, often mobilised by political par ties and other groupings, has periodically derailed economic growth. The national pover ty rate has reduced to 38%, but with negligible improvement since 2009. Economic and democratic gains have not been consolidated and risk reversal. After the 2010 revolution the Kyrgyz Republic established a Parliamentary Democracy, the only one in the former Soviet Central Asia. Political par ties are not yet sufficiently familiar with this model to make it work efficiently. Robust debate and challenge between par ties and factions within Parliament has contributed to delays in enacting much needed reforms. ## Top Priorities: - promote stability and development through improved and more transparent public finance management, including anti-corruption activities, which will drive better delivery of social services - providing advice to parliamentarians on how to operate effectively within the fledgling parliamentary democracy and to hold government better to account for delivery of benefits to citizens - suppor t for an improved business regulatory environment to encourage private sector investment and generate jobs ## Contribution To The Mdgs DFID promotes stability and development through suppor t to governance and ser vice delivery . Investment in public finance management helps deliver efficient budget allocations, in line with development priorities, indirectly improving service delivery Complementary investments in civil society and democratic institutions, including parliament, are holding the government to account for financial management and service delivery, and helping to tackle corruption. DFID suppor t to government monitoring systems is building capacity to track pover ty and development indicators and to increase capacity for analytical work which will inform policy development. A major regional programme aims to improve the benefits from labour migration. ## Delivery Of Dfid Headline Results Governance and security: In 2013–14 the Open Budget Index improved by 25% as a result of a DFID funded project. Wealth creation: Since 2010 a total of 435,000 labour migrants from Kyrgyz Republic were provided with key advice in information centres financed by DFID's Regional Migration programme. Health: The DFID funded EQUITY project has contributed to a decrease in the infant mor tality rate of 11.5% in 2013–14 since the 2009 baseline. ## Progress Towards The Mdgs MDG indicator Current assessment Proportion of population below $1.25 a day Green Net enrolment in primary education Green Ratio of girls to boys in primary education Green Under 5 mortality ratio Green Maternal mortality ratio Green HIV prevalence, 15–49 years old Amber Improved water source Green Key statistics Population 5.3 million 5 % living below $1.25 a day (2011) Fertility rate 2.78 % annual GDP growth rate -0.9 Kyrgyz Republic programmes by sector 2013–14 Total spend £4.7 million ## Liberia Country Summary And Top Priorities In 2013–14 DFID has a small bilateral programme in Liberia focused on a few niche sectors and managed from the Sierra Leone office. Liberia is a highly aided country ($186.59 per capita) but still has a pover ty rate of 56.3%. Economic growth has averaged just over 7% a year since 2004, but the economy remains very small (GDP £1.4 billion in 2014). Liberia is 12th from the bottom of the global Human Development Index and it is ranked 62 out of 86 countries in the 2012 Social Institutions and Gender Index, with some of the worst social indicators in the world. With elections due in 2017, President Sirleaf's 2 terms (a total of 12 years) will end and it will be critical to see whether a smooth transition can be made from post war society to a low-income but politically stable one. ## Top Priorities: - infrastructure rehabilitation focused on roads, water, sanitation and hygiene and solid waste management - reforming the health sector - future focus of DFID's bilateral programme will be infrastructure, natural resources, revenue mobilisation and economic empowerment of girls and women ## Contribution To The Mdgs Liberia has some of the worst infant and maternal mor tality rates in Africa. DFID's suppor t in 2013–14 focused on reforming the health sector and rehabilitating infrastructure, which are essential if Liberia is to continue attracting international private sector investors and fur ther stimulate the economy. ## Delivery Of Dfid Headline Results Water and sanitation: More than 250 tonnes per day of municipal solid waste collected in the capital city Monrovia through proper channels in 2013–14. Health: 4,000 bir ths attended by a skilled bir th attendant in 2012–13; national infant mor tality rate of 54 deaths per 1,000 live bir ths in 2013. Wealth creation: 96km of road rehabilitated and/or reconstructed since 2011–12. ## Progress Towards The Mdgs MDG indicator Current assessment Proportion of population below $1.25 a day Grey Net enrolment in primary education Red Ratio of girls to boys in primary education Red Under 5 mortality ratio Green Maternal mortality ratio Amber HIV prevalence, 15–49 years old Amber Improved water source Green ## Key Statistics Population 4 million 83.8 % living below $1.25 a day (2007) Fertility rate 5.2 % annual GDP growth rate 10.2 ## Malawi Country Summary And Top Priorities In 2013–14 Malawi is a small, landlocked, agriculturally dependent country in Southern Africa. It is also one of the poorest and ranks 170 out of 187 in the Human Development Index. The latest income pover ty survey showed that rural pover ty has increased in the last decade to 57% of the rural population. Although fragile and despite many challenges, Malawi's macro-economy has shown some signs of improvement over the last year. However, poor governance and corruption continue to prevent Malawi from achieving its full potential. ## Top Priorities: - addressing pover ty and inequality through investment in education, health, agriculture, water and sanitation with an emphasis on the rights of girls and women - suppor ting wealth creation and economic growth by expanding DFID's private sector development por tfolio to improve growth in the agricultural sector - promoting an open society and more capable, accountable and responsive governance. DFID's work suppor ts increasing access to justice for women and vulnerable groups, suppor ting accountability and governance reforms and preparing for the 2014 general elections ## Contribution To The Mdgs Progress is off track on several MDGs in Malawi. DFID's work in resilience is helping to improve rural incomes and reduce the vulnerability of farmers to external shocks. More women are being helped to access finance through village savings and loan schemes. DFID's education work is helping to improve gender parity in the last years of primary and secondary school. DFID is increasing its focus on nutrition and by 2015 will have supported 750,000 people to have access to clean water . ## Delivery Of Dfid Headline Results Wealth creation: 26,000 additional people were suppor ted to access credit through DFID suppor t in 2013–14. Out of this 21,000 were women. Poverty, hunger and vulnerability: An additional 74,000 people were suppor ted to cope with natural disasters and the effects of climate change in 2013–14. Girls' education: 13,000 girls have been enrolled in secondary school with DFID suppor ted bursaries since 2012–13. Primary education: 480,000 children were suppor ted by DFID in primary school in 2012–13. Health: An additional 70,000 women were using modern methods of family planning through DFID suppor t in 2013–14. Water and sanitation: An additional 140,000 people were provided with sustainable access to clean drinking water and an improved sanitation facility in 2013–14. ## Progress Towards The Mdgs MDG indicator Current assessment Proportion of population below $1.25 a day Amber Net enrolment in primary education Amber Ratio of girls to boys in primary education Green Under 5 mortality ratio Amber Maternal mortality ratio Amber HIV prevalence, 15–49 years old Red Improved water source Green ## Key Statistics Population 15 million 61.6 % living below $1.25 a day (2010) Fertility rate 5.8 % annual GDP growth rate 1.9 Malawi programmes by sector 2013–14 ## Mozambique Country Summary And Top Priorities In 2013–14 Mozambique remains one of the world's poorest countries: it ranked 185th out of 186 in the 2013 UN Human Development Index, while 60% of Mozambicans live on less than $1.25 day and 55% below the national pover ty line for basic needs. However, Mozambique also has had one of the fastest growing economies in the world with GDP growth averaging 7% over 2001–11. The country will reach a crossroads within the next decade, with the potential to accelerate development as a result of the discovery of large coal and gas reser ves. It also has excellent potential for agriculture and as a gateway country for landlocked countries. ## Top Priorities: - suppor t basic service provision for health, education, water and sanitation - improve the ability of citizens to hold decision makers to account - drive more inclusive economic growth, ensuring that the poorest in Mozambique benefit from the potential in sectors such as agriculture and natural resources ## Contribution To The Mdgs DFID is contributing to Mozambique's efforts on MDG 1 through initiatives to promote economic development and reduce poverty . This includes support for agricultural development, provision of cash transfers for the most vulnerable and projects to increase access to finance. DFID is helping to deliver results in 3 key social sectors (MDGs 2 to 7). In education, there is an emphasis on improving the quality of provision - with support provided for a national assessment survey of basic reading skills during 2013–14. DFID support is being provided to the health sector to address all MDG areas but with an emphasis on maternal and infant health and family planning. DFID support for water and sanitation is targeted on increasing rural access. ## Delivery Of Dfid Headline Results Since 2011–12: Poverty: An average of 61,000 poor people received cash transfers. Education: 33,000 children supported to complete primary school and an annual average of 21,000 children supported to enrol in secondary school. Health: 89,000 assisted bir ths and 30,000 pregnant women suppor ted with malaria treatment. Sanitation: 168,000 additional people suppor ted to receive access to sanitation. Governance: An average of 21,000 people supported to hold decision makers to account. Wealth creation: 67,000 people suppor ted to gain access to land. ## Progress Towards The Mdgs MDG indicator Current assessment Proportion of population below $1.25 a day Grey Net enrolment in primary education Red Ratio of girls to boys in primary education Amber Under 5 mortality ratio Green Maternal mortality ratio Amber HIV prevalence, 15–49 years old Grey Improved water source Red ## Key Statistics Population 25 million 59.6 % living below $1.25 a day (2008) Fertility rate 5.57 % annual GDP growth rate 7.1 Mozambique programmes by sector 2013–14 Total spend £77.4 million ## Nepal Country Summary And Top Priorities In 2013–14 Nepal is among the 20 poorest countries in the world, suffering from high levels of inequality and social exclusion. While there is peace and a return to conflict is unlikely, corruption, poor infrastructure and weak economic policies, as well as political uncer tainty, mean that Nepal tends to lag behind the rest of the region in development terms. Nepal has made progress in some areas, par ticularly in health, and pover ty levels continue to fall. Nepal is also one of the 20 most disaster prone countries in the world with more than 4,000 disaster related fatalities in the last 10 years and economic losses of over £3 billion. ## Top Priorities: - governance and security - make government more effective and able to deliver better services to the poor - help people, par ticularly women, benefit from economic growth - help Nepal tackle climate change and natural disasters ## Contribution To The Mdgs DFID's programmes address poverty and hunger by targeting the most vulnerable with activities such as providing employment in road building programmes and helping farmers improve their incomes. DFID's health programme focuses on maternal health by providing cash incentives and free delivery care to encourage the poorest to give birth in health facilities, free care across a range of health services, and clean water and sanitation. In education, DFID support to date has helped government deliver free basic education for girls as well as boys. DFID's climate change and forestry work ensure poor people's livelihoods are enhanced through forestry development, and vulnerable people are resilient to the impacts of climate change or natural disasters. ## Delivery Of Dfid Headline Results Wealth creation: Between 2011–12 and 2013–14 DFID suppor ted 160,000 jobs to be created, 4,000km of roads to be either built or upgraded, and 440,000 people to improve their land and proper ty rights. Governance and security: In 2013–14 DFID provided substantial election suppor t which contributed to nearly 10 million people voting, of whom over half were women. Human development: Between 2011–12 and 2013–14 DFID suppor ted 450,000 people to access clean drinking water, sanitation or hygiene services, 40,000 children in primary education and 50,000 women to use family planning services. Climate change and disaster risk reduction: Between 2011–12 and 2013–14 DFID suppor ted over 1.4 million people to increase their climate and disaster resilience, 220,000 people with improved access to clean energy, and 5,000 hectares of forest to be brought under community management. ## Progress Towards The Mdgs MDG indicator Current assessment Proportion of population below $1.25 a day Green Net enrolment in primary education Green Ratio of girls to boys in primary education Green Under 5 mortality ratio Green Maternal mortality ratio Green HIV prevalence, 15–49 years old Amber Improved water source Green ## Key Statistics Population 26.8 million 24.8 % living below $1.25 a day (2010) Fertility rate 3 % annual GDP growth rate 4.9 ## Nepal Programmes By Sector 2013–14 Nigeria Country Summary And Top Priorities In 2013–14 Nigeria is home to 160 million people, but more than 100 million live on less than £1 per day. A stable, better governed and prosperous Nigeria would rapidly reduce pover ty. It would also hugely benefit UK trade, energy and security interests, and help reduce crime and illegal migration. 2013–14 has seen a worsening of the security situation for many Nigerians, both in terms of terrorist activity and state response and rising inter communal tensions. ## Top Priorities: - providing more people with better ser vices, including education, healthcare and access to safe water and sanitation - helping Nigeria use its oil revenues to improve the lives of its citizens - help establish an enabling governance environment for tackling corruption and enhancing transparency and accountability ## Contribution To The Mdgs Progress is off track on all MDGs in Nigeria. With massive inequality , effective management of growth plays a significant part in Nigeria's development and is a sector DFID is focusing strongly on. DFID is also supporting the improved delivery of basic services, particularly in northern Nigeria, where the indicators are lagging the most. In health DFID is overachieving on its targets for births attended by skilled health workers. DFID is also overachieving on its target of numbers of people with sustainable access to clean water sources. ## Delivery Of Dfid Headline Results Wealth creation: Since 2012–13 DFID programmes have helped raise the incomes of 470,000 Nigerians by more than 15%. Governance: DFID Nigeria programmes have provided suppor t for almost 440,000 people to have control over their own development and hold decision makers to account since 2011–12. Health: 430,000 bir ths in Nigeria have been attended by skilled health workers since 2011–12. Water, sanitation and hygiene: Between April and December 2013 just over 510,000 Nigerians gained access to clean drinking water. Poverty and hunger: Since 2011–12 over 4 million pregnant women and children under 5 have received interventions to improve nutrition. ## Progress Towards The Mdgs MDG indicator Current assessment Proportion of population below $1.25 a day Red Net enrolment in primary education Red Ratio of girls to boys in primary education Amber Under 5 mortality ratio Amber Maternal mortality ratio Amber HIV prevalence, 15–49 years old Red Improved water source Red ## Key Statistics Population 159.7 million 63.0 % living below $1.25 a day (2010) Fertility rate 6 % annual GDP growth rate 6.5 Nigeria programmes by sector 2013–14 Total spend £266.2 million ## Occupied Palestinian Territories Country Summary DFID's programme in the Occupied Palestinian Territories (OPTs) is suppor ting the UK's Middle East Peace Process (MEPP) policy by building Palestinian institutions and promoting economic growth, so that any future state will be stable, prosperous, well run and an effective par tner for peace with Israel. The OPTs are one of the poorest par ts of the region with a GDP per capita of $1,679 in 2012. After several years of high growth, averaging 8% between 2007 and 2011, the Palestinian economy has slowed. Lack of meaningful progress in the MEPP and continuing movement and access restrictions have dampened private sector investment. The situation in Gaza is par ticularly concerning with the economy shrinking by 17% in the 6 years to 2011. A quar ter of Palestinians are currently unemployed and only 15% of women are in the labour force. ## Top Priorities: - helping the Palestinian Authority to build strong institutions and enable them to deliver essential services including policing, health and education - promoting private sector growth to stimulate the economy and create jobs - providing humanitarian assistance and suppor t to the vulnerable ## Contribution To The Mdgs The OPTs have made positive headway against some MDGs. However , the continuing occupation of the Palestinian territories makes it difficult to make faster progress. The blockade of Gaza has sharply reduced access to the water supply for 1.7 million Palestinians, with only a quarter of households receiving running water on a daily basis. DFID's financial assistance to the Palestinian Authority is enabling it to deliver important education and health services and security to the population. DFID is helping Palestinian communities challenge eviction and demolition orders which threaten livelihoods. The UK also funds the UN Relief and Works Agency to provide basic services and humanitarian supplies to Palestinian refugees in the OPTs, Syria, Jordan and Lebanon. ## Delivery Of Dfid Headline Results Wealth creation: DFID assistance has resulted in 350 enterprises repor ting improved performance in sales or productivity between 2011–12 and 2013–14. Wealth creation: DFID suppor ted just under 70,000 people to improve their rights to land and proper ty between 2011–12 and 2013–14. Poverty, hunger and vulnerability: DFID reached 280,000 individuals through cash transfer programmes in 2013–14. Education: DFID suppor ted 50,000 children in primary education in 2012–13 of whom 50% were girls. ## Progress Towards The Mdgs MDG indicator Current assessment Proportion of population below $1.25 a day Grey Net enrolment in primary education Amber Ratio of girls to boys in primary education Green Under 5 mortality ratio Amber Maternal mortality ratio Green HIV prevalence, 15– 49 years old Grey Improved water source Red ## Key Statistics Population 4 million 26 % living below the national poverty line11 (2011) Fertility rate 4.4 % annual GDP growth rate12 5.9 Occupied Palestinian Territories programmes by sector 2013–14 Total spend £93.9 million ## Pakistan Country Summary And Top Priorities In 2013–14 Approximately 66 million Pakistanis live in poverty and 12 million children are out of school. One in 11 children die before their fifth birthday and 12,000 women die in childbirth every year . The population is set to rise by 50% in less than 40 years. UK development spend in Pakistan is an investment in a more prosperous, more stable country which will not only help millions of poor Pakistanis, but will also improve stability and security in the region, and beyond. ## Top Priorities: - creating jobs and suppor ting economic growth - increasing access to and quality of education - women and children's health - strengthening democracy and governance - building peace and stability ## Contribution To The Mdgs In Pakistan the education challenges are immense, with half the adult population unable to read or write. UK support is focused on improving the quality of and access to education, and building the political and social pressure for access to quality education. Since 2011 UK support has benefited over 9 million primary school children. Pakistan has the fourth highest number of maternal deaths and under 5 mortality rates in the world. Progress has been slow in reducing these rates. UK support aims to increase the number of additional births delivered with trained medical staff to 1 million by 2015, already achieving 700,000. DFID will provide an additional 500,000 couples with access to family planning, and reduce the number of under-nourished children by 340,000. Only 8% of the population have access to microfinance services.13 The UK government through its support to the microfinance sector in Pakistan will help reach 1.23 million people by 2015 (over half of them women). UK support to Pakistan's national social protection programme will help at least 2.5 million people meet their basic needs for food, health and education by 2015. UK support will also help nearly 70,000 people obtain marketable skills to improve their livelihoods, of whom 40% are women. ## Delivery Of Dfid Headline Results Wealth creation: 860,000 additional people have accessed microfinance since 2011–12. 35,000 people had been trained in new skills by the end of 2013–14. Governance and security: 47 million voted in the May 2013 general elections - 10 million more than previous elections. Poverty, hunger and vulnerability: At least 2.5 million people have received DFID supported cash transfers since 2010–11. Education: 9 million children in primary school, 4 million in secondary school and 3 million primary completers benefited from DFID suppor t in 2013–14. Humanitarian: 3.5 million flood-affected individuals had been reached with humanitarian assistance by 2013–14. ## Progress Towards The Mdgs MDG indicator Current assessment Proportion of population below $1.25 a day Green Net enrolment in primary education Red Ratio of girls to boys in primary education Red Under 5 mortality ratio Red Maternal mortality ratio Amber HIV prevalence, 15– 49 years old Green Improved water source Green ## Key Statistics Population 185 million 36 % living below net pover ty line14 (2008) Fertility rate 3.8 % annual GDP growth rate15 4.1 Pakistan programmes by sector 2013–14 Total spend £253.0 million ## Rwanda Country Summary And Top Priorities In 2013–14 Rwanda has achieved significant progress since the devastating genocide of 1994. Pover ty within Rwanda declined by 12% between 2005–06 and 2010–11. Yet 4.7 million people in Rwanda live below the national pover ty line, of whom 2.5 million live in extreme pover ty. Reliance on low income agriculture and agricultural wage labour makes the majority of poor people's livelihoods very fragile. In July and December 2013, the UK agreed with the Government of Rwanda to reprogramme a total of £37 million general budget suppor t into specific sectors using government systems. These funds have been released into the education, social protection and agriculture sectors to directly suppor t some of the poorest people in Rwanda. ## Top Priorities: - transformation from an agricultural economy to private sector led growth - significantly improved services that deliver the MDGs - increased accountability of the state to citizens and empowerment of girls, women and the extreme poor - transition to more open and inclusive politics and enhanced human rights ## Contribution To The Mdgs The UK suppor ted progress towards the MDGs primarily through sector budget suppor t and financial assistance, helping the Government of Rwanda improve its essential services to the poor. UK priorities included suppor ting education (basic and post basic education) and social protection (addressing the pover ty MDG). The UK is also suppor ting Rwanda to strengthen its agriculture productivity; continue its economic growth through private sector development and regional trade; increase people's land ownership; improve access to finance; and combat climate change. ## Delivery Of Dfid Headline Results Wealth creation: Since 2010–11, almost 3.3 million land titles have been issued and in 2013–14, over 120,000 people secured access to financial services as a result of UK suppor t. Poverty, vulnerability, nutrition and hunger: In 2012–13 over 380,000 of the poorest people were suppor ted through cash transfers to meet their basic needs/secure jobs. Governance and security: DFID supported 1.8 million people to have a choice and control over their own development and hold decision makers to account in 2013–14. Education: Since 2010–11, a peak of 245,000 children have been suppor ted by DFID in primary education, of whom 49% were girls. ## Progress Towards The Mdgs MDG indicator Current assessment Proportion of population below $1.25 a day Amber Net enrolment in primary education Green Ratio of girls to boys in primary education Green Under 5 mortality ratio Green Maternal mortality ratio Green HIV prevalence, 15–49 years old Green Improved water source Red ## Key Statistics Population16 10.5 million 63.2 % living below $1.25 a day (2011) Fertility rate 4.0 % annual GDP growth rate 4.6 Rwanda programmes by sector 2013–14 Total spend £85.8 million ## Sierra Leone Country Summary And Top Priorities In 2013–14 Sierra Leone is entering a new phase of growth and development after a largely successful period of post-conflict reconstruction. This transition was formally marked by the closure of the UN peacebuilding mission in March 2014. The signing of a Mutual Accountability Framework by government and development par tners (led by DFID on the donor side) is also an impor tant marker of a change in the terms of international engagement. The country must now tackle a number of deeply rooted structural challenges including corruption, low capacity levels, weaknesses in the rule of law, and high levels of discrimination and social exclusion (par ticularly for women). ## Top Priorities: - improving education (especially for girls, children with disabilities and the most marginalised), water, sanitation and hygiene (WASH) and health services - suppor ting reform and improvement of electricity services - suppor t to the private sector, in par ticular to small and medium sized enterprises and the extractives sector - improving public financial management, revenue collection and accountability - tackling corruption through a new and innovative Pay No Bribe programme - improving access to security and justice - suppor ting the Constitutional Review and the electoral cycle ## Contribution To The Mdgs Progress towards education, health and WASH MDGs has been variable, but slow overall. In education, DFID is increasing primary school access and participation and raising education quality in primary and junior secondary schools. In health, DFID is strengthening health systems, improving reproductive, maternal and newborn health, and works alongside the Ministry of Health and Sanitation in the institutionalisation of free healthcare. In WASH, DFID is strengthening delivery of and access to improved water sources, sanitation and hygiene education, including WASH facilities in schools and primary healthcare units, underpinning progress in education and health. ## Delivery Of Dfid Headline Results Governance and security: Over one fifth of remote communities now with access to mediators and paralegal services; almost 300,000 more women and girls with improved access to security and justice in 2013–14. Water and sanitation: Over 1.1 million people gained access to improved sanitation facilities since 2011–12. Health: Over 50,000 bir ths delivered by skilled health personnel since 2011–12 and almost 40,000 women used a modern method of family planning for the first time in 2013–14. ## Progress Towards The Mdgs MDG indicator Current assessment Proportion of population below $1.25 a day Red Net enrolment in primary education Grey Ratio of girls to boys in primary education Green Under 5 mortality ratio Amber Maternal mortality ratio Amber HIV prevalence, 15–49 years old Red Improved water source Amber ## Key Statistics Population 5.8 million 51.7 % living below $1.25 a day (2011) Fertility rate 5.2 % annual GDP growth rate 15.2 Sierra Leone programmes by sector 2013–14 Total spend £68.6 million ## Somalia Country Summary And Top Priorities In 2013–14 Somalia has suffered from 20 years of conflict leading to severe under-development and humanitarian need. Regional instability threatens the interests of other nations through terrorism, illegal migration and piracy. A new federal government took office in Somalia in September 2012. In addition to its humanitarian programme in Somalia, DFID is working closely on development goals with the new administration. International suppor t for several of the government's development priorities was confirmed at the Somalia Conference in London in May 2013. The programme covers South Central, Puntland and Somaliland, recognising the differences in context and oppor tunities. ## Top Priorities: - investing in strengthening political settlements, accountable governance, security and local reconciliation - addressing immediate social development needs among the most vulnerable populations - expanding work on growth and growth transmission ## Contribution To The Mdgs There is cross-UK government consensus that state building is the right overarching approach for UK support to Somalia. As such DFID Somalia does not contribute to all of the MDGs. From 2014, DFID will scale up its economic development work (MDG1) concentrating on creating jobs and livelihoods; access to finance and business development; strengthening economic governance; and supporting regional trade. DFID is also supporting low cost, low carbon energy (MDG7) to tackle one of the constraints to growth. Somalia has some of the worst MDG indicators on health. DFID is enhancing access to quality health services, in particular focusing on women and girls, including through its flagship work on tackling female genital mutilation (MDG 4 and 5). ## Delivery Of Dfid Headline Results Governance: 7,000 girls and women accessed security and justice ser vices in 2013–14. The UN Joint Programme on Local Governance is now operating in 16 districts in Somalia, helping to develop and cost district development plans and ensure resources are allocated to them. Humanitarian: 378,000 people were provided with emergency food assistance in 2013–14. Nutrition: 55,000 children and pregnant women were reached with nutrition inter ventions and 120,000 children benefited from acute malnutrition prevention programmes in 2013–14, of whom 60,000 were girls. Wealth creation: 27,000 jobs were created in 2013–14, of which 16,000 were for women. Health: 25,000 contraceptives were distributed in 2013–14. 6,000 bir ths were attended by skilled professionals in 2013–14. ## Progress Towards The Mdgs MDG indicator Current assessment Proportion of population below $1.25 a day Grey Net enrolment in primary education Grey Ratio of girls to boys in primary education Grey Under 5 mortality ratio Amber Maternal mortality ratio Red HIV prevalence, 15– 49 years old Amber Improved water source Red ## Key Statistics Population 9.6 million % living below $1.25 a day No data Fertility rate 7.1 % annual GDP growth rate No data Somalia programmes by sector 2013–14 Total spend £83.6 million ## South Africa Country Summary And Top Priorities In 2013–14 South Africa has the largest economy in sub-Saharan Africa. It plays an impor tant role in regional institutions such as the African Union and its presence in the G20 and the BRICS marks its status as an emerging global power . DFID Southern Africa is increasingly working with South Africa on issues which have an impact beyond its borders, such as regional trade and climate change. From 2015, DFID's bilateral programme in South Africa will end, reflecting a new relationship between the UK and South Africa. ## Top Priorities - creating growth and jobs - tackling HIV and reducing maternal and child deaths - promoting inclusive and low carbon growth - preventing violence against women and children ## Contribution To The Mdgs DFID is working with the South African government, civil society and business - helping to translate the country's own resources into better lives for poor people. The UK's suppor t to job creation in South Africa and regional trade integration is helping to create conditions for growth across the region. DFID contributes to maternal and child mor tality reduction through support to the Maternal, Newborn, Child and Women's Strategy, focusing on 25 districts with the worst outcomes. South Africa's response to HIV and AIDS and tuberculosis is being strengthened through the National Aid Council and government reforms to the health sector . DFID is working to suppor t South Africa's response to reduce violence against women and children and improving government's accountability to citizens on service delivery . DFID is suppor ting South Africa in meeting its ambitious international pledges on transition to a low carbon economy, though this will need to accelerate if these pledges are to be fully realised. ## Delivery Of Dfid Headline Results National: Governance: Contributed to the par ticipation of 21,000 people in government or community monitoring since 2011–12. Wealth creation: Suppor ted 98,000 people with access to micro-insurance in 2013–14. ## Regional:17 Wealth creation: 880,000 people benefiting directly from new or improved par ticipation in national and cross-border value chains (eg regional food markets) since 2011–12. Climate change: 710,000 people benefiting from improved management of shared water basins since 2011–12. Climate change: 140,000 people with improved access to low carbon energy since 2011–12. ## Progress Towards The Mdgs MDG indicator Current assessment Proportion of population below $1.25 a day Green Net enrolment in primary education Red Ratio of girls to boys in primary education19 Red Under 5 mortality ratio Amber Maternal mortality ratio Amber HIV prevalence, 15–49 years old Red Improved water source Green ## Key Statistics Population 51.5 million 13.8 % living below $1.25 a day (2009) Fertility rate 2.6 % annual GDP growth rate 2.5 South Africa programmes by sector 2013–14 Total spend £50.3 million newborn health 14.1% Water and sanitation 2.0% Wealth creation 11.4% ## South Sudan Country Summary And Top Priorities In 2013–14 The outbreak of conflict in December 2013 in Juba and subsequently elsewhere in the country was disastrous for South Sudan. Since independence on 9 July 2011, the new country has struggled with huge development challenges. Decades of war have left a legacy of chronic pover ty, inequality, and limited capacity and infrastructure. The first par t of 2013 saw some initial progress towards establishing a more development focused approach. That progress was reversed by the outbreak of conflict. Since the star t of the violence, thousands of people have been killed, and over 1 million have fled their homes, including to neighbouring countries. Despite the signing of a cessation of hostilities agreement, fighting has continued. By April 2014, 4.9 million people were in urgent need of humanitarian aid. In late 2013–14 the UK developed an interim strategy in response to the conflict. This reflects a shift from 'business as usual'. ## Top Priorities: - humanitarian response and strengthening resilience, par ticularly in the area of food security - basic ser vices in health and education, suppor ting the most vulnerable, especially women and girls - focused work on governance where we can suppor t reconciliation and peacebuilding - underpin all programmes with a strong focus on conflict sensitivity ## Contribution To The Mdgs The UK's work in South Sudan is making an impor tant contribution to addressing MDG challenges with a par ticular focus on girls, women and vulnerable groups. DFID's humanitarian programmes address immediate needs, including shelter and food, and improving access to health, nutrition, water and sanitation facilities. The Health Pooled Fund has a strong focus on improving the health status of women and children. DFID's education work suppor ts children in primary and secondary education with a par ticular focus on girls. DFID's livelihoods programmes builds resilience of communities to withstand food security risks and future challenges. ## Delivery Of Dfid Headline Results The ongoing conflict has hampered programme delivery in South Sudan. This has led to lower than expected 2013–14 results for some programmes. Education: Suppor ted just under 7,000 pupils in secondary education, including nearly 2,000 female pupils in 2013–14. Education: Over 6.5 million textbooks printed and distributed since 2012–13. Health: Instrumental in helping just under 20,000 pregnant women give bir th with a nurse, midwife or doctor since 2011–12. Security and justice: Contributed to over 310,000 women and girls with improved access to security and/or justice services in 2013–14. Humanitarian: Reached nearly 2 million people with life-saving health and nutrition suppor t through humanitarian funding in 2012–13. ## Progress Towards The Mdgs MDG indicator Current assessment Proportion of population below $1.25 a day Grey Net enrolment in primary education Amber Ratio of girls to boys in primary education Amber Under 5 mortality ratio Amber Maternal mortality ratio Grey HIV prevalence, 15–49 years old Grey Improved water source Grey ## Key Statistics Population19 11.3 million % living below $1.25 a day No data Fertility rate 5.4 % annual GDP growth rate -47.6 South Sudan programmes by sector 2013–14 Total spend £139.6 million ## Sudan Country Summary And Top Priorities In 2013–14 Sudan is a failing state. The country suffers from chronic underdevelopment following cycles of conflict over the last 5 decades. In 2013, the conflicts within Sudan's borders intensified, and early 2014 has seen the worst humanitarian situation in Darfur since the star t of the conflict 10 years ago. At least 6.1 million people are judged to be in need of humanitarian assistance across the country. The recent crisis in South Sudan has also led to an influx of refugees in the southern border states of Sudan. The country is experiencing political stalemate, and the federal government undermines democratic and accountable governance and drives inequality, focusing its spending on Khar toum to the neglect of peripheral states. Sudan is off track on the majority of the MDGs. ## Top Priorities: - providing protection and life-saving humanitarian support to people affected by conflict, while building the resilience of communities to cope with shocks - improving sustainable access to basic services such as water and sanitation for the most vulnerable - helping vulnerable people to cope with economic instability , such as price increases and cuts to government spending - investing in the private sector and civil society , to lay the foundations for a more democratic, peaceful and prosperous future ## Contribution To The Mdgs The UK's work in Sudan is supporting progress in these areas, with a cross-cutting focus on women and girls, and their potential as drivers for change. DFID's humanitarian programmes address immediate needs including food and shelter , access to nutrition and health. DFID is also improving access to water and sanitation facilities and helping communities to build their ability to cope when a shock has happened, such as conflict or a natural disaster . All of these contribute to improving the livelihoods of Sudan's most vulnerable. DFID's economic programmes aim to mitigate the impacts of the economic adjustment process on the poor and DFID is testing approaches to working with the private sector . ## Delivery Of Dfid Headline Results Drinking water: 910,000 people have obtained access to (sustainable) clean drinking water between 2011 and 2014. Sanitation: 400,000 people have obtained access to an improved sanitation facility between 2011 and 2014. Security and justice: 350,000 people have been suppor ted to have choice and control over their own development and hold decision makers to account between 2011 and 2014. Humanitarian: 220,000 people reached by health and nutrition-related programmes in 2013–14. Humanitarian: 660,000 people reached with food security and livelihoods assistance in 2013–14. ## Progress Towards The Mdgs MDG indicator Current assessment Proportion of population below $1.25 a day Grey Net enrolment in primary education Grey Ratio of girls to boys in primary education Grey Under 5 mortality ratio Amber Maternal mortality ratio Red HIV prevalence, 15–49 years old Red Improved water source Red ## Key Statistics Population 35.7 million 19.8 % living below $1.25 a day (2009) Fertility rate 4.8 % annual GDP growth rate -10.1 Sudan programmes by sector 2013–14 Total spend £48.0 million ## Tajikistan Country Summary Tajikistan is the poorest country in the central Asia region (GDP per capita is $872) and is politically and economically fragile. It has made steady progress since the end of the civil war in 1998: the national pover ty rate has improved from over 80% to 46.7% today (HDR 2013). These gains are, however, at risk: economic growth and pover ty reduction have been driven by migrant workers in Russia, who contributed 47% of GDP in 2012. The Russian economy is, however, slowing and labour oppor tunities and remittances are unlikely to be sustained at current levels. The small private sector is not creating adequate revenues or job oppor tunities to offset the relative decline in remittances. Tajikistan is unlikely to achieve the 9% growth rate needed to keep pace with the burgeoning population. Health and education provision is deteriorating. Pover ty is increasing. ## Top Priorities: - promote economic growth and wealth creation, through regulatory reform and direct suppor t to the private sector - suppor ting transparent and efficient management of public finances and improved government accountability - promoting regional co-operation and trade to stimulate growth and co-operation ## Contribution To The Mdgs DFID's programmes in Tajikistan focus on promoting economic growth and good governance. To stimulate the private sector and create jobs, DFID provides suppor t to develop an improved regulatory and legal environment for business and to strengthen corporate governance. Complementary programmes provide business advice and access to credit for small and medium sized enterprises. Investment in public finance management will deliver more efficient budgetary allocations and expenditure, in line with development priorities. Suppor t to civil society helps to better hold government to account. A major regional programme helps migrant labourers and their families secure maximum benefits from labour migration. ## Delivery Of Dfid Headline Results Wealth creation: In 2013–14 16,000 new clients, of whom 6,000 were female, were provided with access to finance (individual entrepreneurs and small and medium sized businesses). Wealth creation: Since 2010 in total 76,882 migrants have been provided with specific advice (legal, health and social protection) in Information Centres financed from DFID's Regional Migration programme. Governance and security: The new Unified Char t of Accounts introduced in 2014 provides improved budget management, analysis, planning, transparency and scrutiny. Wealth creation: In 2013–14 the monthly average turnover of cross-border markets reached €501,000 after DFID suppor t. Wealth creation: Reduced government regulations and improved private sector management generated efficiency savings of £7 million in 2013–14 through DFID suppor t. ## Progress Towards The Mdgs MDG indicator Current assessment Proportion of population below $1.25 a day Green Net enrolment in primary education Green Ratio of girls to boys in primary education Red Under 5 mortality ratio Amber Maternal mortality ratio Green HIV prevalence, 15– 49 years old Amber Improved water source Amber Key statistics Population 7.6 million 6.6 % living below $1.25 a day (2009) Fertility rate 3.7 % annual GDP growth rate 7.5 Tajikistan programmes by sector 2013–14 Total spend £8.8 million ## Tanzania Country Summary And Top Priorities In 2013–14 Tanzania is politically stable, and is looking ahead to its fifth multi-par ty election in 2015. The country has experienced more than 10 years of 6–7% growth, and made strong progress in access to basic ser vices. However, 30 million people (over two thirds of the population) live below $1.25 a day. If Tanzania is to achieve its goal of reaching middle income status by 2025, it needs to fur ther accelerate its growth rate while also shifting to more equitable broad-based growth to ensure it also delivers a reduction in pover ty. ## Top Priorities: - scaling up wealth creation programmes to suppor t a shift to a greater economic development focus in DFID's programme - delivering the MDGs and improving the effectiveness, quality and equity of service delivery in water, education and health - getting government to work better and helping Tanzanians hold their government to account ## Contribution To The Mdgs Tanzania's progress towards the MDGs is mixed. Under its 2011–15 Operational Plan, DFID provides support through and alongside the government to help Tanzania meet the MDGs particularly in relation to access to water , education, malaria, maternal health and reducing rural poverty . Almost all of DFID's headline results directly target the MDGs and good progress has been made in the past year . The Government of Tanzania's new Big Results Now programme, which DFID is supporting, has also put in place ambitious plans to significantly increase results delivery by 2016 in its initial 6 priority areas: education, water , agriculture, energy , transport and resource mobilisation. ## Delivery Of Dfid Headline Results Wealth creation: Since 2011 DFID has helped over 180,000 rural men and women to raise their incomes. Wealth creation: Since 2011 over 100,000 people have gained access to financial services as a result of DFID suppor t. Water and sanitation: Data for 2012–13 shows that 1.4 million rural people were given new access to an improved water source as a result of DFID's programme. Education: In 2013–14 DFID suppor ted an estimated 290,000 children in primary and lower secondary school. Health: Since 2011, DFID's health programme has provided essential maternal health drugs for the entire country and yielded 1.6 million couple years of protection for Tanzanian women, giving them a choice over pregnancy. Health: Since 2011 DFID has suppor ted the distribution of 2.8 million bed nets to protect against malaria. Climate change: In 2013–14 we assisted over 130,000 people directly and 17.7 million people indirectly to be better able to cope with the effects of climate change. Governance: In 2012–13 over 5 million people were suppor ted to have choice and control over their own development and to hold decision makers to account. ## Progress Towards The Mdgs MDG indicator Current assessment Proportion of population below $1.25 a day Amber Net enrolment in primary education Red Ratio of girls to boys in primary education Green Under 5 mortality ratio Green Maternal mortality ratio Amber HIV prevalence, 15– 49 years old Amber Improved water source Red ## Key Statistics Population 45.0 million 67.9 % living below $1.25 a day (2007) Fertility rate 5.6 % annual GDP growth rate 6.9 Poverty, hunger and vulnerability 0.8% Reproductive, maternal and newborn health 4.3% Water and sanitation 5.4% Wealth creation 21.0% ## Uganda Country Summary And Top Priorities In 2013–14 Over the last 20 years, Uganda has achieved one of the most dramatic reductions in the income pover ty headcount of any country in Africa - from 70% living on less than $1.25 a day in 1992 to 38% in 2009. Economic growth was approximately 6% in 2013–14, and planned public sector infrastructure investment is expected to boost growth fur ther to 6.5% in 2014–15. Uganda's debt continues to be sustainable; however, its revenue to GDP ratio (estimated at 13.7% for 2013–14) remains the lowest in east Africa. Despite high headline growth rates over the last 2 decades, much of this growth has not translated into adequate employment through decent jobs. With high population growth, levels of youth unemployment are increasing. Uganda's policy framework for social ser vices is strong. It prioritises equitable access to quality social services; however, policies are often not well implemented. Governance trends are concerning and corruption is endemic. In 2013, the UK decided to indefinitely suspend budget suppor t to the Government of Uganda following the 2012 corruption scandal in the office of the Prime Minister. ## Top Priorities: - promoting good governance and combating corruption - improving maternal and reproductive health - suppor ting economic development and growth including youth skills and job creation - increasing access to financial services and regional trade - protecting the poorest and most vulnerable ## Contribution To The Mdgs Uganda is making good progress towards a number of the MDGs and is on course to meet targets on: proportion of the population living on less than $1.25 a day; ratio of girls to boys in primary education; under 5 mor tality rate; and increased access to drinking water. DFID is suppor ting progress where Uganda is currently off track, eg on reproductive health, HIV prevalence and malaria. DFID is making a very significant contribution to the national effor t to increase access to family planning ser vices. The UK is also playing a lead role in suppor ting the country's effor ts to provide social protection for the most vulnerable people. ## Delivery Of Dfid Headline Results Health: Since 2011, nearly 390,000 women using modern contraception through DFID suppor t. Health: Nearly 20,000 bir ths attended by a skilled healthcare provider in 2013–14 through DFID suppor t. Wealth creation: In 2013–14,110,000 men and women accessing financial services through DFID suppor t. Poverty reduction: In 2013–14, 450,000 of the most vulnerable people in the country benefited from DFID-suppor ted unconditional monthly cash transfers. Education: Since 2011, almost 15,000 primary school children who had dropped out now returning to school through DFID suppor t. Vulnerability: In 2013–14, 27 million hours were worked on public works projects in Karamoja. ## Progress Towards The Mdgs MDG indicator Current assessment Proportion of population below $1.25 a day Green Net enrolment in primary education Red Ratio of girls to boys in primary education Green Under 5 mortality ratio Green Maternal mortality ratio Red HIV prevalence, 15–49 years old Green Improved water source Green Key statistics Population 34.0 million 38.0 % living below $1.25 a day (2009) Fertility rate 6.4 % annual GDP growth rate 6.0 Uganda programmes by sector 2013–14 Total spend £94.7 million newborn health 11.4% ## Yemen Country Summary And Top Priorities In 2013–14 Yemen faces multiple development challenges compounded by serious political crisis and conflict in 2011. Even before the crisis Yemen was the poorest country in the Middle East with worrying human development indicators and rapid population growth. The crisis led to large scale internal displacement and hunger, with 60% of the population needing humanitarian assistance. Ten million Yemenis do not have enough to eat and 1 million young children suffer from acute malnutrition. Women and girls suffer severe discrimination. ## Top Priorities: - more stable, secure and prosperous Yemen - political transition - early recovery and humanitarian needs ## Contribution To The Mdgs Although Yemen is on track to meet maternal mor tality ratio and HIV prevalence targets, most MDGs are not expected to be achieved by 2015. Yemen was unlikely to achieve most of the MDGs even before the 2011 humanitarian and economic crisis, which has fur ther inhibited progress. DFID's programme aims to suppor t the political transition: increase economic growth, deliver basic services and social protection, and address humanitarian needs in order to build the foundations for progress towards the MDGs. Through its humanitarian, integrated nutrition and Social Fund for Development programmes, DFID provides access to schools, nutrition, healthcare, clean water and improved sanitation for those most in need in the poorest communities. ## Delivery Of Dfid Headline Results Wealth creation: Between 2011–12 and 2013–14, just under 40,000 people were provided with new access to financial services and nearly 6,000 jobs were indirectly created through DFID suppor t. Poverty, hunger and vulnerability: DFID reached 680,000 children and women with an integrated package of malnutrition prevention and screening interventions between 2011 and 2013. Just under 40,000 people received DFID suppor ted cash transfers in 2013–14, including through labour intensive public works employment. Education: Over 30,000 children were suppor ted by DFID in primary education in 2013–14. Water and sanitation: DFID assisted just under 560,000 people to get sustainable access to clean drinking water sources and 20,000 people to sustainable access to an improved sanitation facility between 2011–12 and 2013–14. Humanitarian: DFID reached over 140,000 people with emergency food aid and livelihoods assistance in 2013–14. ## Progress Towards The Mdgs MDG indicator Current assessment Proportion of population below $1.25 a day Grey Net enrolment in primary education Red Ratio of girls to boys in primary education Red Under 5 mortality ratio Amber Maternal mortality ratio Green HIV prevalence, 15– 49 years old Green Improved water source Red Key statistics Population 22.8 million 17.5 % living below $1.25 a day (2005) Fertility rate 4.9 % annual GDP growth rate 6.0 ## Yemen Programmes By Sector 2013–14 Total spend £59.1 million ## Zambia Country Summary And Top Priorities In 2013–14 Sixty percent of Zambia's 13.2 million people (2010) live in pover ty. Inequality is very high and on current trends it will take until 2073 to reduce pover ty to 15%. Weak transmission of Zambia's strong growth to pover ty is the central challenge. DFID's programme includes improving the Government of Zambia's policies, systems and skills, enabling Zambia to increase its tax take and use its resources to deliver better ser vices. DFID also works to directly address the most off track MDGs, including extreme pover ty, gender, maternal mor tality, sanitation and hygiene. DFID is also developing a programme to remove the barriers to wealth creation and investment, to create a sustainable future beyond aid. DFID is working with the government and other donors to empower girls and women, in order to make growth more inclusive and tackle inequality. DFID is replacing general budget suppor t with sector budget suppor t for education and targeted financial aid. ## Top Priorities: - addressing the most off track MDGs - removing barriers to economic development - improving the position of poor women and girls ## Contribution To The Mdgs DFID is working to directly address the most off track MDGs using a combination of cash transfers, maternal and child mor tality interventions, and programmes to improve sanitation and hygiene. DFID is training community health assistants and skilled bir th attendants to boost health centre capacity, helping to reduce vulnerability to HIV infection and malaria and increasing access to safe delivery and family planning. DFID nutrition inter ventions have reached over 1.9 million children under 5 (2011–13). DFID is increasing access to improved sanitation and improving hygiene practices. DFID is also working with government and other donors to reduce gender based violence and empower girls and women, to tackle inequality and make growth more inclusive. ## Delivery Of Dfid Headline Results Poverty: In 2013–14 DFID provided 40,000 recipients with social cash transfers: 82% of recipients are women, and the cash transfers benefited 180,000 family members. DFID's analysis of the programme's success influenced the Government of Zambia to commit to a 700% increase in their financial contribution to the programme. Health: DFID delivered a fur ther 1 million bed nets house to house (2013–14), and 3.2 million people now sleep under nets provided by DFID (2011–13). This includes 140,000 pregnant women and 600,000 children under 5 years of age. Inclusive growth: In 2013–14 DFID provided 30,000 people and small businesses with access to a new financial product. Sanitation and hygiene: Up to 2013–14 inclusive, DFID provided 800,000 people with access to improved sanitation and 3.3 million were provided with access to hygiene knowledge through DFID promotion. ## Progress Towards The Mdgs MDG indicator Current assessment Proportion of population below $1.25 a day Red Net enrolment in primary education Green Ratio of girls to boys in primary education Green Under 5 mortality ratio Amber Maternal mortality ratio Amber HIV prevalence, 15– 49 years old Green Improved water source Amber ## Key Statistics Population 13.2 million 74.5 % living below $1.25 a day (2010) Fertility rate 5.9 % annual GDP growth rate 7.3 Zambia programmes by sector 2013–14 Total spend £66.6 million ## Zimbabwe Country Summary And Top Priorities In 2013–14 Zimbabwe made exemplary progress towards the MDG indicators throughout the 1980s and into the 1990s. The economic and humanitarian crisis from 2000 to 2008 stalled and in some cases starkly reversed many of these gains. Since 2009 Zimbabwe's economy has recovered but that recovery is now looking increasingly fragile. ## Top Priorities: - promoting economic development - suppor t the provision of basic ser vices including access to health, education and water - help to strengthen democracy ## Contribution To The Mdgs With progress towards the MDGs lagging in Zimbabwe, DFID's programme is focused on strengthening access to basic services including health, education and water. DFID is increasing contraception provision for women to reduce unmet need for family planning and decrease maternal mor tality. Through the rehabilitation and drilling of new boreholes DFID is increasing access to clean water in rural areas while our education programme is focused on increasing the number of children, especially girls, who have access to a good quality education. The UK is also playing a leading role in improving household incomes through access to finance, enterprise suppor t and social protection to vulnerable households. DFID's work is also improving food security in rural areas. ## Delivery Of Dfid Headline Results Cash transfers: 165,000 people received cash benefits in 2013–14. Education: 118,000 children suppor ted to attend primary school in 2013–14. Health: 126,000 babies have been delivered with the help of a nurse, midwife or doctor since 2011–12. Almost 3.5 million couples were provided with a year's contraceptive protection in 2013–14 through DFID's family planning programme. Water and sanitation: 790,000 people have achieved access to better hygiene over the last 2 years. 290,000 people have acquired sustainable access to clean drinking water over the last 2 years. Wealth creation: Nearly 90,000 economic oppor tunities created since 2012–13. ## Progress Towards The Mdgs MDG indicator Current assessment Proportion of population below $1.25 a day Grey Net enrolment in primary education Grey Ratio of girls to boys in primary education Grey Under 5 mortality ratio Red Maternal mortality ratio Red HIV prevalence, 15– 49 years old Red Improved water source Red Key statistics Population 13.0 million % living below $1.25 a day No data Fertility rate 3.9 % annual GDP growth rate 3.0 ## Zimbabwe Programmes By Sector 2013–14 Total spend £106.0 million Poverty, hunger and vulnerability 7.9% Reproductive, maternal and newborn health 19.7% Water and sanitation 10.3% Wealth creation 3.3% ## Africa Regional Programme Africa needs rapid economic growth and conducive policies to reduce pover ty. Of the 911 million people in sub-Saharan Africa, 48% still live on less than $1.25 a day. Some 29% live in landlocked countries, relying on their neighbours for access to overseas markets and growth oppor tunities. These continuing challenges cannot be overcome through working at the country level alone. Regional co-operation is essential to join up African economies and improve trade between them and the world, facilitate efficient management of natural resources, and respond to climate change challenges. Regional approaches are also impor tant for addressing neglected or sensitive development issues and improving lesson learning across countries. Contribution to regional priorities The Africa Regional Programme works closely with the African Union, Regional Economic Communities, African Development Bank, African governments and other par tners to help meet a range of regional development objectives. DFID supports regional interventions promoting: wealth creation by reducing trade barriers, suppor ting regional infrastructure development, and increasing par ticipation in regional staple food markets; adaptation to climate change, including improved regional co-operation on forests and water management; strengthened governance and accountability; improved regional evidence and advocacy, par ticularly on maternal health, malaria and democratic governance; and addressing neglected health issues such as unsafe abor tion and female genital mutilation. Helping Africa to make the most of its extractive industries is an impor tant new priority. ## Delivery Of Dfid Headline Results Wealth creation: Construction of one additional one-stop border post completed since 2011–12. The reduction in crossing time will be measured in 2015. Wealth creation: 880,000 people benefiting directly from new or improved par ticipation in national and crossborder value chains (eg regional food markets) since 2011–12. Health: 530,000 unsafe abor tions aver ted since 2011–12. Climate change: 710,000 people benefiting from improved management of shared water basins since 2011–12. Climate change: 140,000 people with improved access to low carbon energy since 2011–12. Governance: 460,000 people suppor ted to have choice and control over their own development and to hold decision makers to account since 2011–12. Humanitarian: 2.3 million people reached with emergency food assistance since 2011–12. ## Asia Regional Programme South Asia is home to 500 million people living below $1.25/day and 900 million living below $2/day . The region has the worst level of gender inequality in the world, including high levels of violence against girls and women, and the lowest rates of economic participation. The region's poorest people are those discriminated against because of their gender, caste, religion or ethnicity . The entire region is vulnerable to the impacts of climate change. More than 750 million people (50% of the population in the Asia region) have been affected by at least one natural disaster over a period of less than 20 years, resulting in 230,000 deaths and $45 billion in damage. Intra -regional trade, at 5% of total trade, is also among the lowest in the world. Contribution to regional priorities The Asia regional programme allows DFID to work across borders and in ways which can be more cost effective than working in individual countries. Priorities include: improving regional connectivity with a focus on trade and power connectivity, and dealing with the negative consequences of improved trade (trafficking and malaria); improving resilience to growth including through co-operation on cross-border rivers and protecting the urban poor from climate risks; and (where appropriate) running regional health and nutrition programmes including programmes that will enable more effective food security and nutrition investments in the region. ## Delivery Of Dfid Headline Results Wealth creation: Support through the South Asia Regional Trade and Integration Project has delivered an agreed new World Bank funded programme to connect electricity produced in central Asia from hydro sources to Pakistan. In 2013–14 these programmes also helped to reduce transit times of goods at key border posts (Nepal/India and Pakistan/India in particular), and identified cross-border investment opportunities to stimulate job creation. Governance and security: During 2013–14, foundations for the 'Work in Freedom' anti-trafficking programme have been laid, including 8 partnership agreements signed, delivery teams recruited, and several pilot community activities and border surveys completed. Poverty, hunger and vulnerability: Through the South Asia Food and Nutrition Security Initiative 16 programmes in different sectors are improving food security and nutrition. Health: Between 2011–12 and 2013–14 the multi-country maternal health programme has averted over 5,000 maternal deaths (modelled). Managing climate risks: By the end of 2013–14 the South Asia Water Governance programme had helped facilitate the signing of agreements between China, India and Nepal to co-operate on securing the waters of the Indus and Brahmaputra rivers. ## Middle East And North Africa Regional Programmes The main purpose of DFID's involvement in the Middle East and North Africa (MENA) is to support a more stable and prosperous region based on open, inclusive political systems and economies. MENAD Regional delivers programming across the region, with a specific focus on countries in transition and experiencing instability (Egypt, Tunisia, Jordan, Lebanon and Libya). MENAD Regional also supports cooperation and dialogue with the Gulf donors in UAE, Saudi Arabia, Kuwait and Qatar . DFID's work is focused on the £125 million Arab Partnership Economic Facility which aims to support increased employment (especially for women and young people), economic growth, and effective and accountable institutions. The majority of funding is being channelled through the international financial institutions to provide technical assistance to governments and the private sector . In 2013–14 DFID played a major role in responding to the humanitarian crisis caused by the ongoing conflict in Syria. DFID contributed £295 million to support those affected by the conflict in Syria and neighbouring countries. MENAD Regional complements DFID's humanitarian response with additional support to host communities in Jordan and Lebanon. UK support in Libya is helping the government to deliver security and justice services and improve its management of public finances. Contribution to regional priorities Since 2011, the MENA region has experienced major changes. The region today faces complex, interlinked political, economic and security challenges, and a large and still growing youth population. DFID's work in the region is a major component of a wider UK government effort to respond to the challenges of short term insecurity while laying the foundations for long term stability and reform. ## Delivery Of Dfid Headline Results Wealth creation: During 2013–14 over 1,300 enterprises have received business advice. Nearly 1,700 loans have been disbursed to small and medium sized enterprises. 19,500 jobs have been created either directly or indirectly. 2,900 people have been trained in new skills. 150,000 micro-loans have been disbursed to new businesses. Global partnerships: During 2013–14 54% of projects by the World Bank and 39% of projects by the African Development Bank in the MENA region were focused on promoting economic and social inclusion. Since its launch in 2012 the Deauville Transition Fund has so far committed $100 million to a total of 28 projects across Egypt, Tunisia, Jordan, Morocco, Yemen and Libya. Humanitarian: In Syria and the wider region approximately half a million people per month have been supported with food aid and up to 600,000 people per month have been provided with clean drinking water. ## Overseas Territories 3.15 A White Paper on the Overseas Territories was published in June 2012. This set out an ambitious vision for the 14 UK Overseas Territories of flourishing communities, growing economies, soundly managed public finances, and strong technical suppor t for development of the Territories provided from a wide range of Whitehall depar tments. 3.16 DFID's Overseas Territories Depar tment's Operational Plan set out how DFID works to achieve these objectives - by meeting the reasonable assistance needs of the 3 'aided' Overseas Territories, accelerating reduction in their aid dependency, and helping manage the government's financial liabilities for non-aided Caribbean Overseas Territories in crisis. 3.17 DFID's direct financial suppor t for the governments of Montserrat, St Helena and Pitcairn again helped to ensure the delivery of adequate public ser vices such as health, education and continued access to the islands by sea. DFID also continued to provide investment in Overseas Territories where the conditions are right for substantial public investments to help stimulate private sector led economic growth. In the past year this has led to impor tant progress, including: - St Helena, where the ear thworks for the new airpor t are now two thirds complete. The airpor t is on schedule to open in early 2016. Preparatory work has also begun on the construction of a new wharf which will allow cargo vessels to dock directly on the island for the first time. - Initial geothermal testing on Montserrat has been completed, allowing work to begin on the design of a power plant and the transmission line which will feed the electricity generated by geothermal power into the island's grid. Geothermal power offers the prospect of cheaper and cleaner energy for Montserrat. It is designed to help attract new businesses to the island, generate revenues for the Montserrat Government and lead to a gradual reduction in the need for UK financial assistance. - In the Turks and Caicos Islands, a UK government loan guarantee of a $239 million continues to save the Turks and Caicos Islands millions of dollars a year. During 2013, technical assistance from DFID helped ensure that the Turks and Caicos Islands Government stayed on track to refinance at a low and sustainable debt level when the current guarantee expires in 2016. 3.18 In return for these major investments from DFID, Overseas Territories governments are committed to doing everything they can to improve the investment climate and to reduce their dependence on UK subsidies. ## Delivering Through Multilateral Organisations 4.1 The following pages in this chapter offer a repor t on the mulitlateral organisations covered by the Multilateral Aid Review (MAR)1 in receipt of at least £20 million per year.2 Each repor t includes: a summary of what the organisation does, including how it contributes to the Millennium Development Goals (MDGs); DFID funding to the organisation; what the organisation spends in each sector; the organisation's main achievements; and the MAR assessment score (2011) and the rating from the MAR Update3 (2013). 4.2 Examples of key achievements by the other multilaterals covered in the MAR are outlined at the end of the chapter in Table 4.1. Some information on administrative costs is included though it should be noted that the classification and repor ting of administrative costs varies across multilaterals and over time within multilaterals. This makes it difficult to compare administrative spend across organisations, and also makes tracking cost changes over time difficult. DFID is working with par tners and organisations to increase the transparency and usefulness of administrative cost data by agreeing a common approach and repor ting method. 4.3 The UK wants to make sure that funding to multilaterals has the greatest possible impact on the lives of the poorest people in the world. That is why, in 2011, the Coalition Government established the Multilateral Aid Review to assess the value for money of DFID's central funding of 43 different multilateral organisations. The review influenced spending decisions and was recognised by the UK Parliamentary International Development Committee as making "a real contribution to the efficiency of the multilateral system". 4.4 In 2013, DFID under took an Update of the MAR to assess progress on specific reform priorities. The Update showed that all the organisations it continued to fund have made improvements over 2 years. Some organisations were asked to make urgent reforms if they wanted investment to continue (known as 'special measures agencies') - and they have all made progress. Other multilaterals, which were already doing well, are doing even better. However, not all organisations have made the changes DFID expected of them. This was the case in areas such as the empowerment of girls and women, driving greater transparency and accountability, and paying sufficient attention to costs and ensuring value for money and the appropriate level of administration costs. Work continues to suppor t improvements in these areas. 4.5 DFID delivered 45% of its total programme expenditure in 2013–14 through central funding to multilateral organisations (£4.4 billion4 out of a total programme spend of £9.9 billion). Provisional figures5 show that in 2013–14 DFID's main multilateral delivery par tners were the European Commission, International Financial Institutions (IFIs, including the World Bank and the African and Asian Development Banks), the Global Funds (including the GAVI Alliance, the Global Fund to Fight AIDS, Tuberculosis and Malaria, and UNITAID) and the United Nations and Commonwealth. Figure 4.1 shows the distribution of DFID's core funding across these organisations. 4.6 Alongside core funding, DFID also provides non-core funding to multilateral organisations to deliver specific programmes, usually within a par ticular country or region, or within a cer tain theme such as sanitation or education. Information on both core and non-core funding is shown in each of the one-page summaries on selected multilaterals later in this chapter. 4.7 Multilateral organisations make a critically impor tant contribution to achieving international development and humanitarian objectives globally, including in countries where DFID has no bilateral presence. As shown in Figure 4.2, the majority of funding from multilaterals goes to Africa and Asia. 4.8 Throughout this chapter the following colour coding is used to indicate which MDGs the multilateral contributes towards, and to what degree. The lighter shade shows that a multilateral contributes to this MDG The darker shade shows where work towards this MDG is a significant part of the multilateral's work No shading indicates that the multilateral has no par ticular focus on this MDG indicator ## 4.9 The Scores Used In The Mar And The Mar Update Are Shown Below. \| MAR (2011) summary \| Basis for rating \| \|-----------------------------------------------------------------------------\|---------------------\| \| 4 \| \| \| Very good value for money for UK aid \| \| \| 3 \| \| \| Good value for money for UK aid \| \| \| 2 \| \| \| Adequate value for money for UK aid \| \| \| 1 \| \| \| Poor value for money for UK aid \| \| \| Basis for rating \| MAR Update overall \| \| progress rating \| \| \| Significant progress in all components OR significant progress in most \| \| \| components outweighs reasonable, some or no progress in others \| \| \| 4 \| \| \| 3 \| \| \| Reasonable progress in all components OR reasonable progress in most \| \| \| components outweighs some and no progress in others OR significant progress \| \| \| in some components balances some and no progress in others \| \| \| Some progress in all or most components OR reasonable progress in some \| \| \| components balances no progress in others \| \| \| 2 \| \| \| Little or no progress in most components not balanced by significant, \| \| \| reasonable or some progress elsewhere \| \| \| 1 \| \| ## African Development Bank Multilateral summary The African Development Bank (AfDB) group is owned and funded by its member countries and provides loans and grants to African governments and private companies investing in Africa's regional member countries. The African Development Fund (AfDF) is the concessional lending arm of the AfDB. The AfDB is committed to reducing pover ty and promoting sustainable economic and social development in Africa. In 2014, donor countries, including the UK, agreed to contribute approximately $7.3 billion to the concessional fund between 2014 and 2016. This money has provided loans and grants to 40 of the poorest African countries. Priority areas for the AfDB are: inclusive growth/ transition to sustainable growth, infrastructure development, regional integration, private sector development with special emphasis given to fragile states, agriculture and food security, and gender . Contribution to the MDGs The AfDB is involved in all 8 MDGs at various levels, par ticularly the reduction of extreme pover ty and hunger . The Bank also focuses on improving the enabling conditions for sustainable growth, including infrastructure and private sector development. Key achievements In 2013, as a result of AfDB's suppor t - 921,000 people have gained access to new or improved water and sanitation - 2.6 million people have new or improved electricity connection - over 7.2 million people have improved access to transport connections ## Multilateral Aid Review 2011 Dfid'S Engagement ## Multilateral Aid Review 2013 2 Some progress on average across reform areas 3 Good value for money for UK aid The UK has around a 1.7% shareholding in the AfDB (the seventh largest non-regional shareholder and 17th largest overall). The UK delegation to the Bank sits within a constituency office comprising of Italy , the Netherlands and the UK. The UK currently holds the Executive Director position in this constituency . Funding to AfDB Between 2010–11 and 2012–13, DFID provided £595 million to AfDB, 94% of which was core funding including for the Multilateral Debt Relief Initiatives (MDRI). DFID provided £205 million to AfDB in 2013–14, 98% of which was core funding. AfDB spend by sector In 2013, the AfDB group approved 202 operations totalling Unit of Account1 (UA) 4.4 billion, with an administrative cost level of 7%. Total approvals for loans and grants amounted to UA 2.3 billion. ## Afdb Approvals, 2013 ## Asian Development Bank Multilateral summary The Asian Development Bank (AsDB) is owned and funded by its member countries and provides loans and grants to governments and private companies investing in its regional member countries in Asia and the Pacific. AsDB is committed to tackling pover ty reduction and delivering the MDGs through the promotion of inclusive economic growth, environmentally sustainable growth, and regional integration. AsDB has a strong focus on infrastructure (transpor t, energy, water and sanitation) and works closely with par tner countries, other multilaterals including the World Bank, and bilateral donors including the UK. The Asian Development Fund (AsDF) is the concessional lending arm of the AsDB. In 2013, donor countries, including the UK, agreed to contribute approximately $4.6 billion between 2013 and 2016. This money will provide loans and grants to the 30 least developed of its 48 regional members. AsDB spend by sector In 2013, AsDB approved operations totalling $21.0 billion, with an administrative cost level of 4% of total approved operations. In 2013, $8.5 billion of loans and grants were disbursed. Contribution to the MDGs AsDB contributes to the MDGs through its focus on pover ty reduction and investment in core MDG sectors such as transpor t, energy, water , financial services and education. It also suppor ts the collection of statistics to monitor progress towards achieving the MDGs in Asia and the Pacific. Key achievements - AsDB assistance in 2013 enabled 92,000 households to get connected to electricity, 1,003,000 to a water supply and 549,000 to sanitation. AsDB also provided microfinance loans to 831,000 borrowers, mostly to women - AsDB provided nearly $900 million in assistance for immediate recovery effor ts and long term reconstruction and rehabilitation following Typhoon Haiyan which struck the Philippines with devastating effect on 8 November 2013 ## Multilateral Aid Review 2011 Dfid'S Engagement Multilateral Aid Review 2013 3 Reasonable progress on average across reform areas 4 Very good value for money for UK aid The UK has around a 2% shareholding in the AsDB (the 7th largest non-regional shareholder and 14th largest overall). The UK delegation to the Bank sits within a constituency office comprising Austria, Germany , Luxembourg and Turkey . The UK currently holds the Alternate Executive Director position in this constituency . Funding to the AsDB Between 2010–11 and 2012–13, DFID provided £171 million to AsDB, 68% of which was core funding. DFID provided £74 million to AsDB in 2013–14, 80% of which was core funding. ## Asdb Loans And Grants, 2013 Water supply and other municipal infrastructure and services 9.1% Multisector 8% Public sector management 5.7% Agriculture and natural resources 5% Education 3.7% Health and social protection 2.6% Industry and trade 0.3% ## Central Emergency Response Fund Multilateral summary The Central Emergency Response Fund (CERF) aims to provide timely and flexible humanitarian funding in the immediate aftermath of rapid onset disasters, and reduces critical gaps in chronically under funded emergencies. Contribution to the MDGs Humanitarian assistance is often a major source of suppor t for pover ty reduction in chronically poor , fragile and conflict-affected countries where progress on the MDGs has been slowest. It can help vulnerable communities reduce vulnerability to crisis, protect their assets during shocks and prevent them from falling into deeper pover ty . ## Key Achievements In 2013, Cerf Provided: - $47.4 million to help people in Sudan affected by heavy rains and flooding. Allocations include distributions of water and sanitation, lifesaving ser vices for the displaced population, health and food - $40.4 million for operations in Syria to suppor t up to 4 million people (including 2 million children), including distribution of food and non-food items, and water and sanitation - $74.5 million to fund humanitarian operations in 13 countries. Allocations include $19.8 million to Somalia to suppor t relief work in poorly funded clusters including food security, nutrition, protection and health, and $10 million to Pakistan for emergency lifesaving nutrition services and emergency shelter ## Multilateral Aid Review 2011 Dfid'S Engagement 4 Very good value for money for UK aid DFID engages with CERF through CERF's Advisory Group (CAG). This is a useful forum to press for the limited number of reforms DFID expects CERF to address and to ensure good progress continues. Multilateral Aid Review 2013 2 Some progress on average across reform areas £141 million to CERF DFID provided £70 million to CERF in 2013–14. CERF spend by sector In 2013, CERF's total expenditure was $482 million, with 10% as administrative costs. Administrative costs are arrived at by aggregating the programme suppor t costs of both implementing par tners and the UN. ## Cerf Disbursement Of Funds, 2013 rule of law 5.1% UN Humanitarian Air Service 2.7% Camp management 2.4% Logistics 1.3% Education 1.1% Mine action 0.7% Telecom and data 0.6% Security 0.4% Economic recovery and infrastructure 0.3% ## Climate Investment Funds Multilateral summary The Climate Investment Funds (CIFs) are trust funds which aim to deliver large scale finance in the form of grants and loans to suppor t developing countries' own plans for low carbon, climate resilient development. Funds are delivered through the multilateral development banks. The CIFs enable developing countries to pilot new, innovative and transformational approaches at scale, and they are increasingly leveraging private finance. Currently 48 developing countries are benefiting Funding to CIFs Between 2010–11 and from CIF suppor t. Approximately $8 billion has been 2012–13, DFID provided pledged to the CIFs by 14 donor countries and over £391 million to CIFs. DFID 50 developing countries are involved as equal par tners provided £13 million to in decision making or as recipients of finance. CIFs in 2013–14. - $839 million for the Clean Technology Fund, of which $10.5 million (1%) was administrative costs Contribution to the MDGs By advancing low carbon and climate resilient development, the CIFs are combating the effects of climate change across many sectors, and thus reducing the threat of the attainment of the MDGs. - $520 million for the Strategic Climate Fund (covering the Pilot Programme for Climate Resilience, the Forest Investment Programme and the Scaling Up Renewable Energy Programme), $30.9 million (6%) of which was administrative costs Key achievements The CIFs' results are expected to be realised over the long term in a 5 to 30 year period. - in 2013, the CIFs approved 44 projects in 27 countries (including one regional programme) which will increase renewable energy, transpor t and energy efficient infrastructure; increase the number of people suppor ted to cope with the effects of climate change; reduce deforestation and degradation; and increase sustainable land management practices. - 2,626 MW of installed renewable energy capacity are repor ted to have been achieved by early implementers. ## Multilateral Aid Review 2011 Dfid'S Engagement Multilateral Aid Review 2013 3 Good value for money for UK aid The UK currently has a single seat on all the committees and sub-committees. There are more donors than donor seats and this is managed informally . The UK successfully ensured that key priorities are reflected in the CIFs, for example securing a strong focus on gender . 3 Reasonable progress on average across reform areas CIFs spend by fund In 2013, the total expenditure for each of the two trust funds which make up the CIFs was: ## European Development Fund Multilateral summary The European Development Fund (EDF) is the main funding instrument for European Commission (EC) development spending in 78 African, Caribbean and Pacific countries (ACPs) and 25 European Union (EU) overseas countries and territories. The EDF is a separate Member State fund that sits outside the EU's budget. The EDF has a strong poverty focus with 80% of funds going to low income countries. Its size, focus on poverty and cross-cutting development impact makes the EDF critical for progress on the MDGs and poverty reduction. Contribution to the MDGs EU co-operation across the world is focused on achieving the MDGs. The 2011 ' Agenda for Change' policy document reaffirmed that the objective of EU assistance is poverty elimination in the context of sustainable development, including pursuit of all of the MDGs. In December 2011, the EC launched an initiative worth €1 billion for projects targeting the most off-track MDGs, including hunger , child mortality , maternal health, and water and sanitation. ## Key Achievements In 2012: - the EDF invested €233 million in health sector projects in 49 countries in Africa, the Caribbean and the Pacific - the European Investment Bank approved operations in Africa, the Caribbean and the Pacific that will help suppor t or create 2.4 million jobs - the EU approved projects that will provide access to electricity to more than 2.6 million people across Africa, the Caribbean and the Pacific ## Multilateral Aid Review 2011 Dfid'S Engagement ## Multilateral Aid Review 2013 2 Some progress on average across reform areas 4 Very good value for money for UK aid The EDF is a fund managed on behalf of EU Member States by the EC. EDF decisions are taken by a Member State committee, by consensus wherever possible. The UK also uses its position in the Council of the EU to influence EU development policy . The UK contribution to the EDF is 14.8%, giving an equivalent voting weight. Funding to EDF Between 2010–11 and 2012–13, DFID provided £1,180 million to the EDF all of which was core funding. DFID provided just over £400 million to the EDF in 2013–14. EDF spend by sector In 2012, the EDF disbursed €3.1 billion wor th of official development assistance. ## Edf Disbursement Of Funds, 2012 European Union Budget, Development And Humanitarian Aid And Civil Protection (Echo) Departments Of The European Commission Multilateral summary Development investment provided through the European Union (EU) budget funds programmes in Asia, Latin America, Eastern Europe, the Middle East and Nor th Africa. It also funds some thematic programmes and the EU's humanitarian assistance, through ECHO. EU budget-development spend In 2012, the EU budget-development (excluding the EDF) disbursed €6.5 billion wor th of official development assistance. Contribution to the MDGs The 2011 'Agenda for Change' policy document reaffirms that the objective of EU aid is pover ty elimination in the context of sustainable development, including pursuit of all of the MDGs. Humanitarian assistance is currently a major source of suppor t for pover ty reduction in chronically poor , fragile and conflict-affected countries where progress on the MDGs has been slowest. Key achievements - disbursed between 2009 and 2011, the EU's €1 billion food facility has improved the lives of over 59 million people in 49 countries through, for example, a livestock vaccination programme that resulted in the inoculation of around 45 million livestock - in 2012, the European Investment Bank approved operations outside the Africa, Caribbean and Pacific regions that will help suppor t or create 900,000 jobs - in 2013, ECHO's humanitarian assistance reached 124 million people ## Multilateral Aid Review 2011 Dfid'S Engagement 4 ECHO Very good value for money for UK aid ## Multilateral Aid Review 2013 2 EU budget Adequate value for money for UK aid The EU budget-development is managed by the EC. Funding is split by regional and thematic lines, with decisions taken by committees for the regional instruments. The UK uses its position in the Council of the EU to influence EU development policy . The UK is a Member State of the EU and contributed 15.6% of the EU budget in 2013. 2 EU budget Some progress on average across reform areas 2 ECHO Some progress on average across reform areas ## Funding To Eu Budget-Development And Echo Between 2010–11 And 2012–13, DFID provided £2.4 billion to the EU budget-development, around 99% of which was core funding. DFID provided approximately £780 million in 2013–14, 97% of which was core funding. ## Ec Budget Oda Disbursements, 2012 ## Food And Agriculture Organisation Multilateral summary The Food and Agriculture Organisation (FAO) provides technical assistance and policy advice at country and global level to support increased food production, rural development, and sustainable use of natural resources. FAO provides the platform to negotiate international treaties and agree normative standards and guidelines on food and agriculture issues. It leads the humanitarian agriculture cluster in response to emergency situations, such as floods, droughts and earthquakes. FAO spend by sector The total FAO budget for the biennium 2012–13 was $2.4 billion, with around 58% provided through voluntary contributions. The largest part of the budget delivered food and agriculture outcomes, with 6% budgeted as administrative costs that include: financial stewardship and reporting, procurement, HR management and facilities management. Contribution to the MDGs The FAO focuses on MDG1, eradicating extreme hunger and poverty by: supporting sustainable management of natural resources to increase productivity and improve food security . This includes supporting gender equity in access to resources, goods, services and decision-making in rural areas; building global partnerships, including through monitoring and assessment of long term trends; provision of information, policy advice, knowledge and statistics; and development of international instruments, norms and standards. Key achievements - following typhoon Haiyan in the Philippines, FAO ensured that affected rice farmers could plant in time for the December planting season. The rice production packages provided to 44,000 affected families in 2013 will yield enough to feed more than 800,000 people for more than a year - in 2013, the FAO supported the enhancement of Kenya's National Livestock Disease Surveillance Coverage using new digital pen technology, enabling disease reports to be incorporated into the national database in a matter of seconds instead of a month ## Multilateral Aid Review 2011 Dfid'S Engagement 1 Poor Value For Money For Uk Aid Multilateral Aid Review 2013 through DFID's UK Permanent Representation to the UN Agencies in Rome. ## 3 Reasonable Progress On Average Across Reform Areas Funding to FAO Between 2010–11 and 2012–13, DFID provided £109 million to FAO, 48% of which was core assessed funding. DFID provided £87 million to FAO in 2013–14, 44% of which was core assessed funding. The UK is a member of the FAO Conference and Council, and co-ordinates positions with the EU group. Direct engagement with FAO is ## Gavi Alliance Multilateral summary The GAVI Alliance is a public-private par tnership which aims to save children's lives and protect people's health by increasing access to immunisation in developing countries. As well as traditional donor contributions, GAVI has raised additional predictable finance for immunisation through the International Finance Facility for Immunisation (IFFIm) and the Advance Market Commitment (AMC). GAVI currently provides suppor t to the 73 least developed countries and most fragile states. Fifty six countries are eligible for new GAVI suppor t based on their gross national income (GNI) per capita being below or equal to $1,570. GAVI spend by sector In 2013, GAVI's total operating expenditure is estimated to be $1.6 billion, including around $49 million (3%) in overhead costs/administrative costs. Contribution to the MDGs Immunisation is impor tant for driving MDG progress. Vaccines prevent over 2.5 million child deaths each year and protect children from disability, enabling families to break out of a cycle of pover ty and ill health (MDG 1). A total of $8.2 billion was committed for programmes between 2000 and 2013. 79% of funds were committed to the procurement of vaccines, which are delivered to country . ## Total Gavi Funds Committed, 2013 GAVI makes its biggest contribution to MDG 4, reducing child mor tality through suppor t for vaccines against pneumococcal and rotavirus diseases. It has an impact on MDG 5: through suppor t for the vaccine to prevent Human Papilloma Virus (HPV) which causes cervical cancer , a leading killer of women in sub-Saharan Africa. ## Key Achievements In 2013, Gavi: - suppor ted the immunisation of over 48 million additional children - contributed to preventing more than 900,000 additional future deaths - reduced the total cost to fully immunise a child with pentavalent, pneumococcal and rotavirus vaccines by 37% from $35 in 2010 to $22 in 2013 ## Multilateral Aid Review 2011 Dfid'S Engagement Multilateral Aid Review 2013 4 Very good value for money for UK aid As par t of the UK/Canada/Ireland donor constituency , DFID sits directly on the GAVI Alliance Board, Governance Committee, Policy and Programme Committee and is represented on the Audit and Finance Committee. The UK provided 32.4% of GAVI funds during 2011–15. 3 Reasonable progress on average across reform areas Funding to GAVI Between 2010–11 and 2012–13, DFID provided £376 million to GAVI (including IFFIm and AMC), 96% of which was core funding. DFID provided £387 million to GAVI in 2013–14, 89% of which was core funding. ## Global Environment Facility Multilateral summary The Global Environment Facility (GEF) is the principal agency suppor ting developing countries in implementing international agreements on climate change, biodiversity, land degradation, international waters, dangerous chemicals and protection of the ozone layer . It provides finance for technical suppor t and training and to meet the incremental costs of innovative pilot investments that yield global and local benefits, for example in renewable energy . GEF finance is channelled through 10 multilateral banks and UN agencies. Currently , 144 countries are eligible for GEF support. Approximately $4.3 billion was pledged by 35 donors for the current, fifth replenishment period (GEF5, 2010–14). Contribution to the MDGs By suppor ting improved environmental management as an integral par t of sustainable development - including climate change, biodiversity and drylands management - the GEF programmes strengthen a range of sectors, including agriculture, forestry and energy which are crucial to achieving and sustaining the MDGs. Key achievements UK funding for GEF5 is contributing to the following results: - demonstration of 3 to 4 innovative energy technologies in 10 to 15 countries - 0.5 gigawatt new renewable energy capacity installed - conser vation and management of 170 hectares of protected areas - sustainable use and management of biodiversity in 60 hectares of production landscapes and/or seascapes - 500 million tonnes of CO2 equivalent avoided ## Multilateral Aid Review 2011 Dfid'S Engagement 3 Good value for money for UK aid The UK is a member of the GEF Council, the main governing body for the GEF . ## Multilateral Aid Review 2013 3 Reasonable progress on average across reform areas Funding to GEF Between 2010–11 and 2012–13, DFID provided £193 million to GEF , all of which was core funding. DFID provided £53 million to GEF in 2013–14. GEF spend by sector The total GEF5 budget for 2010–14 is $4.3 billion, 3% of which is allocated to corporate activities. ## Gef5 Indicative Allocation, 2010–2014 Small grants 3.3% Sustainable Forest Management/ Reducing Emissions from Deforestation and Forest Degradation 5.9% Outreach to private sector 1.9% Corporate budget 2.8% ## Global Fund To Fight Aids, Tuberculosis And Malaria Multilateral summary The Global Fund to Fight AIDS, Tuberculosis and Malaria (GFATM) is a global public-private par tnership that raises and disburses funds to prevent and treat HIV/AIDS, tuberculosis (TB) and malaria. It has suppor ted over 1,000 programmes, and accounts for 20% of all international funding for HIV/ AIDS, 75% of international TB funding, and 66% of international funding for malaria. Contribution to the MDGs Since its creation in 2002, GFATM has become the biggest multilateral funder of health-related MDGs, directly contributing to MDGs 4, 5 and 6. Due to strong country-owned programmes, increased funding and recent scientific advances, the MDG targets for HIV/AIDS, TB and malaria have been achieved. Globally it is estimated that new HIV infections have fallen by 30% between 2001 and 2012; malaria mor tality rates by 42% in all age groups between 2000 and 2012; and the TB mor tality rate has been reduced by 45% between 1990 and 2012. Key achievements In 2013 alone, through GFATM suppor ted programmes: - 1.9 million people received antiretroviral (ARV) therapy - 670,000 HIV positive women received ARV prophylaxis for prevention of mother to child transmission (PMTCT) - 1.5 million new TB cases were detected and treated ## Multilateral Aid Review 2011 Dfid'S Engagement Multilateral Aid Review 2013 4 Very good value for money for UK aid As par t of the UK/Australia constituency , DFID sits on the GFATM Board and will sit on the Strategic Impact and Investment Committee from 2014–15. On average over the 2013–14 period DFID was a 9.4% shareholder . 3 Reasonable progress on average across reform areas Funding to GFATM Between 2010–11 and 2012–13, DFID provided £606 million to GFATM, almost all of which was core funding. DFID provided £543 million to GFATM in 2013–14, all of which was core funding. GFATM spend by sector In 2012, the total GFATM grant expenditure was $1.2 billion, including around $222 million (18%) in human resources, planning and administrative costs; including employment costs, fund agent fees and operating expenses. A total of $25.1 billion was committed for programmes between 2002 and 2013 and allocated by disaese as follows. ## Gfatm Programme Approvals, 2002–2013 ## Global Partnership For Education Multilateral summary The Global Par tnership for Education (GPE) is the only multilateral organisation exclusively focused on suppor ting poor countries to educate children from pre-primary to the end of secondary school. GPE is comprised of nearly 60 developing countries, as well as donor governments, the private sector, civil society, teachers, and multilateral organisations Contribution to the MDGs GPE directly contributes to MDGs 2 and 3, and indirectly suppor ts others. Half the reduction in child mor tality over the past 40 years can be attributed to better education of women, and about 171 million people could be lifted out of pover ty if all students in poor countries left school with basic reading skills. GPE suppor ts this by financing the development and implementation of countries' education sector plans through a co-ordinated process involving donors, developing countries, civil society and teacher representatives. Key achievements - in 2012, GPE suppor ted over 4.5 million children in primary education, including 2.2 million girls - in 2012, GPE suppor ted over 400,000 children in lower secondary school, including approximately 189,000 girls - joining the Par tnership is associated with an average 12% increase in primary completion rate for developing countries and a 10% increase in domestic financing ## Multilateral Aid Review 2011 Dfid'S Engagement ## Multilateral Aid Review 2013 3 Reasonable progress on average across reform areas 4 Very good value for money for UK aid DFID shares a Board constituency with Canada and holds the Board seat. In addition it sits on the Country Grants and Performance Committee and the Co-ordinating Committee, and Canada represents us on the Governance and Finance Committee. Since inception, DFID has contributed around 23% of GPE's funding. Funding to GPE Between 2010–11 and 2012–13, DFID provided £248 million to GPE, all of which was core funding. DFID provided £60 million to GPE in 2013–14, all of which was core funding. GPE spend by country All programme funding to GPE suppor ts education. In 2013, spending on programme implementation grants totalled $335 million. Administrative costs were $16 million in 2013 (5% of programme disbursements). ## Gpe Programme Implementation Grants By Countries, 2013 International Committee Of The Red Cross Multilateral summary The International Committee of the Red Cross (ICRC) is an independent, neutral organisation that directs and co-ordinates the international relief activities of the Red Cross and Red Crescent during armed conflicts. It works in some of the most difficult and fragile conflict environments in the world, providing protection and assistance to those affected. Contribution to the MDGs ICRC's primary objective is to save lives and protect the dignity of victims of armed conflict. ICRC contributes to the MDGs and pover ty reduction through its focus on providing humanitarian assistance in conflict countries. ICRC spend by sector In 2013, ICRC's total expenditure was Swiss Francs (CHF) 1,234 million, with 10% as administrative costs. The total operational activities amounted to CHF1,045 million, with most spent on assistance. Humanitarian assistance is often a major source of suppor t for pover ty reduction in chronically poor , fragile and conflict-affected countries where progress on the MDGs has been slowest. It can help communities reduce their vulnerability to crisis, protect their assets during shocks and prevent them from falling into deeper pover ty . ## Key Achievements In 2013, Icrc: - improved water, sanitation and construction work in 58 countries, helping some 28.7 million people worldwide - provided food aid to 6.8 million people in 55 countries worldwide - enabled 11.5 million people to benefit from ICRC-suppor ted healthcare facilities ## Multilateral Aid Review 2011 Dfid'S Engagement Multilateral Aid Review 2013 3 Reasonable progress on average across reform areas 4 Very good value for money for UK aid The UK is an active member of the Donor Suppor t Group (DSG) which holds annual meetings and is attended by the top donors. The UK also par ticipates in DSG Policy Forum discussions held more regularly during the year . The UK is ranked second of ICRC's donors (in 2013), accounting for 13.4% (CHF163.2 million) of all contributions received by ICRC. Funding to ICRC Between 2010–11 and 2012–13, DFID provided £194 million to ICRC, 46% of which was core funding. DFID provided £117 million to ICRC in 2013–14, 47% of which was core funding. ## Private Infrastructure Development Group Multilateral summary The Private Infrastructure Development Group (PIDG) aims to address market and institutional failures that constrain the private sector's involvement in infrastructure development in order to foster economic growth and reduce pover ty . First established in 2002 to launch the Emerging Africa Infrastructure Fund, the PIDG has developed a por tfolio of companies and facilities. The PIDG currently has 9 members. Contribution to the MDGs PIDG directly contributes to MDG 1 and contributes to MDG 7. PIDG spend by sector PIDG facilities committed a total of $104 million to 19 projects in 2013 and $14 million to 14 technical assistance grants. By the end of 2013, PIDG facilities had committed $1.6 billion to 151 projects and $32 million to 83 technical assistance grants. Cumulative administrative costs from 2002 were 2% of total commitments. Key achievements By the end of 2013, 187,900 permanent jobs had been created by the 46 PIDG suppor ted projects that were operational. - 35 projects suppor ted by PIDG facilities are now operational - These 35 projects are delivering new or improved infrastructure to 98 million people - The 35 projects have attracted $10.2 billion of private sector investment in infrastructure - In addition, the Infrastructure Development Collaboration Par tnership Fund (DevCo) has provided transaction suppor t on another 11 projects that are now operational - These 11 projects are delivering new or improved infrastructure to 15 million people - The 11 projects have attracted £0.8 billion of private sector investment in infrastructure ## Multilateral Aid Review 2011 Dfid'S Engagement ## Multilateral Aid Review 2013 4 Very good value for money for UK aid For 2014, DFID is chairing the PIDG Council which meets every 6 months. DFID has quar terly meetings with all the PIDG facilities that it suppor ts. The National Audit Office is carrying out a value for money study of the PIDG in 2014. 3 Reasonable progress on average across reform areas Funding to PIDG Between 2010–11 and 2012–13, DFID provided £144 million to PIDG facilities. DFID provided £152 million to PIDG in 2013-14, 96% of which was core funding. Since PIDG's inception in 2002, DFID has been the largest contributor . ## Pidg Cumulative Commitments To 2013 Industrial infrastructure 12.7% Agri-infrastructure 4.5% Housing 4.4% Mining 2.4% Multisector 2.1% Water, sewage and sanitation 0.8% Urban development/infrastructure 0.1% ## United Nations Development Programme Multilateral Summary The United Nations Development Programme (Undp) provides assistance to 177 countries and has a leading role across a wide por tfolio, par ticularly in fragile and conflict-affected countries. Its mandate covers pover ty reduction and achieving the MDGs, democratic governance, crisis prevention and recovery, environment and sustainable development. UNDP has a central role in framing and implementing the new post-2015 global development goals. Cross-cutting themes such as gender equality and capacity building are also par t of UNDP's work. As well as delivering development programmes, UNDP is the UN's principal provider of development advice, advocacy and grant suppor t. It has a critical role in suppor ting the UN development system's collective impact. It funds and manages the UN's resident co-ordinators who lead the UN system in developing countries and it administers many of the UN's multidonor trust funds. ## Undp Programme Expenditure, 2012 Contribution to the MDGs UNDP has a direct programmatic role on a number of MDGs and, combined with its role in supporting the international system's understanding of and commitment to MDGs, is central to their delivery . Key achievements - annual repor ting from country offices shows that in 2013 over 43 million new voters were registered as a result of UNDP effor ts in election cycle management, and, across 13 countries, over 96 million additional people voted in elections - in 2013, UNDP suppor t generated 6.5 million jobs and livelihoods in 113 countries, of which 58% were for women ## Multilateral Aid Review 2011 Dfid'S Engagement Multilateral Aid Review 2013 2 Some progress on average across reform areas 3 Good value for money for UK aid UK core funding in 2012–2013 represented 10.3% of total core contributions and makes UK the 3rd largest donor . DFID is a member of the UNDP Executive Board, the Depar tment under takes substantial bilateral engagement through regular programme management and strategic dialogue around the MAR. Funding to UNDP Between 2010–11 and Bar 2012–13, DFID provided £783 million to UNDP , 21% of which was core funding. DFID provided £244 million to UNDP in 2013–14, 23% of which was core funding. UNDP spend by sector In 2012, UNDP's total expenditure was $5.3 billion with $480 million (9%) as administrative costs. Over this period $4.5 billion was spent on development activities. Managing energy and the environment for sustainable development 14.0% Supporting crisis prevention and recovery 24.0% ## United Nations Population Fund Multilateral summary The United Nations Population Fund (UNFPA) is the UN agency mandated to lead on sexual and reproductive health and rights and to suppor t countries in generating and using population data for policies and programmes to reduce pover ty . UNFPA 's task is to ensure that every pregnancy is wanted, every bir th is safe, every young person is free of HIV/AIDS, and every girl and woman is treated with dignity and respect. It works directly with governments and par tners through 128 offices covering 156 countries, and is guided by an internationally agreed framework for population and development. UNFPA spend by sector In 2012, UNFPA 's total expenditure was $810.7 million, of which programme expenses totalled $675.2 million. UNFPA breaks down its spend by outcome area. Contribution to the MDGs UNFPA works on MDG 3 (reduce child mor tality), MDG 5 (improve maternal health and achieve universal access to reproductive health and family planning) and MDG 6 (combat HIV and AIDS, malaria and other diseases). ## Unfpa Programme Spend, 2012 Key achievements - UNFPA met 25 of 27 of its development targets for 2012, covering 7 outcome areas - UNFPA established a secretariat to lead a global review of progress towards achieving the Programme of Action of the 1994 International Conference on Population and Development (ICPD) - the international agreement that guides UNFPA's work worldwide - UNFPA was a key actor in the 2012 Family Planning Summit, which led to $2.6 billion in new commitments from donor nations - with UNFPA suppor t, 47 countries increased their own capacities for financing or providing reproductive health supplies and ser vices in 2012 ## Multilateral Aid Review 2011 Dfid'S Engagement Multilateral Aid Review 2013 2 Adequate value for money for UK aid DFID is a member of the Executive Board which meets three times per year . DFID also under takes significant bilateral engagement as it under takes regular programme management, and follows up on the MAR. 2 Some progress on average across reform areas Funding to UNFPA Between 2010–11 and 2012–13, DFID provided £280 million to UNFPA, 21% of which was core funding. DFID provided £120 million to UNFPA in 2013–14, 17% of which was core funding. HIV - and sexually transmitted infection - prevention services 5.0% Gender equality and reproductive rights 11.4% Young people's sexual and reproductive health and sexuality education 6.5% Data availability and analysis 10.9% Programme co-ordination and assistance 9.9% ## United Nations High Commission For Refugees Multilateral summary The United Nations High Commission for Refugees (UNHCR) leads and co-ordinates international action to protect refugees and resolve refugee problems worldwide. Its main purpose is to safeguard the rights and well-being of refugees. It also has a mandate to help stateless people. Contribution to the MDGs Humanitarian assistance is often a major source of suppor t for pover ty reduction in chronically poor , fragile and conflict-affected countries where progress on the MDGs has been slowest. It can help vulnerable communities reduce vulnerability to crisis, protect their assets during shocks and prevent them from falling into deeper pover ty . UNHCR spend by sector In 2013, the total UNHCR expenditure was $3.0 billion, with $193.5 million (6%) as administrative costs (taken to be the total cost of headquar ters). Detailed information on UNHCR spend by programme in 2012 is shown below. UNHCR's unique mandate and capability on the ground make the agency critical to delivering UK humanitarian priorities against the direct delivery of the MDGs. ## Key Achievements In 2013, Unhcr: - the number of internally displaced people (IDPs) protected/assisted by UNHCR, including people in IDP-like situations, was 23.9 million - 63% of UNHCR operations repor ted having legislation in their countries protecting the rights of HIV-positive asylum seekers, an increase from 51% in 2008 - 94% of UNHCR operations had ensured 24 hour, 7 day a week access to emergency obstetric care for refugees ## Multilateral Aid Review 2011 Dfid'S Engagement 3 Good value for money for UK aid ## Multilateral Aid Review 2013 2 Some progress on average across reform areas Funding to UNHCR Between 2010–11 and 2012–13, DFID provided £173 million to UNHCR, 62% of which was core funding. DFID provided £98 million to UNHCR in 2013–14, 25% of which was core funding. ## Unhcr Programme Expenditure, 2012 The UK is an active member of the Executive Committee (ExCom) which meets once a year . The ExCom's Standing Committee, which the UK also attends, meets several times each year to carry on the body's work between plenary sessions. ## United Nations Children'S Fund Multilateral summary The United Nations Children's Fund (UNICEF) is the UN agency mandated to advocate for the protection and promotion of the rights of the child, to meet children's basic needs and expand their oppor tunities to reach their full potential. It works in more than 150 countries on issues such as improving child and maternal health (including through better nutrition and access to water and sanitation), girls' education, and HIV/AIDS. Its legitimacy, authority and universality are a key strength and its neutrality allows it to play a unique role in humanitarian crises, where it is the cluster lead for nutrition, water, sanitation and hygiene, and co lead for education. UNICEF spend by sector In 2012, UNICEF's total expenditure was $3.9 billion. $3.3 billion was spent on direct programme assistance and 12% as management, administrative and programme suppor t costs. 21% of its income was earmarked for UNICEF's role in humanitarian emergencies in 2012. ## Unicef Programme Assistance Spend, 2012 Contribution to the MDGs UNICEF has a critical role in the delivery of the MDGs. It implements at scale packages of services aimed at maternal, newborn and child survival. It advocates for children's rights and protects them from violence, exploitation and abuse, and puts a child focus on other issues such as HIV/AIDS. Its humanitarian response to shocks and disasters also contributes to the MDGs by maintaining progress in key areas such as reducing child mor tality . UNICEF is also promoting an equity approach to achieving the MDGs, aiming to identify the poorest, most vulnerable children and make them the top priority . ## Key Achievements In 2013, Unicef: - suppor ted vaccination of approximately 2.2 million children under 5 in Syria - helped 3.6 million school-aged children, including adolescents, to access basic education ## Multilateral Aid Review 2011 Dfid'S Engagement Multilateral Aid Review 2013 4 Very good value for money for UK aid The UK is an Executive Board Member and DFID was UNICEF's largest donor in 2012. DFID and UNICEF worked together on a successful Por tfolio Delivery Review, in order to strengthen shared strategic oversight of UNICEF's DFID-funded programme por tfolio. 3 Reasonable progress on average across reform areas Funding to UNICEF Between 2010–12 and 2012–13, DFID provided £631 million to UNICEF , 16% of which was core funding. DFID provided £207 million to UNICEF in 2013–14, 19% of which was core funding. ## Unitaid Multilateral summary UNITAID is a unique organisation seeking to impact markets for drugs, diagnostics and preventive inter ventions in HIV/AIDS, tuberculosis (TB) and malaria. It reduces prices, increases access, and acts as a catalyst for companies to produce innovative treatments and formulations. UNITAID's grants are concentrated in poor countries with high disease burdens. The top 10 recipients of suppor t since its inception in 2006 are: Nigeria, Uganda, Kenya, Zambia, India, Tanzania, Ghana, Mozambique, Democratic Republic of Congo, and Zimbabwe. UNITAID spend by sector In 2013, UNITAID's total operating expenses were $148.8 million, with $20.0 million (13%) as administrative costs. UNITAID grant spend amounted to $128.8 million in 2013, broken down by the following sectors. Contribution to the MDGs UNITAID's overall mission aligns closely with MDG 6. UNITAID also contributes to MDGs 4 and 5 through the innovative products it suppor ts which reduce maternal and under 5 mor tality . For example, UNITAID brought the first ever quality paediatric TB medicines to market and is one of the largest providers of quality childfriendly TB medicines. ## Unitaid Total Grants To Implementers, 2013 Key Achievements In 2012, Unitaid: - achieved 10–24% price reductions for four second line anti-retrovirals (ARVs), 7–9% reductions for two paediatric ARVs and a 16% price reduction for specialised TB treatments - provided 32,000 children living with HIV access to quality paediatric ARVs, and 15 new suppliers received approvals for paediatric formulations to treat HIV - suppor ted 12 new suppliers of multi-disease resistant (MDR) TB to enter the market across the three diseases - provided key suppor t to World Health Organization (WHO) to reduce the median number of days taken to prequalify a medicine from 795 in 2011, to 296 in 2012 ## Multilateral Aid Review 2011 Dfid'S Engagement Multilateral Aid Review 2013 2 Some progress on average across reform areas 3 Good value for money for UK aid DFID chairs the Finance Committee and sits on the Board, Policy Committee and the newly formed Executive Committee. The UK helps suppor t UNITAID reform its governance and strengthen its leadership for improved performance. DFID is a 32% shareholder in UNITAID. Funding to UNITAID Between 2010–11 and 2012–13, DFID provided £151 million to UNITAID, all of which was core funding. DFID provided £53 million to UNITAID in 2013–14, all of which was core funding. HIV/AIDS 35.2% Malaria 33.9% Tuberculosis 21.8% Special projects 3.0% Secretariat initiatives 2.8% ## United Nations Office For The Coordination Of Humanitarian Affairs Multilateral summary The United Nations Office for the Coordination of Humanitarian Affairs (OCHA) co-ordinates UN-led responses to humanitarian crises. This includes facilitating needs assessments, mobilising funding and co-ordinating and monitoring the response. Contribution to the MDGs OCHA's focus is on co-ordinating the provision of humanitarian assistance. Humanitarian assistance is often a major source of support for pover ty reduction in chronically poor, fragile and conflict-affected countries where progress on the MDGs has been the slowest. It can help vulnerable communities to reduce their susceptibility to crisis, protect their assets during shocks and prevent them from falling into deeper pover ty. Key achievements - throughout 2013, OCHA suppor ted the humanitarian system to become more efficient, effective and accountable, including through the roll-out of new tools and guidance for assessing humanitarian needs and strategic planning - in 2013, OCHA responded to humanitarian emergencies affecting millions of people in countries such as Syria, Burma, Central African Republic, South Sudan and the Philippines ## Multilateral Aid Review 2011 Dfid'S Engagement 3 Good value for money for UK aid DFID is a member of the OCHA Donor Suppor t Group which advises OCHA on policy , management, budgetary and financial matters. ## Multilateral Aid Review 2013 2 Reasonable progress on average across reform areas Funding to UNOCHA Between 2010–11 and 2012–13, DFID provided £98 million to OCHA, 55% of which was core funding. DFID provided £36 million to OCHA and OCHA-managed funds in 2013–14, 56% of which was core funding. UNOCHA spend by sector In 2013, total OCHA expenditure was £142 million, with £8.5 million (6%) on executive management and administrative costs. Humanitarian financing suppor t 2.0% ## World Bank Group Multilateral summary The 5 institutions of the World Bank Group (WB Group) work together to achieve their shared goal of reducing pover ty and improving lives. The WB Group comprises: the International Bank for Reconstruction and Development (IBRD), which lends to governments of creditwor thy developing countries; the International Development Association (IDA), which provides interest-free loans and grants to governments of the poorest countries; the International Finance Corporation (IFC), which provides investments and advisory services to businesses and governments focusing exclusively on the private sector; the Multilateral Investment Guarantee Agency (MIGA), which promotes foreign direct investment into developing countries; and the International Centre for Settlement of Investment Disputes (ICSID), which provides international facilities for conciliation and arbitration of investment disputes. Contribution to the MDGs The WB Group focuses on generating sustainable growth, including infrastructure and economic governance, and pover ty reduction in developing countries. ## Ibrd/Ida Commitments, Us Fiscal Year 2013 Key achievements In 2012–13, the WB Group suppor ted: - the construction or rehabilitation of 73,101 km of roads - social safety net programmes which covered 104.9 million people - the provision of access to an improved water source for 40.1 million people ## Multilateral Aid Review 2011 Dfid'S Engagement 3 IFC - Good value for money for UK Aid ## Multilateral Aid Review 2013 4 IDA - Very good value for money for UK Aid As one of the Group's largest shareholders, the UK is represented on the WB Group Boards by a dedicated Executive Director . Boards approve all proposed investments from the Group's core resources. DFID also influences Group strategy when it negotiates its contributions to IDA, and it engages at operational level to monitor performance. 3 Reasonable progress on average across reform areas ## Funding To Wb Group The Uk Has A 4.2% shareholding in IBRD, making it the fifth largest shareholder , and a 5% shareholding in IFC, making it the fifth largest shareholder . It typically provides 10–14% of contributions to IDA. Between 2010–11 and 2012–13, DFID's total core funding to the World Bank was £3.0 billion. In 2013–14, DFID provided a further £1.2 billion. WBG spend by sector IBRD and IDA approved operations wor th $31 billion in US fiscal year 2013. Administrative costs were $2.4 billion (8%) of total approvals. Information on IFC expenditure can be found in the IFC Annual Repor t. Economic management 2% Environmental and natural resource management 8% Financial and private sector development 14% Human development 14% Public sector governance 12% Rule of law 2% Rural development 15% Social development, gender and inclusion 4% Social protection and risk management 13% Trade and integration 9% Urban development 9% ## World Food Programme Multilateral summary The World Food Programme (WFP) is the world's largest humanitarian agency. Its core business is to save lives and protect livelihoods in emergencies by providing food assistance. It is one of the very few agencies capable of delivering humanitarian aid at scale in often difficult or dangerous environments. Funding to WFP Between 2010–11 and 2012–13, DFID provided £319 million to WFP , 13% of which was voluntary core funding. DFID provided £294 million to WHO in 2013–14, 7% of which was core funding. WFP spend by sector In 2013, WFP's total expenditure (excluding administrative and programme suppor t costs) was $4.3 billion. Contribution to the MDGs MDG 1: WFP provided food assistance to 80.9 million people in 75 countries; of these 67.9 million were women and children MDG 2: 18.6 million school children received school meals/take home rations MDG 3: 52% of beneficiaries were women or girls MDG 4: 7.8 million malnourished children received special nutritional suppor t MDG 5: 3.0 million vulnerable women received additional nutritional suppor t MDG 6: 1.3 million people affected by HIV/AIDS received WFP food assistance in 31 countries Key achievements - in 2013, WFP responded to 4 significant emergencies in Central African Republic, South Sudan, Syria and the Philippines - the humanitarian emergency in Syria was WFP's largest operation in 2013. By December, WFP had scaled up its response to meet the needs of 4.5 million people. Food assistance included a voucher-based nutrition programme for pregnant and lactating women and supplementary feeding for all children under 2 - in 2013, cash and vouchers represented 20% of WFP's total programme, reaching 7.9 million beneficiaries in 52 countries. Syria was the largest cash and voucher programme, exceeding $300 million ## Multilateral Aid Review 2011 Dfid'S Engagement 3 Good value for money for UK aid Engagement with WFP is led by the UK Mission in Rome, with suppor t from DFID Headquar ters. The UK has a full time seat on the WFP Executive Board and also takes par t in Board events. Multilateral Aid Review 2013 3 Reasonable progress on average across reform areas ## World Health Organization Multilateral summary The World Health Organization (WHO) plays a critical role in setting health guidelines and standards to help countries address public health issues. The UK Depar tment of Health leads on the government's relations with WHO. DFID provides funding for the WHO's operations to strengthen health systems in developing countries, including its global programmes on malaria, polio, family planning, health workforce and tuberculosis, and in humanitarian settings. WHO spend by sector The Programme budget (total expenses for strategic objectives) at 31 December 2013 was $2 billion, of which enabling and suppor t functions were $180 million (8.9%). Contribution to the MDGs WHO provides global leadership on development and humanitarian health matters and is critical for the delivery of the health MDGs, especially in respect of reducing child mor tality; improving maternal health; and combating HIV/AIDS, malaria and other diseases. It brings together multiple players and provides a platform for engagement with countries in translating global norms and standards into clear policies, strategies and practices. ## Who Programme Budget Total Expenditure, 2013 Key Achievements In 2013, Who Contributed To The Following Results: - ensuring health service delivery for 12.2 million people affected by Typhoon Haiyan - over 1.8 million children between the age of 6 months and 15 years old vaccinated against measles, and 2.2 million children under 5 years old vaccinated against polio - by the end of 2013, provided access for 10 million people to antiretroviral therapy in low and middleincome countries ## Multilateral Aid Review 2011 Dfid'S Engagement ## Multilateral Aid Review 2013 3 Reasonable progress on average across reform areas 2 Adequate value for money for UK Aid WHO is governed by the World Health Assembly with representatives from 194 member states. DFID along with the UK Depar tment of Health actively par ticipates in WHO's governing body meetings. The UK will be a board member of the WHO Executive Board star ting in May 2014 for the next 3 years and a member of the WHO Programme, Budget and Administration Committee for the next 2 years. Funding to WHO Between 2010–11 and 2012–13, DFID provided £259 million to WHO, 15% of which was voluntary core funding. DFID provided £166 million to WHO in 2013–14, 9% of which was core funding. malaria 10% Chronic non-communicable conditions 3% Child, adolescent, maternal, sexual and reproductive 6% Emergencies and disasters 9% Risk factors for health 2% Social/economic determinants of health 1% Healthier environment 2% Nutrition, food safety and food security 2% Health systems and services 8% Medical products and technologies 4% WHO leadership, governance and partnerships 6% Enabling and support functions (captures admin costs) 9% ## Table 4.1: Key Achievements Of Other Multilateral Mar Organisations This table includes key achievements for those multilateral organisations included in the MAR Update but not presented earlier in this chapter. Achievements are based on information available as at 7 May 2014, the date the Annual Report was drafted. In some cases this means that information for an organisation's achievements in 2013 was not available, so information for the latest period available has been provided. This is mentioned in the text where it is the case. \| Key achievements \| Multilateral \| \|----------------------------------------------------------------------------------------------------------------------\|-----------------------------------------------------------------------------------------------------------------\| \| organisation \| \| \| UN agencies and Commonwealth \| \| \| OHCHR \| The Office of the High Commissioner for Human Rights (OHCHR) suppor \| \| mandated by the Human Rights Council to Syria and the Democratic People's Republic of Korea and the fact- \| \| \| finding missions to Mali and the Central African Republic. In each case, the COI has been critical in bringing to \| \| \| light a wide range of human rights violations and drawn the attention of the international community to situations \| \| \| and facts which otherwise would have gone unnoticed or not been documented. \| \| \| PBF \| - In Burundi, the Peacebuilding Fund (PBF) funded the demobilisation of combatants to transform the National \| \| Liberation Front into a political par \| ty. It also provided crucial support to elections. \| \| - In Cote d'Ivoire, the PBF enabled the government to re-establish state authority through reform and rehabilitation \| \| \| of policing infrastructure in the capital and rural areas. This was accompanied by training of more than 400 \| \| \| police and 53 traditional leaders in conflict mediation techniques in order to set up a network to support peace. \| \| \| \| \| \| UNAIDS \| The UN Joint Programme on HIV/AIDS (UNAIDS) has spearheaded efforts to increase domestic financing of \| \| the AIDS response, as part of the strategic shift away from traditional development co-operation and funding. \| \| \| Domestic resources now account for more than half of all HIV funding in low and middle-income countries. \| \| \| UNESCO \| The United Nations Educational, Scientific and Cultural Organization (UNESCO) trained and coached 900 \| \| education ministry officials in strategic planning and management. \| \| \| UN Women \| In 2012, with UN Women's assistance, women gained seats in 7 national elections. 26 countries reformed laws and \| \| policies increasing women's access to economic assets and social protection, while 30 improved services \| \| \| for survivors of gender-based violence. 15 nations incorporated gender equality priorities in national plans and \| \| \| budgets. \| \| \| CommSec \| The Commonwealth Secretariat (CommSec) enabled the world's smallest and most vulnerable countries to \| \| share with the G20 Chair and Development Working Group (DWG) members their experiences in addressing \| \| \| their development challenges, and their perspective on key actions needed during the Commonwealth/G20 \| \| \| Development dialogue, held in April 2013. \| \| \| Through its youth programme, the Commonwealth Secretariat has delivered multi-week online interactive training \| \| \| programmes to hundreds of youth workers, officials and youth leaders across Africa, and successfully piloted an \| \| \| on-line Diploma in Youth Development. \| \| \| IFAD \| In 2012, the International Fund for Agricultural Development (IFAD) supported the following: \| \| - 265,000 hectares of constructed or rehabilitated irrigation schemes \| \| \| - 2.5 million people actively borrowing from IFAD's rural financial services \| \| \| - 1.5 million people trained in business and entrepreneurship \| \| \| - 110,000 rural enterprises accessing facilitated non-financial services \| \| ## Multilateral Development Banks \| CDB \| The Caribbean Development Bank (CDB) supported: \| \|-------------------------------------------------------------------------------------------------------------------\|-------------------------------------------------------\| \| - the construction or rehabilitation of more than 233 kilometres of road directly benefiting an estimated 282,000 \| \| \| people \| \| \| - the provision of access to clean water and sanitation for over 4,000 households \| \| \| - over 600 people working in, micro, small and medium size businesses with skills training and technical \| \| \| assistance \| \| \| - improvements in classroom facilities and increased access to finance to over 56,000 students \| \| \| IADB \| The Inter-American Development Bank (IADB) supported: \| \| - 6.0 million people to receive a package of basic health services \| \| \| - 3.9 million students to benefit from education projects \| \| \| - 240,000 households with a new or upgraded water supply \| \| \| Key achievements \| Multilateral \| \|----------------------------------------------------------------------------------------------------------\|-------------------------------------------------------------------------------------------------------------\| \| organisation \| \| \| EBRD \| Jordan, Morocco and Tunisia became full countries of operation for the European Bank for Reconstruction and \| \| Development (EBRD). 21 projects to the value of €449 million were signed in 2013 across Jordan, Morocco, \| \| \| Tunisia and Egypt. \| \| ## Humanitarian Agencies \| GFDRR \| The Global Facility for Disaster Reduction and Recovery (GFDRR) launched the Pacific Catastrophe Risk Insurance \| \|----------------------------------------------------------------------------------------------------------------------\|--------------------------------------------------------------------------------------------------------------------\| \| Pilot programme which allowed 5 Pacific island states to access market-based catastrophic risk insurance \| \| \| solutions for the first time. The Marshall Islands, Samoa, the Solomon Islands, Tonga and Vanuatu have secured \| \| \| $45 million of ear \| thquake, tsunami and tropical cyclone risk coverage from the international insurance markets. \| \| In India, GFDRR continued to provide technical suppor \| t to reform the National Agricultural Insurance Scheme, \| \| which together with its successor scheme has insured more than 29 million farmers. \| \| \| IFRC \| 22.6 million people were reached by disaster response and early recovery programmes and 15.1 million people \| \| were reached by preparedness and risk reduction programmes (figures from a sample of 37 national societies). \| \| \| IOM \| - The International Organisation for Migration (IOM) assisted 6,300 families in need affected or displaced by \| \| natural disasters in Afghanistan, including with 7,000 NFI (non-food item) kits and 1,600 emergency shelter kits. \| \| \| - In Haiti, IOM provided returns assistance to 22,700 IDP (internally displaced person) households, facilitating the \| \| \| closure of 169 IDP camps. \| \| \| \| \| \| - In Mali, IOM supported 15,700 IDPs in urgent need of shelter and NFIs. Through its Displacement Tracking \| \| \| Matrix (DTM), IOM carried out IDP registration and evaluations, as well as return movements monitoring, \| \| \| reaching 353,500 IDPs and 138,000 returnees throughout the country. \| \| ## Effective Development Co-Operation 5.1 DFID remains a recognised global leader in improving the value for money and impact of international development co-operation. As the UK meets its international target of investing 0.7% of gross national income in development suppor t and prepares for the post 2015 Millennium Development Goals (MDG) framework, making sure DFID delivers high quality, high impact co-operation is and will continue to be critical. 5.2 This chapter sets out a number of internal reforms DFID has made this year to become more effective and deliver higher value for money through UK spending as well as by influencing broader UK policies that have an impact on development. DFID tackles the long term causes of pover ty by building the 'golden thread' of open economies and open societies. The rule of law, fighting corruption and greater government transparency enable states to deliver for their citizens, and citizens to lead their own development. In general, DFID uses 4 internationally agreed principles to guide its work to become more effective as a development organisation: - focusing on results - giving ownership to developing countries - increasing transparency - suppor ting inclusive development par tnerships Each principle is covered in turn - and includes details of DFID's leadership role in the Global Par tnership for Effective Development Co-operation, which the UK Secretary of State for International Development co-chaired during 2013–14. ## Focusing On Results 5.3 Development suppor t is a means to an end, not an end in itself. That is why results - or impact on the poor - drive everything DFID does. By publishing results commitments and the results DFID has achieved (as set out in Chapter 2), streamlining management processes, innovating in delivery and evidence, strengthening financial controls and influencing UK policies, DFID aims to strengthen the accountability and credibility of its suppor t, and bring sustainable change for the poor. ## Streamlining Dfid Management Processes 5.4 To suppor t the results agenda, DFID has transformed its management structures to embed a results focus throughout its work - from managing, monitoring and evaluating, to communicating progress. Chapter 2 reflects DFID's results framework - which provides a means for senior management to receive regular management information on results, and review por tfolio performance, risks in delivery, and where and how to drive better value. These results flow throughout the organisation, as each DFID country office now publishes a results orientated and country specific Operational Plan. 5.5 In addition, government depar tments have been working together to join up effor ts overseas. In 2013, the UK initiated a 'One HMG team overseas' programme designed to rationalise, streamline and improve the way its 270 overseas locations,1 with varying combinations of government depar tments, function. 5.6 DFID has almost entirely re-engineered the way it manages programmes and increased the level of scrutiny over performance. This includes development of better, clearer guidance on financial control processes and the introduction of a new Finance Operating Model to strengthen financial management and control. Ministers now sign off all projects over £5 million and all new contracts over £1 million. More rigorous design templates and more systematic quality assurance have been introduced, and evaluation has been embedded across the organisation. 5.7 External scrutiny on the value for money and impact of DFID's spend, in par ticular from the National Audit Office (NAO) and the Independent Commission for Aid Impact (ICAI), is also critical in making DFID's development spend more effective and accountable. The NAO audits DFID's financial statements and conducts value for money studies on DFID. For example, the NAO produced a value for money study on DFID's work on malaria in 2013 and DFID is now implementing recommendations from the Public Accounts Committee on this issue. ICAI scrutinises development assistance spending across all UK government depar tments providing official development assistance (ODA) and has so far produced 34 repor ts covering a broad range of development programmes and activities. ICAI's work is overseen by the International Development Committee, who hold regular hearings to discuss their repor ts. 5.8 DFID led on government support for Bill Cash MP's International Development (Gender Equality) Act 2014, which became law on 13 May 2014. The Act makes it law to consider , before providing development assistance, how the assistance will contribute to reducing gender inequality . It also introduces a new annual reporting duty on progress towards achieving Millennium Development Goal 3. ## Innovating In Delivery And Evidence 5.9 Over the last 2 years, DFID has been testing innovative approaches to results, including through linking payments directly to the delivery of results, known as Payment by Results (PbR), and gathering more evidence of what works and does not. 5.10 The most innovative forms of PbR link payments to the delivery of outcomes, providing the foundation for long term, sustainable change to people's lives. PbR can be used to: - Rebalance accountability: in traditional aid, by paying upfront DFID accepts the bulk of the risk of programme failure. PbR redresses this balance by transferring some of the risk for delivery to par tners. This sharpens incentives for the implementing par tner to perform. - Increase innovation and flexibility in delivery: by not specifying how results should be achieved, implementing organisations are free to innovate to improve outcomes. - Increase transparency and accountability for results: through being open about agreed results, everyone is clearer about what is being targeted and whether it actually gets done, driving up empowerment and accountability for results. - Create a strong focus on performance in service providers, which has benefits beyond PbR. By being paid on results, ser vice providers are strongly encouraged to examine what is, and is not, working, driving up performance standards, management and measurement. 5.11 DFID has recently published a strategy that sets out its objectives for PbR and the actions it will take to achieve them. DFID is at the forefront of international activity, mainstreaming more used forms and testing the most innovative forms of PbR, where payments are linked to outcomes. DFID depar tments and countries repor t that as of April 2014 there were 13 outcomes-based programmes that use DFID financing under way, including 7 funds that can be subdivided into around 100 separate projects. DFID also has a growing pipeline of outcomes-based programmes. ## Smart Procurement, Better Value For Money In 2013, DFID won the Char tered Institute of Purchasing and Supply's 'Best international procurement project' for its work to reduce the price of contraceptives in developing countries. Using what is known as the 'advance market commitment mechanism', DFID achieved a price reduction of 50% on Jadelle contraceptive implants which provides access to 27 million units for women in developing countries. ## Piloting Payment By Results In Health In the Health Results Innovation Trust Fund, payments are disbursed on the verified delivery of results, such as the percentage of women receiving antenatal care and having their babies delivered in health facilities. Early results are positive. Between 2010 and 2012, the number of deliveries with skilled bir th attendants suppor ted by the fund in Afghanistan and Burundi increased by 83% from 190,000 to 347,130. 5.12 DFID's Research and Evidence Division (RED) is responsible for suppor ting DFID to become more systematic in the use of evidence and thereby have greater development impact. It combines research, evaluation and the heads of DFID's professional cadres. Its 3 aims are to: - suppor t the development of new technologies and innovations which should have impact on pover ty or the effects of pover ty - find better and more cost effective ways of delivering development to those who need it - improve understanding of key development questions to suppor t best policy choices 5.13 Specifically, DFID has continued to invest in rigorous programme evaluation as a means of learning and enhancing its development impact. The number of evaluations and the evaluation capacity of staff have increased significantly according to a recent review of the decentralised approach to commissioning evaluation. Evidence of the impact of recent evaluations on new programme and policy design has been identified in a number of programmes including those in Burma, Bangladesh, Rwanda and Uganda and regional African programmes. A new evaluation strategy has been designed which will fur ther improve the quality and use of evaluation findings and will increase the extent to which evidence gaps and policy priorities influence a programme's decision to commission an evaluation. 5.14 DFID has expanded its suppor t for strategic evaluation par tnerships with other donors and development agencies, par ticularly in the field of impact evaluation. Par tnerships with the World Bank and the International Initiative for Impact Evaluation (3IE) suppor t leading edge evaluation approaches to DFID's own programmes and those funded by the wider development community and advance the global evidence base in areas where it is most needed. DFID has continued to work with other donors and developing country governments to improve evaluation capacity and has recently published a 5 country study of the demand and supply for evaluation in 5 African countries. ## Strengthening Financial Controls 5.15 DFID continues to implement the recommendations of the ICAI to improve systems to safeguard aid funds from the risk of misuse, and to help countries with which DFID works to tackle often pervasive corruption that undermines their sustainable development, dispropor tionately hur ts poor people and corrodes public institutions. Country specific anti-corruption plans are now operational in all DFID's priority countries. DFID has also recently expanded its internal audit capability to enable an enhancement of its risk based approach. This will ensure that DFID's country offices can be subject to review every 2 years (rather than the current average of 4). 5.16 Cross-DFID co-ordination is led by the Counter Corruption and Counter Fraud Group, chaired at Director General level, which ensures strategic oversight of implementation of reforms. To date, over 750 staff have been trained to under take due diligence reviews of par tners. An online corruption risk management course has been developed and piloted for 40 par ticipants. Over 160 staff have obtained cer tification on anti-corruption exper tise through online training provided by DFID's sponsorship of the multi-donor U4 Anti-Corruption Resource Centre (www.U4.no). 5.17 DFID has a zero tolerance approach to fraud and corruption and actively investigates all suspicions and allegations of fraud, corruption and abuse of DFID resources. DFID takes a robust approach once fraud has been identified (with effective incident investigation and strengthening of controls to prevent recurrence) and has a good record on recovery of lost funds. The results of work on proven fraud on a country by country basis are shown in Table 5.1. The gross loss figure is the initial proven fraud loss to DFID, and the net loss figure is the total/final loss to DFID once a recovery has been made. \| Gross \| Net \| Gross \| Net \| Gross \| Net \| \|------------------------------\|-----------\|-----------\|---------\|----------\|---------\| \| Bangladesh \| \| \| \| \| \| \| 700,030 \| 700,000 \| 700 \| 0 \| 95,011 \| 0 \| \| Burma \| \| \| \| \| \| \| 0 \| 0 \| 0 \| 0 \| 344 \| 0 \| \| Burundi \| \| \| \| \| \| \| 0 \| 0 \| 15,000 \| 0 \| 0 \| 0 \| \| Colombia \| \| \| \| \| \| \| 1,786 \| 1,786 \| 0 \| 0 \| 0 \| 0 \| \| Democratic Republic of Congo \| \| \| \| \| \| \| 0 \| 0 \| 81 \| 0 \| 164,733 \| 162,794 \| \| Ethiopia \| \| \| \| \| \| \| 0 \| 0 \| 0 \| 0 \| 5,500 \| 0 \| \| Ghana \| \| \| \| \| \| \| 640 \| 540 \| 0 \| 0 \| 0 \| 0 \| \| India \| \| \| \| \| \| \| 252,317 \| 0 \| 0 \| 0 \| 0 \| 0 \| \| Indonesia \| \| \| \| \| \| \| 44,323 \| 0 \| 326 \| 0 \| 0 \| 0 \| \| Kenya \| \| \| \| \| \| \| 1,147,764 \| 0 \| 31,867 \| 0 \| 9,967 \| 0 \| \| Kyrgyz Republic \| \| \| \| \| \| \| 0 \| 0 \| 11,000 \| 0 \| 0 \| 0 \| \| Malawi \| \| \| \| \| \| \| 598,679 \| 0 \| 350 \| 350 \| 147,064 \| 34,440 \| \| Mozambique \| \| \| \| \| \| \| 0 \| 0 \| 203,530 \| 0 \| 193 \| 0 \| \| Nepal \| \| \| \| \| \| \| 39,941 \| 0 \| 0 \| 0 \| 0 \| 0 \| \| Nigeria \| \| \| \| \| \| \| 1,490 \| 1,490 \| 34,115 \| 110 \| 10,798 \| 10,238 \| \| Pakistan \| \| \| \| \| \| \| 71,050 \| 0 \| 158 \| 0 \| 0 \| 0 \| \| Palestine \| \| \| \| \| \| \| 0 \| 0 \| 570 \| 0 \| 0 \| 0 \| \| Philippines \| \| \| \| \| \| \| 0 \| \| \| \| \| \| \| 0 \| 0 \| 0 \| 670 \| 0 \| \| \| Rwanda \| \| \| \| \| \| \| 0 \| 0 \| 0 \| 0 \| 883 \| 0 \| \| Sierra Leone \| \| \| \| \| \| \| 1,455 \| 0 \| 523,642 \| 0 \| 88,267 \| 0 \| \| Somalia \| \| \| \| \| \| \| 296,542 \| 266,888 \| 472,159 \| 472,159 \| 36,740 \| 0 \| \| South Sudan \| \| \| \| \| \| \| 0 \| 0 \| 0 \| 0 \| 2,300 \| 0 \| \| Southern Africa \| \| \| \| \| \| \| 200 \| 200 \| 0 \| 0 \| 0 \| 0 \| \| Tanzania \| \| \| \| \| \| \| 9,300 \| 0 \| 0 \| 0 \| 12,066 \| 0 \| \| Uganda \| \| \| \| \| \| \| 0 \| 0 \| 2,650 \| 0 \| 67,444 \| 0 \| \| United Kingdom \| \| \| \| \| \| \| 2 \| \| \| \| \| \| \| 31,159 \| 18,138 \| 9,579 \| 9,579 \| 123,806 \| 0 \| \| USA \| \| \| \| \| \| \| 3 \| \| \| \| \| \| \| 182,629 \| 182,629 \| 0 \| 0 \| 0 \| 0 \| \| Yemen \| \| \| \| \| \| \| 0 \| 0 \| 4,410 \| 2,205 \| 0 \| 0 \| \| Zambia \| \| \| \| \| \| \| 6,401 \| 6,401 \| 19,461 \| 7,852 \| 706 \| 0 \| \| Zimbabwe \| \| \| \| \| \| \| 9,049 \| 0 \| 0 \| 0 \| 5,756 \| 0 \| \| Totals \| \| \| \| \| \| \| 3,394,750 \| 1,178,071 \| 1,329,598 \| 492,255 \| 772,247 \| 207,472 \| 5.18 Internationally, DFID continues to par tner with the anti-money laundering technical assistance programmes of both the World Bank and the International Monetary Fund. It works with the United Nations Office of Drugs and Crime to develop a programme to promote better coherence between aid donors and developing country par tner governments on implementing the United Nations Convention Against Corruption (UNCAC). The Par tnering in Anti-Corruption Knowledge (PACK) initiative was launched at the Conference of States Par ties in Panama in November 2013. 2 UK related losses are a mixture of losses from frauds committed by UK based staff and equipment loss/theft involving UK based assets. 3 Losses against the USA relate to humanitarian equipment stolen from a DFID warehouse in Miami storing aid intended for the Caribbean. \| 2011–12 \| 2012–13 \| 2013–14 \| \|------------\|------------\|------------\| ## Influencing Uk Policies: Policy Coherence For Development 5.19 Although DFID's work to spend UK aid as effectively as possible is critical, DFID also need to consider how its suppor t fits into a bigger picture of all factors which drive development. Non-aid policies often have economic and social impacts abroad - so it is wor th making effor ts to harness them for development. This is known as the 'beyond aid' agenda, or the 'policy coherence' agenda. In the UK, it is seen as delivering development in a joined up manner. 5.20 The UK government is currently designed to suppor t being joined up in 3 specific ways. First, having a separate depar tment with a remit to pursue pover ty reduction is impor tant. DFID has a remit to provide analysis and advice about the impact of UK policies on pover ty reduction, to complement its spending. Second, the Secretary of State for International Development, as a Cabinet Minister, is consulted on the full range of government policies that might impact on development. Third, the Secretary of State's membership of the National Security Council (NSC) and DFID ministers' membership of other specific Cabinet sub-committees, complemented by cross-depar tmental groups at official level, such as; NSC (Emerging Powers), NSC (Threats, Hazards, Resilience and Contingencies); Public Expenditure (Efficiency and Reform); NSC (Afghanistan); and Economic Affairs (Trade and Investment), enable the government to take a comprehensive and strategic approach to a series of policy issues that are critical to international development. 5.21 These 3 structures deliver results. The Centre for Global Development's Commitment to Development Index ranks 27 developed countries on how well they are living up to their potential to help poor countries. The Index scores 7 policy areas (aid, trade, finance, migration, environment, security and technology) and ranks members based on their commitment to promote coherent development policies that go beyond just that of foreign aid. The 2013 Index ranked the UK seventh out of 27 countries, the only G7 member in the top 10. 5.22 More specifically, in 2013–14 DFID sought oppor tunities to deliver development results through UK policies in the following 6 areas: ## (1) Facilitating Trade And Knowledge Transfer 5.23 The joint DFID/Depar tment for Business, Innovation and Skills (BIS) Trade Policy Unit (TPU) ensures that the UK government's development objectives are fully integrated into trade policy. TPU suppor ts developing countries to increase their par ticipation in global trade by improving their market access and strengthening their capacity to trade. For example, there has continued to be strong demand for the work of the Trade Advocacy Fund, which is now active in more than 20 developing countries. In December 2013, the Bali package was agreed through the World Trade Organisation (WTO), the first multilateral trade deal reached in 20 years, and the UK has also continued its work to deliver development outcomes through the EU, for example negotiating greater market access for Pakistan and encouraging progress on Economic Par tnership Agreement negotiations between the EU and regional blocs in Africa and the Pacific. 5.24 DFID funded research is producing a wide range of development outcomes which benefit people in developing countries. In the past year DFID research has helped to produce and test new anti malarial drugs, produce crops with enhanced nutritional content, and improve access to clean drinking water, sanitation and hygiene in some of world's poorest countries. For example, DFID's agriculture research programme is backing new agricultural technologies and practices which are boosting food production, nutrition and incomes benefiting millions of people across the developing world. More than 100,000 farmers in India are now planting flood tolerant rice, and over half a million families in Africa are consuming vitamin A enriched sweet potato. NECT , a new drug for sleeping sickness, is now available in the 12 African countries where 99% of the cases occur. DFID also tests new ways of doing things such as through the joint clinical trials programme with the Medical Research Council (MRC) and Wellcome Trust, which increases impact and value for money, and under takes research to understand the environment in which DFID operates. 5.25 Over the last year, DFID research projects have also attracted independent recognition, winning the Civil Ser vice Award for Operational Excellence, two Climate Week awards, a British Exper tise International Award, a NEF Innovation award, two FT/IFC Sustainable Finance awards and two awards for the Drugs for Neglected Tropical Diseases initiative. ## M-Kopa M-KOPA allows poor consumers who cannot afford an electricity connection to their homes to purchase solar lights and a solar panel by paying a daily charge of around 30p through their mobile phone. In the last 2 years, M-KOPA helped deliver a 47% cost reduction in pay-as-you-go technology (from $15 to $8 per unit). As of April 2014, M-KOPA is actively providing affordable solar power to over 60,000 Kenyan households and adding over 1,000 more every week. ## African Community Access Programme (Afcap) AFCAP works across 7 east African countries to improve the cost effectiveness and sustainability of road construction. The programme has researched road usage and drafted policies and schemes to improve road safety and reduce road traffic accidents, as well as building the capacity of local researchers to help establish a sustainable model for road network improvements. AFCAP is estimated to have already saved £13.7 million in road building costs in par tner African countries, and has potential savings of up to £490 million if rolled out across Kenya alone. ## (2) Encouraging Transparent And Responsible Business 5.26 DFID works closely with other government depar tments - BIS and the Foreign and Commonwealth Office (FCO) in par ticular - to shape measures that influence how business contributes to development results. In 2013, DFID intensified its work on the Trade and Global Value Chains Initiative which works with global businesses to improve working conditions and job oppor tunities in the hor ticulture and garment sectors. Over 700,000 people in Kenya, South Africa and Bangladesh are expected to benefit from this. ## Sharing The World Class Experience Of The London Stock Exchange In east Africa, capital markets are growing, with the 4 regional stock exchanges covering a combined market capitalisation of over $31 billion. In January 2014, DFID entered into par tnership with the London Stock Exchange to suppor t capital market development in sub-Saharan Africa through training for financial sector professionals and government officials from Tanzania, which will be replicated across east Africa and beyond. 5.27 DFID also continued to suppor t the OECD guidelines for multinational enterprises, and the Extractive Industries Transparency Initiative. ## (3) Helping (Non-Aid) Finance Flow For Development 5.28 DFID recognises that low-income countries do not want to be aid dependent. They want to raise more domestic taxes and other financial flows. In 2002 most of the external financing for poor African countries came from aid - today most development finance for African countries comes from domestic revenues, private flows and investment. During the UK G8 Presidency in 2013 DFID worked hard with colleagues across Whitehall - especially HM Treasury - to ensure that the interests of developing countries were put at the centre of an ambitious G8 agenda on trade, transparency and tax reform. At Lough Erne, G8 members made unprecedented commitments to help developing countries to collect the taxes owed to them and to benefit from changing global standards, including the new international standard of automatic exchange of information that will make it easier to find and punish tax evaders. 5.29 In addition, DFID continues to fund units of UK law enforcement in the Metropolitan Police Ser vice to tackle the tracing and recovery of stolen funds from developing countries and in the City of London Police to tackle bribery by UK citizens or companies in developing countries. DFID has agreed to scale up these effor ts. The Metropolitan Police unit has been at the forefront of the UK response to requests from countries in the Arab region for recovery of assets. 5.30 Last but not least, remittances are an impor tant source of capital. An estimated $401 billion in remittances were transferred to developing countries in 2012, rising by 5.3% from 2011. At the same time, the global average cost for remitting $200 or its equivalent in 2012 was estimated at 9%. For sub-Saharan Africa, this cost is estimated to be over 12%. The UK is therefore exploring ways of reducing the cost of remittances through suppor ting the development of technology-enabled payments infrastructure in developing countries. This includes suppor t for regulatory and policy reform; and development of payments infrastructure and scale-up through investment of successful business models. The UK is committed to ensuring remittances continue to flow through secure, accessible and formal channels, following the global withdrawal of banks from the sector, and has established an Action Group on Cross Border Remittances. This group is made up of government, the private sector, regulators and civil society, to identify actions to strengthen the UK's remittance work, such as the development of a safer corridor pilot for UK–Somalia remittances. ## G8 Lough Erne Summit: Fair Taxes, Increased Transparency And Open Trade During the UK Presidency DFID worked hard with its colleagues across Whitehall to ensure that the interests of developing countries were put at the centre of an ambitious G8 agenda on trade, transparency and tax reform. The G8 has always recognised that the fight against pover ty has to be an integral par t of the response to global economic challenges. This has become more impor tant as the development context is changing with new sources of development finance and an increased range of par tners, including emerging economies, the private sector and foundations. In 2002 most of the external financing for poor African countries came from aid - today most development finance for African countries comes from domestic revenues, private flows and investment. It is therefore right that the G8's role in international development is evolving. The G8 has an impor tant role helping to shape the rules which characterise a fair and open global economy, including by putting its own house in order regarding the fair taxes, increased transparency and open trade that are vital drivers of this. Not only are they impor tant for global prosperity, but they will also help lift developing countries out of pover ty by allowing them to raise revenues from trade, taxes and the sale of their natural resources, so that they can fund their own development. The G8 at the Lough Erne Summit has continued to show leadership in transforming the relationship between developed and developing countries to one of global par tnership. Developing and developed countries have a responsibility to work together for global economic growth. ## (4) Supporting Peace-Keeping And Building Resilience 5.31 DFID continues to manage the tri-depar tmental Conflict Pool jointly with FCO and the Ministry of Defence, aimed at preventing conflict and tackling threats to UK interests arising from instability overseas. In the last year, the Pool has invested in programmes to tackle cross-border impacts of the Syrian civil war, including through funding from the Pool's Early Action Facility, the planning of a large programme to improve access to security and justice in Libya, and programmes to address the risks to stability in west Africa and the Sahel. The Pool's Early Action Facility has also provided rapid response funding for Central African Republic and Ukraine. In June 2013 the NSC agreed to reform decision making around countries at risk of instability, creating a clearer, simpler, more strategic framework that will fur ther strengthen cross-government coherence. To reinforce this change, from April 2015, the UK will establish a new £1 billion Conflict, Stability and Security Fund (CSSF), comprising ODA and non-ODA, which will replace the existing cross-government Conflict Pool. DFID is fully engaged in the design of this fund. ## (5) Producing And Consuming Sustainably 5.32 The UK's transition to a low-carbon economy is continuing to help constrain global greenhouse gas emission levels, with benefits for developing countries in par ticular. DFID has worked closely with the Depar tment of Energy and Climate Change (DECC), the Depar tment for Environment, Food and Rural Affairs (DEFRA), FCO and BIS on climate change and food security policy, including on how agriculture is treated in the negotiations for a new global agreement under the UN Framework Convention on Climate Change, and on effor ts to set up a new global alliance on climate-smar t agriculture. DFID has also worked with other depar tments to ensure UK biofuel policy is consistent with UK development objectives, in par ticular to highlight concerns about the potential negative impacts investment in biofuel may have on land rights and food security in developing countries. DFID also works closely with BIS, DEFRA and UK Trade and Investment on the implementation of the UK Agricultural Technologies Strategy. Launched in July 2013, the strategy brings together government, the science base and industry. The strategy aims to ensure UK innovation and exper tise contributes to the development of new technology to increase agricultural productivity in the UK and developing countries. DFID engagement has ensured that the strategy considers the international impact of investment in agricultural technologies. In February 2014, DFID, with the FCO, Home Office and DEFRA organised an international conference, chaired by the Foreign Secretary with attendance from HRH The Prince of Wales and HRH The Duke of Cambridge, to tackle the illegal international wildlife trade. ## (6) Bringing In Talented People And Sharing Knowledge 5.33 The movement of about a billion people around the world generates economic benefits, knowledge sharing and skills acquisition, and makes labour markets more effective. DFID works closely with the Home Office and FCO on these issues. At the UN High Level Dialogue on Migration and Development in October 2013 the UK delegation was composed of representatives of the 3 depar tments who also worked closely together in the preparations for this meeting. The same co-ordinated approach is being taken for the annual meeting of the Global Forum on Migration and Development in Stockholm in May 2014, with DFID leading the delegation. DFID remains fully involved in the governance arrangements for the FCO-managed Returns and Reintegration Fund, jointly sponsored with the FCO, Home Office and Ministry of Justice, with DFID providing suppor t for programme inter ventions that are ODA-eligible. DFID is also working with other government depar tments to ensure a comprehensive and coherent approach to ending female genital mutilation/cutting and child and early forced marriage. The Parliamentary Under Secretary of State for International Development is the Prime Minister-appointed ministerial champion for tackling violence against women and girls overseas, with responsibility for ensuring coherence across Whitehall on this issue. 5.34 DFID provided around 800 awards in 2013 to scholars and young professionals to study with UK institutions at postgraduate level through Commonwealth Scholarships. This is enabling the brightest and best from Commonwealth countries to study in UK postgraduate programmes and apply this learning to build capacity in their own countries. 5.35 The Investment Facility for Utilising UK Specialist Exper tise (IFUSE) is an initiative, established in 2012, to harness the exper tise of UK civil ser vants to suppor t improvements in the business environment of our par tner countries. So far, IFUSE has facilitated UK suppor t on energy policy to the Ethiopian government; micro-insurance sector development in Ghana; building safety in Bangladesh; and competition policy in Burma. ## Giving Ownership To Developing Countries 5.36 Ownership of development co-operation by developing countries is essential for sustainable results. This means developing countries exercising political leadership to drive and demonstrate tangible commitment to their own development. As a provider of development co-operation the UK seeks to provide suppor t in ways that suppor t and strengthen local responsibility and leadership, including through specific instruments and the New Deal for fragile and conflict-affected states. ## Specific Instruments For Working With Governments 5.37 In 2013–14, DFID spent around 44%4 of its development budget in the form of core contributions to multilateral organisations including the World Bank, the European Commission and the United Nations. Bilateral expenditure, accounting for the remainder of the budget, is spent through country programmes managed by DFID's country offices and through programmes managed centrally by DFID that often target a range of countries (such as the Girls' Education Challenge Fund). 5.38 Given the diversity of need and context in DFID's par tner countries, DFID targets the instruments for how it delivers its development co-operation carefully. This is based on a consultative planning process that enables DFID to provide a predictable package of suppor t over typically a 3 year period. The star ting point is, where possible, to align with par tner countries' plans and priorities for pover ty reduction. DFID then takes into account evidence and analysis of what instruments offer the best value for money for achieving the specific results that are being targeted. 5.39 In some countries, DFID provides development suppor t direct to ministries of finance or other ministries so that they can allocate it most efficiently to activities such as education and health for large numbers of poor people. This is known as general or sector budget suppor t - and accounts for around 10% of DFID's total bilateral spend. The benefit of this approach is that these ministries direct ser vices which impact many poor people, and therefore can deliver strong value for money and pover ty reduction gains. For this kind of finance, DFID ensures it is accompanied by sharing of exper tise on strengthening the civil service's effectiveness in setting policy, raising taxes and investing well. 5.40 Overall, sector budget suppor t increased from £337 million in 2012–13 to £445 million in 2013–14, while general budget suppor t fell from £165 million to £107 million. The decline of the latter is for 2 key reasons. First, more recently, many countries have made progress so that they no longer need such direct suppor t to the same extent for macroeconomic stability and are able to fund more recurrent costs. This is a sign of success, and it means bilateral spend is best delivered through other par tners, such as the private sector - as the critical engine for growth, jobs and income - or civil society - to help build accountability and uphold rights and freedoms. In other countries, such as fragile and conflict-affected states, budget suppor t carries too many risks. So DFID uses other forms of financial assistance which is not budget suppor t, but still works in ways which encourage and strengthen government systems to suppor t development and build capacity sustainably (eg the Afghanistan Reconstruction Trust Fund). Multilateral organisations often help mitigate the risks of such funds. 5.41 Whichever form of direct suppor t used, DFID uses a framework called 'Par tnership Principles' to gauge the ownership of par tner governments of development. The framework covers 4 issues: commitment to (i) reducing pover ty and achieving the MDGs; (ii) human rights and other international obligations; (iii) strengthening financial management and accountability, and reducing the risk of funds being misused through weak administration or corruption; and (iv) strengthening domestic accountability with citizens. DFID repor ts all cases where development assistance is reduced, suspended or delayed because of concerns about Par tnership Principles. In 2013–14 there were 4 instances in which programmes were changed as a result of a breach to these principles, shown in Table 5.1. ## Partnership Principles During 2013–14 \| Country \| Programme \| \|---------------------------------\|-------------------\| \| Mismanagement of public \| \| \| funds through the government \| \| \| financial systems. \| \| \| Malawi \| Health Sector \| \| Strategic Plan \| \| \| Sector Budget \| \| \| Support (SBS) \| \| \| Mozambique \| Poverty Reduction \| \| Budget Suppor \| t \| \| (PBRS) \| \| \| Concerns over fiscal \| \| \| transparency and investment \| \| \| prioritisation following the \| \| \| granting of a government \| \| \| guarantee to an $850 million \| \| \| bond issue by the newly \| \| \| created state tuna fishing \| \| \| company. \| \| \| Rwanda \| General Budget \| \| Support (GBS) \| \| \| Following assessments of the \| \| \| Partnership Principles in May \| \| \| and November 2013, the \| \| \| Secretary of State \| \| \| reprogrammed GBS into \| \| \| development projects \| \| \| designed to protect the \| \| \| poorest groups. \| \| \| UK funds misappropriated by \| \| \| Office of the Prime Minister of \| \| \| Uganda \| GBS, health SBS \| \| and other direct \| \| \| financial aid \| \| Uganda. In 2012–13 the Government of Uganda repaid the £1.3 million of UK assistance which was found to have been misappropriated. ## Helping Build Effective Institutions For Ownership 5.42 Countries will own their development when they have inclusive and effective institutions open to everyone and not controlled by the interests of a narrow elite. For DFID this means strategic investment in the institutions which will help create and sustain this future, strengthening the capacity of par tners and taking into account the country context, the desired results, the risks and the added value of UK assistance. However, as development cannot be achieved by governments alone, the UK Prime Minister has made it a priority to suppor t the range of institutions needed for countries to own and lead their own development, in what he has termed the 'golden thread' of development. Over the past 2 years DFID has increased suppor t for building blocks of key institutions, such as the rule of law, the absence of conflict and corruption, transparent tax regimes, free elections, and the presence of fair proper ty rights. To suppor t this, the UK has also increased suppor t for the private sector, as the engine for economic growth, and for civil society (including the media) to build accountability and uphold rights. ## The New Deal For Fragile And Conflict-Affected States 5.43 The UK is a strong suppor ter of the New Deal for Engagement in Fragile States, which provides a framework for development par tners to work with par tner countries in a way that builds mutual trust and suppor ts a country lead and its priorities, plans and systems. DFID is now one of the lead donors implementing the New Deal in Sierra Leone and Somalia (in addition to Afghanistan and South Sudan). Of the £20 million allocated to the Health Sector Strategic Plan, £8 million was paid and used for the purposes intended, and £12 million was withheld. A further £1 million was withheld from a separate HIV programme. PRBS disbursements were suspended in November 2013, until sufficient measures have been taken to address concerns about transparency and investment management. This affected payments scheduled for December 2013 (£12 million) and February 2014 (£7.4 million). This reduced the overall PRBS disbursement in 2013–14 to £24 million rather than £43.4 million as forecast. A total of £42 million GBS was forecast for 2013–14 (£21 million in June, £21 million in December). A £5 million performance tranche reforecast from 2012–13 was not disbursed; the other £37 million was reprogrammed into specific government sectors or programmes to continue to protect the poorest in Rwanda. In 2013–14 DFID indefinitely suspended all budget suppor t to the Government of Uganda. Direct financial aid was also ended with the exception of two projects. £17.5 million of budget support was reprogrammed in 2013–14. ## Increasing Transparency 5.44 In 2013–14 DFID continued to be recognised as a global leader on transparency, culminating in its rating as the most transparent donor in the Global Par tnership for Effective Development Cooperation (GPEDC) Monitoring Repor t, published in April 2014. DFID has also continued to encourage others to improve transparency, for example through the International Aid Transparency Initiative (IATI) Steering Committee and as Chair of the IATI Technical Advisory Group. 5.45 DFID has continued to make progress on the Aid Transparency Challenge launched by the Secretary of State at the end of 2012. DFID is increasing the traceability of all UK ODA, meaning it is now easier to trace money from taxpayer to beneficiary. Some key achievements in 2013–14 include: - launching the Development Tracker, using IATI open data to show what DFID is doing and where (http://devtracker.dfid.gov .uk/). The Tracker enables visitors to the site to find detailed information about DFID projects all over the world, and follow money through the delivery chain from source to outcome. - geocoding - showing on maps where DFID funds are spent locally, with over 1900 locations now mapped. - continuing to pilot beneficiary feedback approaches so that those directly affected by UK aid can input on how funds should best be spent to achieve required results. - piloting the linking of DFID budget data with par tner developing country budget data, to make it easier for recipient governments to plan and budget for use of all resources at their disposal. - ensuring that civil society organisations who receive DFID funds are more open and transparent, including requiring them to publish data to IATI standards on how they spend DFID funds. - working with private sector suppliers to be more transparent with their development co-operation spending, including a successful pilot with a number of DFID's major private sector suppliers to publish data in IATI format which is now being rolled out to private sector suppliers covering 80% of DFID's direct procurement spend. - championing transparency internationally, notably through securing a commitment under the UK's G8 Presidency for all G8 members to publish to the Busan common standard for aid transparency, including IATI, by 2015. ## Complaints To The Parliamentary Ombudsman 5.46 No complaints against DFID were accepted for investigation by the Parliamentary Ombudsman in 2013. One complaint against DFID (carried over from the previous calendar year) was repor ted on by the Parliamentary Ombudsman during 2013–14. This complaint was upheld and the Ombudsman's recommendations were accepted and complied with. ## Supporting Inclusive Development Partnerships 5.47 Inclusive development considers all stakeholders. DFID works with and encourages a diverse set of par tners to improve, including multilateral and civil society organisations, beneficiaries at grassroots level, the UK public, the private sector, philanthropic foundations, local government, researchers, the media and parliamentarians. Openness, trust, mutual respect and learning remain at the hear t of DFID's par tnerships in suppor t of achieving development goals. ## Working With Civil Society And The Private Sector6 To Deliver For Others 5.48 Around 16% of DFID's bilateral programme is carried out by civil society organisations (CSOs), which include NGOs, community-based organisations, media organisations, faith groups and diaspora organisations. In 2013–14 DFID's Civil Society Depar tment in the UK provided funding to: - 112 CSOs through the Global Pover ty Action Fund to deliver the MDGs, benefiting over 10.9 million people in 33 countries - disabled people's organisations in 20 countries through the Disability Rights Fund, to campaign for the rights of disabled people - 1,800 CSOs in 100 countries through the Governance and Transparency Fund, to help citizens hold their government to account - 41 CSOs through Programme Par tnership Arrangements, providing flexible strategic funding to enable them to enhance results, improve accountability and encourage innovation. 5.49 In addition to these centrally funded CSO programmes, DFID suppor ts CSOs in almost all of its focus countries, but the relative impor tance varies widely - from a very small propor tion to around half the value of a country programme. Delivery through civil society is par ticularly high in fragile states. 5.50 DFID continues to place a strong emphasis on value for money, monitoring and evaluation, and transparency in its work with civil society. It has been working closely with BOND, the UK membership body for NGOs working in international development, to improve effectiveness and transparency in the sector. It also suppor ts a learning par tnership of CSOs to share best practice in the sector. 5.51 DFID often uses private suppliers to deliver its programmes. UK companies compete for UK development assistance contracts alongside non-UK competitors in a fair, open and transparent process. DFID does not give UK companies preferential treatment - meaning 100% of DFID assistance is untied and has been so since 2001. Untying means that par tner countries and DFID are able to ensure that goods and services are obtained in the most cost effective way. This gives greater oppor tunity to local providers who can also offer local jobs and employment. Nonetheless British companies have continued to be very successful, winning over 90% of contracts awarded by DFID and also competing successfully for contracts from other international development agencies. To improve value for money from private suppliers DFID has: - improved its procurement processes. This included increasing the use of framework agreements; introducing contracts centred on actual achievements; increasing performance-based payment contract mechanisms and reducing procurement timescales. - strengthened supplier performance management. A Key Supplier Management programme is now in place with DFID working closely with its top 11 suppliers to focus on value for money. - held its first supplier conference in July 2013, with the second scheduled for 9 July 2014. Focusing on key strategic items such as value for money and transparency, attendees are not only DFID's key suppliers but also small and medium-sized enterprises (SMEs) and NGOs. In addition workshops are being held on a regular basis with suppliers (both key and wider SMEs and NGOs) to discuss issues and share lessons which will enable DFID to manage contracts more effectively. - insisted that its suppliers, including NGOs, sign up to a code of conduct, and over 800 have already signed. This statement of priorities and expectations sets out standards DFID expects its suppliers to meet on value for money, transparency and accountability. - under taken ongoing activities to raise commercial awareness across DFID. Within the Depar tmental Improvement Plan, the commitment that 50% of all senior civil servants attend commercial training before April 2014 was achieved, with the intention for the remainder to complete the training during 2014–15. DFID is also working with front line staff to improve commercial practice including contract management in addition to appointing commercial advisors in key strategic spending depar tments to provide commercial exper tise on the ground. - in November 2013 been awarded the Char tered Institute of Purchasing and Supply 'Best international procurement project' for work to reduce the price of contraceptives for women in developing countries. ## Encouraging Emerging Powers To Deliver For Others 5.52 In 2013–14 DFID continued work to strengthen the UK's development par tnerships with emerging powers - maintaining relationships and dialogue on global challenges that have an impact on development, working together to increase their effectiveness through sharing best practice and disseminating innovations. In addition, the National Security Council Emerging Powers sub-committee oversees the UK's strategy for creating deeper relationships with emerging powers across UK policy and programmes. 5.53 DFID has continued to make progress through its network of country teams in Brazil, China, India, South Africa, Colombia and Indonesia. Most notably this year: - co-hosting the 'Nutrition for Growth' event with Brazil in June 2013 - deepening DFID's work as global advocates for combating hunger and under-nutrition - signing a Memorandum of Understanding with the China Development Bank to enhance the impact, quality and sustainability of investments made by the UK and China in Africa - collaborating with India's Development Par tnership Administration through the UK–India Global Development Dialogue - committing in the 2013 UK–South Africa Bilateral Forum Communiqué to work together with South Africa to deliver effective development results both regionally and globally. DFID's Global Development Partnership Programme (GDPP) was set up in 2010 to suppor t DFID's new relationships with emerging powers. Through the GDPP , DFID has developed an innovative por tfolio of projects and policy dialogues to catalyse collaboration. This work focuses on global issues that have an impact on the world's poor and regional initiatives, as well as work with specific third countries (including some trilateral co-operation). Continued work with Brazil on climate-smar t agriculture and nutrition in Africa has not only expor ted Brazilian exper tise to a number of African countries, but has also served as the foundation for the UK's global alliance with Brazil on Nutrition for Growth. Collaboration with China will enable low-income countries to learn from China's success in reducing infant, child and maternal mor tality rates, disease prevention and control, and health sector reform. The GDPP has also enabled the scaling up of work with Indian pharmaceutical manufacturers to lower the cost of life-saving medicines across the developing world (saving £1 billion on essential drugs and vaccines). It has suppor ted the sharing of India's model on health financing and the sharing of South African exper tise on health planning and procurement with other African countries. A new GDPP project was also launched in 2013–14 to enable African countries to maximise the advantage of India's trade preferences to low income countries. ## Making Multilaterals More Effective 5.54 Chapter 4 covers DFID's work with multilaterals. DFID continues to drive improved effectiveness in the multilateral system, including through follow-up to the 2011 Multilateral Aid Review (MAR). A MAR update was performed in 2013–14, which found good progress in some areas and organisations, but that more improvements were still needed in others. ## Promoting Effectiveness Internationally: The Global Partnership For Effective Development Co-Operation The Global Par tnership for Effective Development Cooperation (GPEDC) embraces the broad range of development par tners across the globe and the many diverse approaches to development co-operation. It recognises that country context is crucial and that there is no 'one-size-fits-all' approach to reducing pover ty and fostering sustainable development. It suppor ts all development par tners to follow the 4 shared principles of effective co-operation, which have been embedded in DFID, as set out above. In addition, the GPEDC has also brought an impor tant shift from aid effectiveness to development effectiveness, moving the focus from aid flows to a more strategic approach. During 2013–14, the UK played a key role in the GPEDC's establishment, in par ticular through the Secretary of State for International Development's co-chair role alongside ministers from Nigeria and Indonesia. The UK worked hard with others - including the UN, the OECD, private sector par tners and foundations - to suppor t preparation for the GPEDC's first ever High Level Meeting in Mexico City in April 2014, the outcomes of which included the launch of 39 new voluntary initiatives - including concrete commitments to strengthen tax administrations in developing countries, and guidelines to help the philanthropic sector engage with governments and others. DFID will repor t in more detail on the outcomes of this meeting and DFID's fur ther work to suppor t the GPEDC in the 2014–15 Annual Repor t and Accounts. More information on the GPEDC is available at www.effectivecooperation.org. ## Accounts: Department For International Development These accounts have been prepared in accordance with directions given by Her Majesty's Treasury (HM Treasury) in pursuance of the Government Resources and Accounts Act 2000. ## 6.1 Strategic Report 6.1.1 What We Do The Depar tment for International Development (DFID) leads the UK's effor ts to end extreme pover ty globally. An over view of this work and of our strategic priorities, is presented in Chapter 1 of this Annual Repor t. We measure progress by the results we achieve and the difference made to people's lives. The public can find case studies that bring these achievements to life and show how our policies are put into practice at www.gov .uk/government/collections/case-studies. Chapters 1 to 5 of this Repor t provide an in-depth assessment of our results over the past year. ## 6.1.2 Non-Departmental Public Bodies DFID has 2 non-depar tmental public bodies (NDPBs). These are the Commonwealth Scholarship Commission (CSC) and the Independent Commission for Aid Impact (ICAI). The spending of both is consolidated within DFID's accounts. Fur ther information on the activities of CSC and ICAI are presented within the Governance Statement in section 6.7. ## 6.1.3 Other Public Sector Bodies On behalf of the UK government, the Secretary of State for International Development holds 100% of the issued share capital of the CDC Group plc, an investment company which invests in private sector businesses in developing countries. ## 6.1.4 Efficiencies And Savings DFID continues to improve its operational processes to deliver the administrative cost savings required under the current spending review (SR10). This is being achieved through reductions in proper ty, IT , use of consultants and other organisational efficiencies. Alongside this, the Depar tment has increased its investment in front line staffing. In terms of programme expenditure, the Depar tment's budget is set to deliver the UK official development assistance/ Gross National Income (ODA/GNI) target of 0.7% from 2013. The UK announced in March this year that it had met its target of spending 0.7% of GNI on ODA in 2013. More information on the 2013 ODA/GNI target can be found within Chapter 1. Fur ther information on how DFID maximise value for money and overall impact is set out in Chapter 5 of this Repor t. In addition, DFID is working with other government depar tments to reduce costs by sharing facilities and ser vices at overseas posts were possible. ## 6.1.5 Financial Review Resource Budgets DFID has 2 separate budgets controlled through Depar tmental Expenditure Limits (DELs). These are net resource spending (RDEL) and net capital expenditure (CDEL). There is a fur ther separate budget allocation for Annually Managed Expenditure (AME). AME is used to reflect costs which are volatile in a way that cannot be fully controlled by DFID, including the creation and utilisation of provisions reflected within the Consolidated Statement of Financial Position. The DEL and AME budgets are split into voted and non-voted amounts within the Estimate. The DEL budget is fur ther split into total permitted administration costs and programme expenditure. A breakdown and comparison of outturn against the Estimate totals is included within the Statement of Parliamentary Supply. Additional detailed actual spending during 2013–14 against estimate subheads is repor ted in the analysis of net resource outturn by section. Estimates for each sub heading are finalised in the Supplementary Estimate with work to formulate these numbers taking place in December each year. The Depar tmental Board, suppor ted by the Executive Management Committee, controls and monitors expenditure against these targets throughout the year. DFID achieved an underspend of £167.2 million on DEL compared with the voted estimate for the year. This comprised £143.3 million in respect of Voted RDEL and £23.9 million in respect of CDEL. This represents just under 2% of the available DEL budget. The underspends result from the nature of the Depar tment's work which can result in changes to spending plans based on the speed at which programmes are initiated and progress. A fur ther underspend of £122.5 million was recorded against the AME voted estimate. This resulted from a lower than expected provision for DFID's commitments in respect of the International Finance Facility for Immunisation (IFFIm) programme. The UK has pledged to make payments to meet a share of liabilities related to bonds issued to finance vaccine programmes. The Consolidated Statement of Financial Position includes a provision in respect of the UK's share of liabilities related to bonds issued by IFFIm. The provision required at the end of the year was lower than expected due to the value of bonds issued and movements in exchange rates and, as a result the cost, recorded in the accounts was below estimate. A reconciliation of net resource expenditure between estimate, budget and outturn is presented at Note SOPS3. ## Operating Costs Managing growth in its programme budgets whilst achieving significant savings against administration costs is a key challenge for the Depar tment. Within total operating costs, core administration costs are reducing by 33% over the current spending review period, with front line costs growing such that total operating costs remain relatively constant. Administration costs reduced by £11.8 million (9%) compared with 2012–13. ## Capital Expenditure And Consolidated Statement Of Financial Position Movements - Non-current assets - Financial assets increased by £111.2 million to £6,229 million at the end of the year (31 March 2013 restated: £6,118 million). The movement reflects investment additions of £64.3 million related to International Financial Institutions and other Programme Capital Investments and total revaluations of £46.9 million. The value of investments in IFIs reduced by £73.7 million overall, reflecting unrealised exchange rate losses of £211 million, resulting from unfavourable movements between sterling and the US Dollar, offset by increases in the value of underlying assets. The fair value of DFID's interest in CDC increased by £120.9 million over the year. The value of DFID's investment in CDC was repor ted at historical cost in previous years but is now stated at fair value as a result of the change in accounting policy explained at note 11 to the financial statements. - The movement in fixed assets over the course of the year was not significant, with tangible assets reducing by £2.7 million and intangible assets by £0.9 million due to a moderate level of asset additions and replacements offset by depreciation. - Current assets - Trade and other receivables due within 1 year increased by £13.4 million to £138.0 million at 31 March 2014 due principally to movements in amounts due to/from HM Treasury in respect of funding for DFID expenditure offset by an increase in prepayments made to single donor trust funds. - Current liabilities - Trade and Other Payables increased by £865.2 million due largely to an increase of £766 million in the value of promissory notes deposited in line with planned deposit schedules but not yet encashed at the Statement of Financial Position date. - Provisions payable within one year increased by £32.6 million compared with the previous financial year end as a result of the timing of planned payments to IFFIm and the Advance Market Commitment (AMC) programme, reflecting the status of these programmes. - Non-current liabilities - Provisions payable after more than one year reduced by £34.2 million, reflecting the timing of planned payments as mentioned above. - Other payables of £45.0 million in the Statement of Financial Position at 31 March 2013 related to a finance lease in respect of a proper ty held by the Depar tment. The lease expires in July 2014 and, as a result, the liability is now recorded within current liabilities. ## 6.1.6 Remote Contingent Liabilities In addition to contingent liabilities disclosed in accordance with International Accounting Standard 37, Provisions, Contingent Liabilities and Assets, note 16 to these accounts discloses cer tain contingent liabilities where the likelihood of a transfer of economic benefit is remote for parliamentary repor ting and accountability purposes. ## 6.1.7 Future Development DFID continues to improve its systems and processes to analyse results more effectively, aiming to improve the effectiveness of aid and to increase the efficiency of administration processes. DFID will continue to set its budget and strategy towards achieving the Millennium Development Goals and meeting the ODA/GNI targets set out by the Government. Fur ther information on the trends and factors likely to improve future development are set out in Chapter 5 of this Repor t. Information on DFID policy priorities including humanitarian responses, our work across private sectors and future development post 2015 are set out in Chapter 1. Details on current programme management and its impact on future development are set out in Chapter 2. ## 6.1.8 Strategy For Sustainability Climate change is already affecting the world's poorest countries - from increased frequency and severity of flooding in Bangladesh to changing rainfall patterns across Africa, bringing drought and crop failure to countries like Ethiopia, Kenya and Somalia. International suppor t is needed to help communities adapt to the impacts of climate change and to help countries develop infrastructure that suppor ts growth and withstands future climate instability. DFID is committed to addressing both the causes and likely effects of climate change so that progress in tackling pover ty continues. This includes ensuring that DFID is 'climate smar t'. Being climate smar t means both ensuring that all of DFID's development policies and programmes are climate-proofed, and also that our UK and international operations are sustainable. DFID has a Carbon Management Plan (endorsed by the Carbon Trust) which sets out actions to reduce our operational carbon emissions up until 2015. Actions to date include reducing emissions through data server and printer rationalisation projects, estate rationalisation, and a biomass boiler and green roof at our site in East Kilbride, Scotland. We have also extended the Greening Government Commitments (GGC's) to our overseas estate and international travel on a per head basis, and teams across DFID have examined ways of reducing emissions and saving money as par t of their climate change reviews. We remain firmly on track to meet the GGC target to reduce carbon emissions from energy with a 35% reduction against the baseline. The latest decrease in carbon is par tly due to DFID vacating our previous London premises during the year. In the longer term the disposal of our Palace Street premises and move to a smaller office will result in a continued significant decrease in our emissions. ## 6.1.8.1 Sustainability Accounting And Reporting The following section presents more detailed environmental data on our year on year reductions against the GGC baseline and a breakdown of our financial costs. ## Reducing Greenhouse Gas Emissions From Estate/Business Related Transport DFID has implemented a number of initiatives since the GGC baseline year (2009–10) which has resulted in carbon emissions savings of 46%. In the UK we have moved to a smaller office in London which will reduce our carbon emission savings fur ther. The refurbished Whitehall office has achieved a very good Building Research Environmental Assessment Methodology (BREEAM) rating. In addition, any future construction or refurbishment of overseas premises will be subject to a BREEAM assessment with a target to achieve a 'good' rating or above where practicable. ## Energy Usage In Kwh Co2 Emissions \| Greenhouse gas emissions \| 2009–10 \| 2010–11 \| 2011–12 \| 2012–13 \| 2013–14 \| \|-----------------------------\|------------\|------------\|------------\|------------\|------------\| \| Total gross \| \| \| \| \| \| \| emissions \| 3,860 \| 3,409 \| 2,690 \| 2,803 \| 2,055 \| \| Gross \| \| \| \| \| \| \| emissions \| \| \| \| \| \| \| Scope 1 \| \| \| \| \| \| \| (direct) \| 654 \| 454 \| 255 \| 350 \| 155 \| \| Non-financial \| \| \| \| \| \| \| indicators \| \| \| \| \| \| \| (tCO ) \| \| \| \| \| \| \| 2 \| \| \| \| \| \| \| Gross \| \| \| \| \| \| \| emissions \| \| \| \| \| \| \| Scope 2 and \| \| \| \| \| \| \| 3 (indirect) \| 3,206 \| 2,955 \| 2,435 \| 2,453 \| 1,900 \| \| Electricity: \| \| \| \| \| \| \| Non \| \| \| \| \| \| \| renewable \| 5,930 \| 5,455 \| 4,121 \| 3,959 \| 3,712 \| \| Electricity: \| \| \| \| \| \| \| Renewable \| - \| - \| \| \| \| \| Related \| \| \| \| \| \| \| energy \| \| \| \| \| \| \| consumption \| \| \| \| \| \| \| (000 Kwh) \| Gas \| 3,564 \| 2,464 \| 1,485 \| \| \| LPG \| - \| - \| - \| - \| - \| \| Other \| - \| - \| - \| - \| 105 \| \| Expenditure \| \| \| \| \| \| \| on energy \| 479 \| 550 \| 513 \| 604 \| 468 \| \| CRC licence \| \| \| \| \| \| \| expenditure \| - \| - \| - \| - \| - \| \| Financial \| \| \| \| \| \| \| indicators \| \| \| \| \| \| \| (£000) \| \| \| \| \| \| \| Expenditure \| \| \| \| \| \| \| on accredited \| \| \| \| \| \| \| offsets \| 303 \| 121 \| 180 \| 160 \| 53 \| \| Expenditure \| \| \| \| \| \| \| on official \| \| \| \| \| \| \| business \| \| \| \| \| \| \| travel \| 4,437 \| 3,938 \| 4,050 \| 5,611 \| 6,418 \| ## Travel Related Emissions Since the 2009–10 baseline, DFID has recorded the following emissions from domestic air miles (business related travel): ## Domestic Travel Flights \| 2009–10 \| 2010–11 \| 2011–12 \| 2012–13 \| 2013–14 \| \|-----------------------\|------------\|------------\|------------\|------------\| \| Miles \| Carbon \| Miles \| Carbon \| \| \| UK domestic air miles \| 496 \| 1.5m \| 463 \| 1.35m \| DFID domestic flights have increased by 18% against the 2009–10 baseline. This is due largely to the relocation of a number of programme and policy posts from London and growth in staff numbers in our East Kilbride office. DFID has also now developed a new air miles tracker system which will allow Heads of Depar tments and individuals to monitor and manage staff air miles more systematically . The system will be fur ther developed to include a progress tracker against the GGC target. We are also developing an online tool which will enable staff to volunteer their personal air miles information to other members of DFID staff. Although the GGC does not include international travel, DFID has agreed internal targets to reduce carbon emissions from international air travel in line with the requirements of the GGC targets (see section on promoting sustainable development below for fur ther information on progress towards our overseas targets). \| - \| - \| - \| \|-------\|--------\|-------\| \| 1,891 \| 844 \| \| \| Miles \| Carbon \| Miles \| \| 410 \| 1.34m \| 356 \| ## Reduce Waste The Greening Government Commitment is to reduce the amount of waste we generate by 25% by 2015, against the 2009–2010 baseline. By the end of 2013–14 DFID was down 33% against the 2009–10 figure. Although there is not a GGC target for recycling rates, DFID has set an internal target of recycling at least 75% of waste. DFID achieved 64% in 2013–14 and hope to improve fur ther by the recent introduction of food waste recycling and better signage on our waste bins. In terms of the 2013–14 total of 214 tonnes shown in the table below, 138 tonnes (64%) was recycled, 70 tonnes (33%) was incinerated with energy recovery (Refuse Derived Fuel) and 6 tonnes (3%) was sent to landfill. ## Waste Reducing Water Consumption DFID currently demonstrates 'good practice' for water consumption as defined under the Greening Government Commitments for water. Water usage decreased in 2013–14 by 37% compared to 2012–13, largely due to the disposal of our second London building. We are currently carrying out an environmental review of the new Whitehall office to identify future oppor tunities for saving water. DFID does not own water reserves in lakes, reservoirs or boreholes so water usage is classified as Scope 2 only. In terms of expenditure on water in 2013–14, this was £16,547, a reduction of 26% on 2009–10. ## Water (Scope 2 Only) Water Usage (Cubic Metres) ar char t. ## 6.1.8.2 Sustainable Procurement DFID has a sustainable procurement strategy which aligns with the latest GGC requirements: - Supplier engagement - targeting corporate suppliers to promote continual sustainability improvement including incentives for suppliers where possible and ensuring compliance with Government sourcing policies. - Policy, strategy and communications - the revised sustainable procurement strategy includes sourcing strategies for key corporate requirements; supplier engagement; training; measurable objectives; risks and a review schedule. The Depar tment of Energy and Climate Change recently issued new sustainable procurement repor ting requirements. DFID will put measures in place to ensure it continues to make strong progress towards these targets. ## 6.1.8.3 Future Projects Though many of the most beneficial and cost-effective building improvements have been made, we are continuing to investigate and implement a number of energy efficiency measures in both East Kilbride and London. Projects which contributed to fur ther improvements during 2013–14 included: - Operating our new biomass boiler which reduced gas usage in our East Kilbride office by 27% - Replacement of local heating/cooling equipment in our London office with more energy efficient units - Roll out of new laptops using 50% less power than previous models - Implementation of a vir tual desktop infrastructure and PCs which use 60% less power - Improvements to the general fabric of our East Kilbride office. The DFID Carbon Management Plan outlines existing energy saving projects and plans for future projects such as the review of the East Kilbride lighting system. ## 6.1.8.4 Promoting Sustainable Development Overseas DFID is committed to integrating climate and environment concerns into all of its development aid under its Climate Smar t Business plan commitment. This committed DFID to address climate change risks and oppor tunities across the Depar tment by the end of 2013. The Climate Smar t programme is delivered through Strategic Programme Reviews (SPR), carried out by each DFID business unit overseas and in the UK. The SPR includes four areas of action on demonstrating leadership: raising awareness; reducing the environmental impact of DFID operations; analysing climate risks; and oppor tunities in DFID programmes. For example, in Bangladesh, the SPR has helped to deliver a 16% reduction in carbon emissions from DFID's estate since 2009–10; initiated the establishment of a more robust national climate finance mechanism, the Bangladesh Climate Change Resilience Fund; and has led to climate resilience being designed into programmes, such as adapting primary schools in vulnerable areas of Bangladesh to double as cyclone shelters. DFID recognises that our overseas estate is a significant par t of our carbon footprint and last year we extended the GGC targets to reduce carbon emissions from our country offices on a per head basis. We are monitoring emissions across all of our overseas estates, and are taking measures to improve data collection. Many country offices are making strong progress in reducing emissions, such as India, Bangladesh and Ethiopia. There is significant scope to harness these ideas and reduce our overseas footprint across the board. We are still in the process of collecting 13–14 data from our Overseas Offices and this will be posted on our website as soon as it is available. ## 6.1.8.5 Biodiversity And Natural Environment DFID does not have any Sites of Specific Scientific interest. ## 6.1.8.6 Procurement Of Food And Catering Services An integral par t of the DFID facilities management contract is to ensure that the procurement of all food meets UK or equivalent production standards, and aims to reduce the environmental impacts of food and catering ser vices and suppor t a healthy balanced diet. ## 6.1.9 Equality And Diversity DFID is committed to creating an inclusive working environment to maximise the potential of all staff, providing equal oppor tunities in all aspects of employment and avoiding unlawful discrimination or bullying and harassment at work. DFID is accredited under the Disability Two Ticks Scheme, which guarantees an interview for suitable applicants with disabilities. DFID's Equality Framework explains how equality and diversity can make improvements in practices and so suppor t the Depar tment's vision and priorities. The framework provides an approach for DFID to carry out equality and diversity, both for service delivery (a generic term used to cover the programme, policy, advisory and developmental roles DFID under takes) and for employment practices. In line with the framework and the Equality Act 2010, DFID has published information to show how it is implementing equality and diversity at home and overseas at https://www.gov .uk/government/ publications/dfid-staff-repor t-on-equality-and-diversity-for-2011. In par ticular, we have published our 5 equality objectives, our equality and diversity repor t and our depar tmental staff repor t. DFID is actively using these to gain a comprehensive picture of progress on equality and diversity. The Act applies to everyone in Great Britain and Nor thern Ireland and to home civil servants based overseas. While it does not apply technically in other countries, DFID applies the general principles of equality and diversity to its overseas offices and has a clear commitment to deliver equality and value diversity in all that is done, while allowing for the fact that practice may vary from office to office to take account of local laws and custom. The following table summarises the number of DFID employees by gender as at 31 March 2014 and 31 March 2013. \| \| \| 31 March 2014 \| 31 March 2013 \| \|-----------\|------------\|------------------\|------------------\| \| Headcount \| Percentage \| Headcount \| Percentage \| \| Male \| \| \| \| \| 906 \| 47.38% \| 883 \| 48.70% \| \| Female \| \| \| \| \| 1,006 \| 52.62% \| 930 \| 51.30% \| \| Total \| 1,912 \| 1,813 \| \| Total employees at 31 March 2014 includes 37 female and 55 male Senior Civil Ser vants. At the repor ting date, DFID's Depar tmental Board was comprised of 4 female and 8 male board members. ## 6.1.10 Finance Improvement Plan - 'Finance For All' DFID continues to make good progress in implementing its Finance Improvement Plan which was launched under the 'Finance for All' strategy in September 2011. In 2013–14 the programme focused predominately on implementing the new Finance Operating Model, the framework through which DFID conducts its financial activities. The new model will create a stronger par tnership between core finance and the rest of the business, a stronger embedded financial management function, and deliver efficiencies through centralising invoice payments in the UK. Detailed proposals for the new model were approved by the Finance Improvement Board in April 2013 and implementation of the new structure is well under way. Fur ther recruitment is ongoing and we expect both structural and efficiency changes to be fully in place during 2014–15. Progress was also made in suppor ting management information initiatives, strengthening the development of finance skills, development in non-finance roles and providing input to the organisational review of programme management. Mark Lowcock Accounting Officer for the Depar tment for International Development 4 July 2014 ## 6.2 Directors' Report 6.2.1 Corporate Governance DFID's corporate governance arrangements are set out within the Governance Statement. This sets out the governance framework of the organisation, including information about the Board's committee structure, its attendance records and the coverage of its work. The statement includes the required assessment of compliance with the Corporate Governance Code and provides explanations of any departures. ## 6.2.2 Risk DFID's Risk and Control Framework is described in detail within the Governance Statement. This recognises 3 categories of risk: strategic risk, operational risk and project risk. DFID's approach to managing transactional risks such as currency risk, liquidity risk, interest rate risk and market risk is outlined in note 11 to these accounts. ## 6.2.3 Senior Management Ministers DFID is represented in the Cabinet by the Secretary of State for International Development Justine Greening MP . The Secretary of State is suppor ted in the House of Commons by Minister of State Alan Duncan MP and Parliamentary Under Secretary of State Lynne Featherstone MP . ## Departmental Board The Depar tmental Board is responsible for advising on and monitoring implementation of the Depar tment's strategy and policy priorities. ## Permanent Secretary The Senior Civil Ser vant in DFID is the Permanent Secretary, Mark Lowcock. ## Executive Management Committee (Emc) The EMC is a sub-committee of the Depar tmental Board which is chaired by the Permanent Secretary and which oversees day to day implementation of DFID's strategy and policy priorities. Information on company directorships held by members of the EMC can be obtained from DFID's Public Enquiry Point upon request by email to enquiry@dfid.gov .uk. ## Non-Executive Directors (Neds) NEDs use their experiences and skills from outside DFID to provide objective and constructive challenge on the committee and boards. Details of the composition of the Depar tmental Board, the EMC and associated sub-committees are set out within the Governance Statement in section 6.7. ## 6.2.4 Health, Safety And Well-Being DFID is committed to ensuring the health, safety and well-being of its employees and workers, both Home Civil Servants and staff appointed in country. DFID seeks to create a workplace where we not only protect the health, safety and wellbeing of staff but also promote a healthy workforce, maintain safe systems of work and suppor t the physical and emotional wellbeing of staff. DFID has a counselling service in the form of an EAP (Employee Assistance Provider) for all staff to access if they need personal suppor t. In addition, DFID offers specialist counselling for staff in hostile environments. DFID's maximising attendance policy helps to ensure that sickness absence is effectively managed and ultimately does not detract from DFID's delivery performance. The aim of this policy and its associated procedures is to ensure that all employees are aware of their responsibilities in maximising attendance, to enable the consistent management of attendance issues, and to underline DFID's commitment to the provision of appropriate employee suppor t. This policy applies to all Home Civil Ser vants and staff appointed in country. It does not apply to agency workers, consultants, or any other workers not employed by DFID. The following table summarises sickness absence per full time equivalent days, the basis of the whole of government benchmark, for the calendar year ended 31 December, plus a comparison with the previous calendar year. \| \| 2013 \| 2012 \| \|------------------------------------------------\|---------\|---------\| \| Working days lost (short term absence) \| 3,207 \| 3,501 \| \| Working days lost (long term absence) \| 5,582 \| 5,395 \| \| Total working days lost \| 8,789 \| 8,896 \| \| Number of staff absent as a result of sickness \| 653 \| 687 \| ## 6.2.5 Personal Data Losses No protected personal data-related incidents were repor ted to the Information Commissioner's Office in 2013–14. Owing to the nature of DFID's business and in comparison with many other government depar tments which provide significant citizen-facing services, the Depar tment does not hold large volumes of personal data. DFID does hold a moderate amount of classified information. DFID takes its responsibility for management of all data very seriously. A governance structure compliant with the UK government's Security Policy Framework is in place for information security and risk management. DFID is also independently cer tified as compliant with ISO/IEC 27001:2005, the international standard for information security management systems. DFID has been formally compliant with the standard since 2008 and is committed to maintaining its cer tification in the future. DFID's compliance with the standard is assessed bi-annually which involves physical inspections of UK headquar ters and overseas offices. DFID remains the only ministerial depar tment to hold this cer tification. The Depar tment has a programme of work to ensure continued compliance with the UK government's Security Policy Framework, the Cabinet Office Data Handling Review and ISO/IEC 27001:2005. This includes a training, education and awareness plan to maintain and raise awareness of information security issues across DFID. Directors are responsible for providing assurance on information security in their annual statements of assurance which suppor t this and other elements of the Governance Statement. DFID will continue to monitor and assess its information risks in order to identify and address any weaknesses, and to ensure continuous improvement of its systems. As shown in the table below, there were no incidents which were deemed by the Data Controller not to fall within the criteria for repor t to the Information Commissioner's Office but recorded centrally within the Depar tment. Small, localised incidents are not recorded centrally and are not cited in these figures. \| Category \| Nature of incident \| Total \| \|----------------------------------------------------------\|-------------------------\|----------\| \| 2013–14 \| \| \| \| Total \| \| \| \| 2012–13 \| \| \| \| - \| - \| I \| \| paper documents from secured Government premises \| \| \| \| - \| - \| II \| \| paper documents from outside secured Government premises \| \| \| \| - \| - \| III \| \| equipment, devices or paper documents \| \| \| \| IV \| Unauthorised disclosure \| - \| \| V \| Other \| - \| ## 6.2.6 Employee Engagement DFID promotes employee engagement at all levels across the world. DFID operates within an open and honest environment to encourage staff to feed back their views both formally and informally. Staff are given the oppor tunity to contribute their views formally through an annual staffing sur vey, the results of which are reviewed by senior management, heads of depar tment and line managers. Action is taken to address findings, where appropriate. During the year, staff are kept up to date with strategy development, priorities and financial performance through a variety of channels, such as all-staff meetings, use of the intranet and sharing of board minutes summarising key developments within the organisation. Staff are encouraged to obser ve high-level meetings across the organisation such as the Audit Committee and the Executive Management Committee. In addition, DFID has a team dedicated to employee engagement to ensure that all staff receive the most impor tant messages that affect them and their work, and that they have a chance to have their say on changes. Informally, staff can provide feedback through channels such as depar tmental meetings, blogs and other means of knowledge sharing. DFID makes extensive use of new media in order to engage with staff, such as bringing together staff across the organisation through the use of video conferencing. This assists with overcoming the geographical and logistical barriers to effective employee engagement. ## 6.3 Events After The Reporting Date DFID's Annual Repor t and Accounts are laid before the Houses of Parliament by HM Treasury. The Accounting Officer authorised these financial statements for issue on the same date that the Comptroller and Auditor General signed his cer tificate. ## 6.3.1 Non-Adjusting Events After The Reporting Date No non-adjusting events after the repor ting date have been identified. ## 6.4 Auditors These accounts are audited by the Comptroller and Auditor General. The auditors have been provided with all information identified as relevant to the audit. As Accounting Officer I have taken all the steps appropriate to ensure that I am aware of relevant audit information and to establish that the entity's auditors are aware of the information. Mark Lowcock Accounting Officer for the Depar tment for International Development 4 July 2014 ## 6.5 Remuneration Report Remuneration Policy The remuneration of senior civil servants is set by the Prime Minister following independent advice from the Review Body on Senior Salaries. The Review Body also advises the Prime Minister from time to time on the pay and pensions of MPs and their allowances; on peers' allowances; and on the pay, pensions and allowances of ministers and others whose pay is determined by the Ministerial and Other Salaries Act 1975. In reaching its recommendations, the Review Body has regard to the following considerations: - the need to recruit, retain and motivate suitably able and qualified people to exercise their different responsibilities - regional/local variations in labour markets and their effects on the recruitment and retention of staff - government policies for improving the public ser vices, including the requirement on depar tments to meet the output targets for the delivery of depar tmental services - the funds available to depar tments as set out in the government's DELs - the government's inflation target The Review Body takes account of the evidence it receives about wider economic considerations and the affordability of its recommendations. Fur ther information about the work of the Review Body can be found at www.ome.uk.com In line with the Coalition government's transparency commitments, DFID is now publishing salary details of its senior civil servants, in the format agreed with Cabinet Office, on the government's website www.gov .uk ## Service Contracts The Constitutional Reform and Governance Act 2010 requires Civil Service appointments to be made on merit on the basis of fair and open competition. The Recruitment Principles published by the Civil Service Commission specify the circumstances when appointments may be made otherwise. Unless otherwise stated below, the officials covered by this repor t hold appointments which are open-ended. Early termination, other than for misconduct, would result in the individual receiving compensation as set out in the Civil Ser vice Compensation Scheme. Fur ther information about the work of the Civil Ser vice Commission can be found at www.civilser vicecommission.org.uk ## Salary And Pension Entitlements (This Information Has Been Audited) The following sections provide details of the remuneration and pension interests of the ministers and the permanent members of the Executive Management Committee (EMC). ## Remuneration (Salary, Benefits In Kind And Pensions) Ministers Salary £ Benefits in kind (to nearest £100) 2013–14 2012–13 2013–14 2012–13 2013–14 2012–13 2013–14 2012–13 Justine Greening Secretary of State 68,169 [2] 34,413 - - 25,000 11,000 93,000 45,000 Alan Duncan Minister of State 32,344 [3] 33,002 - - 12,000 12,000 44,000 45,000 Lynne Featherstone Parliamentary Under 23,039 [4] 11,849 - - 8,000 4,000 31,000 16,000 Secretary of State [1] The value of pension benefits accrued during the year is calculated as (the real increase in pension multiplied by 20) less (the contributions made by the individual). The real increase excludes increases due to inflation or any increase or decrease due to a transfer of pension rights. [2] £68,169 (full year equivalent) and £79,754 (entitled salary) (2012-13: £68,827 (full year equivalent) and £79,754 (entitled salary)) [3] £32,344 (full year equivalent) and £41,370 (entitled salary) (2012-13: £33,002 (full year equivalent) and £41,370 (entitled salary)) [4] £23,039 (full year equivalent) and £31,401 (entitled salary) (2012-13: £23,697 (full year equivalent) and £31,401 (entitled salary)) Total (to nearest £1,000) Pension benefits (to nearest £1,000) (to nearest £1,000)[1] EMC members Salary (£000) Bonus payments (£000) 2013–14 2012–13 2013–14 2012–13 2013–14 2012–13 2013–14 2012–13 2013–14 2012–13 160–165 155–160 15–20 - - - 15,000 22,000 190–195 180–185 Mark Lowcock Permanent Secretary 120–125 10–15 Richard Calvert Director General 125–130 10–15 - - 8,000 9,000 145–150 145–150 115–120 - Joy Hutcheon Director General 120–125 - - - 14,000 72,000 130–135 190–195 115–120 - - - 12,000 45,000 60–65 165–170 - Michael Anderson Director General (to 31/8/13) 50–55 (120–125 full year equivalent)[2] 115–120 - - - 9,000 145,000 85–90 265–270 - Mark Bowman Director General (to 30/11/13) 75–80 (120–125 full year equivalent)[3] - - - 9,000 - 35–40 - - - Moazzam Malik Director General (from1/11/13 to 31/1/14) 25–30 (100–105 full year equivalent)[4] Nick Dyer Director General (from 1/8/13) - - - 80,000 - 150–155 - - - 70–75 (110–115 full year equivalent)[5] - - - - - - - - - David Kennedy Director General (from 16/6/14) –(125–130 full year equivalent) [1] The value of pension benefits accrued during the year is calculated as (the real increase in pension multiplied by 20) plus (the real increase in any lump sum) less (the contributions made by the individual). The real increases exclude increases due to inflation or any increase or decreases due to a transfer of pension rights. [2] Resigned from DFID with effect from 31/8/13 [3] Transferred to HMT with effect from 18/11/13, paid by DFID until 30/11/13 [4] On temporary promotion from 1/11/13 to 31/1/14. Transferred on loan to FCO with effect from 31/1/14 [5] On temporary promotion from 1/8/13 to 3/11/13 and subsequently promoted on 4/11/13 ## Salary 'Salary' includes gross salary; over time; reserved rights to London weighting or London allowances; recruitment and retention allowances; private office allowances and any other allowance to the extent that it is subject to UK taxation. During 2013–14, the following fees and taxable expenses were paid to non-executive members of the Board: - Vivienne Cox - £20,000 - Richard Keys - £20,466 - Tim Robinson - nil (£15,000 entitled salary) - Eric Salama - nil (£15,000 entitled salary) Pension benefits (to nearest £1,000) Total (£000) Benefits in kind (to nearest £100) [1] This repor t is based on accrued payments made by the Depar tment and thus recorded in these accounts. In respect of ministers in the House of Commons, depar tments bear only the cost of the additional ministerial remuneration; the salary for their ser vices as an MP (£65,738 from 1 April 2010, £66,396 from 1 April 2013) and various allowances to which they are entitled are borne centrally. The following table summarises the number of Senior Civil Ser vice (SCS) staff by pay band as at 31 March 2014 and 31 March 2013. \| SCS Pay Band \| 31 March 2014 (Headcount) \| 31 March 2013 (Headcount) \| \|-----------------\|------------------------------\|------------------------------\| \| 1 \| 66 \| 63 \| \| 2 \| 14 \| 14 \| \| 3 \| 3 \| 4 \| \| Perm Sec \| 1 \| 1 \| \| TOTAL \| 84 \| 82 \| ## Benefits In Kind The monetary value of benefits in kind covers any benefits provided by the Depar tment and treated by HM Revenue and Customs as a taxable emolument. No benefits in kind were provided in 2013–14. ## Bonuses All SCS staff are required to use their objectives to capture their contribution to the achievement of DFID's Business Plan, as well as what they will do to leverage progress in achieving DFID's Organisational Vision and Improvement Plan. DFID's system for SCS performance management is based on the Cabinet Office's guidance on SCS performance objectives. This guidance states that each member of the SCS must have at least one objective under each of the following headings: - Business delivery - Finance/efficiency - People/capability - Corporate leadership All SCS must also give consideration to setting objectives that: - capture their role in fostering an ethos of volunteering across their team, unit or depar tment; - incorporate diversity by embedding it in business, finance/efficiency or people/capability objectives; - contribute a propor tion of their time to their wider depar tment/agency, and the Civil Ser vice as a whole. ## Delegated Grade Performance DFID has adopted a best practice performance management framework developed by the Civil Service Employee Policy for use across Government. Objectives are set in discussion with individual line managers at the beginning of the performance year (April) and monitored throughout the year. At the end of the performance year employees are given a 'box marking' to indicate if they have met or exceeded their objectives or to indicate that they must improve. Bonuses are based on performance levels attained and are made as par t of the appraisal process. The bonuses repor ted in 2013–14 relate to performance in 2012–13 and the comparative bonuses repor ted for 2012–13 relate to the performance in 2011–12. ## Pay Multiples Repor ting bodies are required to disclose the relationship between the remuneration of the highest paid director in their organisation and the median remuneration of the organisation's workforce. The banded remuneration of the highest-paid member of the EMC in DFID in the financial year 2013–14 was £175,000–£180,000 (2012–13: £160,000–165,000). This was 3.4 times (2012–13: 2.9) the median remuneration of the workforce, which was £52,901 (2012–13: £54,550). In 2013–14 and 2012–13, no employees received remuneration in excess of the highest-paid member of the EMC. Remuneration ranged from £16,000–£180,000 (2012–13: £15,000–£165,000). Total remuneration includes salary, non-consolidated performance-related pay and benefits in kind as well as severance payments. It does not include employer pension contributions and the cash equivalent transfer value of pensions. ## Pension Benefits Ministerial Pensions \| \| \| \|-------------------------------\|-------\| \| Minister \| \| \| \| \| \| \| \| \| \| \| \| Accrued \| \| \| pension at age \| \| \| 65 as at 31/3/14 \| \| \| CETV at \| \| \| 31/3/14 \| \| \| CETV at \| \| \| 31/3/13 \| \| \| Real \| \| \| increase in \| \| \| CETV \| \| \| Real \| \| \| increase in \| \| \| pension at \| \| \| age 65 \| \| \| £000 \| £000 \| \| \| 5–10 \| \| Secretary of State \| \| \| \| 0–5 \| \| Minister of State \| \| \| 0–5 \| 0–2.5 \| \| \| \| \| Lynne Featherstone \| \| \| Parliamentary Under Secretary \| \| \| of State \| \| Pension benefits for ministers are provided by the Parliamentary Contributory Pension Fund (PCPF). The scheme is made under statute (the regulations are set out in Statutory Instrument SI 1993 No 3253, as amended). Those ministers who are Members of Parliament may also accrue an MP's pension under the PCPF (details of which are not included in this repor t). The accrual rate has been 1/40th since 15 July 2002 (or 5 July 2001 for those that chose to backdate the change) but ministers, in common with all other members of the PCPF , can opt for a 1/50th accrual rate and a lower rate of member contribution. An additional 1/60th accrual rate option (backdated to 1 April 2008) was introduced from 1 January 2010. Benefits for ministers are payable at the same time as MPs' benefits become payable under the PCPF or, for those who are not MPs, on retirement from ministerial office from age 65. Pensions are revalued annually in line with pensions increase legislation. From 1 April 2013 members paid contributions between 7.9% and 16.7% depending on their level of seniority and chosen accrual rate. The contribution rates will increase from April 2014. The accrued pension quoted is the pension the minister is entitled to receive when they reach 65, or immediately on ceasing to be an active member of the scheme if they are already 65. In line with reforms to other public service pension schemes, it is intended to reform the Ministerial Pension Scheme in 2015. ## The Cash Equivalent Transfer Value (Cetv) This is the actuarially assessed capitalised value of the pension scheme benefits accrued by a member at a par ticular point in time. The benefits valued are the member's accrued benefits and any contingent spouse's pension payable from the scheme. A CETV is a payment made by a pension scheme or arrangement to secure pension benefits in another pension scheme or arrangement when the member leaves a scheme and chooses to transfer the pension benefits they have accrued in their former scheme. The pension figures shown relate to the benefits that the individual has accrued as a consequence of their total ministerial ser vice, not just their current appointment as a minister. CETVs are calculated in accordance with The Occupational Pension Schemes (Transfer Values) (Amendment) Regulations 2008 and do not take account of any actual or potential reduction to benefits resulting from Lifetime Allowance Tax which may be due when pension benefits are taken. ## The Real Increase In The Value Of The Cetv This is the element of the increase in accrued pension funded by the Exchequer. It excludes increases due to inflation and contributions paid by the minister. It is worked out using common market valuation factors for the star t and end of the period. ## Civil Service Pensions \| EMC members \| Accrued pension at \| \|---------------------\|-----------------------\| \| pension age as at \| \| \| 31/3/14 and related \| \| \| lump sum \| \| \| Real increase \| \| \| in pension and \| \| \| related lump sum \| \| \| at pension age \| \| \| £000 \| £000 \| \| 55–60 plus lump \| \| \| sum of 165–170 \| \| \| 0–2.5 plus lump \| \| \| sum of 2.5–5 \| \| \| Mark Lowcock \| \| \| Permanent \| \| \| Secretary \| \| \| Richard Calvert \| \| \| Director General \| \| \| 45–50 plus lump \| \| \| sum of 140–145 \| \| \| 0–2.5 plus lump \| \| \| sum of 0–2.5 \| \| \| Joy Hutcheon \| \| \| Director General \| \| \| 35–40 plus lump \| \| \| sum of 115–120 \| \| \| 0–2.5 plus lump \| \| \| sum of 2.5–5 \| \| \| 20–25 \| 0–2.5 \| \| Director General \| \| \| (to 31/8/13) \| \| \| 25–30 plus lump \| \| \| sum of 85–90 \| \| \| 0–2.5 plus lump \| \| \| sum of 2.5–5 \| \| \| Mark Bowman \| \| \| Director General \| \| \| (to 30/11/13) \| \| \| Moazzam Malik \| \| \| 15–20 plus lump \| 0–2.5 plus lump \| \| sum of 50–55 \| sum of 0–2.5 \| \| \| \| \| Director General \| \| \| (temporary \| \| \| promotion from \| \| \| 1/11/13 to 31/1/14) \| \| \| 35–40 plus lump \| \| \| sum of 115–120 \| \| \| 2.5–5 plus lump \| \| \| sum of 10–12.5 \| \| \| \| \| \| Nick Dyer \| \| \| Director General \| \| \| (from 1/8/13) \| \| \| - \| - \| \| \| \| \| David Kennedy \| \| \| Director General \| \| \| (from 16/6/14) \| \| [1] The CETV at 31 March 2013 quoted in the 2012-13 Annual Accounts for Mark Bowman was incorrectly recorded as 388 Pension benefits are provided through the Civil Ser vice pension arrangements. From 30 July 2007, civil ser vants may be in one of four defined benefit schemes: either a final salary scheme (classic, premium or classic plus): or a whole career scheme (nuvos). These statutory arrangements are unfunded with the cost of benefits met by monies voted by Parliament each year. Pensions payable under classic, premium, classic plus and nuvos are increased annually in line with pensions increase legislation. Members joining from October 2002 may opt for either the appropriate defined benefit arrangement or a 'money purchase' stakeholder pension with an employer contribution (partnership pension account). Employee contributions are salary-related and range between 1.5% and 6.25% of pensionable earnings for classic and 3.5% and 8.25% for premium, classic plus and nuvos. Increases to employee contributions will apply from 1 April 2014. Benefits in classic accrue at the rate of 1/80th of final pensionable earnings for each year of service. In addition, a lump sum equivalent to 3 years' CETV at 31/3/14 CETV at 31/3/13 Real increase in CETV Employer contribution to partnership pension account 995 924 9 - 872 813 4 - 642 587 6 - 418 338 [1] 7 - 668 573 58 - initial pension is payable on retirement. For premium, benefits accrue at the rate of 1/60th of final pensionable earnings for each year of service. Unlike classic, there is no automatic lump sum. Classic plus is essentially a hybrid with benefits for ser vice before 1 October 2002 calculated broadly as per classic and benefits for service from October 2002 worked out as in premium. In nuvos a member builds up a pension based on their pensionable earnings during their period of scheme membership. At the end of the scheme year (31 March) the member's earned pension account is credited with 2.3% of their pensionable earnings in that scheme year and the accrued pension is uprated in line with pensions increase legislation. In all cases members may opt to give up (commute) pension for a lump sum up to the limits set by the Finance Act 2004. The partnership pension account is a stakeholder pension arrangement. The employer makes a basic contribution of between 3% and 12.5% (depending on the age of the member) into a stakeholder pension product chosen by the employee from a panel of three providers. The employee does not have to contribute, but where they do make contributions, the employer will match these up to a limit of 3% of pensionable salary (in addition to the employer's basic contribution). Employers also contribute a fur ther 0.8% of pensionable salary to cover the cost of centrally-provided risk benefit cover (death in service and ill health retirement). The accrued pension quoted is the pension the member is entitled to receive when they reach pension age, or immediately on ceasing to be an active member of the scheme if they are already at or over pension age. Pension age is 60 for members of classic, premium and classic plus and 65 for members of nuvos. Fur ther details about the Civil Ser vice pension arrangements can be found at the website www.civilser vice.gov .uk/pensions ## Reporting Of Civil Service And Other Compensation Schemes - Exit Packages Comparative data shown in brackets for previous calendar year \| Core Department \| Agencies \| Departmental Group \| \|--------------------\|--------------\|-----------------------\| \| Total \| \| \| \| number \| \| \| \| Number of \| \| \| \| of exit \| \| \| \| \| \| \| \| \| compulsory \| \| \| \| \| \| \| \| \| \| \| \| packages \| \| \| Exit \| \| \| \| package \| \| \| \| cost band \| redundancies \| \| \| Number of \| \| \| \| compulsory \| \| \| \| redundancies \| \| \| \| Number \| \| \| \| of other \| \| \| \| departures \| \| \| \| agreed \| by cost \| \| \| band \| \| \| \| <£10,000 \| \| \| \| 1(–) \| 1(–) \| 2(–) \| \| £10,000– \| \| \| \| £25,000 \| \| \| \| - (–) \| 4(2) \| 4(3) \| \| £25,000– \| \| \| \| £50,000 \| \| \| \| - (–) \| 7(1) \| 7(1) \| \| £50,000– \| \| \| \| £100,000 \| \| \| \| - (–) \| 5(2) \| 5(2) \| \| £100,000– \| \| \| \| £150,000 \| \| \| \| - (–) \| 4(2) \| 4(2) \| \| £150,000– \| \| \| \| £200,000 \| \| \| \| - (–) \| 1(2) \| 1(2) \| \| 1(1) \| 22(9) \| 23(10) \| \| Total \| \| \| \| number of \| \| \| \| exit \| \| \| \| packages \| \| \| \| \| Total cost \| \| \| (£000) \| \| \| \| 1,294 (836) \| 1,294 (836) \| \| Redundancy and other departure costs have been paid in accordance with the provisions of the Civil Service Compensation Scheme, a statutory scheme made under the Superannuation Act 1972. Exit costs are accounted for in full in the year of depar ture. Where the department has agreed early retirements, the additional costs are met by the depar tment and not by the Civil Service pension scheme. Ill-health retirement costs are met by the pension scheme and are not included in the table. \| \| \| Total \| \| \|--------------\|------------\|----------\|-----\| \| Number \| \| number \| \| \| Number of \| \| \| \| \| of other \| \| of exit \| \| \| \| \| \| \| \| \| compulsory \| \| \| \| departures \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| packages \| \| \| \| redundancies \| \| \| \| \| agreed \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Number \| \| \| \| \| of other \| \| \| \| \| departures \| \| \| \| \| agreed \| by cost \| \| \| \| Total \| \| \| \| \| number \| \| \| \| \| of exit \| \| \| \| \| packages \| \| \| \| \| by cost \| \| \| \| \| band \| band \| \| \| \| \| \| \| \| \| \| \| \| \| ## Off-Payroll Engagements The table below provides information on the number of off-payroll engagements, or those that reached 6 months in duration between 1 April 2013 and 31 March 2014 at a cost of £220 per day and that existed for longer than 6 months. The number relates to engagements within DFID and entities within its repor ting boundary, but does not include public corporations. \| Department \| Agencies \| ALBs \| \|----------------------------------------------------\|-------------\|---------\| \| 4 \| - \| - \| \| Number of new engagements, or those that \| \| \| \| reached 6 months in duration, between 1 April 2013 \| \| \| \| and 31 March 2014 \| \| \| \| 2 \| - \| - \| \| clauses giving the department the right to request \| \| \| \| assurance in relation to income tax and National \| \| \| \| Insurance obligations \| \| \| \| Number for whom assurance has been requested \| 2 \| - \| \| Of which. \| \| \| \| Number for whom assurance has been received \| 2 \| - \| \| Number for whom assurance has not been received \| - \| - \| \| - \| - \| - \| \| \| \| \| \| Number that have been terminated as a result of \| \| \| \| assurance not being received. \| \| \| The table below provides information on the number of off-payroll engagements of board members and/ or senior officials with significant financial responsibility, between 1 April 2013 and 31 March 2014. \| \| Main department \| Agencies \| ALBs \| \|----------------------------------------------------\|--------------------\|-------------\|---------------------------------------------------\| \| - \| - \| - \| Number of off-payroll engagements of board \| \| members, and/or, senior officials with significant \| \| \| \| \| financial responsibility \| \| \| \| \| 7 \| - \| - \| Number of individuals that have been deemed board \| \| members, and/or, senior officials with significant \| \| \| \| \| financial responsibility \| \| \| \| On 31 March 2014, DFID had a total of 3 off-payroll appointments with self-employed contractors earning more than £220 per day. One of these arrangements had been in place for less than 1 year on the repor ting date and 2 had been in place for between 1 and 2 years. All of DFID's off-payroll appointments are made in accordance with Human Resources and Procurement Policies designed to manage the risk of non-compliance with applicable tax regulations. Accounting Officer for the Depar tment for International Development 4 July 2014 ## 6.6 Public Interest And Other Matters 6.6.1 Payment Of Suppliers In accordance with the Prompt Payment Initiative, DFID aims to pay 80% of all valid undisputed invoices within 5 days of receipt. DFID aims to settle the remainder of all valid undisputed invoices within 10 days of receipt. During the year ended 31 March 2014, 82.93% of valid invoices were paid within 5 days of receipt (2012–13: 87.75%). The Depar tment will continue to review its operating practices and systems with a view to re-engineer processes and increase efficiency. This includes improvements in prompt payment of invoices. No amounts were paid in relation to late interest. The trade payable outstanding at 31 March 2014 as a propor tion of DFID total purchases from suppliers during the year was equivalent to 1 day's trading (2012–13: 1 day). ## 6.6.2 Transparency DFID has 2 main transparency initiatives: - UK Government Transparency Drive, which is the promise to the UK taxpayer to make information about depar tmental spend, contracts and staffing across all government depar tments more open and clear. DFID is committed to publishing every financial transaction above £500 for both programme and administration spend. Although the assumption is of automatic disclosure, a small number of exclusions apply in order not to harm DFID's work or staff. Exemption criteria include information that may harm DFID's relations with other governments or institutions, information that may pose a risk to the security or safety of individuals, information that intrudes on the privacy of a person or information that does harm to either DFID or its par tners'/suppliers' commercial interests. - Aid Transparency Guarantee (including the International Aid Transparency Initiative), which is the government's commitment to publish more detailed information on projects, making summary information available in local languages and providing oppor tunities for feedback from people affected by DFID's programmes. For DFID, the transparency initiatives mean greater visibility of our work to people within the UK and also to people in countries we work in. Details of information published under both initiatives are available at https://www.gov .uk/government/publications?depar tments%5B%5D=depar tment-for international-development ## 6.6.3 Estates Review As repor ted last year, the leasehold on our previous London office at 1 Palace Street was formally surrendered in December 2013. Our successful relocation to new freehold premises in Whitehall, coupled with the adoption of modern working practices, has resulted in a significant reduction in our estate running costs. ## 6.6.4 Foreign Exchange Policy Implementation In order to provide an increased level of budget cer tainty for a par ticular programme, a foreign exchange hedging policy was implemented during 2011–12. DFID does not enter forward currency contracts to provide an accounting hedge and, in accordance with HM Treasury guidelines, hedge accounting has not been applied. A purchase of forward contracts to match South African rand exposure was made. Details of the policy are set out in the accounting policy on financial instruments together with details of the unrealised losses and values covered by the policy during 2013–14, which are set out in note 11.2 to these accounts. Additionally, during this year several contracts matured - note 11.2 also sets out details of exchange rate gains or losses realised which are reflected in expenditure within the Consolidated Statement of Comprehensive Net Expenditure. ## 6.6.5 Publicity And Advertising The Cabinet Office marketing and adver tising freeze (from June 2010) remained in place during all of 2013–14. As a result, DFID incurred no adver tising or publicity costs during the year. ## 6.6.6 Donations No political or charitable donations were made during 2013–14. ## 6.6.7 Complaints To The Parliamentary Ombudsman In their annual repor t for 2013 (published May 2014), which is their most recently published repor t, the Parliamentary and Health Service Ombudsman noted that the number of enquiries relating to DFID fell from 3 to 2. The repor t can be found at http://www.ombudsman.org.uk/__data/assets/pdf_ file/0005/25259/FINAL_Government_Complaint_Handling_repor t_2013.pdf During 2013 the Ombudsman accepted a total of nil complaints for formal investigation relating to DFID. One complaint (carried over from the previous calendar year) was upheld; this compares to no complaints upheld against the Depar tment in 2012. The complaint upheld related to the Depar tment's investigation into allegations concerning the inappropriate use of funds and the handling of the complainant's details. There have been no new repor ts on DFID, or arms length bodies published since the 2013 annual repor t. During 2013–14 DFID and its agencies were fully compliant with Ombudsman recommendations. For fur ther information on the Ombudsman complaints process, classification of complaints and recent repor ts and consultations refer to http://www.ombudsman.org.uk/home. ## 6.6.8 Performance Indicators DFID collects information and data to measure the impact of our policies and reforms. The DFID Business Plan includes our input and impact indicators and other datasets. Progress is published regularly on the DFID website: https://www.gov .uk/government/organisations/depar tment-for international-development DFID continues to publish information on our budgetary spend through the Quar terly Data Summary (QDS). Making this information publically available is a key component of the government's transparency agenda and is intended to enable the public to judge the performance of the Depar tment. ## Contextual Information On Spending In January 2012, the Cabinet Office published standard data definitions for common areas of spend. The definitions for the spending figures can be found at https://www.gov .uk/government/publications/ common-areas-of-spend-data-definitions. The QDS presents the total spend of the Depar tment in 3 ways: by budget; by internal operation; and by transaction. ## Contextual Information On Results The measurement annexes for input indicators, impact indicators are available on www.gov .uk. DFID's QDS repor ts can be found at http://www.gist.cabinetoffice.gov .uk/ ## 6.6.9 Recruitment Practice And Senior Civil Service Remuneration An over view of DFID's recruitment practice and disclosure of Senior Civil Ser vice pay band information is presented within the Remuneration repor t in section 6.5. ## 6.6.10 Better Regulation DFID is not responsible for any regulations. However, within the Depar tment, DFID is improving its operational processes in a number of areas in line with Government's Better Regulation framework. It has established a Better Delivery Taskforce to improve programme management, complimenting its commercial capability improvements and is developing refreshed operational guidance to ensure improved clarity over processes, controls and accountabilities. In addition, the Depar tment is improving the way it engages and manages suppliers and is also developing its use of digital technology to improve interaction with programme delivery par tners. ## 6.7 Governance Statement 6.7.1 Introduction As Accounting Officer for the Depar tmental Group, I am responsible for ensuring that the Depar tment for International Development (DFID) has an effective governance framework which provides strategic direction and management of the organisation. In par ticular, I am responsible for ensuring that the suppor ting governance systems function as they are designed; that they oversee delivery of ministerial strategy and policy priorities, ensure value for money, manage risk, and ensure accountability and delivery of efficient and effective organisational performance. This is in suppor t of the achievement of the Depar tmental Business Plan and in accordance with the International Development Acts 2002 and 2006 and HM Treasury's Managing Public Money. ## 6.7.2 Overview To enable me to reach my overall opinion on the governance and control systems for DFID, I have drawn assurance from a range of sources including the work of the depar tment's Internal Audit Depar tment, the scrutiny of the Audit Committee, the Directors' annual statements of assurance, the opinions of the National Audit Office, and the work of the Independent Commission for Aid Impact. Taken together, these have given me a well-rounded and informed view of the Depar tment's governance and control environment. The last year has been a significant one for the Depar tment, as we led delivery of the Government's commitment to spend 0.7% of the UK's Gross National Income (GNI) on Official Development Assistance for the first time. The Depar tment has also played a leading role in shaping the post-2015 development landscape, delivering its results commitments, and responding to emergencies such as Typhoon Haiyan and the impact of the continuing civil war in Syria. The Depar tment has also continued its drive for efficiency and effectiveness in the delivery of our programmes, and has taken fur ther steps to ensure maximum impact and value for money from the Development budget. This has included the continued re-engineering of business processes, as well as growth in our skills and capability, par ticularly in relation to programme management and commercial activity. We have continued to strengthen our corporate functions, building a stronger network of professional skills across the depar tment, while also cutting costs. We have also recruited more technical and specialist skills into front line posts, suppor ting the scaling up of our programmes, par ticularly in fragile and conflict affected states. Looking fur ther ahead, we have also completed work to review our future business model, and to shape continued delivery in future years. This has par ticularly highlighted an increasing focus on economic development and job creation as a route to sustainable pover ty reduction. In relation to the wider reform agenda across the Civil Service, DFID was one of the first depar tments to publish a Depar tmental Improvement Plan. This plan sets out how DFID will build on the conclusions of the 2012 Capability Review and continue to make progress against the civil service reform agenda. In addition to reinforcing the impor tance of programme management and commercial skills, it also highlights the impor tance of the digital agenda to DFID's future programme and delivery work. The plan forms an integral par t of the depar tment's continuous improvement approach, enabling DFID to identify where progress has been made, what's working and where we need to focus more effor t to contribute to the Government's ambitious pover ty reduction commitments. ## 6.7.3 Governance Framework The governance framework comprises the roles and responsibilities of the Depar tmental Board and senior executive committees; the Accounting Officer and other officials and arms-length bodies; the control framework designed and implemented by these individually and collectively; as well as internal and external assurance. Each is described below. The Secretary of State for International Development, with suppor t from the depar tment's Minister of State and Parliamentary Under Secretary of State, sets and makes decisions on the Depar tment's strategy and policy. The Departmental Board (the Board) is responsible for collectively advising on and monitoring implementation of the Secretary of State's strategy and policy priorities. The Board: - suppor ts and advises ministers in setting DFID's strategic direction, including through oversight of DFID's Business Plan - monitors the implementation of DFID's strategy and policy priorities - monitors progress against the results set out in the Depar tmental Results Framework - monitors and advises on significant risks to implementation - recommends remedial actions if operational or financial performance is off track The Board is chaired by the Secretary of State and meets quar terly in formal session. Its membership, which has due regard to an appropriate balance of skills, experience and diversity, comprises: - The Secretary of State (chair) - The Minister of State - The Parliamentary Under Secretary of State - Four Non-Executive Board Members, including one appointed as Lead Non-Executive Board Member and one as Chair of the Audit Committee - The Permanent Secretary - Directors General covering the separate por tfolios of Finance and Corporate Performance; Policy and Global Programmes and; Country Programmes. In June 2014 a Director General covering Economic Development was also appointed. Fur ther information on the Board's effectiveness and the attendance record is disclosed in Annex A. The Board is suppor ted by the Executive Management Committee (EMC), which provides strategic direction to the management of DFID's operations, staff and financial resources. The EMC: - oversees day-to-day implementation of DFID's strategy and policy priorities, in line with the direction set by the Secretary of State and the DFID Business Plan - communicates the vision, direction and priorities of DFID to staff and other stakeholders - assesses and manages risks to delivery - ensures effective allocation and management of DFID's staff and financial resources - monitors and improves DFID's performance and capability The EMC comprises the Permanent Secretary (as chair) and the Directors General. The EMC meets monthly. Fur ther information on the EMC's effectiveness and the attendance record is disclosed in Annex B. The Accounting Officer is responsible for maintaining a sound system of internal control that suppor ts the achievement of the policies, aims and objectives of the Depar tment, while safeguarding public funds and depar tmental assets for which he is personally responsible. A number of subcommittees provide additional suppor t and assurance. These are: - Audit Committee, chaired by a Non-Executive Director Richard Keys, which meets 5 times a year - Development Policy Committee, chaired by the Director General for Policy and Global Programmes, which meets quar terly - Investment Committee, chaired by the Director General for Finance and Corporate Performance, which meets quar terly - Security Committee, chaired by the Director General for Country Programmes, which meets quar terly - Senior Leadership Committee, chaired by the Permanent Secretary, which meets monthly. The Audit Committee is also responsible for assisting the Accounting Officer to review structures and processes designed to ensure a sound system of internal control, including the oversight of the Internal Audit function, and to ensure the integrity of financial repor ting. Over the last year and up to the date of approval of these accounts, the Audit Committee: - approved the Internal Audit Depar tment's char ter and work plan - reviewed Internal Audit Depar tment's assurance repor ts and discussed with management any remedial actions identified - considered key controls, processes and policies including in respect of due diligence, whistleblowing and returnable capital - reviewed National Audit Office country visits repor ts and discussed with management any remedial actions identified - considered the Internal Audit Depar tment's Interim and Annual Repor ts for 2013–14 - considered the Directors' Statements of Assurance as at March 2014 - considered the National Audit Office Audit Completion Repor t and Management Letter for 2013–14 - considered the Annual Repor t and Accounts for the 12 months ended 31 March 2014 Meetings are also held regularly with both the Head of Internal Audit and the National Audit Office without management present. The Permanent Secretary and Director General for Finance and Corporate Performance regularly attend the committee. The Development Policy Committee is responsible for the scrutiny and development of significant new policy proposals. This year it covered a broad spectrum of policy areas including governance, fragile states, climate and environment, and engagement with multilaterals. This helped broaden ownership and awareness of policy initiatives. The Investment Committee is responsible for ensuring that DFID investments represent good value for money, and that clear systems exist to enable management to take strategic financial decisions on the basis of evidence. This is achieved by reviewing strategic investment decisions and resource allocation, the investment por tfolio and key controls and policies. During the year the Investment Committee: - oversaw work on strengthening DFID's programme management, including a review of the DFID programme management cycle, and reviews of programme design and monitoring - reviewed the performance of specific par ts of the DFID por tfolio - continued to use the improved data and evidence on results and value for money which is now available from DFID systems. Quar terly management information repor ts were improved to include better data on programme performance and por tfolio quality The Security Committee is responsible for monitoring the adequacy and effectiveness of all aspects of the Depar tment's security globally. The committee is primarily concerned with people security but it may review all aspects of physical, personnel, information security and health and safety issues as required. During the last year the committee endorsed the development and roll-out of ISO 22301 compliant business continuity plans following an Internal Audit Depar tment review. In addition it commissioned security reviews in selected countries and proposals for a DFID crisis response strategy. The Security Committee also reviewed security training provision for overseas staff. The Senior Leadership Committee is responsible for ensuring DFID's Senior Civil Service (SCS) structure and roles are designed to meet our future and changing leadership needs, managing SCS performance and pay/reward, and leading on SCS talent and succession/pipeline management. During the year the Senior Leadership Committee: - integrated the new Civil Service competency framework into SCS leadership expectations (and associated people processes), including increased emphasis on programme management - introduced a combined summary for capturing performance and talent assessment through End of Year Reviews - implemented a leadership transitions programme for new Deputy Directors - established a Talent Board to steer and drive continual improvement in DFID's approach to talent management and development Following the financial year-end, a review of the corporate governance arrangements has made recommendations that build on existing arrangements. The main recommendations are: - that the main point of engagement for the Non-Executive Directors should be through the Depar tmental Board and subcommittees - that the audit committee should repor t to the Depar tmental Board - that the subcommittee structure be rationalised, with the Development Policy Committee no longer forming par t of the formal governance structure These recommendations will be implemented during 2014–15. ## 6.7.4 Assurance Framework In my review of the effectiveness of the system of internal control, I draw on assurance from multiple sources: - 'Front-line' or business operational areas: DFID has established arrangements that are used to derive assurance on how well objectives are being met and risks managed. These include policy and performance data, monitoring statistics, risk registers, repor ts on the routine system controls, the directors' annual statements of assurance and other management information; - Management oversight: separate from the work of those responsible for delivery, this includes work under taken by the Quality Assurance Unit, the central finance and human resource teams, the depar tmental security unit and regular policy reviews and lesson learning exercises; - Independent and objective assurance: This includes the work of internal audit, which carries out an annual programme of work specifically designed to provide the Accounting Officer with an independent and objective opinion on the framework of governance, risk management and control. Internal audit places reliance upon front line and management assurance mechanisms, where possible, to enable it to direct its resources most effectively, on areas assessed as at highest risk or where there are gaps or weaknesses in other assurance arrangements. In addition, external independent assurance is provided by: - The Independent Commission for Aid Impact (ICAI), which reviews the quality, value for money and impact of DFID's programmes. - The National Audit Office** (NAO), which reviews DFID's financial repor ting and performance, the regularity of its expenditure and conducts value for money studies. There have been no ministerial directions given during 2013–14. ## 6.7.5 Risk Profile And Developments In The Department'S Approach To Risk And Control DFID's risk profile has increased over recent years. The depar tment's budget has grown substantially, as par t of the government's commitment to deliver 0.7% of GNI as official development assistance from 2013. The government has also set an ambitious strategy for its international development work, built around a clear results framework, a commitment to transparency, and a scaling up of work in fragile and conflict-affected states. Against this background, the Depar tment has ensured successful delivery of the 0.7% commitment in 2013, and remains on track to deliver the specific commitments set out in the Depar tmental Results Framework in 2011. Overall assessments of the Depar tment's work remain very positive: the Depar tment has a strong reputation as one of the world's leading bilateral development organisations; staff engagement remains at the very top end of government depar tments; and peer review, as well as internal and external assessments of the Depar tment and its work, presents a positive picture. At the same time, the Depar tment has recognised the need to strengthen its capability and performance in key areas, both to enable it to maximise its impact and results, and to respond to any weaknesses or capability gaps identified during the year. The key areas on which the Depar tment has focussed in 2013-14 are: ## Strengthening Programme Management: While processes and ways of working have been significantly strengthened since 2010 to suppor t increased value for money, we recognised early in 2013 the need for a review of our capability and culture on programme management, and the associated tools and processes. This aimed to ensure that the Depar tment not only learned lessons from the last 3-4 years, but also to ensure that the Depar tment is equipped for the challenges which it will face in the period ahead. The Depar tment also learned impor tant lessons from the ICAI review of the Trade Mark South Africa (TMSA) programme, which identified weaknesses and inconsistencies in aspects of our programme management in Southern Africa. As a result of this work, we are putting in place a range of reforms which will - streamline and simplify our programme management rules and guidance - establish a clear accreditation and capability building programme for programme managers across DFID - clarify roles, responsibilities and accountabilities, including the appointment of a Senior Responsible Owner for all DFID programmes - improve and standardise management information - strengthen both management assurance and external scrutiny and challenge ## Improving Commercial Capability Building on its commercial reform programme the Depar tment has continued to strengthen the commercial advisers' network across its country offices and other business units, introduced a key supplier management system, under taken procurement collaboration activity and completed commercial exper tise reviews on selected par tners. The Depar tment also committed to putting all senior civil ser vice staff through a 3-day commercial training programme, which is on track for completion by autumn 2014. ## Improving The Identification And Management Of Risk The Depar tment recognises the need to fur ther improve on its ability to identify risks and the year has seen an enhanced level of scrutiny and ministerial challenge, resulting in a clearer focus on risk awareness across the depar tment. In January 2014 the EMC initiated a review of DFID's corporate risk register. It is engaging with both the Government Actuary's Depar tment and external risk professionals to develop a refreshed strategic register, clarify accountability for risk owners and facilitate regular ongoing review and update. In autumn 2013 the depar tment initiated an end to end review of its programme management processes. In January 2014 it established the Better Delivery Taskforce to improve programme leadership and management. In summer 2014 the taskforce will deliver a refreshed operational framework, entitled Smar t Rules, which will enhance clarity on roles, responsibilities and accountabilities. Other suppor ting guidance for programme management is also being refreshed, with updated guidance on risk management being developed. This should ensure that programme risk management is better designed, more systematic and applied more consistently across the Depar tment and its operations. Security assurance mapping work under taken during the year has provided a positive view of staff safety and security risk management. ## Tackling Risks Of Fraud And Corruption Tackling corruption remains a top priority for the Depar tment. Guidance for DFID staff has been produced on anti-corruption procedures such as carrying out due diligence assessments for all organisations that receive UK assistance, and on including more vigorous assessments of corruption risk in business cases written before any organisation is awarded DFID funding. Last year the Depar tment published country specific strategies to explain how it safeguards UK development assistance and contributes to reducing the impact of corruption on development. The Depar tment also works with other relevant UK government agencies to improve access to information about potential threats to DFID programmes and is funding UK law enforcement units until 2016. These units are based within the Metropolitan Police and the City of London Police and are dedicated to pursuing illicit money flows and bribery related to developing countries. During 2013-14 the Internal Audit Depar tment's counter fraud section changed the nature of its engagement with the Depar tment, with a noticeable shift from focusing primarily on reactive fraud response (investigations) to widening its scope and remit to incorporate more structured activities around fraud assurance and proactive analysis and response. Details of the number of losses and their value are included in note 17 to the Accounts. Details of individual cases over £300,000 are disclosed in accordance with "Managing Public Money" requirements. DFID's Whistleblowing Policy has been revised and refreshed during 2013–14. The policy confirms DFID's commitment to protect whistle-blowers. Additionally, significant work is being done to update terms within DFID's template agreements, such as Memorandum of Understanding and Accountable Grants, to include clearer direction, expectations and accountabilities on the action to take in the event of suspicion of misappropriation of funds relating to counter fraud matters. ## 6.7.6 Annual Assurance Opinion The Internal Audit Depar tment (IAD) of the Depar tment is required to comply with Public Sector Internal Audit Standards: Applying the IIA international standards to the public sector (PSIASs). These standards applied from 1 April 2013. These require, at the year end, that the Head of Internal Audit forms an opinion over the adequacy and effectiveness of DFID's frameworks for: governance; risk management; and control. The opinion is based on the audit work performed in the year and up to the date of the finalisation of their Annual Assurance Repor t to the Audit Committee. This includes - the results of internal audits completed (in final or draft) - any follow-up action taken in respect of audits from previous periods - the effects of any significant changes in DFID's control environment - any matters arising from previous IAD annual assurance repor ts to DFID - the results of consultancy work under taken during the year - the consideration of value for money embedded within each review under taken by IAD - formal audit evidence and work - evidence gathered through being par t of DFID as an in-house audit ser vice IAD have repor ted no restrictions that have limited the scope of their work during 2013–14. In the Annual Assurance Repor t 2013–14 the Head of Internal Audit has expressed the opinion that: "We are satisfied that sufficient internal audit and assurance work has been undertaken to allow us to draw a reasonable conclusion as to the adequacy and effectiveness of DFID's frameworks for governance, risk management and control. In the IAD's opinion DFID had adequate and effective frameworks for; governance; risk management; and control, covering the period 1st April 2013 to 31st March 2014, noting that risk management, whilst effective in result, is not well designed and requires systematisation to provide, on a reliable basis, a robust risk mitigation outcome." The measures set out above are designed to improve the framework for risk management. ## 6.7.7 Additional Assurance Information In addition to the annual assurance opinion from the Head of Internal Audit, I also place reliance on Directors' Statements of Assurance (DSAs). Each Director completes an annual DSA, providing the Accounting Officer with assurance that DFID's management systems are being applied consistently and effectively across their respective divisions. The DSA process covers 23 key internal controls and is under taken by all four Directorates and 63 spending units. For 2013–14 all spending units have submitted a return and the Directorates have each provided a consolidated return. This year the main areas identified for improvement are: - Project Management Procedures Action has been taken during the year to ensure that all annual repor ts and project completion repor ts are being submitted by the agreed due dates with specific actions to address those overdue. Spending units have identified remedial actions to minimise the potential for a backlog of reviews to reoccur in future years, such as better planning and monitoring procedures. - Financial Planning and Budgeting The external environment has presented additional challenges to spending units delivering accurate and timely budgets and forecasting, including the introduction of government platforms and conflicts in some locations. Remedial actions proposed include closer management oversight and fur ther staff training. - Data Security The returns show that staff are regularly reminded about the need to be vigilant over data security, and induction materials are being updated to reflect this focus. During the year staff also completed a mandatory course on the new government security classification to suppor t appropriate records security. A self-assessment of cyber security confirmed that DFID is managing its cyber risk in a broadly effective way, recognising the fact that the Depar tment holds only a limited amount of highly classified material. The Depar tment has not repor ted any personal data incidents to the Information Commissioner's Office for the year 2013-14. As Accounting Officer, I also take account of findings from the work of ICAI and the NAO. During the year ICAI has scrutinised and repor ted on a broad range of topics and the 11 published repor ts have covered matters such as the depar tment's use of contractors, humanitarian response to Typhoon Haiyan in the Philippines, and empowerment and accountability programmes in Ghana and Malawi. Only one of these repor ts, 'DFID's Trade Development Work in South Africa', was rated as red. The depar tment has responded robustly to the weaknesses in delivery and oversight of TMSA that this repor t identified. During the year the NAO has scrutinised and repor ted on the Depar tment, under taking the year-end financial audit and performed a number of effectiveness and value for money audits of the Depar tment's expenditure. The Comptroller and Auditor General signed the Depar tment's 2012–13 Annual Repor t and Accounts on 20 June 2013, before the parliamentary recess, and issued an unqualified audit opinion. Published repor ts during the year have covered matters such as malaria and the reliability of performance data and a fur ther major study, concerning the Private Infrastructure Development Group is currently in progress. ## 6.7.8 Arm'S-Length Bodies DFID has 2 Non Depar tmental Public Bodies for which I am responsible as Accounting Officer. ## 6.7.8.1 The Independent Commission For Aid Impact (Icai) ICAI was established in May 2011. Its role is to provide independent scrutiny of UK aid, to promote the delivery of value for money for British taxpayers and to maximise the impact of aid. It repor ts directly to Parliament through the International Development Select Committee. Expenditure by ICAI in 2013–14 was £3.7 million. The Secretary of State is accountable to Parliament for ICAI and, in delivery of this responsibility, the Secretary of State and the Depar tment's EMC respectively meet the ICAI commissioners regularly to ensure that ICAI is able to carry out its work effectively. As required by the Memorandum of Understanding and the Framework Agreement, ICAI Commissioners have approved a Corporate Plan setting out internal control and risk management arrangements. In July 2013 ICAI published its second annual repor t, which provides an outline of its activities during the period from May 2012 to May 2013 and highlights some of the key themes it has identified in under taking its work. In accordance with Cabinet Office requirement for triennial reviews of all Non-Depar tmental Public Bodies, a review of ICAI was under taken in 2013. It was conducted and monitored by a Challenge Group whose terms of reference and membership were agreed by the Cabinet Office. The review provided a robust challenge of the continuing need for ICAI and an assessment of the control and governance arrangements to establish whether or not it complies with recognised principles of good corporate governance. The repor t, published in December 2013, concluded that: - the functions performed by ICAI are still required but need refinement to ensure clarity and maximisation of value for money - ICAI should focus on depth of analysis rather than breadth while retaining the ability to produce shor ter repor ts on topics of par ticular interest to stakeholders - ICAI continues to be the most effective way of delivering these functions - ICAI governance arrangements comply with Cabinet Office guidance on good corporate governance but in some areas documentation needs to be updated and amended in order to fully comply and in other areas documentation must be published - the role of the International Development Committee should be more clearly defined All payments for ICAI are made through DFID systems, which are subject to DFID controls. In addition an annual repor t by the International Development Committee on ICAI, including recommendations, is reviewed by DFID, and DFID responds to recommendations made. ## 6.7.8.2 The Commonwealth Scholarship Commission (Csc) CSC manages the UK contribution to the Commonwealth Scholarship and Fellowship Programme. DFID's grant in aid to CSC in 2013–14 was £24 million. A triennial review of CSC was conducted during the year and the repor t issued in September 2013. The review concluded that CSC meets statutory and technical requirements for delivering the Commonwealth Scholarship Fellowship Programme. It operates a sound selection process and its evaluation and monitoring of the impact of the CSC awards is developing well and indicates a good level of achievement. CSC is cost effective and a successor body would be unable to achieve similar efficiency levels. The organisation has strong suppor t and respect among all its stakeholders. Although there were no weaknesses over the process for delivery or decision-making, there is room for improvement in the governance arrangements to fully meet the requirements of the non-depar tmental public bodies standards. DFID oversees the work of CSC through a dedicated relationship team within DFID. There are also arrangements for DFID representation at Commissioners' meetings and, going forward, CSC is subject to external audit. ## 6.7.9 Other Public Sector Bodies - Cdc Group Plc (Cdc) DFID is also the 100% shareholder of CDC, a public limited company. CDC is governed by a Board of Directors answerable to the shareholder through normal company governance processes. The Secretary of State may appoint up to two non-executive directors of CDC. The company prepares annual accounts to 31 December. The Depar tment is not involved in CDC operations and does not take par t in operational investment decision-taking. Accordingly CDC is not consolidated within the accounts of the Depar tment. ## 6.7.10 Key Risk Areas In 2014–15 Looking ahead to 2014–15, I expect the Depar tment to retain a strong focus on embedding the changes to programme management which were described above. I will also maintain a strong focus on continued implementation of the Finance and Commercial Improvement Plans. During the year DFID will continue to operate in a range of challenging environments, with the focus remaining on our work in fragile and conflict states, as well as on countries undergoing rapid economic growth and social change. Within this context the Depar tment will enhance its focus on managing key risks to ensure we continue to deliver improvement. ## 6.7.11 Closing Statement I am satisfied with DFID's governance arrangements in terms of safeguarding the use of taxpayers' money. Recognising the changing environment for the Depar tment, including heavy engagement in fragile states, DFID will continue to strengthen its governance arrangements. This will ensure we achieve value for money and results from the resources given to us, and achieve our key objective of reducing pover ty. Accordingly CSC is not consolidated within the accounts of the Depar tment. Mark Lowcock Accounting Officer for the Depar tment for International Development 4 July 2014 ## Annex A - Departmental Board A review of the effectiveness of the Depar tmental Board was carried out by a DFID Director, repor ting to the Permanent Secretary and the Lead Non-Executive Director, Vivienne Cox, and was agreed by the Secretary of State. The review confirmed that the Board has made good progress over the last year. In par ticular it confirmed that the Depar tmental Board: - provided strategic direction to DFID strategy and policy and to the management of DFID's operations, staff and financial resources, and monitored and improved DFID's performance and capability - received relevant and well-presented management information - have enough diversity of views and a good mix of skills and experience - prioritised the right issues in the right order and had a good rhythm of meetings across the year. The lead Non-Executive Board Member, Vivienne Cox suppor ts the Secretary of State in her capacity as Chair of the Depar tmental Board, and the Permanent Secretary in his capacity as Chair of the Executive Management Committee (EMC) and Accounting Officer. The Board is required to ensure that it complies with the provisions of the 'Corporate Governance in Central Government Depar tments: Code of Good Practice 2011' or where it has not, explains the reasons for any depar tures from the Code. The Board is satisfied that it has complied with the Code. There have been both appointments to and resignations from the Board during the year: - In June 2013, to strengthen the Board's skills mix, 2 new Non-Executive Board Members were appointed, Tim Robinson and Eric Salama - In July 2013 a Director General, Michael Anderson, resigned - In November 2013 a Director General, Mark Bowman, resigned - In November 2013 a Director General, Moazzam Malik, was appointed on a temporary basis - In November 2013 a Director General, Nick Dyer, was appointed - In June 2014 a Director General, David Kennedy, was appointed There are non-executive members on 2 subcommittees of the EMC (Audit and Investment), bringing additional independent challenge directly to specific areas of the business. In par ticular, the Depar tment's Audit Committee is entirely composed of non-executive members to ensure independent and constructive scrutiny of the Depar tment's activities. The EMC provides an additional level of assurance to the Depar tmental Board. Management information is provided to the Depar tmental Board on a quar terly basis and the EMC on a monthly basis (including data from the Quar terly Data Summary Scorecard sent to HM Treasury). Management information repor ts provide current information and analysis on DFID expenditure, results and impact assessment, risk management and workforce deployment. The EMC is content that this provides sufficient and reliable information for ministers and the EMC to exercise their leadership role. ## Departmental Board Attendance In 2013–14 During the year, the Depar tmental Board met on the following occasions and in addition held 3 away-days in April, May and June 2013: - July 2013 - November 2013 - January 2014 - March 2014 \| Departmental Board Member \| Meetings attended \| \|----------------------------------------------------------------------------\|----------------------\| \| Secretary of State \| \| \| Justine Greening MP \| \| \| Minister of State \| \| \| Alan Duncan MP \| \| \| Parliamentary Under Secretary of State \| \| \| Lynne Featherstone MP \| \| \| Lead Non-Executive Board Member \| \| \| Vivienne Cox \| \| \| Non-Executive Board Member \| \| \| Richard Keys \| \| \| Non-Executive Board Member \| \| \| Tim Robinson (appointed June 2013) \| \| \| Non-Executive Board Member \| \| \| Eric Salama (appointed June 2013) \| \| \| Permanent Secretary \| \| \| Mark Lowcock \| \| \| DG, Policy and Global Programmes \| \| \| Michael Anderson \| \| \| [1] \| \| \| (resigned July 2013) \| \| \| DG, Humanitarian, Security and Conflict \| \| \| Mark Bowman (resigned November 2013) \| \| \| DG, Finance and Corporate Performance \| \| \| Richard Calver \| t \| \| DG, Policy and Global Programmes \| \| \| Nick Dyer \| \| \| [2] \| \| \| (appointed November 2013) \| \| \| DG, Country Programmes \| \| \| Joy Hutcheon \| \| \| Acting DG for Humanitarian, Security & Conflict, and International Finance \| \| \| Moazzam Malik (from 1/11/13 to 31/1/14) \| \| [1] Michael Anderson was the Prime Minister's Special Envoy for the UN Millennium Goals; it was agreed that Nick Dyer would become a member of the Depar tmental Board and Executive Management Committee to cover issues in his absence. [2] Nick Dyer attended the Board throughout the year, as Director, Policy until November 2013 and thereafter as DG for Policy and Global Programmes. \| \| \|---------------\| \| 7 \| \| of a possible \| \| 7 \| \| 5 \| \| of a possible \| \| 7 \| \| 5 \| \| of a possible \| \| 7 \| \| 4 \| \| of a possible \| \| 7 \| \| 6 \| \| of a possible \| \| 7 \| \| 4 \| \| of a possible \| \| 5 \| \| 4 \| \| of a possible \| \| 5 \| \| 7 \| \| of a possible \| \| 7 \| \| 2 \| \| of a possible \| \| 4 \| \| 4 \| \| of a possible \| \| 5 \| \| 7 \| \| of a possible \| \| 7 \| \| 6 \| \| of a possible \| \| 7 \| \| 7 \| \| of a possible \| \| 7 \| \| - \| \| of a possible \| \| 1 \| ## Annex B - Executive Management Committee To review its effectiveness the Executive Management Committee (EMC) under took the following actions during the year: - held an EMC away day focused on strategy and horizon scanning in autumn 2013 - reviewed DFID's governance arrangements during the year, par ticularly the subcommittee structure The review of DFID's corporate governance was positive overall as to the effectiveness of the EMC. ## Executive Management Committee Attendance In 2013–14 During the year the Executive Management Committee met 11 times. \| Executive Management Committee Member \| Meetings attended \| \|----------------------------------------------------------------------------\|----------------------\| \| Permanent Secretary \| \| \| Mark Lowcock \| \| \| Lead Non-Executive Board Member \| \| \| Vivienne Cox \| \| \| [3] \| \| \| Non-Executive Board Member \| \| \| Richard Keys \| \| \| [3] \| \| \| Non-Executive Board Member \| \| \| Tim Robinson \| \| \| [3] \| \| \| (appointed June 2013) \| \| \| Non-Executive Board Member \| \| \| Eric Salama \| \| \| [3] \| \| \| (appointed June 2013) \| \| \| DG, Policy and Global Programmes \| \| \| Michael Anderson \| \| \| [3] [1] \| \| \| (resigned July 2013) \| \| \| DG, Humanitarian, Security and Conflict \| \| \| Mark Bowman (resigned November 2013) \| \| \| DG, Finance& Corporate Performance \| \| \| Richard Calver \| t \| \| DG, Policy and Global Programmes \| \| \| Nick Dyer \| \| \| [2] \| \| \| (appointed November 2013) \| \| \| DG, Country Programmes \| \| \| Joy Hutcheon \| \| \| Acting DG for Humanitarian, Security & Conflict, and International Finance \| \| \| Moazzam Malik (from 1/11/13 to 31/1/14) \| \| [1] Michael Anderson was the Prime Minister's Special Envoy for the UN Millennium Goals; it was agreed that Nick Dyer would become a member of the Depar tmental Board and Executive Management Committee to cover issues in his absence. [2] Nick Dyer attended the Board throughout the year, as Director, Policy until November 2013 and thereafter as DG for Policy and Global Programmes. [3] Non-Executive Directors attended EMC meetings for the first 9 months of the year. \| \| \| \|---------------\|-----\| \| 11 \| \| \| of a possible \| \| \| 11 \| \| \| 5 \| \| \| of a possible \| \| \| 8 \| \| \| 7 \| \| \| of a possible \| \| \| 8 \| \| \| 5 \| \| \| of a possible \| \| \| 5 \| \| \| 3 \| \| \| of a possible \| \| \| 4 \| \| \| 3 \| \| \| of a possible \| \| \| 4 \| \| \| 6 \| \| \| of a possible \| \| \| 6 \| \| \| 11 \| \| \| of a possible \| \| \| 11 \| \| \| 11 \| \| \| of a possible \| \| \| 11 \| \| \| 10 \| 11 \| \| of a possible \| \| \| 3 \| 3 \| \| of a possible \| \| ## Statement Of Accounting Officer'S Responsibilities Under the Government Resources and Accounts Act 2000, HM Treasury has directed the Depar tment for International Development to prepare, for each financial year, consolidated resource accounts detailing the resources acquired, held or disposed of during the year and the use of resources by the Depar tment during the year. The accounts are prepared on an accruals basis and must give a true and fair view of the state of affairs of the Depar tment and of its net resource outturn, application of resources, changes in taxpayers' equity and cash flows for the financial year. In preparing the accounts, the principal Accounting Officer is required to comply with the requirements of the Government Financial Repor ting Manual and in par ticular to: - obser ve the Accounts Direction issued by the Treasury, including the relevant accounting and disclosure requirements, and apply suitable accounting policies on a consistent basis - ensure that the depar tment has in place appropriate and reliable systems and procedures to carry out the consolidation process - make judgements and estimates on a reasonable basis - state whether applicable accounting standards as set out in the Government Financial Repor ting Manual have been followed, and disclose and explain any material depar tures in the accounts - prepare the accounts on a going concern basis HM Treasury has appointed the Permanent Head of the Depar tment as Accounting Officer of the Depar tment for International Development. This Accounting Officer is also responsible for the non-depar tmental public bodies within the Depar tmental Group. The responsibilities of an Accounting Officer, including responsibility for the propriety and regularity of the public finances for which the Accounting Officer is answerable, for keeping proper records and for safeguarding the assets of the Depar tment or non-depar tmental public body for which the Accounting Officer is responsible, are set out in Managing Public Money published by HM Treasury. Mark Lowcock Accounting Officer for the Depar tment for International Development 4 July 2014 ## The Certificate And Report Of The Comptroller And Auditor General To The House Of Commons I cer tify that I have audited the financial statements of the Depar tment for International Development and of its Depar tmental Group for the year ended 31 March 2014 under the Government Resources and Accounts Act 2000. The Depar tment consists of the Core Depar tment and its non-depar tmental public bodies. The Depar tmental Group consists of the Depar tment and the bodies designated for inclusion under the Government Resources and Accounts Act 2000 (Estimates and Accounts) Order 2013. The financial statements comprise: the Depar tment's and Depar tmental Group's Statements of Comprehensive Net Expenditure, Financial Position, Cash Flows, Changes in Taxpayers' Equity; and the related notes. I have also audited the Statement of Parliamentary Supply and the related notes. These financial statements have been prepared under the accounting policies set out within them. I have also audited the information in the Remuneration Repor t that is described in that repor t as having been audited. ## Respective Responsibilities Of The Accounting Officer And Auditor As explained more fully in the Statement of Accounting Officer's Responsibilities, the Accounting Officer is responsible for the preparation of the financial statements and for being satisfied that they give a true and fair view. My responsibility is to audit, cer tify and repor t on the financial statements in accordance with the Government Resources and Accounts Act 2000. I conducted my audit in accordance with International Standards on Auditing (UK and Ireland). Those standards require me and my staff to comply with the Auditing Practices Board's Ethical Standards for Auditors. ## Scope Of The Audit Of The Financial Statements An audit involves obtaining evidence about the amounts and disclosures in the financial statements sufficient to give reasonable assurance that the financial statements are free from material misstatement, whether caused by fraud or error. This includes an assessment of: whether the accounting policies are appropriate to the Depar tment's and the Depar tmental Group's circumstances and have been consistently applied and adequately disclosed; the reasonableness of significant accounting estimates made by the Accounting Officer; and the overall presentation of the financial statements. In addition I read all the financial and non-financial information in the Annual Repor t to identify material inconsistencies with the audited financial statements and to identify any information that is apparently materially incorrect based on, or materially inconsistent with, the knowledge acquired by me in the course of performing the audit. If I become aware of any apparent material misstatements or inconsistencies I consider the implications for my cer tificate. I am required to obtain evidence sufficient to give reasonable assurance that the Statement of Parliamentary Supply properly presents the outturn against voted Parliamentary control totals and that those totals have not been exceeded. The voted Parliamentary control totals are Depar tmental Expenditure Limits (Resource and Capital), Annually Managed Expenditure (Resource and Capital), Non-Budget (Resource) and Net Cash Requirement. I am also required to obtain evidence sufficient to give reasonable assurance that the expenditure and income recorded in the financial statements have been applied to the purposes intended by Parliament and the financial transactions recorded in the financial statements conform to the authorities which govern them. ## Opinion On Regularity In my opinion, in all material respects: - the Statement of Parliamentary Supply properly presents the outturn against voted Parliamentary control totals for the year ended 31 March 2014 and shows that those totals have not been exceeded; and - the expenditure and income recorded in the financial statements have been applied to the purposes intended by Parliament and the financial transactions recorded in the financial statements conform to the authorities which govern them. ## Opinion On Financial Statements In my opinion: - the financial statements give a true and fair view of the state of the Depar tment's and the Depar tmental Group's affairs as at 31 March 2014 and of the Depar tment's net operating cost and Depar tmental Group's net operating cost for the year then ended; and - the financial statements have been properly prepared in accordance with the Government Resources and Accounts Act 2000 and HM Treasury directions issued thereunder. ## Opinion On Other Matters In my opinion: - the par t of the Remuneration Repor t to be audited has been properly prepared in accordance with HM Treasury directions made under the Government Resources and Accounts Act 2000; and - the information given in the Annual Repor t, Strategic Repor t and Directors' Repor t for the financial year for which the financial statements are prepared is consistent with the financial statements. ## Matters On Which I Report By Exception I have nothing to repor t in respect of the following matters which I repor t to you if, in my opinion: - adequate accounting records have not been kept or returns adequate for my audit have not been received from branches not visited by my staff; or - the financial statements and the par t of the Remuneration Repor t to be audited are not in agreement with the accounting records and returns; or - I have not received all of the information and explanations I require for my audit; or - the Governance Statement does not reflect compliance with HM Treasury's guidance. ## Report I have no obser vations to make on these financial statements. Date: 9 July 2014 Sir Amyas C E Morse Comptroller and Auditor General National Audit Office 157–197 Buckingham Palace Road Victoria London SW1W 9SP ## Statement Of Parliamentary Supply Summary Of Resource And Capital Outturn 2013–14 \| \| \| \| \| \| \| \| \|------------------------------\|-----------\|-----------\|------------\|-----------\|-----------\|------------\| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Estimate \| Outturn \| \| \| \| \| \| outturn \| \| \| \| \| \| \| \| compared \| \| \| \| \| \| \| \| with \| \| \| \| \| \| \| \| Note \| Voted \| \| \| \| \| \| \| Non- \| \| \| \| \| \| \| \| voted \| Total \| Voted \| \| \| \| \| \| \| \| \| \| \| \| \| \| £000 \| £000 \| £000 \| £000 \| £000 \| £000 \| £000 \| \| \| \| \| \| \| \| \| \| Departmental \| \| \| \| \| \| \| \| Expenditure Limit \| \| \| \| \| \| \| \| - Resource \| 7,559,888 \| 910,000 \| 8,469,888 \| 7,416,541 \| 671,838 \| 8,088,379 \| \| - Capital \| 1,969,442 \| - \| 1,969,442 \| 1,945,584 \| - \| 1,945,584 \| \| \| \| \| \| \| \| \| \| Annually \| \| \| \| \| \| \| \| Managed \| \| \| \| \| \| \| \| Expenditure \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| - Resource \| 191,524 \| - \| 191,524 \| 68,995 \| - \| 68,995 \| \| - Capital \| - \| - \| - \| - \| - \| - \| \| Total budget \| 9,720,854 \| 910,000 \| 10,630,854 \| 9,431,120 \| 671,838 \| 10,102,958 \| \| \| \| \| \| \| \| \| \| Non-budget \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| - Resource \| - \| - \| - \| - \| - \| - \| \| \| \| \| \| \| \| \| \| Total \| 9,720,854 \| 910,000 \| 10,630,854 \| 9,431,120 \| 671,838 \| 10,102,958 \| \| 7,921,465 \| \| \| \| \| \| \| \| Total resource \| SOPS3 \| 7,751,412 \| 910,000 \| 8,661,412 \| 7,485,536 \| 671,838 \| \| Total capital \| 1,969,442 \| - \| 1,969,442 \| 1,945,584 \| - \| \| \| Total \| 9,720,854 \| 910,000 \| 10,630,854 \| 9,431,120 \| 671,838 \| \| \| Net cash requirement 2013–14 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| 2013–14 \| \| \| \| \| \| \| \| Estimate \| \| \| \| \| \| \| \| £000 \| Note \| \| \| \| \| \| \| Net cash \| \| \| \| \| \| \| \| requirement \| \| \| \| \| \| \| \| SOPS4 \| 9,507,570 \| \| \| \| \| \| \| Administration costs 2013–14 \| \| \| \| \| \| \| \| Administration \| \| \| \| \| \| \| \| costs \| SOPS3.2 \| 123,600 \| 115,973 \| 127,815 \| \| \| Figures in the areas outlined in bold are voted totals or other totals subject to Parliamentary control. In addition, although not a separate voted limit, any breach of the administration budget will also result in an excess vote. Explanations of variances between Estimate and outturn are given in note SOPS2 and in the Management Commentary. \| 2013–14 \| 2012–13 \| \|------------\|------------\| \| Voted \| \| \| Outturn \| \| \| Estimate: \| \| \| Non- \| \| \| voted \| Total \| \| saving/ \| \| \| (excess) \| Total \| \| \| \| \| \| \| \| \| \| \| 8,157,374 \| 265,876 \| \| 1,945,584 \| 23,858 \| \| 10,102,958 \| 289,734 \| \| 2013–14 \| 2012–13 \| \| £000 \| £000 \| \| Outturn \| \| \| Outturn \| \| \| compared \| \| \| with \| \| \| Estimate: \| \| \| saving/ \| \| \| (excess) \| Outturn \| \| 8,620,747 \| 886,823 \| \| 2013–14 \| \| \| Estimate \| \| \| 2013–14 \| \| \| Outturn \| \| \| 2012–13 \| \| \| Outturn \| \| \| £000 \| £000 \| ## Notes To The Departmental Resource Accounts - Statement Of Parliamentary Supply Sops1 Statement Of Accounting Policies The Statement of Parliamentary Supply and suppor ting notes have been prepared in accordance with the 2013–14 Government Financial Repor ting Manual (FReM) issued by HM Treasury. The Statement of Parliamentary Supply accounting policies contained in the FReM are consistent with the requirements set out in the 2013–14 Consolidated Budgeting Guidance and Supply Estimates Guidance Manual. ## Sops1.1 Accounting Convention The Statement of Parliamentary Supply and related notes are presented consistently with HM Treasury budget control and Supply Estimates. The aggregates across government are measured using National Accounts, prepared in accordance with the internationally agreed framework 'European System of Accounts' (ESA95). ESA95 is in turn consistent with the System of National Accounts (SNA93), which is prepared under the auspices of the United Nations. The budgeting system and the consequential presentation of Supply Estimates and the Statement of Parliamentary Supply and related notes have different objectives to IFRS-based accounts. The system suppor ts the achievement of macro-economic stability by ensuring that public expenditure is controlled, with relevant Parliamentary authority, in suppor t of the Government's fiscal framework. The system provides incentives to depar tments to manage spending well so as to provide high quality public ser vices that offer value for money to the taxpayer. The Government's objectives for fiscal policy are set out in the Char ter for Budget Responsibility. These are to: - ensure sustainable public finances that suppor t confidence in the economy, promote intergenerational fairness, and ensure the effectiveness of wider government policy - suppor t and improve the effectiveness of monetary policy in stabilising economic fluctuations ## Sops1.2 Comparison With Ifrs-Based Accounts Many transactions are treated in the same way in National Accounts and IFRS-based accounts, but there are a number of differences as detailed below. A reconciliation of the Depar tment's outturn as recorded in the Statement of Parliamentary Supply compared to the IFRS-based Statement of Comprehensive Net Expenditure is provided in SOPS note 3.1. ## Sops1.3 Capital Grants Grant expenditure used for capital purposes is treated as capital (CDEL) items in the Statement of Parliamentary Supply. Under IFRS, as applied by the FReM, there is no distinction between capital grants and other grants, and they score as an item of expenditure in the Consolidated Statement of Comprehensive Net Expenditure. ## Sops1.4 Non Voted Totals This relates to the United Kingdom's contribution to the European Union's development budget as a member state. It is accounted for in the Consolidated Statement of Parliamentary Supply as the propor tion of the EU attribution that applies to EU development related activity. All cash settlements are made by HM Treasury directly. ## Sops1.5 Prior Period Adjustments (Ppas) PPAs resulting from an error in previous recording, or from an accounting policy change initiated by the Depar tment, need to be voted by Parliament in the current year, whereas in IFRS-based accounts (IAS 8), which includes accounts prepared under the FReM, they are treated as adjustments to previous years. PPAs resulting from a change in accounting policy brought in by a new or modified accounting standard are not included in Estimates, so there is no misalignment. ## Sops1.6 Receipts In Excess Of Hm Treasury Agreement This applies where HM Treasury has agreed a limit to income retainable by the Depar tment, with any excess income scoring outside of budgets, and consequently outside of the Statement of Parliamentary Supply. IFRS-based accounts will record all of the income, regardless of the budgetary limit. This situation may arise in the following areas: (i) profit on disposal of assets; (ii) income generation above depar tment Spending Review settlements; and (iii) income received above netting-off agreements ## Sops1.7 Provisions - Administration And Programme Expenditure Provisions recognised in IFRS-based accounts are not recognised as expenditure for National Accounts purposes until the actual payment of cash (or accrual liability) is recognised. To meet the requirements of both resource accounting and National Accounts, additional data entries are made in the Statement of Parliamentary Supply across AME and DEL control totals, which do not affect the Statement of Comprehensive Net Expenditure. As the Administration control total is a sub-category of DEL, Administration and Programme expenditure repor ted in the Statement of Parliamentary Supply will differ from that repor ted in the IFRS-based accounts. ## Sops2 Net Outturn Sops2.1 Analysis Of Net Resource Outturn By Section Outturn Estimate Outturn Administration Gross Programme Net total compared to Estimate, adjusted for virements Net total compared to Estimate Income Net Gross Income Net Total Net Total Total Spending in Departmental Expenditure Limit Voted: - - - - - - 39,893 39,893 39,893 - A: Depar tmental Unallocated Provision - - 1,769 22,311 - 22,311 24,080 37,454 13,374 1,374 20,633 B: CSC (NDPB) scholarships relating to developing countries 1,769 - - 575,146 (38) 575,108 575,108 697,968 122,860 67,038 419,247 C: Wealth Creation - - - 271,311 271,311 271,311 305,355 34,044 4,044 268,620 D: Climate Change - - - 735,506 (1) 735,505 735,505 663,922 (71,583) - 696,928 E: Governance and Security - - - 4,296,887 (895) 4,295,992 4,295,992 4,377,613 81,621 21,621 2,388,532 F: Direct Delivery of Millennium Development Goals - - - 1,262,056 - 1,262,056 1,262,056 1,157,483 (104,573) - 1,333,672 G: Global Par tnerships - (6,091) 113,728 125,617 (65) 125,552 239,280 247,019 7,739 7,739 236,269 H: Total Operating Costs 119,819 - - (19,858) (2) (19,860) (19,860) 1,675 21,535 1,535 (13,291) I: Central Programmes - - - 29,416 - 29,416 29,416 27,250 (2,166) - 18,892 J: Joint Conflict Pool - - 476 3,177 3,177 3,653 4,256 603 103 2,914 K: Independent Commission for Aid Impact (NDPB) (net) 476 Non–Voted Expenditure: - - 671,838 - 671,838 671,838 910,000 238,162 238,162 757,245 L: European Union Attributed Aid - (6,091) 115,973 7,973,407 (1,001) 7,972,406 8,088,379 8,469,888 381,509 381,509 6,129,661 Total Spending in DEL 122,064 Annually Managed Expenditure Voted - - 38,124 (53) 38,071 38,071 (1,492) (39,563) - (2,084) M: Wealth Creation - - - 3,774 (5) 3,769 3,769 158,105 154,336 114,056 156,067 N: Direct Delivery of Millennium Development Goals - - - (2,722) - (2,722) (2,722) (3,439) (717) - (3,748) O: Total Operating Costs - - - 9,320 - 9,320 9,320 38,350 29,030 8,473 (11,645) P: Central Programmes - - - 20,557 - 20,557 20,557 - (20,557) - - Q: Climate Change - - - 69,053 (58) 68,995 68,995 191,524 122,529 122,529 138,590 Total Spending in AME - (6,091) 115,973 8,042,460 (1,059) 8,041,401 8,157,374 8,661,412 504,038 504,038 6,268,251 Total 122,064 \| 2013–14 \| 2012–13 \| \|------------\|------------\| \| £000 \| £000 \| \| \| \| \| \| \| ## Sops2.2 Analysis Of Net Capital Outturn By Section \| \| \| \| \| \| \| 2013–14 \| 2012–13 \| \|--------------------------\|-----------------\|-----------\|-----------\|-----------\|-----------\|-----------\|-----------\| \| \| \| \| \| \| \| £000 \| £000 \| \| \| Outturn \| Estimate \| Outturn \| \| \| \| \| \| Gross \| Income \| Net \| Net \| \| \| \| \| \| Net total \| \| \| \| \| \| \| \| \| compared \| \| \| \| \| \| \| \| \| to Estimate, \| \| \| \| \| \| \| \| \| adjusted for \| \| \| \| \| \| \| \| \| virements \| \| Net \| \| \| \| \| \| \| Spending in \| \| \| \| \| \| \| \| \| Departmental \| \| \| \| \| \| \| \| \| Expenditure Limit \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Voted: \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| A: \| \| \| \| \| \| \| \| \| \| Departmental \| \| \| \| \| \| \| \| Unallocated Provision \| \| \| \| \| \| \| \| \| - \| - \| - \| - \| - \| - \| - \| \| \| B: \| CSC (NDPB) \| \| \| \| \| \| \| \| scholarships relating to \| \| \| \| \| \| \| \| \| developing countries \| \| \| \| \| \| \| \| \| - \| - \| - \| - \| - \| - \| - \| \| \| C: Wealth Creation \| 302,403 \| - \| 302,403 \| 409,044 \| 106,641 \| 19,409 \| 194,279 \| \| D: Climate Change \| 75,354 \| - \| 75,354 \| 107,461 \| 32,107 \| - \| 54,295 \| \| E: \| Governance and \| \| \| \| \| \| \| \| Security \| \| \| \| \| \| \| \| \| 11,086 \| - \| 11,086 \| 10,271 \| (815) \| - \| 13,808 \| \| \| F: \| Direct Delivery \| \| \| \| \| \| \| \| of Millennium \| \| \| \| \| \| \| \| \| Development Goals \| \| \| \| \| \| \| \| \| 51,483 \| - \| 51,483 \| 62,607 \| 11,124 \| 124 \| 70,115 \| \| \| G: Global Partnerships \| 1,508,583 \| - \| 1,508,583 \| 1,379,059 \| (129,524) \| - \| 1,315,993 \| \| H: Total Operating Costs \| - \| - \| - \| - \| - \| - \| - \| \| I: Central Programmes \| 13,716 \| (17,041) \| (3,325) \| 1,000 \| 4,325 \| 4,325 \| 4,724 \| \| J: Joint Conflict Pool \| - \| - \| - \| - \| - \| - \| - \| \| K: \| Independent \| \| \| \| \| \| \| \| Commission for Aid \| \| \| \| \| \| \| \| \| Impact (NDPB) (net) \| - \| - \| - \| - \| - \| - \| - \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Non-Voted \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| L: \| European Union \| \| \| \| \| \| \| \| Attributed Aid \| - \| - \| - \| - \| - \| - \| - \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Total Spending in DEL \| \| \| \| \| \| \| \| \| 1,962,625 \| (17,041) \| 1,945,584 \| 1,969,442 \| 23,858 \| 23,858 \| 1,653,214 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Annually Managed \| \| \| \| \| \| \| \| \| Expenditure: \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Voted \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| M: Wealth Creation \| - \| - \| - \| - \| - \| - \| - \| \| N: \| Direct Delivery \| \| \| \| \| \| \| \| of Millennium \| \| \| \| \| \| \| \| \| Development Goals \| - \| - \| - \| - \| - \| - \| - \| \| O: Total Operating Costs \| - \| - \| - \| - \| - \| - \| - \| \| P: Central Programmes \| - \| - \| - \| - \| \| \| \| \| - \| - \| - \| \| \| \| \| \| \| Total spending in AME \| \| \| \| \| \| \| \| \| - \| - \| - \| - \| - \| - \| - \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Total \| 1,962,625 \| (17,041) \| 1,945,584 \| 1,969,442 \| 23,858 \| 23,858 \| 1,653,214 \| \| \| \| \| \| \| \| \| \| Net total compared to Estimate ## Sops3 Reconciliation Of Outturn To Net Operating Cost And Against Administration Budget Sops3.1 Reconciliation Of Net Resource Outturn To Net Operating Cost \| \| Total resource outturn in Statement of \| \|-----------------------------------------------\|-------------------------------------------\| \| Parliamentary Supply \| \| \| Budget \| 8,157,374 \| \| Non-budget \| \| \| - \| - \| \| Less: \| \| \| Income payable to the Consolidated Fund \| (86) \| \| Programme Capital \| 1,813,003 \| \| Capital Grant in Kind \| - \| \| Gain on disposal of Actis \| - \| \| Non-voted \| \| \| (1) \| \| \| EU attribution \| (671,838) \| \| Net operating costs in consolidated statement \| \| \| of comprehensive net expenditure \| 9,298,453 \| 1 Non-voted represents EU attribution - in line with FReM rules on activities charged directly, the Consolidated Statement of Comprehensive Net Expenditure does not include amounts attributed to DFID to reflect spending on development activities by the EC from their budget. HM Treasury regulations do, however, require this expenditure to be included as budget outturn and as such it is incorporated within the Statement of Parliamentary Supply as non-voted resource outturn. ## Sops3.2 Outturn Against Final Administration Budget And Administration Net Operating Cost \| Estimate - Administration costs limit \| 123,600 \| \|------------------------------------------\|------------\| \| Outturn - Gross Administration Costs \| \| \| Outturn - Gross Income relating to \| \| \| administration Costs \| \| \| Outturn - Net administration costs \| 4 \| \| Reconciliation to operating costs: \| \| \| Less: Non-cash items \| \| \| Administration Net Operating Costs \| \| \| 2013–14 \| 2012–13 \| \|------------\|------------\| \| £000 \| £000 \| \| Note \| Outturn \| \| 8,157,374 \| 6,268,251 \| \| 1,141,079 \| 807,206 \| \| 2013–14 \| \| \| 2012–13 \| \| \| Note \| \| \| £000 \| \| \| Outturn \| \| \| £000 \| \| \| Outturn \| \| \| 122,064 \| 134,916 \| \| (6,091) \| (7,101) \| \| 115,973 \| 127,815 \| \| (2,661) \| (16,653) \| \| 113,312 \| 111,162 \| ## Sops4 Reconciliation Of Net Resource Outturn To Net Cash Requirement Resource outturn SOPS2.1 8,661,412 8,157,374 504,038 Capital outturn SOPS2.2 1,969,442 1,945,584 23,858 Accruals to cash adjustments: Adjustments to remove non-cash items: Depreciation (21,000) (12,264) (8,736) New Provisions (268,525) (140,091) (128,434) Departmental unallocated provision 1,544 - 1,544 Other non-cash items (38,500) (70,167) 31,667 Adjustments for NDPBs: Remove voted resource and capital (41,710) (27,733) (13,977) Add cash grant-in-aid 41,710 27,733 13,977 Adjustments to reflect movements in working balances Increase in receivables - 106,856 (106,856) Increase in payables - (809,864) 809,864 Use of provisions 113,197 115,157 (1,960) Removal of non-voted budget items: Consolidated Fund Standing Services (910,000) (671,838) (238,162) Net cash requirement 9,507,570 8,620,747 886,823 ## Sops5 Income Payable To The Consolidated Fund In addition to income retained by the Department, the following income relates to the Department and is payable to the Consolidated Fund (cash receipts being shown in italics). Operating income outside the ambit of the Estimate (86) (86) (5,893) (5,893) Excess cash surrenderable to the Consolidated Fund - – – - Total income payable to the Consolidated Fund (86) (86) (5,893) (5,893) \| Estimate \| Outturn \| \|-------------------\|-----------------\| \| Net total outturn \| \| \| compared with \| \| \| Estimate: saving/ \| \| \| (excess) \| \| \| Note \| £000 \| \| \| \| \| 10,417,570 \| 9,292,585 \| \| Outturn 2013–14 \| Outturn 2012–13 \| \| £000 \| £000 \| \| Income \| \| \| Receipts \| \| \| Income \| \| \| Receipts \| \| ## Consolidated Statement Of Comprehensive Net Expenditure For The Year Ended 31 March 2014 \| \| \| \| \|---------------------------------------\|-----------------------------------------\|------------------------------------------\| \| \| \| \| \| \| \| \| \| \| Note \| DFID \| \| \| \| \| \| Administration costs \| \| \| \| \| \| \| \| Staff costs \| 3 \| 67,548 \| \| Other costs \| 4 \| 52,746 \| \| Income \| 6 \| (6,091) \| \| \| \| \| \| Programme expenditure \| \| \| \| \| \| \| \| \| \| \| \| Staff costs \| 3 \| 78,283 \| \| Other costs \| 5 \| 9,083,031 \| \| Income \| 6 \| (1,144) \| \| \| \| \| \| Grant in aid to NDPBs \| \| \| \| \| \| \| \| \| \| \| \| Administration grant in aid \| 23 \| 1,761 \| \| \| \| \| \| Programme grant in aid \| 23 \| 21,948 \| \| \| \| \| \| \| \| \| \| Net Operating Cost for the year ended \| \| \| \| 31 March \| 9,298,082 \| 9,298,453 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Total expenditure \| 9,305,317 \| 9,305,688 \| \| Total income \| 6 \| (7,235) \| \| Net Operating Cost for the year ended \| \| \| \| 31 March \| 9,298,082 \| 9,298,453 \| \| \| \| \| \| \| \| \| \| \| \| \| \| Other Comprehensive Net Expenditure \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Net (gain)/loss on: \| \| \| \| \| \| \| \| \| - revaluation of property, vehicles and \| \| \| equipment \| 20 \| 221 \| \| \| \| \| \| \| - revaluation of Programme Capital \| \| \| Investments \| 20 \| 359 \| \| \| \| \| \| \| \| - revaluation of International Financial \| \| Institutions \| 20 \| 73,669 \| \| \| \| \| \| \| \| \| \| - revaluation of investment in CDC \| 20 \| \| \| \| - openng adjustment as at 1 April 2012 \| \| \| - Current year adustment \| (120,900) \| \| \| \| \| \| \| \| \| \| \| Total Comprehensive Expenditure for \| \| \| \| the year ended 31 March \| \| \| \| 9,251,431 \| 9,251,802 \| 5,040,135 \| The notes on pages 180 to 221 form par t of these accounts. \| 2013–14 \| 2012–13 \| \|--------------\|------------\| \| £000 \| £000 \| \| (Restated) \| \| \| Departmental \| (Restated) \| \| - \| - \| \| (120,900) \| (227,800) \| ## Consolidated Statement Of Financial Position \| 31 March 2014 \| 31 March 2013 \| 1 April 2012 \| \|-------------------------------\|--------------------------\|-----------------\| \| Departmental \| Departmental \| \| \| Departmental \| DFID \| Group \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Note \| DFID \| Group \| \| £000 \| £000 \| £000 \| \| Non-current assets \| \| \| \| \| \| \| \| Property \| , vehicles and equipment \| 7 \| \| Intangible assets \| 8 \| 21,753 \| \| Financial assets \| 11 \| 6,229,249 \| \| Trade and other receivables \| 13 \| 69,973 \| \| \| \| \| \| Total non-current assets \| \| \| \| 6,441,067 \| 6,441,067 \| 6,337,984 \| \| \| \| \| \| Current assets \| \| \| \| \| \| \| \| Financial assets \| - \| - \| \| Trade and other receivables \| 13 \| 138,003 \| \| Cash and cash equivalents \| 12 \| 24,109 \| \| \| \| \| \| Total current assets \| \| \| \| 162,112 \| 162,724 \| 126,221 \| \| \| \| \| \| Total assets \| 6,603,179 \| 6,603,791 \| \| \| \| \| \| \| \| \| \| \| \| \| \| Current liabilities \| \| \| \| \| \| \| \| Trade and other payables \| 14 \| (3,882,589) \| \| Provisions \| 15 \| (152,383) \| \| Bank Overdraft \| 12 \| - \| \| \| \| \| \| \| \| \| \| Total current liabilities \| \| \| \| (4,034,972) \| (4,035,272) \| (3,186,336) \| \| \| \| \| \| Non-current assets less net \| \| \| \| current liabilities \| 2,568,207 \| 2,568,519 \| \| \| \| \| \| \| \| \| \| Non-current liabilities \| \| \| \| \| \| \| \| Provisions \| 15 \| (1,014,385) \| \| Other payables \| 14 \| - \| \| \| \| \| \| Total non-current liabilities \| \| \| \| [1] \| \| \| \| (1,014,385) \| (1,014,385) \| (1,093,581) \| \| \| \| \| \| Total assets less liabilities \| 1,553,822 \| 1,554,134 \| \| \| \| \| \| \| \| \| \| \| \| \| \| Taxpayers' equity and other \| \| \| \| reserves: \| \| \| \| \| \| \| \| General Fund \| \| \| \| [1] \| \| \| \| 19 \| (2,399,635) \| (2,399,323) \| \| Revaluation reserve \| 20 \| 3,953,457 \| \| Total equity \| 1,553,822 \| 1,554,134 \| \| \| \| \| [1] The Depar tment's net current liabilities and negative General Fund reflect the inclusion of liabilities falling due in future years. Under the Government Resources and Accounts Act 2000, no money may be drawn from the fund other than that required for the service of the specified year. In common with other government depar tments, the future financing of DFID's liabilities is to be met by future grants of supply and application of future income, both to be approved annually by Parliament. Such approval for 2013–14 amounts has already been provided and there is no reason to believe the allocation for 2014–15, 2015–16 and beyond will not be for thcoming. It has accordingly been considered appropriate to adopt a going concern basis for the preparation of these statements. Mark Lowcock Accounting Officer for the Depar tment for International Development 4 July 2014 The notes on pages 180 to 221 form par t of these accounts. ## Consolidated Statement Of Cash Flows For The Year Ended 31 March 2014 2013–14 £000 2012–13 £000 Note Cash flows from operating activities 21.1 (8,547,871) (6,671,464) Cash flows from investing activities 21.2 (74,223) (82,281) Cash flows from financing activities 21.3 8,699,262 6,716,689 Net increase/(decrease) in cash and cash equivalents in the period before adjustment for receipts and payments to the Consolidated Fund 77,168 (37,056) Payment of amounts due to the Consolidated Fund (5,836) (8,058) Net increase/(decrease) in cash and cash equivalents in the period after adjustment for receipts and payments to the Consolidated Fund 71,332 (45,114) Cash and cash equivalents at the beginning of the period 12 (46,611) (1,497) Cash and cash equivalents at the end of the period 12 24,721 (46,611) The notes on pages 180 to 221 form par t of these accounts. ## Consolidated Statement Of Changes In Taxpayers' Equity For The Year Ended 31 March 2014 \| DFID \| DFID \| DFID \| \|----------------------------------------\|-------------\|-----------------------------------\| \| \| \| General \| \| Fund \| \| \| \| Revaluation \| \| \| \| reserve \| \| \| \| Note \| \| \| \| £000 \| £000 \| £000 \| \| \| \| \| \| (Restated) \| (Restated) \| (Restated) \| \| \| \| \| \| Balance at 31 March 2012 \| \| (1,403,265) \| \| \| \| \| \| \| \| \| \| \| \| \| \| Impact of prior year restatement \| 20 \| - \| \| \| \| \| \| Restated balance at 1 April 2012 \| (1,404,031) \| 3,708,063 \| \| 19 \| 6,706,813 \| - \| \| 19 \| 54,370 \| - \| \| 54,370 \| \| \| \| Net Parliamentary Funding - drawn down \| \| \| \| Supply payable adjustment \| \| \| \| CFERs payable to the Consolidated Fund \| \| \| \| 19 \| (5,893) \| - \| \| (5,893) \| \| \| \| \| \| \| \| Comprehensive Net Expenditure for \| \| \| \| the year \| 19, 20 \| (7,075,374) \| \| Impact of prior year restatement \| 20 \| - \| \| \| \| \| \| \| \| \| \| Non-cash adjustments: \| \| \| \| Non-cash charges - auditor's \| \| \| \| remuneration \| 4 \| 265 \| \| \| \| \| \| \| \| \| \| Movements in reserves \| \| \| \| Realised element to General Fund \| 19, 20 \| 89 \| \| \| \| \| \| Restated balance at 31 March 2013 \| (1,723,761) \| 3,908,049 \| \| \| \| \| \| \| \| \| \| \| \| \| \| Net Parliamentary Funding - drawn down \| \| \| \| 19 \| 8,699,263 \| - \| \| Net Parliamentary Funding - deemed \| \| \| \| (54,370) \| - \| (54,370) \| \| Supply payable adjustment \| \| \| \| 19 \| (24,107) \| - \| \| CFERs payable to the Consolidated \| \| \| \| Fund \| \| \| \| 19 \| (86) \| - \| \| (86) \| - \| (86) \| \| \| \| \| \| \| \| Comprehensive Net Expenditure for \| \| the year \| 19, 20 \| (9,298,082) \| \| \| \| \| \| Non-cash adjustments: \| \| \| \| \| \| \| \| Non-cash charges - auditor's \| \| \| \| remuneration \| 4 \| 265 \| \| \| \| \| \| Movements in reserves \| \| \| \| \| \| \| \| Realised element to General Fund \| \| \| \| 19, 20 \| 1,243 \| (1,243) \| \| \| \| \| \| \| \| \| \| Balance at 31 March 2014 \| \| \| \| \| \| \| \| \| \| \| \| (2,399,635) \| 3,953,457 \| 1,553,822 \| The notes on pages 180 to 221 form par t of these accounts. Departmental Group Departmental Group Departmental Group Total reserves Total reserves General Fund Revaluation reserve (Restated) (Restated) (Restated) 1,872,899 469,634 - 1,835,164 1,835,164 (1,403,265) 3,708,063 2,304,798 89 (89) - (1,723,078) 3,908,049 2,184,971 8,699,263 - 8,699,263 (54,370) - (54,370) 1,243 (1,243) - (2,399,323) 3,953,457 1,554,134 ## Notes To The Departmental Accounts 1. Statement Of Accounting Policies These financial statements have been prepared in accordance with the 2013–14 Government Financial Repor ting Manual (FReM), issued by HM Treasury. The accounting policies contained in the FReM apply International Financial Repor ting Standards (IFRS) as adapted or interpreted for the public sector context. Where the FReM permits a choice of accounting policy, the policy which is judged to be most appropriate to the par ticular circumstances of DFID for the purpose of giving a true and fair view has been selected. The par ticular policies adopted by the Depar tment are described below. These have been applied consistently in dealing with items that are considered material to the accounts. In addition to the primary statements prepared under IFRS, the FReM also requires the Depar tment to prepare a Statement of Parliamentary Supply with suppor ting notes show outturn against Estimate in terms of the net resource requirement and the net cash requirement. These financial statements have been prepared in accordance with the Government Resources and Accounts Act 2000. ## 1.1 Accounting Convention These accounts have been prepared on a going concern basis under the historical cost convention, modified to account for the revaluation of non-current assets at their value to DFID by reference to their current costs or fair value as appropriate. The justification for preparing these accounts on a going concern basis is set out within note 19 to these accounts. ## 1.2 Basis Of Consolidation These accounts comprise a consolidation of DFID and those entities which fall within its depar tmental boundary, as defined in the FReM, and make up the Depar tmental Group. Transactions between entities included in the consolidation are eliminated. A list of all those entities within the depar tmental boundary is provided at note 23. ## 1.3 Coverage Of Accounts These accounts cover the activities of DFID and its 2 non-depar tmental public bodies only, the Commonwealth Scholarship Commission (CSC) and Independent Commission for Aid Impact (ICAI). DFID is the sponsor depar tment for CDC Group plc (CDC), a self-financing public corporation, wholly owned by DFID. CDC is not consolidated in these accounts as, under FReM rules, public corporations are outside the depar tmental resource accounting boundary. DFID's 100% ownership interest in CDC is recognised in non-current asset investments. In line with FReM rules on activities which are charged directly to depar tments' expenditure, the primary statements in these accounts do not include amounts attributed to DFID in relation to spending on development activities by the European Union (EU) from the EU budget. The Statement of Parliamentary Supply does, however, include this expenditure when calculating resource outturn for the year under review. As a result this expenditure is included within both note SOPS2 and SOPS3, detailing the calculation between Resource Outturn for the year and the total included in the Consolidated Statement of Comprehensive Net Expenditure. ## 1.4 Operating Income Operating income principally comprises rental income, loan interest and profits on disposal of non-current assets. It includes both income appropriated-in-aid and income to be surrendered to the Consolidated Fund, which HM Treasury has agreed should be treated as operating income under the ambit of the Depar tment. All income is accounted for on an accruals basis. ## 1. Statement Of Accounting Policies (Continued) 1.5 Administration And Programme Expenditure The Consolidated Statement of Comprehensive Net Expenditure is analysed between administration and programme income and expenditure. The classification of expenditure and income as administration or as programme follows the definition of administration costs set out in Consolidated Budgeting Guidelines by HM Treasury. Administration costs and income reflect the costs of running the Depar tment. Programme costs reflect non-administrative costs, including payments of grants and other disbursements by the Depar tment and cer tain staff costs where they relate directly to ser vice delivery. ## 1.6 Grants Payable Grants payable are recorded as expenditure in the period in which the underlying event or activity giving entitlement to the grant occurs. Where the period to which the payments are to be applied is clearly defined, the appropriate resource adjustments are made. Where grants are made to governments or international organisations and UK contributions are pooled and cannot be matched directly with par ticular activities, expenditures are recognised in the period when agreed conditions for payment have been met. In cer tain cases, grant contributions to international organisations are made in the form of promissory notes. The full amount of the promissory note is recognised as an expense in the period in which the note is deposited. Amounts not drawn down in cash from promissory notes at the Consolidated Statement of Financial Position date are included in 'Trade and other payables'. ## 1.7 Research And Development Expenditure by DFID from programme budgets in support of research and development is charged to the Consolidated Statement of Comprehensive Net Expenditure in the period in which it is incurred, unless it meets the criteria for capitalisation as defined in International Accounting Standard 38. ## 1.8 Value Added Tax (Vat) Income and expenditure is shown net of VAT where output tax is charged or input tax is recoverable. Irrecoverable VAT incurred is included within the overall cost of purchases. Amounts owed by HM Revenue and Customs for EC VAT at the Consolidated Statement of Financial Position date are included in 'Trade and other receivables'. ## 1.9 Foreign Exchange Transactions denominated in foreign currency are accounted for at the sterling equivalent at the exchange rate ruling at the date of each transaction. Monetary assets and liabilities denominated in foreign currency are translated into sterling at the exchange rates ruling at the Consolidated Statement of Financial Position date. Differences on translation of realised balances are recognised as operating costs within the Consolidated Statement of Comprehensive Net Expenditure. ## 1.10 Pensions Past and present home civil servants are covered by the provisions of the Principal Civil Service Pension Scheme (PCSPS) which is a multi-employer defined benefit scheme and is unfunded, except in respect of dependants' benefits. DFID recognises the expected cost of these elements on a systematic and rational basis over the period which benefits from employees' services by payment to the PCSPS of amounts calculated on an accruing basis. Liability for payment of future benefits is a charge on the PCSPS. The Depar tment recognises the contributions payable for the year in respect of defined contribution schemes, in accordance with IAS 19. Details of rates and amounts of contributions during the year are given in note 3. The PCSPS is an unfunded multi-employer defined benefit scheme, however, DFID is unable to identify its share of the underlying assets and liabilities. ## 1. Statement Of Accounting Policies (Continued) 1.11 Property, Vehicles And Equipment Title to freehold land and buildings is held in the name of, or on behalf of, the Secretary of State for International Development. Land and buildings are shown at current replacement cost based on professional valuations carried out at not more than 5 year intervals with the exception of the valuation of a leasehold related asset as discussed at note 7. As there are no indices available to update the historic cost between valuation points, land and buildings are held at depreciated revalued cost based on the previous revaluation. Refurbishments to freehold and leasehold proper ties are capitalised at the actual costs incurred, where these extend the useful life or functionality of the underlying leased asset. Equipment used for general administration purposes are recognised as assets, including any costs associated with bringing them into working condition. Therefore, asset costs include salaries and expenses of depar tmental staff arising directly from the development, construction and acquisition of the asset. Proper ty, vehicles and equipment do not include items purchased from programme expenditure to benefit overseas governments and others where the intention is that ownership will fall to the third par ties. Proper ty, vehicles and equipment are capitalised above a threshold of £1,000 for individual assets. Items of office and domestic furniture and IT equipment, some of which may individually cost less than £1,000, are capitalised on a grouped basis. Assets under construction are capitalised on the basis of actual costs incurred during the period until the work is completed when the asset is deemed available for use and reclassified accordingly. Non-current assets are valued at current replacement cost, which is deemed representative of fair value. Current replacement cost is updated quar terly based on monthly indices provided by the Office for National Statistics website, except in relation to freehold land and buildings, for which appropriate indices are not available. As explained above, any surplus on revaluation is recognised directly in the revaluation reser ve, except to the extent that the surplus reverses a previous revaluation deficit on the same asset which was previously recognised in the Consolidated Statement of Comprehensive Net Expenditure. In such circumstances the resulting credit is recognised in the Consolidated Statement of Comprehensive Net Expenditure. Any deficit on revaluation is recognised in the Consolidated Statement of Comprehensive Net Expenditure, except to the extent that it reverses a previous revaluation surplus on the same asset, in which case it is taken directly to the revaluation reser ve. ## 1.12 Depreciation Freehold land is not depreciated. Depreciation is provided on other proper ty, vehicles and equipment on a straight line basis over the remaining useful lives of the assets. Depreciation on assets under construction, including improvements to leaseholds, is provided from the point at which these come into use. The useful lives for main asset categories are as follows: \| \| Office accommodation (freeholds) \| 30 years \| \|---------------------------\|--------------------------------------\|-------------\| \| Domestic proper \| ty (freeholds) \| 20 years \| \| Improvements to freeholds \| 15 years \| \| \| Leasehold-related assets \| Over the remaining term of the lease \| \| \| Motor vehicles \| 5 years \| \| \| Furniture and equipment \| Mainly at 5 and 10 years \| \| \| IT equipment \| 1 to 8 years \| \| ## 1.13 Intangible Assets Intangible assets comprise software licences and IT systems, and are valued at current replacement cost, which is deemed representative of fair value. Any surplus on revaluation is recognised directly in the revaluation reser ve, except to the extent that the surplus reverses a previous revaluation deficit on the same asset which was previously recognised in the Consolidated Statement of Comprehensive Net Expenditure. In this circumstance, the credit to that extent is recognised in the ## 1. Statement Of Accounting Policies (Continued) 1.13 Intangible Assets (Continued) Consolidated Statement of Comprehensive Net Expenditure. Any deficit on revaluation is recognised in the Consolidated Statement of Comprehensive Net Expenditure, except to the extent that it reverses a previous revaluation surplus on the same asset, in which case it is taken directly to the revaluation reser ve. Amor tisation is provided on a straight line basis as follows: \| Software licences \| Over the life of the licence (1 to 8 years) \| \|-----------------------\|---------------------------------------------------\| \| IT systems \| Over individually assessed estimated useful lives \| \| (1 to 8 years) \| \| ## 1.14 Financial Instruments IFRS 7 Financial Instruments: Disclosures requires disclosures in the accounts that enable users to evaluate the significance of financial instruments to the financial position and performance. Fur thermore, it requires the disclosure of the nature and extent of risks arising from financial instruments to which DFID is exposed during the year and at the financial year end, and requires the explanation of how those risks are managed. Financial assets and liabilities are recognised when the Depar tment becomes par ty to the contracts that give rise to them and conditions satisfying recognition are met. These are derecognised when the right to receive cash flows has expired or where the Depar tment has transferred substantially all the risks and rewards of ownership or control of the asset. In order to gain greater budget cer tainty in relation to a par ticular programme, DFID mitigates the effects of potential falls in the value of sterling by taking out forward contracts to meet future currency requirements where considered appropriate. Such contracts are held in the Consolidated Statement of Financial Position at fair value, based on external valuations at the Statement of Financial Position date. Gains or losses in respect of forward currency purchases are recognised through the Consolidated Statement of Comprehensive Expenditure. DFID does not enter forward currency contracts to provide an accounting hedge and, in accordance with Treasury guidelines, hedge accounting has not been applied. All other financial assets and liabilities that are not separately disclosed in the accounting policy are recorded at amor tised cost using the effective interest method. ## 1.15 Investments International Financial Institutions (Ifis) Investments include the United Kingdom interest in cer tain International Financial Institutions (IFIs). Shares in these bodies are not traded securities. IFIs play an integral role in delivering DFID's objectives and as such, the value of the Depar tment's interest in these institutions is qualitative rather than quantitative. These investments are recognised at cost and subsequently measured at fair value. In the absence of market values an approximation of the fair value of DFID's interests in IFIs has been assessed as the amount that DFID would receive if the institutions ceased to operate. For all IFIs, this would be DFID's share of the audited net assets of the IFI, based on shareholdings at the time of dissolution. It is considered that the net assets shown on the Statement of Financial Position of each IFI, at the date closest to year end, adjusted for known changes in ownership, represent the best estimate of the net realisable value. Increases in the value of investments, including those arising from translation to sterling of underlying values of foreign currency denominated investments or from market movements affecting the valuation, are taken to the revaluation reser ve. Reductions in value are taken to the revaluation reser ve to the extent that value is no lower than that the carrying amount at initial recognition to the Statement of Financial Position. Impairments below this cost are charged to the Consolidated Statement of Comprehensive Net Expenditure. ## 1. Statement Of Accounting Policies (Continued) 1.15 Investments (Continued) Public Corporations For financial years ending prior to 31 March 2012, in accordance with the FReM, investments in public corporations falling outside the resource accounting boundary were recognised at historical cost less any impairment. Impairments were assessed by comparing the historic cost to DFID's share of net assets, with any impairment being taken to the Consolidated Statement of Comprehensive Net Expenditure. For financial periods ending on or after 31 March 2012, in accordance with the FReM, investments in public corporations falling outside the resource accounting boundary are recognised at fair value. Subsequent to the initial recognition, gains and losses on the fair value of the investment at each Statement of Financial Position date are repor ted through the revaluation reser ve, with any impairment to the fair value and foreign exchange losses recognised immediately within the Consolidated Statement of Comprehensive Net Expenditure. As at 31 March 2014, DFID elected to retrospectively apply the change in accounting policy for the financial years ending 31 March 2012 and 31 March 2013. ## Other Investments Other equity investments and cer tain 'returnable grant' arrangements are recognised at fair value at the Statement of Financial Poistion date. Subsequent gains and losses on the fair value at each Statement of Financial Position date are repor ted through the revaluation reser ve, with any impairment to the fair value and foreign exchange losses recognised within the Consolidated Statement of Comprehensive Net Expenditure. The valuation methodology for programme funded investments depends on the nature of the investment and will vary from programme to programme. ## 1.16 Long Term Loans In accordance with IAS 39, long term loans and receivables have been valued at amor tised cost based on expected future cash flows, net of provisions. The discount rate applied to future cash flows to calculate amor tised cost is the higher of the long term interest rate set by HM Treasury or the rate intrinsic to each agreement. Provisions applied include amounts which the UK has formally agreed will not be repaid. Repayments forecast to be made within one year are included in current assets (note 13.1). ## 1.17 Impairment Of Financial Assets The Depar tment assesses at each Statement of Financial Position date whether there is objective evidence that financial assets are impaired as a result of events that occurred after the initial recognition of the asset and prior to the Statement of Financial Position date. If such events are considered to have an impact on the estimated future cash flows of the financial instrument then the asset is impaired. For the purposes of a collective evaluation of impairment, financial assets are grouped on the basis of similar risk characteristics, taking into account instrument types and other relevant factors. These characteristics are relevant to the estimation of future cash flows for groups of such assets by being indicative of the counterpar ty's ability to pay all amounts due according to the terms of the asset being evaluated. The amount of impairment loss is measured as the difference between the asset's carrying amount and the present value of estimated future cash flows discounted at the effective interest rate set at inception. Future cash flows for a group of financial instruments that are collectively evaluated for impairment are estimated on the basis of expected cash flows for the assets and historical loss experience for assets with credit risk characteristics similar to those in the group. Where the time value of money is material, financial assets are stated at discounted amounts using the real discount rate, adjusted for inflation, set by HM Treasury. ## 1. Statement Of Accounting Policies (Continued) 1.18 Leases Where substantially all risks and rewards of ownership of a leased asset are borne by DFID, the asset is recorded as a non-current asset with a corresponding liability recorded representing the net present value of the payments obligation to the lessor. Net present value is calculated as the value of the minimum lease payments discounted by the interest rate implicit in the lease. The interest element of the finance lease payment is charged to the Consolidated Statement of Comprehensive Net Expenditure over the period of the lease at a constant rate in relation to the balance outstanding. Other leases are classed as operating leases and the rentals are charged to the Consolidated Statement of Comprehensive Net Expenditure over the term of the lease. No ownership rights are awarded and therefore no assets or liabilities are recorded within the Consolidated Statement of Financial Position. ## 1.19 Cash And Cash Equivalents Cash comprises cash on hand with UK and overseas banks and demand deposits at the Statement of Financial Position date. Cash equivalents comprise any assets considered by management to be readily conver tible to cash, due to their highly liquid and shor t term nature, by way of a readily available market for sale. ## 1.20 Provisions DFID provides for legal and constructive obligations, related to past events, where the obligations are of uncer tain timing or value at the Statement of Financial Position date. Such provisions are based on the best estimate of the expenditure required to settle the obligation. Where the time value of money is material, provisions are stated at discounted amounts using the real discount rate, adjusted for inflation, set by HM Treasury. ## 1.21 Early Retirement Costs DFID meets the additional costs of benefits, beyond the normal PCSPS benefits in respect of employees who retire early, by paying the required amounts annually to the PCSPS, over the period between early retirement and normal retirement date. These costs are provided in full as an expense in the Consolidated Statement of Comprehensive Net Expenditure (within programme costs) when early retirements have been agreed and arrangements are binding. Liability for future payments is shown under provisions. Where the provision for employee exit costs is significant/material, the FReM requires that the cash flows are discounted. Amounts provided in year and held within the provisions balance at year end are neither significant nor material. ## 1.22 Contingent Assets And Liabilities In addition to contingent liabilities disclosed in accordance with IAS 37, the Depar tment discloses for Parliamentary repor ting and accountability purposes cer tain statutory and non-statutory contingent liabilities where the likelihood of a transfer of economic benefit is remote, but which have been repor ted to Parliament in accordance with the requirements of 'Managing Public Money'. Where the time value of money is material, contingent liabilities which are required to be disclosed under IAS 37 are stated at discounted amounts and the amount repor ted to Parliament separately noted. Contingent liabilities that are not required to be disclosed by IAS 37 are stated at the amounts repor ted to Parliament. The Depar tment discloses a contingent asset where it is probable there will be an inflow of economic benefits from a past event, but where the outcome (timing and/or value) is uncer tain. An estimate of the financial effect is indicated, where possible. ## 1. Statement Of Accounting Policies (Continued) 1.23 Third Party Assets Cash balances in the primary statements exclude amounts held for third par ties as custodian or trustee but in which neither DFID nor the UK government more generally has a direct beneficial interest. Amounts of this nature held at the Statement of Financial Position date are disclosed in note 22. ## 1.24 Critical Accounting Judgements The Accounting Officer, in preparing the Accounts, is required to select suitable accounting policies, apply them consistently and make estimates and assumptions that are reasonable and prudent. These judgements and estimates are based on historical experience and other factors considered relevant. Actual results may differ from these estimates and assumptions. Critical accounting estimates are those which involve the most complex or subjective judgements or assessments. The areas of DFID's business that typically require such estimates in implementing the accounting policies set out above are explained in more detail below. ## (A) Useful Lives Of Property, Vehicles And Equipment And Intangible Non-Current Assets DFID's management annually reviews and re-affirms the appropriateness of the useful lives of tangible and intangible assets for the purposes of applying depreciation. ## (B) Impairment Review Of Property, Vehicles And Equipment And Intangible Assets Assets categorised as Land, Buildings and Dwellings, Leasehold Proper ty and Assets under Construction are recorded at depreciated historic cost. All other assets are recorded at depreciated current cost. Indexation factors are obtained from the Office for National Statistics for those assets recorded at current cost. Each year DFID carries out a review of carrying value to assess indications of impairment. ## (C) Impairment Review Of Financial Assets DFID carries out an annual impairment review of the carrying value of its financial assets. Details of this policy are set out in note 1.17. ## (D) Provisions Against Long Term Loans And Receivables Long term loan balances are held with a number of overseas governments and organisations. DFID carries out an annual review to assess the expected amounts receivable against the carrying value of loans outstanding, giving consideration to factors affecting recoverability such as political matters, for example stability within the recipient country, or economic developments and progress towards debt reduction initiatives such as the Paris Club or the Heavily Indebted Poor Countries (HIPC) Initiative. Where there is a likelihood that the full carrying value may not be received, a provision is made against the carrying value of the amount due and balances repor ted in the accounts to the extent that the outstanding amount will not be recovered. Details of this policy are set out in note 1.17. ## 1.25 Effects Of Future Accounting Policies The following is a list of changes to IFRS that have been issued but which were not effective in the repor ting period: Annual improvements to IFRS (including IFRS 13 Fair value measurement, IAS 16 Proper ty , plant and equipment and IAS 24 Related party disclosures) will be effective for financial repor ting periods beginning on or after 1 July 2014. The Depar tment is currently assessing the impact of these improvements but, based on preliminary analysis, it is not expected to be material. IFRS 9 Financial Instruments is expected to be effective for financial repor ting periods beginning on or after 1 January 2018. The new standard simplifies the classification and measurement of financial assets, previously repor ted under IAS 39 Financial Instruments: Recognition and Measurement, and will have a material effect on the disclosure and measurement of financial assets. ## 1. Statement Of Accounting Policies (Continued) 1.26 Operating Segments IFRS 8 defines an operating segment as a component of an entity: - that engages in business activities from which it earns revenues and incurs expenditure - whose operating results are reviewed regularly by the entity's decision-makers to make decisions about resources to be allocated to the segment and assess its performance - for which discrete financial information is available DFID's structure comprises a number of divisions which are individually, and collectively, responsible for delivering the Depar tment's expected output and objectives. Each division repor ts through a Director to a Director General, who is a member of the Executive Management Committee. Budgets and resources are allocated to divisions based on operational plans. These are reviewed and signed off, firstly by the responsible Director then ultimately by the responsible Director General. The Executive Management Committee reviews a monthly finance repor t as a standing item on its agenda. This aggregates financial data for all divisions and summarises financial performance, both historical and forecast, by Director General area. As such, the divisions are considered the most appropriate operating segments for disclosure in note 2, which sets out the income and expenditure for each operating segment. ## 1.27 Changes In Accounting Policy Except for the change of accounting policy set out in note 1.15, DFID has consistently applied the accounting policies referred to above to all periods presented in these financial statements. ## 2. Statement Of Operating Costs By Operating Segment IFRS 8 requires disclosure of income and expenditure by operating segment. The basis for defining operating segments is set out in note 1.26. The standard also includes a requirement to show net assets per operating segment. The structure of DFID means that all assets included in the Statement of Financial Position are used for the general administration and benefit of DFID as a whole. As such, DFID considers the Statement of Financial Position to be centrally maintained and monitored by the Finance and Corporate Performance Division and it would therefore all fall under the repor ting line of the Director General for Corporate Performance. During 2013–14, there was a restructure carried out of divisions and as a result the operating segments differ from the prior year. ## For The Year Ended 31 March 2014 \| Director General \| Division \| \|-----------------------------------------------------------------------------\|----------------------\| \| Corporate Performance \| \| \| Central Department Division \| \| \| 13,199 \| (1,037) \| \| Business Change and Strategy Division \| \| \| 549 \| - \| \| Business Solutions Division Level \| \| \| 13,583 \| - \| \| Communications Division \| \| \| 50,992 \| - \| \| Finance and Corporate Performance Division \| \| \| 10,140 \| - \| \| Group Operations \| \| \| 27,022 \| (5,715) \| \| Human Resources \| \| \| 10,897 \| (31) \| \| Internal Audit \| \| \| 1,426 \| - \| \| Non-Departmental Public Body \| 3,653 \| \| - \| 3,653 \| \| Corporate Performance \| 131,461 \| \| Permanent Secretary \| Top Management Group \| \| Permanent Secretary \| 3,990 \| \| \| \| \| Policy and Global Programmes \| Global Funds \| \| International Relations Division \| 767,191 \| \| Policy Division \| 755,567 \| \| Research and Evidence Division \| 337,933 \| \| Policy and Global Programmes \| 2,983,319 \| \| \| \| \| Asia, Caribbean and Overseas Territories \| \| \| Africa, South & East Asia, Western \| \| \| Hemisphere \| \| \| East and Central Africa \| \| \| West and Southern Africa \| 1,023,795 \| \| Western Asia Division \| 471,495 \| \| Africa, South & East Asia, Western \| \| \| Hemisphere \| 3,546,956 \| \| \| \| \| Economic Development \| \| \| Growth and Resilience Division \| 62,098 \| \| International Finance Division \| 1,623,491 \| \| Trade for Development Division \| 9,599 \| \| Economic Development \| 1,695,188 \| \| Middle East, Humanitarian and Security Middle East, Humanitarian & Security \| \| \| Division \| 944,774 \| \| Humanitarian, Security and Conflict \| 944,774 \| \| Total \| 9,305,688 \| Gross expenditure Income 2013–14 Net expenditure £000 £000 £000 819,688 (11) 819,677 1,231,978 (10) 1,231,968 ## 2. Statement Of Operating Costs By Operating Segment (Continued) For the year ended 31 March 2013 \| Director General \| Division \| \|-------------------------------------\|----------------------------------\| \| e \| Finance and Corporate Performanc \| \| Central Department Division \| \| \| Corporate Hub \| 1,378 \| \| Business Solutions Division Level \| 16,357 \| \| Finance and Corporate \| \| \| Performance Division \| 14,383 \| \| Human Resources, Security and \| \| \| Facilities Division \| 36,721 \| \| Communications Division \| 39,480 \| \| Internal Audit \| 1,419 \| \| Non-departmental public body \| \| \| 2,914 \| - \| \| Finance and Corporate Performance \| 209,885 \| \| Permanent Secretary \| Top Management Group \| \| Permanent Secretary \| \| \| \| \| \| Policy and Global Programmes \| International Finance Division \| \| Policy Division \| \| \| International Relations Division \| \| \| Research and Evidence Division \| \| \| Joint Trade Policy Division \| \| \| Policy and Global Programmes \| \| \| \| \| \| Country Programmes \| Asia, Caribbean and Overseas \| \| Territories \| \| \| East and Central Africa \| \| \| West and Southern Africa \| \| \| Country Programmes \| \| \| \| \| \| Humanitarian, Security and Conflict \| Conflict, Humanitarian and \| \| Security Division \| \| \| Middle East and North Africa \| \| \| Division (MENAD) \| \| \| Western Asia and Stabilisation \| \| \| Division \| \| \| Humanitarian, Security and Conflict \| \| \| Total \| \| Gross expenditure Income 2012–13 Net expenditure £000 £000 £000 97,233 (51,450) 45,783 4,093 (1) 4,092 1,893,618 (125) 1,893,493 654,717 - 654,717 669,244 (2) 669,242 244,710 - 244,710 10,245 - 10,245 3,472,534 (127) 3,472,407 718,682 (49) 718,633 1,050,575 (41) 1,050,534 863,658 (186) 863,472 2,632,915 (276) 2,632,639 133,617 - 133,617 251,458 - 251,458 429,398 (44) 429,354 814,473 (44) 814,429 7,133,900 (58,443) 7,075,457 ## 3. Staff Numbers And Related Costs 3.1 Staff Costs Permanently employed staff Others Ministers Special advisers Total 2013–14 Total 2012-13 £000 £000 £000 £000 £000 £000 Wages and salaries 117,174 1,904 - - 119,078 108,639 Social security costs 6,698 - - - 6,698 6,067 Other pension costs 20,055 - - - 20,055 19,239 Subtotal 143,927 1,904 - - 145,831 133,945 Less recoveries in respect of outward secondments (111) - - - (111) (31) Total net costs 143,816 1,904 - - 145,720 133,914 Analysis of total Charged to Charged to Charged Administration Programme to Capital Budget Budget Budget Total £000 £000 £000 £000 DFID 65,400 78,283 2,037 145,720 Agencies - - - - Other designated bodies - - - - Total 65,400 78,283 2,037 145,720 All staff costs relate to the Core Depar tment and ICAI only. CSC does not have any staff as it uses administrators to carry out its day-to-day operations. The Principal Civil Service Pension Scheme (PCSPS) is an unfunded multi-employer defined benefit scheme. DFID is unable to identify its share of the underlying assets and liabilities, therefore sufficient information is unavailable to enable DFID to account for the plan as a defined benefit plan. A full actuarial valuation was carried out as at 31 March 2007. Details can be found in the accounts of the Cabinet Office: Civil Superannuation (www.civilser vice.gov .uk/pensions). For 2013–14, employers' contributions of £18,420,743 were payable to the PCSPS (2012–13: £16,789,140) at 1 of 4 rates in the range 16.7% to 24.3% of pensionable pay, based on salary bands. The Scheme's Actuary reviews employer contributions every 4 years following a full scheme valuation. The contribution rates are set to meet the cost of the benefits accruing during 2013–14 to be paid when the member retires and not the benefits paid during this period to existing pensioners. Employees can opt to open a par tnership pension account, a stakeholder pension with an employer contribution. Employers' contributions of £240,384 (2012–13: £193,945) were paid to 1 or more of a panel of 3 appointed stakeholder pension providers. Employer contributions are age-related and range from 3% to 12.5% of pensionable pay. Employers also match employee contributions up to 3% of pensionable pay. In addition, employer contributions of £17,049 (2012–13: £13,883), 0.8% of pensionable pay, were payable to the PCSPS to cover the cost of the future provision of lump sum benefits on death in service and ill health retirement of these employees. No contributions were due to the par tnership pension providers at the Statement of Financial Position date. Contributions prepaid at that date were nil. 2 individuals retired early on ill-health grounds; the total additional accrued pension liabilities in the year amounted to £16,088. ## 3. Staff Numbers And Related Costs (Continued) 3.2 Average Number Of Persons Employed The average number of whole-time equivalent persons employed during the year was as follows. These relate to the Core Depar tment only. Permanently employed staff Others[1] Ministers Staff engaged on capital projects Corporate Performance 29 54 - - 83 29 Total 29 54 - - 83 29 Division Corporate Performance 482 – – – 482 458 Permanent Secretary 36 - 3 3 42 47 Policy and International Relations 507 – – – 507 483 Africa, South and East Asia and Western Hemisphere 1,339 - - - 1,339 1,265 Western Asia and Stabilisation, MENAD, CHASE and International Finance 519 – – – 519 488 Total 2,912 54 3 3 2,972 2,770 [1] Others have been recorded under Corporate Performance as more detailed information is not available ## 3.3 Reporting Of Civil Service And Other Compensation Schemes - Exit Packages \| 2013–14 \| 2012–13 \| \|------------------------\|--------------------\| \| Departmental Group \| Departmental Group \| \| Exit package cost band \| Number of \| \| compulsory \| \| \| redundancies \| \| \| Total number of \| \| \| exit packages \| \| \| by cost band \| \| \| Number \| \| \| of other \| \| \| departures \| \| \| agreed \| \| \| <£10,000 \| \| \| 1 \| 1 \| \| £10,000 - £25,000 \| \| \| - \| 4 \| \| £25,001 - £50,000 \| \| \| - \| 7 \| \| £50,001 - £100,000 \| \| \| - \| 5 \| \| £100,001 - £150,000 \| \| \| - \| 4 \| \| £150,001 - £200,000 \| \| \| - \| 1 \| \| £200,001+ \| \| \| - \| - \| \| Total number of exit \| \| \| packages \| 1 \| \| Total cost £000 \| \| \| 1,294 \| 836 \| All exit packages above relate to DFID. Redundancy and other depar ture costs have been paid in accordance with the provisions of the Civil Ser vice Compensation Scheme, a statutory scheme made under the Superannuation Act 1972. Exit costs are accounted for in full in the year of depar ture. Where the Depar tment has agreed early retirements, the additional costs are met by the Depar tment and not by the Civil Ser vice Pension Scheme. Ill health retirement costs are met by the pension scheme and are not included in the table. \| 2013–14 \| 2012–13 \| \|-----------------\|------------\| \| Special \| \| \| advisers \| \| \| Number \| \| \| Total \| \| \| Number \| \| \| Total \| \| \| \| \| \| \| \| \| Number of \| \| \| compulsory \| \| \| redundancies \| \| \| Total number of \| \| \| exit packages \| \| \| by cost band \| \| \| Number \| \| \| of other \| \| \| departures \| \| \| agreed \| \| ## 4. Other Administration Costs Note £000 £000 £000 £000 Rentals under operating leases 12,758 12,758 16,480 16,480 Charges under finance leases 8,742 8,742 8,912 8,912 Other current expenditure 21,393 23,163 27,693 29,805 Non–cash items Depreciation: property, vehicles and equipment 7 8,459 8,459 15,130 15,130 Amortisation: intangible assets 8 3,806 3,806 3,874 3,874 Revaluation of IT equipment 9 425 425 (571) (571) Impairment of furniture and fittings 9 1,011 1,011 191 191 Loss on disposal of proper ty, vehicles and equipment 9 1,148 1,148 590 590 Loss on disposal of intangible assets 9 48 48 - - Auditors' remuneration and expenses[1] 265 265 265 265 Movement in provisions (5,309) (5,309) (2,825) (2,825) Staff costs 3 67,548 67,548 63,065 63,065 Grant in aid 23 1,761 - 1,980 - Administration income 6 (6,091) (6,091) (7,101) (7,101) Total 115,964 115,973 127,683 127,815 [1] In addition, the National Audit Office received cash fees indirectly from DFID via other organisations to which it is a sub-contractor for carrying out audited-related services. Indirect fees totalled £208,200 in 2013–14 (2012–13: £168,247). Cash fees directly received from DFID during 2013–14 were Nil (2012–13: Nil). \| 2013–14 \| 2012–13 \| \|--------------\|------------\| \| DFID \| \| \| Departmental \| \| \| Group \| DFID \| \| Departmental \| \| \| Group \| \| \| 21,500 \| 21,500 \| \| 52,746 \| 54,516 \| ## 5. Programme Costs Note 7,140,277 Grants and current expenditure 14.2 1,935,517 Contributions to International Financial Institutions: promissory notes Loss on foreign exchange Non–cash items Movements in provisions 15 Gain on disposal of Actis 9,083,031 9,105,341 6,911,530 6,930,541 Staff costs 3 78,283 78,283 68,443 68,443 Grant in aid 23 21,948 - 19,060 - Programme income 6 (1,144) (1,144) (51,342) (51,342) Total net programme costs 9,182,118 9,182,480 6,947,691 6,947,642 ## 6. Income Administrative income Rents from non–government bodies Other Subtotal (6,091) (6,091) (7,101) (7,101) Programme income Non–capital operating income (69) (69) (149) (149) Capital grant in kind to finance transfer of property - – (44,145) (44,145) Sale of investment - - (5,721) (5,721) Grant in aid funding (450) (450) (490) (490) Other operating income (86) (86) (136) (136) Loan interest (539) (539) (701) (701) Subtotal (1,144) (1,144) (51,342) (51,342) Total (7,235) (7,235) (58,443) (58,443) \| 2013–14 \| 2012–13 \| \|--------------\|------------\| \| DFID \| \| \| Departmental \| \| \| Group \| DFID \| \| Departmental \| \| \| Group \| \| \| £000 \| £000 \| \| 7,162,587 \| 5,353,552 \| \| 1,935,517 \| 1,408,547 \| \| 3,473 \| 3,473 \| \| 3,764 \| 3,764 \| \| - \| - \| \| 2013–14 \| 2012–13 \| \| Departmental \| \| \| Group \| DFID \| \| Departmental \| \| \| Group \| \| \| DFID \| \| \| £000 \| £000 \| \| £000 \| \| \| (5,301) \| (5,301) \| \| (790) \| (790) \| ## 7. Property, Vehicles And Equipment Consolidated 2013–14 Land, buildings Leasehold- Furniture Assets and related and IT under dwellings assets Vehicles equipment equipment construction Total £000 £000 £000 £000 £000 £000 £000 Cost or valuation At 1 April 2013 69,018 48,278 7,580 20,787 18,369 18,246 182,278 Additions 208 1,544 1,176 966 2,478 2,109 8,481 Revaluation - - (387) (1,530) (1,000) – (2,917) Brought into use/reclassifications - - - - 48 - 48 Disposals – (544) (346) (2,206) (207) – (3,303) At 31 March 2014 69,226 49,278 8,023 18,017 19,688 20,355 184,587 Depreciation At 1 April 2013 (3,062) (25,218) (5,374) (11,466) (14,330) (1) (59,451) Charged in year (1,906) (2,185) (776) (1,391) (2,201) – (8,459) Depreciation on revaluation - - 166 519 575 - 1,260 Reclassifications - - - - - - - Disposals - 454 326 1,225 150 - 2,155 At 31 March 2014 (4,968) (26,949) (5,658) (11,113) (15,806) (1) (64,495) Carrying amount at 31 March 2014 64,258 22,329 2,365 6,904 3,882 20,354 120,092 Carrying amount at 31 March 2013 65,956 23,060 2,206 9,321 4,039 18,245 122,827 Asset financing Owned 64,258 1,073 2,365 6,904 3,882 20,354 98,836 Finance-leased - 21,256 - - - - 21,256 Carrying amount at 31 March 2013 64,258 22,329 2,365 6,904 3,882 20,354 120,092 8,481 Additions (accruals basis) Movement in capital payable (15,704) As shown in cash flow (7,223) ## 7. Property, Vehicles And Equipment (Continued) The above relates to assets held by DFID. CSC and ICAI do not hold any assets. The Depar tment's freehold proper ty in East Kilbride was valued at 31 March 2011 by GVA Grimley LLP International Proper ty Advisers using Royal Institution of Char tered Sur veyors (RICS) guidelines. A revised existing use valuation of £6.2 million (land £1.24 million, buildings £4.96 million) was repor ted. Overseas proper ties were valued during 2011–12 as follows: Zambia proper ties were revalued at 13 February 2012 by Pam Golding Proper ties; Zimbabwe proper ties were revalued at 6 February 2012 by SEEF Proper ties; Uganda proper ty was valued at 17 January 2012 by Eastlands Agency Real Estate; Malawi proper ties were valued at 9 March 2012 by MPICO Limited; Pakistan proper ty was valued at 22 February 2012 by W W Engineering Services (Pvt) Limited; Ethiopia proper ty was valued at 31 January 2012 by CPMS. Included in leasehold related assets, is a proper ty held under a finance lease, entered into by a former executive agency of the Depar tment. The proper ty is now sublet through an operating lease to the University of Greenwich, which occupies the building and took on the work of this agency. The last formal valuation of the proper ty using RICS guidelines was performed at 31 March 2008 by DTZ Debenham Tie Leung Limited. An informal professional valuation was conducted in October 2011 to suppor t the Depar tment's consideration of options for the future management of the proper ty after the expiry of the finance lease. The value identified through the informal review is not significantly different from the formal valuation conducted in 2008. The formal valuation of the proper ty was not updated during the year to avoid replication of work in advance of the decision over future management of the proper ty. Included in buildings, is 22/26 Whitehall which was transferred to DFID from Cabinet Office during 2012–13 at a total value of £44.145 million. The valuation was provided by DVS on 12 October 2012. DVS is the proper ty arm of the Valuation Office Agency and provides professional proper ty advice across the public sector. Subsequently, DFID has under taken refurbishments to bring the proper ty up to a suitable standard for occupation and use by the Depar tment. This was completed during February 2013 and DFID commenced operations from the premises during February 2013. ## 7. Property, Vehicles And Equipment (Continued) Consolidated 2012–13 Land, buildings Leasehold- Furniture and related and IT Assets under dwellings assets Vehicles equipment equipment construction Total £000 £000 £000 £000 £000 £000 £000 Cost or valuation At 1 April 2012 20,035 62,282 6,709 18,356 15,682 13,942 137,006 Additions 2,836 1,116 1,202 3,313 1,413 51,052 60,932 Revaluation – (15,373) 73 (353) 1,379 – (14,274) Brought into use/reclassifications 46,147 488 - - - (46,747) (112) Disposals – (235) (404) (529) (105) (1) (1,274) At 31 March 2013 69,018 48,278 7,580 20,787 18,369 18,246 182,278 Depreciation At 1 April 2012 (1,941) (25,142) (4,830) (10,422) (11,505) - (53,840) Charged in year (1,121) (9,621) (806) (1,475) (2,107) - (15,130) Depreciation on revaluation - 9,510 (29) 161 (808) - 8,834 Reclassifications - 1 - - - (1) - Disposals - 34 291 270 90 - 685 At 31 March 2013 (3,062) (25,218) (5,374) (11,466) (14,330) (1) (59,451) Carrying amount at 31 March 2013 65,956 23,060 2,206 9,321 4,039 18,245 122,827 Carrying amount at 31 March 2012 18,094 37,140 1,879 7,934 4,177 13,942 83,166 Asset financing Owned 65,956 1,074 2,206 9,321 4,039 18,245 100,841 Finance-leased - 21,986 - - - - 21,986 Carrying amount at 31 March 2013 65,956 23,060 2,206 9,321 4,039 18,245 122,827 Additions (accruals basis) 60,932 Movement in capital payable (970) As shown in cash flow 59,962 ## 8. Intangible Assets Consolidated 2013–14 Software Intangible licences and IT assets under systems construction Total £000 £000 £000 Cost or valuation At 1 April 2013 39,738 11,224 50,962 Additions 380 2,600 2,980 Brought into use/reclassifications – (48) (48) Disposals (24) (48) (72) At 31 March 2014 40,094 13,728 53,822 Amortisation At 1 April 2013 (28,287) – (28,287) Charged in year (3,806) – (3,806) Disposals 24 - 24 At 31 March 2014 (32,069) – (32,069) Carrying amount at 31 March 2014 8,025 13,728 21,753 Carrying amount at 31 March 2013 11,451 11,224 22,675 Asset financing Owned 8,025 13,728 21,753 Carrying amount at 31 March 2014 8,025 13,728 21,753 The above relates to assets held by DFID. CSC and ICAI do not hold any assets. ## 8. Intangible Assets (Continued) Consolidated 2012–13 Software Intangible licences and IT assets under systems construction Total £000 £000 £000 Cost or valuation At 1 April 2012 38,428 7,365 45,793 Additions 1,310 3,746 5,056 Brought into use/reclassifications - 113 113 At 31 March 2013 39,738 11,224 50,962 Amortisation At 1 April 2012 (24,413) - (24,413) Charged in year (3,874) - (3,874) At 31 March 2013 (28,287) - (28,287) Carrying amount at 31 March 2013 11,451 11,224 22,675 Carrying amount at 31 March 2012 14,015 7,365 21,380 Asset financing Owned 11,451 11,224 22,675 Carrying amount at 31 March 2013 11,451 11,224 22,675 The above relates to assets held by DFID. CSC and ICAI do not hold any assets. ## 9. Revaluation, Impairments And Disposals This note summarises the impact of all revaluations, impairments and disposals on the Statement of Comprehensive Net Expenditure and the Revaluation Reserve. \| Statement of \| Statement of \| \|--------------------------------------------\|---------------------------\| \| Comprehensive Revaluation \| Comprehensive Revaluation \| \| Net Expenditure \| reserve \| \| Note \| £000 \| \| \| \| \| Impairment/(revaluation) of of \| \| \| IT equipment \| 7 \| \| Impairment of furniture and fittings \| 7 \| \| Impairment/(revaluation) of vehicles \| 7 \| \| Impairment of leasehold-related assets \| 7 \| \| Loss on disposal of property, vehicles and \| \| \| equipment \| 4 \| \| Loss on disposal of intangible assets \| 4 \| \| Gain on disposal of Actis \| 5 \| \| Realised element to General Fund \| 19 \| \| Impairment of International Financial \| \| \| Institutions \| 11 \| \| Impairment of capital project investments \| 11 \| \| Revaluation of investment in CDC \| \| \| - opening adjustment as at 1 April 2012 \| 11 \| \| - current year revaluation \| 11 \| \| Total \| 2,633 \| As discussed at Note 11, DFID have retrospectively applied a change in accounting policy related to the investment in CDC Group plc. DFID have elected to restate the financial statement comparatives for the years ending 31 March 2012 and 31 March 2013. The result of the change in accounting policy increased the revaluation reserve in relation to the investment in CDC by £1,835 million and £228 million for the years ending 31 March 2012 and 31 March 2013 respectively. No impairment was recognised on this investment during these financial years. \| 2013–14 \| 2012–13 \| \|------------\|------------\| \| (restated) \| (restated) \| ## 10. Capital And Other Commitments 10.1 Capital Commitments \| 31 March 2014 \| 31 March 2013 \| \|--------------------------------------------------------------------------------------\|----------------------------\| \| £000 \| £000 \| \| Contracted capital commitments at 31 March not otherwise included in these financial \| \| \| statements \| \| \| Proper \| ty, vehicles and equipment \| \| Intangible assets \| - \| \| 287 \| 56 \| ## 10.2 Commitments Under Leases 10.2.1 Operating Leases Total future minimum lease payments under operating leases are given in the table below for each of the following periods. \| 31 March 2014 \| 31 March 2013 \| \|------------------------------------------------------------------------\|------------------\| \| £000 \| £000 \| \| Obligations under operating leases for the following periods comprise: \| \| \| Land, buildings and dwellings \| \| \| Not later than 1 year \| 11,479 \| \| Later than 1 year and not later than 5 years \| \| \| 8,934 \| 11,833 \| \| 416 \| \| \| Later than 5 years \| 1,553 \| \| Total \| 21,966 \| ## 10.2.2 Finance Leases Total future minimum lease payments under finance leases are given in the table below for each of the following periods. \| 31 March 2014 \| 31 March 2013 \| \|----------------------------------------------------------------------\|------------------\| \| £000 \| £000 \| \| Obligations under finance leases for the following periods comprise: \| \| \| Land, buildings and dwellings \| \| \| Not later than 1 year \| 47,156 \| \| Later than 1 year and not later than 5 years \| - \| \| 47,156 \| 57,097 \| \| Less interest element \| (2,146) \| \| Present value of obligations \| \| \| 45,010 \| 46,211 \| ## 10.2.3 Operating Leases Receivables Total future minimum lease receivables under operating leases are given in the table below for each of the following periods. \| 31 March 2014 \| 31 March 2013 \| \|----------------------------------------------\|------------------\| \| £000 \| £000 \| \| Receivables under operating leases comprise: \| \| \| Land, buildings and dwellings \| \| \| Not later than 1 year \| 1,688 \| \| Later than 1 year and not later than 5 years \| - \| \| Total \| 1,688 \| The above relates to commitments payable to DFID. CSC does not hold any commitments requiring disclosure. ## 11. Financial Instruments 11.1 Non-Current Financial Assets - Equity Investments Programme Capital Investments International Financial Institutions £000 At 1 April 2012 3,283,828 - Additions - Revaluations – At 31 March 2013 - 3,290,062 2,828,000 - 6,118,062 At 1 April 2013 3,290,062 2,828,000 - 6,118,062 Additions 26,364 37,951 - - 64,315 Revaluations (359) (73,669) 120,900 - 46,872 At 31 March 2014 26,005 3,254,344 2,948,900 - 6,229,249 ## Current Financial Assets - Available For Sale Equity Investment \| At 1 April 2012 \| 1,678 \| 1,678 \| \|---------------------------\|----------\|----------\| \| Additions \| - \| - \| \| Revaluations \| - \| - \| \| Disposal \| (1,678) \| (1,678) \| \| At 31 March 2013 and 2014 \| - \| - \| The above non-current and current financial assets relates to assets held by DFID. CSC do not hold any assets. ## Subsidiaries And Associates: Key Data From Last Audited Financial Accounts \| CDC Group plc - ordinary shares \| £m \| £m \| \|------------------------------------\|---------\|---------\| \| Portfolio return (before tax) \| 170.2 \| 250.6 \| \| Total return after tax \| 130.7 \| 223.4 \| \| Total net assets (valuation basis) \| 2,948.9 \| 2,831.6 \| ## Programme Capital Investments Programme Capital Investments include investments made by DFID to achieve defined development objectives whilst retaining an ongoing, recoverable, interest in the assets funded. These include equity investments and 'returnable grant' arrangements, the terms of which will vary depending on programme circumstances. Such investments are classified as 'available for sale financial assets' and are measured at fair value at the Statement of Financial Position date. \| CDC Group plc \| Actis LLP \| Total \| \|------------------\|--------------\|----------\| \| £000 \| £000 \| £000 \| \| (Restated) \| \| \| \| £000 \| \| \| \| (Restated) \| \| \| \| 2,600,200 \| 5,884,028 \| \| \| - \| \| \| \| 34,003 \| - \| - \| \| (27,769) \| 227,800 \| - \| \| Actis LLP \| Total \| \| \| £000 \| £000 \| \| \| 31 December \| 31 December \| \| \| 2013 \| 2012 \| \| ## 11. Financial Instruments (Continued) 11.1 Non-Current Financial Assets (Continued) Public Sector Bodies DFID, on behalf of the government, owns 100% of the issued ordinary share capital of CDC Group plc. In 2004, fund management activities previously carried out by CDC were transferred to a newly formed limited liability par tnership (Actis LLP). As a result DFID, on behalf of the Government, owned 40% of the members capital of Actis LLP . The decision was taken to dispose of this 40% members capital and full binding agreement was reached during the year to 31 March 2013. Prior to 31 March 2012, in accordance with the FReM, investments in public corporations falling outside the resource accounting boundary, such as CDC and Actis LLP , were recognised at historical cost less any impairment. Impairments were assessed by comparing the historic cost to DFID's share of net assets, with any impairment being taken to the Consolidated Statement of Comprehensive Net Expenditure. For each Statement of Financial Position date subsequent to 31 March 2012, in accordance with the FReM, investments in public corporations falling outside the resource accounting boundary should be recognised at fair value. Subsequent to the initial recognition, gains and losses on the fair value of the investment at each Statement of Financial Position date are reported through the revaluation reserve, with any impairment to the fair value and foreign exchange losses recognised immediately within the Consolidated Statement of Comprehensive Net Expenditure. As at 31 March 2014, DFID retrospectively applied the change in accounting policy for the financial years ending 31 March 2012 and 31 March 2013. DFID has labelled the restated comparative information with the heading 'restated' to highlight that the comparative information has been changed from the prior year's financial statements. HMT further requires that self financing public corporations achieve a rate of return, described as 'cost of capital', to ensure that the opportunity cost of departments' investments is covered. If the corporation does not meet its rate of return over each CSR period, then the shareholding department may face a fur ther charge to the extent that such a return has not been met. The impact of the restatement on the investment of CDC Group plc is as follows: \| At 31 March 2012 \| 765,036 \| 765,036 \| \|---------------------\|------------\|------------\| \| Revaluation \| - \| \| \| 1,835,164 \| \| \| \| At 1 April 2012 \| 765,036 \| 2,600,200 \| \| Revaluation \| - \| 227,800 \| \| At 31 March 2013 \| 765,036 \| 2,828,000 \| As a result of the restatement, an amount of £2,063 million was recorded as a revaluation reserve effective March 31, 2013. ## International Financial Institutions Investments in International Financial Institutions (IFIs) are valued at fair value. There is no market in these investments - all shareholders are sovereign states. Fair value has been assessed as DFID's share of the net assets of the IFIs, based on the number of shares subscribed by DFID. The Articles of Agreement of all the IFIs specify that this is the value that DFID would receive on the dissolution of the IFIs. All investments in IFIs are denominated in a currency other then sterling. DFID is therefore exposed to currency risk if the value of these currencies was to fall against sterling. DFID is also exposed to market risk, as the value of each investment is dependent upon the net assets of the IFIs. Base currencies of investments in IFIs are shown below. Figures in US dollars include those bodies for which the US dollar is used as the working equivalent for units of account formally expressed in Special Drawing Rights (SDRs). Revaluations for IFIs include £211 million (net) of unrealised losses (2012–13: unrealised gains of £108 million) arising from changes in exchange rates. Impact of changes in accounting policies As previously reported As restated £000 £000 ## 11. Financial Instruments (Continued) \| \| \| \| Currency \| Currency \| \|-------------------------------------------------------\|------------\|-----------\|-------------\|------------\| \| International Bank for Reconstruction and Development \| $1,688,843 \| 1,012,935 \| $1,627,856 \| 1,068,638 \| \| International Finance Corporation \| $1,121,667 \| 672,754 \| $1,050,000 \| 689,293 \| \| European Bank for Reconstruction and Development \| €1,281,677 \| 1,058,874 \| € 1,209,965 \| 1,020,465 \| \| Asian Development Bank \| $351,426 \| 210,778 \| $335,370 \| 220,160 \| \| Inter-American Development Bank \| $221,650 \| 132,941 \| $193,202 \| 126,831 \| \| African Development Bank (in Units of Account) \| 98,638 \| 94,981 \| 90,297 \| 87,152 \| \| Caribbean Development Bank \| $74,471 \| 44,666 \| $74,288 \| 48,768 \| \| Multilateral Investment Guarantee Agency \| $44,041 \| 26,415 \| $43,803 \| 28,755 \| ## 11.2 Forward Currency Contracts During the year ended 31 March 2014, DFID entered into the purchase of forward purchases to cover its forecast net exposures in relation to a significant currency transaction in an area where the Department operates. During the period under review, 13 contracts matured. The value of these contracts undertaken was 484,677,154 South African Rand (sterling equivalent - £38.1 million) and the losses recognised on these contracts to maturity were £3.9 million. These losses are recognised within the Statement of Comprehensive Net Expenditure for the year ended 31 March 2014. Forecast unrealised losses on forward purchases maturing in future periods, based on the actual exchange rates at the reporting period date, are analysed as follows: Foreign currency value Sterling value £000 Current assets and liabilities South African Rand 243,103,976 18,443 – (4,921) 2014–15 ## 11.3 Interest Rate Exposure Fixed rate £000 2013–14 financial assets: cash Sterling US dollars Other currencies Total - 7,430 16,679 24,109 - 2013–14 financial assets: loans and receivables Sterling 3,009 8,289 27,149 38,447 2.79% Euro - - 45,507 45,507 - Total 3,009 8,289 72,656 83,954 2.79% \| \| \| 2013–14 \| 2012–13 \| \|-----------\|-----------\|------------\|------------\| \| 000 \| £000 \| 000 \| £000 \| \| 3,254,344 \| 3,290,062 \| \| \| Maturing in Unrealised gains £000 Unrealised losses £000 Fixed rate weighted average interest rate Floating rate £000 No interest £000 Total £000 - 437 16,679 17,116 - - 640 - 640 - - 6,353 - 6,353 - ## 11. Financial Instruments (Continued) 11.3 Interest Rate Exposure (Continued) Fixed rate weighted average Fixed rate Floating rate No interest Total interest rate £000 £000 £000 £000 2013–14 financial assets: available for sale Sterling - - 2,974,905 2,974,905 - US dollars - - 2,100,489 2,100,489 - Euro - - 1,058,874 1,058,874 - Other currencies - - 94,981 94,981 - Total - - 6,229,249 6,229,249 - 2013–14 financial liabilities: promissory notes at amortised cost Sterling - - 3,510,172 3,510,172 - US dollars - - 9,971 9,971 - Total - - 3,520,143 3,520,143 - 2013–14 financial liabilities: other payables at amortised cost Sterling - - 338,337 338,337 - Total - - 338,337 338,337 - 2012–13 financial assets/(liabilities): cash Sterling - 252 (50,226) (49,974) - US dollars - 582 - 582 - Euro - 47 - 47 - Other currencies - 715 - 715 - Total - 1,596 (50,226) (48,630) - 2012–13 financial assets: loans and receivables Sterling 4,130 10,519 16,705 31,354 2.75% Euro - - 60,186 60,186 - Total 4,130 10,519 76,891 91,540 2.75% ## 11. Financial Instruments (Continued) 11.3 Interest Rate Exposure (Continued) Fixed rate weighted average Fixed rate Floating rate No interest Total interest rate £000 £000 £000 £000 2012–13 financial assets: available for sale US dollars - - 2,182,445 2,182,445 - Euro - - 1,020,465 1,020,465 - Other currencies - - 87,152 87,152 - Total - - 3,290,062 3,290,062 - 2012–13 financial liabilities: promissory notes at amortised cost Sterling - - 2,742,176 2,742,176 - US dollars - - 11,918 11,918 - Total - - 2,754,094 2,754,094 - 2012–13 financial liabilities: other payables at amortised cost Sterling - - 301,533 301,533 - Total - - 301,533 301,533 - ## 11.4 Currency Risk Exposures The tables below show the Department's currency exposures that give rise to exchange rate gains and losses that are recognised in the Statement of Comprehensive Net Expenditure. Such exposures comprise those monetary assets and liabilities that are not denominated in the Department's functional currency of sterling. \| 31 March \| 31 March \| \|------------------------------------\|-------------\| \| 2014 \| 2013 \| \| £000 \| £000 \| \| Financial assets: maturity profile \| \| \| US dollars \| 640 \| \| Euro \| 45,507 \| \| Other currencies \| 6,353 \| \| Total \| 52,500 \| The table below shows the functional currency of the Department's investments classed as available for sale. \| 31 March \| 31 March \| \|--------------------------------------------\|-------------\| \| 2014 \| 2013 \| \| £000 \| £000 \| \| US dollars \| 2,100,489 \| \| Euro \| 1,058,874 \| \| Unit of account (African Development Bank) \| 94,981 \| \| Total \| 3,254,344 \| ## 11. Financial Instruments (Continued) 11.5 Liquidity Risk The following tables show the maturity profile of the Department's financial assets and liabilities other than cash and equity investments Financial assets: maturity profile Due on demand Due within 1 year, but not on demand Due within 1 to 2 years Due within 2 to 3 years Due within 3 to 4 years Due within 4 to 5 years Due after 5 years Total Financial liabilities: maturity profile Due on demand 3,520,143 2,754,094 Due within 1 year, but not on demand 338,337 256,523 Due within 1 to 5 years - 47,156 Less interest element of finance lease (2,146) (10,886) Total 3,856,334 3,046,887 ## 11.6 Credit Risk The carrying amount of financial assets represents the maximum credit exposure. The maximum exposure to credit risk was as follows Fair value financial assets Loans and receivables Cash and cash equivalents Total \| \| 31 March \| \|-----------\|-------------\| \| 2014 \| \| \| 31 March \| \| \| 2013 \| \| \| Note \| £000 \| \| - \| - \| \| 11.1 \| 13,981 \| \| 12,355 \| 14,397 \| \| 10,947 \| 12,633 \| \| 9,388 \| 9,029 \| \| 8,285 \| 6,758 \| \| 28,998 \| 31,604 \| \| 83,954 \| 91,540 \| \| 31 March \| 31 March \| \| 2014 \| 2013 \| \| £000 \| £000 \| \| 31 March \| \| \| 2014 \| \| \| 31 March \| \| \| 2013 \| \| \| Note \| £000 \| \| 11.1 \| 3,254,344 \| \| 11.5 \| 83,954 \| \| 12 \| 24,109 \| \| 3,362,407 \| 3,332,984 \| ## 11. Financial Instruments (Continued) 11.6 Credit Risk (Continued) The Department's ageing analysis was as follows: Not past due Past due not provided against Total The movement in provisions against loans and receivables was as follows: Balance at 31 March 2012 Reversal of provision Utilisation of provision Balance at 31 March 2013 Reversal of provision Utilisation of provision Balance at 31 March 2014 Bilateral loans, and loans formerly managed by Actis, are made directly with sovereign states; multilateral loans are made with sovereign states through multilateral bodies such as the European Investment Bank. Assessments of credit risk are based on default history, political risks and the potential future granting of debt relief. Credit risk on the Department's cash balances held within the Government Banking Service is considered to be very low. Imprest balances are held with various institutions, all of which are major global banks with high credit ratings. Investments in fair value financial assets are made through International Financial Institutions. Assessments of credit risk are based on audited financial statements provided by each institution on an annual basis. ## 11.7 Market Risk Interest Rate Risk The Department's interest rate risk arises primarily from loans made at a floating rate, and cash balances held overseas. Neither of these represent a significant source of income for the Department - total loan interest in 2013–14 amounted to £0.539m (2012–13: £0.701m). ## Foreign Currency Risk \| \| \| \| \| \| \| \|-----\|-----\|-----\|-----\|-----\|-----\| The Department's largest exposure in terms of net assets is in US dollar and Euro. On the statement of financial position, exchange gains on investments are taken to the revaluation reserve. Exchange losses are also charged to the revaluation reserve where a previously accumulated reserve is available; losses in excess of this reserve are charged to operating costs. As at 31 March 2014, £2.100m (2013: £2.177m) of the Depar tment's investments were denominated in US dollars and £1.058m (2013: £1.001m) in Euros. Exchange gains and losses on other financial assets and liabilities are charged to operating costs and are minimal based on the composition of assets and liabilities in foreign currency. At 31 March 2014, if sterling had weakened by 10% against the US dollar, with all other variables held constant, net assets would have decreased by £223.4m (2013: £243.3m). Net operating costs would have reduced by £1.021m (2013: £0.140m). At the same date if sterling had weakened by 10% against the Euro, with all other variables held constant, net assets would have decreased by £0.118m (2013: £0.113m) with an effect on net operating costs of nil (2013: £0.005m). During the year under review DFID did enter into arrangements to mitigate its exposure to currency risk on a large programme denominated in South African Rand where forward contracts were purchased to match milestone payments. At 31 March 2014 note 11.2 shows unrealised losses of £4.9m. In addition to this, as noted in 11.2, contracts matured during the year with realised losses of £3.9m which were reflected in operating costs. Net loans and receivables 31 March 31 March 2014 2013 £000 £000 Note (Restated) 83,954 91,539 - - 83,954 91,539 £000 (108,312) 15,375 5,183 (87,754) 5,846 13.1 4,309 (77,599) ## 11. Financial Instruments (Continued) 11.7 Market Risk (Continued) Other Price Risk The Department's investments in IFIs are based on share of the net assets of each IFI. Although there is no public traded market for these investments, changes in the underlying net asset values of the IFIs would impact on the investment value shown in these accounts. As at 31 March 2014, a 10% reduction in net asset values of the IFIs, with all other variables held constant, would result in the Department's net assets being reduced by £325m (2013: £315m). The Department's investment in CDC is based on the net assets. As at 31 March 2014, a 10% reduction in the net asset value of this organisation, with all other variables held constant, would result in the Department's net assets being reduced by £295m (2013: 283m). ## 12. Cash And Cash Equivalents 31 March 2013 Departmental Group £000 31 March 2014 Departmental Group £000 DFID £000 DFID £000 Balance at 1 April 2013 (48,618) (46,611) (3,029) (1,497) Net change in cash and cash equivalent balances 72,727 71,332 (45,589) (45,114) Balance at 31 March 2014 24,109 24,721 (48,618) (46,611) The following balances at 31 March 2014 were held at: \| Government Banking Service - Core Department \| 16,677 \| 16,677 \| (50,226) \| (50,226) \| \|-------------------------------------------------\|-----------\|-----------\|------------\|--------------\| \| Government Banking Service - NDPBs \| - \| 612 \| - \| 2,007 \| \| Commercial banks \| 7,432 \| 7,432 \| 1,608 \| 1,608 \| \| Balance at 31 March 2014 \| 24,109 \| 24,721 \| (48,618) \| (46,611) \| Cash balances at the Government Banking Service were held in sterling. No interest is earned on cash balances held at the Government Banking Service. Imprest balances are held in a variety of local currencies. ## 13. Trade And Other Receivables 13.1 Gross Value Less Provisions For Debt Relief And Non-Payment Bilateral and Project capital multilateral loans loans Other loans Total £000 £000 £000 £000 At 1 April 2013 - 80,775 10,765 91,540 Issued in the year 13,000 - - 13,000 Repaid - (15,378) (1,369) (16,747) Decrease in provision - 5,846 - 5,846 Utilisation of provision - 4,309 20 4,329 Written off - (9,497) - (9,497) Foreign exchange loss - (1,702) - (1,702) Increase in borrowing costs (33) (1,859) (923) (2,815) At 31 March 2014 12,967 62,494 8,493 83,954 Due within 1 year - (12,110) (1,871) (13,981) Total: other receivables falling due after more than 12 months* 12,967 50,384 6,622 69,973 * Of which Falling due after 1 year and less than 2 years - 10,129 2,226 12,355 Falling due after 2 years and less than 3 years 2,137 7,290 1,520 10,947 Falling due after 3 years and less than 4 years 2,830 5,875 683 9,388 Falling due after 4 years and less than 5 years 2,705 4,888 692 8,285 Falling due after 5 years 5,295 22,202 1,501 28,998 12,967 50,384 6,622 69,973 Repayments included above – (15,378) (1,369) (16,747) Repayments included in non-operating income – (3,528) (1,369) (4,897) Principal repayments accrued 2013–14 – (11,850) – (11,850) Included in statements of cash flow - note 21.2 - (15,378) (1,369) (16,747) All receivables relate to DFID. CSC and ICAI do not hold any receivables. ## 13. Trade And Other Receivables (Continued) 13.1 Gross Value Less Provisions For Debt Relief And Non-Payment (Continued) Bilateral and multilateral loans Other loans Total £000 £000 £000 At 1 April 2012 80,542 11,329 91,871 Repaid (15,975) (1,145) (17,120) Decrease in provision 15,375 - 15,375 Utilisation of provision 5,183 12,976 18,159 Written off (18,368) (12,976) (31,344) Foreign exchange (loss)/gain 1,470 - 1,470 Decrease in borrowing costs 12,548 581 13,129 At 31 March 2013 80,775 10,765 91,540 Due within 1 year (15,186) (1,934) (17,120) Total: other receivables falling due after more than 12 months* 65,589 8,831 74,420 * Of which Falling due after 1 year and less than 2 years 12,326 2,071 14,397 Falling due after 2 years and less than 3 years 10,394 2,239 12,633 Falling due after 3 years and less than 4 years 7,495 1,534 9,029 Falling due after 4 years and less than 5 years 6,067 691 6,758 Falling due after 5 years 29,307 2,296 31,603 65,589 8,831 74,420 Repayments included above (27,780) (1,145) (28,925) Repayments included in non-operating income Principal repayments accrued 2012–13 (11,805) – (11,805) Included in statement of cash flows - note 21.4 (15,975) (1,145) (17,120) ## 13. Trade And Other Receivables (Continued) 13.2 Current Trade And Other Receivables - Analysis By Type Loans repayable within 1 year Deposits and advances Prepayments and accrued income* Amounts due from the Consolidated Fund in respect of supply Total * Of which Nil relates to principal repayments on loans accrued ( 2012–13: £11.805 million). ## 13.3 Intra-Government Balances Amounts falling due within one year 31 March 2014 31 March 2013 Balances with other central government bodies 965 55,385 - - Balances with local authorities - - - - Balances with NHS bodies - - - - Balances with public corporations and trading funds - - - - Subtotal: intra-government balances 965 55,385 - - Balances with bodies external to government 137,038 69,228 69,973 79,703 Total receivable 138,003 124,613 69,973 79,703 The above relates to assets held by DFID. CSC and ICAI do not hold any assets. \| 31 March 2014 \| 31 March 2013 \| \|--------------------------\|------------------\| \| £000 \| £000 \| \| 13,981 \| 17,120 \| \| 26,076 \| 9,312 \| \| 97,946 \| 43,811 \| \| - \| 54,370 \| \| 138,003 \| 124,613 \| \| Amounts falling due \| \| \| after more than one year \| \| \| 31 March 2014 \| 31 March 2013 \| \| £000 \| £000 \| ## 14. Trade Payables And Other Liabilities 14.1 Analysis By Type \| 31 March \| 31 March \| \|---------------------------------------------------------\|---------------------\| \| 2014 \| 2013 \| \| Departmental \| Departmental \| \| DFID \| Group \| \| £000 \| £000 \| \| Amounts falling due within one year \| \| \| Taxation \| 2,825 \| \| Other taxation and social security \| 943 \| \| Other payables \| 19,112 \| \| Accruals and deferred income \| 270,495 \| \| Current par \| t of finance leases \| \| 338,337 \| 338,637 \| \| Promissory notes: due on demand \| 3,520,143 \| \| Amounts issued from the Consolidated Fund \| \| \| for supply but not spent at year end \| 24,107 \| \| Consolidated Fund extra receipts due to be paid to \| \| \| the Consolidated Fund \| \| \| \| Received \| \| Receivable \| - \| \| 3,882,589 \| 3,882,889 \| \| Amounts falling due after more than one year \| \| \| Finance leases \| - \| \| - \| - \| \| 14.2 Promissory notes payable: movement during the year \| \| \| £000 \| £000 \| \| Balance at 1 April 2012 \| \| \| (2,588,734) \| \| \| Charge to operating costs in 2012–13 - new deposits \| (1,408,547) \| \| Cash drawn down against notes previously issued \| 1,243,895 \| \| Foreign exchange losses \| (707) \| \| (165,359) \| \| \| Balance at 31 March 2013 \| \| \| (2,754,093) \| \| \| Charge to operating costs in 2013–14 - new deposits \| (1,903,072) \| \| Cash drawn down against notes previously issued \| 1,136,030 \| \| Foreign exchange gains \| 992 \| \| (766,050) \| \| \| Balance at 31 March 2014 \| \| \| (3,520,143) \| \| Promissory notes payable have been classified as financial liabilities measured at amortised cost. They have been shown as due within 1 year, as they are legally payable on demand, so the maturity profile in the statement of financial position, and in note 11.5, shows the earliest date at which they could be payable. ## 14. Trade Payables And Other Liabilities (Continued) 14.2 Promissory Notes Payable: Movement During The Year (Continued) Promissory notes payable: analysis by institution at 31 March 2014 31 March 31 March 2014 2013 Capital Resource Capital Resource £000 £000 £000 £000 Other capital (Caribbean Development Bank and Asia Development Bank) 23,072 - 17,688 - International Development Association - 1,957,508 - 1,693,146 African Development Fund - 504,364 - 471,457 Global Environment Fund - 127,927 - 116,116 Asian Development Fund - 88,958 - 78,833 Global Fund to Fight AIDS, TB and Malaria - 415,000 - 20,000 Environmental Transformation Fund - 249,113 - 236,113 Comic Relief - - - 1,397 Caribbean Development Bank - 9,000 - 8,839 International Fund for Agricultural Development - 122,368 - 100,000 International Fund for Agricultural Development - 8,681 - 10,504 German Development Corporation - 14,152 - - Total 23,072 3,497,071 17,688 2,736,405 DFID, being a central government department financed from the Consolidated Fund, does not face any significant liquidity risk on these liabilities. There are no material balances denominated in foreign currencies, so currency risk on these liabilities is not significant. Note 11 gives further details on these risks. ## 14.3 Intra-Government Balances \| Amounts falling due \| Amounts falling due after \| \| \| \|----------------------------------------\|------------------------------\|---------------\|---------------\| \| within one year \| more than one year \| \| \| \| 31 March 2014 \| 31 March 2013 \| 31 March 2014 \| 31 March 2013 \| \| £000 \| £000 \| £000 \| £000 \| \| Balances with other central government \| \| \| \| \| bodies \| (30,096) \| (10,166) \| - \| \| Balances with local authorities \| - \| - \| - \| \| Balances with NHS bodies \| - \| - \| - \| \| Balances with public corporations and \| \| \| \| \| trading funds \| - \| - \| - \| \| Subtotal: intra-government balances \| \| \| \| \| (30,096) \| (10,166) \| - \| - \| \| Balances with bodies external to \| \| \| \| \| government \| (3,852,493) \| (3,006,202) \| - \| \| Total payables \| (3,882,589) \| (3,016,368) \| - \| ## 15. Provisions IFFIm £000 AMC £000 Balance at 1 April 2012 901,296 92,734 Provided in the year 46,359 Release of provision (8,826) Provision utilised in the year (53,605) (11,343) Borrowing costs 172,904 10,577 Balance at 31 March 2013 1,058,128 91,968 Provided in the year 63,892 72,780 Release of provision - Provision utilised in the year (63,341) (43,554) Borrowing costs/unwinding of discount (11,720) (14,293) Balance at 31 March 2014 1,046,959 106,901 Analysis of expected timing of discounted flows at 31 March 2014[1] IFFIm £000 AMC £000 No later than 1 year 75,003 66,500 Later than 1 year and not later than 5 years 499,038 40,401 Later than 5 years 472,918 1,046,959 106,901 929 3,193 8,786 1,166,768 Analysis of expected timing of discounted flows at 31 March 2013[1] IFFIm £000 AMC £000 No later than one year 64,901 41,000 Later than 1 year and not later than 5 years 354,600 50,968 Later than 5 years 638,627 1,058,128 91,968 2,887 4,226 11,104 1,168,313 [1] Only the provisions for IFFIm and AMC have been discounted on the basis that the impact of discounting would not be material on any of the other provisions. Provision for the International Finance Facility for Immunisations (IFFIm) represents the net present value of committed payments to cover the UK share of currently issued bonds. The discount rate used to generate the net present value is the real discount rate set by HM Treasury. IFFIm is an international development financing institution that is supported by sovereign donors. IFFIm will borrow operating funds in the international capital markets over the 10 years from 2006–07 backed by these pledges. The UK has pledged a total of £1,315 million through to 2026 with a fur ther £250 million through to 2030, representing 44.73% of the total amounts pledged at 31 March 2014. To date, 29 bond issues have now been made, giving a total liability including interest of £1,411 million. The UK is therefore liable for £1,047 million in net present value terms at 31 March 2014 (after deducting payments made), which will be covered by payment obligations through to 2023. Provision for Advance Market Commitments (AMC) represents the net present value of the UK share of supplier agreements signed. The discount rate used to generate the net present value is the real discount rate adjusted for inflation, set by HM Treasury . The UK has pledged a total of $485 million, through to 2021. At 31st March 2014 this represented 32.3% of commitments made. Supplier agreements to facilitate vaccine demands have been signed with a value of $1,095 million, the UK share of this is $350.4 million. The net present value of this value after deducting payments already made is £107m, which will be covered by payment obligations up to 2015. Provisions for ATP agreements represent sums which DFID is committed to pay to the Export Credit Guarantees Depar tment (ECGD) for interest make-up and insurance premiums under former mixed credit agreements (Aid and Trade Provision) projects. The ATP scheme is effectively closed and will not significantly affect the amount of the provision. \| \| ATP \| \|------------\|---------\| \| agreements \| \| \| £000 \| \| \| Early \| \| \| retirement \| \| \| costs \| \| \| £000 \| \| \| Other \| \| \| £000 \| \| \| Total \| \| \| £000 \| \| \| 4,970 \| 5,400 \| \| - \| 161 \| \| - \| (165) \| \| (2,079) \| (2,121) \| \| - \| \| \| \| \| \| 2,887 \| 4,226 \| \| - \| 1,444 \| \| - \| - \| \| (1,492) \| (2,477) \| \| (466) \| - \| \| 929 \| 3,193 \| \| ATP \| \| \| agreements \| \| \| £000 \| \| \| Early \| \| \| retirement \| \| \| costs \| \| \| £000 \| \| \| Other \| \| \| £000 \| \| \| Total \| \| \| £000 \| \| \| 929 \| 1,165 \| \| - \| 2,020 \| \| - \| - \| \| ATP \| \| \| agreements \| \| \| £000 \| \| \| Early \| \| \| retirement \| \| \| costs \| \| \| £000 \| \| \| Other \| \| \| £000 \| \| \| Total \| \| \| £000 \| \| \| 1,492 \| 1,245 \| \| 1,395 \| 2,975 \| \| - \| - \| ## 15. Provisions (Continued) Provisions for early retirement represent the full estimated cost of payments to be made by DFID to early retirees up to the normal retirement age. The timing of calls on the provision can be forecast with reasonable accuracy. The amount provided is uncer tain only to the extent that adjustments may need to be made for up-rating of benefits and for unexpected changes in the number of beneficiaries. Amounts provided are likely to be used within at most 10 years. Other provisions represent: (a) sums for rents payable by the University of Greenwich for property occupied by a former Executive Agency of the Department, when the work of the Agency was taken over by the University. The main lease by the Department is treated as a finance lease. The rent received is lower than the finance charges incurred by the Department under the main lease. The provision covers the shortfall of rents receivable against finance charges payable over the main lease period to 2014. (b) certain non-statutory pension obligations (most pension obligations for which DFID is responsible are included in the separate overseas superannuation account). (c) estimated liabilities at the 31st March 2014 of overseas offices in respect of terminal benefit payments to staff appointed in country . The above relates to liabilities held by DFID. CSC do not hold any liabilities requiring disclosure. ## 16. Contingent Assets And Contingent Liabilities 16.1 Contingent Assets The Department has the following contingent assets. On 30 April 2012, DFID signed a binding sale agreement with Actis management in relation to disposing of its 40% shareholding in Actis LLP . This sale agreement confirmed DFID's intention to dispose of this shareholding to the management of Actis LLP , in exchange for cash payments totalling $13 million and a 10% interest in Actis managements' carried interest in Actis Fund 3 and a 7.5% interest in Actis managements' carried interest in Actis Fund 4. Carried interest refers to profits generated by the funds over the period only from the sale agreement date until the expiry of the funds. This is based on the performance of the fund as a whole but will only become payable once a predetermined hurdle rate (the minimum rate of return) has been achieved. As this target is based on investment market performance, in the future, it is not felt that the carried interest element of the sale proceeds can be valued reliably. As a result, DFID will recognise carried interest as additional sales revenue only when it has been calculated as payable and confirmed by an external audit of Actis LLP and the associated funds. ## 16.2 Contingent Liabilities Contingent liabilities of £489.9 million (2012–13: £1,862 million) exist in respect of contributions due to international organisations which have been subject to formal approval by Parliament but which are not yet supported either by promissory notes or cash payments. In addition to contingent liabilities disclosed above in accordance with IAS 37, the department discloses for parliamentary repor ting and accountability purposes certain contingent liabilities where the likelihood of a transfer of economic benefit is remote. These amount to £10,791.8 million (2012–13: £11,384.9 million) and comprise: Q £10,672.8 million (2012–13: £11,047.7 million) in respect of callable capital on investments in International Financial Institutions. Q £108.3 million (2012–13: £113.7 million) in respect of for the UK share of EU member states' collective guarantees of the European Investment Bank's lending under the Lome conventions and the parallel Council decisions on the Association of Overseas Countries and Territories. Q Maintenance of the value of subscriptions paid to capital stock of regional development banks and funds (unquantifiable); Q Indemnities in respect of the transfer of ownership of the Natural Resources Institute (unquantifiable); Q £10.7 million (2012–13: £223.5 million) in respect of other items over £100,000 (or lower, where required by specific statute) that do not arise in the normal course of business and which are repor ted to Parliament by departmental Minute prior to the Department entering into the arrangement. This includes a guarantee over a borrowing facility undertaken by a non UK overseas territory. It is not possible to quantify the financial impact of the above contingent liabilities at the Statement of Financial Position date due to uncer tain factors including the timings of outflows. DFID do not expect any reimbursements to occur in relation to the contingent liabilities identified. ## 17. Losses And Special Payments 17.1 Losses Statement 2013–14 Number of cases Total 52 404 55 1,201 Details of cases over £300,000 Cash losses - - - - Claims abandoned - - - - Administrative write-offs - - - - Fruitless payments - - 2 737 Store losses - - - - The Department did not write off any losses greater than £300,000 during the year. A number of DFID-funded assets related to programmes located in South Sudan that have been lost as a result of the conflict which commenced in the country in December 2013. It is not currently safe to access all areas of the country due to the on-going instability and therefore the value of assets lost has not yet been quantified. We expect to evaluate the extent of the losses incurred once it is possible to access the areas of the country where the assets are located. It is likely that this will result in a write-off in a future accounting period. ## 17.2 Special Payments 2013–14 Number of cases Total value of special payments 1 2 - - Details of cases over £300,000 - - - - ## 18. Related-Party Transactions DFID is the 100 per cent shareholder in CDC Group plc. DFID had no material transactions with CDC during the year. DFID had a 40 per cent interest in Actis LLP until 30 April 2012 at which point the Department entered into a binding sales agreement to dispose of this interest. This explained that DFID is entitled to a fixed amount which was payable on 1 May 2012 and 1 May 2013 plus an element of carried interest dependant on the future performance of certain Actis funds. The fixed element still to be paid is included within prepayments and accrued income set out within note 14. The carried interest element is reflected as a contingent asset within note 16. DFID had no other transactions with Actis LLP during the financial year to 31 March 2013 and 2014. DFID has had a number of transactions with other government departments and other central government bodies. These are undertaken under normal trading circumstances, at arms length, and are repor ted within DFID's net resource outturn. Amounts due to and from other government departments are disclosed separately in notes 13 and 14. No amounts have been written off during 2013–14 to or from other government departments. The largest volume of transactions, in frequency and value, have been with the Foreign and Commonwealth Office. A related par ty transaction took place during the year between the Depar tment and a staff member who is a related party of the Department by virtue of being a close family member of Mark Lowcock. The transaction related to salary costs which have been paid in accordance with civil service guidelines. To ensure this relationship was managed objectively, Mark Lowcock had no direct or indirect involvement in determining pay, position or promotion for the individual involved. The Department has put in place a process whereby should a situation arise in which the Accounting Officer would otherwise be involved in a decision that would directly affect this individual, he would play no role, but two Directors-General and a senior Cabinet Office official would agree on the course of action. Further to this, no minister, board member, key manager or other related party has undertaken any material transactions with the Department during the year. \| 2013–14 \| 2012–13 \| \|------------\|------------\| \| £000 \| \| \| 2012–13 \| \| \| Number of \| \| \| cases \| £000 \| \| 2013–14 \| 2012–13 \| \|------------\|------------\| \| £000 \| \| \| 2012–13 \| \| \| Number of \| \| \| cases \| £000 \| ## 19. General Fund The General Fund reflects the realised and unrealised balance of the cumulative difference between net operating costs and financing, provided by Parliament, adjusted for amounts payable to the Consolidated Fund. \| General Fund at 31 March 2012 \| (1,404,031) \| (1,403,265) \| \|---------------------------------------------------\|----------------\|-----------------\| \| Net operating cost for the year \| \| \| \| Net Parliamentary Funding \| \| \| \| 6,706,813 \| \| \| \| Supply reissued \| \| \| \| Payable for supply \| \| \| \| Financing provided \| \| \| \| Notional cost within operating costs \| \| \| \| Realised element of revaluation reserve \| \| \| \| Operating income payable to the Consolidated Fund \| \| \| \| CFERs payable to the Consolidated Fund \| \| \| \| Net decrease in the General Fund \| \| \| \| (319,730) \| (319,813) \| \| \| General Fund at 31 March 2013 \| (1,723,761) \| (1,723,078) \| \| Net operating cost for the year \| \| \| \| Net Parliamentary Funding \| 8,699,263 \| \| \| Net Parliamentary Funding - deemed \| \| \| \| Supply reissued \| \| \| \| Payable for supply \| \| \| \| Financing provided \| \| \| \| Notional cost within operating costs \| \| \| \| Realised element of revaluation reserve \| \| \| \| Operating income payable to the Consolidated Fund \| \| \| \| CFERs payable to the Consolidated Fund \| \| \| \| Net decrease in the General Fund \| (675,874) \| (676,245) \| \| General Fund at 31 March 2014 \| (2,399,635) \| (2,399,323) \| [1] The Depar tment's total non-current liabilities and negative General Fund reflect the inclusion of liabilities falling due in future years. Under the Government Resources and Accounts Act 2000, no money may be drawn from the Consolidated Fund other than that required for the service of the \| \| \| Departmental \| Departmental \| \|-------------\|-------------\|-----------------\|-----------------\| \| DFID \| DFID \| Group \| Group \| \| £000 \| £000 \| £000 \| £000 \| \| (7,075,374) \| (7,075,457) \| \| \| \| 6,706,813 \| \| \| \| \| - \| - \| \| \| \| 54,370 \| 54,370 \| \| \| \| 6,761,183 \| 6,761,183 \| \| \| \| 265 \| 265 \| \| \| \| 89 \| 89 \| \| \| \| (184) \| (184) \| \| \| \| (5,709) \| (5,709) \| \| \| \| (9,298,082) \| (9,298,453) \| \| \| \| 8,699,263 \| \| \| \| \| (54,370) \| (54,370) \| \| \| \| - \| - \| \| \| \| (24,107) \| (24,107) \| \| \| \| 8,620,786 \| 8,620,786 \| \| \| \| 265 \| 265 \| \| \| \| 1,243 \| 1,243 \| \| \| \| (86) \| (86) \| \| \| \| - \| - \| \| \| ## 20. Revaluation Reserve £000 (Restated) Balance at 1 April 2012 3,708,063 Loss on revaluation - International Financial Institutions (27,769) Gain on revaluation - CDC 227,800 Gain on vehicles 44 Realised element to General Fund (89) Balance at 31 March 2013 3,908,049 Loss on revaluation - International Financial Institutions (73,669) Loss on vehicles (221) Gain on revaluation - CDC 120,900 Loss on revaluation - capital project investments (359) Realised element to General Fund (1,243) Balance at 31 March 2014 3,953,457 As discussed at Note 11, DFID have retrospectively applied a change in accounting policy related to the investment in CDC Group plc. DFID have elected to restate the financial statement comparatives for the years ending 31 March 2012 and 31 March 2013. The impact of the restatement on the revaluation reserve is as follows: As previously reported £000 As restated £000 Revaluation reserve as at 31 March 2012 1,872,899 1,872,899 Gain on revaluation - CDC - 1,835,164 At 1 April 2012 1,872,899 3,708,063 At 1 April 2012 1,872,899 3,708,063 Gain on revaluation - CDC - 227,800 At 31 March 2013 1,872,899 3,935,863 ## 21. Notes To The Statement Of Cash Flows 21.1 Reconciliation Of Comprehensive Net Expenditure To Operating Cash Flows \| 31 March \| 31 March \| \|------------------------------------------------------------------------\|-------------\| \| 2014 \| 2013 \| \| (restated) \| \| \| £000 \| £000 \| \| Net operating cost \| (9,298,082) \| \| Adjustments for non-cash transactions \| 162,360 \| \| (Increase)/decrease in trade and other receivables \| (161,225) \| \| \| \| \| Movement in receivables for items not passing through the Statement of \| \| \| Comprehensive Net Expenditure \| 54,370 \| \| Decrease/(increase) in trade payables \| 795,709 \| \| \| \| \| Movement in payables for items not passing through the Statement of \| \| \| Comprehensive Net Expenditure \| 29,858 \| \| Working capital movement: capital items \| (15,704) \| \| Use of provisions \| (115,157) \| \| Net cash outflow from operating activities \| (8,547,871) \| ## 21.2 Cash Flows From Investing Activities \| 31 March \| 31 March \| \|----------------------------------------------\|----------------------------\| \| 2014 \| 2013 \| \| £000 \| £000 \| \| Purchase of intangible assets \| (2,982) \| \| Purchase of property, vehicles and equipment \| (8,481) \| \| Proceeds of disposal of proper \| ty, vehicles and equipment \| \| Additions to investments \| (63,956) \| \| Repayments from other bodies \| - \| \| Net cash outflow from investing activities \| (74,223) \| ## 21.3 Cash Flows From Financing Activities \| 31 March \| 31 March \| \|----------------------------------------------------\|-------------\| \| 2014 \| 2013 \| \| £000 \| £000 \| \| From the Consolidated Fund (supply) - current year \| 8,644,893 \| \| From the Consolidated Fund (supply) - prior year \| 54,370 \| \| Net financing \| 8,699,263 \| ## 21. Notes To The Statement Of Cash Flows (Continued) 21.4 Analysis of capital expenditure, financial investments and associated Consolidated funds in excess of receipts (CFERs) Property, vehicles and equipment, and intangible assets Administration 11,462 - - 11,462 Programme: long term loans - - (28,597) (28,597) Programme: investments - 37,951 - 37,951 Other receipts - - (1,196) (1,196) Total 11,462 37,951 (29,793) 19,620 Property, vehicles and equipment, and intangible assets Administration 65,986 - - 65,986 Programme: long term loans - - (40,730) (40,730) Programme: investments - 34,003 - 34,003 Other receipts - - (590) (590) Total 65,986 34,003 (41,320) 58,669 ## 22. Third Party Assets The Department held the amounts shown below, which relate to cash provided to DFID by other development agencies as part of jointly funded programmes. These funds are held in the capacity of project manager/lead donor and are disbursed when required by the programme. These are not held in DFID's name and as such are not included in cash held by the Core Depar tment, as set out in note 12. The reduction in the balance from 31 March 2013 to the present is due to the contract for third party money being transferred from DFID to Crown Agents, who have taken on the responsibility for managing and controlling these funds; in place of DFID. The majority of projects and associated funds have now been transferred; however there is a residual balance remaining with DFID where the projects are due for completion within the next couple of months. \| Amounts held in third party account \| 1,469 \| 2,138 \| \|----------------------------------------\|----------\|----------\| 2013–14 Investments and loans Appropriations in aid Net total £000 £000 £000 £000 2012–13 Investments and loans Appropriations in aid Net total £000 £000 £000 £000 31 March 2013 £000 £000 ## 23. Entities Within The Departmental Accounting Boundary The entities within the boundary during 2013–14 were as follows. DFID income and expenditure incorporated financing of the following non-departmental public bodies (NDPBs), in full or in part, in the current financial year: ## Executive Ndpb Commonwealth Scholarship Commission (Csc) Advisory Ndpb Independent Commission For Aid Impact (Icai) Reconciliation of grant in aid to CSC from Core Department and other departments 2013–14 2012–13 £000 £000 Core Department 23,259 20,550 Other depar tments 450 490 Total grant in aid to CSC 23,709 21,040 Of which Administration grant in aid 1,761 1,980 Programme grant in aid 21,948 19,060 23,709 21,040 CSC administrative expenditure 1,769 2,112 CSC programme expenditure 22,311 19,011 Total CSC expenditure 24,080 21,123 Increase in cash and cash equivalents (1,395) 475 Increase in trade payables 1,046 (558) Decrease in receivables (22) - 23,709 21,040 DFID income from other government departments to fund grant in aid payment (450) (490) ICAI is an advisory NDPB, whose spend is included within DFID's expenditure and is not required to be repor ted separately. ## 24. Events After The Reporting Date No non-adjusting events after the reporting date have been identified. These financial statements were authorised for issue on the same date that the Comptroller and Auditor General signed his certificate. ## Analysis Of Departmental Expenditure Common Core Tables (Unaudited) In line with Her Majesty's Treasury Public Expenditure System (PES) guidance on the preparation of 2013–14 Annual Repor t and Accounts, DFID has produced the following common core tables. Tables 7.1, 7.3 and 7.4 cover the required period 2009–10 to 2015–16. Table 7.2 is required to cover 2013–14 alone. These tables summarise key performance information against prior years, budget and forecast information. The figures up to and including 2013–14 show the actual resource outturn for that year, and for 2014–15 onwards indicative planning figures are presented. These figures were informed by the spending review 2010 and revisions to provisional allocations made within the Autumn Statement. These provisional plans may be subject to revision, as DFID strategy is continually reviewed to ensure that aid is used most effectively. DFID's available programme resources are allocated to country or regional specific aid programmes, international aid programmes or other programmes in the annual resource round. This establishes an aid framework allocation, approved by the Secretary of State, which provides divisions within DFID with a firm budget for the current year. For full details on what the outturn for 2013–14 represents and how this was delivered, reference should be made to other narrative within the Annual Repor t and Accounts. An Excel version of these tables, as required by HM Treasury regulations, is included on DFID's external website. ## Table 7.1: Public Spending This table summarises Budgets and Outturn on a basis consistent with the Estimate Par t II section headings. One adjustment has been made for the period 2009–10 to 2010–11 where capital grants are reflected in outturn as resource but are funded by capital. The revised format of note 2 now reflects this change to the Accounts. As a result of the new ministers appointed during 2010–11, a new basis of assessing aid delivery was formed. This allocates aid across 5 pillars. As outturn for the prior year was not based on this methodology it is not appropriate to restate these figures on this basis. As a result the original Estimate headings are displayed for outturn from 2009–10 to 2010–11, with only Plan data shown on the new basis. This is consistent with information available on Online System for Central Accounting and Repor ting (OSCAR). £000 2009–10 2010–11 Basis for 2009–10 to 2010–11 Outturn Outturn Resources (excluding capital grants) 5,003,799 5,318,663 RfR1: Eliminating Poverty in Poorer Countries Of which: Spending in Departmental Expenditure Limits 4,624,050 5,004,383 A: Bilateral Aid to Africa 1,480,352 1,557,019 B: Bilateral Aid to South Asia 735,452 759,785 C: Bilateral Aid to the Rest of the World 389,997 369,988 D: Improve the Effectiveness of Multilateral Aid 1,247,422 1,599,045 E: Develop a Global Par tnership for Development 355,850 385,239 F: Central Departments 314,977 83,307 G: Environment Transformation Fund 100,000 250,000 Multiple Objectives - - Gibraltar Social Insurance Fund - - Spending in Annually Managed Expenditure 379,749 314,280 H: Programmes Contributing to Multiple Objectives 145,931 6,020 I: Grants to the International Finance Facility for Immunisation 233,818 224,481 J: Provision for Advance Market Commitment - 83,779 Central departments - - EU Research Grants - - RfR2: Conflict Prevention 16,715 15,652 A: Conflict Prevention and Stabilisation 16,715 15,652 Total 5,020,514 5,334,315 ## Table 7.1: Public Spending (Continued) \| \| \| \| New basis from 2011–12 \| £000 \| \|------------------------------------------------------------------\|-----------\|-----------\|---------------------------\|-----------\| \| 2011–12 \| 2012–13 \| 2013–14 \| 2014–15 \| 2015–16 \| \| Outturn \| Outturn \| Outturn \| Plans \| Plans \| \| 1 \| \| \| \| \| \| Resources (excluding capital grants) \| \| \| \| \| \| Of which: \| \| \| \| \| \| Spending in Departmental Expenditure Limits \| 6,183,532 \| 6,129,662 \| 8,088,379 \| 7,870,142 \| \| A: CSC (NDPB) (net) scholarship relating to developing countries \| 18,189 \| 20,633 \| 24,080 \| 27,284 \| \| \| \| \| \| \| \| B: Wealth Creation \| 421,231 \| 419,247 \| 575,108 \| 646,608 \| \| C: Climate Change \| 157,831 \| 268,620 \| 271,311 \| 285,555 \| \| D: Governance and Security \| 720,291 \| 696,928 \| 735,505 \| 725,796 \| \| E: Direct Delivery of Millennium Development Goals \| 2,183,444 \| 2,388,532 \| 4,295,992 \| 4,066,601 \| \| F: Global Partnerships \| 1,529,331 \| 1,333,672 \| 1,262,056 \| 895,972 \| \| G: Total Operating Costs \| 207,944 \| 236,269 \| 239,280 \| 234,396 \| \| H: Central Programmes \| (13,128) \| (13,290) \| (19,860) \| 17,500 \| \| I: Joint Conflict Pool \| 21,570 \| 18,892 \| 29,416 \| 39,150 \| \| J: Independent Commission for Aid Impact (NDPB) (net) \| 2,116 \| 2,914 \| 3,653 \| 4,280 \| \| \| \| \| \| \| \| K: CSC (NDPB) (net) scholarship relating to developed countries \| 588 \| - \| - \| - \| \| No Specific Pillar \| - \| - \| - \| - \| \| Departmental Unallocated Provision \| - \| - \| - \| - \| \| Non-voted \| \| \| \| \| \| L: European Union Attributed Aid \| 934,125 \| 757,245 \| 671,838 \| 927,000 \| \| Spending in Annually Managed Expenditure \| 43,960 \| 138,590 \| 68,995 \| 339,985 \| \| Voted \| \| \| \| \| \| - \| \| \| \| \| \| M: Wealth Creation \| (2,723) \| (2,084) \| 38,071 \| (927) \| \| N: Direct Delivery of Millennium Development Goals \| 41,052 \| 156,067 \| 3,769 \| 314,866 \| \| O: Total Operating Costs \| (3,927) \| (3,748) \| (2,722) \| (1,154) \| \| P: Central Programmes \| 9,558 \| (11,645) \| 9,320 \| 27,200 \| \| Q: Climate Change \| - \| - \| 20,557 \| - \| \| \| \| \| \| \| \| No Specific Pillar \| - \| - \| - \| - \| \| Total \| 6,227,492 \| 6,268,252 \| 8,157,374 \| 8,210,127 \| \| \| \| \| \| \| 1 DFID is in the process of conducting a resource allocation round for 2015–16 and beyond. As this is still underway, we are unable to provide a detailed breakdown of the categories that budget will be allocated to. ## Table 7.1: Public Spending (Continued) \| \| CAPITAL \| \|------------------------------------------------------------------\|--------------------------\| \| Basis for 2009–10 to 2010–11 \| \| \| Resources (including capital grants) \| \| \| RfR1: Eliminating Poverty in Poorer Countries \| \| \| Of which: \| \| \| Spending in Departmental Expenditure Limits \| \| \| A: Bilateral Aid to Africa \| 110,313 \| \| B: Bilateral Aid to South Asia \| 55,796 \| \| C: Bilateral Aid to the Rest of the World \| 13,631 \| \| D: Improve the Effectiveness of Multilateral Aid \| 1,060,382 \| \| E: Develop a Global Par \| tnership for Development \| \| F: Central Departments \| (12,044) \| \| G: Environment Transformation Fund \| - \| \| Multiple Objectives \| \| \| Gibraltar Social Insurance Fund \| - \| \| Spending in Annually Managed Expenditure \| - \| \| H: Programmes Contributing to Multiple Objectives \| - \| \| I: Grants to the International Finance Facility for Immunisation \| - \| \| J: Provision for Advance Market Commitment \| - \| \| \| \| \| Central Departments \| \| \| EU Research Grants \| - \| \| RfR2: Conflict Prevention \| - \| \| A: Conflict Prevention and Stabilisation \| - \| \| Total \| 1,352,642 \| £000 2009–10 2010–11 Outturn Outturn 1,352,642 1,758,696 1,352,642 1,758,696 ## Table 7.1: Public Spending (Continued) \| CAPITAL \| £000 \| \| \|------------------------------------------------------------------\|-----------\|-----------\| \| New basis from 2011–12 \| \| \| \| 2011–12 \| 2012–13 \| 2013–14 \| \| Outturn \| Outturn \| Outturn \| \| Resources (including capital grants) \| \| \| \| Of which: \| \| \| \| Spending in Departmental Expenditure Limits \| 1,645,907 \| 1,653,213 \| \| A: CSC (NDPB) (net) scholarship relating to developing countries \| - \| - \| \| B: Wealth Creation \| 127,995 \| 194,279 \| \| C: Climate Change \| 67,084 \| 54,295 \| \| D: Governance and Security \| 18,508 \| 13,808 \| \| E: Direct Delivery of Millennium Development Goals \| 117,353 \| 70,115 \| \| F: Global Partnerships \| 1,323,535 \| 1,315,993 \| \| G: Total Operating Costs \| - \| - \| \| H: Central Programmes \| (8,568) \| 4,724 \| \| I: Joint Conflict Pool \| - \| - \| \| J: Independent Commission for Aid Impact (NDPB) (net) \| - \| - \| \| \| \| \| \| K: CSC (NDPB) (net) scholarship relating to developing countries \| - \| - \| \| No Specific Pillar \| - \| - \| \| Departmental Unallocated Provision \| - \| - \| \| Non-voted \| \| \| \| L: European Union Attributed Aid \| - \| - \| \| Spending in Annually Managed Expenditure \| \| \| \| - \| - \| - \| \| Voted \| \| \| \| M: Wealth Creation \| - \| - \| \| N: Direct Delivery of Millennium Development Goals \| - \| - \| \| O: Total Operating Costs \| - \| - \| \| P: Central Programmes \| - \| - \| \| Total \| 1,645,907 \| 1,653,214 \| ## Table 7.2: Public Spending Control This table sets out DFID's outturn for 2013–14, by subhead detail against the total budgetary control limits approved by Parliament at Main Estimate and at final Supplementary Estimate. £000 Resources Main Estimate Supplementary Forecast Variance from Variance from Estimate outturn Main Estimate Supplementary Estimate Voted Expenditure 8,576,500 8,469,888 8,088,379 488,121 381,509 A: CSC (NDPB) (net) scholarship 37,454 37,454 24,080 13,374 13,374 relating to developing countries B: Wealth Creation 754,407 697,968 575,108 179,299 122,860 C: Climate Change 457,444 305,355 271,311 186,133 34,044 D: Governance and Security 684,608 663,922 735,505 (50,897) (71,583) E: Direct Delivery of Millennium 3,246,161 4,377,613 4,295,992 (1,049,831) 81,621 Development Goals F: Global Par tnerships 1,887,249 1,157,483 1,262,056 625,193 (104,573) G: Total Operating Costs 247,419 247,019 239,280 8,139 7,739 H: Central Programmes 5,675 1,675 (19,860) 25,535 21,535 I: Joint Conflict Pool 34,500 27,250 29,416 5,084 (2,166) J: Independent Commission for Aid 4,256 4,256 3,653 603 603 Impact (NDPB) (net) K: No Specific Pillar 208,871 - – 208,871 - Departmental Unallocated Provision 98,456 39,893 – 98,456 39,893 Non-voted L: European Union Attributed Aid 910,000 910,000 671,838 238,162 238,162 Spending in Annually Managed Expenditure Voted 291,600 191,524 68,995 222,605 122,529 M: Wealth Creation (1,492) (1,492) 38,071 (39,563) (39,563) N: Direct Delivery of Millennium 269,035 158,105 3,769 265,266 154,336 Development Goals O: Total Operating Costs (3,743) (3,439) (2,722) (1,021) (717) P: Central Programmes 27,800 38,350 9,320 18,480 29,030 Q: Climate Change - – 20,557 (20,557) (20,557) Total 8,868,100 8,661,412 8,157,374 710,726 504,038 ## Table 7.2: Public Spending Control (Continued) \| Capital \| Main Estimate Supplementary \| Forecast \| Variance from \| Variance from \| \|------------------------------------\|--------------------------------\|-------------\|------------------\|------------------\| \| Voted Expenditure \| \| \| \| \| \| 1,925,000 \| 1,969,442 \| 1,945,584 \| (20,584) \| 23,858 \| \| A: CSC (NDPB) (net) scholarship \| - \| - \| - \| - \| \| relating to developing countries \| \| \| \| \| \| B: Wealth Creation \| 274,417 \| 409,044 \| 302,403 \| (27,986) \| \| C: Climate Change \| 76,550 \| 107,461 \| 75,354 \| 1,196 \| \| D: Governance and Security \| 1,094 \| 10,271 \| 11,086 \| (9,992) \| \| E: Direct Delivery of Millennium \| 93,388 \| 62,607 \| 51,483 \| 41,905 \| \| Development Goals \| \| \| \| \| \| F: Global Par \| tnerships \| 1,471,160 \| 1,379,059 \| 1,508,583 \| \| G: Total Operating Costs \| - \| - \| - \| - \| \| H: Central Programmes \| 1,000 \| 1,000 \| (3,325) \| 4,325 \| \| I: Joint Conflict Pool \| - \| - \| - \| - \| \| J: \| Independent Commission for Aid \| - \| - \| - \| \| Impact (NDPB) (net) \| \| \| \| \| \| K: No Specific Pillar \| 7,391 \| - \| - \| 7,391 \| \| Departmental Unallocated Provision \| - \| - \| - \| - \| \| Non-voted \| \| \| \| \| \| L: European Union Attributed Aid \| - \| - \| - \| - \| \| Spending in Annually Managed \| - \| - \| - \| - \| \| Expenditure \| \| \| \| \| \| Voted \| \| \| \| \| \| M: Wealth Creation \| - \| - \| - \| - \| \| N: Direct Delivery of Millennium \| - \| - \| - \| - \| \| Development Goals \| \| \| \| \| \| O: Total Operating Costs \| - \| - \| - \| - \| \| P: Central Programmes \| - \| - \| - \| - \| \| Q: Climate Change \| - \| - \| - \| - \| \| Total \| 1,925,000 \| 1,969,442 \| 1,945,584 \| (20,584) \| £000 Estimate outturn Main Estimate Supplementary Estimate ## Table 7.3: Capital Employed The table below summarises DFID's Statement of Financial Position. PES (2012) 17 requires depar tments to publish plan data for the next 2 years. The most significant values on DFID's Statement of Financial Position are based on values provided by external par ties, such as investment values. No plan information relating to future performance of these factors is available. In addition, other areas such as provisions and payables <1 year (including promissory notes) will vary depending on the programmes funded over the next 4 years and funding mechanisms used. As a result DFID has had to make assumptions to determine a future value for a number of areas within the Statement of Financial Position. Consistent with the preparation of the 2013-14 Annual Repor t and Accounts, 2012-2013 Outturn has been restated to reflect a change in accounting policy relating to CDC Group plc. £000 2009–10 2010–11 2011–12 2012–13 2013–14 2014–15 2015–16 Outturn Outturn Outturn Outturn Outturn Plans Plans (Restated) Assets and liabilities on the Statement of Financial Position at end of year: Assets Non-current assets Property, vehicles and equipment 92,724 87,085 83,166 122,827 120,092 34,747 22,440 Of which: Land and buildings (including leasehold 61,111 61,796 55,234 89,016 86,587 15,570 4,960 improvements) Vehicles 2,748 2,256 1,879 2,206 2,365 1,183 591 Office and domestic furniture and 8,885 8,815 7,934 9,321 6,904 5,523 4,419 equipment IT equipment and systems 11,205 6,617 4,177 4,039 3,882 7,382 8,654 Assets in the course of construction 8,775 7,601 13,942 18,245 20,354 5,089 3,816 Intangible 24,602 21,867 21,380 22,675 21,753 17,947 14,141 Investments 3,813,655 3,867,211 4,048,864 6,118,062 6,229,249 8,272,249 10,886,249 Trade and other receivables > 1 year 128,964 111,419 79,703 74,420 69,973 58,000 46,000 Current assets Financial assets - - 1,678 - - - - Trade and other receivables < 1 year 361,771 157,344 71,768 124,613 138,003 138,000 138,000 Cash and cash equivalents 4,199 3,605 2,880 1,608 24,109 9,109 9,000 Liabilities Current < 1 year (1,758,952) (2,505,030) (2,855,959) (3,186,336) (4,034,972) (3,990,000) (3,945,000) Non-current > 1 year (46,454) (46,766) (46,210) (45,010) - - - Provisions (674,280) (914,826) (938,402) (1,048,571) (1,014,385) (988,000) (961,500) Capital employed within the main 1,946,229 781,909 468,868 2,184,288 1,553,822 3,552,052 6,209,330 Department NDPB net assets - - 766 683 334 300 300 Total capital employed in Departmental 1,946,229 781,909 469,634 2,184,971 1,554,156 3,552,352 6,209,630 Group ## Table 7.4: Administration Budgets The table below shows published Administration Budget outturn for the past 5 years (including year just ended) and Spending Review plans for the next 2 years. In accordance with the Business Plan and Structural Reform Plan, DFID has moved its internal basis of monitoring to a 5 pillar approach. The headings on the Estimate and focus of plans have been aligned to these pillars. It is not considered appropriate to restate prior years' outturns on this basis as these pillars were not used for strategic decision-making. \| 2009–10 \| 2010–11 \| \|--------------------------------------------------\|--------------------------------------------------\| \| Outturn \| Outturn \| \| Headings for 2009–10 to 2010–11 \| \| \| Eliminating Poverty in Poorer Countries \| \| \| A: Bilateral Aid to Africa \| 19,370 \| \| B: Bilateral Aid to South Asia \| 12,203 \| \| C: Bilateral Aid to the Rest of the World \| 12,679 \| \| D: Improve the Effectiveness of Multilateral Aid \| 14,603 \| \| E: Develop a Global Partnership for Development \| 19,978 \| \| F: Central Departments \| 76,220 \| \| \| \| \| G: Environment Transformation Fund \| - \| \| \| \| \| Spending In Annually Managed Expenditure \| \| \| - \| - \| \| Objectives \| \| \| - \| - \| \| \| \| \| I: \| Grants to the International Finance Facility for \| \| Immunisation \| \| \| J: Provision for Advance Market Commitment \| - \| \| \| \| \| Central Departments \| - \| \| \| \| \| Total RfR1 \| 155,053 \| \| Conflict Prevention \| \| \| A: Conflict Prevention and Stabilisation \| 3,996 \| \| Total RfR2 \| 3,996 \| \| Total RfR 1 and 2 \| 159,049 \| ## Table 7.4: Administration Budgets (Continued) \| 2009–10 \| 2010–11 \| 2011–12 \| 2012–13 \| 2013–14 \| 2014–15 \| 2015–16 \| \|----------------------------------------------\|------------\|------------\|------------\|------------\|------------\|------------\| \| Outturn \| Outturn \| Outturn \| Outturn \| Outturn \| Plans \| Plans \| \| \| \| \| \| \| \| \| \| New basis from 2011–12 \| \| \| \| \| \| \| \| Resources \| \| \| \| \| \| \| \| Of which: \| \| \| \| \| \| \| \| Spending in Departmental Expenditure Limits \| \| \| \| \| \| \| \| - \| - \| \| \| \| \| \| \| 123,345 \| 127,815 \| 115,973 \| 115,200 \| \| \| \| \| 112,700 \| \| \| \| \| \| \| \| A: CSC (NDPB) (net) scholarship relating \| \| \| \| \| \| \| \| - \| - \| \| \| \| \| \| \| 1,942 \| 2,112 \| 1,769 \| 1,724 \| - \| \| \| \| to developing countries \| \| \| \| \| \| \| \| B: Wealth Creation \| - \| - \| - \| \| \| \| \| - \| - \| - \| \| \| \| \| \| - \| \| \| \| \| \| \| \| C: Climate Change \| - \| - \| - \| \| \| \| \| - \| - \| - \| \| \| \| \| \| - \| \| \| \| \| \| \| \| D: Governance and Security \| - \| - \| - \| \| \| \| \| - \| - \| - \| \| \| \| \| \| - \| \| \| \| \| \| \| \| E: Direct Delivery of Millennium Development \| - \| - \| - \| \| \| \| \| - \| - \| - \| \| \| \| \| \| - \| \| \| \| \| \| \| \| Goals \| \| \| \| \| \| \| \| F: Global Partnerships \| - \| - \| - \| \| \| \| \| - \| - \| - \| \| \| \| \| \| - \| \| \| \| \| \| \| \| G: Total Operating Costs \| - \| - \| 120,989 \| 125,298 \| 113,728 \| 95,496 \| \| H: Central Programmes \| - \| - \| - \| \| \| \| \| - \| - \| \| \| \| \| \| \| 17,500 \| 18,000 \| \| \| \| \| \| \| I: Joint Conflict Pool \| - \| - \| - \| \| \| \| \| - \| - \| - \| \| \| \| \| \| - \| \| \| \| \| \| \| \| J: Independent Commission for Aid Impact \| - \| - \| 303 \| 405 \| 476 \| 480 \| \| \| \| \| \| \| \| \| \| (NDPB) (net) \| \| \| \| \| \| \| \| K: CSC (NDPB) (net) scholarship relating to \| - \| - \| 111 \| \| \| \| \| - \| - \| - \| \| \| \| \| \| - \| \| \| \| \| \| \| \| developing countries \| \| \| \| \| \| \| \| Non-voted \| \| \| \| \| \| \| \| L: European Union Attributed Aid \| - \| - \| - \| \| \| \| \| - \| - \| - \| \| \| \| \| \| - \| \| \| \| \| \| \| \| Spending in Annually Managed Expenditure \| \| \| \| \| \| \| \| - \| - \| - \| \| \| \| \| \| - \| - \| - \| \| \| \| \| \| - \| \| \| \| \| \| \| \| Voted \| \| \| \| \| \| \| \| M: Wealth Creation \| - \| - \| - \| \| \| \| \| - \| - \| - \| \| \| \| \| \| - \| \| \| \| \| \| \| \| N: Direct Delivery of Millennium Development \| - \| - \| - \| \| \| \| \| - \| - \| - \| \| \| \| \| \| - \| \| \| \| \| \| \| \| Goals \| \| \| \| \| \| \| \| O: Total Operating Costs \| - \| - \| - \| \| \| \| \| - \| - \| - \| \| \| \| \| \| - \| \| \| \| \| \| \| \| P: Central Programmes \| - \| - \| - \| \| \| \| \| - \| - \| - \| \| \| \| \| \| - \| \| \| \| \| \| \| \| Total \| \| \| \| \| \| \| \| - \| - \| \| \| \| \| \| \| 123,345 \| 127,815 \| 115,973 \| 115,200 \| 112,700 \| \| \| £000 ## Table 7.5: Staff In Post \| \| Mar-09 \| Mar-10 \| Mar-11 \| Mar-12 \| Mar-13 \| Mar-14 \| \|---------------------\|-----------\|-----------\|-----------\|-----------\|-----------\|-----------\| \| Home civil servants \| 1,600 \| 1,573 \| 1,567 \| 1,562 \| 1,764 \| 1,863 \| Table 7.5 shows the number of full-time equivalent Civil Ser vice staff employed by DFID in the UK and overseas, including those working overseas on aid projects. Par t-time staff are counted according to percentage of time worked. Note 3 to the Accounts shows the average number of full-time equivalents employed during the year and includes locally engaged staff overseas, as required by the 2013–14 Government Financial Repor ting Manual. This is why the totals differ. ## Administration Consulting And Administration Temporary Staff Total spend by DFID during 2013–14 on administration consultancy was £82,011 (2012–13: £4,588,616), and the spend on other administration temporary staff was £1,903,506 (2012–13: £1,875,482). The numbers in the table and note above consist of Core Depar tment only. No staff are employed by the Depar tment's NDPBs. ## Dfid Allocations By Programme DFID's available programme resources are allocated to country or regional specific aid programmes, international aid programmes or other programmes in the annual resources and results cycle. This establishes an aid framework allocation, approved by the Secretary of State, which provides divisions within DFID with a firm budget for the current year and indicative budgets for future years. Table A.1 sets out the Depar tment's actual programme resource outturn for 2013–14, and for 2014–15 indicative planning figures are presented. These plans may be subject to revision as, by its nature, the Depar tment's work is dynamic. The precise way in which DFID spends will reflect changing demands and the speed at which different projects are implemented and new projects developed. Figures may not sum exactly to totals due to rounding. DFID's par tnership with India and South Africa is in transition; DFID will honour commitments to existing projects, all of which will finish in 2015. AFRICA East and Central Africa Africa Regional Department 183,981 2,855 147,269 DFID Burundi 10 – – DFID Ethiopia 288,335 3,975 341,690 DFID Kenya 139,309 3,147 108,431 DFID Rwanda 88,099 2,311 74,218 DFID Tanzania 178,828 3,651 165,591 DFID Uganda 97,417 2,699 86,337 DFID Sudan 50,582 2,538 48,400 DFID South Sudan 143,088 3,441 137,651 DFID Somalia 87,113 3,488 107,331 East and Central Africa TOTAL 1,256,762 28,105 1,216,917 West and Southern Africa Africa Directorate 1,399 1,013 18,125 DFID DRC 167,266 5,100 159,039 DFID Malawi 87,158 2,021 61,867 DFID Mozambique 80,123 2,724 66,627 DFID Southern Africa 53,208 2,904 64,937 DFID Zambia 68,999 2,377 62,137 DFID Zimbabwe 108,643 2,649 75,998 DFID Ghana 92,962 2,117 73,885 DFID Nigeria 274,745 8,584 233,900 DFID Sierra Leone and Liberia 80,194 2,592 66,420 West and Southern Africa Total 1,014,697 32,080 882,934 Africa TOTAL 2,271,459 60,185 2,099,851 \| 2013–14 \| 2013–14 \| 2014–15 \| \|-----------------\|------------\|------------\| \| Total \| \| \| \| programme \| \| \| \| outturn \| \| \| \| Of which: Front \| \| \| \| line delivery \| \| \| \| outturn \| Plans \| \| \| (£000) \| (£000) \| (£000) \| \| 2013–14 \| 2013–14 \| 2014–15 \| \|--------------------------------------------------------\|---------------------\|------------\| \| Total \| \| \| \| programme \| \| \| \| outturn \| \| \| \| Of which: Front \| \| \| \| line delivery \| \| \| \| outturn \| Plans \| \| \| (£000) \| (£000) \| (£000) \| \| Asia, Caribbean and Overseas Territories \| \| \| \| DFID Cambodia \| 4,891 \| - \| \| DFID Bangladesh \| 265,679 \| 3,528 \| \| DFID Burma \| 71,417 \| 1,732 \| \| DFID India \| 173,514 \| 4,365 \| \| DFID Nepal \| 107,376 \| 2,652 \| \| DFID Vietnam \| 16,995 \| 1,068 \| \| DFID Indonesia \| 14,476 \| 988 \| \| Asia Division London \| 263 \| 263 \| \| DFID Caribbean \| 16,176 \| 1,851 \| \| Overseas Territories Depar \| tment \| 118,937 \| \| Asia Regional Team \| 29,642 \| 626 \| \| Global Development Par \| tnerships Programme \| 6,402 \| \| Global Development Partnerships Programme - India \| 8,512 \| - \| \| Asia, Caribbean and Overseas Territories TOTAL \| 834,281 \| 20,645 \| \| Western Asia and Stabilisation Division \| \| \| \| West Asia Department \| 265 \| 265 \| \| DFID Afghanistan \| 193,586 \| 11,331 \| \| DFID Pakistan \| 259,512 \| 6,522 \| \| Stabilisation Unit \| 15,919 \| 4,279 \| \| DFID Tajikistan \| 9,709 \| 930 \| \| DFID Kyrgyz Republic \| 4,683 \| - \| \| DFID Ukraine \| - \| - \| \| Western Asia and Stabilisation Division TOTAL \| 483,674 \| 23,328 \| \| Middle East and North Africa Division \| \| \| \| DFID Jerusalem and Palestinian Programme \| 95,369 \| 1,510 \| \| DFID Syria \| 294,960 \| 445 \| \| DFID MENAD Regional \| 50,481 \| 2,541 \| \| DFID Yemen \| 82,232 \| 857 \| \| Middle East Humanitarian and Conflict Directors Office \| - \| - \| \| Middle East and North Africa Division TOTAL \| 523,041 \| 5,353 \| \| Conflict, Humanitarian and Security Division \| \| \| \| Conflict Funds \| 3,550 \| - \| \| Conflict, Humanitarian and Security Department \| 395,105 \| 2,333 \| \| Conflict, Humanitarian and Security Division TOTAL \| \| \| \| 398,655 \| 2,333 \| 312,771 \| \| Country/Regional Programme TOTAL \| \| \| \| 4,511,109 \| 111,844 \| 4,111,696 \| \| International Finance Division \| \| \| \| Multilateral Effectiveness Department \| 1,376 \| 161 \| \| Private Sector Department \| 212,900 \| 262 \| \| World Bank Programme \| 1,105,000 \| - \| \| Regional Development Banks \| 286,379 \| - \| \| HIPC, Debt Relief \| 81,773 \| - \| \| IMF \| 9,900 \| - \| \| Global Funds Department \| 1,121,945 \| 108 \| \| International Finance Division TOTAL \| 2,819,273 \| 604 \| \| 2013–14 \| 2013–14 \| 2014–15 \| \|-----------------------------------------------------------\|------------\|------------\| \| Total \| \| \| \| programme \| \| \| \| outturn \| \| \| \| Of which: Front \| \| \| \| line delivery \| \| \| \| outturn \| Plans \| \| \| (£000) \| (£000) \| (£000) \| \| International Relations Division \| \| \| \| European Commission Attribution \| 671,838 \| - \| \| United Nations and Commonwealth Department \| 347,211 \| 133 \| \| Global Partnerships Department \| 4,164 \| 1,063 \| \| Europe Department \| 409,830 \| - \| \| International Relations Division Total \| 1,433,043 \| 1,196 \| \| International Divisions TOTAL \| 4,252,389 \| 1,800 \| \| Policy Division \| \| \| \| Civil Society Department \| 188,396 \| 367 \| \| Policy and Research Cabinet \| 19,453 \| - \| \| Governance, Open Societies and Anti-Corruption Department \| 45,645 \| 943 \| \| Growth and Resilience Depar \| tment \| 56,110 \| \| Human Development Group \| 293,958 \| 1,771 \| \| Climate and Environment Group \| 212,213 \| 1,661 \| \| Trade Policy Unit \| 8,576 \| 32 \| \| Policy Division TOTAL \| 824,352 \| 5,668 \| \| Research and Evidence Division \| \| \| \| Evaluation Department \| 18,389 \| - \| \| Research and Evidence \| 308,541 \| 5,934 \| \| Chief Economist Office \| 5,853 \| 595 \| \| Research and Evidence Division TOTAL \| 332,783 \| 6,529 \| \| Policy and Research TOTAL \| 1,157,135 \| 12,197 \| \| Corporate Performance Group TOTAL \| 64,313 \| 2,760 \| \| Central costs \| -63,630 \| 1,230 \| \| TOTAL \| 9,921,316 \| 129,831 \| ## Annual Reporting Of Statistical Information B.1 The International Development (Repor ting and Transparency) Act 2006 requires the Secretary of State for International Development to repor t to Parliament on an annual basis. The schedule to the Act sets out the statistical repor ting that is required. This information is published each autumn for the preceding year in DFID's publication Statistics on International Development. Provisional figures for 2013 are provided in the following tables. B.2 The statistical repor ting requirements of the Act are itemised below with the tables within this Annex showing where the corresponding information can be located. Information is included for the most recent period and each of the four periods before. Figures may not sum exactly to totals due to rounding. \| Act schedule \| Table number \| \|------------------------------------------------------------------------------------\|-----------------\| \| Total UK bilateral aid broken down by: \| \| \| Debt relief, in turn split by cancelled expor \| t credits \| \| Region \| Table B.2 \| \| Country including humanitarian assistance breakdown \| Table B.2 \| \| Sector \| Table B.3 \| \| Country as a percentage of UK bilateral aid \| Table B.2 \| \| Percentage and amount to low income countries \| Table B.2 \| \| Percentage of gross national income (GNI) \| Table A.6 \| \| UK multilateral aid broken down by: \| \| \| European Union \| Table B.1 \| \| World Bank \| Table B.1 \| \| United Nations and its agencies \| Table B.1 \| \| Other multilateral organisations \| Table B.1 \| \| UK imputed share \| \| \| 1 \| \| \| of the aggregate amount of multilateral official development assistance (ODA) \| \| \| provided by the bodies to which the UK contributed such assistance broken down by: \| \| \| Country \| Table B.4 \| \| Percentage and amount to low income countries \| Table B.4 \| [1] UK imputed share is the share of all multilateral expenditure in developing countries which can be attributed to the UK. £ millions 2009 2010 2011 2012 2013[1] Total bilateral ODA 4,732 5,191 5,286 5,524 6,666 as a % of GNI 0.33 0.35 0.34 0.36 0.42 of which: Administration costs[2] 254 238 258 333 232 Debt relief 27 106 113 71 36 Export Credit Guarantee Agency 7 54 91 20 30 Total multilateral ODA 2,491 3,261 3,343 3,242 4,771 as a % of GNI 0.18 0.22 0.22 0.21 0.30 of which: Total European Commission 1,245 1,301 1,184 1,169 1,274 Total World Bank 555 933 1,086 797 1,609 Total UN agencies 297 371 367 419 443 Total other organisations[3] 394 656 706 858 1,445 TOTAL ODA 7,223 8,452 8,629 8,766 11,437 as a % of GNI 0.51 0.57 0.56 0.56 0.72 [1] 2013 data is provisional. Final 2013 ODA will be published in Statistics on International Development 2014 in October. [2] Includes front line delivery costs. This is in line with OECD Development Assistance Committee (DAC) Statistical Repor ting Directives. [3] Includes Regional Development Banks and other multilateral agencies on the DAC List of Multilateral Organisations. \| \| £ thousands \| \| \| \|---------------------------------------\|----------------------\|---------\|---------\| \| Africa \| \| \| \| \| Algeria \| UK Net Bilateral ODA \| 2,311 \| 1,425 \| \| of which Humanitarian Assistance \| - \| - \| - \| \| Percentage of Total Net Bilateral ODA \| 0.05 \| 0.03 \| 0.02 \| \| Angola \| \| \| \| \| [1] \| \| \| \| \| UK Net Bilateral ODA \| 2,842 \| 10,800 \| 428 \| \| of which Humanitarian Assistance \| - \| - \| - \| \| Percentage of Total Net Bilateral ODA \| 0.06 \| 0.21 \| 0.01 \| \| Benin \| \| \| \| \| [1] \| \| \| \| \| UK Net Bilateral ODA \| 19 \| - \| 45 \| \| of which Humanitarian Assistance \| - \| - \| 45 \| \| Percentage of Total Net Bilateral ODA \| 0.00 \| - \| 0.00 \| \| Botswana \| UK Net Bilateral ODA \| 589 \| 686 \| \| of which Humanitarian Assistance \| - \| - \| - \| \| Percentage of Total Net Bilateral ODA \| 0.01 \| 0.01 \| 0.02 \| \| Burkina Faso \| \| \| \| \| [1] \| \| \| \| \| UK Net Bilateral ODA \| 128 \| 65 \| 510 \| \| of which Humanitarian Assistance \| - \| - \| - \| \| Percentage of Total Net Bilateral ODA \| 0.00 \| 0.00 \| 0.01 \| \| Burundi \| \| \| \| \| [1] \| \| \| \| \| UK Net Bilateral ODA \| 9,232 \| 13,041 \| 11,055 \| \| of which Humanitarian Assistance \| 1,101 \| 2,286 \| 372 \| \| Percentage of Total Net Bilateral ODA \| 0.20 \| 0.25 \| 0.21 \| \| Cameroon \| UK Net Bilateral ODA \| 1,447 \| 667 \| \| of which Humanitarian Assistance \| - \| - \| - \| \| Percentage of Total Net Bilateral ODA \| \| \| \| \| 0.03 \| 0.01 \| 0.01 \| 0.02 \| \| Cape Verde \| \| \| \| \| UK Net Bilateral ODA \| 461 \| 583 \| 19 \| \| of which Humanitarian Assistance \| - \| - \| - \| \| Percentage of Total Net Bilateral ODA \| 0.01 \| 0.01 \| 0.00 \| \| Central African \| \| \| \| \| UK Net Bilateral ODA \| 1,562 \| 1,955 \| - \| \| Republic \| \| \| \| \| [1] \| \| \| \| \| of which Humanitarian Assistance \| 1,511 \| 1,502 \| - \| \| Percentage of Total Net Bilateral ODA \| 0.03 \| 0.04 \| - \| \| Chad \| \| \| \| \| [1] \| \| \| \| \| UK Net Bilateral ODA \| 3,566 \| 1,852 \| 240 \| \| of which Humanitarian Assistance \| 3,566 \| 1,839 \| 240 \| \| Percentage of Total Net Bilateral ODA \| 0.08 \| 0.04 \| 0.00 \| \| Comoros \| \| \| \| \| [1] \| \| \| \| \| UK Net Bilateral ODA \| - \| 78 \| 75 \| \| of which Humanitarian Assistance \| - \| - \| - \| \| Percentage of Total Net Bilateral ODA \| - \| 0.00 \| 0.00 \| \| Congo (Rep) \| UK Net Bilateral ODA \| - \| 50,991 \| \| of which Humanitarian Assistance \| - \| 751 \| - \| \| Percentage of Total Net Bilateral ODA \| - \| 0.98 \| - \| \| Congo \| \| \| \| \| UK Net Bilateral ODA \| 144,340 \| 162,380 \| 238,946 \| \| (Dem Rep) \| \| \| \| \| [1] \| \| \| \| \| of which Humanitarian Assistance \| 61,978 \| 42,482 \| 31,266 \| \| Percentage of Total Net Bilateral ODA \| 3.05 \| 3.13 \| 4.52 \| \| Cote d'Ivoire \| UK Net Bilateral ODA \| 96 \| 16,809 \| \| of which Humanitarian Assistance \| - \| - \| 7,950 \| \| Percentage of Total Net Bilateral ODA \| 0.00 \| 0.32 \| 0.13 \| \| Djibouti \| \| \| \| \| [1] \| \| \| \| \| UK Net Bilateral ODA \| 1,504 \| 6 \| 12 \| \| of which Humanitarian Assistance \| - \| - \| - \| \| Percentage of Total Net Bilateral ODA \| 0.03 \| 0.00 \| 0.00 \| \| Egypt \| UK Net Bilateral ODA \| 22,817 \| 5,821 \| \| of which Humanitarian Assistance \| - \| - \| 24 \| \| Percentage of Total Net Bilateral ODA \| 0.48 \| 0.11 \| 0.21 \| \| Eritrea \| \| \| \| \| [1] \| \| \| \| \| UK Net Bilateral ODA \| 4,129 \| 3,568 \| 5,220 \| \| of which Humanitarian Assistance \| 4,084 \| 3,296 \| 5,202 \| \| Percentage of Total Net Bilateral ODA \| 0.09 \| 0.07 \| 0.10 \| \| Ethiopia \| \| \| \| \| [1] \| \| \| \| \| UK Net Bilateral ODA \| 219,537 \| 263,500 \| 344,491 \| \| of which Humanitarian Assistance \| 42,721 \| 28,607 \| 53,630 \| \| Percentage of Total Net Bilateral ODA \| 4.64 \| 5.08 \| 6.52 \| \| Gabon \| UK Net Bilateral ODA \| - \| 104 \| \| of which Humanitarian Assistance \| - \| - \| - \| \| Percentage of Total Net Bilateral ODA \| - \| 0.00 \| 0.00 \| \| 2009 \| \|---------\| \| [2] \| ## Table B.2: Total Uk Net Oda And Humanitarian Assistance By Recipient Country (Continued) \| \| £ thousands \| \|---------------------------------------\|----------------------\| \| Gambia \| \| \| [1] \| \| \| UK Net Bilateral ODA \| 2,388 \| \| of which Humanitarian Assistance \| - \| \| Percentage of Total Net Bilateral ODA \| 0.05 \| \| Ghana \| UK Net Bilateral ODA \| \| of which Humanitarian Assistance \| 403 \| \| Percentage of Total Net Bilateral ODA \| 2.08 \| \| Guinea \| \| \| [1] \| \| \| UK Net Bilateral ODA \| 557 \| \| of which Humanitarian Assistance \| 115 \| \| Percentage of Total Net Bilateral ODA \| 0.01 \| \| Guinea-Bissau \| \| \| [1] \| \| \| UK Net Bilateral ODA \| 83 \| \| of which Humanitarian Assistance \| - \| \| Percentage of Total Net Bilateral ODA \| 0.00 \| \| Kenya \| \| \| [1] \| \| \| UK Net Bilateral ODA \| 84,007 \| \| of which Humanitarian Assistance \| 15,192 \| \| Percentage of Total Net Bilateral ODA \| 1.78 \| \| Lesotho \| \| \| [1] \| \| \| UK Net Bilateral ODA \| 5,224 \| \| of which Humanitarian Assistance \| - \| \| Percentage of Total Net Bilateral ODA \| 0.11 \| \| Liberia \| \| \| [1] \| \| \| UK Net Bilateral ODA \| 21,383 \| \| of which Humanitarian Assistance \| - \| \| Percentage of Total Net Bilateral ODA \| 0.45 \| \| Libya \| \| \| [10] \| \| \| UK Net Bilateral ODA \| 1,191 \| \| of which Humanitarian Assistance \| - \| \| Percentage of Total Net Bilateral ODA \| 0.03 \| \| Madagascar \| \| \| [1] \| \| \| UK Net Bilateral ODA \| 832 \| \| of which Humanitarian Assistance \| 832 \| \| Percentage of Total Net Bilateral ODA \| 0.02 \| \| Malawi \| \| \| [1] \| \| \| UK Net Bilateral ODA \| 71,510 \| \| of which Humanitarian Assistance \| 813 \| \| Percentage of Total Net Bilateral ODA \| 1.51 \| \| Mali \| \| \| [1] \| \| \| UK Net Bilateral ODA \| 19 \| \| of which Humanitarian Assistance \| - \| \| Percentage of Total Net Bilateral ODA \| 0.00 \| \| Mauritania \| \| \| [1] \| \| \| UK Net Bilateral ODA \| 499 \| \| of which Humanitarian Assistance \| - \| \| Percentage of Total Net Bilateral ODA \| 0.01 \| \| Mauritius \| UK Net Bilateral ODA \| \| of which Humanitarian Assistance \| - \| \| Percentage of Total Net Bilateral ODA \| 0.28 \| \| Morocco \| UK Net Bilateral ODA \| \| of which Humanitarian Assistance \| - \| \| - \| \| \| Percentage of Total Net Bilateral ODA \| 0.06 \| \| Mozambique \| \| \| [1] \| \| \| UK Net Bilateral ODA \| 35,141 \| \| of which Humanitarian Assistance \| 499 \| \| Percentage of Total Net Bilateral ODA \| 0.74 \| \| Namibia \| UK Net Bilateral ODA \| \| of which Humanitarian Assistance \| - \| \| Percentage of Total Net Bilateral ODA \| 0.01 \| \| Niger \| \| \| [1] \| \| \| UK Net Bilateral ODA \| 3,969 \| \| of which Humanitarian Assistance \| 2,074 \| \| Percentage of Total Net Bilateral ODA \| 0.08 \| \| Nigeria \| UK Net Bilateral ODA \| \| of which Humanitarian Assistance \| - \| \| Percentage of Total Net Bilateral ODA \| 2.56 \| \| Rwanda \| \| \| [1] \| \| \| UK Net Bilateral ODA \| 57,522 \| \| of which Humanitarian Assistance \| - \| \| Percentage of Total Net Bilateral ODA \| 1.22 \| \| 2009 \| \|---------\| \| [2] \| ## Table B.2: Total Uk Net Oda And Humanitarian Assistance By Recipient Country (Continued) \| \| £ thousands \| \|---------------------------------------\|-----------------------------------\| \| Senegal \| \| \| [1] \| \| \| UK Net Bilateral ODA \| 4,174 \| \| of which Humanitarian Assistance \| - \| \| Percentage of Total Net Bilateral ODA \| 0.09 \| \| Seychelles \| UK Net Bilateral ODA \| \| of which Humanitarian Assistance \| - \| \| Percentage of Total Net Bilateral ODA \| 0.00 \| \| Sierra Leone \| \| \| [1] \| \| \| UK Net Bilateral ODA \| 51,389 \| \| of which Humanitarian Assistance \| - \| \| Percentage of Total Net Bilateral ODA \| 1.09 \| \| Somalia \| \| \| [1] \| \| \| UK Net Bilateral ODA \| 28,009 \| \| of which Humanitarian Assistance \| 13,790 \| \| Percentage of Total Net Bilateral ODA \| 0.59 \| \| South Africa \| \| \| [4] \| \| \| UK Net Bilateral ODA \| 43,105 \| \| of which Humanitarian Assistance \| -13 \| \| Percentage of Total Net Bilateral ODA \| 0.91 \| \| St. Helena and \| UK Net Bilateral ODA \| \| Dependencies \| \| \| of which Humanitarian Assistance \| 2,401 \| \| Percentage of Total Net Bilateral ODA \| 0.45 \| \| South Sudan \| \| \| [1] \| \| \| UK Net Bilateral ODA \| - \| \| of which Humanitarian Assistance \| - \| \| Percentage of Total Net Bilateral ODA \| - \| \| Sudan \| \| \| [1] \| \| \| UK Net Bilateral ODA \| 187,207 \| \| of which Humanitarian Assistance \| 80,454 \| \| Percentage of Total Net Bilateral ODA \| 3.96 \| \| Swaziland \| \| \| [4] \| \| \| UK Net Bilateral ODA \| -2,426 \| \| of which Humanitarian Assistance \| - \| \| Percentage of Total Net Bilateral ODA \| -0.05 \| \| Tanzania \| \| \| [1] \| \| \| UK Net Bilateral ODA \| 138,700 \| \| of which Humanitarian Assistance \| 3,752 \| \| Percentage of Total Net Bilateral ODA \| 2.93 \| \| Togo \| \| \| [1] \| \| \| UK Net Bilateral ODA \| 6,671 \| \| of which Humanitarian Assistance \| - \| \| Percentage of Total Net Bilateral ODA \| 0.14 \| \| Tunisia \| UK Net Bilateral ODA \| \| of which Humanitarian Assistance \| - \| \| Percentage of Total Net Bilateral ODA \| 0.05 \| \| Uganda \| \| \| [1] \| \| \| UK Net Bilateral ODA \| 75,127 \| \| of which Humanitarian Assistance \| 12,772 \| \| Percentage of Total Net Bilateral ODA \| 1.59 \| \| Zambia \| \| \| [1] \| \| \| UK Net Bilateral ODA \| 47,074 \| \| of which Humanitarian Assistance \| 3,015 \| \| Percentage of Total Net Bilateral ODA \| 0.99 \| \| Zimbabwe \| \| \| [1] \| \| \| UK Net Bilateral ODA \| 70,332 \| \| of which Humanitarian Assistance \| 15,832 \| \| Percentage of Total Net Bilateral ODA \| 1.49 \| \| Africa Regional \| \| \| Nor \| th of Sahara UK Net Bilateral ODA \| \| Regional \| \| \| of which Humanitarian Assistance \| - \| \| Percentage of Total Net Bilateral ODA \| 0.02 \| \| South of Sahara UK Net Bilateral ODA \| 26,748 \| \| Regional \| \| \| of which Humanitarian Assistance \| - \| \| Percentage of Total Net Bilateral ODA \| 0.57 \| \| Africa Regional \| UK Net Bilateral ODA \| \| of which Humanitarian Assistance \| 4,936 \| \| Percentage of Total Net Bilateral ODA \| 3.24 \| \| 2009 \| \|---------\| \| [2] \| ## Table B.2: Total Uk Net Oda And Humanitarian Assistance By Recipient Country (Continued) \| \| £ thousands \| \|---------------------------------------\|----------------------\| \| Asia and Middle East \| \| \| Afghanistan \| \| \| [1] \| \| \| UK Net Bilateral ODA \| 207,675 \| \| of which Humanitarian Assistance \| 6,748 \| \| Percentage of Total Net Bilateral ODA \| 4.39 \| \| Armenia \| \| \| [8] \| \| \| UK Net Bilateral ODA \| 653 \| \| of which Humanitarian Assistance \| - \| \| Percentage of Total Net Bilateral ODA \| 0.01 \| \| Azerbaijan \| \| \| [8] \| \| \| UK Net Bilateral ODA \| 903 \| \| of which Humanitarian Assistance \| - \| \| Percentage of Total Net Bilateral ODA \| 0.02 \| \| Bangladesh \| \| \| [1] \| \| \| UK Net Bilateral ODA \| 160,101 \| \| of which Humanitarian Assistance \| 2,081 \| \| Percentage of Total Net Bilateral ODA \| 3.38 \| \| Bhutan \| UK Net Bilateral ODA \| \| of which Humanitarian Assistance \| - \| \| Percentage of Total Net Bilateral ODA \| - \| \| Cambodia \| \| \| [1] \| \| \| UK Net Bilateral ODA \| 20,685 \| \| of which Humanitarian Assistance \| - \| \| Percentage of Total Net Bilateral ODA \| 0.44 \| \| China \| UK Net Bilateral ODA \| \| of which Humanitarian Assistance \| 1,165 \| \| Percentage of Total Net Bilateral ODA \| \| \| 1.57 \| 1.08 \| \| Georgia \| \| \| [8] \| \| \| UK Net Bilateral ODA \| 4,641 \| \| of which Humanitarian Assistance \| 218 \| \| Percentage of Total Net Bilateral ODA \| 0.10 \| \| India \| UK Net Bilateral ODA \| \| of which Humanitarian Assistance \| 13 \| \| Percentage of Total Net Bilateral ODA \| 8.53 \| \| Indonesia \| UK Net Bilateral ODA \| \| of which Humanitarian Assistance \| 16,338 \| \| Percentage of Total Net Bilateral ODA \| 0.93 \| \| Iran \| UK Net Bilateral ODA \| \| of which Humanitarian Assistance \| - \| \| Percentage of Total Net Bilateral ODA \| 0.01 \| \| Iraq \| UK Net Bilateral ODA \| \| of which Humanitarian Assistance \| 8,003 \| \| Percentage of Total Net Bilateral ODA \| 0.66 \| \| Jordan \| UK Net Bilateral ODA \| \| of which Humanitarian Assistance \| - \| \| Percentage of Total Net Bilateral ODA \| 0.02 \| \| Kazakhstan \| UK Net Bilateral ODA \| \| of which Humanitarian Assistance \| - \| \| Percentage of Total Net Bilateral ODA \| 0.09 \| \| 0.00 \| 0.03 \| \| Korea Dem \| \| \| UK Net Bilateral ODA \| 32 \| \| Rep \| \| \| [1] \| \| \| of which Humanitarian Assistance \| - \| \| Percentage of Total Net Bilateral ODA \| 0.00 \| \| Kyrgyz \| \| \| UK Net Bilateral ODA \| 5,723 \| \| Republic \| \| \| [1], [7] \| \| \| of which Humanitarian Assistance \| 653 \| \| Percentage of Total Net Bilateral ODA \| 0.12 \| \| Laos \| \| \| [1] \| \| \| UK Net Bilateral ODA \| 192 \| \| of which Humanitarian Assistance \| - \| \| Percentage of Total Net Bilateral ODA \| 0.00 \| \| Lebanon \| UK Net Bilateral ODA \| \| of which Humanitarian Assistance \| - \| \| Percentage of Total Net Bilateral ODA \| 0.07 \| \| Malaysia \| \| \| [4] \| \| \| UK Net Bilateral ODA \| 2,676 \| \| of which Humanitarian Assistance \| - \| \| Percentage of Total Net Bilateral ODA \| 0.06 \| \| 2009 \| \|---------\| \| [2] \| \| \| ## Table B.2: Total Uk Net Oda And Humanitarian Assistance By Recipient Country (Continued) \| \| \| \| \| \| \| £ thousands \| \|---------------------------------------\|----------------------\|---------\|---------\|---------\|---------\|----------------\| \| Maldives \| UK Net Bilateral ODA \| 243 \| 168 \| 167 \| 221 \| - \| \| of which Humanitarian Assistance \| - \| - \| - \| - \| - \| \| \| Percentage of Total Net Bilateral ODA \| 0.01 \| 0.00 \| 0.00 \| 0.00 \| - \| \| \| Mongolia \| UK Net Bilateral ODA \| 455 \| 537 \| 111 \| 2,933 \| - \| \| of which Humanitarian Assistance \| - \| - \| - \| - \| - \| \| \| Percentage of Total Net Bilateral ODA \| 0.01 \| 0.01 \| 0.00 \| 0.05 \| - \| \| \| \| \| \| \| \| \| \| \| Myanmar \| \| \| \| \| \| \| \| [1], [5] \| \| \| \| \| \| \| \| UK Net Bilateral ODA \| 34,020 \| 28,600 \| 38,803 \| 30,324 \| 71,134 \| \| \| of which Humanitarian Assistance \| 17,586 \| 3,930 \| 6,571 \| 4,024 \| 10,445 \| \| \| Percentage of Total Net Bilateral ODA \| 0.72 \| 0.55 \| 0.73 \| 0.55 \| 1.07 \| \| \| Nepal \| \| \| \| \| \| \| \| [1] \| \| \| \| \| \| \| \| UK Net Bilateral ODA \| 66,081 \| 68,111 \| 64,917 \| 69,502 \| 90,399 \| \| \| of which Humanitarian Assistance \| 10,397 \| 78 \| - \| 5,047 \| - \| \| \| Percentage of Total Net Bilateral ODA \| 1.40 \| 1.31 \| 1.23 \| 1.26 \| 1.36 \| \| \| Oman \| UK Net Bilateral ODA \| 410 \| 602 \| - \| - \| - \| \| of which Humanitarian Assistance \| - \| - \| - \| - \| - \| \| \| Percentage of Total Net Bilateral ODA \| 0.01 \| 0.01 \| - \| - \| - \| \| \| Pakistan \| UK Net Bilateral ODA \| 139,250 \| 193,285 \| 206,849 \| 189,218 \| 317,027 \| \| of which Humanitarian Assistance \| 21,101 \| 102,668 \| 73,218 \| 28,859 \| 30,922 \| \| \| Percentage of Total Net Bilateral ODA \| 2.94 \| 3.72 \| 3.91 \| 3.43 \| 4.76 \| \| \| Philippines \| UK Net Bilateral ODA \| 2,810 \| 376 \| 1,294 \| 1,664 \| 32,214 \| \| of which Humanitarian Assistance \| 499 \| - \| 3 \| \| \| \| \| 2 \| 32,214 \| \| \| \| \| \| \| Percentage of Total Net Bilateral ODA \| 0.06 \| 0.01 \| 0.02 \| 0.03 \| 0.48 \| \| \| Sri Lanka \| \| \| \| \| \| \| \| [4] \| \| \| \| \| \| \| \| UK Net Bilateral ODA \| 11,620 \| -5,504 \| 2,633 \| 5,460 \| 1,384 \| \| \| of which Humanitarian Assistance \| 8,675 \| 3,775 \| 394 \| - \| - \| \| \| Percentage of Total Net Bilateral ODA \| 0.25 \| -0.11 \| 0.05 \| 0.10 \| 0.02 \| \| \| Syria \| UK Net Bilateral ODA \| 672 \| 1,263 \| 1,268 \| 39,547 \| 127,240 \| \| of which Humanitarian Assistance \| 6 \| - \| - \| 36,565 \| 126,093 \| \| \| Percentage of Total Net Bilateral ODA \| 0.01 \| 0.02 \| 0.02 \| 0.72 \| 1.91 \| \| \| Tajikistan \| \| \| \| \| \| \| \| [1] \| \| \| \| \| \| \| \| UK Net Bilateral ODA \| 2,868 \| 8,107 \| 10,290 \| 8,627 \| 6,631 \| \| \| of which Humanitarian Assistance \| 602 \| 259 \| 7 \| 102 \| 396 \| \| \| Percentage of Total Net Bilateral ODA \| 0.06 \| 0.16 \| 0.19 \| 0.16 \| 0.10 \| \| \| Thailand \| \| \| \| \| \| \| \| [4] \| \| \| \| \| \| \| \| UK Net Bilateral ODA \| 6,351 \| 4,668 \| -4,756 \| -13,397 \| - \| \| \| of which Humanitarian Assistance \| - \| - \| - \| - \| - \| \| \| Percentage of Total Net Bilateral ODA \| 0.13 \| 0.09 \| -0.09 \| -0.24 \| - \| \| \| Timor-Leste \| \| \| \| \| \| \| \| [1], [6] \| \| \| \| \| \| \| \| UK Net Bilateral ODA \| 70 \| - \| 46 \| 131 \| - \| \| \| of which Humanitarian Assistance \| - \| - \| - \| - \| - \| \| \| Percentage of Total Net Bilateral ODA \| 0.00 \| - \| 0.00 \| 0.00 \| - \| \| \| Turkmenistan \| UK Net Bilateral ODA \| 218 \| 39 \| 92 \| 416 \| - \| \| of which Humanitarian Assistance \| - \| - \| - \| - \| - \| \| \| Percentage of Total Net Bilateral ODA \| 0.00 \| 0.00 \| 0.00 \| 0.01 \| - \| \| \| Uzbekistan \| UK Net Bilateral ODA \| 1,178 \| 796 \| 524 \| 1 636 \| - \| \| of which Humanitarian Assistance \| - \| - \| - \| - \| \| \| \| - \| \| \| \| \| \| \| \| Percentage of Total Net Bilateral ODA \| 0.02 \| 0.02 \| 0.01 \| 0.03 \| - \| \| \| Vietnam \| UK Net Bilateral ODA \| 60,044 \| 53,225 \| 21,832 \| 51,664 \| 19,987 \| \| of which Humanitarian Assistance \| - \| - \| - \| - \| - \| \| \| Percentage of Total Net Bilateral ODA \| 1.27 \| 1.03 \| 0.41 \| 0.94 \| 0.30 \| \| \| UK Net Bilateral ODA \| 60,742 \| 63,215 \| 75,549 \| 42,884 \| 59,335 \| \| \| West Bank and \| \| \| \| \| \| \| \| Gaza Strip \| \| \| \| \| \| \| \| [3] \| \| \| \| \| \| \| \| of which Humanitarian Assistance \| 22,010 \| 7,537 \| 1,736 \| 1,508 \| 519 \| \| \| Percentage of Total Net Bilateral ODA \| 1.28 \| 1.22 \| 1.43 \| 0.78 \| 0.89 \| \| \| Yemen \| \| \| \| \| \| \| \| [1] \| \| \| \| \| \| \| \| UK Net Bilateral ODA \| 22,970 \| 41,388 \| 39,057 \| 39,555 \| 93,406 \| \| \| of which Humanitarian Assistance \| 1,684 \| 7,874 \| 16,446 \| 18,469 \| 36,457 \| \| \| Percentage of Total Net Bilateral ODA \| 0.49 \| 0.80 \| 0.74 \| 0.72 \| 1.40 \| \| \| 2009 \| \|---------\| \| [2] \| ## (Continued) \| \| £ thousands \| \|---------------------------------------\|----------------------\| \| Asia and Middle East Regional \| \| \| Middle East \| UK Net Bilateral ODA \| \| Regional \| \| \| of which Humanitarian Assistance \| - \| \| Percentage of Total Net Bilateral ODA \| 0.08 \| \| Asia Regional \| UK Net Bilateral ODA \| \| (includes South \| \| \| of which Humanitarian Assistance \| - \| \| Asia Regional) \| \| \| Percentage of Total Net Bilateral ODA \| 0.10 \| \| Rest of the World \| \| \| Albania \| UK Net Bilateral ODA \| \| of which Humanitarian Assistance \| - \| \| Percentage of Total Net Bilateral ODA \| 0.03 \| \| Anguilla \| UK Net Bilateral ODA \| \| of which Humanitarian Assistance \| 13 \| \| Percentage of Total Net Bilateral ODA \| 0.00 \| \| Antigua and \| UK Net Bilateral ODA \| \| Barbuda \| \| \| of which Humanitarian Assistance \| - \| \| Percentage of Total Net Bilateral ODA \| 0.00 \| \| Argentina \| \| \| [11] \| \| \| UK Net Bilateral ODA \| 634 \| \| of which Humanitarian Assistance \| - \| \| Percentage of Total Net Bilateral ODA \| 0.01 \| \| Barbados \| UK Net Bilateral ODA \| \| of which Humanitarian Assistance \| \| \| - \| - \| \| Percentage of Total Net Bilateral ODA \| 0.01 \| \| Belarus \| UK Net Bilateral ODA \| \| of which Humanitarian Assistance \| - \| \| Percentage of Total Net Bilateral ODA \| 0.01 \| \| Belize \| UK Net Bilateral ODA \| \| of which Humanitarian Assistance \| - \| \| Percentage of Total Net Bilateral ODA \| 0.00 \| \| Bolivia \| UK Net Bilateral ODA \| \| of which Humanitarian Assistance \| - \| \| Percentage of Total Net Bilateral ODA \| 0.01 \| \| Bosnia- \| UK Net Bilateral ODA \| \| Herzegovina \| \| \| of which Humanitarian Assistance \| - \| \| Percentage of Total Net Bilateral ODA \| 0.13 \| \| Brazil \| UK Net Bilateral ODA \| \| of which Humanitarian Assistance \| 6 \| \| Percentage of Total Net Bilateral ODA \| 0.18 \| \| Chile \| UK Net Bilateral ODA \| \| of which Humanitarian Assistance \| - \| \| Percentage of Total Net Bilateral ODA \| 0.01 \| \| Colombia \| UK Net Bilateral ODA \| \| of which Humanitarian Assistance \| \| \| - \| - \| \| Percentage of Total Net Bilateral ODA \| 0.10 \| \| Croatia \| UK Net Bilateral ODA \| \| of which Humanitarian Assistance \| - \| \| Percentage of Total Net Bilateral ODA \| 0.03 \| \| Costa Rica \| UK Net Bilateral ODA \| \| of which Humanitarian Assistance \| - \| \| Percentage of Total Net Bilateral ODA \| 0.03 \| \| Cuba \| UK Net Bilateral ODA \| \| of which Humanitarian Assistance \| 250 \| \| Percentage of Total Net Bilateral ODA \| 0.01 \| \| Dominica \| UK Net Bilateral ODA \| \| of which Humanitarian Assistance \| - \| \| Percentage of Total Net Bilateral ODA \| - \| \| 2009 \| \|---------\| \| [2] \| ## Table B.2: Total Uk Net Oda And Humanitarian Assistance By Recipient Country (Continued) \| \| \| \| \| \| \| £ thousands \| \|---------------------------------------\|----------------------\|---------\|--------\|--------\|--------\|----------------\| \| UK Net Bilateral ODA \| 64 \| 39 \| 96 \| 145 \| - \| Dominican \| \| Republic \| \| \| \| \| \| \| \| of which Humanitarian Assistance \| - \| 6 \| - \| - \| - \| \| \| Percentage of Total Net Bilateral ODA \| 0.00 \| 0.00 \| 0.00 \| 0.00 \| - \| \| \| Ecuador \| \| \| \| \| \| \| \| [4] \| \| \| \| \| \| \| \| UK Net Bilateral ODA \| -102 \| -19 \| 138 \| 340 \| - \| \| \| of which Humanitarian Assistance \| - \| - \| - \| - \| - \| \| \| Percentage of Total Net Bilateral ODA \| -0.00 \| -0.00 \| 0.00 \| 0.01 \| - \| \| \| El Salvador \| \| \| \| \| \| \| \| [4] \| \| \| \| \| \| \| \| UK Net Bilateral ODA \| 19 \| -31,611 \| 6 \| -82 \| - \| \| \| of which Humanitarian Assistance \| - \| - \| - \| - \| - \| \| \| Percentage of Total Net Bilateral ODA \| 0.00 \| -0.61 \| 0.00 \| -0.00 \| - \| \| \| Fiji \| UK Net Bilateral ODA \| 371 \| 343 \| 130 \| 667 \| - \| \| of which Humanitarian Assistance \| 6 \| 97 \| 6 \| 24 \| - \| \| \| Percentage of Total Net Bilateral ODA \| 0.01 \| 0.01 \| 0.00 \| 0.01 \| - \| \| \| Grenada \| UK Net Bilateral ODA \| 19 \| - \| 1 \| 11 \| - \| \| of which Humanitarian Assistance \| - \| - \| - \| - \| - \| \| \| Percentage of Total Net Bilateral ODA \| 0.00 \| - \| 0.00 \| 0.00 \| - \| \| \| Guatemala \| UK Net Bilateral ODA \| 461 \| 149 \| 58 \| 9,478 \| - \| \| of which Humanitarian Assistance \| - \| 97 \| - \| - \| - \| \| \| Percentage of Total Net Bilateral ODA \| 0.01 \| 0.00 \| 0.00 \| 0.17 \| - \| \| \| Guyana \| UK Net Bilateral ODA \| 1,376 \| 1,049 \| 367 \| 563 \| 0 \| \| of which Humanitarian Assistance \| - \| - \| - \| \| \| \| \| - \| - \| \| \| \| \| \| \| Percentage of Total Net Bilateral ODA \| 0.03 \| 0.02 \| 0.01 \| 0.01 \| 0.00 \| \| \| Haiti \| \| \| \| \| \| \| \| [1] \| \| \| \| \| \| \| \| UK Net Bilateral ODA \| 5,102 \| 16,945 \| 9,714 \| 3,264 \| 9,585 \| \| \| of which Humanitarian Assistance \| 5,083 \| 15,909 \| 6,723 \| 2,954 \| 9,585 \| \| \| Percentage of Total Net Bilateral ODA \| 0.11 \| 0.33 \| 0.18 \| 0.06 \| 0.14 \| \| \| Honduras \| UK Net Bilateral ODA \| 64 \| 16,356 \| 12 \| 6,875 \| - \| \| of which Humanitarian Assistance \| - \| - \| - \| - \| - \| \| \| Percentage of Total Net Bilateral ODA \| 0.00 \| 0.32 \| 0.00 \| 0.12 \| - \| \| \| Jamaica \| UK Net Bilateral ODA \| 5,307 \| 2,538 \| 6,446 \| 8,979 \| 5,690 \| \| of which Humanitarian Assistance \| - \| - \| - \| - \| - \| \| \| Percentage of Total Net Bilateral ODA \| 0.11 \| 0.05 \| 0.12 \| 0.16 \| 0.09 \| \| \| Kiribati \| \| \| \| \| \| \| \| [1] \| \| \| \| \| \| \| \| UK Net Bilateral ODA \| 19 \| 39 \| 16 \| 17 \| - \| \| \| of which Humanitarian Assistance \| - \| - \| - \| - \| - \| \| \| Percentage of Total Net Bilateral ODA \| 0.00 \| 0.00 \| 0.00 \| 0.00 \| - \| \| \| Kosovo \| UK Net Bilateral ODA \| 7,535 \| 6,145 \| 7,607 \| 10,291 \| 181 \| \| of which Humanitarian Assistance \| - \| - \| - \| - \| - \| \| \| Percentage of Total Net Bilateral ODA \| 0.16 \| 0.12 \| 0.14 \| 0.19 \| 0.00 \| \| \| UK Net Bilateral ODA \| 1,248 \| 745 \| 620 \| 1,373 \| - \| Macedonia \| \| (FYR of) \| \| \| \| \| \| \| \| of which Humanitarian Assistance \| - \| - \| - \| 13 \| - \| \| \| Percentage of Total Net Bilateral ODA \| 0.03 \| 0.01 \| 0.01 \| 0.02 \| - \| \| \| Marshall Islands UK Net Bilateral ODA \| - \| - \| - \| 5 \| - \| \| \| of which Humanitarian Assistance \| - \| - \| - \| - \| \| \| \| - \| \| \| \| \| \| \| \| Percentage of Total Net Bilateral ODA \| - \| - \| - \| 0.00 \| - \| \| \| Mexico \| UK Net Bilateral ODA \| 7,452 \| 6,093 \| 3,590 \| 3,713 \| - \| \| of which Humanitarian Assistance \| - \| - \| - \| - \| - \| \| \| Percentage of Total Net Bilateral ODA \| 0.16 \| 0.12 \| 0.07 \| 0.07 \| - \| \| \| Moldova \| UK Net Bilateral ODA \| 2,061 \| 9,363 \| 1,516 \| 1,181 \| - \| \| of which Humanitarian Assistance \| - \| 45 \| - \| - \| - \| \| \| Percentage of Total Net Bilateral ODA \| 0.04 \| 0.18 \| 0.03 \| 0.02 \| - \| \| \| Montenegro \| UK Net Bilateral ODA \| 294 \| 134 \| 203 \| 488 \| - \| \| of which Humanitarian Assistance \| - \| - \| - \| - \| - \| \| \| Percentage of Total Net Bilateral ODA \| 0.01 \| 0.00 \| 0.00 \| 0.01 \| - \| \| \| Montserrat \| UK Net Bilateral ODA \| 23,860 \| 10,736 \| 27,744 \| 21,265 \| 30,629 \| \| of which Humanitarian Assistance \| 38 \| 91 \| - \| 587 \| - \| \| \| Percentage of Total Net Bilateral ODA \| 0.50 \| 0.21 \| 0.52 \| 0.38 \| 0.46 \| \| \| Nauru \| UK Net Bilateral ODA \| - \| 6 \| - \| - \| - \| \| of which Humanitarian Assistance \| - \| - \| - \| - \| - \| \| \| Percentage of Total Net Bilateral ODA \| - \| 0.00 \| - \| - \| - \| \| \| 2009 \| \|---------\| \| [2] \| ## Table B.2: Total Uk Net Oda And Humanitarian Assistance By Recipient Country (Continued) \| \| \| \| \| \| \| £ thousands \| \|---------------------------------------\|----------------------\|-------\|-------\|-------\|--------\|----------------\| \| Nicaragua \| UK Net Bilateral ODA \| 4,520 \| 4,694 \| 18 \| 11,404 \| - \| \| of which Humanitarian Assistance \| 391 \| - \| - \| - \| - \| \| \| Percentage of Total Net Bilateral ODA \| 0.10 \| 0.09 \| 0.00 \| 0.21 \| - \| \| \| Palau \| UK Net Bilateral ODA \| - \| 13 \| - \| - \| - \| \| of which Humanitarian Assistance \| - \| - \| - \| - \| - \| \| \| Percentage of Total Net Bilateral ODA \| - \| 0.00 \| - \| - \| - \| \| \| Panama \| UK Net Bilateral ODA \| 45 \| 26 \| 123 \| 434 \| - \| \| of which Humanitarian Assistance \| - \| - \| - \| 10 \| - \| \| \| Percentage of Total Net Bilateral ODA \| 0.00 \| 0.00 \| 0.00 \| 0.01 \| - \| \| \| UK Net Bilateral ODA \| 627 \| 667 \| -200 \| 1,328 \| - \| \| \| Papua New \| \| \| \| \| \| \| \| Guinea \| \| \| \| \| \| \| \| [4] \| \| \| \| \| \| \| \| of which Humanitarian Assistance \| - \| - \| - \| - \| - \| \| \| Percentage of Total Net Bilateral ODA \| 0.01 \| 0.01 \| -0.00 \| 0.02 \| - \| \| \| Paraguay \| UK Net Bilateral ODA \| 26 \| 6 \| 29 \| 76 \| - \| \| of which Humanitarian Assistance \| - \| - \| - \| - \| - \| \| \| Percentage of Total Net Bilateral ODA \| 0.00 \| 0.00 \| 0.00 \| 0.00 \| - \| \| \| Peru \| UK Net Bilateral ODA \| 685 \| 822 \| 372 \| 2,717 \| - \| \| of which Humanitarian Assistance \| - \| - \| - \| - \| - \| \| \| Percentage of Total Net Bilateral ODA \| 0.01 \| 0.02 \| 0.01 \| 0.05 \| - \| \| \| Samoa \| \| \| \| \| \| \| \| [1] \| \| \| \| \| \| \| \| UK Net Bilateral ODA \| 115 \| 149 \| 254 \| - \| 166 \| \| \| of which Humanitarian Assistance \| - \| - \| - \| - \| - \| \| \| Percentage of Total Net Bilateral ODA \| 0.00 \| 0.00 \| 0.00 \| - \| 0.00 \| \| \| Serbia \| UK Net Bilateral ODA \| 4,942 \| 3,497 \| 1,517 \| 3,280 \| - \| \| of which Humanitarian Assistance \| - \| - \| - \| - \| - \| \| \| Percentage of Total Net Bilateral ODA \| 0.10 \| 0.07 \| 0.03 \| 0.06 \| - \| \| \| UK Net Bilateral ODA \| 147 \| 142 \| 116 \| 227 \| 150 \| \| \| Solomon \| \| \| \| \| \| \| \| Islands \| \| \| \| \| \| \| \| [1] \| \| \| \| \| \| \| \| of which Humanitarian Assistance \| - \| - \| - \| - \| 150 \| \| \| Percentage of Total Net Bilateral ODA \| 0.00 \| 0.00 \| 0.00 \| 0.00 \| 0.00 \| \| \| UK Net Bilateral ODA \| 1 \| - \| 0 \| 2,354 \| - \| St Kitts and \| \| Nevis \| \| \| \| \| \| \| \| of which Humanitarian Assistance \| - \| - \| - \| - \| - \| \| \| Percentage of Total Net Bilateral ODA \| 0.00 \| - \| 0.00 \| 0.04 \| - \| \| \| St Lucia \| UK Net Bilateral ODA \| 6 \| 13 \| 230 \| 161 \| - \| \| of which Humanitarian Assistance \| - \| - \| 209 \| - \| \| \| \| Percentage of Total Net Bilateral ODA \| 0.00 \| 0.00 \| 0.00 \| 0.00 \| - \| \| \| UK Net Bilateral ODA \| - \| 13 \| 27 \| 48 \| - \| St Vincent and \| \| the Grenadines \| \| \| \| \| \| \| \| of which Humanitarian Assistance \| - \| - \| - \| - \| - \| \| \| Percentage of Total Net Bilateral ODA \| - \| 0.00 \| 0.00 \| 0.00 \| - \| \| \| Tonga \| UK Net Bilateral ODA \| 6 \| 97 \| 21 \| 19 \| - \| \| of which Humanitarian Assistance \| - \| - \| - \| - \| - \| \| \| Percentage of Total Net Bilateral ODA \| 0.00 \| 0.00 \| 0.00 \| 0.00 \| - \| \| \| UK Net Bilateral ODA \| 282 \| 155 \| - \| - \| - \| Trinidad and \| \| Tobago \| \| \| \| \| \| \| \| of which Humanitarian Assistance \| - \| - \| - \| - \| - \| \| \| Percentage of Total Net Bilateral ODA \| 0.01 \| 0.00 \| - \| - \| - \| \| \| Turkey \| UK Net Bilateral ODA \| 1,428 \| 2,428 \| 3,438 \| 8,617 \| - \| \| of which Humanitarian Assistance \| - \| - \| 215 \| 224 \| - \| \| \| Percentage of Total Net Bilateral ODA \| 0.03 \| 0.05 \| 0.07 \| 0.16 \| - \| \| \| Tuvalu \| \| \| \| \| \| \| \| [1] \| \| \| \| \| \| \| \| UK Net Bilateral ODA \| - \| 26 \| 31 \| 20 \| - \| \| \| of which Humanitarian Assistance \| - \| - \| - \| - \| - \| \| \| Percentage of Total Net Bilateral ODA \| - \| 0.00 \| 0.00 \| 0.00 \| - \| \| \| Ukraine \| UK Net Bilateral ODA \| 1,517 \| 544 \| 829 \| 3,041 \| - \| \| of which Humanitarian Assistance \| - \| - \| - \| - \| - \| \| \| Percentage of Total Net Bilateral ODA \| 0.03 \| 0.01 \| 0.02 \| 0.06 \| - \| \| \| Uruguay \| UK Net Bilateral ODA \| 26 \| 45 \| 59 \| 123 \| - \| \| of which Humanitarian Assistance \| - \| - \| - \| 7 \| - \| \| \| Percentage of Total Net Bilateral ODA \| 0.00 \| 0.00 \| 0.00 \| 0.00 \| - \| \| \| Vanuatu \| \| \| \| \| \| \| \| [1] \| \| \| \| \| \| \| \| UK Net Bilateral ODA \| 64 \| 58 \| 67 \| 20 \| 44 \| \| \| of which Humanitarian Assistance \| - \| - \| - \| - \| - \| \| \| Percentage of Total Net Bilateral ODA \| 0.00 \| 0.00 \| 0.00 \| 0.00 \| 0.00 \| \| \| 2009 \| \|---------\| \| [2] \| \| \| ## (Continued) \| \| \| \| \| £ thousands \| \|--------------------------------------------------\|----------------------\|----------------------\|-----------\|----------------\| \| 2009 \| 2010 \| 2011 \| 2012 \| 2013 \| \| [2] \| \| \| \| \| \| Venezuela \| UK Net Bilateral ODA \| 1,383 \| 706 \| 487 \| \| of which Humanitarian Assistance \| - \| - \| 14 \| 9 \| \| Percentage of Total Net Bilateral ODA \| 0.03 \| 0.01 \| 0.01 \| 0.02 \| \| Rest of the World Regional \| \| \| \| \| \| Nor \| th and \| UK Net Bilateral ODA \| 851 \| 304 \| \| Central America of which Humanitarian Assistance \| \| \| \| \| \| - \| - \| - \| - \| - \| \| Regional \| \| \| \| \| \| Percentage of Total Net Bilateral ODA \| 0.02 \| 0.01 \| 0.07 \| 0.03 \| \| West Indies \| \| \| \| \| \| UK Net Bilateral ODA \| 12,145 \| 16,136 \| 13,363 \| 11,190 \| \| Regional \| \| \| \| \| \| [9] \| \| \| \| \| \| of which Humanitarian Assistance \| -1,761 \| 803 \| 100 \| 66 \| \| Percentage of Total Net Bilateral ODA \| 0.26 \| 0.31 \| 0.25 \| 0.20 \| \| Americas \| UK Net Bilateral ODA \| - \| 6,333 \| 89 \| \| Regional \| \| \| \| \| \| of which Humanitarian Assistance \| - \| - \| - \| - \| \| Percentage of Total Net Bilateral ODA \| - \| 0.12 \| 0.00 \| 0.00 \| \| Europe Regional UK Net Bilateral ODA \| 2,561 \| 6,106 \| 131 \| 139 \| \| of which Humanitarian Assistance \| - \| - \| - \| - \| \| Percentage of Total Net Bilateral ODA \| 0.05 \| 0.12 \| 0.00 \| 0.00 \| \| Oceania \| UK Net Bilateral ODA \| 2,362 \| 2,959 \| 2,045 \| \| Regional \| \| \| \| \| \| of which Humanitarian Assistance \| 102 \| - \| - \| - \| \| Percentage of Total Net Bilateral ODA \| 0.05 \| 0.06 \| 0.04 \| 0.06 \| \| Total Africa \| UK Net Bilateral ODA \| 1,789,442 \| 1,991,348 \| 2,126,292 \| \| Percentage of Total Net Bilateral ODA \| 37.82 \| 38.36 \| 40.23 \| 39.35 \| \| Percentage of Gross National Income \| 0.12 \| 0.13 \| 0.14 \| 0.14 \| \| Total Asia \| UK Net Bilateral ODA \| 1,383,930 \| 1,334,164 \| 1,339,085 \| \| Percentage of Total Net Bilateral ODA \| 29.25 \| 25.70 \| 25.33 \| 24.85 \| \| Percentage of Gross National Income \| 0.10 \| 0.09 \| 0.09 \| 0.09 \| \| \| \| \| \| \| \| Total Rest of \| UK Net Bilateral ODA \| 115,419 \| 122,759 \| 123,922 \| \| the World \| \| \| \| \| \| Percentage of Total Net Bilateral ODA \| 2.44 \| 2.36 \| 2.34 \| 3.64 \| \| Percentage of Gross National Income \| 0.01 \| 0.01 \| 0.01 \| 0.01 \| \| Unspecified \| \| \| \| \| \| UK Net Bilateral ODA \| 1,443,286 \| 1,742,604 \| 1,696,489 \| 1,776,137 \| \| Region \| \| \| \| \| \| [3] \| \| \| \| \| \| Percentage of Total Net Bilateral ODA \| 30.50 \| 33.57 \| 32.10 \| 32.16 \| \| Percentage of Gross National Income \| 0.10 \| 0.12 \| 0.11 \| 0.11 \| \| TOTAL UK NET UK Net Bilateral ODA \| 4,732,077 \| 5,190,875 \| 5,285,789 \| 5,523,660 \| \| BILATERAL \| \| \| \| \| \| Percentage of Total Net Bilateral ODA \| 100 \| 100 \| 100 \| 100 \| \| \| \| \| \| \| \| \| \| \| \| \| \| ODA \| \| \| \| \| \| Percentage of Gross National Income \| 0.33 \| 0.35 \| 0.34 \| 0.36 \| \| LOW INCOME \| \| \| \| \| \| UK Net Bilateral ODA \| 1,804,540 \| 1,832,111 \| 2,240,917 \| 2,172,324 \| \| COUNTRIES \| \| \| \| \| \| [2] \| \| \| \| \| \| Percentage of Total Net Bilateral ODA \| 38.13 \| 35.30 \| 42.40 \| 39.33 \| \| Percentage of Gross National Income \| 0.13 \| 0.12 \| 0.15 \| 0.14 \| \| TOTAL UK NET UK Net Multilateral ODA \| 2,491,069 \| 3,260,959 \| 3,342,828 \| 3,241,840 \| \| \| \| \| \| \| \| MULTILATERAL \| \| \| \| \| \| ODA \| \| \| \| \| \| Percentage of Gross National Income \| 0.18 \| 0.22 \| 0.22 \| 0.21 \| ## Key - Nil [1] Income groups are classified using 2012 GNI per capita thresholds. Low income countries are based on those with a GNI per capita in 2012 of US$1,035 or less. Figures for previous years have been revised on this basis. [2] Data for 2013 is provisional and final figures will be published later in the year in Statistics on International Development (SID) 2014. [3] These figures include spend from other government departments which have not yet been broken down by country. Final data will have less 'Unspecified Region' ODA, therefore comparisons with previous year's statistics should be made with caution. [4] ODA can be negative as it is repor ted net of any inflows. Percentages were not previously shown when net ODA was negative. In this table, they have been shown to ensure that percentages total 100%. [5] In previous Annual Reports this was labelled as Burma. This has been changed to align with DAC repor ting. [6] In previous Annual Reports this was labelled as East Timor. This has been changed to align with DAC repor ting. [7] In previous Annual Reports this was labelled as Kyrgyzstan. This has been changed to align with DAC reporting. [8] In previous Annual Reports these countries were reported under Rest of the World. They are now being repor ted under Asia to align with DAC repor ting. [9] In previous Annual Reports this was repor ted under Caribbean Regional. This has been changed to align with DAC repor ting. [10] In previous Annual Reports this was labelled as Libyan Arab Republic. This has been changed to align with DAC repor ting. [11] In previous Annual Reports this was labelled as Argentine Republic. This has been changed to align with DAC repor ting. £ thousands Sector description 2009 2010 2011 2012 2013[2] Social Infrastructure and Services Education 523,321 486,350 652,627 632,140 797,431 Health 393,393 452,243 555,495 654,090 906,735 Population policies/programmes and reproductive 303,602 333,604 387,671 424,524 373,010 health Water supply and sanitation 73,183 101,616 106,329 107,735 136,358 Government and civil society 761,568 734,528 813,835 793,721 670,395 Other social infrastructure and services 204,053 260,949 236,178 210,226 310,163 Economic Infrastructure and Services Transport and storage 90,284 115,836 93,200 170,427 146,154 Communications 47,629 72,899 59,768 21,584 2,377 Energy 51,782 86,461 160,088 291,420 74,092 Banking and financial services 450,989 127,669 150,657 155,691 97,373 Business and other services 18,010 35,806 31,305 30,854 51,463 Production sectors Agriculture, forestry and fishing 91,748 98,991 142,044 182,734 141,138 Industry, mining and construction 22,428 101,766 99,538 51,459 35,803 Trade policies and regulations 47,321 135,108 48,055 60,298 55,611 Tourism 807 10,497 3,002 1,745 962 Multi-sector/cross cutting General environmental protection 360,117 577,807 123,565 286,360 270,256 Other multi-sector 102,422 247,077 229,610 210,288 301,384 Non-sector allocable General budget suppor t 346,086 420,637 278,966 220,033 135,080 Developmental food aid/food security assistance 9,224 107,001 94,908 65,555 94,017 Action relating to debt 27,266 106,062 113,914 70,958 7,426 Humanitarian assistance 484,464 369,243 439,505 426,250 824,135 Administrative costs of donors 254,186 237,811 286,146 333,254 245,272 Suppor t to non-governmental organisations 207,000 108,812 263,044 246,738 205,176 Refugees in donor countries 7,355 11,700 19,527 28,370 - Non-sector allocable 3 58,665 75,278 109,624 47,742 1,080,731 Total UK gross bilateral ODA 4,936,903 5,415,753 5,498,600 5,724,194 6,962,544 ## Key - Nil [1] DFID projects can be allocated up to eight input sector codes. In this table, only the largest contributing input sector code per project is included. This is in line with OECD DAC Statistical Repor ting Directives. [2] 2013 figures are provisional. Final ODA will be published in Statistics on International Development 2014 in October. [3] These figures include some spend from other government depar tments which has not yet been broken down by sector. Final data will have less 'Non-sector allocable' ODA therefore comparisons with previous year's statistics should be made with caution. \| Country \| 2008 \| 2009 \| 2010 \| 2011 \| 2012 \| \|----------------------\|---------\|---------\|---------\|---------\|---------\| \| Afghanistan \| 26,754 \| 42,331 \| 55,968 \| 68,387 \| 40,186 \| \| Albania \| 11,447 \| 8,416 \| 12,912 \| - \| - \| \| Algeria \| 1,658 \| 5,994 \| 10,173 \| - \| - \| \| Angola \| 13,407 \| 2,266 \| 10,845 \| 16,662 \| 8,518 \| \| Anguilla \| - \| \| - \| \| - \| \| Antigua and Barbuda \| - \| 476 \| 1,313 \| - \| 45 \| \| Argentina \| 1,216 \| 1,698 \| 3,662 \| 2,025 \| 6,473 \| \| Armenia \| 4,281 \| 13,284 \| 4,898 \| 9,794 \| 11,582 \| \| Azerbaijan \| 8,814 \| 4,975 \| 7,269 \| - \| - \| \| Bangladesh \| 91,874 \| 23,928 \| 79,981 \| 259,868 \| 64,419 \| \| Barbados \| 897 \| 256 \| 2,196 \| - \| - \| \| Belarus \| 1,481 \| 1,904 \| 3,768 \| 3,407 \| 3,216 \| \| Belize \| 932 \| 2,831 \| 3,514 \| - \| - \| \| Benin \| 16,644 \| 13,450 \| 25,873 \| 23,902 \| 17,656 \| \| Bhutan \| 668 \| 1,020 \| 4,437 \| 1,719 \| 4,183 \| \| Bolivia \| 4,198 \| 7,059 \| 7,950 \| 27,229 \| 9,250 \| \| Bosnia-Herzegovina \| 9,020 \| 11,900 \| 23,015 \| - \| - \| \| Botswana \| 927 \| 7,520 \| 1,865 \| 1,732 \| 1,647 \| \| Brazil \| 2,786 \| 3,944 \| 3,492 \| 4,606 \| 17,595 \| \| Burkina Faso \| 49,385 \| 18,167 \| 36,099 \| 54,404 \| 31,563 \| \| Burundi \| 13,564 \| 13,926 \| 16,800 \| 25,075 \| 20,848 \| \| Cambodia \| \| \| \| \| \| \| 9,654 \| 4,182 \| 21,200 \| 9,372 \| 5,976 \| \| \| Cameroon \| 17,156 \| 19,607 \| 25,182 \| 20,782 \| 21,925 \| \| Cape Verde \| 7,796 \| 2,191 \| 3,966 \| 2,502 \| 3,701 \| \| Central African Rep. \| 6,104 \| 12,153 \| 10,125 \| 10,712 \| 15,458 \| \| Chad \| 7,413 \| 11,589 \| 22,484 \| 28,472 \| 17,208 \| \| Chile \| 765 \| 220 \| 1,473 \| 276 \| 784 \| \| China \| 13,470 \| 21,768 \| 24,503 \| - \| - \| \| Colombia \| 4,413 \| 3,354 \| 11,575 \| - \| - \| \| Comoros \| 780 \| 3,544 \| 2,472 \| 763 \| 2,870 \| \| Congo, Dem. Rep. \| 41,012 \| 63,825 \| 88,195 \| 107,769 \| 69,989 \| \| Congo, Rep. \| 8,190 \| 3,246 \| 6,429 \| 6,854 \| 6,094 \| \| Cook Islands \| 38 \| 105 \| 53 \| 86 \| 11 \| \| Costa Rica \| 939 \| 886 \| 1,613 \| 3,489 \| 628 \| \| Cote d'Ivoire \| 30,196 \| 21,939 \| 21,432 \| - \| - \| \| Croatia \| 14,893 \| 15,754 \| 21,283 \| - \| - \| \| Cuba \| 500 \| 4,334 \| 2,030 \| 1,814 \| 1,461 \| \| Djibouti \| 2,558 \| 713 \| 2,331 \| 2,746 \| 5,809 \| \| Dominica \| 466 \| 6 \| 778 \| 6 \| 1,707 \| \| Dominican Republic \| 1,628 \| 4,549 \| 14,744 \| - \| - \| \| Ecuador \| 5,377 \| 4,191 \| 2,148 \| - \| - \| \| Egypt \| 16,005 \| 17,327 \| 29,033 \| 17,247 \| 48,161 \| \| El Salvador \| 665 \| 5,938 \| 4,866 \| 7,422 \| 335 \| \| Equatorial Guinea \| 296 \| 491 \| \| \| \| \| 134 \| 159 \| 277 \| \| \| \| \| Eritrea \| 3,035 \| 9,005 \| 5,380 \| 5,993 \| 2,948 \| \| Ethiopia \| 65,418 \| 70,522 \| 105,665 \| 74,259 \| 188,474 \| \| Fiji \| 2,301 \| 564 \| 1,992 \| - \| - \| \| Gabon \| 509 \| 1,286 \| 2,585 \| 1,778 \| 746 \| \| Gambia \| 980 \| 2,070 \| 7,945 \| 7,134 \| 10,945 \| \| Georgia \| 21,583 \| 20,044 \| 18,583 \| 15,130 \| 34,896 \| \| Ghana \| 57,678 \| 35,418 \| 52,059 \| - \| - \| \| Grenada \| 437 \| 797 \| 745 \| 1,843 \| 1,406 \| \| Guatemala \| 2,360 \| 5,008 \| 4,888 \| 7,037 \| 2,246 \| £ thousands \| Country \| 2008 \| 2009 \| 2010 \| 2011 \| 2012 \| \|----------------------------\|---------\|---------\|---------\|---------\|---------\| \| Guinea \| 1,901 \| 1,645 \| 2,684 \| 26,179 \| 8,821 \| \| Guinea-Bissau \| 3,886 \| 4,054 \| 4,761 \| 2,651 \| 968 \| \| Guyana \| 2,584 \| 2,810 \| 4,865 \| 6,949 \| 2,212 \| \| Haiti \| 9,233 \| 35,598 \| 43,543 \| 35,356 \| 17,497 \| \| Honduras \| 12,904 \| 2,917 \| 11,633 \| 19,345 \| 10,486 \| \| India \| 78,593 \| 33,085 \| 273,161 \| 222,879 \| 122,792 \| \| Indonesia \| 26,011 \| 23,989 \| 17,359 \| 11,026 \| 10,585 \| \| Iran \| 2,179 \| 1,110 \| 2,057 \| - \| - \| \| Iraq \| 14,887 \| 7,276 \| 6,202 \| 4,196 \| 5,808 \| \| Jamaica \| 8,872 \| 2,614 \| 7,314 \| 7,512 \| 1,332 \| \| Jordan \| 9,140 \| 7,929 \| 10,911 \| - \| - \| \| Kazakhstan \| 1,736 \| 1,677 \| 5,190 \| 2,396 \| 2,607 \| \| Kenya \| 5,229 \| 46,288 \| 67,636 \| 84,680 \| 150,253 \| \| Kiribati \| 76 \| 582 \| 708 \| 3,700 \| 596 \| \| Korea, Dem. Rep. \| 993 \| 1,211 \| 4,832 \| 1,832 \| 2,097 \| \| Kosovo \| - \| 25,302 \| 24,135 \| 31,342 \| 15,371 \| \| Kyrgyz Republic \| 6,095 \| 4,871 \| 11,716 \| 13,936 \| 8,108 \| \| Laos \| 6,091 \| 2,662 \| 11,248 \| 8,189 \| 8,747 \| \| Lebanon \| 9,750 \| 5,440 \| 7,859 \| 7,996 \| 16,686 \| \| Lesotho \| 3,832 \| 4,236 \| 14,246 \| 12,515 \| 1,282 \| \| Liberia \| 8,350 \| 16,528 \| 17,005 \| 22,434 \| 23,903 \| \| Libya \| \| \| \| \| \| \| 734 \| 70 \| 1,833 \| 4,168 \| 3,361 \| \| \| Macedonia, FYR \| 6,411 \| 8,897 \| 13,538 \| - \| - \| \| Madagascar \| 54,261 \| 2,439 \| 11,328 \| 7,608 \| 31,593 \| \| Malawi \| 15,288 \| 27,200 \| 40,549 \| 32,585 \| 63,731 \| \| Malaysia \| 1,058 \| 363 \| 1,556 \| 472 \| 1,517 \| \| Maldives \| 1,366 \| 726 \| 1,478 \| - \| - \| \| Mali \| 41,086 \| 25,794 \| 14,640 \| 33,093 \| 7,251 \| \| Marshall Islands \| 42 \| 496 \| 128 \| 4 \| 4 \| \| Mauritania \| 2,395 \| 595 \| 4,721 \| 10,834 \| 5,431 \| \| Mauritius \| 5,239 \| 12,090 \| 2,128 \| 8,550 \| 5,496 \| \| Mexico \| 2,239 \| 1,837 \| 5,967 \| 950 \| 4,932 \| \| Micronesia, Federal States \| 62 \| 821 \| - \| 10 \| 16 \| \| Moldova \| 9,849 \| 9,335 \| 38,444 \| 17,881 \| 25,840 \| \| Mongolia \| 1,603 \| 2,222 \| 6,488 \| 5,779 \| 2,458 \| \| Montenegro \| 2,832 \| 3,596 \| 4,817 \| 4,113 \| 4,421 \| \| Montserrat \| - \| 2 \| 6 \| - \| 1,096 \| \| Morocco \| 24,801 \| 17,064 \| 23,527 \| 21,631 \| 70,494 \| \| Mozambique \| 53,544 \| 12,757 \| 41,569 \| 49,446 \| 34,565 \| \| Myanmar \| 5,931 \| 4,998 \| 13,113 \| 6,952 \| 21,377 \| \| Namibia \| 3,107 \| 563 \| 14,384 \| - \| - \| \| Nauru \| 17 \| 278 \| - \| 67 \| 6 \| \| Nepal \| 11,737 \| 14,091 \| 27,723 \| 36,613 \| 30,973 \| \| Nicaragua \| 7,568 \| 5,185 \| \| \| \| \| 8,077 \| 9,200 \| 7,472 \| \| \| \| \| Niger \| 31,424 \| 5,599 \| 16,213 \| 40,241 \| 35,862 \| \| Nigeria \| 57,596 \| 81,790 \| 52,330 \| - \| - \| \| Niue \| - \| 372 \| 3 \| - \| - \| \| Oman \| 35 \| 23 \| 20 \| - \| - \| \| Pakistan \| 21,854 \| 94,459 \| 69,800 \| - \| - \| \| Palau \| 21 \| 274 \| - \| 1 \| 4 \| \| Panama \| 288 \| 1,473 \| 241 \| 625 \| 318 \| £ thousands \| Country \| 2008 \| 2009 \| 2010 \| 2011 \| 2012 \| \|-------------------------------\|---------\|---------\|---------\|---------\|---------\| \| Papua New Guinea \| 2,710 \| 3,096 \| 9,731 \| - \| - \| \| Paraguay \| 5,936 \| 602 \| 1,823 \| 4,356 \| 882 \| \| Peru \| 1,236 \| 9,103 \| 2,694 \| - \| - \| \| Philippines \| 5,140 \| 8,728 \| 13,079 \| 4,588 \| 9,967 \| \| Rwanda \| 27,004 \| 21,655 \| 46,524 \| 40,600 \| 30,769 \| \| Samoa \| 608 \| 1,911 \| 3,806 \| 2,054 \| 1,975 \| \| Sao Tome and Principe \| 729 \| 1,923 \| 342 \| 3,408 \| 972 \| \| Senegal \| 24,289 \| 18,644 \| 19,179 \| 27,237 \| 23,541 \| \| Serbia \| 43,646 \| 46,061 \| 28,945 \| 24,493 \| 59,458 \| \| Seychelles \| 28 \| 2,144 \| 231 \| 85 \| 953 \| \| Sierra Leone \| 10,092 \| 5,114 \| 21,642 \| 18,612 \| 13,931 \| \| Solomon Islands \| 269 \| 1,217 \| 3,793 \| 561 \| 1,240 \| \| Somalia \| 12,953 \| 9,603 \| 8,746 \| 27,195 \| 16,217 \| \| South Africa \| 14,685 \| 14,811 \| 29,147 \| 26,247 \| 17,241 \| \| Sri Lanka \| 18,694 \| 13,094 \| 17,795 \| 31,398 \| 3,696 \| \| St Helena \| - \| - \| - \| 2,087 \| - \| \| St Kitts and Nevis \| 788 \| 1,318 \| 2,811 \| - \| 1,122 \| \| St Lucia \| 816 \| 124 \| 513 \| 2,782 \| 2,595 \| \| St Vincent and the Grenadines \| 368 \| 202 \| 990 \| 1,466 \| 1,252 \| \| Sudan \| 24,898 \| 14,520 \| 27,805 \| 46,427 \| 14,423 \| \| Suriname \| 349 \| 2,013 \| 389 \| 950 \| 685 \| \| Swaziland \| \| \| \| \| \| \| 3,776 \| 3,269 \| 5,015 \| 12,543 \| 1,775 \| \| \| Syria \| 3,165 \| 5,840 \| 9,810 \| 1,803 \| 18,533 \| \| Tajikistan \| 3221 \| 4,587 \| 11,247 \| 4,625 \| 10,096 \| \| Tanzania \| 55,505 \| 86,433 \| 87,596 \| 78,524 \| 78,629 \| \| Thailand \| 2,402 \| 4,159 \| 3,741 \| - \| - \| \| Timor-Leste \| 1,820 \| 1,299 \| 7,537 \| 5,836 \| 3,903 \| \| Togo \| 11,912 \| 7,485 \| 15,136 \| 17,607 \| 10,602 \| \| Tokelau \| - \| 13 \| \| 9 \| 2 \| \| Tonga \| 266 \| 198 \| 1,462 \| 4,595 \| 900 \| \| Trinidad and Tobago \| 1,032 \| 1,222 \| 4,826 \| - \| - \| \| Tunisia \| 11,579 \| 9,460 \| 13,083 \| - \| - \| \| Turkey \| 165,710 \| 58,526 \| 95,661 \| 99,419 \| 211,152 \| \| Turkmenistan \| 799 \| 127 \| 2,718 \| 874 \| 441 \| \| Tuvalu \| 50 \| 507 \| 219 \| 1,841 \| 180 \| \| Uganda \| 47,558 \| 42,388 \| 35,868 \| 38,633 \| 44,048 \| \| Ukraine \| 14,968 \| 19,372 \| 22,349 \| 29,584 \| 40,605 \| \| Uruguay \| 407 \| 187 \| 233 \| 1,141 \| 1,315 \| \| Uzbekistan \| 5,042 \| 7,993 \| 9,252 \| - \| - \| \| Vanuatu \| 110 \| 990 \| 60 \| 256 \| 280 \| \| Venezuela \| 1,338 \| 1,649 \| 467 \| 234 \| 320 \| \| Vietnam \| 69,623 \| 55,770 \| 87,161 \| - \| - \| \| West Bank and Gaza \| 54,113 \| 67,369 \| 77,309 \| 78,895 \| 50,691 \| \| Yemen \| 9,792 \| 12,015 \| \| \| \| \| 21,851 \| 11,966 \| 14,128 \| \| \| \| \| Yugoslavia, Sts Ex-Yugo. \| 25 \| - \| 233 \| - \| - \| \| Zambia \| 46,032 \| 10,563 \| 18,779 \| 38,019 \| 25,249 \| \| Zimbabwe \| 2,812 \| 7,519 \| 10,185 \| 7,141 \| 23,705 \| £ thousands ## (Continued) \| \| Region \| 2008 \| 2009 \| 2010 \| 2011 \| 2012 \| \|----------------------------------------------\|----------------------------------\|-----------\|-----------\|-----------\|-----------\|---------\| \| Nor \| th Africa, Regional \| 4,924 \| 24,134 \| 21,469 \| 15,831 \| 4,660 \| \| South of Sahara, Regional \| 42,224 \| 63,789 \| 42,212 \| 44,474 \| 53,471 \| \| \| Africa, Regional \| 1,201 \| 133,601 \| 38,581 \| 54,276 \| 95,847 \| \| \| Nor \| th and Central America, Regional \| 1,945 \| 6,243 \| 1,499 \| 1,957 \| 7,967 \| \| West Indies, Regional \| 52 \| 142 \| 4,210 \| 11,547 \| 5,769 \| \| \| South America, Regional \| 7,134 \| 3,482 \| 11,405 \| 6,815 \| 2,296 \| \| \| America, Regional \| 6,551 \| 17,334 \| 30,535 \| 21,932 \| 10,509 \| \| \| Middle East, Regional \| 1,040 \| 2,037 \| 7,234 \| 4,534 \| 2,825 \| \| \| Central Asia, Regional \| 2,822 \| 3,609 \| 3,866 \| 3,049 \| 4,619 \| \| \| South and Central Asia, Regional \| - \| 1,018 \| 2,702 \| 3,803 \| 1,951 \| \| \| South Asia, Regional \| 190 \| 450 \| 12 \| 40 \| 706 \| \| \| Far East, Regional \| - \| - \| 2,787 \| 9,923 \| 1,061 \| \| \| Asia, Regional \| 7,608 \| 33,410 \| 26,266 \| 51,341 \| 42,986 \| \| \| Europe, Regional \| 29,233 \| 43,002 \| 56,887 \| 61,583 \| 36,296 \| \| \| Oceania, Regional \| 504 \| 3,270 \| 7,391 \| 305 \| 3,883 \| \| \| Unspecified country/region \| \| \| \| \| \| \| \| Unspecified \| 315,291 \| 476,824 \| 521,020 \| 704,946 \| 779,094 \| \| \| Total net multilateral ODA \| 2,308,312 \| 2,516,372 \| 3,357,468 \| 3,342,828 \| 3,241,840 \| \| \| Low Income Countries \| \| \| \| \| \| \| \| Total imputed multilateral ODA to Low Income \| 890,552 \| 752,703 \| 1,184,484 \| 1,492,894 \| 1,274,270 \| \| \| Countries \| \| \| \| \| \| \| \| % of country specific total \| 47.2% \| 44.2% \| 45.9% \| 63.6% \| 58.2% \| \| \| Key \| \| \| \| \| \| \| \| - Nil \| \| \| \| \| \| \| [1] UK funding to multilateral organisations cannot be directly attributed to any country; the estimates above are imputed shares based on each multilateral's distribution of ODA and the UK's total core funding for each organisation. [2] ODA is defined as flows administered with the promotion of economic development and welfare of developing countries as their main objective, which are concessional in character and convey a grant element of at least 25%. Aid to countries on the DAC list of ODA recipients is eligible to be recorded as ODA. [3] Only some multilaterals provide the DAC with detailed information about their distribution of funds and the list of multilateral organisations that provide detailed information to the DAC may change from year to year. Assumptions have been made for other multilaterals recognised by the DAC and funding has been allocated to regions or 'unspecified country' if necessary. [4] Countries are defined as low income based on their Gross National Income (GNI) per head. In the table above countries are defined as low income if they have a GNI per capita of less than US$1,035 in 2012. Figures for previous years have been revised on this basis. ## £ thousands	en
2903-pdf	## The National Archives Gender Pay Gap Report 31 March 2018 In 2017, the Government introduced world-leading legislation that made it statutory for organisations with 250 or more employees to report annually on their gender pay gap. Government departments are covered by the Equality Act 2010 (Specific Duties and Public Authorities) Regulations 2017 that came into force on 31 March 2017. These regulations underpin the Public Sector Equality Duty and require relevant organisations to publish their gender pay gap by 30 March annually. This includes the mean and median gender pay gaps; the mean and median gender bonus gaps; the proportion of men and women who received bonuses; and the proportions of male and female employees in each pay quartile. The gender pay gap shows the difference in the average pay between all men and women in a workforce. If a workforce has a particularly high gender pay gap, this can indicate there may be a number of issues to deal with, and the individual calculations may help to identify what those issues are. The gender pay gap is different to equal pay. Equal pay deals with the pay differences between men and women who carry out the same jobs, similar jobs or work of equal value. It is unlawful to pay people unequally because they are a man or a woman. ## Difference In Hourly Rate Women's mean hourly rate is 0.80% lower than men's Women's median hourly rate is 4.94% higher than men's ## Proportion Of Women In Each Pay Quartile Who Received Bonus Pay ## Difference In Bonus Pay Women's mean bonus pay is 10.64% higher than men's Women's median bonus pay is 0% lower than men's ## What Our Data Shows The mean difference in hourly rate suggests that we have a gender pay gap in favour of men that is near zero and this is virtually unchanged on last year. The median difference indicates a larger gap in favour of women, and this has increased by 2.96% on last year. The proportion of women in each quartile helps to explain this. There are more men in the lowest quartile and there are more women in both the middle quartiles. This has the effect of increasing the middle or median value for women. Our lowest grade, in which roles are generally more physical in nature, is mostly undertaken by men. The mean bonus pay for women is higher than for men because a bonus was paid to a member of the Senior Civil Service. If this bonus were not paid, the mean difference in bonus pay would be 0%. ## Action We Are Taking The main factors we believe influence our relatively low gender pay gap are the availability of flexible working patterns, in particular those that do not have an impact on pay such as compressed hours and the ability to work from home. These are popular with those returning from maternity or with caring responsibilities. In addition, we operate 'blind recruitment' at the application stage and offer all roles with the option of flexible working to ensure an inclusive recruitment experience. We hold moderation meetings to guard against discrimination or favouritism and to help ensure all markings are fair and consistent. We are continuing to develop our diversity and inclusion training and awareness weeks and offer wellbeing initiatives throughout the year. Our Employee Assistance Programme, which is well used by our employees, gives advice and support on a range of issues and provides a professional counselling service.	en
0421-pdf	th ## Policies The Cps Have Implemented For Prosecutors Request What Policies Has The Cps Implemented That Have Encourage Prosecutors To Cherry Pick Cases (Such As Performance Targets) That Have Led Inevitably To A Detrimental Affect On The Course Of Justice (Over The Last 10 Years). Response The Crown Prosecution Service (Cps) Does Not Encourage Prosecutors To Cherry Pick Cases (Such As Performance Targets) That Have Led Inevitably To A Detrimental Effect On The Course Of Justice. All Charging Decisions Are Made In Accordance With The Same Two-Stage Test As Set Out In The Code For Crown Prosecutors: 1. Does the evidence provide a realistic prospect of conviction? and; 2. Is it in the public interest to prosecute? Information Management Unit 020 3357 0788 IMU@cps.gov.uk Crown Prosecution Service, Information Management Unit, Floor 8, 102 Petty France, London SW1H 9AJ	en
1293-pdf	BETTER ENVIRONMENT, BETTER HEALTH A GLA guide for London's Boroughs London Borough of Barking and Dagenham ## Copyright Greater London Authority November 2013 Published by Greater London Authority City Hall The Queen's Walk More London London SE1 2AA www.london.gov.uk enquiries 020 7983 4100 minicom 020 7983 4458 ISBN Photographs © Copies of this report are available from www.london.gov.uk ## Please Print And Circulate Widely Contents CONTENTS 1 FOREWORD 2 INTRODUCTION 3 GREEN SPACES 5 ACTIVE TRAVEL & TRANSPORT 8 SURFACE WATER FLOOD RISK 11 AIR QUALITY 14 HEALTHY FOOD 17 FUEL POVERTY 20 OVERHEATING 23 REFERENCES 27 FURTHER READING 30 PUBLIC HEALTH OUTCOMES FRAMEWORK 31 DATA APPENDIX 34 ACKNOWLEDGEMENTS 41 ## Foreword The Mayor's vision is for London to be the 'greatest city on earth' - this means making the city a great place for Londoners to live, relax, work and raise a family, whilst being attractive to investors. However there are significant inequalities in the health and quality of Londoners' lives. 2009-11 ONS figures show that average healthy life expectancy reduces by almost one year for every stop eastwards on the District Line between the boroughs of Richmond and Tower Hamlets - a difference of 18 years. The reasons for this are complex but the evidence points strongly to the important impact of the wider determinants of health. This inequality means some Londoners are unable to benefit from and contribute to the city's dynamism because of preventable health problems. The Mayor wants to ensure all Londoners have the chance to participate in what London has to offer. Furthermore, if we are to maintain and improve London's position as the attractive world city it is, we need to create a resilient city, able to deal with extreme weather events, and a city that offers a high quality of life with green spaces, a fantastic public realm and a pleasant, healthy environment. Local authorities have a unique role to play in achieving these goals, and with their new responsibilities for public health they have a new set of capabilities and levers for catalysing change. Better Environment, Better Health offers a bespoke guide to each of London's thirty three boroughs, describing the impact of seven wider environmental determinants of health on their specific populations and highlighting possible actions that could be taken to promote a better environment leading to better health and well-being, overall, for Londoners. For example we know that by encouraging walking and cycling we are not only helping to improve London's air quality but also cardiovascular health, whilst reducing levels of obesity. The guides demonstrate how such an approach can be taken on a range of issues, without necessarily adding to the financial burden on boroughs' already squeezed budgets, just by doing things differently. We hope you will find value in the guide and will use it to drive improvements locally to create strong environments which promote health and well-being, and are resilient. Finally, we would like to thank the project team for writing the guides and their drive in taking this project forward. Victoria Borwick Matthew Pencharz Deputy Mayor of London Senior Advisor for Environment and Mayoral Health Advisor and Energy ## Introduction What is likely to shape the health of our communities over the next twenty or thirty years? What will improve quality of life? What will help people live longer, particularly those most likely to die early? What will improve people's quality of life, reducing years lost to disability and poor mental and physical health? What will improve the health and wellbeing of children and young people? The United States Center for Disease Control and Prevention (CDC) has argued that in the 20th century public health measures added 25 years to the life of an average American.1 In its list of top ten interventions half are closely connected to the environment. The same list would be likely to apply to the UK and London. In the 21st century public health measures, including measures seeking to improve the environment, are likely to be as important in supporting good health as improvements in healthcare. We need to prepare, assess and plan for extreme weather events and their impacts not just to improve Londoners' health and wellbeing but to increase economic prosperity, for business and service continuity and to strengthen community resilience. In this guide we focus on seven environmental issues and their relationship to health: - Green spaces - Active travel & transport - Surface water flood risk - Air quality - Healthy food - Fuel poverty - Overheating For each of these we ask certain questions: - What is the issue and how do we measure it? - What is its impact on health? What is the evidence? - Who will experience the impact most? - What is the local borough picture? - What are the key actions to promote good health? We also provide links to the Public Health Outcomes Framework and suggested further reading. The aim of the bespoke borough guides is to maximise opportunities for improving health and wellbeing, as well as enhancing community resilience. They are aimed at professionals working in health, environment, regeneration, economic development or any aspect of shaping local places, as well as local people interested in improving the quality of life in their communities. Where issues are locally relevant we hope this document will help to start a conversation which enables them to be identified and addressed in borough Joint Strategic Needs Assessments (JSNA) and health and wellbeing strategies. These guides do not cover all of the wider environmental determinants of health. For example, they do not look at some aspects of housing (such as overcrowding), workplace health, wider resource use, access to services, water resource management or noise pollution. More broadly, issues of planning and environmental control tie many of these areas together. How we shape ongoing development and use of our town centres, neighbourhoods and business districts presents opportunities to maximise the health of users: residents, employees and visitors. Similarly, environmental consideration provides the scope to address potential risk to resilience, health and wellbeing as well as promoting good practice amongst, for example, businesses, landlords and facilities managers. ## Green Spaces Accessible green space has long been recognised as a wider environmental determinant of good health. Wide ranging research shows strong evidence that outdoor spaces have a beneficial impact on both physical and mental well-being2. When considering green space it is helpful to think about both access and use: availability being a necessary but insufficient indicator and determinant of use. A range of data are available on both access and use including the Natural England MENE survey (frequency, mode of access, reasons3); London.gov.data: 'Access to Public Open Space and Access to Nature by Ward'4; and Sport England: Active people Survey (physical activity rate)5. What is the impact on health? Accessible, safe green space is shown to reduce mental distress, depression and Attention Deficit- Hyperactivity Disorder (ADHD) symptoms in children. Access to a garden or living a short distance to/from green areas, as well as having the potential to lead to improvements in the environment, are associated with a general improvement in mental health and wellbeing.6 Both the Marmot Review and NICE have highlighted evidence that the presence of good quality outdoor green spaces encourages physical activity7 which is important across a wide range of health issues such as cardiovascular diseases, obesity, type 2 diabetes and mental/physical health. Increasing and improving the proportion of green spaces in urban centres also has a secondary positive impact on health through other wider environment determinants of health such as urban heat-island effect, surface flood risk and air quality. Who will experience the greatest impact?  Urban residents (through impact on quality of life)  Older people and children  People suffering from obesity, cardio-vascular diseases, diabetes  People suffering from mental distress and depression. ## The Barking & Dagenham Picture - 34 per cent of the borough surface has green space coverage.8 - Within Barking & Dagenham, more than 50 per cent of households in 4 out of 17 wards have deficient access to nature.9 - 15 per cent of Barking & Dagenham's population participate 5 times per week in physical activity for at least 30 minutes and nearly 45 per cent participate once a week.10 - Barking & Dagenham's adult obesity prevalence is 29 per cent, which is significantly higher than the London rate, 21 per cent, and the national rate, 24 per cent.11 Pink coloured areas are defined as area of deficiency in access to local, small and pocket parks. Proximity rate is +/- 400m from households. http://www.gigl.org.uk/Ourdatasets/Openspace/tabid/117/Default.aspx Potential actions: Given the significant relationship between health and green spaces in the urban environment some key actions can be identified to improve quality and proximity in order to enhance access and use. This includes considering: - All London Green Grid Supplementary Planning Guidance to improve biodiversity function and connectivity of green spaces;12 - The Green Flag Award system to improve quality and promote access to green spaces.13 - Promoting physical activity in outdoor spaces through "outdoor gyms" and "guided walking exercise prescription" as a way to recover from cardiovascular diseases and illness.14 See also sections on surface water flood risk and healthy food. Case Study: Regenerating Burgess Park, London Borough of Southwark The regeneration of Burgess Park, in Southwark, was underpinned by a comprehensive plan that made the focus of the park a place for healthy living, showing how to combine ' natural' regeneration with health promotion15. This has also included opportunities for investment, growth and jobs. For example improved access to, and routes through, the park, alongside enhancements to the lakes, planting, lighting and on-site facilities, has made the park a much more attractive and welcoming place, encouraging play and informal recreation. The park also has over 10 km of running, cycling and fitness routes and a new BMX track, to cater for more formal sport and physical activity. Contact: Ruth Miller, Burgess Park Project Manager ruth.miller@southwark.gov.uk ## Suggested Further Reading Links To Public Health Outcomes Framework - Planning for Health (2009) HUDU - The Marmot review (2010) www.instituteofhealthequity.org - www.nice.org.uk - Benefit of Urban Parks, IFpra (2013): - www.ecehh.org ## Primary 1.16 Utilisation Of Outdoor Space For Exercise/Health Reasons Additional (For Example) 2.6 Excess Weight In 4-5 And 10-11 Year Olds 2.13 Proportion Of Physically Active And Inactive Adults 2.23 Self-Reported Well-Being - www.naturalengland.org.uk - www.hphpcentral.com - CMO (2011) Start Active, Stay Active ## Active Travel & Transport Travel is essential for connecting people to employment, recreation, education and health and community services. Most people travel in some way every day, making it part of everyday life and therefore a factor that can greatly affect the health of all London's citizens16. Travel includes walking and cycling, use of private vehicles, public transport and goods vehicles. In London more than 80 per cent of journeys take place on roads either by motor vehicle, bike or on foot; therefore road transport and street environments have a very significant impact on health and wellbeing17. There are inequalities in the impact of transport upon health, with the most deprived people and those using the most heavily trafficked roads experiencing the most negative health impacts18. Only a few London boroughs include a dedicated transport focus in their Joint Strategic Needs Assessment (JSNA), suggesting the impact of travel on health may be underestimated. What is its impact on health? A comprehensive public transport network provides many health benefits including access to services, reducing social isolation and increasing work and social opportunities. A major benefit of travel in London is that it enables people to maintain regular physical activity via walking (particularly as part of public transport trips) and cycling. Only around 20 per cent of Londoners currently meet the minimum recommendation for physical activity of 150 minutes per week19. Everyday physical activity is essential for good physical and mental health, contributing to the prevention of over 20 diseases including obesity, type 2 diabetes, cardiovascular disease and some cancers20. Cycling and walking can be easily incorporated into daily routines to meet physical activity needs. In London, approximately 4.3 million trips currently made by car or public transport have been identified as easily cyclable21. Creating opportunities which enable Londoners to walk and cycle has other potential health benefits including access to safe, green spaces. This could lead to reductions in congestion which, in turn, may reduce overheating and improve air quality. The negative impacts of transport in London are concentrated in the London's most heavily trafficked streets, where high concentrations of vehicles contribute to air and noise pollution and increased injury risk22. This can create the impression of a hostile environment for walking and cycling and can exacerbate health inequalities. Motor vehicles are responsible for 41-60 per cent of air pollutants in the UK, which have an impact on cardiovascular and respiratory diseases. People who live on or use heavily trafficked streets are the most adversely affected. ## The Barking & Dagenham Picture  On average 280,000 trips per day are made by people originating in Barking & Dagenham.23  Low numbers of people participate in active travel, with the percentage of people cycling to work below the Greater London average.  Use of motor vehicles is 7 per cent above the Greater London average.24  There was an average of 604 casualties and 5 fatalities per year on Barking & Dagenham's roads between 2005 and 2009: below the Greater London average.  The most heavily used road (excluding motorways) is the A13 with an average daily flow of 115,000 motor vehicles.25  There is currently one cycle super highway in the Borough.26 ## Source: London Travel Demand Survey Potential Actions: - Designing Street Environments To Encourage Walking And Cycling. - Designing And Engineering Roads To Reduce Motor Vehicle Speed And Implement 20Mph Zones where appropriate. - Promoting a network of roads and paths that are safe and convenient for cycling and walking. - Supporting walking and cycling by ensuring that, where possible, the needs of cyclists and pedestrians are considered before other road users. - Promoting cycling through information, maps and cycle hire schemes. - Improving safety of heavily trafficked streets where most traffic related health risk is concentrated. See also section on air quality. Case Study: Cycling across Hackney Hackney has the highest levels of cycling in London. There are more cyclists than motorists in many parts of the borough. This is evidenced by the fact that 6 per cent of journey's originating from Hackney are on bike, higher than any other borough in London23. Since 2001 the Council has sought to increase the areas that are cycle friendly by improving the design and increasing the accessibility of the road network for cyclists.27 - Road safety has been improved by reducing motor traffic speeds and volumes. The aim is to enforce 20 mph speed limits across the borough on all residential roads.27 - Systematic improvements have been made to the public realm for pedestrians, cyclists and public transport users and a number of designated cycle routes such as the Hackney Park cycle route have been created.27 - Hackney has invested in a range of cycle parking bays including lockers in estates, hangars (on street bike/storage lockers), on residential streets and large bike ports at transport hubs such as railway stations and town centres. - A comprehensive free cycling training programme has targeted a range of audiences.27 Contact: Ben Kennedy, Hackney Council, ben.kennedy@hackney.gov.uk Example of a cycling improvement scheme Wordsworth Road/Palatine Road, Hackney ## Links To Public Health Outcomes Framework Suggested Further Reading - Healthy Transport Healthy Lives, British Medical Association (BMA) - NICE Walking and Cycling, Local Government Briefing - Mayors Vision for Cycling, 2013 GLA - London Borough of Hackney Sample of Schemes for cycling & public realm (2013) - What are the health benefits of active Primary 2.13 Proportion of physically active and inactive adults Additional (for example) 1.16 Utilisation of outdoor space for exercise/health reasons 2.7 Hospital admissions caused by unintentional and deliberate injuries in under 18s 3.1 Fraction of mortality attributable to particulate air pollution travel: A systematic review of trials and cohort studies, PloSOne, 8 ## Surface Water Flood Risk Surface water flooding describes flooding on the land surface from sewers, drains, groundwater and runoff from land after a heavy rainfall event28. Surface water flooding events are difficult to predict but can cause significant disruptions to local populations and to health and other services. London is vulnerable to surface water flooding because some areas have poor drainage systems and large areas of impervious surfaces29. Approximately 480,000 London properties and ten hospitals are at risk of surface water flooding in London30. Surface water flooding is already a considerable risk and one that, without action, will increase in London due to population growth, urban expansion and ageing of drainage systems. In addition, changing climate patterns are likely to increase the number and intensity of large magnitude precipitation events leading to a likelihood of more frequent and larger magnitude surface water flooding events. Local Flood Authorities are responsible for mapping, assessing and managing local flood risks, identifying whom and what is at risk and the vulnerability of services such as hospitals and schools to surface water flooding. The Mayor's Regional Flood Risk Appraisal identifies surface water flood risk as the most likely cause of flooding in London. The GLA, Thames Water, the Environment Agency and London Councils have been developing and delivering a programme to manage this risk, known as Drain London. There are multiple ways in which flooding can create health risks: - Fast flowing water has multiple potential hazards such as moving debris which can cause physical injury and even death. Contaminated flood water containing pollutants such as chemicals and sewage can cause disease. - Flooding of health facilities results in disruption to access to healthcare facilities, with increased difficulty providing routine medical care and increased patient admissions in neighbouring facilities. - Exhaust emissions from machinery operating in the clean-up process and recovery from a flood can cause carbon monoxide poisoning31. - Disruptions in flood recovery, fear of repeat events and added effects of stress due to insurance claims and refurbishing properties can cause mental health problems. Up to 25 per cent of people who experienced flooding in their homes in the major UK floods in 2007 experienced mental health issues after the event32. Who might experience the greatest impact? Some areas in London are at risk of surface water flooding particularly where there is inadequate sewer/drainage capacity, and some groups are at greater risk4. These include people with limited mobility or/and those who are dependent on medication and/or regular healthcare at home or at a health/social care facility. Those with less flood awareness due to weak social networks and limited or no access to public warning systems and/or information are also at risk. The Barking and Dagenham Picture The Environment Agency will be releasing a national surface water flood risk map for each London borough in December 2013. Whilst this will show the areas at risk it should also be noted that any low lying area could also potentially be affected but may not be visible on the maps because of the difficulty in assessing surface water flood risk. The maps will provide borough-specific assessments. Potential actions: - Developing emergency plans to reduce effects of surface water flood risk. - Including integrated emergency planning for priority groups/services. Developing land management strategies such as green roofs to reduce likelihood of surface water flooding. - Incorporating Sustainable Urban Drainage Systems (SuDS) as an alternative to traditional approaches to managing runoff. - Identifying vulnerable and isolated people and implementing early warning systems and evacuation plans. - Planning for disruption of infrastructure and increase in patient volumes at health and social care facilities. See also section on green spaces and healthy food. ## Case Studies: Purley (Lb Croydon) Community Flood Plan 6 - Purley is vulnerable to flooding and experienced a large flood event in 2007. In response the community developed a Community Flood Plan. - The flood plan is developed and owned by the community, and aims to reduce the impact of flooding. - It advises the community on how to prevent flooding and what to do if it happens. - It is a low cost but effective way of reducing a wide range of impacts of flooding. - The community has created a number of flood wardens who play a central role in advising local citizens and businesses on the flood risk and actions they can take to reduce the impact and nature of flood events. ## Surface Water Flooding Event, London, July 2007 7 - In July 2007, 121mm of rainfall fell in London, mostly on July 20th, causing some significant surface water flooding. - Approximately 400 properties were flooded, 158 schools affected and two hospitals were closed as a result. - The closure of St George's Hospital caused major disruption.8 ## Suggested Further Reading Links To Public Health Outcomes Framework - GLA Regional Flood Risk Appraisal, 2013 - Drain Londonhttp://www.london.gov.uk/priorities/environment/loo king-after-londons-water/drain-london Programme London Climate Change Adaptation Strategy - Multi-Agency Flood Plan, LB Havering, 2012 - Floods in the European Union, Health effects and their prevention (2013), World Health Organisation (WHO) ## Primary: 3.7 Comprehensive, Agreed Interagency Plans For Responding To Public Health Incidents And Emergencies Additional (For Example) 3.6 Public Sector Organisations With A Board-Approved Sustainable Development Management Plan Air Quality Good air quality has long been recognised a basic requirement for good health. The UK Air Quality Standards Regulations 2000, updated in 2010, set standards for a variety of pollutants that are considered harmful to human health and the environment. These are based on EU limit values and are for a range of air pollutants: sulphur dioxide, nitrogen dioxide, oxides of nitrogen, particulate matter (PM10 and PM2.5), lead, benzene, carbon monoxide, benzo(a)pyrene and ozone. Much of the focus of air quality action is on nitrogen dioxide (NO2) and particulate matter (PM). Particulate matter (PM10 and PM2.5) refers to a complex mixture of non-gaseous particles of varied physical and chemical composition. It is categorised by the size of the particulate. In London, road traffic is a significant source of PM mainly from exhaust emissions and wear, tyre and brake wear and dust from road surfaces. In addition, older furnaces and boilers may have an impact on the overall air quality environment within a house. Poor air quality could potentially compromise health and well-being. It should be noted that exceedences apply across the whole of London, particularly near built up areas and major roads. What is the impact on health? What is the evidence? Long-term exposure to poor air quality can contribute to the development of chronic diseases and can increase the risk of respiratory illness. In Greater London it is estimated that the equivalent of 4,267 deaths in London in 2008 were attributable to long-term exposure to PM2.5. It should be noted that this does not relate to real individuals, but is a statistical construct whereby all health impact associated with air pollution are amalgamated. Since everyone breathes the air where they are, a more realistic interpretation is that the risks are distributed across the whole population, with a total mortality impact of the concentrations equivalent to that number of deaths. At high concentrations NO2 can result in inflammation of a person's airways; long-term exposure can affect lung function and respiratory symptoms and can increase asthma symptoms. PM aggravates respiratory and cardiovascular conditions. The smaller the particle, the deeper it will deposit within the respiratory tract. The impact of PM2.5 on health is especially significant. Who may experience the greatest impact? - People who live or work close to areas with poor air quality - People with respiratory problems - People with heart problems ## The Barking & Dagenham Picture. - On Some Of Barking & Dagenham'S Roads There Are High Concentrations Of No2 (See Map) Which are above the recommended limits. - Statistical tools are used by public health specialists to try to understand the comparative impact of different factors on mortality. Using these techniques, Barking & Dagenham is the 14th least affected area by poor air quality in London. - In 2011 GLA identified three Air Quality Focus Areas within Barking & Dagenham. ## Potential Actions: - Promoting A Modal Shift To Encourage Higher Proportions Of Walking, Cycling And Use Of Public transport and less use of cars. This could include a wide range of measures from systemic action within the planning and transport system to one-off events such as car free days. Such measures could lead to significant improvements in air quality. - Promoting energy efficiency in homes, public and commercial offices. For more information see the Energy Company Obligation33. - Individual steps could be taken to: a) reduce personal contribution to air pollution such as engine idling; and, b) reduce risk of exposure where it is potentially hazardous to health (particularly for people with underlying vulnerabilities) through systems such as airText. See also section on active travel and transport. ## Case Studies: Reducing Exposure - City Air Mitigating Impact - Croydon Air Text 'CityAir' was launched in May 2011 in the City of London to encourage businesses to help to improve local air quality. Best practice guidance and case studies were produced to provide advice to City businesses on reducing emissions from buildings, encouraging staff to walk and cycle in the City, using purchase contracts to require low polluting vehicles and building air quality targets into environmental reporting. Information is available at www.cityoflondon.gov.uk/cityair. To date over 50 businesses have been engaged, representing over 40,000 employees. CityAir employee walking campaigns have been very popular. Contact: Ruth Calderwood ruth.calderwood@cityoflondon.gov.uk In 2005 the London Borough of Croydon developed with the European Space Agency and Cambridge Environment Research Consultants an air quality forecasting service called 'airTEXT'. AirTEXT provides information on pollution levels in the borough using 'low', 'moderate' and 'high' bandings. Whenever moderate or high pollution levels are expected, subscribers to airTEXT receive a text message, call or voicemail. This enables recipients to respond, if necessary, for example by taking a different route/mode of transport to work, keeping their medication with them or not exercising outside on certain days. In 2012 a new airTEXT app was developed which provides information on four health-relevant alerts: UV, pollen, air quality and temperature. Currently around 10,000 people use the airTEXT service through text, Twitter or the website. ## Suggested Further Reading Links To Public Health Outcomes Framework - GLA Local Authority Air Quality Guides - www.londonair.org.uk - www.comeap.org.uk - NICE Guidance PH41 Walking and cycling: local measures to promote walking forms of travel or recreation - Kilbane-Dawe (2012) 14 Cost Effective Primary 3.1 Fraction of mortality attributable to particulate air pollution Additional (for example) 2.13 Proportion of physically active and inactive adults 1.14 The percentage of the population affected by noise Actions to Cut Central London Air Pollution ## Healthy Food Access to healthy food is an important wider environmental determinant of health. Improving the food environment means enhancing the availability of affordable and nutritious food and recognising the relationship between the geography of food retailing and dietary patterns34. It also means considering sustainable production, processing and delivery. Policy attention has focused on the role of local planning measures and the impact of large supermarkets, provision of food growing places, the physical environment and education on a healthy diet. Many factors influence the availability of healthy food. The predominance of unhealthy food and low income may interact with environmental factors to limit access. Access to healthy food can be measured through the following indicators: cost, quality, geography, mode of transportation, physical proximity and socio-economic variables. What is the impact on health? What is the evidence? Reduced access to healthy food and the ready and cheap availability of unhealthy foods (such as fastfood and takeaway outlets) increases the risk of a diet based on high consumption of sugar, saturated fat and salt and low in vegetables and fruit35. This could lead to obesity, cardiovascular disease, type 2 diabetes and some cancers associated with obesity. The National Obesity Observatory estimated the cost to the UK economy of overweight and obesity to be £15.8 billion per year (2007). This has an impact on children as well as adults. Studies have also found that an increased density of fast food restaurants is directly related to increased Body Mass Index (mass index showing body fat based on height and weight) and that having a fast food outlet within 160m of a school is associated with a 5 per cent increase in obesity36 The Barking & Dagenham Picture  Barking & Dagenham's adult obesity rate is 29 per cent. This is significantly higher than the London average (21 per cent), and the national average (24 per cent).37  Barking & Dagenham's obesity rate among primary school children (year 6) is 27 per cent. This is significantly higher than the national and London rates (19 and 23 per cent respectively).38  In 8 of the 22 Middle Super Output Areas (two darkest blue areas on map), 25-31 per cent of the total population consume five portions of fruits and vegetables a day.39  15 per cent of Barking & Dagenham's population participate five times per week in physical activity for at least 30 minutes and nearly 45 per cent participate once a week.40 ## Figure 4 Healthy Food Consumption In Barking & Dagenham Model Based Consumption Of Fruit And Vegetables In Barking And Dagenham By Ward, 2006-8 La Population Consuming Five Portions Of Fruits And Vegetables A Day. ## Potential Actions - Developing Schemes To Promote Local And Easily Accessible Healthy Food From Retailers (For Example www.cieh.org/healthier-catering-commitment.html). - Using planning controls to manage proliferation of fast-food outlets on high streets and near schools. - Promoting the GLA Healthy Schools London Awards Initiative (www.healthyschoolslondon.org.uk). Healthy food choice in schools is recognised as a way to tackle obesity and chronic diseases caused by poor nutrition. This includes diet, education, and healthy meals provided at schools and accessible from nearby areas. - Capital Growth (www.capitalgrowth.org) initiatives have the potential to promote community food growing. These activities reconnect people to the food system, engages them in issues such as where their food comes from, seasonality, healthy eating, and food security. - Procuring from local food suppliers and retailers, signed up to the Healthier Catering Commitment Plan. See also section on green spaces and surface flood risk. Case Study: Fast-food Fix - LB Waltham Forest - Tackling the Takeaways: Making an Impact - Community engagement on 'takeaways' in the borough identified dissatisfaction with the number and location of 241 local hot food takeaways (HFT). This included schools, concerned that the proximity of HFTs to schools had a negative impact on healthy eating programmes. - A HFT corporate steering group was established to: - Ensure existing HFT businesses operated as responsibly as possible; - Develop strategies to tackle the wider social, environmental and economic issues associated with the proliferation of HFTs in the borough. Achievements: - Supplementary planning documents were developed restricting the opening of new HFT shops. So far, 20 applications have been refused planning permission and only 4 HFTs have been given planning permission. ## - Hfts In The Borough Have Been Reduced From 241 To 194 Contact: Gordon Glenday, Head Of Planning Policy And Regeneration Gordon.Glenday@Walthamforest.Gov.Uk Links To Public Health Outcomes Framework Suggested Further Reading  NICE guidance: www.nice.org.uk  Takeaways Toolkit (2012): see www.london.gov.uk  District Action on Public Health: http://districtcouncils.info/;  CIEH Food Policy, (2013): www.cieh.org  Healthy People, Healthy Lives, (2011);  Good planning for Good Food: see ## Primary: 2.11 Diet Additional (For Example): 2.6 Excess Weight In 4-5 And 10-11 Year Olds 2.12 Excess Weight In Adults 2.17 Recorded Diabetes www.sustainweb.org/publications/?id=192 ## Fuel Poverty There are three factors that can result in fuel poverty, often in combination: low income, poor energy efficiency in homes and increasing energy prices. A household is now defined as 'fuel-poor' if its total income is below the poverty line (taking into account housing energy costs) and its energy costs are higher than typical for its household type.41 Data on fuel poverty is collected from the English Housing Survey Domestic Fuel Inquiry and published annually by the Department of Energy and Climate Change (DECC). More than 560,000 households in London are estimated to be spending more than ten per cent of their basic income on energy (the previous official definition of fuel poverty).42. Fuel poverty has the potential to have an adverse impact on children already in poverty as well as to increase the numbers of children living in poverty. Fuel poverty is also known to have an impact on well-being as indicated in self-reported well-being surveys.43 What is the impact on health? What is the evidence? Fuel poverty can have a negative impact on health, especially on people with pre-existing medical conditions. Fuel poverty results in cold homes, exacerbating cardiovascular and respiratory conditions, rheumatoid arthritis and influenza, and negatively affects mental health.42 The effects of fuel poverty may be compounded by social isolation, poor emotional well-being, reduced mobility and poor diet. Cold homes are also known to affect cognitive performance. However, actual deaths are only one part of the problem. Age UK estimates the cost to the NHS of cold homes as £1.36 billion per year (not including additional costs to social services for subsequent care).44 The recent DECC fuel poverty framework attempts to monetise the health impacts of fuel poverty. It refers to a model estimating changes in people's health from the installation of energy efficiency measures (resulting from changes in the indoor temperature and pollutant exposure).45 Who might experience the greatest impact? Fuel poverty affects vulnerable groups such as older people, the group most likely to suffer excess winter deaths. Children, people with disabilities and/or those living in deprivation are also at greater risk of suffering from the effects of fuel poverty as they often need to spend longer time indoors and require heating for longer periods of time. Additionally, private sector tenants are at significantly greater risk of encountering the worst housing quality and are also least likely to access support or feel empowered to do anything about the issue. The Barking and Dagenham Picture - The older population of Barking and Dagenham is projected to rise from 19,700 (2012) to 24,700 (2025) and 35,900 (2040). 46 - A Fuel Poverty Risk score has been developed. Although there are no stark disparities between wards, none are at low risk; Gascoigne ward is 606th out of 625 wards and at significantly greater risk. - Six Barking and Dagenham wards are at high risk of fuel poverty and the ward of Village, in particular, show a significant downward trend.47 The Fuel Poverty Risk Index was developed by the London Assembly Health and Public Services Committee in their investigation into fuel poverty in London. It is calculated on the basis of twelve indicators across four sections: Housing Dwellings without central heating Uninsulated cavity walls Lofts with less than 150mm insulation Health Health Deprivation & Disability domain (ID2010) Standardised Mortality Ratio Incapacity benefit claimant rate Older people People aged 60 and over Older people claiming pension credit Worklessness Unemployment Poverty Income support claimant rate Child Poverty rates Households classified 'fuel poor' Source: GLA (2013) Fuel Poverty Risk Indicators Tool, available on London Datastore Potential actions: The first key step to any intervention is to identify vulnerable areas/individuals and map the extent of the problem. Vulnerable individuals and households can be identified and supported through: - Close collaboration with third-sector organisations which are working with vulnerable groups/isolated populations/people to refer or inform them of available support. - Home energy improvements as a vital sustainable solution to fuel poverty. There are opportunities through initiatives such as the Green Deal and Energy Company Obligation48. The Mayor's RE:NEW Programme support team49 can offer advice on funding, procurement and best practice to partner with energy efficiency providers. In addition, the issue of overheating should be taken into account when implementing any energy efficiency works especially wall and loft insulation. Whilst take up of the Green Deal to date has not been significant, it remains an important delivery mechanism to reduce fuel poverty in London. (See section on overheating). - Promoting collaboration between local authorities and private landlords in line with upcoming energy efficiency legislation (2018 energy efficiency requirements50). - Raising awareness of benefits entitlement and support through public health campaigns, working with third sector organisations and the local community. ## Suggested Further Reading See also section on overheating and air quality. Case Study: Barts Health in Tower Hamlets - Reducing Fuel Poverty Barts Health has recently established a partnership project with British Gas and Global Action Plan that aims to reduce fuel poverty in Tower Hamlets. Hospital staff, GPs and community groups refer patients from vulnerable groups or those people living in hard-to-treat homes to the Energy Companies Obligation, supporting the installation of energy efficiency measures in low-income households. The project will train and support 40 health professionals (GPs, outpatient care staff and community nurses) plus community groups. The partnership initially aims to target 200 homes. The initiative is not just a referral mechanism but will raise awareness among vulnerable groups, medical practitioners and the wider community on what steps could be taken to address fuel poverty. Such an initiative could be linked with other seasonal health initiatives such as winter flu jab promotion. Contact: Fiona Daly, Barts Health NHS Trust, fiona.daly@bartshealth.nhs.uk Links to Public Health Outcomes Framework - Marmot Review Team, 2011 - The Health Impacts of Cold Homes and Fuel Poverty Primary 1.17 Fuel poverty Additional (for example) 1.1 Children in poverty 2.23 Self-reported well-being 4.15 Excess winter deaths - Age UK, 2012 - The Cost of Cold - Hills, 2012, Getting the measure of fuel poverty - DECC, 2013, Helping-households-to-cut-their-energy-bills - DECC, 2013, Fuel Poverty, A Framework for future action. - London Assembly, 2012, In from the cold? Tackling fuel poverty in London, GLA ## Overheating What do we mean by overheating? How do we measure it? Extreme weather events are more likely to be a factor affecting people's health in future years51. Heatwaves, such as the one in the summer of 2003 which caused the death of 2000 people, could become more frequent (London had an excess mortality of 42%, compared to England of 17%). The Urban Heat Island (UHI) effect means that urban areas tend to be hotter than rural areas. This is due to increased absorption of the sun on concrete compared with green or brown spaces, reduced cooling from breezes due to buildings and increased heat production from houses, industry, businesses and vehicles. This is especially relevant for London with its densely built-up central boroughs and high concentration of traffic and people. The UHI effect is not universally experienced across the city as it relates to availability of green space/water bodies, building density, amount of traffic and energy consumption. However there are particularly vulnerable spots in each borough, as well as vulnerable people across areas. (See maps below). When considering London as a whole, the costs associated with overheating mortality are expected to be around £7-78 million in the 2030s (473-712 heatattributable deaths); by the 2050s, this could rise to £13-149 million (1200-1838 heat-attributable deaths).52 What is the impact on health? Overheating53 can cause heat strokes, exacerbates existing cardiovascular and respiratory conditions and affects people with respiratory conditions due to a combination of overheating and poor air quality. A heatwave can also affect mental health with peak suicide and homicide rates reported during previous heatwaves in the UK. Research has shown a direct link between a temperature rise to more than 24˚C and risk of death.54 Additionally, people may suffer from heat-related illnesses, such as heat cramps, heat rash and heat syncope (fainting as a result of overheating). Overheating may lead to dehydration, especially in older people, and there is a strong link between high temperatures, dehydration and blood stream infections, also particularly in older people.55 Who will experience the greatest impact? Certain housing conditions (older and small top floor, purpose built flats because of the low solar protection offered by the top floor of poorly insulated flats; and newly constructed houses not suitably designed for extreme heat events, and the quality of the built environment could potentially contribute to the overheating of an environment. Certain groups such as children have less efficient body cooling mechanisms and are therefore at greater risk. Similarly, the body's thermoregulatory mechanisms could be impaired in older people and those with chronic health conditions. Those considered vulnerable to overheating may not always perceive themselves to be at risk. Simple measures to reduce the negative impacts of overheating are not always implemented which could place these groups at even greater risk. The Barking and Dagenham Picture The map below shows temperature differences across the borough and also shows the effects of existing infrastructure and green space on overheating risk. Combined with data on vulnerable populations, this will provide a more precise picture of the biggest risk areas. 2010). London Average Screen Temperatures in degrees Celsius for the period 26 May-19 July 2006 Equal count mapping method: each interval; contains 7% of the total number of grid points Potential actions: The NHS Heatwave Plan for England 2013 suggests actions to mitigate and/ or ameliorate some of the effects of future heatwaves and hot weather.56 Short term actions include:  Modifying surface properties and integrating green infrastructure, for example, 'cool roofs', 'green roofs' and 'cool pavements' (paving materials that tend to reflect, provide cooler surfaces and increase water evaporation ratio).  Planting trees and vegetation and creating green spaces to enhance evaporation and shading, (temperatures in and around green spaces can be several degrees lower than their surroundings). The development of 'green spaces' can not only help to alleviate the impact of the UIH effect but has been shown to have other positive health benefits such as improving mental health and wellbeing. Increasing green infrastructure also improves air quality.  Insulating homes. This protects against hot weather as well as reducing heating needs in the winter.  Introducing an active transport plan or car-sharing schemes. These will reduce numbers of vehicles used leading to improvements in air quality, whist promoting healthy living.  Using reflective paint on south-facing walls and roofs. - Taking fuel poverty into account when implementing any energy efficiency works. - Considering using the planning process to influence planning decisions on housing and commercial properties' heat thresholds. - Retrofitting public buildings with energy-saving technology - including low-energy lighting and high-efficiency boilers. This presents one of a number of opportunities to improve on infrastructure, growth and support local job creation. The Plan makes the case for a medium term (10–30 years) and long term approach (30+ years). See also section on fuel poverty and air quality. Case Study: London Borough of Islington and the CRISP Project CRISP is a joint project between Islington Council and North London Cares that took place in the beginning of 2013. Research among residents aged 65+ concluded that the majority of elderly people did not take hot weather issues as seriously as cold weather issues. Although levels of information were generally found to be good, there were some everyday actions being taken that might exacerbate the risk of overheating. The project identified the need for a widespread information campaign on proper use of windows, curtains and fans. The research identified challenges of communicating information about overheating. The findings and recommendations will inform Islington's Council Seasonal Resilience Plan and the work of the Seasonal Health Interventions Network (SHINE). Contact: John Kolm-Murray, Islington Council john.kolm-murray@islington.gov.uk Links to Public Health Outcomes Framework ## Suggested Further Reading  NHS Heatwave Plan for England  RE:FIT is the Mayor of London's innovative scheme to reduce carbon emissions in Greater London, www.refit.org.uk  GLA (2011) London Climate Change Adaptation Strategy  London Climate Change Partnership (2012) Heat Thresholds Project: Final Report  Built Infrastructure for Older People in Conditions of Climate Change (BIOPICCC)  Design and Delivery of Robust Hospital Environments in a Changing Climate (De2RHECC) Primary: 3.7 Comprehensive, agreed inter-agency plans for responding to public health incidents and emergencies Additional (for example) 3.6 Public sector organisations with a board-approved sustainable development management plan ## References 1Centre for Disease Control and Prevention (CDC), 2013,from CDC (USA); www.cdc.gov/about/history/tengpha.htm 2 Evidence demonstrating links between access to green spaces and health: Coombes, E., Jones, A P, & Hillsdon, M. (2010). The relationship of physical activity and overweight to objectively measured green space accessibility and use. Social science & medicine, 70(6), 816-822; Maas, J., Verheij, R. A.,et al (2006). Green space, urbanity, and health: how strong is the relation? Journal of epidemiology and community health, 60(7), 587-592; Nielsen, T. S., & Hansen, K. B. (2007). Do green areas affect health? Results from a Danish survey on the use of green areas and health indicators. Health & place, 13(4), 839-850; Schipperijn, J., Bentsen, P et al (2013). Associations between physical activity and characteristics of urban green space. Urban Forestry & Urban Greening, 12(1), 109-116. Mitchell, R., & Popham, F. (2008). Effect of exposure to natural environment on health inequalities: an observational population study. The Lancet, 372(9650), 1655-1660. 3MENE Survey evidencing frequency, mode and motivation in access to Green Space, (2012-2013), from Natural England www.naturalengland.org.uk/ourwork/research/mene.aspx 4Local access to public open spaces, taken from Access to Public Open Space, (2012), London Data Store http://data.london.gov.uk/datastore/package/access-public-open-space-and-nature-ward ; 5Survey showing number of people participating in sport in local communities, taken from Active People Survey (2013), Sport England www.sportengland.org/research/active_people_survey.aspx 6 Use of small public urban green spaces and health benefits, Peschardt, K. K., Schipperijn, J., & Stigsdotter, U. K. (2012) Use of small public urban green spaces (SPUGS). Urban Forestry & Urban Greening, 11 (3), 235-244 7 Physical Activity and the Environment, taken from "Marmot Review (2010) Fair Society, Healthy Lives"; NICE (2008). Physical activity and the environment., PH Guidance 8 12GLA All London Green Grid Supplementary Planning Guidance ,(2012) taken from, www.london.gov.uk/priorities/planning/publications/all-london-green-grid-spg; Datasets to support this guidance, taken fromwww.gigl.org.uk/Ourdatasets/Openspace/tabid/117/Default.aspx; 13 Green flag award system for green spaces, taken from Keep Britain Tidy, http://greenflag.keepbritaintidy.org/ 14 Southwark Council outdoor gym, taken from www.southwark.gov.uk/info/200435/free_outdoor_activities/2611/outdoor_gyms/1 15 Burgess Park regeneration project July 2012, taken from www.southwark.gov.uk/news/article/792/burgess_park_to_reopen_after_8_million_transformation) 16 London Travel Demand Survey (LTDS),2011,taken from Transport for London, Travel in London, Supplementary Report: ,www.tfl.gov.uk 17 Evidence demonstrating link between transport and health, March 2013, Keeping well in hard times: Protecting and improving health & well-being in an income shortfall: taken from, London Health Inequalities Network. 18 Link between heavily trafficked streets and health impacts, 2005, taken from Health Development Agency Making the case: Improving health through transport. 19 Data showing physical activity rates in London, 2010, taken from Public Health England: Physical Activity in London: Key Facts. www.lho.org.uk/LHO_Topics/Health_Topics/Lifestyle_and_Behaviour/PhysicalActivity.aspx 20 Link between active travel and health, 2012, taken from British Medical Association, Healthy Transport= Healthy Lives, BMA,www.bma.org.uk 21 Analysis of cycling potential, 2010, taken from Transport for London, December Analysis of Cycling Potential, Travel in London, www.tfl.org.uk 22 Report showing negative impacts of transport in London, 2011, taken from Mackett, R.L. & Brown, R. ; Transport, Physical Activity and Health. Present knowledge and the way around. Centre for Transport Studies, University College London, www.cege.ucl.ac.uk 23 Number of travel trip by each modal share, 2011, taken from London Travel Demand Survey. Transport for London, www.tfl.org.uk 24 Reported road casualties in Great Britain, annual report 2011, taken from www.gov.uk 25 Most heavily vehicular used roads, 2000-2012, taken from Traffic Statistics, Department of Transport 26 The Mayor's proposed cycle superhighways for London, 2013, taken from Mayor's Vision for Cycling, GLA, www.tfl.gov.uk 27 Hackney's case study showing cycling promoting measures, 2013, taken from London Borough of Hackney Sample of Schemes for cycling & public realm. www.hackney.gov.uk ( 28 Surface Water Management Plan (SWMP), 2010, taken from, Technical Guidance. DEFRA www.defra.gov.uk 29 London Regional Flood Risk Appraisal, October 2009, taken from GLA, ; , www.london.gov.uk 30 Overall strategic plan for London, the London Plan, 2011, taken from GLA, www.london.gov.uk 31 Secondary impact of floods on health, 2013, World Health Organisation ; Floods in the WHO European Union, Health effects and their prevention. Edited by Bettina Menne and Virginia Murray, taken from Public Health England's website, www.gov.uk/government/organisations/public-health-england 32 Effects of floods on mental health, 2011, taken from Murray, V, Caldin et al (2011); The Effects of Floods on Mental Health, Health Protection Agency,www.hpa.org.uk 33 https://www.gov.uk/green-deal-energy-saving-measures/how-the-green-deal-works 34Access to healthy food, taken from, White (2007), Food Access and Obesity, Obesity reviews, 8 (s1), 99- 107. ; Chartered Institute for Environment and Health, 2013, taken from Chartered Institute for Environment and Health Food Policy: http://cieh.org/. 35 Takeaways Toolkit, 2012, taken from, London Food Board and Chartered Institute of Environmental Health http://www.london.gov.uk/priorities/environment/promoting-healthy-sustainable-food/londonboroughs/takeaways-toolkit; 36 Effect of fast food restaurants on obesity and weight gain, taken from, Currie, J., Vigna, SD et al (2010), The effect of fast food restaurants on obesity and weight gain. American Economic Journal: Economic Policy, 32-63. 41 New Fuel Poverty Definition 2013, taken from Department of Energy and Climate Change (DECC), taken from Fuel Poverty, A Framework for future action. www.decc.gov.uk 42Tackling fuel poverty in London 2012, taken from GLA - London Assembly In from the cold? www.london.gov.uk 43 Fuel poverty impact on wellbeing, 2011, taken from, Marmot Review Team, The Health Impacts of Cold Homes and Fuel Poverty, www.gov.uk/government/organisations/public-health-england 44 Cost of fuel poverty to the NHS, 2012, taken from AgeUK, The Cost of Cold www.ageuk.org.uk/latestnews/archive/cold-homes-cost-nhs-1-point-36-billion 45 Monetising health impacts of fuel poverty, 2013, taken from Department of Energy and Climate Change, Fuel Poverty, a Framework for Future Action- Analytical Annex 52 Potential costs of overheating including data, 2013, taken from Department for Environment, Food and Rural Affairs, The Economics of Climate Resilience: Health and Well-being Theme CA0401 www.defra.gov.uk 53 Overheating and health, 2011, taken from Health Protection Agency, Overheating and health: a review into the physiological response to heat and identification of indoor heat thresholds www.hpa.org.uk/webc/HPAwebFile/HPAweb_C/1317133912939 54Association of mortality with high temperatures in a temperate climate: England and Wales, Armstrong et al. (2010) Association of mortality with high temperatures in a temperate climate: England and Wales, Journal of Epidemiology and Health, vol.65:4, 340-345 55 Heatwave Plan 2013, taken from Public Health England, Making the case: the impact of heat on health - now and in the future www.gov.uk/government/organisations/public-health-england 56 Heatwave Plan 2013, taken from Public Health England, Making the case: the impact of heat on health - now and in the future www.gov.uk/government/organisations/public-health-england ## Further Reading  Local Authorities' strategies (e.g. Planning, Transport) are monitored on an annual basis and PHOF indicators may be relevant additions to these strategies and a way of spreading a public health approach across the Council: www.phoutcomes.info provides useful borough summaries for this approach.  The Index of Multiple Deprivation (IMD) highlights the impact of wider environmental determinants most adversely on those in more deprived areas: www.gov.uk/government/organisations/department-for-communities-and-localgovernment/series/english-indices-of-deprivation  Public Health has an important role in reminding other departments about health inequalities and intra borough inequalities. Basic summaries can be found at: www.apho.org.uk/?QN=P_HEALTH_PROFILES  The local authority planning process offers the opportunity to mainstream some of these issues through planning guidance. The Town & Country Planning Association offers a useful guide: www.tcpa.org.uk/data/files/TCPA_FINAL_Reuniting-health-planning.pdf  The NHS London Healthy Urban Development Unit www.healthyurbandevelopment.nhs.uk and their Watch Out for Health Checklist and the Health Impact Assessment Gateway http://www.apho.org.uk/default.aspx?QN=P_HIA offers useful insight across many fields including regeneration, social infrastructure planning, housing, policy development, planning advocacy and negotiations, planning obligations, development management, master planning, environmental and health impact assessment.  Some themes in this Guide, for example, (food, fuel poverty, active travel) are addressed in Keeping Well in Hard Times hwww.lho.org.uk/Download/Public/17975/1/Keeping per cent20well per cent20in per cent20hard per cent20times.pdf  There is a useful guide for developers on maximising environmental benefits at: www.environment-agency.gov.uk/research/planning/147852.aspx  Effect of exposure to natural environment on health inequalities: an observational population study http://eprints.gla.ac.uk/4767/1/4767.pdf  Great Outdoors: How Our Natural Health Service Uses Green Space To Improve Wellbeing www.fph.org.uk/uploads/bs_great_outdoors.pdf ## Public Health Outcomes Framework Mapping Environmental Determinants To The 2013-2016 Public Health Outcomes Framework \| Primary \| Improvements or worsening will have a direct impact on the indicator \| \| \|-------------\|-------------------------------------------------------------------------\|-----\| \| Secondary \| Improvements or worsening may have an impact on this indicator \| \| \| \| AQ - Air Quality \| AT - Active Travel and Transport \| GS - Access to Green Space \| \|-----------------------\|-------------------------\|--------------------------------------\|------------------------------------\| \| FR - Surface Flooding \| \| OH - Overheating \| FP - Fuel Poverty \| \| HF - Healthy Food \| \| \| \| \| AQ AT \| GS \| FR \| OH HF \| FP \| Domain 1 \| \|--------------------------------------------------------\|-------\|-------\|----------\|-------\|--------------\| \| Improving the wider determinants of health \| \| \| \| \| \| \| \| \| \| \| \| \| \| 1.1 Children in poverty \| \| \| \| \| \| \| 1.2 School readiness \| \| \| \| \| \| \| 1.3 Pupil absence \| \| \| \| \| \| \| 1.4 First time entrants to the youth justice system \| \| \| \| \| \| \| \| \| \| \| \| \| \| training \| \| \| \| \| \| \| \| \| \| \| \| \| \| secondary mental health services who live in stable \| \| \| \| \| \| \| and appropriate accommodation \| \| \| \| \| \| \| \| \| \| \| \| \| \| significant mental illness \| \| \| \| \| \| \| \| \| \| \| \| \| \| conditions including adults with a learning disability \| \| \| \| \| \| \| or who are in contact with secondary mental health \| \| \| \| \| \| \| services \| \| \| \| \| \| \| 1.9 Sickness absence rate \| \| \| \| \| \| \| \| \| \| \| \| \| \| England's roads \| \| \| \| \| \| \| 1.11 Domestic abuse \| \| \| \| \| \| \| 1.12 Violent crime (including sexual violence) \| \| \| \| \| \| \| 1.13 Re-offending levels \| \| \| \| \| \| \| \| \| \| \| \| \| \| noise \| \| \| \| \| \| \| 1.15 Statutory homelessness \| \| \| \| \| \| \| \| \| \| \| \| \| \| reasons \| \| \| \| \| \| \| 1.17 Fuel poverty \| \| \| \| \| \| \| 1.18 Social isolation \| \| \| \| \| \| \| 1.19 Older people's perception of community safety \| \| \| \| \| \| \| Primary \| Improvements or worsening will have a direct impact on the indicator \| \| \|-------------\|-------------------------------------------------------------------------\|-----\| \| Secondary \| Improvements or worsening may have an impact on this indicator \| \| \| \| AQ - Air Quality \| AT - Active Travel and Transport \| GS - Access to Green Space \| \|-------------------------------------------------------\|-------------------------\|-------------------------------------\|------------------------------------\| \| FR - Surface Flooding \| \| OH - Overheating \| FP - Fuel Poverty \| \| HF - Healthy Food \| \| \| \| \| \| \| \| \| \| Domain 2 \| \| \| \| \| Health Improvement \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| 2.1 Low birth weight of term babies \| \| \| \| \| 2.2 Breastfeeding \| \| \| \| \| 2.3 Smoking status at time of delivery \| \| \| \| \| 2.4 Under 18 conceptions \| \| \| \| \| 2.5 Child development at 2-21/2 years \| \| \| \| \| 2.6 Excess weight in 4-5 and 10-11 year olds \| \| \| \| \| 2.7 Hospital admissions caused by unintentional and \| \| \| \| \| deliberate injuries in under 18s \| \| \| \| \| 2.8 Emotional well-being of looked after children \| \| \| \| \| 2.9 Smoking prevalence - 15 year olds \| \| \| \| \| 2.10 Self-harm \| \| \| \| \| 2.11 Diet \| \| \| \| \| 2.12 Excess weight in adults \| \| \| \| \| 2.13 Proportion of physically active and inactive \| \| \| \| \| adults \| \| \| \| \| 2.14 Smoking prevalence - adults (over 18s) \| \| \| \| \| 2.15 Successful completion of drug treatment \| \| \| \| \| 2.16 People entering prison with substance \| \| \| \| \| dependence issues who are previously not known to \| \| \| \| \| community treatment \| \| \| \| \| 2.17 Recorded diabetes \| \| \| \| \| 2.18 Alcohol-related admissions to hospital \| \| \| \| \| 2.19 Cancer diagnosed at stage 1 and 2 \| \| \| \| \| 2.20 Cancer screening coverage \| \| \| \| \| 2.21 Access to non-cancer screening programmes \| \| \| \| \| 2.22 Take up of the NHS Health Check programme - \| \| \| \| \| by those eligible \| \| \| \| \| 2.23 Self-reported well-being \| \| \| \| \| 2.24 Injuries due to falls in people aged 65 and over \| \| \| \| \| \| \| \| \| \| \| \| AQ AT \| GS \| FR \| OH HF \| FP \| \|----\|----\|----------\|-------\|-------\|----------\|-------\| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Primary \| Improvements or worsening will have a direct impact on the indicator \| \| \|-------------\|-------------------------------------------------------------------------\|-----\| \| Secondary \| Improvements or worsening may have an impact on this indicator \| \| \| AQ - Air Quality \| AT - Active Travel and Transport \| GS - Access to Green Space \| \|-----------------------------------------------------------\|-------------------------------------\|------------------------------------\| \| OH - Overheating \| FP - Fuel Poverty \| FR - Surface \| \| Flooding \| \| \| \| HF - Healthy Food \| \| \| \| \| \| \| \| Domain 3 \| \| \| \| Health Protection \| \| \| \| \| \| \| \| 3.1 Fraction of mortality attributable to particulate air \| \| \| \| pollution \| \| \| \| 3.2 Chlamydia diagnoses (15-24 year olds) \| \| \| \| 3.3 Population vaccination coverage \| \| \| \| 3.4 People presenting with HIV at a late stage of \| \| \| \| infection \| \| \| \| 3.5 Treatment completion for Tuberculosis (TB) \| \| \| \| 3.6 Public sector organisations with a board approved \| \| \| \| sustainable development management plan \| \| \| \| 3.7 Comprehensive, agreed inter-agency plans for \| \| \| \| responding to public health incidents and emergencies \| \| \| \| \| \| \| \| Domain 4 \| \| \| \| Healthcare public health and preventing \| \| \| \| premature mortality \| \| \| \| \| \| \| \| 4.1 Infant mortality \| \| \| \| 4.2 Tooth decay in children aged 5 \| \| \| \| 4.3 Mortality rate from causes considered preventable \| \| \| \| 4.4 Under 75 mortality rate from all cardiovascular \| \| \| \| diseases (including heart disease and stroke) \| \| \| \| 4.5 Under 75 mortality rate from cancer \| \| \| \| 4.6 Under 75 mortality rate from liver disease \| \| \| \| 4.7 Under 75 mortality rate from respiratory diseases \| \| \| \| 4.8 Mortality rate from infectious and parasitic \| \| \| \| diseases \| \| \| \| 4.9 Excess under 75 mortality rate in adults with \| \| \| \| serious mental illness \| \| \| \| 4.10 Suicide rate \| \| \| \| 4.11 Emergency readmissions within 30 days of \| \| \| \| discharge from hospital \| \| \| \| 4.12 Preventable sight loss \| \| \| \| 4.13 Health-related quality of life for older people \| \| \| \| 4.14 Hip fractures in people aged 65 and over \| \| \| \| 4.15 Excess winter deaths \| \| \| \| 4.16 Estimated diagnosis rate for people with \| \| \| \| dementia \| \| \| \| \| \| \| \| AQ \| AT \| GS \| FR \| OH \| HF \| FP \| \|-------\|-------\|-------\|-------\|-------\|-------\|-------\| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| AQ \| Tr \| GS \| FR \| OH \| HF \| FP \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Participation in Physical Green Space Access Deficiency (% value Activity % per week - Adult Obesity Prevalence Adult Obesity per Ward) Obesity - Borough Green Space Surface Total Ward N. Ward with Access Deficiency % Households 1 time a week 5 times per week LA London England Barking & Dagenham 33.6 17.0 4.0 over 50% 45.1 15.4 28.7 Barnet 41.3 21.0 4.0 over 40% 54.9 17.6 17.9 Bexley 31.7 21.0 4.0 over 40% 60.8 20.0 26.4 Brent 21.9 21.0 4.0 over 40% 49.4 16.3 21.2 Bromley 57.8 22.0 2.0 over 50% 62.4 21.1 21.8 Camden 24.8 18.0 5.0 over 50% 65.1 26.0 15.5 City of London 4.8 0.0 0.0 1.0 52.8 28.7 City of Westminster 21.5 20.0 4.0 over 50% 59.3 25.4 15.0 20.7 24.2 Croydon 37.1 24.0 7.0 over 50% 58.9 19.8 24.3 Ealing 30.9 23.0 6.0 over 50% 48.2 14.6 18.1 Enfield 45.6 21.0 8.0 over 50% 50.7 18.6 23.2 Greenwich 34.4 17.0 1.0 over 40% 55.4 19.5 22.6 Hackney 23.2 19.0 5.0 over 40% 58.9 24.0 22.6 Hammersmith & Fulham 19.1 16.0 5.0 over 50% 66.4 27.6 15.6 Haringey 25.5 19.0 6.0 over 40% 54.9 17.7 20.1 Harrow 34.6 21.0 8.0 over 50% 51.7 17.1 19.2 Havering 59.3 18.0 7.0 over 50% 52.5 16.4 27.3 Participation in Physical Green Space Access Deficiency (% value Activity % per week - Adult Obesity Prevalence Adult Obesity per Ward) Obesity - Borough Green Space Surface Total Ward N. Ward with Access Deficiency % Households 1 time a week 5 times per week LA London England Hillingdon 49.2 22.0 2.0 over 50% 48.9 14.1 23.2 Hounslow 39.6 20.0 5.0 over 40% 52.4 17.8 20.5 Islington 12.4 16.0 4.0 over 50% 61.3 22.4 18.0 Kensington & Chelsea 15.1 18.0 1.0 over 50% 63.5 21.5 13.9 Kingston upon Thames 36.4 16.0 5.0 over 50% 61.2 23.1 16.7 Lambeth 17.3 21.0 7.0 over 50% 62.0 30.2 20.7 20.7 24.2 Lewisham 22.5 18.0 3.0 over 40% 56.4 21.3 23.7 20.7 24.2 Merton 34.6 20.0 3.0 over 40% 55.0 17.5 19.1 20.7 24.2 Newham 23.9 20.0 9.0 over 50% 45.7 17.3 25.3 20.7 24.2 Redbridge 40.6 21.0 5.0 over 40% 54.5 19.4 22.3 20.7 24.2 Richmond upon Thames 50.8 18.0 1.0 over 50% 69.3 27.4 14.9 20.7 24.2 Southwark 24.9 20.0 7.0 over 50% 59.5 19.5 22.5 20.7 24.2 Sutton & Merton 32.0 18.0 4.0 over 50% 64.2 19.7 21.6 20.7 24.2 Tower Hamlets 15.2 17.0 5.0 over 50% 55.9 19.7 19.4 20.7 24.2 Waltham Forest 31.4 20.0 8.0 over 40% 56.2 20.3 23.4 20.7 24.2 Wandsworth 26.9 20.0 2.0 over 50% 66.4 26.9 15.0 20.7 24.2 ## Active Travel And Transport Data \| \| Number of \| Annual Casualties on \| \|----------------------\|-------------------------------------------------\|-------------------------\| \| \| 'Travels per \| the Road, 2005- \| \| day' (000's) \| 2009 average \| \| \| Barking & Dagenham \| \| \| \| 280 \| 604 \| 1 \| \| Barnet \| \| \| \| 769 \| 1,344 \| 3 \| \| Bexley \| \| \| \| 357 \| 644 \| -12 \| \| Brent \| \| \| \| 592 \| 918 \| -2 \| \| Bromley \| \| \| \| 691 \| 929 \| -6 \| \| Camden \| \| \| \| 744 \| 902 \| 3 \| \| City of London \| \| \| \| 262 \| 369 \| 11 \| \| Croydon \| \| \| \| 720 \| 1,208 \| 2 \| \| Ealing \| \| \| \| 633 \| 1,155 \| -15 \| \| Enfield \| \| \| \| 594 \| 1,033 \| 7 \| \| Greenwich \| \| \| \| 428 \| 919 \| 1 \| \| Hackney \| \| \| \| 404 \| 948 \| -8 \| \| Hammersmith & Fulham \| 494 \| 745 \| \| Haringey \| \| \| \| 483 \| 830 \| 10 \| \| Harrow \| \| \| \| 422 \| 534 \| -21 \| \| Havering \| \| \| \| 477 \| 903 \| -10 \| \| Hillingdon \| \| \| \| 563 \| 1,028 \| -8 \| \| Hounslow \| \| \| \| 488 \| 959 \| 4 \| \| Islington \| \| \| \| 486 \| 742 \| 33 \| \| Kensington & Chelsea \| \| \| \| 472 \| 818 \| -2 \| \| Kingston upon Thames \| \| \| \| 378 \| 430 \| 3 \| \| Lambeth \| \| \| \| 614 \| 1,234 \| 6 \| \| Lewisham \| \| \| \| 476 \| 968 \| 10 \| \| Merton \| \| \| \| 431 \| 522 \| -2 \| \| Newham \| \| \| \| 590 \| 1,014 \| -10 \| \| Redbridge \| \| \| \| 524 \| 866 \| 9 \| \| Richmond upon Thames \| \| \| \| 447 \| 486 \| 7 \| \| Southwark \| \| \| \| 582 \| 1,137 \| 0 \| \| Sutton \| \| \| \| 393 \| 576 \| -7 \| \| Tower Hamlets \| \| \| \| 561 \| 977 \| -3 \| \| Waltham Forest \| \| \| \| 387 \| 865 \| -6 \| \| Wandsworth \| \| \| \| 621 \| 925 \| 14 \| \| Westminster \| \| \| \| 1168 \| 1,695 \| -3 \| \| Average \| \| \| \| 531 \| 886 \| \| \| Source \| \| \| \| London Travel \| \| \| \| Demand Survey \| Reported Road Casualties, Great Britain, gov.uk \| \| % Change 2005-2009 to Average Fatalities Number of 2011 2005-2009 Vehicles 6 95634 ## Air Quality Data Fraction (%) of mortality attributable to long term exposure to PM2.5 Rank Barking & Dagenham 7.1 14 27% 3 Barnet 6.8 10 21% 15 Bexley 6.6 7 18% 1 Brent 7.2 17 29% 6 Bromley 6.3 1 13% 1 Camden 7.7 24 38% 5 City of London 9 33 61% 2 Croydon 6.5 5 16% 5 Ealing 7.2 17 29% 5 Enfield 6.6 7 18% 10 Greenwich 7.2 17 29% 7 Hackney 7.8 26 39% 8 Hammersmith and Fulham 7.9 27 41% 5 Haringey 7.1 14 27% 9 Harrow 6.4 3 14% 5 Havering 6.3 1 13% 3 Hillingdon 6.5 5 16% 8 Hounslow 7.1 14 27% 10 Islington 7.9 27 41% 3 Kensington and Chelsea 8.3 31 48% 3 Kingston upon Thames 6.7 9 20% 2 Lambeth 7.7 24 38% 9 Lewisham 7.2 17 29% 9 Merton 6.9 12 23% 4 Newham 7.6 23 36% 6 Redbridge 7 13 25% 4 Richmond upon Thames 6.8 10 21% 4 Southwark 7.9 27 41% 7 Sutton 6.4 3 14% 3 Tower Hamlets 8.1 30 45% 6 Waltham Forest 7.3 21 30% 7 Wandsworth 7.3 21 30% 4 Westminster 8.3 31 48% 8 Source: % different from UK average Number of Air Quality Focus Areas ## Table 4 Healthy Food Data Childhood Adult Participation in Physical Obesity % Consumption of 5 portions of fruits and Obesity Activity % per week Prevalence (6yrs vegetables a day Prevalence old) LA Once a week 5 times per week LA Total MSOA N. Areas (MSOA) with highest % of consumption % Intervals Barking & Dagenham 28.7 45.1 15.4 22 8 (25.40 - 31.20) Barnet 17.9 54.9 17.6 41 16 (43.90 - 56-10) Bexley 26.4 60.8 20 28 10 (31.20 - 37.20) Brent 21.2 49.4 16.3 34 13 (38.20 - 45.30) Bromley 21.8 62.4 21.1 39 15 (27.20 - 45.30) Camden 15.5 65.1 26 28 10 (44.60 - 55.10) City of London 52.8 28.7 48 City of Westminster 15 59.3 25.4 24 10 (48.60 - 52.10) Croydon 24.3 58.9 19.8 44 17 (35.50 - 48.8) Ealing 18.1 48.2 14.6 39 15 (41.10 - 55.40) Enfield 23.2 50.7 18.6 36 14 (33.90 - 41.90) Greenwich 22.6 55.4 19.5 32 12 (32.70 - 42.20) Hackney 22.6 58.9 24 27 10 (34.90 - 41.60) Hammersmith & Fulham 15.6 66.4 27.6 25 10 (41.70 - 48.20) Haringey 20.1 54.9 17.7 36 14 (39.20 - 48.00) Harrow 19.2 51.7 17.1 31 12 (39.70 - 47.60) Havering 27.3 52.5 16.4 30 12 (30.80 - 37.30) Hillingdon 23.2 48.9 14.1 32 12 (34.20 - 45.40) Hounslow 20.5 52.4 17.8 28 10 (36.90 - 47.20) Islington 18 61.3 22.4 23 7 (27.60 - 40.80) Kensington & Chelsea 13.9 63.5 21.5 21 8 (50.70 - 54.30) Kingston upon Thames 16.7 61.2 23.1 20 8 (41.90 - 49.40) Lambeth 20.7 62 30.2 35 13 (36.00 - 42.90) Lewisham 23.7 56.4 21.3 36 14 (36.00 - 42.90) Merton 19.1 55 17.5 25 10 (41.40 - 55.40) Newham 25.3 45.7 17.3 37 13 (32.60 - 36.60) Redbridge 22.3 54.5 19.4 33 12 (35.50 - 43.30) Richmond upon Thames 14.9 69.3 27.4 23 8 (44.70 - 48.30) Southwark 22.5 59.5 19.5 33 11 (37.50% - 43.30) Sutton 21.6 64.2 19.7 24 9 (35.20 - 44.30) Tower Hamlets 19.4 55.9 19.7 31 12 ( 29.70 - 42.90) Waltham Forest 23.4 56.2 20.3 28 10 (33.70 - 37.40) Wandsworth 15 66.4 26.9 37 15 (42.30 - 46.80) Average 20.6 57.0 20.7 30.7 11.6 48.0 London 20.7 22.53 England 24.2 19.2 Source Health Needs Assessment Toolkit National Obesity Observatory (2010-2011) Health Needs Assessment Toolkit ## Table 5 Fuel Poverty Data Excess winter deaths 2010/11 Population Aged 65 Households in privatelyrented 2011 Percentage in privately-rented 2011 2012 2025 2040 Barking and Dagenham 60 19,700 24,700 35,900 17,000 22.9 Barnet 90 49,400 65,600 88,100 28,000 20.5 Bexley 90 38,500 45,100 56,300 10,000 10.9 Brent 40 33,800 46,300 61,100 26,000 29.2 Bromley 190 54,200 64,200 79,500 17,000 12.6 Camden 70 24,800 30,200 39,300 29,000 26.8 City of London 10 1,100 1,700 2,800 1,000 8.6 Croydon 70 46,200 61,200 84,100 19,000 13.9 Ealing 90 37,500 49,000 65,300 29,000 24.3 Enfield 150 40,000 49,900 64,300 27,000 22.7 Greenwich 70 27,300 38,200 54,100 18,000 19.7 Hackney 30 17,900 23,900 34,500 21,000 22.8 Hammersmith and Fulham 40 16,900 20,200 26,100 21,000 26.4 Haringey 60 23,000 29,000 38,600 20,000 23.3 Harrow 60 34,800 43,700 50,000 18,000 22.2 Havering 130 44,000 53,800 64,600 10,000 9.4 Hillingdon 120 36,400 44,300 56,100 21,000 19.8 Hounslow 110 27,800 35,500 45,900 25,000 27.9 Islington 30 18,400 22,500 31,000 22,000 24.2 Kensington and Chelsea 50 20,100 26,600 33,500 18,000 23.0 Kingston upon Thames 70 21,100 26,600 34,100 16,000 22.6 Lambeth 60 23,700 31,200 45,600 29,000 23.2 Lewisham 90 26,600 32,100 44,800 25,000 21.7 Merton 60 23,800 29,800 39,800 19,000 24.4 Newham 70 21,300 30,900 44,300 29,000 35.4 Redbridge 80 34,300 41,200 51,400 25,000 25.8 Richmond upon Thames 40 26,500 33,100 42,000 17,000 21.5 Southwark 90 22,900 30,200 43,500 29,000 22.4 Sutton 60 28,600 34,500 44,100 14,000 16.9 Tower Hamlets 40 15,800 20,600 31,200 32,000 33.9 Waltham Forest 110 26,500 34,600 48,100 24,000 26.6 Wandsworth 150 27,700 33,000 43,600 41,000 34.6 Westminster 20 25,200 30,400 39,400 44,000 35.9 75.8 28357.6 35872.7 47363.6 22454.5 22.9 Source: ## Acknowledgements Project Team-Responsible for project management, project delivery and writing the guides: Annette Figueiredo- Principal Policy & Programme Officer, Resilience and Quality of Life Team-GLA; Jason Strelitz, Public Health Specialist, GLA Alena Ivanova; Elena Guidorzi; Joe Parsons- MA/MSc postgraduate students-University of London, Kings College, GLA work placements Dr Angie Bone-Consultant in Public Health Medicine, Extreme Events and Health Protection, Public Health England The Project Team would like to thank everyone who has been involved in the project and contributed to the production of the guides. Particular thanks go to: GLA Staff Helen Walters, Head of Health Alex Nickson, Policy & Programmes Manager, Resilience and Quality of Life Team Peter Massini, Principal Policy & Programme Officer, Resilience and Quality of Life Team Lucy Saunders, Public Health Specialist, Health Team Jonathan Pauling, Principal Policy Officer, Food, Economic & Business Policy Team Mark Ainsbury, Senior Policy Officer, Food, Economic & Business Policy Team Elliot Treharne, Principal Policy & Programme Officer, Resilience and Quality of Life Team Liz Prosser, Senior Project Officer, Healthy Schools London, Health Team Kat McKinlay, Policy Officer, Transport Team Gareth Baker, GIS Officer, GIS and Infrastructure Team Michael Jeffreys. GIS Officer, GIS and Infrastructure Team Alison Murray, Programme Officer, Regeneration Team Emma Williamson, Principal Strategic Planner, Planning Team Susan Pape, Internal Communications Officer, HR & Organisational Development, Communications Team Una Buckley, Employee Engagement Manager, HR & Organisational Development Charlotte Hall, Health Inequalities Programme Leader, Health Team Larissa Bulla, Principal Policy & Programme Officer, Energy & Waste Team Kevin Reid, Principal Policy & Programme Officer, Resilience and Quality of Life Team Rebecca Roper, Childhood Obesity and Health Team Support Officer, Health Team GLA Design Team Other Colleagues Alex Trouton, Policy and Information Officer, Lambeth and Southwark Public Health Department Jonathan Hiderbrand, Director of Public Health, London Borough of Kingston Caroline Hancock, Senior Public Health Analyst - Public Health England Thomas Abeling, PhD Researcher, UNITED NATIONS UNIVERSITY, Institute for Environment and Human Security (UNU,EHS) Paul James, Director of the United Nations Global Compact, Cities Programme John Kolm-Murray, Seasonal Health Officer, Islington Council Fiona Daly - Environmental Manager, Barts Health NHS Trust Gordon Deuchars, Policy and Campaigns Manager, Age UK London Dr Anna Mavrogianni, Lecturer in Environmental Design and Engineering, UCL Jonathon Taylor, Research Associate, UCL Professor Virginia Murray, Head of Extreme Events and Health Protection, PHE Professor Sue Grimmond - Department of Meteorology, University of Reading Other formats and languages For a large print, Braille, disc, sign language video or audio-tape version of this document, please contact us at the address below: Public Liaison Unit Greater London Authority Telephone 020 7983 4100 City Hall Minicom 020 7983 4458 The Queen's Walk www.london.gov.uk More London London SE1 2AA You will need to supply your name, your postal address and state the format and title of the publication you require. If you would like a summary of this document in your language, please phone the number or contact us at the address above. \| Chinese \| Hindi \| \|------------\|----------\| \| \| \| \| \| \| \| Vietnamese \| Bengali \| \| \| \| \| \| \| \| Greek \| Urdu \| \| \| \| \| \| \| \| Turkish \| Arabic \| \| \| \| \| \| \| \| Punjabi \| Gujarati \| \| \| \| \| \| \| \| \| \|	en
0405-pdf	th ## Information Regarding The Prosecution Of Mrs M Ecclestone For Murder Request Request, Numbered For Ease Of Reference: 1. The total cost of the prosecution of MRS MAVIS ECCLESTON for the murder of her terminally ill husband. 2. Who gave the final decision to prosecute. Response In response to point one, generally, where a request is made regarding prosecution costs, the Crown Prosecution Service (CPS) will endeavour to provide counsel's costs only. This is because the CPS does not record time spent by internal lawyers, paralegals and administrative staff on a case by case basis. We can therefore only provide counsel costs regarding the prosecution referred to in part one of your request. CPS West Midlands confirm that the total recorded prosecution costs were £38,567.10. In response to point two, the name of the Prosecutor who made the decision to charge in the matter referred to is withheld, under section 40(2) of the Freedom of Information Act - Personal Information. For a more detailed explanation of this exemption please see the attached section 17 refusal notice. Information Management Unit 020 3357 0788 IMU@cps.gov.uk Crown Prosecution Service, Information Management Unit, Floor 8, 102 Petty France, London SW1H 9AJ	en
1378-pdf	## Department For Business, Innovation And Skills 01 July 2014 - 30 September 2014 GIFTS GIVEN OVER £140 Secretary of State for Business, Innovation & Skills and President of the Board of Trade, Rt Hon Vincent Cable MP Date gift given To Gift Value (over £140) Nil return Minister of State, (Universities and Science), Rt Hon David Willetts MP (01 July - 14 July 2014) Date gift given To Gift Value (over £140) Nil return Minister of State for Cabinet Office (Cities and Constitution) and Minister of State for Universities and Science, Rt Hon Greg Clark MP (15 July 2014 - September 2014) Date gift given To Gift Value (over £140) Nil return Minister of State (Trade and Investment), Lord Livingston Date gift given To Gift Value (over £140) Nil return Parliamentary Secretary for Business, Innovation and Skills Parliamentary Under Secretary of State, Viscount Younger (01 July - 14 July 2014) Date gift given To Gift Value (over £140) Nil return Parliamentary Under-Secretary of State for Business, Innovation and Skills and Minister for Intellectual Property, Baroness Neville-Rolfe DBE (15 July - 30 September 2014) Date gift given To Gift Value (over £140) Nil return Parliamentary Under Secretary of State, (Employment Relations, Consumer Affairs), Jo Swinson MP Date gift given To Gift Value (over £140) Nil return Parliamentary Under Secretary of State, (Skills jointly with the Department for Education), Matthew Hancock MP (01 July - 14 July 2014) Date gift given To Gift Value (over £140) Nil return Minister of State for Skills and Equalities working jointly with the Department for Education, Nick Boles MP (15 July 2014 - 30 September 2014) Date gift given To Gift Value (over £140) Nil return Minister of State, (Business and Enterprise), Rt Hon Michael Fallon MP (01 July - 14 July 2014) Date gift given To Gift Value (over £140) Nil return Minister of State for Business and Enterprise and Energy working jointly with the Department of Energy and Climate Change, Rt Hon Matthew Hancock MP (15 July 2014 - 30 September 2014) Date gift given To Gift Value (over £140) Nil return Parliamentary Under Secretary of State for Life Sciences working jointly with the Department of Health, George Freeman MP (15 July 2014 - September 2014) Date gift given To Gift Value (over £140) Nil return From Gift Value Outcome GIFTS RECEIVED OVER £140 Secretary of State for Business, Innovation & Skills and President of the Board of Trade, Rt Hon Vincent Cable MP Date gift received Nil return From Gift Value Outcome Minister of State, (Universities and Science), Rt Hon David Willetts MP (01 July - 14 July 2014) Date gift received Nil return From Gift Value Outcome Minister of State for Cabinet Office (Cities and Constitution) and Minister of State for Universities and Science, Rt Hon Greg Clark MP (15 July 2014 - September 2014) Date gift received Nil return Minister of State (Trade and Investment), Lord Livingston \| From \| Gift \| Value \| Outcome \| Date gift \| \|---------------------------------------------------------------------------\|---------\|-----------\|--------------\|--------------\| \| received \| \| \| \| \| \| \| \| \| \| \| \| From \| Gift \| Value \| Outcome \| \| \| \| \| \| \| \| \| Parliamentary Secretary for Business, Innovation and Skills \| \| \| \| \| \| Parliamentary Under Secretary of State, Viscount Younger (01 July - 14 \| \| \| \| \| \| July 2014) \| \| \| \| \| \| Date gift \| \| \| \| \| \| received \| \| \| \| \| \| Nil return \| \| \| \| \| \| From \| Gift \| Value \| Outcome \| \| \| \| \| \| \| \| \| Parliamentary Under-Secretary of State for Business, Innovation and \| \| \| \| \| \| Skills and Minister for Intellectual Property, Baroness Neville-Rolfe DBE \| \| \| \| \| \| (15 July - 30 September 2014) \| \| \| \| \| \| Date gift \| \| \| \| \| \| received \| \| \| \| \| \| Nil return \| \| \| \| \| \| From \| Gift \| Value \| Outcome \| \| \| \| \| \| \| \| \| Parliamentary Under Secretary of State, (Employment Relations, \| \| \| \| \| \| Consumer Affairs), Jo Swinson MP \| \| \| \| \| \| Date gift \| \| \| \| \| \| received \| \| \| \| \| \| Nil return \| \| \| \| \| \| From \| Gift \| Value \| Outcome \| \| \| \| \| \| \| \| \| Parliamentary Under Secretary of State, (Skills jointly with the \| \| \| \| \| \| Department for Education), Matthew Hancock MP (01 July - 14 July \| \| \| \| \| \| 2014) \| \| \| \| \| \| \| \| \| \| \| \| Date gift \| \| \| \| \| \| received \| \| \| \| \| \| Nil return \| \| \| \| \| \| From \| Gift \| Value \| Outcome \| \| \| \| \| \| \| \| \| Minister of State for Skills and Equalities working jointly with the \| \| \| \| \| \| Department for Education, Nick Boles MP (15 July 2014 - 30 September \| \| \| \| \| \| 2014) \| \| \| \| \| \| \| \| \| \| \| \| Date gift \| \| \| \| \| \| received \| \| \| \| \| \| Nil return \| \| \| \| \| \| From \| Gift \| Value \| Outcome \| \| \| \| \| \| \| \| \| Minister of State, (Business and Enterprise), Rt Hon Michael Fallon MP \| \| \| \| \| \| (01 July - 14 July 2014) \| \| \| \| \| \| Date gift \| \| \| \| \| \| received \| \| \| \| \| \| Nil return \| \| \| \| \| \| From \| Gift \| Value \| Outcome \| \| \| \| \| \| \| \| \| Minister of State for Business and Enterprise and Energy working \| \| \| \| \| \| jointly with the Department of Energy and Climate Change, Rt Hon \| \| \| \| \| \| Matthew Hancock MP (15 July 2014 - 30 September 2014) \| \| \| \| \| \| Date gift \| \| \| \| \| \| received \| \| \| \| \| \| Nil return \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| From \| Gift \| Value \| Outcome \| \|----------------------------------------------------------------------------------------------\|-------------\|-----------\|--------------\| \| Parliamentary Under Secretary of State for Life Sciences working jointly \| \| \| \| \| with the Department of Health, George Freeman MP (15 July 2014 - \| \| \| \| \| September 2014) \| \| \| \| \| Date gift \| \| \| \| \| received \| \| \| \| \| Nil return \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| OVERSEAS TRAVEL \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Date(s) of \| \| \| \| \| trip \| \| \| \| \| Destination Purpose of trip \| 'Scheduled' \| \| \| \| or No 32 \| \| \| \| \| (The Royal) \| \| \| \| \| Squadron' \| \| \| \| \| or 'other \| \| \| \| \| RAF' or \| \| \| \| \| 'Charter' or \| \| \| \| \| 'Eurostar' \| \| \| \| \| Secretary of State for Business, Innovation & Skills and President of the Board of Trade, Rt \| \| \| \| \| Hon Vincent Cable MP \| \| \| \| \| Nil return \| \| \| \| \| Minister of State, (Universities and Science), Rt Hon David Willetts MP (01 July - 14 July \| \| \| \| \| 2014) \| \| \| \| \| Nil return \| \| \| \| \| Belgium, \| \| \| \| \| Brussels \| \| \| \| \| To attend \| \| \| \| \| Competitiveness \| \| \| \| \| Council \| \| \| \| \| Minister of State for Cabinet Office (Cities and Constitution) and Minister of State for \| \| \| \| \| Universities and Science, Rt Hon Greg Clark MP (15 July 2014 - September 2014) \| \| \| \| \| 25 \| \| \| \| \| September \| \| \| \| \| - 26 \| \| \| \| \| September \| \| \| \| \| Minister of State (Trade and Investment), Lord Livingston \| \| \| \| \| \| \| \| \| \| 11 July - \| \| \| \| \| 21 July \| \| \| \| \| New \| \| \| \| \| Zealand, \| \| \| \| \| Auckland, \| \| \| \| \| Christchurch, \| \| \| \| \| Australia, \| \| \| \| \| Sydney \| \| \| \| \| To promote UK \| \| \| \| \| trade and \| \| \| \| \| investment, meet \| \| \| \| \| with senior \| \| \| \| \| Government \| \| \| \| \| Ministers \| \| \| \| \| represent the UK \| \| \| \| \| at the G20 \| \| \| \| \| meeting in \| \| \| \| \| Sydney \| \| \| \| \| Azerbaijan, \| \| \| \| \| Baku \| \| \| \| \| 19 \| \| \| \| \| September \| \| \| \| \| - 20 \| \| \| \| \| September \| \| \| \| \| Attend 20th \| \| \| \| \| anniversary of the \| \| \| \| \| Azeri-Chirag- \| \| \| \| \| Guneshli (ACG) \| \| \| \| \| oil project event \| \| \| \| \| and the Southern \| \| \| \| \| Gas Corridor \| \| \| \| \| Groundbreaking \| \| \| \| \| Ceremony. \| \| \| \| \| Germany, \| \| \| \| \| Dusseldorf \| \| \| \| \| 30 \| \| \| \| \| September \| \| \| \| \| - 01 \| \| \| \| \| Open new British \| \| \| \| \| Consulate- \| \| \| \| \| General office \| \| \| \| \| Total cost \| \| \| \| \| including travel \| \| \| \| \| and \| \| \| \| \| accommodation \| \| \| \| \| of Minister only \| \| \| \| \| Number of \| \| \| \| \| officials \| \| \| \| \| accompanying \| \| \| \| \| Minister, \| \| \| \| \| where non- \| \| \| \| \| scheduled \| \| \| \| \| travel is used \| \| \| \| \| N/A \| £372 \| Eurostar, \| \| \| Scheduled \| \| \| \| \| Scheduled \| N/A \| £7,691 \| \| \| Scheduled \| N/A \| £3,977 \| \| \| Scheduled \| N/A \| £636 \| \| \| October \| meet prominent \| \|------------------------------------------------------------------------------------------------\|-------------------------------\| \| figures from \| \| \| politics and \| \| \| industry \| \| \| Parliamentary Secretary for Business, Innovation and Skills \| \| \| Parliamentary Under Secretary of State, Viscount Younger (01 July - 14 July 2014) \| \| \| Nil return \| \| \| Belgium, \| \| \| Brussels \| \| \| To attend EU \| \| \| Competitiveness \| \| \| Council \| \| \| Parliamentary Under-Secretary of State for Business, Innovation and Skills and Minister for \| \| \| Intellectual Property, Baroness Neville-Rolfe DBE (15 July - 30 September 2014) \| \| \| 24 \| \| \| September \| \| \| - 25 \| \| \| September \| \| \| Parliamentary Under Secretary of State, (Employment Relations, Consumer Affairs), Jo \| \| \| Swinson MP \| \| \| Nil return \| \| \| Parliamentary Under Secretary of State, (Skills jointly with the Department for Education), \| \| \| Matthew Hancock MP (01 July - 14 July 2014) \| \| \| Nil return \| \| \| Minister of State for Skills and Equalities working jointly with the Department for Education, \| \| \| Nick Boles MP (15 July 2014 - 30 September 2014) \| \| \| \| \| \| Nil return \| \| \| Minister of State, (Business and Enterprise), Rt Hon Michael Fallon MP (01 July - 14 July \| \| \| 2014) \| \| \| Nil return \| \| \| Minister of State for Business and Enterprise and Energy working jointly with the \| \| \| Department of Energy and Climate Change, Rt Hon Matthew Hancock MP (15 July 2014 - 30 \| \| \| September 2014) \| \| \| 22 July \| Belgium, \| \| Brussels \| \| \| To attend the EEF \| \| \| MEPs reception, \| \| \| and to meet the \| \| \| Commissioner to \| \| \| negotiate the UK \| \| \| Partnership \| \| \| Agreement \| \| \| Parliamentary Under Secretary of State for Life Sciences working jointly with the \| \| \| Department of Health, George Freeman MP (15 July 2014 - September 2014) \| \| \| Nil Return \| \| \| Name of organisation \| Type of hospitality received¹ \| \| \| \| \| \| \| \| HOSPITALITY \| \| \| \| \| \| Date of \| \| \| hospitality \| \| \| Secretary of State for Business, Innovation & Skills and President of the \| \| \| Board of Trade, Rt Hon Vincent Cable MP \| \| \| \| \| \| 17 July \| Sunday Times \| \| 21 July \| The Guardian \| \| 03 September \| The Times \| \| 11 September \| BBC and The Today \| \| Programme \| \| \| Lunch \| \| \| 16 September \| The Times \| \| Minister of State, (Universities and Science), Rt Hon David Willetts MP \| \| \| (01 July - 14 July 2014) \| \| \| Eurostar \| N/A \| \| Scheduled \| N/A \| \| 01 July \| Daily Mail and The Times \| Lunch \| \|---------------------------------------------------------------------------\|-----------------------------\|------------------\| \| 03 July \| The Telegraph \| Breakfast \| \| Minister of State for Cabinet Office (Cities and Constitution) and \| \| \| \| Minister of State for Universities and Science, Rt Hon Greg Clark MP (15 \| \| \| \| July 2014 - September 2014) \| \| \| \| 15 July \| Lockheed Martin \| Dinner \| \| Dinner \| 24 July \| Royal Society of \| \| Edinburgh \| \| \| \| 13 August \| UCAS \| Dinner \| \| 09 September \| Universities UK \| Dinner \| \| Dinner \| \| \| \| Minister of State (Trade and Investment), Lord Livingston \| \| \| \| 01 July \| EEF The Manufacturers' \| \| \| Organisation \| \| \| \| 16 September \| PricewaterhouseCoopers \| Breakfast \| \| 22 September \| Hong Kong Association \| Lunch \| \| 23 September \| Arup \| Breakfast \| \| 16 September \| PricewaterhouseCoopers \| Breakfast \| \| 10 September \| KPMG \| Breakfast \| \| Parliamentary Secretary for Business, Innovation and Skills \| \| \| \| Parliamentary Under Secretary of State, Viscount Younger (01 July - 14 \| \| \| \| July 2014) \| \| \| \| \| \| \| \| Nil return \| \| \| \| Parliamentary Under-Secretary of State for Business, Innovation and \| \| \| \| Skills and Minister for Intellectual Property, Baroness Neville-Rolfe DBE \| \| \| \| (14 July - 30 September 2014) \| \| \| \| Nil return \| \| \| \| Parliamentary Under Secretary of State, (Employment Relations, \| \| \| \| Consumer Affairs), Jo Swinson MP \| \| \| \| \| \| \| \| Nil return \| \| \| \| Parliamentary Under Secretary of State, (Skills jointly with the \| \| \| \| Department for Education), Matthew Hancock MP (01 July - 14 July \| \| \| \| 2014) \| \| \| \| \| \| \| \| 01 July \| Daily Mail \| Lunch \| \| Minister of State for Skills and Equalities working jointly with the \| \| \| \| Department for Education, Nick Boles MP (15 July 2014 - 30 September \| \| \| \| 2014) \| \| \| \| \| \| \| \| Nil return \| \| \| \| Minister of State, (Business and Enterprise), Rt Hon Michael Fallon MP \| \| \| \| (01 July - 14 July 2014) \| \| \| \| Nil return \| \| \| \| Lunch \| \| \| \| Minister of State for Business and Enterprise and Energy working jointly \| \| \| \| with the Department of Energy and Climate Change, Rt Hon Matthew \| \| \| \| Hancock MP (15 July 2014 - 30 September 2014) \| \| \| \| 04 September \| Bank of America Merrill \| \| \| Lynch \| \| \| \| Parliamentary Under Secretary of State for Life Sciences working jointly \| \| \| \| with the Department of Health, George Freeman MP (15 July 2014 - \| \| \| \| September 2014) \| \| \| \| Nil return \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| ¹Does not normally include attendance at functions hosted by HM Government; 'diplomatic' functions in the UK or abroad, hosted by overseas governments; minor refreshments at meetings, receptions, conferences, and seminars; and offers of hospitality which were declined. * Indicates if accompanied by spouse/partner or other family member or friend. MEETINGS WITH EXTERNAL ORGANISATIONS Date of Meeting Name of External Organisation1 Purpose of Meeting Secretary of State for Business, Innovation & Skills and President of the Board of Trade, Rt Hon Vincent Cable MP July 2014 London Evening Standard General catch up July 2014 Creative Industries Council To discuss the creative industry July 2014 The FT To discuss takeovers July 2014 Royal Bank of Scotland To discuss banking July 2014 Ministerial Bio-Pharmaceutical Industry Group To discuss the pharmaceutical industry July 2014 Ian Swales MP, Sirius Minerals To discuss business July 2014 The FT General catch up July 2014 The Institute of Directors Regular meeting July 2014 Trade Unions Congress Regular meeting July 2014 Bank of England General catch up July 2014 National Union of Students To discuss higher education July 2014 AgustaWestland, David Laws MP General catch up July 2014 Shell To discuss business July 2014 Federation of Small Businesses Regular meeting July 2014 ShareAction To discuss the Kay Review July 2014 High Value Manufacturing Catapult To discuss innovation August 2014 The Times General catch up September 2014 City AM, Buzzfeed General catch up September 2014 General Electric To discuss mergers & takeovers September 2014 BP Regular meeting September 2014 The Sunday Telegraph General catch up September 2014 KfW Group To discuss banking September 2014 Santander To discuss banking September 2014 Crossrail To discuss apprenticeships, skills, innovation in the construction and transport industries September 2014 Amadeus Capital To discuss catapults September 2014 Royal Bank of Scotland To discuss banking issues To discuss the construction industry September 2014 Tata Steel, Ibstock, Marshalls plc, Cemex Hanson Building Products, BASF, Construction Products Association, Lafarge Tarmac, Knauf Insulation, Wienerberger September 2014 The Guardian General catch up September 2014 BBC General catch up September 2014 Confederation of British Industry Regular meeting September 2014 Bentley To discuss the automotive industry September 2014 Hinduja Group To discuss manufacturing To discuss upcoming trip to India September 2014 National Asian Business Association, Bedfordshire Asian Business Association, Middlesex Asian Business Association, Asian Business Association - London Chamber, North East Asian Business Association, Hertfordshire Asian Business Association, Leicestershire Asian Business Association Minister of State, (Universities and Science), Rt Hon David Willetts MP (01 July - 14 July 2014) July 2014 Information Economy Council To discuss information economy July 2014 Cyber Growth Partnership To discuss cyber July 2014 Heppell.net To discuss higher education July 2014 Bull Information Systems To discuss research July 2014 Synthetic Biology Leadership Council To discuss science and research To discuss higher education July 2014 Lancaster University, Warwick Institute for Employment, University of Cambridge, Institute for Fiscal Studies, Cambridge Econometrics, Higher Education Policy Institute, Higher Education Statistics Agency, Higher Education Funding Council for England July 2014 E-infrastructure Leadership Council To discuss technology and innovation July 2014 Econometrica To discuss space To discuss higher education July 2014 Universities and College Admissions Service, Supporting Professionalism in Admissions Programme, Guild Higher Education July 2014 Ministerial Bio-Pharmaceutical Industry Strategy Group To discuss the pharmaceutical industry July 2014 Quality Assurance Agency To discuss higher education To discuss higher education July 2014 National Children's Bureau, Disability Rights UK, The Dyslexia-Special Learning Difficulties Trust, Royal National Institute of Blind People, Equality Challenge Unit July 2014 National Union of Students To discuss higher education July 2014 British Venture Capital Association To discuss innovation Minister of State for Cabinet Office (Cities and Constitution) and Minister of State for Universities and Science, Rt Hon Greg Clark MP (15 July 2014 - September 2014) July 2014 Universities UK To discuss higher education July 2014 High Value Manufacturing Catapult To discuss innovation July 2014 Amadeus Capital Partners To discuss innovation July 2014 Royal Society To discuss science July 2014 Royal Society To discuss science August 2014 UCAS, Ofqual To discuss higher education September 2014 Space Leadership Council To discuss space September 2014 Universities UK To discuss higher education To discuss higher education September 2014 Association of Managers of Student Services in Higher Education, National Association of Disability Practitioners, National Association of Student Money Advisers, University Mental Health Advisers Network September 2014 National Union of Students To discuss higher education September 2014 IBM To discuss science September 2014 Arts Council England To discuss science September 2014 Amadeus Capital Partners To discuss innovation September 2014 OECD To discuss education Minister of State (Trade and Investment), Lord Livingston July 2014 Mace Group Introductory meeting and discuss the relationship with UK Trade & Investment July 2014 National Air Traffic Control Service To discuss UK Trade & Investment engagement with NATs and to discuss air traffic control July 2014 TheCityUk To discuss trade and investment in the finance sector To discuss trade & investment in the finance sector July 2014 Aberdeen Asset Management, Alliance Trust, Allianz Global Investors GmbH, Association of British Insurers, Aviva, Bank of America Merrill Lynch, Bank of Ireland, Bank of New York Mellon, BlackRock, BNP Paribas UK, British Bankers Association, Canary Wharf Group, Cass Business School, Confederation of British industry, Chartered Institute for Securities and Investment, Citigroup, Clifford Chance, Deloitte, Deutsche Bank UK, Ernest & Young, Freshfields Bruckhaus Deringer, Friends Life Group, Goldman Sachs International, Henderson Global Investors, Hibu, HSBC, ICE Benchmark Administration, Jersey Finance, JP Morgan UK, KPMG, Legal & General, Linklaters , Lloyds Banking Group, Lloyd's of London, London Stock Exchange, Mayer Brown International, Morgan Stanley, Nomura International & Nomura Europe Holdings, NYSE Liffe, Old Mutual Group, Permira Advisers, PricewaterhouseCoopers, Prudential , RBS, Santander UK, Scottish Financial Enterprise, St James's Place, Standard Life, Starr Companies, Thomson Reuters, UBS Investment Bank, Willis July 2014 Alliance Trust To discuss engagement with the financial sector July 2014 Kingfisher To discuss UK Trade and Investment and international retail strategy July 2014 UK China Business Association To discuss trade & investment opportunities in the UK & China A roundtable lunch organised by UKTI for 14 Queen's Award 2014 winners July 2014 Nikwax, Emulate3D, Optasense, CSB Holdings Plc, Electronic Temperature, Instruments Ltd, Kiln Flame Systems Ltd, Leverton-Clarke Ltd, Marco Ltd, Oxford Technologies Ltd, Quorum Technologies Ltd, Sysco Guest Supply Europe Ltd, Design Blue Ltd, D30 Elekta, Aspen Pumps Ltd July 2014 G3 To discuss trade and investment in the defence and security sector July 2014 Network Rail To discuss contract recently signed by Network Rail and trade and invest opportunities July 2014 Xpelair Group Company visit and round table meeting to discuss trade and investment July 2014 Xaar Company visit and round table meeting to discuss trade and investment July 2014 Mcquarie capital To discuss G20 trade Ministers meeting and trade and investment August 2014 British Airways To discuss BA support for UK exports August 2014 Alexander Dennis Ltd Company visit and round table meeting to discuss trade and investment August 2014 Surrey Satellite Technology Ltd Company visit and round table meeting to discuss trade and investment August 2014 Sesame access Company visit and round table meeting to discuss trade and investment September 2014 G4S To discuss trade and investment in the African security sector September 2014 Eversheds To discuss nuclear development and the role of women in Japan September 2014 Alliance Global Group To discuss trade and investment opportunities with the Far East Asia market September 2014 The Institute of Chartered Accountants in England and Wales Introductory meeting and to discuss export strategy Roundtable meeting to discuss export strategy and relationship with UK Export Finance and UK Trade & Investment September 2014 The Institute of Chartered Accountants in England and Wales, FD Solutions, Grace Foods, E2V Technologies, Deloitte, Grant Thornton, PWC, Laird Technologies, The Bristol Ports Company September 2014 Amnesty International, Campaign Against Arms Trade, Greenpeace, To discuss UK Export Finance and \| Friends of the Earth \| Transatlantic Trade \| \|---------------------------------------------------------------------------\|----------------------------------\| \| and Investment \| \| \| Partnership \| \| \| September 2014 \| Professional Business Services \| \| Council \| \| \| To discuss \| \| \| Professional Business \| \| \| Services Council \| \| \| relationship with UK \| \| \| Trade & Investment \| \| \| and BIS \| \| \| September 2014 Grant Thornton, Fortnum & \| \| \| Mason, Ian Macleod Distillers \| \| \| To discuss exports \| \| \| September 2014 \| GE \| \| relationship with UK \| \| \| Trade & Investment \| \| \| September 2014 \| BP \| \| opportunities in the \| \| \| South Caucasus \| \| \| September 2014 \| eSkills, techUK \| \| development of the IT / \| \| \| technology and \| \| \| services sector \| \| \| September 2014 \| DIAGEO \| \| and Investment \| \| \| relationship with \| \| \| Diageo \| \| \| September 2014 \| Crossrail \| \| and infrastructure \| \| \| opportunities \| \| \| September 2014 \| Alliance Trust \| \| business ambassadors \| \| \| programme \| \| \| Parliamentary Secretary for Business, Innovation and Skills \| \| \| Parliamentary Under Secretary of State, Viscount Younger (01 July - 14 \| \| \| July 2014) \| \| \| \| \| \| July 2014 \| Trade Marks & Designs \| \| Intellectual Property Office \| \| \| Introductory meeting \| \| \| Parliamentary Under-Secretary of State for Business, Innovation and \| \| \| Skills and Minister for Intellectual Property, Baroness Neville-Rolfe DBE \| \| \| (14 July - 30 September 2014) \| \| \| July 2014 \| UK Music \| \| and to discuss \| \| \| copyright exceptions \| \| \| August 2014 \| Chartered Institute of Patent \| \| Attorneys \| \| \| Introductory meeting \| \| \| To discuss extractives \| \| \| transparency \| \| \| Parliamentary Under Secretary of State, (Employment Relations, \| \| \| Consumer Affairs), Jo Swinson MP \| \| \| July 2014 \| University of Exeter, Shell, BP, \| \| ExxonMobil, Publish What You \| \| \| Pay, Global Witness, Natural \| \| \| Resource Governance Institute, \| \| \| HMRC, Oil & Gas UK, Mineral \| \| \| Products Association, ONE, HM \| \| \| Treasury, Department for \| \| \| International Development, \| \| Chevron July 2014 Post Office Ltd Introductory meeting July 2014 National Federation of Subpostmasters Introductory meeting July 2014 Which? To discuss consumer issues July 2014 Shell To discuss extractives reporting July 2014 Ofcom To discuss regulations Parliamentary Under Secretary of State, (Skills jointly with the Department for Education), Matthew Hancock MP (01 July - 14 July 2014) July 2014 Holts Group To discuss business reforms July 2014 National Hairdressers Federation To discuss apprenticeships To discuss tourism July 2014 Hilton Worldwide, Visit Britain, Visit England, Northern Ireland Tourist Board, Visit Wales, Tourism Alliance, Intercontinental Hotel Group, EasyJet Group, First Group, English Lakes Hotels, Dudley Zoo, Expedia, Google, Parkdean Holidays, JAC Travel, West Dorset Leisure Holidays Ltd, Shepherd Neame, Continuum Group, TUI Travel July 2014 Sixth Form College Association To discuss sixth form colleges July 2014 Confederation of British Industry To discuss enterprise July 2014 Small Business Saturday To discuss small business Minister of State for Skills and Equalities working jointly with the Department for Education, Nick Boles MP (15 July 2014 - 30 September 2014) July 2014 Deirdre Hughes To discuss careers July 2014 Association of Colleges Introductory meeting July 2014 Dr David Collins Introductory meeting July 2014 Stonewall To discuss equalities July 2014 Apprenticeship Ambassador Network To discuss apprenticeships July 2014 Rabbi Neuberger To discuss equalities August 2014 Teach First To discuss teaching August 2014 Alison Wolf Introductory meeting August 2014 Baker Dearing Trust Introductory meeting To discuss equal marriage August 2014 Jakki Livesey-van Dorst, Shelia Livesey-van Dorst, Sophie Ward, Rev David Coles To discuss skills September 2014 BAE Systems, National Grid, GSK, Jaguar Landrover, Airbus, Accenture, Crossrail, Channel 4 September 2014 Association of Employment and Learning Providers Introductory meeting September 2014 Confederation of Bristish Industry Introductory meeting September 2014 Federation of Small Business Introductory meeting \| September 2014 Claire Perry MP, constituent \| To discuss \| \|-------------------------------------------------\|-----------------------------------\| \| Apprenticeships \| \| \| September 2014 Trades Union Congress \| Introductory meeting \| \| September 2014 \| Education Training Foundation \| \| September 2014 Crossrail \| To discuss rail industry \| \| September 2014 \| OECD \| \| September 2014 \| Sixth Form Colleges Association \| \| September 2014 \| British Retail Consortium \| \| To discuss careers \| \| \| September 2014 \| National Careers Council, Ofsted, \| \| Career Academies UK, Business \| \| \| in the Community, Education \| \| \| Select Committee, Greater \| \| \| London Authority, Deloitte, Teach \| \| \| First, Nestle, CfBT Education \| \| \| Trust, North Yorkshire Business \| \| \| Education Partnership, Edge \| \| \| Foundation, National Grid, Adviza, \| \| \| Careers England, National \| \| \| Governors' Association, \| \| \| Engineering UK, The Good \| \| \| Careers Guide, Barclays, \| \| \| Association of Colleges, Google, \| \| \| Career Development Institute, \| \| \| Prospects Services, North \| \| \| Warwickshire and Hinckley \| \| \| College, South Leicestershire \| \| \| College, Federation of Small \| \| \| Businesses, Baroness Margaret \| \| \| Prosser, Centre for Economic and \| \| \| Social Inclusion, Further \| \| \| Education Trust for Leadership, \| \| \| Confederation of British Industry, \| \| \| National Institute for Adult \| \| \| Continuing Education, Penna Ltd \| \| \| To discuss \| \| \| construction \| \| \| September 2014 \| Construction Industry Council, \| \| Sweett Group, Skanska, \| \| \| Sustainable by Design, Marks and \| \| \| Spencer, Anglian Water, Willmott \| \| \| Dixon, UK Green Building \| \| \| Company, Hammerson, \| \| \| Infrastructure UK, Murphy Group, \| \| \| H&H Group, Phillips, WRAP \| \| \| To discuss education \| \| \| September 2014 \| Ofsted, 157 Group, University \| \| Vocational Awards Council, \| \| \| UKCES, Association of Colleges, \| \| \| Association of Employment and \| \| \| Learning Providers, Association of \| \| \| School and College Leaders, \| \| \| Sector Skills Alliances, Federation \| \| \| of Small Businesses, Tertiary \| \| \| Colleges Group, Education and \| \| \| Training Foundation, \| \| \| Manufacturing Technology \| \| \| Centre, Education Funding \| \| Agency, Skills Funding Agency, BAM Nuttall, Capgemini, City and Islington College, Local Education Authorities Forum for the Education of Adults, Local Government Association, National Institute of Adult Continuing Education, Sixth Form Colleges Association, National Union of Students, Third Sector National Learning Alliance, Association of National Specialist Colleges, Confederation of British Industry, University and College Union September 2014 Crossrail To discuss rail industry September 2014 Construction Skills Certification To discuss construction Scheme, Construction Industry Training Board Minister of State, (Business and Enterprise), Rt Hon Michael Fallon MP (01 July - 14 July 2014) July 2014 The Times To discuss regulation on business Minister of State for Business and Enterprise and Energy working jointly with the Department of Energy and Climate Change, Rt Hon Matthew Hancock MP (15 July 2014 - 30 September 2014) July 2014 Federation of Small Businesses To discuss late payments, export support and broadband July 2014 Sunday Times To discuss enterprise September 2014 Vodafone To discuss Vodafone priorities September 2014 Jaguar Land Rover Introductory meeting and discuss future plans of JLR September 2014 London Taxi Company To discuss funding and opportunities September 2014 GKN Land Systems Introductory meeting to discuss Aerospace Growth Partnership September 2014 Boeing UK Introductory meeting Parliamentary Under Secretary of State for Life Sciences working jointly with the Department of Health, George Freeman MP (15 July 2014 - September 2014) September 2014 Cancer Research UK Introductory meeting September 2014 The Wellcome Trust Introductory meeting September 2014 Aegate Holdings Ltd To discuss pharmaceutical tracking September 2014 AstraZeneca Introductory meeting September 2014 The Association of the British Pharmaceutical Industry Introductory meeting September 2014 Association of British Healthcare Industries Introductory meeting 1Does not normally include meetings with Government bodies such as other Government Departments, members of the Royal Household, NDPBs, Non-Ministerial Departments, Agencies, Government reviews and representatives of Parliament, devolved or foreign governments. Visits, attendance at seminars, conferences, receptions, media, interviews etc would not normally be classed as meetings.	en
3919-pdf	\| SUPPLIER NAME \| PORTFOLIO \| COST CENTRE \| EXPENDITURE CLASS \| POST. DATE \| AMOUNT \| \|-----------------------------------------------------------------------\|--------------------------------\|--------------------------------\|------------------------------\|--------------\|-----------\| \| \| IRRECOVERABLE VAT \| \| \| \| \| \| PROCLASS \| \| \| \| \| \| \| REF. \| \| \| \| \| \| \| 1ST CHOICE PROPERTY MAINTENANCE COMMERCIAL \| Finance, Efficiency & Assets \| Council Offices & Land \| Rea: Building \| 20/01/2016 \| 1,860.00 \| \| ABRITAS \| Community Services \| Choice Based Lettings \| Professional Services \| 21/01/2016 \| 7,424.00 \| \| ADN CONSTRUCTION LTD. \| Other \| General Fund Balance Sheet \| Nwldc - Dfg Agency Account \| 28/01/2016 \| 7,000.00 \| \| ADN CONSTRUCTION LTD. \| Other \| General Fund Balance Sheet \| Nwldc - Dfg Agency Account \| 28/01/2016 \| 5,000.00 \| \| ALL SAINTS CHURCH \| N'Hood & Env. Health Services \| Car Parks \| Rent Payments \| 21/01/2016 \| 1,500.00 \| \| ALL THINGS TRAINING \| Perform., People & S. Projects \| Staff Training And Development \| Hired Services \| 14/01/2016 \| 2,781.00 \| \| ALLPAY LIMITED DIRECT DEBIT ACCOUNT Finance, Efficiency & Assets \| Banking Charges \| Transaction Costs - All Pay \| 14/01/2016 \| 1,236.86 \| 0.00 \| \| AMENITY HORTICULTURAL SERVICES LTD. \| N'Hood & Env. Health Services \| Grounds Maintenance Service \| Equipment R & M \| 20/01/2016 \| 391.50 \| \| ANCHORPRINT GROUP LIMITED \| Health Improvement & Leisure \| The Pavilion \| Publicity & Promotion \| 07/01/2016 \| 334.07 \| \| ANCHORPRINT GROUP LIMITED \| Partnerships & Corp. Services \| Reprographics \| Print Mats (Int. Print Room) \| 25/01/2016 \| 559.00 \| \| BOTTOMLINE TECHNOLOGIES \| Other \| General Fund Balance Sheet \| In Year Capital Additions \| 12/01/2016 \| 3,562.50 \| \| BOTTOMLINE TECHNOLOGIES \| Other \| General Fund Balance Sheet \| In Year Capital Additions \| 12/01/2016 \| 1,000.00 \| \| BRAUNSTONE TOWN COUNCIL \| Partnerships & Corp. Services \| Customer Services \| Rent Payments \| 28/01/2016 \| 44,272.00 \| \| BROOK STREET UK LIMITED \| Partnerships & Corp. Services \| Local Land Charges \| Gross Pay \| 06/01/2016 \| 315.91 \| \| BROOK STREET UK LIMITED \| Planning, Econ. Dev. & Housing \| Planning Delivery \| Gross Pay \| 11/01/2016 \| 226.12 \| \| BROOK STREET UK LIMITED \| Planning, Econ. Dev. & Housing \| Planning Delivery \| Gross Pay \| 11/01/2016 \| 371.85 \| \| BROOK STREET UK LIMITED \| Planning, Econ. Dev. & Housing \| Planning Delivery \| Gross Pay \| 27/01/2016 \| 371.85 \| \| BROWNE JACOBSON LLP \| Partnerships & Corp. Services \| External Legal Fees \| Legal Fees \| 14/01/2016 \| 366.20 \| \| BRUEL & KJAER UK LTD \| N'Hood & Env. Health Services \| Noise Pollution \| Equipment R & M \| 27/01/2016 \| 1,028.50 \| \| CANON (UK) LTD \| Partnerships & Corp. Services \| Reprographics \| Printroom Copy Charge \| 14/01/2016 \| 472.08 \| \| CANON (UK) LTD \| Partnerships & Corp. Services \| Reprographics \| Printroom Equipment Rental \| 19/01/2016 \| 225.16 \| \| CANON UK LTD \| Partnerships & Corp. Services \| Reprographics \| Printroom Copy Charge \| 14/01/2016 \| 886.91 \| \| CAPITA BUSINESS SERVICESLTD \| Finance, Efficiency & Assets \| Banking Charges \| Transaction Costs - Cards \| 21/01/2016 \| 2,064.42 \| \| CAPITA TREASURY SOLUTIONS LIMITED \| N'Hood & Env. Health Services \| Fleet Management \| Miscellaneous Income \| 14/01/2016 \| 900.38 \| \| CENTRAL STONE REPAIRS \| Finance, Efficiency & Assets \| Open Spaces Management \| Open Space Development \| 07/01/2016 \| 800.00 \| \| CIPFA BUSINESS \| Finance, Efficiency & Assets \| Financial Services \| Books, Newspapers And Pubs \| 14/01/2016 \| 870.00 \| \| CLOCKWISE \| Other \| General Fund Balance Sheet \| Deductions - Clockwise \| 28/01/2016 \| 630.00 \| \| COLLEGE GARTH KENNELS \| N'Hood & Env. Health Services \| Control Of Dogs \| Professional Fees \| 21/01/2016 \| 2,078.33 \| \| COMPASS MINERALS \| N'Hood & Env. Health Services \| Grounds Maintenance Service \| Materials - Purchase \| 26/01/2016 \| 1,044.64 \| \| CRAEMER UK LTD \| N'Hood & Env. Health Services \| Refuse Coll & Domestic Recyc \| Bins - Domestic \| 28/01/2016 \| 1,350.00 \| \| CRAEMER UK LTD \| N'Hood & Env. Health Services \| Refuse Coll & Domestic Recyc \| Bins - Domestic \| 28/01/2016 \| 2,700.00 \| \| CRAEMER UK LTD \| N'Hood & Env. Health Services \| Refuse Coll & Domestic Recyc \| Bins - Domestic \| 28/01/2016 \| 2,700.00 \| \| DAISY COMMUNICATIONS LIMITED \| Partnerships & Corp. Services \| Ict Services \| Telecoms - Calls \| 14/01/2016 \| 1,028.55 \| \| DAVID KIRTON DESIGNS \| Other \| General Fund Balance Sheet \| Nwldc - Dfg Agency Account \| 27/01/2016 \| 1,132.00 \| \| DENNIS EAGLE LTD \| N'Hood & Env. Health Services \| Vehicle Maintenance \| Normal Repairs \| 12/01/2016 \| 2,006.14 \| \| DENNIS EAGLE LTD \| N'Hood & Env. Health Services \| Vehicle Maintenance \| Normal Repairs \| 29/01/2016 \| 1,643.04 \| \| DETECTOR ALARMS LIMITED \| Other \| General Fund Balance Sheet \| In Year Capital Additions \| 15/01/2016 \| 1,695.00 \| \| DIGRAPH TRANSPORT SUPPLIES LIMITED \| N'Hood & Env. Health Services \| Vehicle Maintenance \| Normal Repairs \| 14/01/2016 \| 495.00 \| \| SUPPLIER NAME \| PORTFOLIO \| COST CENTRE \| EXPENDITURE CLASS \| POST. DATE \| AMOUNT \| \|----------------------------------------------------------------------\|--------------------------------\|--------------------------------\|--------------------------------\|--------------\|----------\| \| \| IRRECOVERABLE VAT \| \| \| \| \| \| PROCLASS \| \| \| \| \| \| \| REF. \| \| \| \| \| \| \| DURA SPORT (LEISURE CARE) LIMITED \| Finance, Efficiency & Assets \| The Pavillion - Land And Build \| Pla: All Weather Pitch Works \| 11/01/2016 \| 350.00 \| \| EDEN BROWN SYNERGY LIMITED \| Finance, Efficiency & Assets \| Bubble Project \| Temporary/Casual Staff \| 21/01/2016 \| 216.75 \| \| EDEN BROWN SYNERGY LIMITED \| Finance, Efficiency & Assets \| Bubble Project \| Temporary/Casual Staff \| 21/01/2016 \| 969.00 \| \| EDEN BROWN SYNERGY LIMITED \| Finance, Efficiency & Assets \| Bubble Project \| Temporary/Casual Staff \| 21/01/2016 \| 682.13 \| \| EDEN BROWN SYNERGY LIMITED \| Finance, Efficiency & Assets \| Bubble Project \| Temporary/Casual Staff \| 21/01/2016 \| 541.88 \| \| EDEN BROWN SYNERGY LIMITED \| Finance, Efficiency & Assets \| Bubble Project \| Temporary/Casual Staff \| 21/01/2016 \| 726.75 \| \| ELECTORAL REFORM SERVICES \| Finance, Efficiency & Assets \| Register Of Electors \| Hired Services \| 12/01/2016 \| 242.26 \| \| ENDERBY TENNIS CLUB \| Partnerships & Corp. Services \| Youth Council \| Grants - Other Small Grants \| 07/01/2016 \| 873.00 \| \| ENVIRONMENT ANALYST LTD \| N'Hood & Env. Health Services \| Environmental Health \| Subscriptions \| 15/01/2016 \| 257.00 \| \| ENVTEC SERVICES \| Finance, Efficiency & Assets \| The Pavillion - Land And Build \| Cyc: Gas Boiler Servicing \| 19/01/2016 \| 230.00 \| \| ESPO \| Finance, Efficiency & Assets \| Council Offices & Land \| Gas \| 07/01/2016 \| 1,350.82 \| \| ESPO \| Finance, Efficiency & Assets \| Littlethorpe Depot \| Gas \| 27/01/2016 \| 469.11 \| \| FAROL LIMITED \| N'Hood & Env. Health Services \| Grounds Maintenance Service \| Accidental Damage Repair Costs \| 27/01/2016 \| 834.12 \| \| FAROL LIMITED \| N'Hood & Env. Health Services \| Vehicle Maintenance \| Normal Repairs \| 27/01/2016 \| 822.93 \| \| FIRST CALL BUSINESS COMMUNICATION \| Finance, Efficiency & Assets \| Emergency Planning & Bus. Cont \| Out Of Hours Service \| 20/01/2016 \| 473.81 \| \| FORD & SLATER \| N'Hood & Env. Health Services \| Vehicle Maintenance \| Normal Repairs \| 11/01/2016 \| 510.12 \| \| FRANK MAWBY & COMPANY \| Finance, Efficiency & Assets \| Council Offices & Land \| Rea: Plumbing \| 20/01/2016 \| 454.00 \| \| GAE SMITH HOLDINGS LIMITED \| N'Hood & Env. Health Services \| Refuse Coll & Domestic Recyc \| Disposal Fees \| 19/01/2016 \| 5,092.36 \| \| GEOTECHNICAL INSTRUMENTS UK LIMITED \| N'Hood & Env. Health Services \| Contaminated Land (Cont & Mon) \| Equipment R & M \| 12/01/2016 \| 490.00 \| \| GLADSTONE MRM \| Other \| General Fund Balance Sheet \| In Year Capital Additions \| 21/01/2016 \| 6,205.30 \| \| H20 DESIGN \| N'Hood & Env. Health Services \| Grounds Maintenance Service \| Sub-Contractors \| 07/01/2016 \| 1,000.00 \| \| HAYMARKET PUBLISHING SERVICES LIMITED Planning, Econ. Dev. & Housing \| Planning Delivery \| Books, Newspapers And Pubs \| 26/01/2016 \| 810.00 \| 0.00 \| \| HAYMARKET PUBLISHING SERVICES LIMITED Planning, Econ. Dev. & Housing \| Planning Delivery \| Books, Newspapers And Pubs \| 26/01/2016 \| 1,159.00 \| 0.00 \| \| HAYS SPECIALIST RECRUITMENT \| Community Services \| Light Bulb Project \| Temporary/Casual Staff \| 12/01/2016 \| 664.91 \| \| HAYS SPECIALIST RECRUITMENT \| Community Services \| Light Bulb Project \| Temporary/Casual Staff \| 21/01/2016 \| 332.46 \| \| HAYS SPECIALIST RECRUITMENT \| Community Services \| Light Bulb Project \| Temporary/Casual Staff \| 27/01/2016 \| 664.91 \| \| HEALTH MANAGEMENT LIMITED \| Perform., People & S. Projects \| Human Res. Train & Development \| Occupational Health \| 28/01/2016 \| 1,166.76 \| \| HERITAGE HOTEL \| Community Services \| Homelessness \| Homelessness \| 07/01/2016 \| 1,041.67 \| \| HERITAGE HOTEL \| Community Services \| Homelessness \| Homelessness \| 07/01/2016 \| 235.00 \| \| HFX LIMITED \| Finance, Efficiency & Assets \| Council Offices & Land \| Rea: Electrical \| 26/01/2016 \| 600.00 \| \| HYDRO-X WATER TREATMENT LIMITED \| Finance, Efficiency & Assets \| Council Offices & Land \| Pla: Stock Condition Surveys \| 14/01/2016 \| 795.00 \| \| IDOX SOFTWARE LIMITED \| Partnerships & Corp. Services \| Ict Services \| Infrastructure - Servers \| 19/01/2016 \| 950.00 \| \| IMPERIAL POLYTHENE PRODUCTS LIMITED \| N'Hood & Env. Health Services \| Refuse Coll & Domestic Recyc \| Refuse Sacks \| 27/01/2016 \| 7,325.51 \| \| INFORM CPI LIMITED \| Finance, Efficiency & Assets \| Nndr Billing & Coll Costs \| Professional Fees \| 14/01/2016 \| 2,705.00 \| \| INSTANT CLEANING UK \| Finance, Efficiency & Assets \| Council Offices & Land \| Temporary/Casual Staff \| 07/01/2016 \| 1,751.40 \| \| IRRV \| Finance, Efficiency & Assets \| C.Tax Billing, Coll & Recovery \| Subscriptions \| 13/01/2016 \| 1,050.00 \| \| JAM PERSONNEL MIDLANDS LIMITED \| N'Hood & Env. Health Services \| Refuse Coll & Domestic Recyc \| Temporary/Casual Staff \| 20/01/2016 \| 295.80 \| \| JAM PERSONNEL MIDLANDS LIMITED \| N'Hood & Env. Health Services \| Refuse Coll & Domestic Recyc \| Temporary/Casual Staff \| 19/01/2016 \| 581.74 \| \| SUPPLIER NAME \| PORTFOLIO \| COST CENTRE \| EXPENDITURE CLASS \| POST. DATE \| AMOUNT \| \|------------------------------------------\|--------------------------------\|--------------------------------\|--------------------------------\|--------------\|-----------\| \| \| IRRECOVERABLE VAT \| \| \| \| \| \| PROCLASS \| \| \| \| \| \| \| REF. \| \| \| \| \| \| \| JAM PERSONNEL MIDLANDS LIMITED \| N'Hood & Env. Health Services \| Refuse Coll & Domestic Recyc \| Temporary/Casual Staff \| 19/01/2016 \| 1,376.18 \| \| JAM PERSONNEL MIDLANDS LIMITED \| N'Hood & Env. Health Services \| Refuse Coll & Domestic Recyc \| Temporary/Casual Staff \| 21/01/2016 \| 433.84 \| \| JAM PERSONNEL MIDLANDS LIMITED \| N'Hood & Env. Health Services \| Refuse Coll & Domestic Recyc \| Temporary/Casual Staff \| 21/01/2016 \| 2,088.60 \| \| JAM PERSONNEL MIDLANDS LIMITED \| N'Hood & Env. Health Services \| Refuse Coll & Domestic Recyc \| Temporary/Casual Staff \| 29/01/2016 \| 581.74 \| \| JAM PERSONNEL MIDLANDS LIMITED \| N'Hood & Env. Health Services \| Refuse Coll & Domestic Recyc \| Temporary/Casual Staff \| 29/01/2016 \| 2,747.93 \| \| JOHNSTON SWEEPERS LTD \| N'Hood & Env. Health Services \| Cleansing Services \| Accidental Damage Repair Costs \| 12/01/2016 \| 442.22 \| \| JOHNSTON SWEEPERS LTD \| N'Hood & Env. Health Services \| Cleansing Services \| Other Equipment \| 21/01/2016 \| 510.30 \| \| JOHNSTON SWEEPERS LTD \| N'Hood & Env. Health Services \| Vehicle Maintenance \| Normal Repairs \| 21/01/2016 \| 442.22 \| \| JOHNSTON SWEEPERS LTD \| N'Hood & Env. Health Services \| Vehicle Maintenance \| Equipment R & M \| 29/01/2016 \| 299.57 \| \| KINGS ARMOURED SECURITY SERVICES LIMITED \| N'Hood & Env. Health Services \| Car Parks \| Security Services \| 20/01/2016 \| 248.57 \| \| KINGS ARMOURED SECURITY SERVICES LIMITED \| N'Hood & Env. Health Services \| Car Parks \| Security Services \| 27/01/2016 \| 235.64 \| \| KINGS ARMOURED SECURITY SERVICES LIMITED \| Partnerships & Corp. Services \| Customer Services \| Security Services \| 11/01/2016 \| 503.08 \| \| KINGS ARMOURED SECURITY SERVICES LIMITED \| Partnerships & Corp. Services \| Customer Services \| Security Services \| 28/01/2016 \| 503.08 \| \| LEAWOOD BUILDERS \| Other \| General Fund Balance Sheet \| Nwldc - Dfg Agency Account \| 27/01/2016 \| 4,957.00 \| \| LEICESTER CITY COUNCIL \| Community Services \| Hospital Discharge Project \| Casual Mileage & Travel Exp. \| 21/01/2016 \| 474.85 \| \| LEICESTER CITY COUNCIL \| Community Services \| Housing Support - Bradgate Mhu \| Other Local Authorities \| 14/01/2016 \| 5,241.50 \| \| LEICESTER CITY COUNCIL \| Community Services \| Housing Support - Bradgate Mhu \| Other Local Authorities \| 14/01/2016 \| 5,241.50 \| \| LEICESTER CITY COUNCIL \| Partnerships & Corp. Services \| External Legal Fees \| Legal Fees \| 14/01/2016 \| 600.00 \| \| LEICESTERSHIRE COUNTY COUNCIL \| Community Services \| Light Bulb Project \| Gross Pay \| 26/01/2016 \| 34,924.00 \| \| LEICESTERSHIRE COUNTY COUNCIL \| Community Services \| Blaby Employment & Training \| Project/Initiatives Fees \| 11/01/2016 \| 1,325.00 \| \| LEICESTERSHIRE COUNTY COUNCIL \| Finance, Efficiency & Assets \| The Pavillion - Land And Build \| Rea: Grounds Maintenace Repair \| 25/01/2016 \| 488.18 \| \| LEICESTERSHIRE COUNTY COUNCIL \| N'Hood & Env. Health Services \| Refuse Coll & Domestic Recyc \| Commercial Waste Fees \| 14/01/2016 \| 413.22 \| \| LEICESTERSHIRE COUNTY COUNCIL \| N'Hood & Env. Health Services \| Refuse Coll & Domestic Recyc \| Commercial Waste Fees \| 14/01/2016 \| 797.34 \| \| LEICESTERSHIRE COUNTY COUNCIL \| N'Hood & Env. Health Services \| Refuse Coll & Domestic Recyc \| Commercial Waste Fees \| 14/01/2016 \| 818.68 \| \| LEICESTERSHIRE COUNTY COUNCIL \| N'Hood & Env. Health Services \| Refuse Coll & Domestic Recyc \| Commercial Waste Fees \| 14/01/2016 \| 855.54 \| \| LEICESTERSHIRE COUNTY COUNCIL \| N'Hood & Env. Health Services \| Refuse Coll & Domestic Recyc \| Commercial Waste Fees \| 14/01/2016 \| 938.96 \| \| LEICESTERSHIRE COUNTY COUNCIL \| N'Hood & Env. Health Services \| Refuse Coll & Domestic Recyc \| Commercial Waste Fees \| 14/01/2016 \| 942.84 \| \| LEICESTERSHIRE COUNTY COUNCIL \| N'Hood & Env. Health Services \| Refuse Coll & Domestic Recyc \| Commercial Waste Fees \| 14/01/2016 \| 221.16 \| \| LEICESTERSHIRE COUNTY COUNCIL \| N'Hood & Env. Health Services \| Refuse Coll & Domestic Recyc \| Commercial Waste Fees \| 14/01/2016 \| 494.70 \| \| LEICESTERSHIRE COUNTY COUNCIL \| N'Hood & Env. Health Services \| Refuse Coll & Domestic Recyc \| Commercial Waste Fees \| 14/01/2016 \| 535.44 \| \| LEICESTERSHIRE COUNTY COUNCIL \| N'Hood & Env. Health Services \| Refuse Coll & Domestic Recyc \| Commercial Waste Fees \| 14/01/2016 \| 595.58 \| \| LEICESTERSHIRE COUNTY COUNCIL \| N'Hood & Env. Health Services \| Refuse Coll & Domestic Recyc \| Commercial Waste Fees \| 14/01/2016 \| 632.44 \| \| LEICESTERSHIRE COUNTY COUNCIL \| N'Hood & Env. Health Services \| Car Parks \| Professional Fees \| 22/01/2016 \| 4,151.00 \| \| LEICESTERSHIRE COUNTY COUNCIL \| Partnerships & Corp. Services \| Local Land Charges \| Lcc Fees \| 06/01/2016 \| 1,939.00 \| \| LEICESTERSHIRE COUNTY COUNCIL \| Partnerships & Corp. Services \| Local Land Charges \| Lcc Fees \| 06/01/2016 \| 1,561.00 \| \| LEICESTERSHIRE COUNTY COUNCIL \| Partnerships & Corp. Services \| Local Land Charges \| Lcc Fees \| 27/01/2016 \| 1,456.00 \| \| LEICESTERSHIRE COUNTY COUNCIL \| Partnerships & Corp. Services \| Local Land Charges \| Lcc Fees \| 27/01/2016 \| 1,225.00 \| \| LEICESTERSHIRE COUNTY COUNCIL \| Planning, Econ. Dev. & Housing \| Planning Delivery \| Consultant'S Fees \| 12/01/2016 \| 2,580.00 \| \| SUPPLIER NAME \| PORTFOLIO \| COST CENTRE \| EXPENDITURE CLASS \| POST. DATE \| AMOUNT \| \|--------------------------------------------\|--------------------------------\|--------------------------------\|--------------------------------\|--------------\|------------\| \| \| IRRECOVERABLE VAT \| \| \| \| \| \| PROCLASS \| \| \| \| \| \| \| REF. \| \| \| \| \| \| \| LEICESTERSHIRE COUNTY COUNCIL \| N'Hood & Env. Health Services \| Grounds Maintenance Service \| Tree Maintenance \| 14/01/2016 \| 570.00 \| \| LEICESTERSHIRE COUNTY COUNCIL \| N'Hood & Env. Health Services \| Grounds Maintenance Service \| Tree Maintenance \| 14/01/2016 \| 802.81 \| \| LEICESTERSHIRE COUNTY COUNCIL \| Other \| General Fund Balance Sheet \| In Year Capital Additions \| 20/01/2016 \| 8,845.00 \| \| LEICESTERSHIRE COUNTY COUNCIL \| Other \| General Fund Balance Sheet \| In Year Capital Additions \| 20/01/2016 \| 1,627.75 \| \| LEICESTERSHIRE COUNTY COUNCIL \| Other \| General Fund Balance Sheet \| Nwldc - Dfg Agency Account \| 21/01/2016 \| 1,984.55 \| \| LEICESTERSHIRE COUNTY COUNCIL \| Other \| General Fund Balance Sheet \| In Year Capital Additions \| 21/01/2016 \| 1,994.80 \| \| LEICESTERSHIRE COUNTY COUNCIL \| Other \| General Fund Balance Sheet \| Nwldc - Dfg Agency Account \| 21/01/2016 \| 6,100.00 \| \| LEICESTERSHIRE COUNTY COUNCIL \| Other \| General Fund Balance Sheet \| Nwldc - Dfg Agency Account \| 27/01/2016 \| 2,050.00 \| \| LEICESTERSHIRE COUNTY COUNCIL \| Other \| General Fund Balance Sheet \| Creditors -County-Superann Ees \| 28/01/2016 \| 18,500.00 \| \| LEICESTERSHIRE COUNTY COUNCIL \| Other \| General Fund Balance Sheet \| Creditors -County-Superann Ees \| 28/01/2016 \| 132,560.58 \| \| LOCAL WORLD LIMITED \| Planning, Econ. Dev. & Housing \| Planning Delivery \| Advertising - Notices \| 07/01/2016 \| 288.15 \| \| LOCAL WORLD LIMITED \| Planning, Econ. Dev. & Housing \| Planning Delivery \| Advertising - Notices \| 14/01/2016 \| 288.15 \| \| LOCAL WORLD LIMITED \| Planning, Econ. Dev. & Housing \| Planning Delivery \| Advertising - Notices \| 27/01/2016 \| 230.12 \| \| LOCAL WORLD LIMITED \| Planning, Econ. Dev. & Housing \| Planning Delivery \| Advertising - Notices \| 27/01/2016 \| 432.22 \| \| LODGE TYRES CO LTD \| N'Hood & Env. Health Services \| Refuse Coll & Domestic Recyc \| Accidental Damage Repair Costs \| 15/01/2016 \| 753.00 \| \| LODGE TYRES CO LTD \| N'Hood & Env. Health Services \| Refuse Coll & Domestic Recyc \| Accidental Damage Repair Costs \| 19/01/2016 \| 376.50 \| \| LODGE TYRES CO LTD \| N'Hood & Env. Health Services \| Vehicle Maintenance \| Tyres \| 15/01/2016 \| 1,258.04 \| \| MARRONS SOLICITORS \| Planning, Econ. Dev. & Housing \| Planning Delivery \| Legal Fees \| 14/01/2016 \| 525.00 \| \| MARRONS SOLICITORS \| Planning, Econ. Dev. & Housing \| Planning Delivery \| Legal Fees \| 19/01/2016 \| 225.00 \| \| MARS DRINKS UK \| Finance, Efficiency & Assets \| Council Offices & Land \| Water&Vending Hire & Purchases \| 21/01/2016 \| 259.98 \| \| MATRIX PRINT CONSULTANTS LIMITED \| Partnerships & Corp. Services \| Communications \| District Magazine Publication \| 25/01/2016 \| 4,045.00 \| \| MATTRESS MAN \| Community Services \| Housing Support - Bradgate Mhu \| Project/Initiatives Fees \| 28/01/2016 \| 315.00 \| \| MATTRESS MAN \| Community Services \| Housing Support - Bradgate Mhu \| Project/Initiatives Fees \| 28/01/2016 \| 330.00 \| \| MATTRESS MAN \| Community Services \| Housing Support - Bradgate Mhu \| Project/Initiatives Fees \| 28/01/2016 \| 225.00 \| \| MATTS MONITORS LTD \| N'Hood & Env. Health Services \| At. Poll. (Enforce & Mon) \| Equipment R & M \| 14/01/2016 \| 7,795.00 \| \| MERTRUX LTD \| N'Hood & Env. Health Services \| Refuse Coll & Domestic Recyc \| Accidental Damage Repair Costs \| 25/01/2016 \| 234.20 \| \| MICHAEL PAGE INTERNATIONAL RECRUITMENT LTD \| Partnerships & Corp. Services \| External Legal Fees \| Legal Fees \| 14/01/2016 \| 375.00 \| \| MICHAEL PAGE INTERNATIONAL RECRUITMENT LTD \| Partnerships & Corp. Services \| External Legal Fees \| Legal Fees \| 14/01/2016 \| 315.00 \| \| MICHAEL PAGE INTERNATIONAL RECRUITMENT LTD \| Partnerships & Corp. Services \| External Legal Fees \| Legal Fees \| 14/01/2016 \| 937.50 \| \| MICHAEL PAGE INTERNATIONAL RECRUITMENT LTD \| Partnerships & Corp. Services \| External Legal Fees \| Legal Fees \| 14/01/2016 \| 562.50 \| \| MICHAEL PAGE INTERNATIONAL RECRUITMENT LTD \| Partnerships & Corp. Services \| External Legal Fees \| Legal Fees \| 07/01/2016 \| 630.00 \| \| MICHAEL PAGE INTERNATIONAL RECRUITMENT LTD \| Partnerships & Corp. Services \| External Legal Fees \| Legal Fees \| 14/01/2016 \| 315.00 \| \| MICHAEL PAGE INTERNATIONAL RECRUITMENT LTD \| Partnerships & Corp. Services \| External Legal Fees \| Legal Fees \| 21/01/2016 \| 315.00 \| \| MICHAEL PAGE INTERNATIONAL RECRUITMENT LTD \| Partnerships & Corp. Services \| External Legal Fees \| Legal Fees \| 27/01/2016 \| 315.00 \| \| MIDLAND HR \| Partnerships & Corp. Services \| Ict Services \| Applications - Business \| 19/01/2016 \| 679.93 \| \| NAGELS UK LIMITED \| N'Hood & Env. Health Services \| Car Parks \| Pay & Display M/Cs \| 21/01/2016 \| 1,130.88 \| \| NEW AUTO LIMITED T/AS MOGO UK \| N'Hood & Env. Health Services \| Licencing - Hack Carr/Pvt Hire \| Other Equipment \| 14/01/2016 \| 244.00 \| \| NORTH WEST LEICESTERSHIRE DISTRICT COUNCIL \| Finance, Efficiency & Assets \| Internal Audit \| Other Local Authorities \| 14/01/2016 \| 12,772.19 \| \| SUPPLIER NAME \| PORTFOLIO \| COST CENTRE \| EXPENDITURE CLASS \| POST. DATE \| AMOUNT \| \|-------------------------------------------\|--------------------------------\|--------------------------------\|--------------------------------\|--------------\|-----------\| \| \| IRRECOVERABLE VAT \| \| \| \| \| \| PROCLASS \| \| \| \| \| \| \| REF. \| \| \| \| \| \| \| NORTHGATE PUBLIC SERVICES \| Community Services \| Benefits Section \| Software Maintenance \| 07/01/2016 \| 27,338.00 \| \| NORTHGATE PUBLIC SERVICES \| Partnerships & Corp. Services \| Ict Services \| Infrastructure - Servers \| 27/01/2016 \| 1,000.00 \| \| NOTTINGHAM CITY COUNCIL \| Perform., People & S. Projects \| Recruitment Costs \| Staff Advertising \| 14/01/2016 \| 536.82 \| \| NVIRON LIMITED \| Partnerships & Corp. Services \| Ict Services \| Infrastructure - Os Licence \| 19/01/2016 \| 1,924.60 \| \| NVIRON LIMITED \| Partnerships & Corp. Services \| Ict Services \| Infrastructure - Servers \| 19/01/2016 \| 835.63 \| \| NVIRON LIMITED \| Partnerships & Corp. Services \| Ict Services \| Infrastructure - Servers \| 19/01/2016 \| 2,886.90 \| \| OCE FINANCE \| Partnerships & Corp. Services \| Reprographics \| Printroom Equipment Rental \| 07/01/2016 \| 3,406.77 \| \| OFFICE FURNITURE TEAM GB LIMITED \| Finance, Efficiency & Assets \| Bubble Project \| Equipment R & M \| 28/01/2016 \| 609.25 \| \| OFFICE FURNITURE TEAM GB LIMITED \| Finance, Efficiency & Assets \| Council Offices & Land \| Office Furniture \| 15/01/2016 \| 555.80 \| \| OYSTER PARTNERSHIP \| Planning, Econ. Dev. & Housing \| Planning Delivery \| Gross Pay \| 19/01/2016 \| 801.00 \| \| OYSTER PARTNERSHIP \| Planning, Econ. Dev. & Housing \| Planning Delivery \| Gross Pay \| 27/01/2016 \| 869.09 \| \| P&MM LIMITED \| Perform., People & S. Projects \| Human Resources Emp Provisions \| Provision Amounts \| 14/01/2016 \| 890.90 \| \| P&MM LIMITED - DIRECT DEBIT ONLY \| Other \| General Fund Balance Sheet \| Deductions - Childcare Voucher \| 14/01/2016 \| 3,546.73 \| \| PALMER & HARVEY MCLANE LIMITED \| Health Improvement & Leisure \| The Pavilion \| Water&Vending Hire & Purchases \| 28/01/2016 \| 277.80 \| \| POLYCOPY \| Partnerships & Corp. Services \| Reprographics \| Print Mats (Int. Print Room) \| 14/01/2016 \| 720.00 \| \| PRATT & CHESTERTON ELECTRICAL \| Finance, Efficiency & Assets \| Blaby Joint Service Shop \| Security Systems Inc Cctv \| 14/01/2016 \| 2,175.00 \| \| PRATT & CHESTERTON ELECTRICAL \| N'Hood & Env. Health Services \| Car Parks \| Security Systems Inc Cctv \| 21/01/2016 \| 330.00 \| \| RADIODETECTION LIMITED \| N'Hood & Env. Health Services \| Land Drainage & Flood Prev. \| Other Equipment \| 25/01/2016 \| 302.98 \| \| REGENT OFFICE CARE LIMITED \| Finance, Efficiency & Assets \| The Pavillion - Land And Build \| Security Services \| 14/01/2016 \| 552.08 \| \| REGENT OFFICE CARE LIMITED \| Finance, Efficiency & Assets \| Council Offices & Land \| Security Services \| 11/01/2016 \| 552.08 \| \| REGENT OFFICE CARE LIMITED \| Finance, Efficiency & Assets \| Blaby Joint Service Shop \| Security Services \| 12/01/2016 \| 617.08 \| \| REGENT OFFICE CARE LIMITED \| Finance, Efficiency & Assets \| Littlethorpe Depot \| Security Services \| 28/01/2016 \| 325.89 \| \| REGENT OFFICE CARE LIMITED \| Finance, Efficiency & Assets \| Littlethorpe Depot \| Security Services \| 11/01/2016 \| 552.08 \| \| REGENT OFFICE CARE LIMITED \| Finance, Efficiency & Assets \| Littlethorpe Depot \| Security Services \| 21/01/2016 \| 310.00 \| \| REGENT OFFICE CARE LIMITED \| Finance, Efficiency & Assets \| Littlethorpe Depot \| Security Services \| 28/01/2016 \| -325.89 \| \| REGENT OFFICE CARE LIMITED \| N'Hood & Env. Health Services \| Grounds Maintenance Service \| Security Services \| 14/01/2016 \| 912.51 \| \| REIDS PLAYGROUND MAINTENACE LIMITED \| N'Hood & Env. Health Services \| Grounds Maintenance Service \| Equipment R & M \| 27/01/2016 \| 398.00 \| \| REIDS PLAYGROUND MAINTENACE LIMITED \| N'Hood & Env. Health Services \| Grounds Maintenance Service \| Equipment R & M \| 27/01/2016 \| 650.00 \| \| REIDS PLAYGROUND MAINTENACE LIMITED \| N'Hood & Env. Health Services \| Grounds Maintenance Service \| Equipment R & M \| 27/01/2016 \| 270.00 \| \| RICHARD SIMMONS LIMITED \| Other \| General Fund Balance Sheet \| In Year Capital Additions \| 12/01/2016 \| 4,680.00 \| \| RICHARD SIMMONS LIMITED \| Other \| General Fund Balance Sheet \| In Year Capital Additions \| 12/01/2016 \| 7,140.00 \| \| RIGHTTRACK CONSULTANCY LTD \| Finance, Efficiency & Assets \| Financial Services \| Hired Services \| 07/01/2016 \| 1,975.00 \| \| ROYAL MAIL \| Finance, Efficiency & Assets \| Register Of Electors \| Postages \| 14/01/2016 \| 1,021.83 \| \| RURAL COMMUNITY COUNCIL (LEICS & RUTLAND) \| Partnerships & Corp. Services \| Grant Aid & Access Activities \| Grants - Rcc \| 07/01/2016 \| 5,300.00 \| \| S.G. CLEANERS LTD \| Community Services \| Hospital Discharge Project \| Project/Initiatives Fees \| 07/01/2016 \| 480.00 \| \| SHARNFORD PARISH COUNCIL \| Other \| General Fund Balance Sheet \| In Year Capital Additions \| 07/01/2016 \| 1,470.50 \| \| SHARNFORD TRACTORS LTD \| N'Hood & Env. Health Services \| Vehicle Maintenance \| Normal Repairs \| 11/01/2016 \| 212.89 \| \| SHARNFORD TRACTORS LTD \| N'Hood & Env. Health Services \| Vehicle Maintenance \| Normal Repairs \| 11/01/2016 \| 814.85 \| \| SUPPLIER NAME \| PORTFOLIO \| COST CENTRE \| EXPENDITURE CLASS \| POST. DATE \| AMOUNT \| \|---------------------------------------------\|--------------------------------\|--------------------------------\|-------------------------------\|--------------\|------------\| \| \| IRRECOVERABLE VAT \| \| \| \| \| \| PROCLASS \| \| \| \| \| \| \| REF. \| \| \| \| \| \| \| SIEMENS FINANCIAL SERVICES LIMITED \| N'Hood & Env. Health Services \| Fleet Management \| Miscellaneous Income \| 07/01/2016 \| 17,757.54 \| \| SIEMENS FINANCIAL SERVICES LIMITED \| N'Hood & Env. Health Services \| Fleet Management \| Miscellaneous Income \| 07/01/2016 \| -17,757.54 \| \| SIGHT AND SOUND TECHNOLOGY \| Partnerships & Corp. Services \| Ict Services \| Software Maintenance \| 14/01/2016 \| 337.00 \| \| SKY BUSINESS \| Health Improvement & Leisure \| The Pavilion \| Licences \| 21/01/2016 \| 426.00 \| \| SKY BUSINESS \| Health Improvement & Leisure \| The Pavilion \| Licences \| 28/01/2016 \| 233.00 \| \| SLM BUILDING CONTRACTORS \| Finance, Efficiency & Assets \| Council Offices & Land \| Pla: Redecoration - Internal \| 19/01/2016 \| 4,812.50 \| \| SMART DISTRIBUTION \| Partnerships & Corp. Services \| Communications \| District Magazine Publication \| 07/01/2016 \| 2,411.59 \| \| SOLOPROTECT LIMITED \| Other \| General Fund Balance Sheet \| Control A/C - Solo Protect \| 21/01/2016 \| 764.69 \| \| SOUTHERN ELECTRIC \| Finance, Efficiency & Assets \| The Pavillion - Land And Build \| Electricity \| 14/01/2016 \| 1,175.46 \| \| SOUTHERN ELECTRIC \| Finance, Efficiency & Assets \| Public Conveniences \| Electricity \| 06/01/2016 \| 210.12 \| \| SOUTHERN ELECTRIC \| Finance, Efficiency & Assets \| Public Conveniences \| Electricity \| 06/01/2016 \| -210.12 \| \| SOUTHERN ELECTRIC \| Finance, Efficiency & Assets \| Public Conveniences \| Electricity \| 06/01/2016 \| -209.79 \| \| SOUTHERN ELECTRIC \| Finance, Efficiency & Assets \| Public Conveniences \| Electricity \| 06/01/2016 \| -209.79 \| \| SOUTHERN ELECTRIC \| Finance, Efficiency & Assets \| Public Conveniences \| Electricity \| 06/01/2016 \| -209.79 \| \| SOUTHERN ELECTRIC \| Finance, Efficiency & Assets \| Council Offices & Land \| Electricity \| 14/01/2016 \| 2,692.58 \| \| SOUTHERN ELECTRIC \| Finance, Efficiency & Assets \| Littlethorpe Depot \| Electricity \| 21/01/2016 \| 2,447.54 \| \| SPALDINGS UK LIMITED \| N'Hood & Env. Health Services \| Vehicle Maintenance \| Normal Repairs \| 12/01/2016 \| 329.38 \| \| SPALDINGS UK LIMITED \| N'Hood & Env. Health Services \| Vehicle Maintenance \| Normal Repairs \| 27/01/2016 \| 535.80 \| \| STATUTORY NUISANCE SOLUTIONS \| N'Hood & Env. Health Services \| Noise Pollution \| Consultant Fees \| 12/01/2016 \| 1,995.00 \| \| STATUTORY NUISANCE SOLUTIONS \| N'Hood & Env. Health Services \| Noise Pollution \| Consultant Fees \| 28/01/2016 \| 1,795.00 \| \| THE ASSOCIATION OF ELECTORAL ADMINISTRATORS \| Finance, Efficiency & Assets \| Corporate Management \| Seminars & Short Training \| 14/01/2016 \| 299.00 \| \| THE ASSOCIATION OF ELECTORAL ADMINISTRATORS \| Finance, Efficiency & Assets \| Register Of Electors \| Seminars & Short Training \| 11/01/2016 \| 244.00 \| \| THE ASSOCIATION OF ELECTORAL ADMINISTRATORS \| Finance, Efficiency & Assets \| National Election Expenses \| Seminars & Short Training \| 27/01/2016 \| 244.00 \| \| THE PRUDENTIAL ASSURANCE COMPANY LIMITED \| Other \| General Fund Balance Sheet \| Deductions - Avc \| 28/01/2016 \| 3,861.78 \| \| TWOFOLD LIMITED \| Partnerships & Corp. Services \| Reprographics \| Print Mats (Int. Print Room) \| 14/01/2016 \| 522.00 \| \| UNISON \| Other \| General Fund Balance Sheet \| Deductions - Unison \| 07/01/2016 \| 384.94 \| \| VEHICLE WEIGHING SOLUTIONS \| N'Hood & Env. Health Services \| Vehicle Maintenance \| Normal Repairs \| 12/01/2016 \| 610.62 \| \| VENN GROUP LTD \| Finance, Efficiency & Assets \| Bubble Project \| Temporary/Casual Staff \| 15/01/2016 \| 1,127.78 \| \| VENN GROUP LTD \| Finance, Efficiency & Assets \| Bubble Project \| Temporary/Casual Staff \| 15/01/2016 \| 776.88 \| \| VENN GROUP LTD \| Finance, Efficiency & Assets \| Bubble Project \| Temporary/Casual Staff \| 14/01/2016 \| 360.53 \| \| VENN GROUP LTD \| Finance, Efficiency & Assets \| Bubble Project \| Temporary/Casual Staff \| 14/01/2016 \| 370.08 \| \| VENN GROUP LTD \| Finance, Efficiency & Assets \| Bubble Project \| Temporary/Casual Staff \| 15/01/2016 \| 708.40 \| \| VENN GROUP LTD \| Finance, Efficiency & Assets \| Bubble Project \| Temporary/Casual Staff \| 25/01/2016 \| 763.92 \| \| VENN GROUP LTD \| Finance, Efficiency & Assets \| Bubble Project \| Temporary/Casual Staff \| 21/01/2016 \| 1,017.23 \| \| VENN GROUP LTD \| Finance, Efficiency & Assets \| Bubble Project \| Temporary/Casual Staff \| 29/01/2016 \| 1,155.28 \| \| VENN GROUP LTD \| Finance, Efficiency & Assets \| Bubble Project \| Temporary/Casual Staff \| 29/01/2016 \| 1,148.13 \| \| VODAFONE LIMITED \| Partnerships & Corp. Services \| Ict Services \| Telecoms - Internal \| 28/01/2016 \| 2,532.72 \| \| W T CLARKE & SON \| N'Hood & Env. Health Services \| Refuse Coll & Domestic Recyc \| Composting Fees \| 07/01/2016 \| 1,184.84 \| \| SUPPLIER NAME \| PORTFOLIO \| COST CENTRE \| EXPENDITURE CLASS \| POST. DATE \| AMOUNT \| \|----------------------------------\|--------------------------------\|--------------------------------\|----------------------------\|--------------\|----------\| \| \| IRRECOVERABLE VAT \| \| \| \| \| \| PROCLASS \| \| \| \| \| \| \| REF. \| \| \| \| \| \| \| WANS HOUSE \| Other \| General Fund Balance Sheet \| Debtors Suspense \| 21/01/2016 \| 270.23 \| \| WHETSTONE UNITED REFORMED CHURCH \| Other \| General Fund Balance Sheet \| In Year Capital Additions \| 14/01/2016 \| 2,000.00 \| \| WHISTL NORTH LIMITED \| Other \| General Fund Balance Sheet \| Misc - Postage Meter - Tnt \| 07/01/2016 \| 793.79 \| \| WHISTL NORTH LIMITED \| Other \| General Fund Balance Sheet \| Misc - Postage Meter - Tnt \| 07/01/2016 \| 222.88 \| \| WHISTL NORTH LIMITED \| Other \| General Fund Balance Sheet \| Misc - Postage Meter - Tnt \| 28/01/2016 \| 828.45 \| \| WHISTL NORTH LIMITED \| Other \| General Fund Balance Sheet \| Misc - Postage Meter - Tnt \| 28/01/2016 \| 873.69 \| \| WHISTL NORTH LIMITED \| Other \| General Fund Balance Sheet \| Misc - Postage Meter - Tnt \| 28/01/2016 \| 1,139.18 \| \| WILLIAM FREER LTD \| Finance, Efficiency & Assets \| The Pavillion - Land And Build \| Cyc: Gas Boiler Servicing \| 14/01/2016 \| 628.34 \| \| ZOELLER SYSTEMS LIMITED \| N'Hood & Env. Health Services \| Vehicle Maintenance \| Normal Repairs \| 11/01/2016 \| 450.00 \| \| ZOELLER SYSTEMS LIMITED \| N'Hood & Env. Health Services \| Vehicle Maintenance \| Normal Repairs \| 11/01/2016 \| 688.56 \|	en
1714-pdf	management and care of charities and voluntary organisations' archives and records or who are involved with them more generally. CHARM membership is open to anyone interested in the sector and its records and archives. CHARM provides a forum where issues of interest can be discussed and action taken. Its members form a network allowing them to draw support from each other and benefit from others expertise and experience. CHARM's main outward looking aim is to promote the importance of charity and voluntary sector records and archives and to raise the profile of the role of archivists and records managers within both the charity and voluntary sector and the archive, records management and information professions. Meetings are held four times a year and consist of a mixture of business, discussion and presentations on specific issues. In addition, CHARM-online, the group's e-mail discussion list allows a greater degree of communication, information exchange and participation than is possible via meetings alone and allows members who find it difficult to travel to be involved. For more information about CHARM see http://www.charmonline.org.uk/	en
0993-pdf	## An Archive Tour Of Stornoway Stornoway Historical Society 30 January 2012 Project Overview [Powerpoint Slide 1 - Title Slide] Tasglann nan Eilean Siar is a three year project established in 2010 and funded by the European Regional Development Fund, the Comhairle and Comunn na Gàidhlig. Consisting of a staff of three: there is myself as Project Manager and Archivist, Donna Morrison as our Gaelic-speaking Archive Assistant and Katie Anne Maciver as the Project Assistant. Our roll is to help identify and promote the archival holdings of the islands to as wide a research audience as possible. This not only includes the historical records of the Comhairle but also the other public authorities in the Western Isles such as the health board, police and fire. It further extends to mapping the location and content of archives held in private hands. This includes the Comainn Eachdraidhs of the Islands, businesses, trade associations and pretty much any organisation or individual who holds historical records. We are not actively collecting records, but identifying their whereabouts and offering advice and assistance on their care and management. A rather large distraction for the project is the Lews Castle Museum & Archive project. This would see a professionally staffed, international standards compliant archive store and service being established within the new museum complex at Lews Castle. It would provide a home for the archival records of the public authorities of the Islands and a potential home to the records of key businesses, organisations and individuals who are willing to make the content of their records publicly available. Significantly, it would also see the return of government records relating to the islands that are currently held in the National Archives in Edinburgh including Customs and Excise, fisheries and church records. The new facility isn't to duplicate, usurp or step on the toes of the important role of the Historical Societies of the Western Isles, but would offer a continuous advice and support role in a similar way to that undertaken by Museum nan Eilean since its establishment. Along with all of this, we're developing a website to point out to archive collections held in the communities of the Western Isles, offering programmes of training, exhibitions and events and generally promoting access to archive material to all. ## Talk It's within that promotional aspect of the project that I am delighted to have been invited to talk to you this evening. As you can tell, I'm English but my entire professional life as an archivist has been spent in Scotland. I'm an archivist but I would not call myself a historian. The job of the archivist is to identify, select and preserve records to be held permanently as historical records and to facilitate access to these. It is our researchers who are the historians. Obviously, an archivist needs a broad overview of the history of the area in which they work and the records in their care in order to add context and value to the collections and to help direct researchers to records of interest. That is not to say I don't have a strong interest in history but in the same way as you wouldn't expect a librarian to have read every book in their care, an archivist will not necessarily know every document in their care. In preparing this tour of Stornoway, it has given Donna, Katie Anne and I an excuse to go and delve into the historical records of the town and get to know them better. Many of the tales I will depart have been researched by them and credit is due to Donna and Katie Anne for their invaluable contribution to this paper. I've called this talk An Archive Tour of Stornoway. I want to take you on a meander around the Burgh and wider Parish of Stornoway looking at the areas history from information gleaned from archive records. As an incomer to the area, I have obviously read various local history publications, attended talks, seen TV programmes and spoken with people which have all helped to expand my knowledge of the area. But for the purposes of this talk I'm trying to avoid that knowledge and instead focus on what can be learnt from the recorded history held in the archives. This, I hope, will allow me to introduce you all to collections of archive records held by the Comhairle, other public authorities, businesses and records held in private hands. Through highlighting some of the stories that can be gleaned from these documents I hope it will encourage you all to investigate them further to help expand the collective knowledge and understanding of the areas development. Some of these records you will already be aware off and have used, but I hope that many will be new to you and hopefully inspire new research. ## Starting The Tour [Power Point Slide 2: View Of Stornoway From Gallowshill Featuring Remains Of Stornoway Castle. Washington Wilson? Held By Stornoway Library] Everyone visiting the islands before the development of the airport would have come to Stornoway by boat and so the harbour and piers of Stornoway seem a good place to start this tour. Stornoway Pier & Harbour Commission was established in 1865 and has a beautiful collection of archives in Amity House. The first minute book of the authority is the only document I have seen that appears to have suffered in the Town Hall fire of 1918 - it being badly burnt and scorched. Significant conservation work has been undertaken on the minute book but large parts of it are sadly illegible. As well as the minutes of the Port Authority surviving through to the present day, detailed operational records of the port have survived. Sailing and mooring records survive from 1865 along with fishing boat registration and detailed financial records. Notably, property deeds for many Stornoway properties around South and North Beach survive dating back into the 1790s that have the potential for researchers to find out more about individuals properties in the town. Catherine Mackay's book, It Must be Stornoway, makes great use of these records to provide the fascinating history of the port. Thankfully, the Port Authority is pleased to make records available to researchers. The Tasglann team have also undertaken a detailed survey listing of the collection although there is far more detailed work to do on this important collection. Assuming the Lews Castle Archive goes ahead, the repatriation of Customs & Excise Records from Edinburgh dating from 1765 will make a fascinating complementary resource for these records. ## [Powerpoint Slide 3: Postcard - View Of Stornoway From The Castle. Postcard Held In Private Hands] I'm always interested on people's first impressions of the town of Stornoway, especially when they turn up in primary source archive material. Postcards are a brilliant source for these. Mainly traded these days by dealers for the images on their front, the text on the back can be hugely revealing. A postcard that is held in private hands of which the Tasglann team became aware has a fantastic letter on its reverse from an army man serving in Stornoway in 1944 to his sweetheart. As well as a brief account of his day to day work and the showing of films in the mess he discusses his impression of the town: ## [Powerpoint Slide 4: Postcard - View Of Stornoway From The Castle. Text Side. Postcard Held In Private Hands] "I did not find Stornoway quite as busy a town as I expected... A few very ordinary shops, a few hotels, two or three churches and house that vary in size from medium to very small. About two thirds of the people appear to be middle class looking people of a sturdy build and the remaining one third appear to be a rather poor class of crofter who live in tiny hovels with perhaps a cow or a few sheep as company. The women folk dress in black or dark colours and appear to make clothes last far beyond their normal span of life." ## Hotels - Meetings Of Parish As we walk down from Amity House to Castle Street we come to meet several hotels - Caledonian, Lewis and Crown. Prior to the establishment of the town hall and other rooms, these were often venues for the meeting of Stornoway's Parochial Board and later Parish Council. Until 1845, government interference with the Islands was minimal, but the Poor Law Act of 1845 saw the establishment of parochial boards in the four parishes of Stornoway, Lochs, Uig and Barvas to over see the raising of the poor rate to help the most needy and destitute of the area. The Stornoway Board was made up of representatives from the Kirk Session, local property owners and elected members. It assessed land and heritages to levy a poor rate on owners and occupiers. The board appointed an Inspector of the Poor who managed the collection and distribution of poor relief. The Inspector visited the poor and brought reasonable applications before the Board who then determined whether aid was to be given and how much. The Poor were the problem of the Parish in which they were born unless they had the right of settlement in the place they found themselves living. Determining settlement (i.e. whether an individual was the responsibility of the parish or another parish) gave rise to detailed record keeping. For Stornoway, we have an almost complete run of parish and poor law records for 1845 through to the Public Assistance Committee that was eventually abolished with the coming of the Welfare State. If your own research uncovers individuals listed in birth, marriage, death or census records as being a pauper or being the poor house in the Western isles we're likely to have records relating to them. A browse through the applications for poor relief make for sad reading. In the 1920s, there is an application by a mother on behalf of her daughter, Mary. The Poor Law inspector notes that Mary has always lived in Stornoway with her mother, but that she is weak minded and not fit for any work. The Parish Council provide financial relief and also fund medical attention for Mary. Help was not only given in the form of cash payments. In December 1921 a local fisherman is awarded ½ ball meal and groceries rather than money. In another case, a 66 year old crofter in the town recently lost her son to infections from a skin disease and as a result the bedding all had to be destroyed - she is provided with a new blanket and bed covers. In 1914 see a wife leaving her husband due to his ill treatment of her and she takes shelter in the recreation rooms on North Beach Street. The family has no food but apply to the inspector for medical attention for the youngest child who is down with measles - help is granted. Often it is possible to find detailed records of individual cases. In May 1894, Harrisborn Alexander Morrison came to the attention of the Inspector in Stornoway, living on Keith Street. His application for help details that had lived in Stornoway for 32 years taking work on coastal smacks. Aged 67 and already widowed twice, he was sole carer for his gravely ill third wife, Mary, and struggling financially. The Inspector records details of the Morrison's situation and notes that a small life assurance policy is held for them both by Alexander. The case goes to the Parochial Board who admit Alexander onto the Poor Roll and he received 1 shilling a week in aid, raising it to 3/- a few months later. Recognising that the Morrison's are unlikely to work or be able to support themselves again, the Board also decide to look into cashing in their small life policy valued at £2, the money to be retained by the Board. The Morrison's entry on the Poor Roll records further details about Alexander's children including their names and ages. One who had moved to Australia, another is married in Harris, whilst three others are in Glasgow working as a blacksmith, labourer and riveter respectfully. Detailed records of the financial help received from the Board are recorded along with other changes in circumstance. This includes the sad news of the death of Mary in November 1894. A few months later, the Board reduce Alexander's aid to 1/6 accordingly but do pay his yearly £3 rent. Three years late, Alexander is living with an Anne Macleod on Scotland Street and both are offered places as "test cases" in the new Lewis Combination Poorhouse that had just recently opened. Anne goes, but Alexander refuses although he is admitted the following month. Life in the poorhouse wasn't easy, and Alexander absconded within 48 hours. As punishment for refusing help he was struck off the Poor Roll. What happened over the winter and spring to Alexander is unknown from the records but in August he is readmitted to the Poorhouse. This time he doesn't abscond but in November dies in the poorhouse aged around 71. Alex's story came about as a result of a family history enquiry who knew that Alex had dies in the poorhouse. Working backwards through the records, we were able to trace Alex's story and the enquirer was thrilled with the detail of this information. The Australian daughter link opened up a whole new avenue of research for the enquirer! ## Point Street [PowerPoint slide 5: View of Point Street, featuring fishing rod with fish! Image held by Stornoway Historical Society] Continuing our walk down Point Street we get to the original site of the Lews Coffee House Company, established in 1878. The establishment served tea, coffee and hot chocolate to the people of Stornoway and was deliberately set up as a temperate alternative to the licensed premises across the town. Here you could enjoy newspapers and meet with friends. In 1884, the coffee shop moved to what is now the Star Inn before winding up in 1911, ironically only a few years before Stornoway went dry. The minute book and a ledger survive for the shop, casting detail on its history and operation. ## Town Hall/Burgh Burgh Of Stornoway [Powerpoint Slide 6 - Sale Of Work, Stornoway Town Hall, 1910. Image Held By Stornoway Library] Further down Point Street we reach Stornoway Town Hall, the home until 1975 of the Burgh of Stornoway. The Burgh was established under a charter from James VI in 1607, entitling the inhabitants to be free burgesses and to elect Bailies. Despite the Charter, no steps were taken to establish these new rights. The surviving records of the Burgh don't begin until 1863 when a Police Burgh was created under the Police (Scotland) Act 1862. The complete minutes of the burgh from 1863 until 1975 survive in over 37 volumes of hand written detail that are invaluable for the study of the Burg's history. The first minute book details the definition of the Burgh's boundaries. This is drawn in great detail in words but a map would have been so much more useful. [A map from c1930s is held in Stornoway library showing the outline of the Burgh in its original setting with its various expansions up until 1934] The minute book also details the election of the town's Police Commissioners held at the Court House on 27 January 1864 with the first full meeting of Commissioners sitting 1 February. 64 people turned were eligible to cast votes in the election in which 12 individuals stood from which 9 were elected. Amongst the unsuccessful was Donald Munro, Chamberlain of the Lews and Sir James Matheson's right hand man, who only polled 39 votes where most others were hitting the 60 mark. He did however manage to make his way onto the Commissioners by 1865. In its first years, the Burgh looked at naming roads and numbering houses as well as dealing with issues relating to cleansing and street lighting. The cleansing committee reports can be quite fun. An 1864 report relating to a Mrs Mackenzie's property on South Beach Street. Here, the reporting inspector states he "Found 3 pigs in a filthy state in a confined backyard most offensive and injurious to health and must be particularly so to the Lewis Hotel. Order pig sty to be moved to corner of the Town Garden". Other reports talk of choked drains, a slaughterhouse on Cromwell Street that was order to be removed and a recommendation in April 1864 for the inhabitants of Stornoway "to take more care in throwing out their dirt etc, on the streets." By the 1870s, we start to see the Burgh records becoming more formalised and modern committee structures and departments evolving. These included a Magistrates and Drill Hall Committee; a Works & Water Standing Committee; Lights and Cleansing Committee; and a finance committee. The 1870s onwards sees discussion regarding the establishment of a hospital in the area, arrangements for the water supply, maintenance of footpaths, postal arrangements and public toilets. Records that have survived relating to the burgh cover all aspects of its operations: these are recorded in letter books, accounts, assessment rolls and rates collection, public health minutes, housing records, roads maintenance and a Police Court Minute book. This latter document records the Burgh Police Court activities from 1957-1979. It lists the defendant, their crime and punishments which could range from fines to imprisonment. The most common crime is listed as being under the Licensing Act 1903 Section 70 (1) - further research shows this to be individuals walking the streets alone when under the influence of drink. The Burgh, or Town Council as it become known, also administered several charitable funds. ## [Powerpoint Slide 7: Image Of The Highlands & Islands Medical Committee, 1912, Featuring Jl Robertson. Image Found On Google] One notable bequest came from the noted Lewis man, JL Robertson. Having risen to the ranks of the Chief Inspector of School in the Highlands, he was also a member of the Dewar committee who investigate medical provision in the Highlands that reported in 1912. He was educated in the General Assembly School in Lewis himself and upon his death in Inverness in 1927 his body was brought back to Stornoway for what newspaper reports indicate was one of the most well attended funerals in many years. Like many of Stornoway's great and good, he now lies in Sandwick Cemetery. Under the terms of his will he left a bequest to the people of Stornoway to help those most in need. Applications to the fund are held by the Comhairle and these include people looking for help with funeral expenses and for financial aid due to their personal circumstances. Interestingly, the fund also provided grants of between £15 and £25 and for a small number of people to emigrate to New Zealand and Canada. An application was also made to the fund by the Stornoway Burgh District Nursing Association for a nurse to attend the sick and the poor out with the burgh. After consideration, the Trustees resolved that a contribution of £40 per annum be made to the Association. Considering the fire of 1918, a remarkable amount of records survive for Lewis and Stornoway. James Shaw Grant records that his own father was involved in rescuing the Parish Records from the building but notes that much was lost. It's unclear sadly as to what actually was lost, but I know on Lewis the general excuse for anything that can't be found is that it must have gone in the Town Hall fire. This is a fair enough statement, but possibly not when I've heard the excuse applied to records that would have been created after 1918! ## Utilities Standing at the cross roads of Point Street and Cromwell Street, you are in a well lit section of the town with adequate drainage and sewerage works. Utilities companies on the island are some of the earliest business records available to researchers for the island and are worth noting. The Gas Works were situated at the edge of Newton with records appearing to be held by the National Archives of Scotland dating back into the early to mid 1800s. Records of the Stornoway Gas Light Co Ltd incorporated in 1888 are also held there. The Stornoway Water Company was established in 1848 and its minute book survives on the island. Born out of a public meeting at the Masonic hall in 1842 the book mentions that at this point a gas company was already established. The Water Company was to set pipe work to bring fresh water into the town and to provide water filtration works. In a moment of foresight possibly never seen again by utility companies, the Water Company looked to work with the gas company as far as possible to reduce costs and disruption when laying pipe work. The Gas Company's manager, Mr Wilson, was to superintend the opening of drains, laying of pipes and collection of water dues with the Water Company paying one-third of his salary. The company laid the mains pipes but connection to the mains from individual properties needed to be paid for by the householder. In 1870 the Burgh Commissioners of Stornoway tendered the sum of £750 to purchase the water plant of the company which was refused. The Company wanting £1300 seeing as the outlay to that date had exceeded £2000. In December 1870 it was agreed by the shareholders however to accept the Burgh's offer of £750 for the plant. It was agreed to wind up the company with its powers and services transferring to the Burgh of Stornoway. ## Stornoway Gazette / James Shaw Grant Moving a little up point street from the cross roads we reach the offices of the Stornoway gazette. Now owned by Johnston Press, we are all familiar with the wealth of historical evidence to be found in its pages. ## [Powerpoint Slide 8: James Shaw Grant And His Wife Cathie Dancing At A Party. Image Held In James Shaw Grant Collection, Tasglann Nan Eilean Siar] The personal papers of one of its former editors, James Shaw Grant, have lain within Stornoway Library for a number of years but have been little exploited by researchers. Donna from the Tasglann team has undertaken the monumental task of sorting and cataloguing these papers and a catalogue will be available soon. His papers cover his time as editor of the Stornoway Gazette for 31 years from 1932, taking overt the paper his father founded. It also gives us records from the other aspects of his professional life such as his work with the Crofter's Commission and roles with the Highlands and Islands Development Board. The records include speeches, memorandums and annual reports but also more personal documents relating to his more creative side. This includes plays and short stories which were performed in partnership with the Pitlochry Festival Theatre of which he was a Board Member. He had a large interest in local history and islanders who had left the island and made an impact in various parts of the world. These include writings on Roderick Smith of Borve who lead the search for Louis Riel in Red River (now Manitoba) during the 1885 rebellion. Or James Morrison who was boatswain's mate on HMS Bounty and who was involved in the infamous mutiny. As editor of the paper, the records contain correspondence sent to him regarding many subjects. This includes a letter from a Mainland gent who had met an Island lass on the Loch Ness and, unsure of whom he could turn to for help in finding her again, wrote to Grant to ask if he could place an appeal in the Gazette. In another letter of 1957, a local man wrote asking if it is possible to place an advert in the paper as he was in search of a wife. We're not sure if the advert was placed but it does sound like the Gazette could run a lonely hearts column without too many problems! ## Cromwell Street [Powerpoint Slide 9: Image Of Hugh Matheson'S Lewis Bakery & Provisions Store [Original Held Privately)] Moving back down to Cromwell Street we meet the sites of many well known shops including Roderick Smith's chemist and Hugh Matheson's bakery. I won't dwell on these as they were covered in depth by Malcolm, Norrie and Sandy at the hugely successful old shops of Stornoway event last year. The exhibition panels on the shop are still up in the foyer of the library. One shop the Tasglann team has worked with on Cromwell Street is KJ Macdonald's who allowed us to view and catalogue their archives. ## [Powerpoint Slide 10: Kj Macdonald Ltd. Image From Google Street View] A pharmacist's had occupied the site at 29 Cromwell Street since at least 1899 when it was occupied by Samuel Lawrence. In 1904, W J Tolmie is listed in the valuation rolls for Stornoway as the pharmacist with Hugh Martin taking over in 1910. It is believed Kenneth John Macdonald, or Kenny Froggans as he was better know, came to work either with or for Hugh Martin and by 1921 he had acquired the shop outright. The records of the shop are amazing: prescription records from 1899 until the 1970s document pretty much every pill and potion dispensed. Customer accounts show their dealings with various Stornoway and island doctors and buildings, such as the poorhouse. Sadly, data protection restrictions mean it may be some years before these records can be fully exploited and researched but they are a valuable addition to Stornoway's archival heritage. Many of Stornoway's bank mangers were major figures in the town holding places on the Burgh or with the school boards. All of the Stornoway banks are branches of banks who maintain formal archives on the mainland. For example, the Bank of Scotland and Royal Bank of Scotland have significant archive holdings in Edinburgh staffed by a gang of professional archivists. I do not know to what extent individual account records for islanders exist but I somehow doubt it is many. Stornoway and the Isle of Lewis was the home of the first mobile bank in the UK. ## [Powerpoint Slide 11: National Bank Of Scotland Mobile Banks On Lewis. Images Held By Royal Bank Of Scotland Group Archives] The National Bank of Scotland, now absorbed into the RBS, faced the problem of how to provide banking facilities in remote areas, where the population was too scattered to warrant the establishment of a sub-office. Late in 1946 the idea of introducing a 'Travelling Bank' on the Isle of Lewis was suggested to serve in particular the island's crofter weavers who previously had to take a day off work to use the National Bank branch in Stornoway. Accordingly the mobile bank, based at Stornoway branch under the charge of the local agent Donald McIver, went into service on Tuesday 5 November 1946. The Studebaker van, converted for the bank's own use had three desks with adjustable swivel seats, shelving, cash boxes 'and many of the other appurtenances of normal bank offices'. The van was on the road for four days one week and five the next and travelled, on average, some fifty miles per day.1 ## Looking Out To The Castle From Cromwell Street, Lews Castle can easily been seen standing over the town, the seat of the Islands lairds for many years. [PowerPoint slide 12: Lewis Castle staff photograph taken in the glasshouses c1900- 1910. Image held privately] As a general rule of thumb, the oldest archives that survive anywhere tend to relate to land ownership, property, taxation or rights and this is certainly true in the case of the ownership and management of Stornoway and Lewis. We all know the ownership history of the islands but where is the proof of this ownership? As I am sure you are aware, the oldest records of the Mackenzie Seaforth papers held in the National Archives in Edinburgh (reference GD46) documenting their ownership and management of the Island of Lewis until 1844 when they sold up to the Matheson's. The collection totals over 20 linear metres of records. The records held in Edinburgh relate to land management and ownership: rents, leases and other financial issues. A small selection of these records have been copied and are available within Stornoway library and pretty much every Comann Eachdraidh in Lewis has copies of the rental pages for their areas which can be an aid to family history. There is a wealth of research material here but the records being in Edinburgh is something of a barrier to their full exploitation for looking into the history of the Islands and Stornoway. Sadly for us, as the Mackenzies held estates in other areas of Scotland that are documented within these records, they are not scheduled for return to Lewis if and when the Lewis Castle Museum & Archive is established. However, a detailed catalogue of the collection is available online at allowing us to interrogate remotely to make the most of any research trips to Edinburgh. With the transfer of the Island to the Matheson family we have to look elsewhere for information on the islands ownership and management. Estate records from the time of the Matheson's are few and far between. The most historically important I'd hope now form part of the Stornoway Trust's own records but this requires further research and the Tasglann Project has yet to undertake a survey of what is actually held there. Some material may be held in with the records of Jardine, Matheson & Co Ltd whose records survive at the University of Cambridge although these predominantly are concerned with the business that made Matheson's fortune rather than the personal papers based around how he spent his money. One surviving document we do have relating to the Matheson period is a letter to Lady Matheson in August 1862 from NMG Hutchison at Soval lodge concerning arrangements for a visiting fishing party. In the letter, he suggests options for entertaining the party but points out the issues of midges and whether it's suitable bathing weather. He also discusses the menu for the evening meal consisting of "Mutton top and bottom / salmon to quarters - Entrees of soup / Trout frites. Venison steaks (assuming they are able to catch a stag) and, my personal favourite, "Sautee á la Squeak de Bubble". ## [Powerpoint Slide 13: Extract Of Letter To Lady Matheson Featuring The Words "Squeak De Bubble". Original Held By Tasglann Nan Eilean Siar, Accn 2011/002] Another document in the care of Stornoway Library is a legal memorial compiled in 1861 by Matheson's factor, Donald Munro. There appears to have been a conflict between the Matheson Estate and town at this point regarding ownership of the shoreline and piers. The volume pulls together transcriptions of legal charters dating from 1610 supporting the Matheson case for ownership leading up to Legal Counsel's opinion in 1961 supporting the case. It's a document worthy of further investigation. With the Matheson sale to Lord Leverhulme in 1918 the estate management papers were transferred to him which were then passed onto the Stornoway Trust in 1925. Like the Matheson's, few of Leverhulme's personal papers have survived having been destroyed under the terms of his Will. A few boxes of uncatalogued material are held by the Unilever archives in Port Sunlight on the Wirral, including I believe inventories of the contents of Lews Castle. His business papers relating to MacFisheries etc. are also held in the archive in Port Sunlight. No online catalogue is available but the Tasglann do have rough box lists of what is held there. A delightful legacy that is held from the Leverhulme period is a small private publication "Loose Leaves from the Lews" published by his son in 1918 after the families first visit as owners of the island. Full of photographs and writings from his friends, it also includes some Leverhulme's own poetry: ## [Powerpoint Slide 14: Pages From "Loose Leaves Of The Lews" Published In 1918. Held By Stornoway Library] "There's a lovely bright island names Lews, Of all spots in the world I would choose, To live there for ever; Midst its people I'll tether, Myself, and leave never, The lads strong and clever, Lassies bonnie as heather, Hearts light as a feather, A smile like the morning, Their faces adorning; What more need one say. So here ends my lay. May deeds and not words in love our hearts fuse. Compare this to the message he sent in his Christmas Card to friends in 1920. Inside there is a poem by Helen Sevrez which seems to hint at those who stand in the way of 'progress' ## [Powerpoint Slide 15: Poem Included In Lord Leverhulme'S Christmas Card, 1920. Held By Stornoway Library] There's a sunny side to the darkest road On the difficult journey of life There are golden hours when we slip of the load Of the blackest hours of strife Yet some queer folk seem to the like the gloom And the discord of strain and stress They look upon life as a step the tomb And the world as a wilderness It is not a big stretch to imagine that he is referring to inhabitants of Lewis following the land raids of Gress and general resistance to some of his more progressive ideas. ## Up Onto Kenneth Street As we come up onto Kenneth Street via Church Street, we come to Stornoway Police Station. As a public authority with its HQ in Inverness, many of the islands policing records have been transferred for archive storage to Inverness. Discussions have been held that will hopefully see the Lewis records returned to the new archive at Stornoway where they can be made more easily accessible to islanders. The key records held appear to be the individual station log books which must shed great light onto the day-to-day activities of the police on the Islands. ## Masonic Lodge [PowerPoint 16: Masonic lodge survey being undertaken by the Tasglann. ## Image Of Their Library And Of David Looking Through A Cupboard Of Archives. Images Held By Tasglann Nan Eilean Siar] Kenneth Street is also the home of the oldest and probably largest collection of historical records still held on the island - the records of the Lodge Fortrose No 108. The records of the Masonic Lodge are complete from its foundation in 1767 and record every member and meeting held. The archives also include membership records and records relating to the lodges' charitable work, especially including its benevolent assistance work to individuals who were in need of financial assistance. The lodge has also become a natural and trusted resting home for historical records not related to the lodge. A recent survey of the lodges records undertaken by the Tasglann uncovered papers relating to the Stornoway Choral Society of the 1860s and collections of letterheads of Stornoway and Island businesses past and present. Access to these records is at the discretion of the Lodge but there is a wealth of material to be discovered. As well as being a home for the lodge, the Lodge Building was also the site of many of Stornoway's most important public meetings, including the first meetings of the Burgh's Commissioners. It was also the home of several clubs and societies. ## Debating By 1871, the Young Mans Mutual Improvement Association was in full swing. The only surviving record held is the minute book of the Association from 1871-1878. I was always intrigued when I saw this volume in the list of Comhairle-held archives as I hadn't a clue as to what the organisation did or was about. I had visions of some sort of YMCA and was almost disappointed to see it was a debating society when we looked at the records. Debating subject included: 'Were the Southern States justified in their attempts to separate themselves from the union?' 'Is novel reading beneficial?' But matters weren't always just about debate. Essays were also submitted for public reading and discussion. The Association appears to have ceased by the 1880s but a new group, the Stornoway Literary and Debating Society, was established on 23 January 1901 in a meeting at the Lewis Coffee House. The group met weekly with its first month of meetings being held in the Secondary Department of the Nicolson Institute. However, the minute of 6 February 1901 notes that "owing to the exorbitant remuneration expected by the janitor of the Nicolson Institute …it was decided at a meeting of the Business Committee to reopen negotiations with the Fortrose Lodge of freemasons with the view of securing the reading room…for a meeting place." This approach was accepted and their next meeting was held there and I strongly suspect that the bulk of the membership were lodge members anyway. Similarly to the Young Men's Mutual Improvement Association, the evenings were a mixture of readings and debate. Debate topics were wide and varied. "Is the present Government worthy of the confidence of the Country?" seems to be a regular debate undertaken through the short history of the society. Other topics debated include "Are the colonies as source of strength to the mother nation" and "Have we reached our zenith of Power and fame as a nation"? "Hat nights" were also held where short debates were held on random topics pulled from a hat. In November 1907 such a night was held where the topics included Should the land be nationalised? Is the religious novel advisable? Is the Gaelic movement doomed to failure of destined to succeed? Should the railways be nationalised? Should we like to live our lives over again if we could? Is universal suffrage desirable? Last week, I scoured the pages of the minutes to try and find a reference to Robert Burns for our blog site and was surprised to see that he is never mentioned and no Burns Suppers were held, although other debates for the week of 25 January included debates on Shakespeare and Tennyson. What struck me looking at the topics is that the debates were sophisticated topics - concerned with more worldly matters and there is little discussion of the island's own economy, fishing and crofting. Debates did occasionally look at issues closer to home, such as in 1902 when a session was held on the "Development of Lewis as a Holiday Resort". ## [Powerpoint Slide 17: Dinner Menu And Programme As Pasted Into Stornoway Literary And Debating Society Minute Book. Held By Stornoway Library] The Society did institute a formal dinner, the first being held 17 March 1903. The event and speeches were reported verbatim in the Highland News, a copy of which is pasted into the minute book, which allows us to see some of the membership who attended along with a raft of civic dignitaries. It seems a shame that the society finally wound up in 1909 after 8 active years, ultimately, due to a lack of interest by the membership. ## Stagg Road Moving north, we reach Stagg Road. Here, in 1893, Parochial Board Buildings for lodging the poor appear to have resided. One of the delights of working with archives is finding the completely unexpected. When looking at one of the Parish Council minute books we found it included a press clipping of a sheriff court case centred on these buildings. A Miss Isabella Ferguson struck her sister, Mary Pink, around the head with a pan. ## [Powerpoint Slide 18: Press Cutting Recording The Event Pasted Into Cover Of Stornoway Parish Minute Book Reference R1.231. Held By Tasglann Nan Eilean Siar] The case is recorded almost verbatim in the news cutting with commentary from the reporter, who, on understanding that she was charged with breach of the peach at Stag road comments "which we might remark is rather a difficult task to perform for "the public peace" has practically no existence in the salubrious vicinity of Stag road." The Sheriff admonishes Isabella, who is going to work as a gutter, but also criticises the Parochial Board, calling the Parochial Board Building a "perfect disgrace" and that it was scandalous to "have so many people of immoral character housed there". ## [Powerpoint Slide 19: Stornoway Poorhouse Visible On The Outskirts Of Town. Aerial Survey Of Stornoway C1970S. Images Held By Stornoway Library] The actual Poorhouse of Stornoway was to be found at the top end of what is now Westview Terrace outside the border of the Burgh itself. The 1845 poor Law Act enabled the construction by parishes or combination of parishes of poorhouses. Pressure was put on the four Lewis Parochial Boards for many years to build a poorhouse but the boards resisted until the building of the Lewis Combination Poorhouse in Stornoway in 1894-6. The minutes of the Poorhouse exist for 1893 through until 1970 by which point it was the Management Committee for Dun Berisay and Coulregrein Home. The Poorhouse was jointly erected by the four parochial boards of Lewis and from the outset there were the usually inter parish arguments you would expect from any decision taken in Lewis! The proportion each parish was to pay towards its establishment, building and maintenance was based upon the number of beds allocated per parish. Needless to say, Stornoway had the largest share but this was increased when Barvas, Lochs and Uig complained that they didn't need so many beds. The poorhouse is clearly visible in aerial photographs of Stornoway. [PowerPoint slide 20: Close up view of Lewis Combination Stornoway Poorhouse. Image from www.workhouses.org.uk] As well as being the home of last resort for the most need it also a place of refuge in times of crisis. When the SS Norge sank of the coast of Lewis in 1904, the minute book records: 'During this quarter we had a very busy time with the ship wrecked folk from the 'SS Norge' - this having reference to the admission to house on 4th July of 52 men, women and children as some of the survivors of from the Scandinavian- American emigrant SS Norge lost at Rockall on 28th June…" A thank you letter was received from Mr Gundal, latterly Master of the Norge, which was also copied into the minute book "Allow me to convey the sincerest and warmest thanks to you and all the inhabitants of Stornoway for your kindness, hospitality and goodwill to all of us poor shipwrecked and sick persons. We all feel deeply indebted and thankful. I cannot find words to explain my gratitude to all. Everyone (rich and poor) have done so much, and been so kind to us foreigners. The children and sick have been nursed as careful by your ladies as if they were children of their own. Everyone had a kind word to us. I think no other place in the world would have done what you have done to us. All my life I will think of you with the highest esteem, gratitude and thankfulness. God reward you for all. With sincerest of high estimation and thankfulness for the survivors of SS Norge landed at Stornoway. ## [Powerpoint Slide 21. Crop Rotation Records For Coulregrein House 1940. Original Held By Tasglann Nan Eilean Siar Ref Accn 2011/004] From 1939, the poorhouse took part in the war effort, turning over its gardens to producing vegetables for their own needs. The crop rotation book for the gardens exists showing the vegetables being grown, their rotation and even the varieties being planted for their use. Parts of this have now been digitised for use in an education pack for schools as part of the Soil Association's Crofting Connections project so that they can study the use and purpose of crop rotation. ## Iolaire As well as the sinking of the Norge, we cannot forget the tragic loss of the Iolaire in 1919. A local fund was established to aid the bereaved and the Council holds the applications to this fund. An application to the fund casts light of a family situation. The deceased sailor, Malcolm, had two relatives who made applications to the relief fund. One is his father and the other his Aunt. The deceased was sent to live with his aunt when he was a child as his mother has passed away. From an attached letter to the Fund application, the father states that Malcolm gave a portion of his earnings to his aunt rather than his father. However the father feels he deserved a portion of the relief fund as he was, I quote 'looking forward to him as my first help and if he was spared he would do that for me as a dutiful son to me.' The father is unemployed due to ill health, but has a pension of 11/9 a week. The aunt is widowed with no children and has no income. It appears that the aunt is awarded a portion of the fund, while the father receives nothing. ## Lewis Hospital / Health Board Across from the poorhouse closer to town stood the Lewis hospital. Margaret Dobson has covered the history of the hospital in her fascinating account in previous sessions of the Society so I need not go into that here. In writing these, I believe she drew on the annual reports of hospital held by the health board but there must be many more historical records relating to the hospitals and medical activities of Lewis held by the modern NHS Board. The whereabouts of these are currently under investigation by the Tasglann and the Health board. However, it is interesting to note that reference to the maintenance of a Lewis Hospital is raised in the Burgh of Stornoway records and also the Lewis District Committee and later Lewis District Council records should anyone wish to come and have a delve through them. ## Matheson Road If we drop down Robertson Road towards Matheson Road we find the fire station. Similar to the police, it is hoped that relevant records from their mainland HQ will be returned to Stornoway in the future. This includes, I believe, plans for many Stornoway buildings that no longer exist - a hugely valuable resource for understanding the history of Stornoway buildings and the town's development. ## Church Records As we walk up Matheson Road we reach the High Church of Stornoway having also passed near to St Columba's Church and the Free Presbyterian Church on the way. The complex history of the Church in Scotland could fill up several evening of presentations in itself. The Church of Scotland's Presbytery of Lewis Records are housed in Edinburgh. These consists of 5 volumes of minutes of the Presbytery dating from 1742-1919, the more modern records presumably still being held by the presbytery office. Under a formal agreement between the Established Church and the Scottish Government, all Church of Scotland records are housed at the National Archive of Scotland. While this centralisation has been undertaken for the Presbytery records in the Islands, individual kirk session records have never been transferred and still sit within the individual churches to which they belong. It has been intimated by the National Archives that the Lewis Presbytery records will be returned to the Islands in the new archive facility at Lews Castle for local study as part of their realisation that records relating to localities really are better placed within those localities. ## [Powerpoint Slide 22: Stornoway High Church Manse On Goathill Road. Original Held By Stornoway Library] While the Tasglann isn't going out of its way to do a full mapping of church records across the islands we have looked at the records of the High Church in Stornoway. The church has an interesting and detailed history documented in its records from 1887. In 1900, the Free Church joined with the United Presbyterian church becoming the United Free High congregation of the United Free Church of Scotland based on Kenneth Street. The congregation was evicted from their Kenneth Street church in 1907 following the Law Lords ruling that the Free Church congregations who hadn't joined the 1900 union were the true owners of the property. This lead to the new church was built on the junction of what of Matheson and Goathill Roads. Ultimately, the church returned to the Established Church of Scotland. As well as the Kirk session and Deacon's court minutes, communion rolls from the 1890s onwards survive which will be of interest to family historians. ## Nicolson And Schools [Powerpoint Slide 23: Os Map C1850S Showing The Location Of The Various School In Stornoway] At the bottom of Matheson Road is the Nicolson Institute, or Institution as it was originally known. Education didn't become a government concern until the passing of the Education Act of 1872. Before this time Stornoway had several schools: A Parish School was already in operation at the rear of St Columba's Church, a Free Church School was operating on Francis Street, another Free school was situated on Keith Street and there was the Lady Matheson school at the junction of Scotland Street and Keith Street. The Nicolson itself had also been founded through charitable bequest prior to the coming of Government intervention in education. The Education Act saw the establishment of the Stornoway School Board in 1873 and a complete run of records of it and the education authorities that followed run all the way through the Education Committee of the Comhairle today. Our schools are amazingly well documented as a result. The School Board was responsible for the management of schools within the Parish of Stornoway. Once of its first acts was to identify where new schools were to be built. This included the three school on Point, and new schools at Laxdale, Tong, Tolsta and Sandwickhill. The board appointed teachers which at times proved challenging. While a district levy was raised through the poor inspector to help fund schools, the appointment of a certified teacher to a school brought with it a government grant of around £80 a year. This was valuable income but appointing teachers often meant bringing in teachers from outside of the islands. In the case of Sandwickhill School, recruiting certified staff was hugely problematic. The school was due to open in January 1880 and in autumn 1979 an advert was placed for a teacher. A succession of 5 people were offered the job all of whom declined and one of whom was poached at the last minute to go to Bayble school. It was October 1880 before William Fraser was appointed; 5 months after the school had opened. The School boards were also responsible for attendance and appointed the Compulsory officer, or whipper in, for each school. Parents who failed to send their children to school could be summoned before the Board to explain themselves and in severe cases a prosecution could be put to the sheriff. The Stornoway School board records give some of the excuses provided by parents for the non-attendance of their children. For example: a Mr Macdonald of Coll had failed to send his two daughters to school. He explained to the Board his wife had been bed ridden for 18 months and that the eldest child required to attend her mother. He promised to send youngest daughter to School. There are two cases I found where the parent claims their child leaves for school every day but they had received no intimation from the school that the child wasn't attending. Where this is true or a case of the parent's creating excuses is unclear but the Board threatened prosecution if things didn't improve. The school log books maintained by each school provide an invaluable insight into daily life in the schools. The Bayble school log for 1907 records an outbreak of Scarlett fever which closed the school for 6 weeks over Christmas and also spread to Air School. Others records incidents of Truancy - at Bayble again the teacher complains of boys not attending school as they are out fishing on the rocks. Absence is also lamented by the teacher for children helping with spring work, peat cutting and potato gathering. The Nicolson Institution remained independent of the School Board until c1880. The Trustees minute book of the Nicolson survives in Stornoway library and covers the period 1870-1888. As well as dealing with the administration of the School and its ultimate transfer to the School Board, this is one of those delightful records that show you some of the more personal politics of the town of Stornoway. The Clerk to the trustees until 1874 was the town's chamberlain and general master of all things, Donald Munro (who incidentally was also chairman of all 4 island school boards at this point). In order to save money, the Trustees decided that the head teacher of the Nicolson would also be the Clerk thus relieving Donald Munro of his paid position and influence over the trustees. The minutes record the unwillingness of Munro to hand over the official papers of the trustees, including the minute book, to the new clerk. Copies of correspondence are copied into the volume in which Munro tries to justify not handing over the records and essentially it all gets very petty. Eventually, the records are handed over and the new clerk starts his job. ## [Powerpoint Slide 24: Nicolson Institution Minute Book 1870-1888 Showing The Unauthorised Entry By Donald Munro And The Clerk'S Comments. Original Held By Stornoway Library.] Somehow, Munro manages to get hold of the minute book again and enters a four page rant about his treatment and situation into its pages. A handwritten note in the margin of the rant states "The above statement has been inserted by Mr Don Munro without the consent of the Trustees. John Sutherland, Clerk". Donald Munro's career is well documented in James Shaw Grant's book "A shilling for your scowl" and his ultimate demise is recorded in detail but his presence is littered through out the official records of the town. ## Garden Road [Powerpoint Slide 25: Image Of Women Waulking Cloth] From the Nicolson, we can walk down Garden Road to the offices of the Harris Tweed Authority. Their home for 40 years, the Authorities first offices were in London and then Inverness. Last year, Donna and Katie Anne spent a couple of days undertaking a detailed survey of the archives held by the Authority. The records on site dated back to 1935 but older records are held by Highland Archive which would be repatriated to Stornoway if a new archive is built. While the minutes are an important source for the history of the organisation, the gems are the trademark records and legal files that relate to the numerous legal battles over the years that both helped define what Harris Tweed is, and challenged those who aimed to copy it. Hidden within the collections are small collections of records relating to now defunct mills that are ripe for research but my personal favourite items are the small weavers books listing the individual crofters and the amount they were paid for their piecework. This collection is hugely important not only to the island, but I can't believe an individual can research trademark law anywhere in the world without reference to the Harris Tweed Authority. I'm delighted to say that the surveyed material, consisting of 26 boxes of records, has been deposited with the Tasglann in the last few weeks with a box list are available of what is held so that we can begin to provide access to this valuable collection. ## Lewis Street [Powerpoint 26: Image Of Stornoway Sheriff Court. Google Images] My final stop on this tour is one place which Donald Munro was no stranger - Stornoway Sheriff Court. Located on the site of the town jail and also the site of the first Council offices, the records of the court date back to 1788 and are held in the National Archives of Edinburgh. 35 metres of fascinating records relating to the legal struggles are held and what a marvellous research resource these must be for the islands history. It is unclear whether these records would return to the island if the Lews Castle archive is built, but I sincerely hope they will. So that finishes the tour of Stornoway. It has been a bit whistle-stop and there are many more stories and collections of records I could have spoken about. The Tasglann are able to provide public access through our office in Stornoway Library to many of these that are held by public authorities and we can help to broker access to records held privately. More detailed information on the content of individual collections will be made available through our website due for launch later this year to help open up these resources to researchers the world over. What I hope this tour has shown is that Stornoway is very lucky in both the quality and quantity of the historical archives that have survived that tell the history of the town and that these are screaming our for researchers to come and use them. [PowerPoint slide 27: Contact details] David Powell January 2012 Tasglann nan Eilean Siar 6 Kenneth Street, Stornoway, HS1 2DP 01851 822750 tasglann@cne-siar.gov.uk	en
3816-pdf	What is the date of the source? Who wrote/created it? Do you know anything about the author? What type of source is it? (Letter, report or newspaper, war diary, pension record, medical record, map, diagram, photograph.) What is the source saying/showing? Write down and check the meaning of any words you are unsure about. How useful is this information, does it support what you know already? What can you infer? (What information is not directly stated?) ## What Type Of Enquiry Would Be This Record Be Useful For? Does the document show the writer's opinions/values? Are there any clues about the intended audience for the document? Why was the document created? Does it have any limitations or gaps? Does it link to other sources in this group? Does it share the same ideas, attitudes and arguments? How would you explain any differences between these documents?	en
3198-pdf	LGDC local government delivery council Improvement ## Developing A Customer Classification Tool Guidance Document For Local Authorities Contents \| Executive summary \| 3 \| \|----------------------------------------------------------\|-----\| \| Introduction \| 6 \| \| Background \| 7 \| \| Developing a free bespoke customer classification system \| 15 \| \| \| \| ## Executive Summary • allocate resources, through understanding where and when investment in services delivers the most benefit • inform service design, through better understanding how customer prefer to access services and understand what mix of services meet customer needs • manage performance, through offering external feedback and benchmarks against which performance can be measured The purpose of this guidance is to describe a methodology local authorities can use to develop their own customer classification model using data which is freely available to them. The guidance uses the terms 'segmentation' and 'profiling' to refer to the same 'classification' process. 'Segmentation' is "the process of sub dividing customers with distinctive shared needs and characteristics into reachable groups based on who they are (also known as socio demographics), what they do (behaviours) and how they think and feel (attitudes)." (Extract from 'Guide to Segmentation', HM Government) • market services, through better understanding customer needs and communication preferences - and the messages that are likely to be effective Segmentation is a key component of local authorities Customer Insight initiatives. • manage demand and determine what services to deliver and the channels to use to increase levels of self-service • change behaviours, though better understanding needs and behaviours and the interventions that are likely to prove effective. Customer segmentation provides local authorities and their partners with a strategic management tool which can support and enhance public services in a range of ways. By providing insight into the economic and social status of residents, as well as their behaviours and attitudes, segmentation can help local authorities to: • manage and anticipate customer need, through understanding how the need for one service may indicate the need for others, and by understanding how the needs of customer groups differ 'Customer Insight' derives from the strategic analysis of qualitative and quantitative data information including; demographics, surveys, operational data, customer and frontline feedback and community engagement activities. Segmentation often provides the foundation for further, primary research such as Customer Journey Mapping and Ethnographic Interviewing. • plan for the long-term, through understanding demographic trends and how demand will evolve over time The guidance then describes some of the challenges and limitations relating to the use of 'off-the-shelf' segmentation products, and the free-to-use Output Area Classification (OAC) profiling tool. In both these cases, the assumptions used to map national samples to local communities can result in loss of accuracy and reliability as the characteristics of the original samples do not reflect the characteristics of a local community. This methodology has been developed by Hull City Council, with input and support from Rushmoor Borough Council (representing the Hampshire and Isle of Wight Customer Insight Partnership) and Leicester City Council in support of their Capital and Asset Pathfinder Projects. The work was funded by the LGA's Customer-Led Transformation Programme, which aims to embed the use of customer insight techniques as a strategic management capability across the public sector. ## Proposed Alternative The range of public services delivered, the complexity of the outcomes and behaviours public sector organisations are seeking to influence, as well as the different nature of the relationship between service user and service provider in the public sector (whereby providers are legally obliged to offer services to customers who may reject them) mean that methodologies developed in the commercial sector may not be as relevant or readily applicable to the public sector. Hence, when considering their approach to segmentation local authorities should ask themselves the following questions: The guidance then describes the approach Hull City Council took on its Capital and Asset Pathfinder to developing a local segmentation based on freely available data sources - including census data and service data. The methodology creates unique segments based on a statistical analysis of the 'clusters' contained in the census data. Since the census survey employs postcodes, any post-coded data available to the service providers can be matched to these segments. Hence, the socio demographic data in the census can be augmented with transactional data (eg council tax payments) or attitudinal data (eg customer surveys). \| Key question \| \|----------------\| \| using… \| ## Key Steps Social demographic segmentation Who lives in the district, town or city? What the residents say and think about things? The guidance then outlines the key steps in developing a classification system for your local area based on freely available data. This is the main body of the document. The key steps are: Attitudinal segmentation based on market research, focus groups and surveys Usage segmentation, based on transactional and operational data from services 1. 'Knowing Your Area'. Research your areas key socio economic and demographic statistics and begin to identify how your area is both similar and different to regional and national averages. What's information services to Customers use across the council? ## Skills And Knowledge 2. 'Gathering Census Data'. Census data from 2001, and the first release of the 2011 census data, can be downloaded from http://www.ons.gov.uk The guidance then describes the range of skills required to develop a classification, highlighting that the two main skill sets are applied statistics and Geographical Information Systems mapping. 3. 'Logging and Standardising the Data'. The guidance outlines the mathematical methodologies that can be used to reduce the effect of extreme values and differing scales across the data sets. ## Costs And Resources 4. 'Choosing Your Variables'. The guidance describes a methodology for ensuring that the classification offers the most insight possible from the fewest number of variables. For example, a variable could be 'ethnic group' or 'level of qualification'. These will depend on whether the work can be delivered in-house, by employing a statistical consultant, or by partnering with other public service organisations. The guidance compares the license and maintenance costs of developing a classification, using OAC and procuring an 'off-the-shelf solution'. ## Tools And Applications 5. 'Clustering and Initial Mapping'. The guidance describes the iterative process of identifying patterns within the data, and verifying the findings using local knowledge. 6. 'Clustering'. This comprises reviewing the number of variables, subsets of clusters and clusters - and involving a wider group of people to review and challenge the results. The guidance then outlines how the classification can be applied by local authorities, highlighting both 'strategic' (eg welfare reform, troubled families) and 'operational' (eg waste management, libraries provision) examples. ## Making It Work 7. 'Signing-Off'. This involves wider engagement of stakeholders and community representatives to collect informal feedback, and refine the clustering further if necessary. 8. 'Labelling'. The guidance describes how Hull developed a short description detailing the key characteristics of each segment. Ensuring that these are brief but evocative is important to encourage the adoption of the segmentation by practitioners. The guidance concludes by highlighting several key factors local authorities should consider before embarking on the development of a customer classification. For example, these include establishing whether there is political buy-in at a high level to deliver a classification, and whether the organisation is sufficiently customer centric to make best use of the output. 9. 'Integrating Data'. By using the postcoded data, local authorities can use the classification to build a wider picture by attaching usage and attitudinal data. ## Introduction Purpose Of This Document This guidance document details an approach to developing a customer classification system using wholly freely available data at a local level. The context for the development of the classification system was the use of customer insight to drive a capital and asset rationalisation programme at Hull City Council. ## Who Should Read This Document? This document is highly relevant to any local authority who is interested in or in the process of reviewing tools and techniques in customer classification, profiling and customer segmentation. Specifically local authorities who are looking to: • be part of or already are a capital and asset pathfinder • develop a customer classification system as part of business operation • identify key customer datasets as part of a data integration exercise. ## Background The LGA's Customer Led Transformation programme funded the customer insight element of Hull City Council's Capital and Assets Pathfinder. The Customer Led Transformation Programme fund set out to embed the use of Customer Insight techniques as strategic management capabilities across the public sector family in order to support place-based working. The Customer Led Transformation programme is overseen by the Local Government Delivery Council (supported by the Local Government Association). The funding enabled Hull City Council to map their customers' usage and demand for public sector buildings and thereby better assess which buildings and assets could be decommissioned, sold or re-purposed. ## The Capital And Assets Pathfinder Programme Councils are facing financial challenges as a result of the cuts in local government funding, announced in the 2010 Comprehensive Spending Review. They need to make savings while continuing to provide services that meet their customers' needs and deliver on-going improvements. In 2010, the Department for Communities and Local Government (DCLG) initiated the Capital and Assets Pathfinder programme, the aim of which is: "…to test how a customer-centric and place-based approach to asset management and capital investment could improve local outcomes and generate significant savings." The pathfinder explores methods to use capital (funding that results in a tangible asset with a defined life span) and assets (in this case usually buildings and land) across the public sector, in a more joined up way using customer information to determine what and where services should be delivered. Based on an estimate that the size of public estate is valued at around £370bn, and that around two-thirds of this is owned by local authorities, DCLG estimate that this approach could release £35 billion in capital receipts over ten years, reducing revenue expenditure by £1.5 billion per annum through reduced running costs and delivering 10 per cent savings on procurement. Therefore this document presents an approach showing how any local authority can develop their own customer classification system using free data which is bespoke to its own area without compromising on quality. ## Definition In Context The fund was established specifically to support collaborative working between local authorities and their partners focused on using customer insight techniques to improve service outcomes. These approaches offer public services bodies the opportunity to engage customers, work more effectively with partners and gather insight into their preferences and needs, and thereby provide the evidence and intelligence needed to redesign services to be more targeted, effective and efficient. What do we mean by customer classification, profiling or segmentation? Classification is about recognising that not all people are the same or need the same services. As part of the wave 1 Capital and Asset pathfinder, many Local authorities involved felt they didn't have the ability, infrastructure or key skills to develop a customer led approach to their work. Whilst many Local authorities had success in mapping their assets, many felt that a gap existed in understanding customers, their needs and how to engage them in order to use this insight to help develop their property strategy. By classification we mean the process of sub dividing customers with distinctive shared needs and characteristics into reachable groups based on who they are (also known as socio demographics), what they do (behaviours) and how they think and feel (attitudes). (Guide to Segmentation, HM Government.) The aim of developing customer classification is to understand the differences between communities to enable more effective targeting and tailoring of local service delivery and, ultimately, improved life outcomes. One of the local authorities who received funding from DCLG to develop a customer classification system was Leicester City Council, who was supported by Hull and Hampshire using their experience in developing and integrating customer segmentation into their respective pathfinder projects to help Leicester develop their own bespoke segmentation to inform their CAP. A key part of any segmentation approach should be to understand the behavioural/ attitudinal elements of a group or segment. It allows organisations to understand who their customers are, and how they use services, giving an insight into the structure of how your organisation should operate in terms of the current status and needs of the customer groups that comprise it, as well as flagging up potential opportunities and threats faced by wider political, economic, social or technological issues in the near future. A key objective for Leicester's work was to commission a guidance document as part of a skills transfer initiative with Hull and Hampshire on how segmentation can be developed in house. However it was felt that this document could be an extremely valuable resource for other local authorities who have the same needs regarding the development of their customer insight capability. ## Different Ways To Segment Customers A priori method A priori segmentation approach is the most basic way of creating segments. In A-priori segmentation, the population is split according to pre-existing demographic criteria such as age, sex or social economic status. More sophisticated versions include life stage (which combines information about age, presence of children and working status. In context to a Capital and Asset programme customer classification is twofold; a) understand the demand for services delivered from a particular building or space and being able to decipher if different types of customers are using a facility over and above others; b) using a customer classification system to review the different needs of a particular area or neighbourhood in relation to how those needs are currently catered for in terms of the services being delivered from a building or space. What do we mean by customer insight? Therefore customer insight is defined as 'a deep truth about the customer, based on their behaviour, experiences, beliefs, needs or desires that is relevant to the tasks or issue and rings bells with target people' Government Communications Network's Engage Programme. A priori segments are easy to define and easy to target with communications and wider community/neighbourhood based services. For some sectors, for instance technology, there are such strong relationships between age and use, that a priori segments are all that are needed. However in other sectors, particularly local government it can be much more difficult to use pre-existing variables for segmentation whilst trying understand the complex set of services on offer from the public sector. Customer insight is more than just raw data and research. It's a multi-dimensional view of customers derived from strategic analysis of qualitative and quantitative data and information that local authorities and their partners collect about their customers, including: demographic data, surveys and consultation, actual operational data, front line staff feedback, formal and informal correspondence and customer feedback. This approach however is often described as step 1 on the segmentation ladder, it is the simplest approach to apply and use. A database can be flagged or sorted on the pre-existing data and that data used to drive different interventions for each group. The segments can be easily mapped and a geographic view of the different segments that make up a city, town or neighbourhood can be achieved. Customer insight can be used to inform strategy and policy, to allocate resources, to manage performance, to market services, to change behaviours, to anticipate customer need and to inform service design. However, it should always be noted that even the most sophisticated a priori systems are quite crude. There is the assumption that you behave or think the same way as your demographic 'neighbour' which is clearly not always the case. This information can then be used to target groups by what they think and how they feel, rather than just who they are and can be a very powerful tool in how different public services need to cater for different cohorts within the population. However, attitudinal groupings can suffer from some problems with regard to their robustness and if they can be replicated. A usage segmentation approach The main way to carry out a usage segmentation, is to split customers according to their weight of use. - heavy users being more important targets than light users, or in some cases for local government light users being the key target of a service that they should be using more (eg smoking cessation). This segmentation can be carried out directly on customer databases and can be extremely powerful in focusing activity based on the value to the organisation. Once you have established a set of attitudinal segments via a questionnaire, many struggle with rolling out the questions to larger number of people. The survey used to collect the attitudes of the customer may have had a sample size of 1,000 people, yet if you want to understand and segment a particularly cohort then everyone would need to complete the survey, which can become expensive dependant on the survey method and the size of the cohort. Needs based segmentation This method aims to determine fundamental drivers for the decision to create what is known as a needs based segmentation. Often usage segmentation is used to try and establish underlying driving forces from other demographic variables. So if women are more likely to be heavy users would it be easier to convert more light users who are female, rather than target their male counterparts. This focusing of market activity on groups that are similar to heavy users gives rise to measures such as 'uplift' - the improvement possible over a purely random. Most needs-based segmentation uses Conjoint Analysis to split a category into different levels of functional performance (see Conjoint Design). By understanding what elements are key drivers for individuals, specific needs and requirements can be identified from the trade-offs that each person makes. Using cluster analysis, this information can be drawn together to find different segments with similar preferences and needs from the service category in question. Attitudinal segmentation When market research is used for usage studies, it is also often accompanied by attitudinal research - what do customers think or believe about the category in question. This is commonly achieved through questionnaires and by asking people their opinion about certain issues. The aim of these studies is not just to understand commonalities in opinion, but also what makes one group of users different from another. Therefore local government cannot leave behind those that 'reject' the services on offer or that they require (eg safeguarding issues etc.) Needs based segments are typically the most actionable forms of segments as you know what drivers the performance of the service you are delivering. These are normally more stable than attitudinal groups as they should directly reflect and predict consumer behaviour and their propensity to respond to certain interventions. This means no one method of segmentation used in isolation will be enough to describe the complexities of customer behaviour and their interaction with public services. A hybrid of approaches is most useful and the below is a helpful way of understanding what is the best approach for local authorities to pursue: ## Which Is The Best Approach For Local Government? Local authorities should ask themselves whether they know the following: Unlike a commercial organisation, local government provide a multitude of different services, advice, help and information to a wide variety of different customers. Many private sector organisations sell a product or service and diversify their propositions around a particular market (eg chocolate and confectionary). Who lives in the district, town or city - One of the easiest ways to do this is to understand the demographic and socio economic make up of an area and compare this to a regional or national average. This helps identify the key differences that make an area unique or similar to others. A priori segmentation of demographic data would be an appropriate way to segment an area to answer the 'who lives in the area question'. When a particular segment is identified as 'rejecting' the product or service, commercially little time or money is spent trying to persuade the consumer (eg if a customer segment is identified as hating chocolate, no further marketing spend would be made on this segment). This is a major issue for local government and is one of the fundamental differences between which segmentation approach is most appropriate in the public sector. What do residents say and think about things - Market research, consultation or any other form of feedback are the main mechanisms that help a local authority understand what customers are thinking, their opinions on key issues and their rating of services. This helps identify how customers are different in their opinions and can be linked to different demographics (as above). Is all of this activity held centrally? Many of the high need/highly dependent customers of a local authority will inevitably be the 'rejecter' segment of society, in that they follow life choices which lead to negative outcomes. This means a key segment for local government will always be the rejecter segment (context in relation to 'troubled families) and is where significant investment is made in delivery acute services responding to those needs. In considering all the segmentation approaches, this means local authorities are best considering how they link a priori segmentation of their demographic and socio economic data (providing a view of who lives in the district/town or city) to other key data sources such as attitudinal and transactional data. Whilst an attitudinal segmentation approach could be applied here, due to the sheer number of services provided by the council, for wider use an attitudinal segmentation approach would be needed for every service the opinions where sought. This means you would need hundreds of attitudinal segmentations where the interdependencies would be extremely difficult to identify, let alone the cost of development. Therefore local authorities should carefully consider how they would develop a priori approach to segmenting their population and link this to other data sources. ## The National Segmentation Problem There isn't a gap in the market for public sector segmentation tools, as many exist as 'off the shelve products'. These tools will use a combination of segmentation approaches, using a priori method for classifying a population into segments based on demographics and socio economic groups and link large national datasets to describe attitudes and transactions. What information and services do customers use across the council - Most of this information is stored as 'transactional' data and is often found in customer databases. Many local authorities use a central customer relationship management database (CRM) to log all contacts with customers stored in a database. However, some councils use a range of different CRM's and many councils will find that different services store customer transaction data on different databases. However this is rich data as it can be matched (by a common record such as an address) to link together transactions across the council. These tools often use transaction data from consumer databases alongside national surveys to create hundreds of UK segments. These segments can then be mapped across the UK, using an address file to 'predict' which household is best described by one of the several hundred groups nationally. Mapped geographically each household can then be seen on a map with a best fit segment assigned to it, linked to a detailed description of the type of person or household that is likely to be behind the door. Whilst a usage segmentation approach would help to identify different usage patterns of a variety of council services, without matching this data to attitudinal information it's difficult to understand why people are using or not using particular services, and without matching to demographics it's difficult to determine who the customers are using or not using a service. Therefore usage segmentation in this context isn't as useful unless it's linked to other information sources. In Hull, when applying a national profiling tool to public housing, one distinct large segment was identified ('Blue Collar') yet a local segmentation model applied showed four distinctly different public housing segments, of varying age groups, health and housing types. These tools offer an appealing proposition as they strive to answer the 3 main areas of interest, who lives in an area, what are their opinions and what services do they use. Many local authorities currently have licences for these products in the market and they have been used for service re-design projects and wider engagement programmes. The assumptions built into a national profiling tool can be quite wide as whilst at a national level there are often similarities between towns, cities and regions, at a local level there are more factors which can make an area 'different', 'special' or 'distinct' compared to others. If local authorities didn't want to pay for a license for commercial segmentation tool, the Output Area Classification (OAC) profiling tool is an alternative that is available free to use. This uses a priori segmentation approach on the UK census data, creating a multitude of UK segments and again mapped across the UK. This enables local authorities to see which segments best fit their areas with a description of each of the segments available as a guide. Whilst this doesn't include attitudinal or transactional data it is a helpful tool to see how large areas of a town, district or city are different demographically and socio economically. Census data has the largest coverage of any data source, and is the most highly regarded source of reliable intelligence available. Hull City Council used Census 2001 data, with mid-year estimates). Furthermore, population estimates based on the 2011 Census are now available - with more details of local characteristics (ie sex and age by ethnic group, sex and age by economic activity) being made available in later releases. Working with this data locally will be incredibly accurate at the time of collection, mid-year estimates and other local intelligence sources help to identify where changes are occurring between the censuses. However, whether using the free OAC classification or a purchased commercial tool, applying Nationally collected data modelled to local areas will not always describe an area as accurately as you know it to be. Often these tools won't identify how certain neighbourhoods differ to the national average eg a national classification for Leicester using the national OAC model identified a large ethnically mixed segment which was evident across Leicester, yet when developing a local segmentation for the area, four groups existed with much more detail around religion, ethnicity and life stage. Nationally collected attitudinal survey data can become less reliable, as sampling error and confidence intervals can become large when looking at the sample size for your town, district or city. For example, if a national sports survey had been used to model attitudes to participation in sport and added to a profiling tool, the sample size collected nationally may have been 200,000 (small sampling error). However when linked to a national set of segments and modelled down to a local area the actual sample size for that particular area, town or city may have only been 300 (large sampling error). This means it becomes difficult to predict with accuracy the attitudes of a customer when a national survey is modelled down to lower geographies. The best most accurate data would be an areas/towns or cities own survey data where sample sizes are likely to be much higher with smaller sampling error. A similar problem exists for transactional data taken from large national consumer datasets, whilst the sample sizes are likely to be higher for certain data sources, local factors can often outweigh the accuracy of the model and what it is trying to predict about the population. For example a large consumer dataset on shopping and which supermarkets residents choose to shop at is often added to commercial profiling tools. This can predict with some accuracy which households in your area, town or city are most likely to shop at which supermarket. However in Hull, this data may indicate that several thousand people shop at a particular supermarket that doesn't actually exist within the city as the supermarket doesn't actually have a site within the city. These problems have been the main reason to focus our attention on how we develop a better solution. At a time of financial constraint amongst local authority budgets and when evidence based policy has never been as important, we have developed a low or no cost solution, which significantly increases the level of accuracy of a combined approach to segmentation. ## Developing A Free Bespoke Customer Classification System The proposed alternative model (in summary) Once complete, any local authority using this approach will therefore have a list of all post codes in their area with a segment number attached, mapped to census output area. (See appendix). This then allows for other post coded data to be matched to these segments, building on top of the a priori method of demographic/socio economic segments with real local attitudinal and transactional data. As part of Hull's work on its Capital and Asset Pathfinder and supporting Leicester with the development of a customer insight tool, an alternative way of segmenting customers has been developed which pulls together key data sources. This approach moves away from national profiled data and uses entirely free local data, built around a local classification of local census data. This is not based on a commercial tool nor the national OAC classification. The alternative approach somewhat alleviates the issues associated with the national profiling problem and increases the level of accuracy of this type of work going forwards, particularly with new census data to be realised within the next twelve months. Use local data its free The most accurate information local authorities have access to, is their own data about their citizens. The public sector sits on a vast array of data and information about its neighbourhoods and the people who live within them. Councils are often information rich but intelligence poor, as much of this data is often not integrated, used for service planning or shaped in a way which allows people to access it. However if this information can be sourced and be put into databases for analysis it can form a significant chunk of a highly successful customer insight tool. Consider the following data sources and think about where and who has this data in your organisation. Hull's model takes census data, creating unique clusters (segments) relevant to the area in question. Each clustered group is built upon 40-50 factors which are contained within the Census survey. This ensures that the classification of an area is built around the main issues which describe each area accurately depending on how the area is different to others. Other useful data sources: Key data sources you'll need: • Census data - has this been downloaded for your area, town or city, who has access to it? • council tax band + payment method data - an understanding of the properties you have and how people pay bills, essential for channel shift • council tax housing benefits - who is in need of help paying their bills • Customer relationship management data - which services are people requesting, is this in a central database or a number of separate databases? • blue badge - who requires blue badges and when • Survey data, all market research data, where is it stored who does it? Key skills you'll need: • ASB/crime data - where is crime happening, which groups of people are affected • mathematics - required to develop the data logging and standardisation • school census or tell us survey - what are young people saying about education provision health data - where is health poor, what are the issues people are dealing with • applied statistics - Needed to undertake the cluster analysis, choosing data variables and data integration, preferably someone with SPSS skills • cultural data - leisure centres, theatres, libraries, • database skills - Needed to be able to manoeuvre, store and merge all the datasets involved in developing the system • commercial data - detailing permits/ licences • voluntary sector information - • GIS - needed in order to map the cluster groups and any other thematic data included • adult education data - list of addresses of people using which courses • influencing skills - needed to be able to convince stakeholders of the value of the product/tool • NEET data - details of postcodes of young people not in education, employment or training. • quantitative data analysis - needed for analysing key datasets and ensuring the data being used for integration is meaningful and robust. ## Socio Economic The Key Steps In Developing A Free Classification System • deprivation • occupational structure ## Step 1 - Know Your Area, Exploratory Analysis Of Local Data • income levels • worklessness • levels of health • levels of educational attainment and qualifications. Examples: Task: Spend several hours, researching the key statistics in your area and start to identify where your area is different, unique or maybe similar to regional and national averages. Also consider where geographic differences occur within the target area on key statistics. In Hull… The key to any profiling exercise is to ensure that the profiles developed describe the area in the way you know it to be. It is critically important that you understand where your area/city/town differs to the national average on key demographic/socio economic indicators. This allows you to understand which local factors are most likely to play an influential role in the profiling exercise. We'd recommend looking at the following indicators and compare them to regional and national averages. ## Demographics: Hull's economic make up is significantly different to other parts of the country and any predictive data around this is often not as accurate as the real picture. Hull is significantly different on employment sectors, as the city functions around a port economy and has a higher proportion of lower skilled/semi routine jobs than other areas. This leads to significant differences in the housing stock, with many differences occurring across the city between size of house, ownership and tenure. Therefore the segmentation of Hull's census data found that this would be and was a key variable to include in the clustering process. • age profiles • ethnicity • housing tenure and type • household composition. In Leicester… Log the data Logging the data or 'Log transformation' is a process of reducing the effect of extreme values that may exist within the data set. Clustering or creating segments is most effective with data that has a normal distribution. However there maybe variables within the census dataset that have highly skewed distributions or a large number of 'outliers' at the high or lower end of the value scale, which will affect the quality of the clustering process. Consider the age breakdown of a city. Most of the data will fall into a normal range of age groups (eg normally distributed) however there may be 'outliers' who break the normal distributions around age and are heavily skewed, this maybe that there are a number of people aged over 100. Leicester has significant levels of diversity compared to others, with many different levels of deprivation attached to different ethnic groups. The OAC classification tool showed 1 main segment describing BME populations, yet locally there were a number of sub groups that existed across other factors such as race, religion and faith and belief. For Leicester major differences within their census data occurs around ethnic diversity and these are factors which would not be needed in the model for an area like Hull. Therefore an early analysis of what makes Leicester unique helps shape the way a segmentation approach would be undertaken. This means that the logging process will reduce the effects of large gaps between outlying values (people aged over a 100) and the values contained within the middle of the age scale (where most of the data will be found), essentially squashing the end of the data series and expanding the middle. Step 2 - Gathering your census data Many Local authorities will already have downloaded their own census file covering their area; however this has not been undertaken, this is a key requirement of being able to develop a bespoke segmentation tool. The data is available to download from http://www.ons.gov.uk/ ons/guide-method/census/2011/censusdata/2001-census-data/index.html The data should ideally be downloaded into a useable data base software package such as Microsoft Excel. Step 3 - Logging and standardising the data Once the census data has been downloaded, a mathematical exercise is required to log and standardise the data to ensure it's in a usable format that will deliver the highest levels of accuracy for creating the segments. To enable converting the data to a logged scale, all variables within the census dataset must have a value of at least one. This means that if within a city there were no residents from a particular ethnic group, eg people of an Indian, Pakistani, Bangladesh ethnic background living within any output area, they would be represented in the census file as zero. Attempting to log data with a value of zero is not possible, therefore where zero arises within the dataset for any variable this must be converted to one. However it should be noted that all variables within the dataset must have one added not just those with a zero value for the logging process to work effectively. In order to undertake the logging of the data, an exercise of logarithm is undertaken. This can be done as a function in Excel, SPSS or other statistical packages. Therefore to correct this all scales within the dataset need to be standardised within a common range. This requires the application of a formula which can be seen in the appendix. Standardise the data Range standardisation is a key process which aligns all the variables within the dataset to remove problems where differing scales or magnitudes may exist within the data. In general variables with larger values and greater variation will have higher impact in the final measures when looking for similarities between clusters. This means that you may get a different clustering result (of different segments) on data that hasn't been range standardised compared to data that has. This makes it imperative that in order to provide accurate segments that truly describe an area that this process is undertaken correctly. Step 4 - Choosing your variables With a logged and standardised census data file, the next step is to choose which variables will be included for the clustering process. The aim of this step is get the most information possible from the fewest number of variables. Each variable that is included should add something that the other variables do not. This means that many variables are intrinsically linked to each other such as ethnicity and religion. It then becomes difficult to describe what impact they have individually on the classification (or creating of segments) due to their correlations with each other. Therefore the more variables added to the list for clustering doesn't necessarily add new information and can just repeat existing information already collected. Before the clustering process all variables need to be standardised over the same range that's to ensure that all the data has the same weighting in the clustering process. Different types of data within the census file use different scales, eg population density gives the number of people within an area, (An actual number) whereas the variable describing the number of retired people in an area is given is a per cent figure (A per cent not an actual number). Variables need to be considered carefully in the context to the work undertaken at step 1 and with an understanding of how each variable correlates with each other. Running correlation analysis between variables is a key step and will require an element of trial and error to establish which variables are best to use for the clustering phase which will adequately describe your neighbourhoods. To undertake correlation analysis between variables, you will need access to SPSS or any other statistical software. ## Therefore the figure for those who maybe retired in an area can only be between 0-1 (a decimal figure of a per cent, eg 50 per cent would be 0.5). Whereas the figure for population density could be a value of 30 (in Hull its 34 people per square hector). 30 is clearly a higher value than 0.5 (which describes 50 per cent). This creates a problem in that the clustering process would be wholly dominated in this scenario by population density as it has higher value ranges. • single pension households • lone parent households • two adults no children • households with non-dependent children. ## Housing: The national OAC classification identified 41 variables for the initial clustering phase which have been used at a national level. This is a good starting point for choosing your variables for clustering and to help think about whether they would or would not need to be considered. Below are the 41 variables included: • rent from the public sector • rent from private sector • terraced housing • detached housing • all flats Task: take a look at each of these variables and compare back to step 1, in which of these variables is your area, town or city distinctly different to national averages? • no central heating • rooms per household Variables including in the OAC classification. • people per room. ## Age: Qualifications And Jobs: • 0-4 • higher education qualification • 5-15 • routine or semi routine occupations • 25-44 • work from home • 45-64 • students full time • 65+. • unemployed • working part time ## Ethnicity: • economically inactive looking after family • Indian • agriculture and fishing • Pakistani • mining quarrying or construction • Bangladeshi • manufacturing • Black African • hotel and catering • Black Caribbean • health and social work • other Black born outside the UK. • finance Population: • wholesale and retail. • population density • marital status • single person households (not pension) ## Transport: • two car+ households • public transport to work. Health and care: • long term illness or disability • provide unpaid care. Whereas In Hull specific employment sector information was removed from the variable list as it didn't have any significant difference to the clustering process. This was due to Hull's unique port functioning economy which heavily drives above average levels of manufacturing based employment. Adding wider employment sector data didn't add value to the clustering process and sectors like 'agriculture' where removed. Hull only has one farm within its boundaries. Having reviewed the above variable list, you may find that after considering your area, town or city that there are key variables missing or that need removing, or have found that certain variables correlate highly with each other and be clear on which ones to pick for clustering. Step 5 - phase 1 clustering and initial mapping With the correlation analysis of variables complete (for now) and a list of chosen variables, the next step is to begin designing the segments and undertake cluster analysis. To see the full list of variables collected by the census see the 2001 Census website at http://www.ons.gov.uk/ons/guide-method/ census/census-2001/index.html. Cluster analysis is the task of assigning cases (in this case, census output areas) into groups (called clusters) so that the cases within each cluster are more similar to each other than to those in other clusters. The approach undertaken is to follow the K-means method of clustering - a process of assigning each of the output areas to a cluster. An example of this is the work undertaken in Leicester; they knew that ethnicity would be a key factor in describing the make-up of many neighbourhoods across the city. It would make sense to then consider variables in the census such as religion, faith and belief, as they would give more information than simply using ethnicity. K-means clustering works well with large sample sizes and standardised scales (continuous) data, and clusters do not overlap (no individual case falls into more than one cluster). However, the procedure does not define the ideal number of clusters for you. However following correlation analysis between the two variables ethnicity and religion are highly correlated, therefore adding both into the clustering process doesn't enhance the level of information of the clustering. In the case of Leicester religion was chosen as the proxy for ethnicity (to give the information with the most value) over ethnicity. Finding a good cluster solution involves trial and error together with examination of the data and looking for patterns. A good solution has as few clusters as possible and produces clusters which are all useful - eg sample sizes are large enough to work with and meaningful as a group. Some segments will have an unemployment rate higher than the average and others will have lower rates of unemployment. This is very powerful information when mapped to lower geographies, as it can show you at neighbourhood level which clusters are present and how each of the chosen variables (eg unemployment), perform against the average level for the whole population. Cluster analysis will need to be run in SPSS or an equivalent Statistical software package. The process begins by creating initial cluster centres, and then assigns each case (Output Area) to a cluster based on the distance from that centre. The centres are continuously adjusted and cases reassigned until the best solution is reached. Until any reassignment causes clusters to become more similar. Although the solution given may be the best for the number of clusters defined, if you have chosen the wrong number, or the wrong variables, the solution will not be useful. Task: Local knowledge is key to sense check the initial findings after the first clustering phase, involve colleagues who work at a community level, undertake a virtual walk through of certain areas using Google Street View. The procedure is repeated several times, each time with a different number of clusters defined. For Hull data the cluster analysis was performed for 3, 4, 5, 6, 7, 8, 9, and 10 clusters. The results for each of these was compared and an initial 3 cluster solution chosen. The data was then split into 3 separate datasets and the procedure repeated for each one. It is important to note that it's unlikely that after the 1st phase of clustering that the segments created will be the final output. The testing phase should produce a significant amount of learning and local intelligence which will require re-clustering of further groups, or different variables to be included in the clustering process. Step 6 - phase 2 clustering Using the knowledge and feedback ascertained from step 5, any further exploration or tweaks to clusters should now be undertaken. There are a number of things which you may need to consider from the output of the first clustering phase: Once the best solution has been chosen, it is best to map the clusters to census output area using GIS software. Using the mapped clusters in parallel with a 'spider diagram' can help visualise how each cluster differs from others (and from the average). For example consider a city where the average unemployment level is 6per cent, this diagram will show how far from the average of 6per cent the unemployment rate is, for each segment. • Variable list - do you need to review the variables used for clustering in light of feedback? • community wardens • community health workers • other data teams (epidemiology teams, other insight teams). • Sub sets of clusters - Is there a particular cluster where large numbers of people fall within and a sub set of clusters could be produced to understand the group in more detail? Does the data indicate that hierarchal clustering would work better?1 • Increase/decrease the number of clustered groups - Review whether the number of cluster groups is correct from the onset and consider increasing or decreasing the number of groups as part of the process. The final part of this process should involve a 'walk through' of every area describing every cluster that has been created, eg if 10 cluster groups were created, visit areas of the town/ district/city where each of the 10 clusters are mapped to. This final exercise will help to confirm that the clusters largely describe the physical structure of an area such as housing types, and signs of affluence/poverty. Once this has been re-run and refined, the new or tweaked cluster groups should be remapped to census output area and a repeat of step 5 should be undertaken. However in addition, it may be useful to extend the number of people involved to review and challenge the new segments Step 8 - labelling and group descriptions Once the final groups have been developed, each group needs to have a short description (and possibly a name) which details the key characteristics of the group. The easiest way to do this would be to have an individual spider diagram for each group with a short written summary that shows how this group differs from the town/district/city average level of each variable. This can be presented alongside a map of where each segment resides in the town/ district/city and can include photographs of actual areas in which represent the group. Step 7 - final cluster sign off Step 6 may be repeated numerous times until the best possible solution has been achieved with each cluster describing the area to an acceptable level. This process now involves wider engagement with stakeholders and community representatives to ascertain final feedback and sign off that the clustering approach has developed an adequate description of the town/district or city. Some of the stakeholders to consider as part of this engagement would be: • neighbourhood managers This is a key step as it forms the basis for other stakeholders to develop a simple understanding of each group and where it is mapped to. • area committees • community development workers • front line service managers • housing managers/officers • neighbourhood policing teams Below are screen shots of Hull's group descriptions: ## Screen Shot From Segment C2 - Hull Once the above has been replicated for all groups that have been created (eg in Hull, 10 group descriptions have been completed) the classification process has been completed. A visual representation is now available to describe the groups that have been created as part of the clustering process. The population of the town/district or city can then be matched to all the groups created which means that for every ward, a per cent of each created cluster can be identified, eg ward x may have 5 clusters present whereas ward y may have only 2 clusters present. This presents a different way of viewing ward population as it provides a view of where different groups live within a ward and where natural neighbourhoods occur. This then allows any other dataset or customer information to be matched to the cluster file providing a post code is present. Step 9 - data integration With a final set of cluster groups established this then allows for other data sets to be matched to the newly created groups and will help to build a wider picture around the service usage patterns and different attitudes each cluster or group may have. However before this can happen it's important to ensure that the original census file which contains all the census output area codes is then 'flagged' with the new cluster groups. This means that every Census Output Area (COA) code will have a cluster group assigned. The screen shot below shows the census file in excel with COA codes assigned to cluster groups and then how this can be translated to ward populations by cluster group. This will identify which groups typically use the wide range of council services on offer. If your local authority collects survey data with large sample sizes (sample sizes over 2,000) this can also be matched by post code to each cluster group. Therefore when analysing the information from the survey, it can be analysed by each group showing how each one differs attitudinally. With a data file that contains output areas and cluster group codes, this provides the basis for matching other datasets. Any dataset that contains a postcode can be matched which emphasises the need to collect post coded data as many times as possible when engaging with customers. The Public Sector sits on a wealth of post coded data and its important at this stage to be clear on what objective you're seeking to achieve and how that translates to the data you need to match. For example, if the customer groupings were to be used to help understand where key adult education courses should be deployed, then the data required will be adult education usage data (by postcode). A clear objective of what projects or programmes this classification is being used for will help identify its scope. The process of data integration involves taking raw data from either the CRM database or survey files and exporting them (if needed) to a database package Excel or SPPS. The fields which describe the data (eg people satisfied with their neighbourhood, or number of calls for council tax) are then matched by post code to the cluster groups. This means that every post code attached to the filed you're matching will then be linked to which cluster group that particular post code falls into (eg fig 1). The below shows an excel output of calls into a call centre by call type matched to each cluster group. However, there are two main datasets which are useful starting points. If your local authority has a central CRM and logs all customer contact, service requests, complaints, information requests with a post code, this can be matched against each cluster group. Once data has been integrated with the cluster groups, and more information is now linked to each cluster group, it's useful to consider adding this to the group descriptions outlined in step 8, as this helps to visually present the additional information linked to each group. Below are screen shots showing CRM analysis and survey analysis. Other datasets which local authorities may find useful to consider: A full skills list can be seen below, text marked in red are the skills fundamental to the actual development of the cluster groups: • plotting assets and property data over the segment map • mathematics - required to develop the data logging and standardisation • health and crime statistics • NEET's data • cultural data, leisure centre usage, museums, libraries, galleries or theatres • applied statistics - needed to undertake the cluster analysis, choosing data variables and data integration, preferably someone with SPSS skills • adult education course usage • any survey data with large sample sizes. • database skills - needed to be able to manoeuvre, store and merge all the datasets involved in developing the system ## Skills And Knowledge Required • GIS - needed in order to map the cluster groups and any other thematic data included • influencing skills - needed to be able to convince stakeholders of the value of the product/tool In order to develop and build a customer classification system and integrate various datasets to the overall groupings, a wide variety of skills are required within the organisation in order to successfully develop this type of project. • quantitative data analysis - needed for analysing key datasets and ensuring the data being used for integration is meaningful and robust The two main skill sets required are applied statistics and GIS mapping. ## Costs And Resources • business analysis skills - needed to understand the organisation and its priorities eg spotting where the tool can add value • qualitative skills - being able to translate and align softer qualitative data or feedback alongside the cluster groups This is highly dependent on the level of skills that reside within the organisation. A trained statistician would be able to develop the initial cluster groups for a town/district or city within three to four weeks. Further data integration would take longer depending on the current form of the data and what data was to be matched. • marketing and communication skills - being able to present the tool in a way others can understand it and make it visible within the organisation • project management skills - needed to ensure the tool follows appropriate timelines and can be used as part of service design and delivery aligned to business planning cycles The work undertaken for Leicester took 6 weeks which included the development of their own 14 unique cluster groups and the matching of 5 additional datasets. This work is primarily undertaken by a Data Analyst (statistician) a GIS practitioner and a project manager. • partnership working skills - need to be able to link the tool to other partner agencies and add value by sourcing other projects it can be applied to The costs of the work are dependent on whether this is delivered in house, via a statistical consultant or working with a local authority who has already developed their own classification using this approach. • access to local knowledge - must be able to test the tool with front-line staff, elected members, partners, and residents. If delivered in house, the only costs that should be incurred are those of staff time alone, hence a free classification system with no on-going maintenance or licence costs. In considering the skills list, local authorities should look at where these skills are currently located within the council and whether capacity is available in using people from various teams to work on this project. If a local authority doesn't have access to the skills marked in red text, it's unlikely that they will be able to develop this classification system in the way described in this document. Many local authorities often find they have some but not all the skills required. Below are some comparable/outline costs for the various methods/alternative products on the market: \| Product \| Method \| Licence \| \|---------------------------\|----------\|-------------\| \| costs \| \| \| \| Ongoing \| \| \| \| maintenance \| \| \| \| Costs \| \| \| \| Delivered in house \| \| \| \| using existing staff time \| \| \| \| £0 \| £0 \| £0 \| \| Local classification \| \| \| \| system (as \| \| \| \| outlined in this \| \| \| \| document \| \| \| \| £0 \| £0 \| £12,500 (25 \| \| days @£500 per \| \| \| \| day rate) \| \| \| \| Delivered using a \| \| \| \| statistical consultant \| \| \| \| (doesn't include data \| \| \| \| integration) \| \| \| \| Delivered using Hull \| \| \| \| (tool established of the \| \| \| \| tool) \| \| \| \| 2 \| \| \| \| £0 \| £0 \| £12,500 \| \| £25,000 (with \| \| \| \| data integration \| \| \| \| and training/ \| \| \| \| support) \| \| \| \| £0 \| £0 \| £0 \| \| National output \| \| \| \| area classification \| \| \| \| Use the current national \| \| \| \| free classification \| \| \| \| (note national profiling \| \| \| \| problem p.6) \| \| \| \| Range from \| \| \| \| £2-50k \| \| \| \| Range from \| \| \| \| £10-100k \| \| \| \| Range \| \| \| \| from \| \| \| \| £1-15k \| \| \| \| Commercial \| \| \| \| classification tools \| \| \| \| Using one of the \| \| \| \| existing tools on the \| \| \| \| market (note p.6) \| \| \| ## The Tools Applications Strategically - The tool can work guide the policy responses to: The development of an integrated customer insight tool has many applications across a number of key programmes.2 • welfare reform and model who and how key groups and cohorts will be affected, using geographic maps to show exactly where focused support would be needed The tool can work both strategically and play an important role in modelling the impact of wider pressures and the external environment or at an operational level, used in support for service design, planning and targeted interventions. • capital and assets programme, matched with usage data the tool shows how and what to rationalise ensuring decisions are centred on customer need and are future proof facility that's within easy access. Helps to drive new marketing programmes to offer different packages for new users • troubled families - matching troubled families with key segments, showing where troubled families are most likely to come from and overlaying early intervention support in the key areas needed. • waste management - shows which cluster groups have issues with Bulky collections/ fly tipping etc, and highlights where more information is needed to help people get rid of their rubbish (eg students who are often unaware that councils offer a bulky service). • economic/retail development - having a clear view of the make-up of consumers and their socio economic make up, identifying where local job initiatives need to be delivered, plotting the success of new developments and planning policy. ## Making It Work For The Organisation Operationally - The tool can support many service areas with an evidence base behind delivery, some examples include: The final part to consider in order to develop an effective customer classification that adds value to your organisation is: • does Customer Insight have political buy in at both cabinet and local level? • housing allocations policy - understanding the make-up of customers and their household composition linked to potential demand in certain areas of a region • is there a Senior Manager who would sponsor the project or advocates this agenda? • street gritting priorities - helping to identify where older people live who will have most difficulty walking in bad weather conditions, gritting can be targeted to those areas and cover journeys to shops etc. • is your organisation structured around customers, is it customer centric or more silo based? • do you have access to key data sources? Is data in a format in which it can be extracted or manipulated? • libraries provision - understanding who and where library customers currently come from and whether sites are located in the right place offering the right services. Co-location of libraries can be an effective outcome using this tool • is there a research, consultation or customer insight team? Who would you go to in your organisation for statistics on demographics etc. ## Key Contacts: • adult education provision - matching usage of adult education courses by segment shows if certain courses being delivered are missing the key groups they are designed for. More effective deployment of courses can be delivered using the tool Kingston Upon Hull City Council The Guildhall, Alfred Gelder Street HU1 2AA Tel: +44 01482 613336 Fax: +44 01482 613340 • leisure/cultural provision - Leisure Centre usage shows who is using/not using leisure facilities linked to the levels of health, highlights key groups who need to be exercising and may not be using a Local Government Association Local Government House Smith Square London SW1P 3HZ Telephone 020 7664 3000 Fax 020 7664 3030 Email info@local.gov.uk www.local.gov.uk For a copy in Braille, larger print or audio, please contact us on 020 7664 3000. We consider requests on an individual basis.	en
4017-pdf	## Other Papers General Notes NB: If the space for notes is inadequate, please continue on a separate sheet ## Records Examination: Companies & Larger Unincorporated Concerns \| Name \| File No. \| Enquiry No. \| \|----------------------------------------------------\|-----------------------\|---------------\| \| Date Records received \| Date Records returned \| \| \| / \| / \| / \| \| Date(s) examined \| \| \| \| / \| / \| / \| \| \| \| \| \| \| \| \| \| / \| / \| / \| \| Records Seen \| Sample size \| Tests applied \| \| (including the period covered by records examined) \| \| \| \| Nominal ledger \| \| \| \| Private ledger \| \| \| \| if not part of Nominal \| \| \| \| Cash book \| \| \| \| including petty cash \| \| \| \| Sales ledger \| \| \| \| Sales Day Book \| \| \| \| Purchases Ledger \| \| \| \| Purchases Day Book \| \| \| \| Stock Records \| \| \| \| Wages Records \| \| \| \| Other \| \| \| \| Please specify \| \| \| NB: If the space for notes is inadequate, please continue on a separate sheet \| Records Seen \| Sample size \| Tests applied \| Comments \| \|----------------------------------------------------\|-------------\|---------------\|-------------\| \| (including the period covered by records examined) \| \| \| \| \| Invoices Seen \| Sample size \| Tests applied \| Comments \| \| \| \| \| \| \| (including the period covered by records examined) \| \| \| \| \| Company Bank Accounts \| \| \| \| \| (specify the name of the account) \| \| \| \| \| Sales \| \| \| \| \| Sales Returns/ \| \| \| \| \| Credit Notes \| \| \| \| \| Purchases \| \| \| \| \| Purchase Returns/ \| \| \| \| \| Debit Notes \| \| \| \| \| Paid Cheques \| \| \| \| \| (specify the name of the account) \| \| \| \| \| Expenses/Assets \| \| \| \| \| Non-financial \| Sample size \| Tests applied \| Comments \| \| (including the period covered by records examined) \| \| \| \| \| Records \| \| \| \| \| Sales Order Notes \| \| \| \| \| Private Bank Accounts \| \| \| \| \| (specify the name of the account) \| \| \| \| \| "Booking-in" Diaries \| \| \| \| \| Copy Purchases orders \| \| \| \| \| Job Cards/ \| \| \| \| \| Time Sheets \| \| \| \| \| Paid Cheques \| \| \| \| \| (specify the name of the account) \| \| \| \| \| Goods Outwards Book \| \| \| \| \| Good Inwards Book \| \| \| \| NB	en
1131-pdf	## During the month of February 2014, the following exceptions to the recruitment and consultancy freeze have been considered by the Chief Executive, in his capacity as Accounting Officer: Decision Approval date Ref: No. & Directorate Summary of application Consultancy / recruitment 27/02/2014 1R Recruitment Approved Team Administrator RPP (8 weeks) Requests for consultancy valued at <£20,000 considered by the Director of Corporate Operations: Consultancy Approved 21/02/2014 1C Strategy The best practice lessons from similar public utility	en
3968-pdf	# Monthly Report: Surveillance Project Sb4008 Ifng Tests For Bovine Tuberculosis (Tc0651 And Tc0751) Number 156 # Report Period 1St - 31St August 2019 ## Operational Notes On Terminology, Definitions, Re-Test And Re-Samples Test Outcomes: - "Samples" refers to an individual tube of blood taken from an individual animal which is subsequently submitted for testing. It is generally assumed that the number of samples and the number of animals are analogous as any duplicate sample blood tube from the same animal will not be tested. However, minor discrepancies may occur where the same animal is tested more than once due to a request for a resample or the animal is tested twice under different categories (for example, as a PAR-RAPID and then as part of a PAR-HERD-S). - "Submissions" refers to an individual batch or set of samples received for testing. Submissions may comprise 1 or more samples (for example, if an entire herd is being tested it is usually sent as 1 submission). It is generally assumed that the number of submissions and the number of herds are analogous. - Retests are samples where the first ELISA assay fails and the same sample is retested on a new ELISA plate. Each sample can be retested only once. A retest is not a reportable test outcome. - Resamples are where a sample has been retested and failed a second time, so that the lab requests a new sample. This is a reportable test outcome. - Rejects are samples that are not tested by the lab for one of the following reasons: blood collected into wrong type of vacutainer, samples that have not been maintained at the appropriate temperature range (22±5C), unlabelled samples, broken or cracked tubes, blood that is extensively clotted (small clots are OK), samples received after 4pm on the day after sample collection. Such samples are reported separately in the tables and in figure 5. - POS (pokeweed mitogen) is a sample positive control reagent which provides a measure of the quality/viability of the blood sample. A POS fail (< 0.45 optical density reading) may indicate compromised blood quality as a result of collection/transportation conditions or due the animal having an unusually low/suppressed cellular immune response. - NEG (no-antigen control) is a sample negative control which provides a measure of the background antigen-independent IFN- responses. A NEG fail (> 0.3 optical density reading) may indicate a laboratory procedures problem (normally resolved during re-test) or that an animal has unusually high background levels of IFN-g. ## Test Criteria \| Submission Reason \| Explanation \| \|-----------------------------------------------------\|----------------------\| \| Possible Herd Slaughter \| \| \| (PAR-HERD-S) \| \| \| Parallel interferon-gamma blood testing of skin \| \| \| test negative cattle to inform whole or partial \| \| \| herd slaughters decisions \| \| \| Parallel blood testing of skin test-negative cattle \| \| \| in persistently infected herds that have failed to \| \| \| resolve by repeated short-interval skin testing \| \| \| and fulfill a minimum of biosecurity standards. \| \| \| Persistent TB breakdowns \| \| \| (OTF status withdrawn) \| \| \| (PAR-P-CONF) N.B. \| \| \| PAR-PERSIS from 1st April \| \| \| 2017 \| \| \| Parallel - Low Incidence \| \| \| (PAR-LOW-IN) N.B. \| \| \| PAR-NEW-IN from 1st April \| \| \| 2017 \| \| \| Parallel blood testing to maximise the \| \| \| probability of removing all infected cattle in a \| \| \| new herd breakdown as soon as possible after \| \| \| confirmation of TB. \| \| \| Rapid Testing of twice IR's \| \| \| (PAR-RAPID) \| \| \| Parallel blood testing of two-times IRs identified \| \| \| under the severe interpretation of the skin test \| \| \| used in Wales. \| \| \| PAR-CUL-N \| \| \| Parallel blood testing to maximise the \| \| \| probability of removing all infected cattle in a \| \| \| new breakdown as soon as possible after \| \| \| confirmation of TB where herd is situated in \| \| \| badger control areas of England that have \| \| \| completed at least 2 effective culls. \| \| \| PAR-CUL-P \| \| \| Parallel blood testing to maximise the \| \| \| probability of removing all infected cattle in a \| \| \| persistent confirmed breakdown where herd is \| \| \| situated within badger control areas of England \| \| \| that have completed at least 2 effective culls \| \| \| Parallel Other \| \| \| (PAR-OTHER) \| \| \| Other parallel blood testing not covered in any \| \| \| of the other scenarios \| \| \| NO (APHA discretion) \| \| \| 'NSR' Herds (SER-NSR) \| \| \| Modified serial blood testing of individual skin \| \| \| test reactors and/or IRs in unconfirmed TB \| \| \| breakdown herds to clarify their infection status \| \| \| where there is evidence of non-specific \| \| \| sensitisation to bovine tuberculin (the \| \| \| "non-specific reactor" procedure) \| \| \| Suspected Fraud \| \| \| (SER-FRAUD) \| \| \| Modified serial blood test of suspected \| \| \| fraudulent reactors to the skin test (animals with \| \| \| abnormal skin swellings), in confirmed or \| \| \| unconfirmed TB incidents. \| \| \| Serial Other \| \| \| (SER-OTHER) \| \| \| Serial test - other reasons \| NO (APHA Discretion) \| \| SER-FLEXI \| \| \| Extended blood test to provide flexible test \| \| \| readout in a confirmed M. bovis-infected herd \| \| \| where Johne's (M. a. paratuberculosis) infection \| \| \| or vaccination is suspected to be interferring \| \| \| with M. bovis infection detection \| \| \| YES, if APHA are \| \| \| contemplating a herd \| \| \| slaughter \| \| \| NO (APHA discretion) \| \| \| YES in Area of Low \| \| \| Incidence \| \| \| YES (Wales only) \| \| \| YES (in eligible badger \| \| \| control areas of England) \| \| \| NO (APHA discretion) \| \| \| NO (APHA discretion) \| \| \| NO (APHA discretion to \| \| \| firm up or rule out any \| \| \| suspicion of fraud and \| \| \| support any \| \| \| investigations) \| \| \| NO (APHA discretion) \| \| ## Table 1. Monthly Totals For August 2019 \| % \| Total 2019 \| % \| \|-------------------------\|--------------------------\|----------\| \| Num \| \| \| \| samples \| \| \| \| August 2019 \| \| \| \| Submissions \| 262 \| 2422 \| \| Samples \| Total (%) \| 21887 \| \| England \| 18297 \| 83.60 % \| \| Wales \| 3236 \| 14.79 % \| \| Scotland \| 354 \| 1.62 % \| \| Parallel Tests \| PAR-CUL-N \| 4947 \| \| PAR-CUL-P \| 2479 \| 11.33 % \| \| PAR-HERD-S \| 358 \| 1.64 % \| \| PAR-NEW-IN \| 8098 \| 37.00 % \| \| PAR-OTHER \| 226 \| 1.03 % \| \| PAR-PERSIS \| 5286 \| 24.15 % \| \| PAR-RAPID \| 77 \| 0.35 % \| \| Total(% of all samples) \| 21471 \| 98.10 % \| \| Serial/Extended Tests \| SER-FLEXI \| 416 \| \| SER-FRAUD \| 0 \| 0.00 % \| \| SER-NSR \| 0 \| 0.00 % \| \| SER-OTHER \| 0 \| 0.00 % \| \| Total(% of all samples) \| 416 \| 1.90 % \| \| Total \| 21887 \| 100.00 % \| \| Retests \| Total (% of all samples) \| 2044 \| \| England \| 1837 \| 8.39 % \| \| Wales \| 195 \| 0.89 % \| \| Scotland \| 12 \| 0.05 % \| \| Resamples \| Total (% of all samples) \| 1513 \| \| England \| 1393 \| 6.36 % \| \| Wales \| 111 \| 0.51 % \| \| Scotland \| 9 \| 0.04 % \| \| Rejects \| Total (% of all samples) \| 96 \| \| England \| 93 \| 0.42 % \| \| Wales \| 3 \| 0.01 % \| \| Scotland \| 0 \| 0.00 % \| PAR-HERD-S: potential herd slaughter, PAR-P-CONF (PAR-PERSIS from 1 April 2017): persistent TB breakdown OTFW, PAR-LOW-IN (PAR-NEW-IN from 1 April 2017): parallel low incidence, PAR-RAPID: rapid testing of twice IRs, PAR-CUL-N: new infection in cull area, PAR-CUL-P: persistent infection in cull area, PAR-OTHER: parallel other, SER-FLEXI: flexible extended test in confirmed herds with concurrent Johne's infection/vaccination, SER-NSR: serial non-specific reactor, SER-FRAUD: serial potential fraud, SER-OTHER: serial other \| PAR-CUL-N \| 4947 \| 22.6 % \| \|-------------\|--------\|----------\| \| PAR-CUL-P \| 2479 \| 11.3 % \| \| PAR-HERD-S \| 358 \| 1.6 % \| \| PAR-NEW-IN \| 8098 \| 37.0 % \| \| PAR-OTHER \| 226 \| 1.0 % \| \| PAR-PERSIS \| 5286 \| 24.2 % \| \| PAR-RAPID \| 77 \| 0.4 % \| \| SER-FLEXI \| 416 \| 1.9 % \| \| Total \| 21887 \| 100.00 % \| Breakdown of Samples submitted by County Johne's infection/vaccination, SER-NSR: serial non-specific reactor, SER-FRAUD: serial potential fraud, SER-OTHER: serial other ## Table 2A. Summary By County For August 2019 \| Country \| County \| \|-----------------\|----------------\| \| Submission \| \| \| Reasons* \| \| \| No. \| \| \| subs \| \| \| Samples \| Gamma Positive \| \| n \| % of total \| \| England - HRA \| Avon \| \| Corn & Scilly \| PAR-CUL-N \| \| PAR-NEW-IN \| 2 \| \| PAR-PERSIS \| 5 \| \| Devon \| PAR-CUL-N \| \| PAR-CUL-P \| 2 \| \| Dorset \| PAR-CUL-N \| \| PAR-CUL-P \| 3 \| \| Gloucestershire \| PAR-NEW-IN \| \| Gloucs \| PAR-CUL-N \| \| PAR-CUL-P \| 2 \| \| Heref \| PAR-CUL-N \| \| PAR-PERSIS \| 2 \| \| Shropshire \| PAR-PERSIS \| \| Somerset excl N \| PAR-CUL-N \| \| Staffs \| PAR-OTHER \| \| Wiltshire \| PAR-CUL-N \| \| PAR-CUL-P \| 4 \| \| PAR-NEW-IN \| 2 \| \| PAR-PERSIS \| 2 \| \| England - Edge \| Berks \| \| Bucks \| PAR-NEW-IN \| \| Cheshire \| PAR-NEW-IN \| \| Derbyshire \| PAR-NEW-IN \| \| Hampshire \| PAR-NEW-IN \| \| Leics & Rut \| PAR-NEW-IN \| * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. \| Country \| County \| \|-----------------\|----------------\| \| Submission \| \| \| Reasons* \| \| \| No. \| \| \| subs \| \| \| Samples \| Gamma Positive \| \| n \| % of total \| \| Northants \| PAR-NEW-IN \| \| Oxon \| PAR-NEW-IN \| \| Warks \| PAR-NEW-IN \| \| England - LRA \| Cumbria \| \| Gr London \| PAR-NEW-IN \| \| Northumb \| PAR-NEW-IN \| \| PAR-PERSIS \| 3 \| \| N Yorks \| PAR-PERSIS \| \| W Sussex \| PAR-NEW-IN \| \| England \| \| \| 143 \| 18297 \| \| Wales - High TB \| Carms \| \| PAR-OTHER \| 2 \| \| PAR-PERSIS \| 7 \| \| PAR-RAPID \| 6 \| \| SER-FLEXI \| 7 \| \| Ceredigion \| PAR-OTHER \| \| PAR-PERSIS \| 3 \| \| PAR-RAPID \| 2 \| \| SER-FLEXI \| 2 \| \| Gwent \| PAR-PERSIS \| \| PAR-RAPID \| 2 \| \| Pembs \| PAR-HERD-S \| \| PAR-NEW-IN \| 3 \| \| PAR-PERSIS \| 16 \| \| PAR-RAPID \| 7 \| \| SER-FLEXI \| 7 \| \| Powys \| PAR-HERD-S \| \| PAR-NEW-IN \| 6 \| * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. \| Country \| County \| \|-------------------------\|----------------\| \| Submission \| \| \| Reasons* \| \| \| No. \| \| \| subs \| \| \| Samples \| Gamma Positive \| \| n \| % of total \| \| PAR-PERSIS \| 2 \| \| PAR-RAPID \| 7 \| \| SER-FLEXI \| 2 \| \| Wales - Intermediate TB \| Carms \| \| Ceredigion \| PAR-RAPID \| \| NE Wales \| PAR-NEW-IN \| \| PAR-OTHER \| 2 \| \| PAR-PERSIS \| 1 \| \| SER-FLEXI \| 5 \| \| W Glamorgan \| PAR-OTHER \| \| PAR-RAPID \| 1 \| \| Wales - Low TB \| NE Wales \| \| PAR-OTHER \| 2 \| \| SER-FLEXI \| 1 \| \| Wales \| \| \| 117 \| 3236 \| \| Scotland - Scotland \| Dumfries & G \| \| Kirkcudbright \| PAR-PERSIS \| \| Scotland \| \| \| 2 \| 354 \| \| Grand Total \| Sum: \| For test criteria please refer to Operational notes. Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. \| Country \| County \| \|-----------------\|----------------\| \| Submission \| \| \| Reasons* \| \| \| No. \| \| \| subs \| \| \| Samples \| Gamma Positive \| \| n \| % of total \| \| England - HRA \| Avon \| \| PAR-OTHER \| 3 \| \| PAR-PERSIS \| 9 \| \| SER-FRAUD \| 2 \| \| Corn & Scilly \| PAR-CUL-N \| \| PAR-CUL-P \| 4 \| \| PAR-NEW-IN \| 4 \| \| PAR-PERSIS \| 29 \| \| SER-FLEXI \| 2 \| \| Devon \| PAR-CUL-N \| \| PAR-CUL-P \| 22 \| \| PAR-NEW-IN \| 4 \| \| PAR-OTHER \| 7 \| \| PAR-PERSIS \| 19 \| \| SER-FLEXI \| 8 \| \| Dorset \| PAR-CUL-N \| \| PAR-CUL-P \| 13 \| \| PAR-NEW-IN \| 2 \| \| SER-FLEXI \| 4 \| \| Gloucestershire \| PAR-NEW-IN \| \| Gloucs \| PAR-CUL-N \| \| PAR-CUL-P \| 8 \| \| PAR-HERD-S \| 4 \| \| SER-FLEXI \| 2 \| \| Heref \| PAR-CUL-N \| \| PAR-CUL-P \| 2 \| * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. PAR-HERD-S: potential herd slaughter, PAR-P-CONF (PAR-PERSIS from 1 April 2017): persistent TB breakdown OTFW, PAR-LOW-IN (PAR-NEW-IN from 1 April 2017): parallel low incidence, PAR-RAPID: rapid testing of twice IRs, PAR-CUL-N: new infection in cull area, PAR-CUL-P: persistent infection in cull area, PAR-OTHER: parallel other, SER-FLEXI: flexible extended test in confirmed herds with concurrent Johne's infection/vaccination, SER-NSR: serial non-specific reactor, SER-FRAUD: serial potential fraud, SER-OTHER: serial other ## Table 2B. Summary By County For 2019 Cont. \| Country \| County \| \|-----------------\|----------------\| \| Submission \| \| \| Reasons* \| \| \| No. \| \| \| subs \| \| \| Samples \| Gamma Positive \| \| n \| % of total \| \| PAR-NEW-IN \| 1 \| \| PAR-OTHER \| 1 \| \| PAR-PERSIS \| 25 \| \| Shropshire \| PAR-CUL-P \| \| PAR-NEW-IN \| 1 \| \| PAR-OTHER \| 4 \| \| PAR-PERSIS \| 10 \| \| SER-FLEXI \| 5 \| \| Somerset excl N \| PAR-CUL-N \| \| PAR-OTHER \| 2 \| \| PAR-PERSIS \| 13 \| \| Staffs \| PAR-OTHER \| \| PAR-PERSIS \| 7 \| \| Wiltshire \| PAR-CUL-N \| \| PAR-CUL-P \| 15 \| \| PAR-NEW-IN \| 6 \| \| PAR-OTHER \| 2 \| \| PAR-PERSIS \| 6 \| \| SER-FLEXI \| 1 \| \| England - Edge \| Berks \| \| PAR-PERSIS \| 3 \| \| Bucks \| PAR-NEW-IN \| \| Cheshire \| PAR-CUL-N \| \| PAR-NEW-IN \| 160 \| \| PAR-PERSIS \| 5 \| \| Derbyshire \| PAR-NEW-IN \| \| E Sussex \| PAR-NEW-IN \| \| Hampshire \| PAR-NEW-IN \| * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. PAR-HERD-S: potential herd slaughter, PAR-P-CONF (PAR-PERSIS from 1 April 2017): persistent TB breakdown OTFW, PAR-LOW-IN (PAR-NEW-IN from 1 April 2017): parallel low incidence, PAR-RAPID: rapid testing of twice IRs, PAR-CUL-N: new infection in cull area, PAR-CUL-P: persistent infection in cull area, PAR-OTHER: parallel other, SER-FLEXI: flexible extended test in confirmed herds with concurrent Johne's infection/vaccination, SER-NSR: serial non-specific reactor, SER-FRAUD: serial potential fraud, SER-OTHER: serial other ## Table 2B. Summary By County For 2019 Cont. \| Country \| County \| \|--------------------\|----------------\| \| Submission \| \| \| Reasons* \| \| \| No. \| \| \| subs \| \| \| Samples \| Gamma Positive \| \| n \| % of total \| \| SER-NSR \| 2 \| \| Leicestershire and \| \| \| Rutland \| \| \| PAR-NEW-IN \| 1 \| \| Leics & Rut \| PAR-NEW-IN \| \| Northants \| PAR-NEW-IN \| \| Notts \| PAR-NEW-IN \| \| Oxon \| PAR-NEW-IN \| \| Warks \| PAR-NEW-IN \| \| PAR-PERSIS \| 6 \| \| England - LRA \| Cambs \| \| Cumbria \| PAR-NEW-IN \| \| Essex \| PAR-NEW-IN \| \| Gr London \| PAR-NEW-IN \| \| Gr Manchester \| PAR-NEW-IN \| \| Herts \| PAR-NEW-IN \| \| I of Wight \| PAR-NEW-IN \| \| Kent \| PAR-NEW-IN \| \| Lancashire \| PAR-NEW-IN \| \| Lincs \| PAR-NEW-IN \| \| Northumb \| PAR-NEW-IN \| \| PAR-PERSIS \| 3 \| \| N Yorks \| PAR-NEW-IN \| \| PAR-PERSIS \| 2 \| \| SER-FLEXI \| 2 \| \| S Yorks \| PAR-NEW-IN \| \| W Sussex \| PAR-NEW-IN \| \| W Yorks \| PAR-HERD-S \| \| England \| \| \| 1431 \| 179993 \| * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. PAR-HERD-S: potential herd slaughter, PAR-P-CONF (PAR-PERSIS from 1 April 2017): persistent TB breakdown OTFW, PAR-LOW-IN (PAR-NEW-IN from 1 April 2017): parallel low incidence, PAR-RAPID: rapid testing of twice IRs, PAR-CUL-N: new infection in cull area, PAR-CUL-P: persistent infection in cull area, PAR-OTHER: parallel other, SER-FLEXI: flexible extended test in confirmed herds with concurrent Johne's infection/vaccination, SER-NSR: serial non-specific reactor, SER-FRAUD: serial potential fraud, SER-OTHER: serial other ## Table 2B. Summary By County For 2019 Cont. \| Country \| County \| \|-----------------\|----------------\| \| Submission \| \| \| Reasons* \| \| \| No. \| \| \| subs \| \| \| Samples \| Gamma Positive \| \| n \| % of total \| \| Wales - High TB \| Carms \| \| PAR-NEW-IN \| 3 \| \| PAR-OTHER \| 13 \| \| PAR-PERSIS \| 59 \| \| PAR-RAPID \| 59 \| \| SER-FLEXI \| 35 \| \| Ceredigion \| PAR-HERD-S \| \| PAR-NEW-IN \| 2 \| \| PAR-OTHER \| 3 \| \| PAR-PERSIS \| 22 \| \| PAR-RAPID \| 35 \| \| SER-FLEXI \| 5 \| \| Gwent \| PAR-HERD-S \| \| PAR-OTHER \| 1 \| \| PAR-PERSIS \| 16 \| \| PAR-RAPID \| 24 \| \| SER-FLEXI \| 1 \| \| Pembs \| PAR-HERD-S \| \| PAR-NEW-IN \| 3 \| \| PAR-OTHER \| 14 \| \| PAR-PERSIS \| 105 \| \| PAR-RAPID \| 92 \| \| SER-FLEXI \| 38 \| \| Powys \| PAR-HERD-S \| \| PAR-NEW-IN \| 21 \| \| PAR-OTHER \| 1 \| \| PAR-PERSIS \| 29 \| \| PAR-RAPID \| 51 \| * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. \| Country \| County \| \|-------------------------\|----------------\| \| Submission \| \| \| Reasons* \| \| \| No. \| \| \| subs \| \| \| Samples \| Gamma Positive \| \| n \| % of total \| \| SER-FLEXI \| 11 \| \| S Wales \| PAR-HERD-S \| \| PAR-OTHER \| 1 \| \| PAR-PERSIS \| 3 \| \| PAR-RAPID \| 1 \| \| SER-FLEXI \| 3 \| \| W Glamorgan \| PAR-HERD-S \| \| PAR-PERSIS \| 1 \| \| PAR-RAPID \| 3 \| \| Wales - Intermediate TB \| Carms \| \| PAR-NEW-IN \| 1 \| \| PAR-OTHER \| 6 \| \| PAR-PERSIS \| 7 \| \| PAR-RAPID \| 10 \| \| SER-FLEXI \| 1 \| \| Ceredigion \| PAR-HERD-S \| \| PAR-OTHER \| 2 \| \| PAR-PERSIS \| 4 \| \| PAR-RAPID \| 3 \| \| SER-FLEXI \| 2 \| \| NE Wales \| PAR-NEW-IN \| \| PAR-OTHER \| 4 \| \| PAR-PERSIS \| 3 \| \| PAR-RAPID \| 12 \| \| SER-FLEXI \| 31 \| \| Powys \| PAR-NEW-IN \| \| PAR-RAPID \| 1 \| \| S Glamorgan \| PAR-RAPID \| * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. \| Country \| County \| \|---------------------\|----------------\| \| Submission \| \| \| Reasons* \| \| \| No. \| \| \| subs \| \| \| Samples \| Gamma Positive \| \| n \| % of total \| \| SER-FLEXI \| 3 \| \| S Wales \| PAR-RAPID \| \| W Glamorgan \| PAR-HERD-S \| \| PAR-OTHER \| 2 \| \| PAR-RAPID \| 3 \| \| Wales - Low TB \| Gwynedd \| \| PAR-RAPID \| 1 \| \| NE Wales \| PAR-NEW-IN \| \| PAR-OTHER \| 2 \| \| PAR-PERSIS \| 2 \| \| PAR-RAPID \| 1 \| \| SER-FLEXI \| 2 \| \| Wales \| \| \| 976 \| 42378 \| \| Scotland - Scotland \| Argyll & Bute \| \| Ayrshire \| PAR-NEW-IN \| \| Dumfries & G \| PAR-NEW-IN \| \| Kirkcudbright \| PAR-NEW-IN \| \| PAR-PERSIS \| 1 \| \| Wigtown \| PAR-NEW-IN \| \| Scotland \| \| \| 15 \| 2210 \| \| Grand Total \| Sum: \| For test criteria please refer to Operational notes. Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. ## Of Twice Irs, Par-Cul-N: New Infection In Cull Area, Par-Cul-P: Persistent Infection In Cull Area, Par-Other: Parallel Other, Ser-Flexi: Flexible Extended Test In Confirmed Herds With Concurrent Johne'S Infection/Vaccination, Ser-Nsr: Serial Non-Specific Reactor, Ser-Fraud: Serial Potential Fraud, Ser-Other: Serial Other Table 3A. Summary Of Ifn Gamma Results By Country And Protocol August 2019 \| Country \| Protocol \| \|-----------------\|--------------\| \| No \| \| \| submissions \| Samples \| \| n \| % of total n \| \| England \| Parallel \| \| Serial/Extended \| 0 \| \| Total \| 143 \| \| Scotland \| Parallel \| \| Serial/Extended \| 0 \| \| Total \| 2 \| \| Wales \| Parallel \| \| Serial/Extended \| 24 \| \| Total \| 117 \| \| GB \| Parallel \| \| Serial/Extended \| 24 \| \| Total \| 262 \| \| 143.00 \| \| \| 117.00 \| \| \| 2.00 \| \| * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. ## Table 3B. Summary Of Ifn Gamma Results By Country And Protocol (Total 2019) \| Country \| Protocol \| \|-----------------\|--------------\| \| No \| \| \| submissions \| Samples \| \| n \| % of total n \| \| England \| Parallel \| \| Serial/Extended \| 28 \| \| Total \| 1431 179993 \| \| Scotland \| Parallel \| \| Serial/Extended \| 0 \| \| Total \| 15 \| \| Wales \| Parallel \| \| Serial/Extended \| 132 \| \| Total \| 976 \| \| GB \| Parallel \| \| Serial/Extended \| 160 \| \| Total \| 2422 224581 \| ####### 976.00 15.00 * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. ## Table 4A. Summaryof Ifn Gamma Results By Submission Reason (August 2019) Submission Reason No submissions Samples Gamma Positive Gamma Negatives Retest Resample Reject n % of total n % n % n % n % n % GB Extended Flexible IFN-GAMMA test 24 416 1.9% 28 6.7% 368 88.5% 25 6.0 % 19 4.6 % 1 0.2 % Parallel - Herd or Group Slaughter 10 358 1.6% 24 6.7% 326 91.1% 28 7.8 % 8 2.2 % 0 Parallel New Infection 81 8098 37.0% 190 2.3% 7282 89.9% 863 10.7 % 627 7.7 % 1 0.0 % Parallel - new infection cull area 47 4947 22.6% 201 4.1% 4366 88.3% 478 9.7 % 380 7.7 % 0 Parallel - Other 11 226 1.0% 9 4.0% 198 87.6% 24 10.6 % 19 8.4 % 0 Parallel Persistent Infection 49 5286 24.2% 136 2.6% 4752 89.9% 392 7.4 % 305 5.8 % 93 1.8 % Parallel - persistent infection cull area 11 2479 11.3% 119 4.8% 2207 89.0% 230 9.3 % 153 6.2 % 0 Parallel - Rapid Testing Two-times IRs 29 77 0.4% 17 22.1% 57 74.0% 4 5.2 % 2 2.6 % 1 1.3 % Total 262 21887 100.0% 724 3.3% 19556 89.3% 2044 9.3 % 1513 6.9 % 96 0.4 % England - HRA Parallel New Infection 5 361 1.6% 8 2.2% 304 84.2% 62 17.2 % 49 13.6 % 0 Parallel - new infection cull area 47 4947 22.6% 201 4.1% 4366 88.3% 478 9.7 % 380 7.7 % 0 Parallel - Other 3 188 0.9% 3 1.6% 169 89.9% 18 9.6 % 16 8.5 % 0 Parallel Persistent Infection 12 2376 10.9% 32 1.3% 2190 92.2% 199 8.4 % 154 6.5 % 0 Parallel - persistent infection cull area 11 2479 11.3% 119 4.8% 2207 89.0% 230 9.3 % 153 6.2 % 0 England - HRA 78 10351 47.3% 363 3.5% 9236 89.2% 987 9.5 % 752 7.3 % 0 England - Edge Parallel New Infection 55 6907 31.6% 145 2.1% 6287 91.0% 663 9.6 % 477 6.9 % 0 England - Edge 55 6907 31.6% 145 2.1% 6287 91.0% 663 9.6 % 477 6.9 % 0 England - LRA Parallel New Infection 5 303 1.4% 0 0.0 % 218 71.9% 98 32.3 % 85 28.1 % 0 Parallel Persistent Infection 5 736 3.4% 3 0.4% 561 76.2% 89 12.1 % 79 10.7 % 93 12.6 % England - LRA 10 1039 4.7% 3 0.3% 779 75.0% 187 18.0 % 164 15.8 % 93 9.0 % Wales - High TB Extended Flexible IFN-GAMMA test 18 315 1.4% 23 7.3% 277 87.9% 18 5.7 % 14 4.4 % 1 0.3 % Parallel - Herd or Group Slaughter 10 358 1.6% 24 6.7% 326 91.1% 28 7.8 % 8 2.2 % 0 Parallel New Infection 9 212 1.0% 13 6.1% 190 89.6% 14 6.6 % 8 3.8 % 1 0.5 % Parallel - Other 3 15 0.1% 5 33.3% 10 66.7% 2 13.3 % 0 0 Parallel Persistent Infection 30 1602 7.3% 88 5.5% 1455 90.8% 81 5.1 % 59 3.7 % 0 Parallel - Rapid Testing Two-times IRs 24 69 0.3% 14 20.3% 52 75.4% 4 5.8 % 2 2.9 % 1 1.4 % Wales - High TB 94 2571 11.7% 167 6.5% 2310 89.8% 147 5.7 % 91 3.5 % 3 0.1 % Wales - Intermediate TB Extended Flexible IFN-GAMMA test 5 99 0.5% 5 5.1% 90 90.9% 6 6.1 % 4 4.0 % 0 Parallel New Infection 5 247 1.1% 22 8.9% 220 89.1% 17 6.9 % 5 2.0 % 0 Parallel - Other 3 5 0.0% 0 0.0 % 4 80.0% 1 20.0 % 1 20.0 % 0 Parallel Persistent Infection 1 234 1.1% 11 4.7% 217 92.7% 16 6.8 % 6 2.6 % 0 Parallel - Rapid Testing Two-times IRs 5 8 0.0% 3 37.5% 5 62.5% 0 0 0 Wales - Intermediate TB 19 593 2.7% 41 6.9% 536 90.4% 40 6.7 % 16 2.7 % 0 Wales - Low TB Extended Flexible IFN-GAMMA test 1 2 0.0% 0 0.0 % 1 50.0% 1 50.0 % 1 50.0 % 0 Parallel New Infection 1 52 0.2% 2 3.8% 49 94.2% 4 7.7 % 1 1.9 % 0 Parallel - Other 2 18 0.1% 1 5.6% 15 83.3% 3 16.7 % 2 11.1 % 0 Wales - Low TB 4 72 0.3% 3 4.2% 65 90.3% 8 11.1 % 4 5.6 % 0 Scotland - Scotland Parallel New Infection 1 16 0.1% 0 0.0 % 14 87.5% 5 31.3 % 2 12.5 % 0 Parallel Persistent Infection 1 338 1.5% 2 0.6% 329 97.3% 7 2.1 % 7 2.1 % 0 Scotland - Scotland 2 354 1.6% 2 0.6% 343 96.9% 12 3.4 % 9 2.5 % 0 Submission Reason No submissions Samples Gamma Positive Gamma Negatives Retest Resample Reject n % of total n % n % n % n % n % GB Extended Flexible IFN-GAMMA test 156 5402 2.4% 367 6.8% 4733 87.6% 276 5.1 % 201 3.7 % 101 1.9 % Parallel - Herd or Group Slaughter 119 4435 2.0% 352 7.9% 3806 85.8% 345 7.8 % 270 6.1 % 8 0.2 % Parallel New Infection 899 103483 46.1% 3628 3.5% 93027 89.9% 7677 7.4 % 6054 5.9 % 792 0.8 % Parallel - new infection cull area 413 47094 21.0% 2383 5.1% 41822 88.8% 3240 6.9 % 2525 5.4 % 364 0.8 % Parallel - Other 69 3959 1.8% 257 6.5% 3283 82.9% 457 11.5 % 377 9.5 % 42 1.1 % Parallel Persistent Infection 389 45324 20.2% 1946 4.3% 40523 89.4% 2877 6.3 % 2216 4.9 % 642 1.4 % Parallel - persistent infection cull area 68 13972 6.2% 778 5.6% 12399 88.7% 1007 7.2 % 788 5.6 % 7 0.1 % Parallel - Rapid Testing Two-times IRs 305 886 0.4% 183 20.7% 633 71.4% 61 6.9 % 43 4.9 % 27 3.0 % Serial - Anomalous Reaction 2 18 0.0% 0 0.0 % 17 94.4% 1 5.6 % 1 5.6 % 0 Serial - Suspected NSR Herd 2 8 0.0% 0 0.0 % 8 100.0% 0 0 0 Total 2422 224581 100.0% 9894 4.4% 200251 89.2% 15941 7.1 % 12475 5.6 % 1983 0.9 % England - HRA Extended Flexible IFN-GAMMA test 22 1606 0.7% 79 4.9% 1422 88.5% 95 5.9 % 60 3.7 % 45 2.8 % Parallel - Herd or Group Slaughter 4 33 0.0% 0 0.0 % 31 93.9% 3 9.1 % 2 6.1 % 0 Parallel New Infection 19 1643 0.7% 136 8.3% 1325 80.6% 228 13.9 % 182 11.1 % 0 Parallel - new infection cull area 412 46834 20.9% 2364 5.0% 41593 88.8% 3228 6.9 % 2513 5.4 % 364 0.8 % Parallel - Other 20 1542 0.7% 83 5.4% 1172 76.0% 284 18.4 % 245 15.9 % 42 2.7 % Parallel Persistent Infection 118 19743 8.8% 950 4.8% 17268 87.5% 1320 6.7 % 998 5.1 % 528 2.7 % Parallel - persistent infection cull area 68 13972 6.2% 778 5.6% 12399 88.7% 1007 7.2 % 788 5.6 % 7 0.1 % Serial - Anomalous Reaction 2 18 0.0% 0 0.0 % 17 94.4% 1 5.6 % 1 5.6 % 0 England - Edge Parallel New Infection 674 84045 37.4% 2881 3.4% 75695 90.1% 6113 7.3 % 4802 5.7 % 685 0.8 % Parallel - new infection cull area 1 260 0.1% 19 7.3% 229 88.1% 12 4.6 % 12 4.6 % 0 Parallel Persistent Infection 14 1314 0.6% 27 2.1% 1234 93.9% 66 5.0 % 53 4.0 % 0 Serial - Suspected NSR Herd 2 8 0.0% 0 0.0 % 8 100.0% 0 0 0 England - LRA Extended Flexible IFN-GAMMA test 2 50 0.0% 1 2.0% 48 96.0% 3 6.0 % 1 2.0 % 0 Parallel - Herd or Group Slaughter 2 24 0.0% 8 33.3% 14 58.3% 2 8.3 % 2 8.3 % 0 Parallel New Infection 66 8165 3.6% 257 3.1% 7252 88.8% 758 9.3 % 618 7.6 % 38 0.5 % Parallel Persistent Infection 5 736 0.3% 3 0.4% 561 76.2% 89 12.1 % 79 10.7 % 93 12.6 % ## Table 4B. Summaryof Ifn Gamma Results By Submission Reason (Total 2019) Cont. England 1431 179993 80.1% 7586 4.2% 160268 89.0% 13209 7.3 % 10356 5.8 % 1802 1.0 % Wales - High TB Extended Flexible IFN-GAMMA test 93 2726 1.2% 194 7.1% 2434 89.3% 123 4.5 % 95 3.5 % 3 0.1 % Parallel - Herd or Group Slaughter 107 4277 1.9% 327 7.6% 3689 86.3% 327 7.6 % 254 5.9 % 8 0.2 % Parallel New Infection 29 1009 0.4% 56 5.6% 905 89.7% 55 5.5 % 47 4.7 % 1 0.1 % Parallel - Other 33 1840 0.8% 122 6.6% 1619 88.0% 133 7.2 % 99 5.4 % 0 Parallel Persistent Infection 235 21183 9.4% 883 4.2% 19268 91.0% 1293 6.1 % 1013 4.8 % 21 0.1 % Parallel - Rapid Testing Two-times IRs 265 773 0.3% 164 21.2% 542 70.1% 58 7.5 % 40 5.2 % 27 3.5 % Wales - Intermediate TB Extended Flexible IFN-GAMMA test 37 931 0.4% 89 9.6% 747 80.2% 51 5.5 % 42 4.5 % 53 5.7 % Parallel - Herd or Group Slaughter 6 101 0.0% 17 16.8% 72 71.3% 13 12.9 % 12 11.9 % 0 Parallel New Infection 75 6018 2.7% 199 3.3% 5460 90.7% 395 6.6 % 307 5.1 % 52 0.9 % Parallel - Other 14 559 0.2% 51 9.1% 477 85.3% 37 6.6 % 31 5.5 % 0 Parallel Persistent Infection 14 1581 0.7% 74 4.7% 1454 92.0% 85 5.4 % 53 3.4 % 0 Parallel - Rapid Testing Two-times IRs 38 111 0.0% 19 17.1% 89 80.2% 3 2.7 % 3 2.7 % 0 Wales - Low TB Extended Flexible IFN-GAMMA test 2 89 0.0% 4 4.5% 82 92.1% 4 4.5 % 3 3.4 % 0 Parallel New Infection 22 731 0.3% 18 2.5% 674 92.2% 35 4.8 % 23 3.1 % 16 2.2 % Parallel - Other 2 18 0.0% 1 5.6% 15 83.3% 3 16.7 % 2 11.1 % 0 Parallel Persistent Infection 2 429 0.2% 7 1.6% 409 95.3% 17 4.0 % 13 3.0 % 0 Parallel - Rapid Testing Two-times IRs 2 2 0.0% 0 0.0 % 2 100.0% 0 0 0 Wales 976 42378 18.9% 2225 5.3% 37938 89.5% 2632 6.2 % 2037 4.8 % 181 0.4 % Scotland - Scotland Parallel New Infection 14 1872 0.8% 81 4.3% 1716 91.7% 93 5.0 % 75 4.0 % 0 Parallel Persistent Infection 1 338 0.2% 2 0.6% 329 97.3% 7 2.1 % 7 2.1 % 0 Scotland 15 2210 1.0% 83 3.8% 2045 92.5% 100 4.5 % 82 3.7 % 0 \| Year \| Month \| \|--------------\|-----------\| \| Herds \| \| \| sampled \| \| \| Samples \| \| \| tested \| \| \| IFNg+ \| \| \| samples \| \| \| Wrong \| \| \| Eartags \| \| \| VL No \| \| \| Cult \| \| \| Herds \| \| \| with \| \| \| positives \| \| \| No PM \| \| \| No \| \| \| Cult \| \| \| No PM \| \| \| Cult \| \| \| Pend \| \| \| No PM \| \| \| Cult \| \| \| Neg \| \| \| No PM \| \| \| Cult \| \| \| Mb \| \| \| VL \| \| \| Cult \| \| \| Neg \| \| \| VL \| \| \| Cult \| \| \| Pend \| \| \| VL \| \| \| Cult \| \| \| Mb \| \| \| VL \| \| \| Cult \| \| \| Other \| \| \| NVL \| \| \| No \| \| \| Cult \| \| \| NVL \| \| \| Cult \| \| \| Pend \| \| \| NVL \| \| \| Cult \| \| \| Neg \| \| \| NVL \| \| \| Cult \| \| \| Mb \| \| \| NVL \| \| \| Cult \| \| \| Other \| \| \| No \| \| \| PM \| \| \| Cult \| \| \| Other \| \| \| 2018 \| September \| \| October \| 274 \| \| November \| 282 \| \| December \| 228 \| \| 2019 \| January \| \| February \| 320 \| \| March \| 315 \| \| April \| 269 \| \| May \| 364 \| \| June \| 287 \| \| July \| 316 \| \| August \| 262 \| \| Totals (last \| \| \| 12 months) \| \| \| 3422 \| 316122 \| Country Herds sampled Samples tested IFNg+ samples VL No Cult Herds with positives No PM No Cult No PM Cult Pend No PM Cult Neg No PM Cult Mb VL Cult Neg VL Cult Pend VL Cult Mb VL Cult Other NVL No Cult NVL Cult Pend NVL Cult Neg NVL Cult Mb NVL Cult Other No PM Cult Other England 1994 249158 1311 11207 179 0 0 0 0 928 13 11 35 3 9845 13 94 0 2 Scotland 17 2225 10 83 0 0 0 0 0 12 0 0 2 0 61 1 4 0 0 Wales 1411 64739 725 3788 71 0 0 0 0 162 8 3 16 1 2715 117 608 3 26 Totals 3422 316122 2046 15078 250 0 0 0 0 1102 21 14 53 4 12621 131 706 3 28 Includes all animals with IFNg test negative, resample and reject outcomes \| \| County \| %Resampled %Retested \| \|-----------------\|----------\|------------------------\| \| Avon \| 6.67 % \| 6.67 % \| \| Berks \| 10.00 % \| 10.77 % \| \| Bucks \| 20.43 % \| 22.58 % \| \| Carms \| 3.11 % \| 4.67 % \| \| Ceredigion \| 3.98 % \| 6.42 % \| \| Cheshire \| 5.07 % \| 7.93 % \| \| Corn & Scilly \| 6.47 % \| 8.47 % \| \| Cumbria \| 33.33 % \| 44.44 % \| \| Derbyshire \| 6.73 % \| 9.57 % \| \| Devon \| 7.71 % \| 10.26 % \| \| Dorset \| 4.33 % \| 7.09 % \| \| Dumfries & G \| 12.50 % \| 31.25 % \| \| Gloucestershire \| 5.36 % \| 6.25 % \| \| Gloucs \| 37.39 % \| 39.13 % \| \| Gr London \| 4.65 % \| 9.30 % \| \| Gwent \| 22.22 % \| 22.22 % \| \| Hampshire \| 9.93 % \| 13.79 % \| \| Heref \| 3.00 % \| 3.67 % \| \| Kirkcudbright \| 2.07 % \| 2.07 % \| \| Leics & Rut \| 5.88 % \| 17.65 % \| \| NE Wales \| 3.05 % \| 7.32 % \| \| Northants \| \| \| \| Northumb \| 28.09 % \| 30.41 % \| \| N Yorks \| 3.98 % \| 5.61 % \| \| Oxon \| 9.34 % \| 11.98 % \| \|-----------------\|----------\|-----------\| \| Pembs \| 3.55 % \| 6.09 % \| \| Powys \| 3.45 % \| 6.03 % \| \| Shropshire \| 17.81 % \| 20.55 % \| \| Somerset excl N \| 3.92 % \| 5.81 % \| \| Staffs \| 9.38 % \| 10.94 % \| \| Warks \| 4.92 % \| 6.03 % \| \| W Glamorgan \| \| \| \| Wiltshire \| 7.90 % \| 10.14 % \| \| W Sussex \| 60.87 % \| 65.22 % \| Country No. animals No of IFHg+ animals % Positive animals No. samples No of IFHg+ samples England 17871 511 2.9% 18297 511 2.8% Wales 3203 211 6.6% 3236 211 6.5% Scotland 354 2 0.6% 354 2 0.6% GB 21428 724 3.4% 21887 724 3.3% Country No. animals No of IFHg+ animals % Positive animals No. samples No of IFHg+ samples England 15428 592 3.8% 15697 592 3.8% Wales 3771 87 2.3% 3849 87 2.3% Scotland 49 3 6.1% 53 3 5.7% GB 19248 682 3.5% 19599 682 3.5% Country No. animals No of IFHg+ animals % Positive animals No. samples No of IFHg+ samples England 165650 7586 4.6% 179993 7586 4.2% Wales 38635 2225 5.8% 42378 2225 5.3% Scotland 1889 83 4.4% 2210 83 3.8% GB 206170 9894 4.8% 224581 9894 4.4% Country No. animals No of IFHg+ animals % Positive animals No. samples No of IFHg+ samples England 110791 5999 5.4% 124473 5999 4.8% Wales 31928 1306 4.1% 35246 1306 3.7% Scotland 2066 181 8.8% 2226 181 8.1% GB 144772 7486 5.2% 161945 7486 4.6% % Positive samples % Positive samples % Positive samples % Positive samples Test type Num Submissions Num Samples Num Positives Private % Positive Devon PRV-SP 1 1 0 0 Total 1 1 0 Isle of Man SER-IOM 7 64 0 0 \| % Positive \| * Test type \| \|---------------------\|---------------\| \| Num \| \| \| Submissions \| \| \| Num \| \| \| Samples \| \| \| Num \| \| \| Positives \| \| \| Private \| \| \| Devon \| PRV-SE \| \| PRV-SP \| 1 \| \| Gloucestershire \| PRV-SP \| \| Herefordshire \| PRV-SP \| \| Somerset excl North \| PRV-SE \| \| PRV-SP \| 3 \| \| Wiltshire \| PRV-SP \| \| Worcestershire \| SER-OTHER \| \| Total \| \| \| 13 \| \| \| 65 \| \| \| 15 \| 23.08 % \| \| Isle of Man \| SER-IOM \| *SER-IOM: Serial High Specificity test - Isle of Man; PRV-SE: Private High Sensitivity test - England; PRV-SP: Private High Specificity test - England \| \| Test \| County \| Num Submissions \| Num Samples Tested \| Num Positive Samples % Positive \| \|------------------\|-----------------\|----------\|-------------------\|----------------------\|-----------------------------------\| \| TC0077 \| Carmarthenshire \| 4 \| 146 \| 12 \| 8.2% \| \| Ceredigion \| 2 \| 343 \| 10 \| 2.9% \| \| \| North East Wales \| 7 \| 270 \| 37 \| 13.7% \| \| \| Pembrokeshire \| 2 \| 70 \| 6 \| 8.6% \| \| \| Powys \| 2 \| 45 \| 4 \| 8.9% \| \| \| South Wales \| 1 \| 9 \| 0 \| 0 \| \| \| Wiltshire \| 1 \| 248 \| 9 \| 3.6% \| \| \| TC0077 \| Sum: \| 1,131 \| 78 \| 6.9 % \| \| \| \| Test \| County \| Num Submissions \| Num Samples Tested \| Num Positive Samples % Positive \| \|------------------\|-----------------\|----------\|-------------------\|----------------------\|-----------------------------------\| \| TC0077 \| Carmarthenshire \| 12 \| 427 \| 34 \| 8.0% \| \| Ceredigion \| 3 \| 372 \| 17 \| 4.6% \| \| \| North East Wales \| 19 \| 737 \| 103 \| 14.0% \| \| \| Pembrokeshire \| 14 \| 465 \| 27 \| 5.8% \| \| \| Powys \| 6 \| 313 \| 18 \| 5.8% \| \| \| South Wales \| 5 \| 196 \| 16 \| 8.2% \| \| \| Wiltshire \| 1 \| 248 \| 9 \| 3.6% \| \| \| TC0077 \| Sum: \| 2,758 \| 224 \| 8.1 % \| \|	en
1526-pdf	## Hm Revenue & Customs Business Expenses: 1 July 2014 - 30 September 2014 Please note: these figures may not include some costs that have yet to be invoiced and will be updated to reflect any additional spend ## Lin Homer, Chief Executive TRAVEL DATES DESTINATION PURPOSE OTHER (including Accommodation/ hospitality given) Total Cost Air Rail Taxi/Car/ Other Meals 24/07/14 Bradford Office Visit £150.31 £150.31 28/08/14 Reading Office Visit £58.12 £58.12 04/09/14-05/09/14 Edinburgh Speaking Engagement £387.11 £49.45 £436.56 25/09/14-26/09/14 Lincoln Staff Event £88.18 £62.10 £150.28 EDWARD TROUP, TAX ASSURANCE COMMISSIONER TRAVEL OTHER (including DATES DESTINATION PURPOSE Accommodation/ hospitality given) Total Cost Air Rail Taxi/Car/ Other Meals 01/07/14 Edinburgh Office Visit £141.66 £79.90 £221.56 10/07/14 Ashridge Senior Leaders £27.35 £27.35 11/07/14 Colchester Office Visit £47.72 £47.72 14/07/14 Berkhamsted Board Event £27.74 £357.46 £385.20 23/07/14 Manchester Staff Event £148.26 £148.26 29/08/14 Nottingham Office Visit £98.94 £98.94 05/09/14 Cambridge IFS Conference £43.84 £43.84 12/09/14-24/09/14 Aus / NZ / China ATO £8,074.54 £35.55 £229.33 £1,644.59 £169.01 £10,153.02 RUTH OWEN, DIRECTOR GENERAL FOR PERSONAL TAX DATES DESTINATION PURPOSE Air Rail Taxi/Car/ 03/07/14 Lincoln & Bradford Spring School & Staff Event £94.00 £40.00 £134.00 08/07/14-11/07/14 Edinburgh Tax Credit Peak £134.50 £312.60 £447.10 14/07/14-15/07/14 Berkhamsted Board Event £29.64 £29.64 23/07/14-24/07/14 Nottingham Leadership Meeting £88.74 £68.00 £156.74 30/07/14-31/07/14 Peterlee Office Visit £198.77 £49.55 £70.00 £318.32 04/08/14-05/08/14 Bathgate Office Visit £201.22 £52.30 £102.84 £356.36 06/08/14-07/08/14 Enniskillen & Belfast Office Visit £339.40 £21.11 £48.14 £67.30 £475.95 13/08/14-14/08/14 Newcastle Office Visit £254.75 £8.50 £69.00 £332.25 18/08/14-19/08/14 Glasgow Staff Event £310.63 £51.70 £141.25 £503.58 03/09/14 Leicester Office Visit £92.11 £92.11 04/09/14-05/09/14 Bridport External Visit £85.03 £34.00 £97.25 £216.28 12/09/14 Stockton Office Visit £110.93 £5.00 £115.93 25/09/14-26/09/14 Linclon Staff Event £107.63 £38.00 £145.63 30/09/14-01/10/14 Manchester Leadership Meeting £170.17 £7.60 £77.00 £254.77 JIM HARRA, DIRECTOR GENERAL BUSINESS TAX DATES DESTINATION PURPOSE Air Rail Taxi/Car/ 14/07/14 Berkhamsted Board Event £29.64 £29.64 31/07/2014 Liverpool Office Visit £139.50 £139.50 04/08/14 Belfast Office Visit £292.02 £292.02 19/08/14 Aberdeen Office Visit £256.34 £256.34 16/09/14 Manchester Office Visit £62.50 £62.50 19/09/2014 Brussels DG Comp, mtng with Commission £199.00 £199.00 25/09/14-26/09/14 Lincoln Staff Event £52.70 £22.10 £74.80 OTHER (including Accommodation/ hospitality given) Total Cost Other Meals TRAVEL OTHER (including Accommodation/ hospitality given) Total Cost Other Meals JENNIE GRANGER, DIRECTOR GENERAL ENFORCEMENT & COMPLIANCE OTHER (including DATES DESTINATION PURPOSE Accommodation/ hospitality given) Total Cost Air Rail Taxi/Car/ Other Meals 14/07/14-15/07/14 Berkhamstead Board Event £29.30 £357.46 £386.76 24/07/14-25/07/14 Washington (USA) Departmental Business £5,311.25 £425.55 £5,736.80 31/07/14 Newcastle Office Visit £235.29 £70.82 £306.11 02/09/14 Cambridge Speaking Engagement £46.02 £46.02 04/09/14 Tolworth Speaking Engagement £9.63 £9.63 25/09/14 Lincoln Conference £134.52 £134.52 NICK LODGE, DIRECTOR GENERAL BENEFITS AND CREDITS TRAVEL OTHER (including DATES DESTINATION PURPOSE Accommodation/ hospitality given) Total Cost Air Rail Taxi/Car/ Other Meals 02/07/14 London Staff Event £4.40 £4.40 09/07/14 Merryhill/Birmingham Office Visit £18.20 £5.70 £23.90 14/07/14-15/07/14 Berkhamsted Board Event £29.64 £29.64 23/07/14 Southend Office Visit £5.65 £5.65 24/07/14-25/07/14 Stockton/Grimsby Office Visit £119.14 £14.15 £86.45 £219.74 03/9/14-04/09/14 Preston Staff Event £132.14 £10.20 £90.00 £232.34 24/09/14 London Staff Event £2.20 £2.20 25/09/14-26/09/14 Lincoln Staff Event £69.57 £102.41 £2.45 £174.43 MARK DEARNLEY CHIEF DIGITAL AND INFORMATION OFFICER OTHER (including DATES DESTINATION PURPOSE Accommodation/ hospitality given) Total Cost Air Rail Taxi/Car/ Other Meals 02/07/2014-4/7/14 Newcastle Civil Service Live £300.69 £5.00 £174.70 £480.39 14/7/14-15/7/14 Berkhamstead Board Event £27.74 £27.74 25/07/14 Durrington Office Visit £26.19 £10.00 £36.19 29/07/14 Newcastle Office Visit £168.59 £29.40 £197.99 25/9/14-26/9/14 Lincoln Staff Event £146.43 £60.00 £206.43 WILLIAM HAGUE, CHIEF PEOPLE OFFICER TRAVEL OTHER (including DATES DESTINATION PURPOSE Accommodation/ hospitality given) Total Cost Air Rail Taxi/Car/ Other Meals 04/07/14 Manchester Office Visit £134.79 £18.00 £152.79 14/07/14 Berkhamsted Board Event £29.64 £357.45 £387.09 04/09/14 Manchester Meeting £145.69 £56.65 £202.34 05/09/14 Wolverhampton Office Visit £85.80 £85.80 11/09/14-12/09/14 Canterbury HR Away £35.66 £140.00 £175.66 24/09/14 Horsley Conference £22.52 £8.00 £30.52 25/09/14 Lincoln Speaking Engagement £146.43 £35.00 £181.43 GILL AITKEN, GENERAL COUNSEL AND SOLICITOR TRAVEL OTHER (including DATES DESTINATION PURPOSE Accommodation/ hospitality given) Total Cost Air Rail Taxi/Car/ Other Meals 14/07/14 Berkhamsted Board Event £29.64 £29.64 08/09/14 Manchester Staff Event £145.94 £21.00 £166.94 25/09/14-26/09/14 Lincoln Staff Event £132.40 £16.80 £149.20 SIMON BOWLES, CHIEF FINANCE OFFICER OTHER (including DATES DESTINATION PURPOSE Accommodation/ hospitality given) Total Cost Air Rail Taxi/Car/ Other Meals 14/07/14-15/07/14 Berkhamsted Board Event £29.25 £357.46 £386.71 IAN BARLOW, NON-EXECUTIVE DIRECTOR TRAVEL OTHER (including DATES DESTINATION PURPOSE Accommodation/ hospitality given) Total Cost Air Rail Taxi/Car/ Other Meals Nil Return VOLKER BECKERS, NON-EXECUTIVE DIRECTOR TRAVEL OTHER (including DATES DESTINATION PURPOSE Accommodation/ hospitality given) Total Cost Air Rail Taxi/Car/ Other Meals Nil Return DIANE HERBERT, NON-EXECUTIVE DIRECTOR TRAVEL OTHER (including DATES DESTINATION PURPOSE Accommodation/ hospitality given) Total Cost Air Rail Taxi/Car/ Other Meals Nil Return SIMON RICKETTS, NON-EXECUTIVE DIRECTOR OTHER (including DATES DESTINATION PURPOSE Accommodation/ hospitality given) Total Cost Air Rail Taxi/Car/ Other Meals Nil Return JOHN WHITING, NON-EXECUTIVE DIRECTOR TRAVEL OTHER (including DATES DESTINATION PURPOSE Accommodation/ hospitality given) Total Cost Air Rail Taxi/Car/ Other Meals Nil Return EDWINA DUNN, NON-EXECUTIVE DIRECTOR TRAVEL OTHER (including DATES DESTINATION PURPOSE Accommodation/ hospitality given) Total Cost Air Rail Taxi/Car/ Other Meals Nil Return PAUL SMITH, NON-EXECUTIVE DIRECTOR TRAVEL OTHER (including DATES DESTINATION PURPOSE Accommodation/ hospitality given) Total Cost Air Rail Taxi/Car/ Other Meals Nil Return LESLIE FERRAR, NON-EXECUTIVE DIRECTOR OTHER (including DATES DESTINATION PURPOSE Accommodation/ hospitality given) Total Cost Air Rail Taxi/Car/ Other Meals Nil Return MERVYN WALKER, NON-EXECUTIVE DIRECTOR TRAVEL OTHER (including DATES DESTINATION PURPOSE Accommodation/ hospitality given) Total Cost Air Rail Taxi/Car/ Other Meals Nil Return NORMAN PICKAVANCE, NON-EXECUTIVE DIRECTOR TRAVEL OTHER (including DATES DESTINATION PURPOSE Accommodation/ hospitality given) Total Cost Air Rail Taxi/Car/ Other Meals Nil Return	en
2526-pdf	## Ethics For Public Health Research In Africa Social Science Academy of Nigeria # Ethics For Public Health Research In Africa Proceedings of an International Workshop in collaboration with the Special Programme for Research and Training in Tropical Diseases (TDR) of the World Health Organisation, with the support of the Federal Ministry of Health, Abuja, Nigeria, April 21-23, 2008 Edited by Olayiwola Erinosho Department of Sociology, Olabisi Onabanjo University, Ago-Iwoye, Nigeria Social Science Academy of Nigeria Crescent 12 Flat 99 Kado Estate, Wuse PO Box 8026, Abuja, Nigeria sscn@skannet.com www.ssanigeria.org © Social Science Academy of Nigeria First Published 2008-10-10 All rights reserved. No part of this publication may be reproduced or transmitted in any form or by any means, electronic, mechanic, photocopying, or recording or otherwise or stored in any retrieval system of any nature without prior written permission of the copyright holder. ISBN: 978-978-48193-4-3 ## Contents Contents (1) Preface (ii) Acknowledgements (iii) Contributors (iv) 1. Introduction Olayiwola Erinosho………………………………………………………………………..1 2. Developing Ethical Oversight of Research in Developing Countries: Case Study of Nigeria Clement A. Adebamowo, Margaret A. Mafe, Aminu A. Yakubu, Julie M. Adekeye, and Jonathan Y. Jiya…………………………………………………………………………….7 3. Ethical Issues in Scientific Research Adebayo O. Adejumo……………………………………………………………………...16 4. Consent Seeking and Principles of Distributive Justice in Field Laboratory Health Projects in Non-Literate Societies Adeyinka Falusi……………………………………………………………………………21 5. Consent Seeking in Social and Behavioural Research in Non-Literate Communities Ayodele Samuel Jegede……………………………………………………………………27 6. Ethical Challenges and Code in Study Design in Social and Behavioural Research in Vaccine Testing in Non-Literate Communities Abraham Alabi……………………………………………………………………………33 7. Ethical Issues and Research Code in Social Science Methodology in the Context of Africa Olayiwola Erinosho……………………………………………………………………….37 8. Ethical Issues in Qualitative Research in Public Health in Africa Paul Nchoji Nkwi…………………………………………………………………………43 9. HIV/AIDS in Nigeria and Its Ethical Challenges Babatunde Osotimehin…………………………………………………………………...49 10. Ethical Issues in USAID Applied Health Research in Nigeria Stalin E. Ewoigbokhan……………………………………………………………………55 11. Perspective of the WHO Research Ethics Review Committee on Socio-Behavioural Research Projects in Public Health Abha Saxena……………………………………………………………………………..63 Appendix: Participants……………………………………………………………………………67 ## Preface While researchers increasingly recognise the need to protect the participants that are targeted in social and behavioural research in public health, available literature is bereft of ample examination of the key ethical issues and challenges most especially in largely non-literate populations in Africa. Thus, the need for sound frameworks in ethical research practice at the global level most especially in developing countries is at the top of the agenda of health promotion and research today. The existence of viable and active ethical review committees in developing countries is a prerequisite for investment in research. Developing countries must appreciate and establish a system that ensures that the participants in research are protected from potential exploitation, injuries, and harm in order to attract investment in research as well as derive its benefits. The commitment to the promotion and investment in health research on HIV/AIDS, Tuberculosis, Malaria, and Reproductive Health in developing countries prompted the establishment of Nigeria's National Health Research Ethics Committees and/or other mechanisms that would ensure a sound system for promoting and ensuring the protection of human subjects in research. Several countries have developed their codes of ethics for health research. Nigeria is one of the leaders in health research in Africa and it is in furtherance of its leadership role and commitment to health research that the Federal Ministry of Health established Nigeria's National Health Research Ethics Committee (NHREC). The Nigerian Code has been developed while NHREC is currently training the members of ethics committees in our institutions. The Committee is about to register institutional ethics committees in order to ensure standardisation and a common understanding in the application of the Code. Finally, NHREC will classify the country's ethics committees according to type and the complexity of the research that they are permitted to review. The Federal Ministry of Health is aware of the significant gap in the knowledge and application of sound ethical principles among researchers which is affecting their ability to attract funds from international funding agencies for otherwise well conceived and written research proposals. The Social Science Academy of Nigeria (SSAN) organised a capacity building workshop for Nigerians and others from the West African sub-Region on ethics and codes in applied social and behavioural research in public health. The inclusion of participants from countries in West African is in accordance with Nigeria's commitment towards the promotion of health in the ECOWAS subregion. Our sincere gratitude to the Tropical Diseases Research Programme of the World Health Organisation (TDR/WHO) for providing a substantial part of the funds for the workshop and also to the local and international collaborators for assisting to build the capacity of African scientists. It is also a delight to collaborate again with Professor Layi Erinosho with whom we have had a long history of combining efforts to promote health research, policy, and programmes in Nigeria. Dr. Shehu Sule, MFR, mni Acting Permanent Secretary, Federal Ministry of Health, Shehu Shagari Way, Abuja, Nigeria. ## Acknowledgements The very important area of ethics in research involving human subjects is often mentioned and discussed in research proposals by African scholars in Africa. But the discussions are often superficial because token attention is paid to its imperatives and requirements by applied social scientists, particularly those that are working in public health in Africa. The ever evolving codes and ethics in this area are least understood and appreciated by Africa's researchers working in many of Africa's institutions. This lack of appreciation is connected to the contexts where research is undertaken; - contexts that appear not to be as strict and as demanding as those in high income countries whose ethical codes are well articulated. This weakness is also reflected in what is taught to students who are being prepared for careers that include research. Consequently, most researchers in Africa particularly those who apply social science knowledge to public health lack the capacity to handle ethical requirements in proposals. The Social Science Academy of Nigeria is aware of, and concerned with this problem and is determined to improve the situation. The workshop provided a window of opportunity to enhance the competence of researchers in this critical area. Founded as the Social Science Council of Nigeria in 1983, the Academy is mandated to harness and develop the capacity of Nigerian social scientists; promote the advancement of social science knowledge; and engender cross-disciplinary discourse. On behalf of the Academy, I thank the following for their support for this extremely important workshop: Institutions: 1. Tropical Diseases Research Programme, World Health Organisation, Geneva, Switzerland. 2. Federal Ministry of Health, Abuja, Nigeria. 3. Nuffield Bioethics Council, United Kingdom. ## Individuals: 1. Dr. Johannes Sommerfeld, TDR, World Health Organisation, Geneva, Switzerland. 2. Dr. Ayo Oduola, TDR, World Health Organisation, Geneva, Switzerland. 3. Dr. Amos Petu, World Health Organisation, Abuja, Nigeria. 4. Dr. Harald Schmidt, Nuffield Bioethics Council, United Kingdom. 5. Professor Adenike Grange, Former Hon. Minister of Health, Federal Ministry of Health, Abuja, Nigeria. 6. Dr. Shehu Sule, Acting Permanent Secretary, Federal Ministry of Health, Abuja, Nigeria. 7. Dr. Tolu Fakeye, Consultant Special Grade, Department of Planning Research & Statistics, Federal Ministry of Health, Abuja, Nigeria. 8. Dr. Margaret Mafe, Head, Department of Planning, Research and Statistics, Federal Ministry of Health, Abuja, Nigeria. Professor Uvie A. Igun, President, Social Science Academy of Nigeria, Abuja, Nigeria. ## Contributors Clement Adebayo Adebamowo, BM ChB Hons. (Jos), FWACS, FACS, D.Sc. (Harvard), professor of surgery and Lecturer in nutrition epidemiology and bioethics, University of Ibadan; Director of the Institute for Advanced Medical Research and Training at same; Director, West African Bioethics Training Programme; Chairman, Nigeria National Health Research Ethics Committee; Chairman, Advisory Committee of TRREE, University of Neuchatel, Switzerland; Member, External Advisory Committee, Joint Centre for Bioethics, University of Toronto; and Member, IRENSA, University of Cape Town, South Africa. He conducts research in bioethics, medical education, surgery, and oncology. Julie M. Adekeye, MB BS, former focal person on ethics at the Federal Ministry of Health, Abuja, Nigeria. Adebayo Adejumo, B.Sc. Nursing, M.Sc. Clinical Psychology Ph.D. Developmental Psychology (Ibadan), M.HSc. Bioethics (Toronto) is a recipient of awards of the: Joint Centre for Bioethics, Institute of Medical Science, University of Toronto, Canada (2005); Fogarty Foundation; and Union of Africa Population Studies. He is a faculty Member at the Centre for West African Bioethics; Member, National Health Research Ethics Committee of Nigeria. He teaches in the Department of Psychology, University of Ibadan, Nigeria. Abraham Alabi, B.Sc. Microbiology (Obafemi Awolowo University, Ile-Ife), M.Sc., Ph.D. Medical Microbiology, (Lagos), formerly of the Nigerian Institute of Medical Research, Yaba, Lagos, Nigeria is Senior Scientific Officer, Medical Research Council (MRC), Banjul, The Gambia. Olayiwola Erinosho, B.Sc. (Ibadan), M.A., Ph.D. (Toronto), professor of health sociology, Olabisi Onabanjo University, Ago-Iwoye, Ogun State, Nigeria. Former Head, Department of Sociology and Dean, Faculty of Social and Management Sciences; Member, Executive Committee, International Sociological Association (1994-2002); Member, Steering Committee, Tropical Diseases Programme, World Health Organization; and Consultant to Bilateral and Multilateral Organisations. Former Executive Secretary, Social Science Academy of Nigeria (1998-2005), and currently the President, African Sociological Association. Stalin E. Ewoigbokhan, B.Sc. Biochemistry (Ife), M.P.H. (Ibadan) recipient of Certificates in international public health of the Boston (USA), Hokkaido (Japan) Universities, and Diploma in Journalism (Lagos). He is currently the Monitoring and Evaluation Advisor, Polio Eradication Team COMPASS/ USAID, Abuja, Nigeria. Adeyinka Falusi, B.Sc. Hons. Chemistry, M.Phil., Ph.D Haematology (Ibadan), professor of heamatology and Head of the Genetic & Bioethics Research Unit at the Institute for Advanced Medical Research & Training, College of Medicine, University of Ibadan and Acting Director/Chair of University of Ibadan/University College Hospital Ethics Review Committee of same University (2001-2005). She is a recipient of L'OREAL/UNESCO Award for Outstanding Woman of Science (Africa 2001) and the Rare Gem Award in Science & Technology in 2003. Professor Falusi is currently the President of the Sickle Cell Association of Nigeria (SCAN) and the Protem President of the Nigerian Bioethics Initiative (NIBIN). Uvie A. Igun, B.Sc., M.Sc., (Ibadan), Ph.D. (Manchester), professor of medical anthropology, former Head of Department of Sociology, University of Maiduguri and Vice-Chancellor, Delta State University, Abraka. He is currently the Chairman and the Executive Board, Action AIDS and President, Social Science Academy of Nigeria. Ayodele Samuel Jegede, B.Sc. (Ife), M.Sc., Ph.D. Medical Sociology/Anthropology (Ibadan), M.HSc. Bioethics (Toronto), Reader in medical anthropology/sociology and bioethics, University of Ibadan, and Faculty Member of the West African Bioethics Training Programme, College of Medicine, University of Ibadan, Nigeria. His areas of interest include health technology delivery and utilisation, research ethics, genomic and biotechnology policy, reproductive health including HIV/AIDS, tropical diseases including malaria and tuberculosis and qualitative methodology. Jonathan Y. Jiya, MB BS, M.P.H., mni, was until recently, Director, Department of Planning, Research, and Statistics, Federal Ministry of Health, Abuja, Nigeria. Margaret A. Mafe, Ph.D., public health specialist and former the focal person for ethics at the Nigerian Federal Ministry of Health, is Director, the Nigerian Institute of Medical Research, Yaba, Lagos, Nigeria. Paul Nchoji Nkwi, born in Wombong, Northwest Province of Cameroon, studied in Nigeria, Italy and Switzerland graduating with degrees in philosophy and anthropology. Served as a teaching assistant at the University of Fribourg in Switzerland, and taught medical anthropology for over thirty years at the University of Yaoundé, rising to the post of full professor in 1980. Professor Nkwi previously served in different capacities in the Ministry of Higher Education and Scientific Research, returning to full time teaching in 1992. Founding president, Pan African Anthropological Association; former Vice President, African Academy of Sciences; and founding Executive Secretary, Cameroon Academy of Sciences. He is a permanent member of the International Union of Anthropological and Ethnological Sciences (IUAES). Babtunde Osotimehin, MB BS (Ibadan), MD (Birmingham), Member of the Royal College of Physicians (UK), Fellow in Endocrinology, Cornell University Graduate School of Medicine, New York, USA (1979-1980); Fellow, Nigerian Postgraduate Medical College (1982); Fellow, West African Postgraduate Medical College (1982); Fellow, Royal College of Physicians, London (1989); and Fellow, Nigerian Academy of Science (2006). He was a Distinguished Visitor to the John D and Catherine T MacArthur Foundation, Chicago USA (1996) and Visiting Fellow, Harvard Centre for Population and Development Studies, Cambridge Massachusetts, USA (1996- 1997). Previously Head of Department and Provost, College of Medicine, University of Ibadan (1990-1994), now Director General, National Agency for the Control of AIDS. Abha Saxena, Staff Scientist, WHO ERC, Geneva, Switzerland. Aminu A. Yakubu, M.P.H. is a biochemist and public health specialist and a health research officer at the Federal Ministry of Health, Abuja, Nigeria. ## 1 Introduction Olayiwola Erinosho Introduction Ethics, the science of morality, has always loomed large in the various time-honoured professions such as law, priesthood, medicine, and the military. However, globalization has invigorated interest in ethics and it now transcends all human endeavours. Ethics is now taken seriously in governance, business, academia, and other walks of life. But concepts like ethics, democracy, justice, and freedom have different meanings in different contexts and cultures. What is ethical in a culture might be unethical in others. For example, traditional healers in Africa could be paid in kind by their clients rather than cash (e.g., marriage, or farm products etc.). This sort of exchange for professional services is unethical in western-style medicine and/or societies. The on-going "strife" between the West and sections of the Arab population and/or countries over the meaning of freedom, democracy, and/or human rights can also be cited as an example. There is remarkable diversity across cultures, religions, national boundaries, ethnicity on the meaning of these concepts. For instance, quite a number of theocratic Arab/Muslim states that draw inspiration from the Holy Qur'an differ from Europeans on their meanings. Consequently, the challenge facing humankind is to share a common understanding of these cherished human values. The challenge is equally evident in the context of health care research in which individuals, groups, and communities are targeted. As an example, the right and proper way in which animals are handled in Euro-American societies is not necessarily the case in other contexts such as Nigeria where animal rights are not recognised. Similarly, patriarchy which is the foundation of social structure in most parts of Africa is a significant determinant of social relationship between researchers and their targeted communities and respondents. Oral cultures such as those in various parts of Africa attach importance to personal social relation in contrast to literate and technologically developed ones where relations are impersonal, highly segmented, and formal. The requirement of informed consent in writing does not go down very well in African societies that are still steeped in oral tradition unlike in European contexts where this is embraced and/or demanded. There is therefore a divergence between the technologically developed and developing countries on the importance of ethics in socio-medical research. While the former have established effective mechanisms for reviewing and implementing research projects on human/animal subjects, the latter especially in Africa are just about doing so. As a result, many researchers in Africa always have a hard time getting approval for their protocols from international ethical review boards due to their failure to address sticking ethical issues in their protocols. Support for foregoing assertion lies in a recent study of 670 researchers in developing countries which concluded that 44 per cent of their projects were not reviewed by their Institutional Review Boards (IRBs) even though a third of the studies was funded by United States organisations. The study also found that the IRBs in US institutions raised questions on consent forms in local languages and the protection of confidentiality than the IRBs in the host countries (Hyder et. al., (2004). Another survey of fourteen African countries found most of them in transition. Quite a number are just establishing the mechanisms for ethical clearance while the National Ethical Committees in many contexts are either not functioning or not abreast of their responsibilities (NEBRA, 2006). One of the tasks facing African countries is to put in place effective structure and process for ethical review and implementation of research protocols and/or projects and also ensure that any system that is put in place is functioning optimally. It is also vital to enhance the capacity of scholars to show appreciation for ethics in the implementation of their research projects. The significance of research code in extant methods in the social, behavioural, and clinical sciences cannot also be ignored. Research code is about adherence to the rules of engagement in scientific research. As readers may well know, scientific inquiry is about observation, objectivity, rigorous interrogation, analysis, and interpretation of data on the basis of probability theory. Testable propositions are expected to be confirmed and/or refuted on the basis of carefully assembled verifiable facts. Every outcome of scientific enquiry has a character of hypothesis because today's outcomes are refutable tomorrow if newly discovered facts indicate otherwise. Scientists are expected to be detached in the course of their study of human behaviour (i.e., valuefree) as well as display open rather a closed mind to the outcomes of their studies. Outcomes could be modified or rejected depending on new facts and data. These core principles in science methodology transcend all human societies. The quest to strengthen the capacity of Africa's researchers in Africa on ethics and research code is recognised by the WHO and other bodies that have committed significant resources to their training with commendable success. But one or two capacity building workshops are too few to achieve the desired impact in a continent that boasts of a vibrant community of scholars that are spread all over the more than three hundred and fifty universities and research institutions. A regional workshop on ethics and research code in the social and behavioural aspects of public health research was organised to: 1. outline ethics in scientific research; 2. examine the ethical dilemmas and challenges in social and behavioural research in public health in non-literate populations; 3. analyse the factors which act as barriers to accessing grants with particular reference to ethics and code for research; 4. develop capacity on ethics and code in social and behavioural research in public health in largely non-literate populations, and 5. document and disseminate the outcomes of the meeting. ## Participants The Participants Were Drawn From English Speaking Countries In The West And Central Africa Subregion, Notably, Nigeria, Ghana, And Cameroons With Most Of Them From Nigeria For Understandable Reasons While The Resource Persons Were Recruited From Cameroons, United Kingdom, India, And The World Health Organisation. It was conceived as a Trainer of Trainers' (TOT) workshop because the organisers believed that the mostly senior level participants could in turn organise in-house capacity enhancement workshops on ethics and research code in their respective institutions after training. Forty-three senior and mid-career scholars in the legal, social, biological, and clinical sciences including others in the field of public health were selected to participate in the workshop from about one hundred and fifty (150) applicants. Workshop Format The workshop was interactive and participatory. Scientific sessions at which the resource persons presented papers preceded small group discussions, followed by plenary sessions at which the groups tabled their respective reports and recommendations for discussion. Presentations Ten papers that are grouped under four thematic issues were presented. The first of papers focus historical and conceptual issues. Adebamowo provides a historical overview of ethics from the general (i.e., at the global level) to the specific with reference to Nigeria, tracing as well the evolution of the work of Nigeria's National Committee on Ethics and Research Code. The authors argue that the Nigeria experience could be a template for other countries in Africa. Adejumo on the hand outlines the key issues in ethics in scientific work. Chapters 4,5, and 6are about consent seeking in diverse contexts, - social, behavioural and clinical research. Falusi's contribution which is about consent seeking and the principles of distributive justice in laboratory projects highlights the key challenges especially when those that are targeted are non-literate. Further discussion of consent seeking from the social and behavioural science research standpoint is by Jegede while Alabi's examines the ethical challenges in study design in social and behavioural research in vaccine testing in Africa. The usual targets in social science research are individuals, groups, and communities. But social scientists collaborate with experts in public health and/or clinicians in various projects. There is however, little evidence that ethics is given as much emphasis in the training of social scientists as in the animal and human sciences. The outcomes of the pre- and post evaluation of the workshop which are discussed later on bear testimony to this assertion because most of the participants who previously received training on ethics and research code are in the fields of public health, biological and clinical sciences rather than in the social. The data also indicate that nearly all faculties with the exception of the social science faculties had established the mechanisms including the structure (i.e., ethics review committee) for reviewing research proposals. Erinosho (see Chapter 7) outlines the sticking ethical issues in quantitative and qualitative social research methods, using ample examples in this regard while the paper by Nkwi in Chapter 8 complements the former. Here the author examines ethics in the context of ethnographic studies. One of the two case reports in Chapter 10 highlights ethical challenges in applied research in nonliterate communities while the other focuses on ethical dilemmas around the HIV/AIDS epidemic in Nigeria. Osotimehin argues that there are no easy answers especially where there is conflict over the concern for "public good" (i.e., where the aim is to protect the well-being of next of kin and the public at large) vis-à-vis the protection of individual rights on the debate on voluntary versus compulsory testing for HIV/AIDS (see Chapter 10). Similarly, the dilemmas which Nigerian researchers faced during the implementation of USAID supported applied research projects are amply examined in Chapter 9 by Ewoigbokhan. The writer argues that the critical issue is the pull between local mores and demands and those of the sponsors of research in Africa. The key point is that developing country researchers are caught in this web and they are unable to by-pass internationally stipulated rules and regulations on ethics in public health research. Finally, Saxena sheds considerable light in Chapter 11 on the queries on social science protocols that are submitted to the World Health Organisation for ethical review and approval. The author concludes that social scientists that are working in public health often take a lot for granted in their write-ups. Evaluation Pre- and post evaluation surveys were conducted in order to provide insight into knowledge and the state of ethics and research code among the participants prior to workshop as well as assess the impact of training on them. About 67 per cent of them had never participated in capacity enhancement training workshop/programme on ethics code in health research. More than fifty per cent of them were from institutions with no functioning ethical review committees. Although 61 per cent are aware of Nigeria's national code, only a third of them (27.3 per cent) previously processed their protocols through the national review board. Only 58 per cent said that their institutions offer formal courses on ethics. Nearly all of those who made this claim are from the faculties of science, public health, and medicine in contrast to those from the social sciences whose faculties had not introduced formal courses on ethics. The outcomes of evaluation at the end of training indicate unanimous support for the introduction of formal courses on ethics and training programme for researchers across Nigeria and the West Africa sub-region. There is evidence from the responses that the participants benefited greatly from the presentations and the ample materials that were provided. The participants proffered the following observations and recommendations: Observations 1. The key ethical issues in quantitative and qualitative research are privacy, confidentiality, consent, gender sensitivity, feedback, and response to cultural specificities. 2. Informed consent in writing is viewed with deep suspicion in oral societies due to past experiences dating back to the colonial era. 3. Many institutions lack functioning ethical review boards. 4. Exploitation is distinguishable from inducement. While incentives for participants are not illegal, manipulative inducements are unethical. 5. Effective communication between researchers and largely non-literate participants is always a problem. 6. Ethical issues are not given adequate consideration in proposals and they are as such poorly articulated, indicating that researchers are not sufficiently skilled in proposal writing. There is also limited opportunity for guidance on project development. 7. Although IRBs are constituted, they do not function effectively because they lack the expertise to review and monitor ethical lapses in research proposals. 8. There is conflict between the cultural perspectives of the members of national ethics committees and the presumably superior viewpoints of the international funders of research that are inclined to perceive local cultures as `bad'. For example, international funding agencies/IRBs are not inclined to take local cultures into consideration in ethical issues concerning consent seeking. 9. Drug companies work with those who do not know their rights or those who have the capacity to negotiate appropriate long-term benefits for their communities in comparison to the risks that are involved. The sponsors and collaborators often times promise to make the products that are tested and found efficacious available to the community but later abandon such ideas. 10. There is generally a poor grasp of statistical methods and the calculation of sample size. 11. The handling, processing, and analysis of qualitative social science data in parts of Africa are weak/poor. 12. Researchers hardly extend the benefits of research to the targeted participants/communities in Africa. Neither do they share the outcomes of their work with them. 13. Field laboratory assistants in Africa are not well remunerated. 14. International organisations that are conducting drug trials are not fully monitored to ensure that they comply with standard operating procedures. 15. Lip service is paid to the translation of questionnaires into local languages that are administered in studies in Africa. 16. There are currently no effective and functional regulatory and monitoring policies that oversee appropriate storage and disposal of micro-organisms and biohazard waste in most parts of Africa. ## Recommendations 1. National and institutional committees that monitor the activities of ethical review boards and researchers should be constituted and made to function effectively. 2. National ethical guidelines and code should be developed and adhered to. 3. There is a need for capacity building programmes for ethical review committees in order for them to function effectively. 4. Investigators should be equipped with the knowledge and skills on proposal/project writing such that the recognition and adoption of local and ethical guidelines are integrated into protocols. 5. Feedback should be given to researchers whose proposals are turned down in order for them to have further insight into reasons for the decision and also to be able to improve their work. 6. Local IRBs should ensure that the protocols that are approved by foreign IRBs should be reviewed by them in order to ensure the practicability of the studies and the extent to which they recognise/address socio-cultural implications. 7. Local researchers should be empowered to negotiate their needs and the benefits to local situation, especially where the validity of the results will be affected by the conditions that are advocated by donor agencies.. 8. IRBs should be interdisciplinary in order to protect participants from issues that may be culturally and emotionally damaging. In addition, proposals should be sent to more than one expert representing the various disciplines for inputs. 9. The degree of risks in research should be commensurate to their benefits. 10. There is need to design curriculum for training in ethics in social and behavioural research in higher institutions. 11. There is also a need to build capacity of ethics review committees to review social science research. 12. Institutional ethical review committees for social and behavioural research issues should be constituted where none are currently in place. 13. There is need to operationalise consent seeking in view of the compelling cultural realities in Africa. 14. African researchers should be trained to be aware of the fact that they can influence research. 15. Local culture and traditions should be recognised in study design. 16. International agencies that are conducting drug trials should be monitored to ensure that the standard operating procedures are followed. 17. National and institutional ethical committees should protect the population by putting clause that makes it mandatory for the benefits of research to be available and affordable to their targeted participants and communities. 18. Proper agreement should be made from the beginning of research. Patent should be part of agreement prior to testing. 19. There is need to make concepts easier for the participants to understand (e.g., the concept of placebo) so that they can willingly participate in research. 20. There is need to demystify the belief that doctors are all-knowing and require absolute submission on issues of health in Africa. 21. Education and proper dissemination of information to communities are essential. 22. Every institution should have the mechanisms for the storage and disposal of their waste. 23. Each institution should have bio-safety officers. 24. High level risk research should be restricted to institutions that have the capacity to handle them. Such institutions must comply with the policies of the environmental impact agencies (i.e., the EIAs). 25. There is need for capacity building on the handling of toxic wastes etc. in laboratories. Conclusion There is ample evidence from the deliberations/recommendations at the Abuja (Nigeria) workshop that much more could be done to develop the capacity of scholars in the Africa sub-region on ethics and research code. Many scholars in the continent are at the receiving end because they are inclined to seek funding for their projects from well-endowed Euro-America funding and other multi-lateral and bilateral agencies. Yet obtaining support for worthwhile projects depends on meeting the stringent conditions for approval and showing how ethics will be effectively addressed in project implementation. It is undeniable that these issues cannot be effectively addressed unless researchers are competent on research code and also know how to handle their animal and human subjects. The foregoing recommendations indicate that there is a window of opportunity for training African scholars on research ethics and code. However, one or two workshops will not do in view of the large community of scholars on the continent. Consequently, it is desirable to sustain the momentum of the Abuja workshop by funding several workshops in order to ensure that as many scholars as possible grasp the essence of research code and ethics. It is being proposed the World Health Organisation and responsible national authorities should support such workshops. References Hyder et. al., A.A. (2004) Ethical Review of Health Research: A Perspective from Developing Country Researcher, Journal of Medical Ethics, 30: 68-72. NEBRA, (2006) Final Report Networking For Ethics on Biomedical Research in Africa, Sixth Framework Programme (2002-2006), Science and Society, November 2006, Check www.trree.org/site. # 2 Developing Ethical Oversight Of Research In Developing Countries: Case Study Of Nigeria Clement A. Adebamowo, Margaret A. Mafe, Aminu A. Yakubu, Julie M. Adekeye, and Jonathan Y. Jiya Introduction In recent decades, there has been an increase in research and programmatic intervention to combat diseases that are prevalent in developing countries. With this rise have come increased reports of unethical research and scientific misconduct. These allegations highlight limited development and reach of programmes that are designed to ensure ethical oversight of health research in developing countries. We consider the creation of a national ethics regulatory infrastructure one of the necessary responses to address current and future health research ethics issues such as those already reported. In this paper, we use Nigeria as a case study for the development of such regulatory infrastructure and opine that the Nigerian examples may be suitable for other countries with a significant level of existing research ethics activities. To this end, we outline the history and development of the Nigerian Code for Health Research Ethics (NCHRE) and its successes, problems, and prospects. We suggest that the public-private partnership model that was used in Nigeria based on an innovation systems approach should be more widely adopted despite its limitations of greater cost and slower rollout of activities. The benefits of such as institutionalisation of research ethics, potentially greater impact and sustainability outweigh these limitations. Nigeria is the most populous country in Africa. With a population of 140 million people, Nigeria is home to every 4 Africans. The health profile of Nigeria is characterised by twin epidemics of communicable diseases such as malaria, tuberculosis and HIV/AIDS and non-communicable diseases like obesity, hypertension, diabetes, cancers, and mental health disorders. In this respect, it is similar to most other developing countries.1,2 In the past decade, there has been increased funding of the health sector from the government, donor agencies, and development partners such as the WHO, the United Nations and its agencies, the Roll Back Malaria project, President Bush's emergency Plan for AIDS Relief and the William J. Clinton Presidential Foundation. These have either provided or increased funding for treatment of diseases, particularly HIV/AIDS, tuberculosis, and malaria.3,4 Additionally, health research in Nigeria is increasing in response to the needs of the population. This is being driven by the need to find more effective treatments and public health interventions for persistent infectious diseases epidemics.5 The emergence of old diseases like tuberculosis and leprosy in ever more virulent forms is also driving the need for increased research.6 With the completion of the Human Genome and the International Haplotype Mapping Projects,7 researchers have been conducting research in Africa in order to better understand the genomic basis of diseases and human history8 as well as differential responses to drug treatments.9 Furthermore, more clinical trials are being conducted in order to take advantage of the low-cost, poorly regulated and less litigious health research environment.10 This growth in research activities is desirable and is to be encouraged. Research and clinical trials have the potential to improve the quality of health care services that are offered to the population. Research also increases countries' abilities to participate in international research enterprise, thereby enhancing their potential to contribute to economic development and growth by providing employment, equipment, training and income for local researchers and their institutions. It transfers skills and helps to retain talented individuals who otherwise may be tempted to join the brain drain and leave developing countries.11 However, the increase in treatment and research programmes has revealed the dearth of functioning ethics committees in most developing countries, including Nigeria. Programmes to effectively protect research participants are nonexistent, weak or non-functional. 12-14 In response, local and international organisations have sought to strengthen health research ethics in developing countries. International organisations like the WHO15 and UNESCO16 have developed guidelines for the functioning of ethics committees while the European and Developing Countries Clinical Trials Partnership (EDCTP)17 and the United Nations Institutes of Health (NIH) 18 have awarded grants to support training of members of research ethics committees and biomedical researchers. In addition, researchers within countries have also increased interest and are demanding ethics regulatory infrastructure to augment these internationally funded activities. In general, these programmes have functioned as stand-alone training programmes that equip individuals with the ability to function effectively as members of ethics' committees, as ethically aware members of the research team, or as individuals who are capable of teaching or conducting research in bioethics. In countries that already have a relatively strong tradition of research ethics, this model works by training members of ethics committees who return to fit into existing structures.19 However, in most African countries where ethics regulatory bodies (if they exist at all) are of more recent origin, this model may not work.20 Studies of ethics review committees in Africa have shown that besides training, political commitment and funding are the most serious challenges that they face.21-22 Trainees may therefore return to environments where their ability to practice their skills is severely compromised by institutional and infrastructural limitations. In view of these realities, we believe the development of national ethics regulatory infrastructure should occur alongside increased training. Such bodies will: 1. set legally enforceable norms and guidelines for ethical review of protocols; 2. set training standards for members of health research ethics committees, and 3. develop strategies for adequately funding them. In this paper, we describe how the Nigerian system is being set up; its successes and challenges. We propose this model for other African countries intent on developing ethics regulatory infrastructure. History of National Health Research Ethics Regulation in Nigeria The earliest attempts to set up a national ethics regulatory infrastructure in Nigeria took place in 1980. However, this effort faltered largely because of lack of sustained interest and funding. Subsequent attempts were also unsuccessful because the decades of the 1980s and 1990s were marked by military misrule and socio-economic dislocation. The advent of civilian democracy in Nigeria in 1999 coincided with a period of increased international attention to the problems of unethical health research that occurred particularly in developing countries.23 By 2004, several Nigerians had graduated from the older U.S. National Institutes of Health/Fogarty International Centre (NIH/FIC) funded international research ethics training programmes in the United States, Canada, and South Africa, and they increased pressure on their institutions to set up ethics committees where there were none and strengthen existing ones even as they started to provide local bioethics training. These efforts gathered momentum such that during a 2006 Presidential Retreat on the Health of Nigerians, the fact that Nigeria needed an ethics regulatory infrastructure for health research to meet its United Nations Millennium Development Goals targets, was strongly highlighted. In response, the Federal Government of Nigeria reconstituted and strengthened the National Health Research Ethics Committee (NHREC)24 and backed it with legislation to: 1. Determine guidelines for the functioning of health research ethics committees (HREC) in Nigeria; 2. Register and audit HRECs; 3. Set norms and standards for conducting research on humans and animals, and for conducting clinical trials; 4. Adjudicate in complaints about the functioning of HRECs and hear any complaint by a researcher who believes that he has been discriminated against by HREC; 5. Refer to the relevant statutory health professional council, matters involving the violation or potential violation of an ethical or a professional rule by a health care provider; 6. Institute such disciplinary action as may be prescribed against any person found to be in violation of any norms and standards, or guidelines, set for the conduct of research under this Act, and 7. Advise the Federal and State Ministries of Health on any ethical issues concerning research. In order to expeditiously pursue these objectives, the Federal Ministry of Health signed a technical cooperation agreement with the West African Bioethics Training Programme (WAB), 25 a United States NIH/FIC funded programme located in Nigeria with a mission to train biomedical researchers and train bioethics in Nigeria and West Africa. The terms of the technical agreement included the provision of training and support for members of the National Health Research Ethics Committee and relevant members of staff of the Federal Ministry of Health. The WAB was also to help the Ministry to draft a national code for health research ethics, develop standard operating procedures for ethics committees, and other relevant documents and activities with the aim of strengthening health research ethics in Nigeria. In fulfilment of the terms of this technical agreement, the WAB set up a multidisciplinary, multiinstitutional technical consultation committee comprising individuals with backgrounds in health and social sciences in addition to postgraduate training in bioethics. This committee was charged with the responsibility for reviewing current research ethics codes and developing an appropriate code for Nigeria that takes account of the existing guidelines and recent developments in international health research ethics. In doing its work, the committee was enjoined to take account of the Nigerian Constitution and the Federal structure of the country, other relevant laws, the history of research and research ethics in Nigeria as well as the needs of local and international researchers. Previous bioethics needs' assessment studies had indicated that the potential for bureaucratic delays, corruption, and obstructionism were the most important concerns that biomedical researchers in Nigeria have about a national ethics committee. The committee was therefore asked to keep these concerns in mind as it develops the guidelines. The draft code developed by the committee was submitted to NHREC in 2006 and it was adopted after amendments. The Code was then published on the NHREC website and disseminated within and outside the country for consultation and comments by the research community and stakeholders. Appropriate comments, suggestions and corrections that were received were incorporated by NHREC into the code after which it was submitted to the government for adoption as the first domestic legal regulation establishing ethical review of research in Nigeria. The Code has now been released for implementation by Nigeria HRECs and biomedical researchers. It sets the norms and standards that must be applied for the ethical review of research in Nigeria. Enforcement of Ethics Regulations Prior to the development of the National Code in Nigeria, interested parties and institutions in Nigeria set up ethical committees according to institutional and international guidelines. There was therefore the lack of uniformity and minimum standards. There was also no coordinating and legally binding enforcement mechanism. More recently, largely in response to increased research funding from foreign governments and organisations, institutions have either established or remodelled their committees after the U.S. institutional review boards systems and in accordance with the U. S. Common Rule.26 This often occurred at the behest of international collaborators who needed to satisfy their home countries' regulatory agencies.22 While such collaborative studies underwent ethical oversight, the same was often not true of locally funded and local-investigator led domestic research. Therefore, much undocumented unethical research continues to be conducted in Nigeria as in other developing countries, outside the purview of ethics committees. In addition, there was no systematic and sustained development of a culture of ethical health research in national institutions. Where research is conducted with foreign funds, non-compliance with ethical standards can lead to the withdrawal of funding and the debarment of researchers from receiving additional funds from such sources in the future. Given that there is little international cooperation in enforcement of ethical conduct of research, such researchers may be able to access other research funds and, in the absence of domestic legal regulation of ethical research, there are few or no sanctions available against non-compliance with ethical standards. Litigation as a method of enforcing ethical standards has not been uniformly successful. This is partly because of weak judicial systems, the absence of enabling laws, and unenforceability of international guidelines such as the Nuremberg Code, Belmont principles, Helsinki Declaration, and CIOMS guidelines. The latter have been described as non-legally binding declarative statements that lack the specificity required for legal action.27 They are therefore not legally enforceable and their contravention in developing countries carries minimal risk to researchers. Highlights of the Nigerian Code for Health Research Ethics The Nigerian Code for Health Research Ethics resembles most of the current international health research ethics guidelines, but it differs from them in some important aspects. In order to ensure minimum standards in ethical evaluation of research, the Code requires all ethics committees in the country to be registered. This registration is renewable every two years and gives the NHREC the opportunity to conduct oversight over institutional ethics committees. Institutions setting up ethics committees are also expected to agree to provide equipment, office space and personnel for these committees, otherwise they risk losing their registration.28 Ethics committee members and biomedical researchers are also mandated to undergo at least biennial NHREC-approved training in informed consent.29 The Code requires institutions to appoint HREC administrators, an essential role that has hitherto been largely ignored in many of the efforts to promote health research ethics in developing countries.30 While HREC members are often rotated, administrators remain the backbone of sustainable ethics committees by ensuring continuity and providing support. A system of categorisation of committees has also been created so that institutions are motivated to support their HREC and improve them in order to maintain their status or attain a higher one. Categories are also linked to the types of research that institutions' committees can approve and, by implication, the types of research that can be conducted in institutions. The Code allows institutions to have more than one ethics committee but limits the authority of the ethics committees to their geographical location or the research activities of the institution's permanent staff only. This is to prevent "ethics committee shopping" by researchers seeking to avoid rigorous ethical oversight.31 In view of the high cost of setting up ethics committees and the need for there to be a steady stream of research proposals in order for a committee to acquire competence and experience in protocol review, the Code assumes that there may be institutions that cannot sustain the establishment and continual functioning of ethics committees. In order for research to be conducted in such institutions, the Code provides for the establishment of cooperative agreements between institutions that have and those that do not have ethics committees so that ethical oversight in the latter institutions is possible. Central and regional review of protocols has been widely discussed in the research community as a method of providing ethical oversight of multicentre studies in a timely and an efficient manner. This avoids duplication of effort and discordant outcomes of multiple ethics committees' review of same protocols.32, 33 The Code provides opportunities for principal investigators to seek central review of their protocol by the National Ethics Committee at their own discretion or upon referral from their local ethics committees. This is recommended where the research involves multiple centres or is taking place in institutions or localities where there is no ethics committee. The ethics committee of an institution may also refer research to the National Committee for review, if, for example, the research is of such sophistication that no one institution in Nigeria has all the relevant expertise to adequately review and provide oversight function for it. Individual researchers may also petition the National Committee to review a study where there has been inordinate delay or dispute with the institutional ethics committee. In such instances, the National Committee may assign the protocol to any institutional committee to review the protocol on its behalf as the "Committee of Record" after which local institutional committees provide continuing ethical oversight if the protocol is approved. Additionally, the National Committee may set up an ad hoc ethics committee made-up of experts from different institutions within Nigeria or the National Committee can constitute itself into a reviewing ethics committee and exercise all the authorities therein. Institutional ethics committees were preferred to regional ones. Though the latter are likely to be more efficient, they carry the risk that ethical review will not be seen as part of the cultural fabric of institutional research programmes and may not adequately support the growth of an ethical research environment within institutions.33 In order to monitor the transfer of biological materials and protect the interests of local researchers in international collaborative research that exploits local bio-diversity and resources, the Code requires a Materials Transfer Agreement between collaborating researchers, monitored by the institutional ethics committee and recorded at the National Committee. Where appropriate, other agreements such as Clinical Trials Agreements, Community Assent, Community Benefits Agreements or Intellectual Property Rights Agreements, may also be required by the institutional ethics committees before studies are approved. Ethics committees are encouraged to consult each other when reviewing multicentre studies and researchers must submit ethics review of protocols from different sites to their institutional HREAC for resolution, particularly where outcome of review is discordant. The Code also outlines clear processes for ethics committees to provide continuing ethics oversight of studies, suspend studies, resolve concerns and issues arising from ethics oversight and recommend termination of studies to the National Committee. There are also procedures for the investigators to appeal to the local institutional ethics committees and independently to the National Committee in cases of disputes with the institutional committee. Several studies have shown that funding is the most important limitation facing ethical committees in developing countries.34, 35 Several options have been suggested to resolve this problem including charging for review of protocols, institutional or government support, external funding, or grant support. The NHREC took the view that while ethical review of protocols is a public good that should be supported by the government, this is not a viable option for governments still struggling to meet their commitment to the provision of basic healthcare.36 Dependence on external grants alone was not considered a sustainable long-term option for funding ethics committees. Institutional ethics committees are therefore permitted to charge fees commensurate with the sophistication of the research protocol, source of research funds, and the expected amount of work that would need to be done in order to provide satisfactory ethics oversight. These fees can vary according to availability of additional support provided by institutions and other sources to the institutional ethics committees.35 Ethics committees and independent ethicists can conduct both ethics consultations and ethics training programmes taking due care to avoid conflicts of interest. For quality assurance purposes, ethics education programmes must submit their curriculum and a list of lecturers/resource persons, and their qualifications to the NHREC for vetting to ensure that these meet the minimum requirements for education in research ethics that is mandated for members of ethics committees and biomedical researchers in the National Code at least once every two years. Existing ethics guidelines have been criticised as having arisen partly or wholly in response to research ethics crises. For example, the Nuremberg Code was a result of the trial of doctors and scientists that conducted unethical research during the Second World War. They are also believed to be unbalanced because they accord excessive weight to the principle of autonomy and fail to meet current challenges in research ethics such as community concerns, use of placebos, conflicts about standard of care, resource availability when research is over, and quality of an adequate informed consent process.37-39 The Nigerian Code reflects these new paradigms in ethics guidelines and includes explicit information about protecting communities and their interests as well as the application of the ICH-GCP guidelines in clinical trials. 38-40 The National Committee believes that biomedical researchers and ethics committees' adherence to the code and other guidelines will depend on the provision of educational programmes as well as enforcement of compliance by the National Committee. This will wean ethics committee members off the guidelines and processes with which they are already familiar. Many members of ethics committees lack adequate foundation in modern research ethics and this may explain the common complaints about the quality of ethics review, the types of issues that ethics committee members raise, and their concentration on minutiae of the informed consent form to the neglect of other prospects of research protocols. The National Committee therefore charged the WAB to continue to provide education for members of ethics committees in Nigeria on a continuing basis. Problems and Prospects Domesticating international research ethics guidelines, backing them with legislation, and setting up a national ethics regulatory body are necessary to advance the cause of ethical research in developing countries. Developing countries cannot develop modern research programmes or host health research conducted by international companies and organisations without transparent and effective research ethics regulatory infrastructure. In its absence, attempts to ensure compliance with ethics regulations are likely to remain superficial and falter over time. The exact mode for developing such an infrastructure will vary from country to country depending on constitutional arrangements, historical, social, economic, and educational factors, as well as the size of its research and ethics community.41 The Nigerian experience demonstrates the value of working with the government using a public-private partnership model. Using a dynamically interactive systems approach, Nigeria has developed an in-country partnership between the public service and a private initiative to set up an ethics regulatory infrastructure that advances the objective of all partners. The government benefits from expertise that is not readily available within the public service and obtains support for the training of staff and the provision of books, computers, and electronic documents while providing the legal authority and institutional support for the framework. The private partner is able to further the objective of providing training in bioethics and producing graduates who will have opportunities to deploy their skills effectively within the system. We believe that this approach enhances the capacity of the country to have a sustainable ethics programme in the long run. This innovations systems concept for capacity development has been used in other areas of science and technology in Africa.42 The systems approach to capacity building requires a shift in conceptualisation of partnerships from just producing personnel to the development of systems of interactive actors that are able to generate and apply knowledge needed within their local environment. This slows down the process and requires greater investment of time and effort because of the need to build a team, debate and resolve competing priorities, and mobilise resources. Trust must be built and barriers to partnership gently lowered.42 Demand for services must also be stimulated in consonance with development of delivery systems. This approach is eminently suitable for the bioethics expertise in developing countries because while the principles of biomedical ethics are global, their application is local and requires local knowledge and expertise. Training programmes that produce personnel without taking account of the environment and infrastructural requirements for effective functioning are not likely to have sustainable impact in the long run. The model we have used is probably more suited to large countries with several research institutes and universities, some of which may already have health research ethics programs.43 Other countries have used other models. For example, some developing countries have centralised all ethics review and located it in the Health Ministry. This provides the Ministry the ability to monitor all research on-going in the country, negotiate with research partners, and allow only those studies that the Ministry considers relevant to the health needs of the population. There is no systematic evidence that this model is more efficient than alternative models. Rather, anecdotal reports suggest that it is plagued by delays in approval, political interference in scientific research, and bureaucracy. Yet this model may be suitable for small countries with few research institutions and limited resources. Conclusion There is nothing substantially unethical about research that are conducted in developing countries; in fact, efforts to discourage research in developing countries are themselves inherently unethical because, among other factors, they deny the citizens of these countries a potential benefit on account of uncertain risks. Ethics development programmes need to move beyond the mere training of individuals towards a systems approach that takes account of the eventual working environment of their trainees. Programmes should extend their activities to include a closer working relationship with national authorities in order to institutionalise the ethics review process. Where they do not exist, development of legal instruments within countries to support ethics review of all research, whether sponsored or local-investigator led should be considered an urgent task. Existing codes and guidelines represent a distillate of current standards that can be modified and gradually built upon. There is also a need for international cooperation in monitoring health research ethics given the globalisation of health research. While the recent ruling by the United States Office for Public Health and Science, Department of Health and Human Services stating that non-U.S. institutions must satisfy its regulations as it has not found any that is equivalent to the common rule is understandable, there is a need to move beyond this and consider development of common minimum standards and compliance procedures accompanied by greater cooperation between ethics regulatory agencies throughout the world. ## References 1. Van der Sande MAB, Inskip HM, Jaiteh KO, et al. "Changing Causes of Death in the West African Town of Banjul", 1942-97. Bull WHO 2001; 79:133-41. 2. Heuveline P, Guillot M, Gwarkin DR. 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Clarification Notice; 2006. ## Ethical Issues In Scientific Research Adebayo O Adejumo Introduction Scientists use the scientific method to explain the relationship between cause and effect in nature. Such investigations could be conducted in all aspects of human life - clinical, social, and technology sciences. Scientists ask questions; construct and test hypotheses; conduct experiment; analyse data; draw conclusions; and disseminate the outcomes of their studies. The challenges facing humankind make the need for scientific enquiry imperative. Considerable efforts are therefore made to subdue human and environmental problems which have resulted in tremendous improvement in the quality of life in various societies (Lenhard, Lawrence, and Makenna, 1995). The process of conducting scientific research is guided by regulations (Slutsman, Buchanan, and Grady, 2007). But quite a number of studies have, by historical accounts, resulted in harm to those that are targeted. As an example, the method of recruiting those who will participate in studies including the research process could be coercive and exploitative (Barry, 1988). All of these and others have necessitated the development of the various ethical codes that guide scientific studies today. Historical Overview The history of research ethics could be traced to the tragic abuse by Nazi doctors during World War II. Sixteen German physicians conducted unethical medical experiments, using Jews, gypsies, and political prisoners. Out of these horrors came the Nuremberg Code and other international codes of ethics written to protect the participants in research. The Nazi doctors were convicted of crimes against humanity under this Code. The trial introduced standards, part of which underscores voluntary participation in research and the avoidance of risks (Katz, 1996). The scandal over the 40 year Tuskegee Syphilis Study by the US Public Health Service in Macon County (Alabama) which came to light in 1932 is another milestone in the study of research ethics. The American Government promised 400 African American men free treatment for "bad blood" which had become an epidemic in the county. However, the government did not provide the standard treatment for them despite the fact that penicillin was available in the course of the study. The participants were also not fully briefed on the research design and the possible risks to them. There is also the experiment by Milgram (1961) on the conflict between obedience to authority and one's personal conviction. The researcher examined the justification for acts of genocide by those who were accused at the post-world war II Nuremberg trials who claimed that they acted under orders from their superiors (Jones, 1981). Thirdly, a group of children with mental retardation who lived at Willowbrook State Hospital in Staten Island in New York were made to participate in the "Willowbrook Study" between 1963 and 1966. These innocent children/subjects were fed with extracts of stools from infected individuals and later injected with more purified virus preparations. The children were deliberately infected with the hepatitis virus. However, the researchers claimed in defense of their investigation that the vast majority of them would have in any case acquired the infection while at Willowbrook, and it was better for them to be infected under carefully controlled research conditions (Rothman, 1991; Katz, 1972). Humphreys, a sociologist, conducted a research tagged "Tearoom Sex" study in the mid-1960s. He hypothesised that the public and the law enforcement agents and agencies held stereotypical beliefs about men who committed impersonal sexual acts with one another in public restrooms. "Tearoom sex", as fellatio in public restrooms, accounted for majority of homosexual arrests in the US. Humphreys argued that it was important for society to gain a better understanding of the identity of the men as well as what motivated them to seek quick impersonal sexual gratification. He set out to answer this question by the methods of participant/observation and structured interviews. Humphreys stationed himself in "tearooms" and offered to serve as a "watchqueen". The "watchqueen" had the duty to be on the lookout for law enforcement agents or deliberately cough if strangers were approaching the area. During the study, he observed hundreds of acts of "tea-room sex" and gained the confidence of some of the men he observed. He disclosed his role as a scientist and persuaded them to tell him about their personal lives and motives. To avoid bias, Humphreys secretly followed some men and recorded the license numbers on their vehicles. A year later, Humphreys showed up at their private homes and claimed to be a health service interviewer. He asked them questions about their marital status, race, job, and other personal questions (Seiber, 2001). Humphreys' findings destroyed many stereotypes. He found that 54 per cent of the men were married and 38 per cent were neither bisexual nor homosexual. Most of the men were successful, well educated, economically stable, and highly praised in the community. Only 14 per cent of the men that he observed were homosexuals and part of the gay community. Humphrey's research was carried out in the mid-1960's before the existence of Institutional Review Boards (IRB). These studies led to the creation of the Belmont Report and the Institutional Review Board (IRB) for the protection of human subjects that are targeted in research. Ethical Issues in Scientific Research Virtually every scandal in research involving humans has been followed by attempts to codify the rules that should govern research. Whereas human experimentations can be traced back to several centuries, organised efforts to protect human subjects who participate in experiments started only 60 years ago (Caballero, 2002). Emanuel et. al., (2000) identified the benchmarks for determining the ethical validity of research. Considerations were given to: 1. socio-cultural value; 2. contributions to science; 3. informed consent process; 4. ethical review process, and 5. risk-benefits ratio. But Nigeria's National Code for Health Research (NCHR) offers a more practical and culturally adaptive dimension. Section F of the Code contains a detailed analysis of what clinical investigators should consider when conducting human research (Federal Ministry of Health, 2007). The guidelines are readily applicable in social science research. The document stresses that ethical research must have social or scientific value to the: - participants; - population they represent; - local community, and - host country or the world in order to justify the use of finite resources and avoid exposing the participants to harm. ## Key Issues 1. Research should evaluate issues that lead to improvements in the socio-psychological and health conditions of participants and the research community. It must also contribute meaningfully to knowledge. Such knowledge should be disseminated to all the relevant stakeholders during and after research. Research that lacks the following is unethical: - clear scientific objective(s); - valid methodology; - equipoise (in clinical studies); - adequate operational plans within the context of the environment where research is to be conducted; - plausible data analysis plan (including a specific role for a Data and Safety Monitoring Board [DSMB] in clinical trials), and - unbiased measurement(s) of outcome(s). 2. There must be fairness in the selection of participants, based on the scientific objective(s) of the research while minimising risks. This requirement refers to those who are included/excluded and the strategies for recruiting participants (including the choice of research sites and communities). Regardless of this requirement, participants who are at excessively increased risk of harm should be excluded. Children, pregnant women, socially, culturally, economically, politically, educationally, physically and psychologically disadvantaged sub-groups or those with constrained autonomy and other vulnerable subgroups in the populations should not be excluded from research without explicit reasons for doing so from studies that can advance their health and wellbeing. However, specific safeguards should be included to protect the vulnerable appropriate to degree of risks. Groups, communities, participants, and researchers who bear the burden of research should share in the benefits 3. Effort must be made to minimise risks and maximise health related benefits. Harm can be defined as both physical and psychological. There are two standards that are applied in order to protect the privacy of research participants: confidentiality and anonymity. Researchers must assure that information that identifies the subject is not made available to anyone who is not directly involved in the study. Anonymity implies that the participant will remain anonymous throughout the study in order to guarantee the privacy of participants. This is sometimes difficult to accomplish in situations where participants are seen at multiple time points (e.g., a pre-post study). 4. Protocol/project must undergo independent review. A research ethics committee or independent review board is a panel of persons who reviews grant proposals with respect to ethical implications and decides whether additional actions should be taken to assure the safety and rights of the participants. By reviewing proposals for research, the committee protects the organisation and the researcher against potential legal implications of neglecting important ethical issues. 5. Informed consent which provides adequate information at an educational level that is not higher than that of individuals with at most 9 years of education is required. Essentially, this means that prospective research participants must be fully briefed about the procedures and the risks that are involved in research and must also give their consent to participate. 6. Respect for potential and enrolled participants should be guaranteed. This is related to informed consent. It requires that participants should not be coerced to participate in studies. This is especially relevant where researchers previously relied on 'captive audiences' for their subjects (e.g., prisons, universities). 7. A trust relationship between investigator(s) and potential participants should be assured. This necessitates transparency in all matters relating to the research enterprise including a clear description of the goals, risks, benefits, alternatives to participation and voluntariness. This trust principle encourages the engagement of individual participants and communities, respect for local socio-cultural values, and it also encourages the provision of relevant and timely feedback to communities. 8. The interest of participants, researchers, communities, and sponsors must be accommodated. This is to ensure that the research has lasting impact; transfers technology where appropriate; contributes to capacity building; and demonstrates respect for sociocultural and other differences. Risks, benefits, and the responsibilities of research must be shared during the development, planning, conduct, and the dissemination of results. Intellectual property, indigenous knowledge and the contributions of all parties must be taken into consideration, adequately protected, and compensated. 9. It is vital to conduct research in accordance with the principles of good clinical and laboratory practices. These are international standards for designing, conducting, and reporting clinical trials that involve human subjects. Compliance with these standards is additional assurance that the rights, safety, and well-being of participants are protected in a manner that is consistent with the highest ethical and scientific standards. Conclusion Research is the pivot for elucidating information otherwise not obtainable (Lefor, 2003). It is relevant because it helps to describe, explain, predict and control interventions and practices in science. Concurrent with the rapid growth of scientific research in many regions of the world, there are unending reports of lapses and challenges that are related to ethical, cultural, and social concerns as exemplified by the activities of Nazi physicians between 1935 and 1945 (Pace and Sullivan-Fowler, 1996). Studying and understanding these issues will promote the science and ethics of planning, implementing, and utilisation of scientific research. With these, the research enterprise will contribute to generalisable knowledge with which the bio-psychosocial challenges of man and his environment can be surmounted. Added to these, scientific investigations will minimise their potential adverse impacts on those who participate in them irrespective of the setting, race, or status if researchers give adequate attention to local and international ethical standards. The nuances of researchers as well as conflicts of interest are often explicated in their dual roles as service providers and researchers (Levine, 1986). The usual power imbalance between researchers and the resource limited members of the society that are targeted in research heightens the potential vulnerability of the latter and could compromise their autonomy in decision making. It is vital for researchers to adhere to ethical standards in their relationship with the less advantaged members of the society. This becomes imperative due to the growing appreciation of the rights of patients and the global quest for the protection of human subjects who are included in investigative procedures. Without these, the gains that are already recorded in the growth of science would be reversed. Research activities in whichever discipline and professional practice that do not adhere to ethical standards amount to mere exploitation of the less-advantaged fellow human beings as was the case in the days of the Tuskegee syphilis study. References Barry, M. (1988) "Ethical Considerations of Human Investigation in Developing Countries: the AIDS Dilemma", New England Journal of Medicine, 319:1083-6. Caballero, B. (2002) "Ethical Issues for Collaborative Research in Developing Countries", American Journal of Clinical Nutrition, Vol. 76, No. 4: 717-720. Emanuel, E.J., Wendler D., and Grady, C. (2001) "What Makes Clinical Research Ethical?", Journal of American Medical Association, 283:2701–11. Federal Ministry of Health (2007) National Code for Health Research Ethics (NCHR). Federal Ministry of Health, Abuja, Nigeria (Downloaded on April 6, 08 via http://www.nhrec.net/nhrec/code.html). Jones, J. (1981) Bad Blood, New York: The Free Press. Katz, J. (1972) Experimentation with Human Beings, New York: Russell Sage Foundation. Katz, J. (1996) The Nuremberg Code and the Nuremberg Trial: A Reappraisal, Journal of American Medical Association, 276(20): 1662-1666. Lefor, A. (2003) "Scientific Misconduct and Unethical Human Experimentation: Historic Parallels and Moral Implications", Nutrition, 21(7-8): 878 -882. Lenhard, R.E., Lawrence, W, Makenna, R.J. (1995) "General Approach to the Patient" In: Murphy GP, Lawrence Jr. W, eds. American Society Textbook of Clinical Oncology, 2nd ed. American Cancer Society, 64-74. Levine, R. (1986) Ethics and Regulations of Clinical Research, New Haven, CT: Yale University Press. Pace, B.P, & Sullivan-Fowler, M. (1996) "JAMA 50 years ago: The Brutality of Nazi Physicians", Journal of American Medical Association, 276(20): 1692. Rothman, D. (1991) Strangers at the Bedside, New York: Basic Books. Seiber, J. (2001) Laud Humphreys and the Tearoom Sex Study, Downloaded via http://web.missouri.edu. # Consent Seeking And The Principles Of Distributive Justice In Field Laboratory Health Projects In Non-Literate Societies Adeyinka Falusi Introduction Research ethics deals with the application of moral rules and professional codes of conduct in the collection, collation, analysis, reporting, and dissemination of information on research subjects (whether they are individuals or groups) as regards the right to privacy, confidentiality, and informed consent. The literature is replete with reports on unethical practices in health research. Among the major ones are the: Tuskegee Syphilis experiments (1932); Nazi experiments (1930- 45); Leary and Richard Alpert Hallucinogenics (1960-63); Jewish Cancer Research Experiments (1963); Mississippi Appendectomies (1907-1941) and the Pfizer Trovan Drug Trial involving children in Kano, Nigeria in 2001 (Falusi, 2004). The abuses in these studies created public perception that researchers cannot be trusted with the safety of research participants. They also undermined the integrity of the scientific community. The following research ethics are now formulated to guide the conduct of research worldwide: Nuremberg Code (1964); Belmont Report (1978); Helsinki Declaration (1964); 45 CFR 46 - Federal Oversight FWA; and the WHO/TDR Operational Guidelines for Biomedical Ethics Committees (2001) which led to the derivation of the three key principles of autonomy (i.e. respect for persons), beneficence/non-maleficence, and distributive justice. All the foregoing now guide research in the clinical, social, engineering, veterinary, and physical sciences that are committed to the well-being of humankind. Respect for persons is about giving research subjects the freedom to decide whether or not to take part. Comprehending the consent process is key to participation. Special regulations are also put in place for vulnerable subgroups like pregnant women/foetuses/neonates, prisoners, children and others in the population who might be decisionally impaired including the poor, non-literates, employees, and students (Delvin, 2001). Beneficence must be maximised while maleficence is minimised. In other words, research should benefit individual participants, their class, community or society. Research should also enhance the capacity of the targeted communities. It must also be clearly stated whether the participants will have access to proven research benefits after the study. Overall, research is expected to be responsive to local needs. The third which is distributive justice is aimed at tackling the following questions: 1. "Is justice done? and if so, is it distributive? 2. Are the benefits of research likely to accrue to those bearing its burdens? 3. Is there fairness to individual participants, their class, and/or the community?" Informed Consent The consent process spells out the responsibilities of investigators, sponsors, and participants. Informed consent is about the decision to participate in research, taken by a competent individual who has received the necessary, and adequately understands the information; and who after considering the information arrives at a decision (voluntarily) without being subjected to coercion or undue influence or intimidation (CIOMS, 2002). Understanding and voluntary decision are essential components of the informed consent process. A written consent is normally required in internationally funded projects while a verbal or tape recorded consent is admissible in country studies. Studies on minors require parental or surrogate consent. There is minimal risk and no need for informed consent in studies on the review of medical record and decisionally impaired and/or unconscious patients. But the permission of those who keep records must be obtained and assurance must be given that their records will not be disclosed to third parties. The data that emanate should be properly stored and only shared with the members of the research team and other relevant authorities to the benefit of participants. Informed consent is about the protection of the well-being and safety of participants. It deals with the risks and benefits of the trial, their rights as participants, and their choice on whether or not to participate. However, the citizens of many communities in developing countries are very much unaware of the notion of informed consent. Informed consent process has often been evaded while a large pool of uninformed participants is enrolled for research in these countries. Violating informed consent process is complete disregard for the value of human life and the inherent rights of the participants in research. The governments of developing countries usually look the other way as the informed consent process is regularly evaded because research projects are perceived as the only way to obtain otherwise unaffordable benefits for their communities. Consent Seeking and Its Challenges in Non-Literate Societies The challenges in consent seeking in developing countries include poor the handling of: 1. the informed consent process; 2. confidentiality; 3. conflict of interest issues; 4. the standard of care; 5. reporting of data, and 6. the handling of misconduct and plagiarism offences. Moreover, the professional competence of researchers might not be adequate at the onset of projects. Finally, the selection of subjects and choice of sites could be flawed while the benefit to the research communities might not be clearly stated. Sometimes, the perception is that it is a waste of time because the researchers or their assistants in developing countries are under pressure to recruit as many study participants as possible within a short period of time and are not inclined to spend sufficient time on the consent process with participants and their community leaders. They also believe that the study populations do not know their rights and therefore need not be unduly worried. There is also the perception that researchers are doing the targeted individuals a favour especially if health care is a component in their project. Voluntary decision is a challenge in research settings in developing countries. Sometimes medical doctors and other researchers are regarded as little 'gods' and there is lack of will to challenge or question their authority. Physicians have credibility and great influence over patients because of the belief that a doctor will always "do good" for his/her patient. Furthermore, the innocent participants are gullible and are inclined to comply with any terms for participation. The distinction between care and research might also not be clearly spelt out when the physician is also a researcher. Finally, the poverty along with undue pressure to bring participants into research are also important factors. Stages in Consent Seeking in Non-Literate Societies Consent seeking involves various gatekeepers in communities like chiefs, participants' husbands, parents, and in-laws whose consent counts prior to individual consent. Abuses occur in the process of reaching these key players in research. Literacy and Culture as a Challenge While it is imperative to present all the necessary information in order to ensure that a potential participant makes an informed decision, non-literate participants in developing countries may have difficulty comprehending and retaining lengthy and often complicated research protocols. The translation of scientific terms like genes, recombinant DNA etc. into several local languages are also challenging. Africa's customs relegate women to the background and they are usually not in a position to take unilateral decisions without the covering approval of their spouse and/or parents. Poverty wears a female face, hence the tripartite relationship of poverty, child labour, and daily struggle does not augur well for confidentiality or individual consent by women (World Bank, 2004). This notwithstanding, many studies are targeted at women and children. Besides, many Nigerians/Africans are usually skeptical or wary of written documents for a variety of reasons and would prefer to give verbal rather than written consent. Yet, internationally funded research projects insist on informed consent in writing by participants. Confidentiality as a Challenge Confidentiality is about full disclosure of the goals of research and the protection of data that are gathered. The researcher is expected to dialogue with participants and community. The participating individuals and communities should not be exposed to unnecessary risks. Nor should their access to other beneficial opportunities be jeopardised. Confidentiality is usually conveyed in writing. It is a categorical statement and indeed a legally binding one concerning the fact that the information that is obtained will not be disclosed to third parties only in exceptional circumstances. But can confidentiality be effective or sincere in communities where women are rated as second class citizens or in context in which they can only be approached through a third party (e.g., spouse or parents) as earlier discussed? Conflict of Interest Conflict of interest can be defined as situations where the primary professional judgment on patient care or scientific knowledge in research is unduly influenced by secondary interest of financial and/or other personal gains/benefits such as promotion or publications or academic recognition. Conflict of interest could occur in all research processes including consent seeking. Conflict of interest between sponsors and researchers on the one hand and between the researcher and the community on the other should be avoided. The effect of poverty in developing countries sometimes makes researchers and communities to jump at all manners of research without giving much thought to conflict of interest. Researchers' Responsibilities The professional competence of researchers must be adequately addressed. There must be honest in reporting data while misconduct and plagiarism should be discouraged through stiff and deterrent disciplinary measures whenever they occur. Researchers should target appropriate participants bearing in mind the inclusion and exclusion criteria in order to maximally benefit participants. The targeted individuals and communities should be given the opportunity to decline or withdraw from study. Moreover, researchers should report adverse events in their locality within 48 hours of occurrence to the Research Ethics Committee (REC) to their sponsors in order to facilitate appropriate steps that will minimise further risks to participants. But what is likely to happen in a system where communication is almost nonexistent like rural and inner city communities and/or where large numbers of non-literate individuals are targeted? This constitutes a great challenge. Access to Research Communities Entering "communities" for health research requires special skills if research is to be conducted in an ethically sound manner. The problems that researchers face differ from one community to another. There are different types of communities - some are easy to reach (e.g., students) while others are hard to (e.g., drug users). Factors like social organisation, political system, and worldview shape mode of access. There are other factors like belief-system, gender, family structure, and social networking. Overall, the extent to which the targeted individuals and communities comprehend perceived benefits and harm including the researcher's, and/or sponsor's reputation as well as institutional integrity play a role in access to community and procurement of consent. Other Challenges Who pays the piper? What motivates the sponsors of research? Who sets the priorities for research? These are reasonable questions to sort out in pursuance of research in poor and nonliterate societies. Africans communities are suspicious of documentation because of their low literacy level and the fear that the information that is gathered could be used for tax purposes in view of their previous experiences during colonial era. They therefore prefer verbal consent which is non-committal. Researchers in developing countries have to be mindful of these factors and assist the sponsors of research from the North to optimise best practices in spite of these challenges and fears. Harmonising ethics across disciplines and diverse populations of the world is not easy. As mentioned above, there are grey areas that ought to be addressed (Plattner, 2002). Way Forward It is unacceptable to embark on research without initially identifying efficacious interventions that are locally available to the control group. Consequently, the following are proposed: 1. Developing countries researchers must secure post-trial access to effective interventions for the benefits of participants in all clinical trials. 2. Negotiation on the introduction and sustenance of successful treatment regimen for the wider benefit of communities should be outlined prior to research and also discussed at the ethical review stage. 3. Researchers and sponsors should provide ample justification of their claims to RECs prior to the commencement of research. 4. It is vital to monitor research in order to ensure that ethics are not breached. This should be the responsibility of REC and sponsors most especially in developing countries that lack functional RECs (NEBRA, 2005). Developing countries should therefore establish National and the Institutional Research Ethics Boards/Committees (RECs) that are active and functional (Falusi et. al., 2007). These Committees should be empowered to adopt basic ethical principles and universal minimum standards of care in research. 5. The governments of developing countries should train and empower their researchers in their respective institutions. The active participation of the Legislative and Executive arms of governments in the identification and selection of relevant projects in developing countries should be encouraged. 6. The complementary role of RECs in developing appropriate consent process for research in developing countries cannot be overemphasized (EDCTP, 2007). 7. Field and laboratory health projects in non-literate societies can only be successfully implemented if logistical issues in research are adequately addressed. References British Medical Journal (1996) "Nuremberg Doctor's Trial", 313 (7070), 1445-75; also http://www.cirp.org/library/ethics/Nuremberg/. British Sociological Association (2003) Statement of Ethical Practice, http://www.britsoc.org.uk/about/ethic.htm. Chima, S.C. (2006) "Regulation of Biomedical Research in Africa", British Medical Journal, April 8, 332 (7545): 848-851. Council for International Organisations of Medical Sciences International Ethical Guidelines for Biomedical Research involving Human Subjects (2002) Geneva, Switzerland, CIOMS. Delvin, E. (2001) "Human Research must Protect Participants", Network, Vol. 21, No. 2: 4-9. EDCTP Project Ibadan, Nigeria (2007) Strengthening the Capacity of Research Ethics Committees in Africa" Coordinated by the University of Ibadan, Proceedings in Press 2007. Falusi, A.G., Olopade, O.I, Olopade, C.O. (2007) "Establishment of a Standing Ethic/ Institutional Review Boards in Nigerian University: A Blueprint for Developing Countries", Journal of Empirical Research on Human Research Ethics, Vol. 1: 21- 30. Falusi, A.G. (2004) Ethical Issues in the Academia, Ibadan: University of Ibadan. Newton, L.H. (1990) "Ethical Imperialism and Informed Consent", IRB A Review of Human Subjects Research, May-June 12 (3): 10-11. National Commission for the Protection of Human Subjects of Biomedical and Behavioural Research (1979) Belmont Report: Ethical Principles and Guidelines for the Protection of Human Subjects of Research, Washington, DC: US DHEW. NEBRA 2005/2006 Research on 15 African Countries REC Survey, http://trree.org/site/nebra.phtml. Stephens J. "Panel Faults Pfizer in '96 Clinical Trial in Nigeria: Unapproved Drug Tested on Children", Washington Post, May 7, A1, A21, 2006. Plattner, S. (2003) "Human Subjects Protection and Anthropology" Anthropological Quarterly, Spring, 76(2): 287-97. "The Body Hunters: Exporting Human Experiments", The Washington Post, Dec 17 - 22, 2002. World Bank (2004) Nigeria Strategic Country Gender Assessment Report, Washington: World Bank. # Consent Seeking In Social And Behavioural Research In Non-Literate Communities ## Ayodele Samuel Jegede Introduction Consent seeking in social and behavioural health research is a difficult task in non-literate societies for three reasons. Firstly, unlike in biomedical research, studies in social and behavioural science do not demonstrate immediate material benefits in the form of therapeutic services or the provision of infrastructures for the targeted participants and communities. Yet, the participants in such studies would like to know direct or indirect benefits of such research to them. Secondly, it involves questioning participants on issues that invade their privacy which they would ordinarily not like to discuss. Lastly, the participants exist in communal contexts where the autonomy of the individual is understood in a wider context of layers of social relationships as indicated,- "we are persons through other persons" (Ayantayo, n.d). The communal system of living in non-literate societies protects the interest of people and raises the question concerning the autonomy of an individual in decision-making. This paper examines the ethical challenges in consent seeking in social and behavioural studies in largely non-literate communities. Ethical Challenges The ethical challenges in doing social and behavioural research in non-literate communities revolve around: 1. respect for persons; 2. sharing of benefits of research; 3. fairness in Sample Selection; 4. technical inaccuracies; 5. privacy of the individual; 6. community exploitation; 7. deception, and 8. competence of field assistants. Respect for Persons The respect for, and the protection of autonomy, rights and dignity of participants is a major ethical challenge in patriarchal societies with large numbers of non-literate persons. Patriarchy undermines voluntary decision-making in such societies in two ways. In the first place there is imbalance in the power relation between the male and female gender in largely non-literate patriarchal societies. Females cannot give informed consent on important issues without the consent of their husbands (in the case of married women) and fathers in the case of unmarried girls. Consequently, it is difficult to obtain consent from a woman whether married or single. Fathers and/or husbands could influence girls and/or women which in turn implies that the researcher are merely obtaining involuntary consent. Importance is attached to age and authority usually flows from the top (i.e., older age groups) to the bottom (i.e., lower ones) in patriarchal societies and this is obvious in non-literate settings. Consequently, respect is the basis of social relation in parts of Africa. Age grade is an important determinant social status and authority in these societies. Those who are born about the same time bound together, move up the social ladder together, and they also exercise considerable influence over those in the lower age grades. Important issues or decisions are delayed in order to obtain the consent of elders who are the custodians of wisdom or the sources of authority. Getting consent from a community member could therefore be difficult where the elderly members are present and/or not around to give their assent. Paradoxically, research that involves human subjects must not only respect but also protect the autonomy, rights, and the dignity of all participants. The participation of the targeted individuals must be voluntary and based on informed consent which is often required in writing. How this can be achieved in patriarchal societies where the female gender is not expected by tradition to make informed decision that is independent of their fathers (viz., if unmarried) and husbands (if they are married) is a challenge. Also, how the decision-making role of elders can be addressed in this context because age is the basis of social relations and source of authority is another challenge to researchers. Generally, individual autonomy is at stake in this context and this could mar the research process if the autonomy of the individual most especially of the vulnerable subgroups in the population such as women is required. Sharing of Benefits The sharing of benefits is an important aspect of the research enterprise. Communities are interested in the outcomes of the research that is conducted in their milieus (Fernandez et. al., 2003b, 2005, 2007; Schulz et. al., 2003; Fong et. al., 2004; Moutel et. al., 2005; Dinnett et. al., 2006). Non-literate communities may not enjoy the benefits of research that is conducted in their settings due to lack of proper negotiation because of the wide socio-economic gap between the researcher and the targeted participants. Benefit sharing may not be a fair process in such communities where there is no level playing field. Fairness in Sample Selection Fairness in the selection of the participants in research could be difficult in non-literate communities. For instance, people might not know their age since record keeping is a major problem in non-literate communities. Although age could be estimated through important symbols or historical events in their communities, such estimates are not always accurate. Bias could be introduced if participants are not randomly selected. For instance, the over-representation of highly placed or older people in the sample could influence decisions on the underprivileged. Technical Inaccuracies Technical inaccuracies are major issues in social and behavioural research in non-literate communities. Research designs could exclude communities' contextual knowledge, and observations including the local knowledge and experiences that are reported by community members. This can lead to inadequate information about diet, lifestyle, and other important details especially in cross-cultural communities that have different subsistence patterns (Frohmberg, 1999). Privacy of the Individual The privacy of participants is another ethical challenge in consent seeking in social and behavioural research in non-literate communities. It is often difficult to manage the principle of confidentiality in non-literate communities because researchers are sometimes inclined to use interpreters or are forced to cope with next of kin and significant others who cannot be easily kept at a distance during interview sessions. The result is that researchers are forced to deal with third parties in the course of their interaction with respondents in non-literate settings. Community Exploitation The exploitation of communities and inducement of participants to participate in studies are important ethical challenges in consent seeking in social and behavioural research in non-literate communities. Socio-economic inequalities between researchers and participants play a coercive role in the recruitment of participants (Benatar, 1998; Lindegger and Richter, 2000). This often leads to difficulty in applying the widely recommended bioethics principles (Loue, Okello, and Kawama, 1996). For instance, the participants in poor-resource settings might not have adequate information on the subject matter of the research once they are given what amounts to generous incentives. Although incentives are allowed in research, they could be unethical if they influence judgment in a manner that undermines the autonomy and worth of participants. Resource-poor societies are confronted with the problem of choosing between informed knowledge of the subject matter of research and the incentives that are offered by researchers. The targeted individuals are mostly blinded by incentives and are inclined to overlook many things or even struggle to participate because of the incentives that are offered to them. Consequently, community exploitation is also a possible factor in consent seeking in social and behavioural research in non-literate communities due to the divergence between the socioeconomic statuses of researchers vis-à-vis the targeted individuals. Usually, researchers have economic advantage and the power of scientific knowledge over participants. Researchers could use these to their advantage by manipulating non-literate communities to open their gates to hazardous social and behavioural studies. Researchers may fail to compensate communities appropriately once they are able to gain the support of gatekeepers. The gatekeepers could in turn open the 'gate' of their communities on the basis of monetary reward that is not commensurate with the magnitude of research activities. Or they could sell out their communities through deals with researchers. The participants may be induced to give their consent to participate in a study through financial compensation that is more than what they could earn in their daily economic activities or in the form of material things that look precious to them. Deception Deception is another critical issue in consent seeking in social and behavioural research in nonliterate communities. Researchers might not provide complete information on the subject matter of their research if it will hinder them from getting the consent of participants (Varmus, 1997). In such circumstances, participants are deceived to give their consent to harmful studies. For instance, certain cultural practices may be difficult to study due to taboos surrounding them or their beliefs could deter them from responding to questions on such issues. Some researchers may willingly apply the 'cover' approach which is permitted in social and behavioural research where it is not necessary in order to get their work done quickly and easily at a little cost. Competence of Field Assistants The capacity of field assistants to work in an ethical manner is another challenge. The field assistants have the same ethical responsibilities as investigators. But do they in practice have adequate skill in research ethics in such settings? Although they are expected to be trained on how to adhere to ethical details in research, it is doubtful if they can satisfy this requirement as members of the same community where they are collecting data without using their personal influence to coerce participants to give their consent to participate in a study. The Way Forward Conducting social and behavioural research in non-literate communities requires proper skill and monitoring. Training in ethical reasoning is the first step in addressing this issue in order to ensure that things are done correctly. Knowledge and skill on ethical practice are currently low among social scientists in developing countries even though research ethics is taught as a topic or two in research methods classes. The following steps must be taken in order to tackle the foregoing lapses. First, the social science disciplines should incorporate ethics into their curricula. This should be taught as a required course at the undergraduate and postgraduate levels. Second, all social and behavioural researchers should be trained in research ethics. Evidence of this training should be a condition for research grant and approval for any protocol. Third, public educational programmes should be promoted in order to close the gap in knowledge between researchers and communities. Researchers should not only collect data and leave communities, they should share their experiences with them because this will build trust and also ensure support for future research (Richards et. al., 2003; Partridge et. al., 2003; 2005; Hoeyer et. al., 2004; Dixon-Woods et. al., 2006; Wendler et. al., 2007; Shalowitz and Miller, 2008). Fourth, verbal consent should be permitted in non-literate communities. This can be recorded in video for record purposes. Asking participants to sign informed consent form in non-literate communities may be taxing while the use of thumb printing could be demeaning. An alternative is to accept verbal consent. Finally, research protocols should be translated into the local languages of the research communities and used in communication during data collection. This will make it possible for participants to have adequate understanding of what it takes to participate in research. Conclusion The paper has highlighted the reasons for increased knowledge in ethics in health research in developing countries. It has also identified and outlined the ethical challenges in consent seeking in studies in non-literate communities. An important consideration for social and behavioural research in non-literate communities is the understanding of the socio-economic and cultural contexts. Nonliterate communities are vulnerable. They face severe socio-economic problems and are at the risk of research atrocities. We can therefore not assume that researchers will always do the right thing while working in non-literate communities. References Benatar, S.R., (2004) "Towards Progress in Resolving Dilemmas in International Research Ethics, Journal of Law, Medicine and Ethics, 32(4): 574 -582. Dinnett, E.M., Mungall, M. M., Gordon, C., Ronald, E.S. Gaw, A. (2006) "Offering Results to Research Participants, BMJ, 332: 549-550. Dixon-Woods, M., Jackson, C., Windridge, K.C., Kenyon, S., (2006) Receiving a Summary of the Results of a Trial: Qualitative Study of Participants Views", BMJ, 332: 206-210. Fernandez, C.V., Kodish, E., Shurin, S., Weijer. C. (2003a) "Offering to Return Results to Research Participants: Attitudes and Needs of Principal Investigators in the Children's Oncology Group, J Pediatr Hematol Oncol, 25, 704-708. Fernandez, C.V., Kodish, E., Taweel, S., Shurin, S., Weijer, C (2003b) "Disclosure of the right of Research Participants to Receive Research Results: An Analysis of Consent Forms in the Children's Oncology Group", Cancer 97, 2904-2909. Fong, M., Braun, K.L., Chang, R.M., (2004) Native Hawaiian Preferences for Informed Consent and Disclosure of Results from Research Using Stored Biological Specimens", Pac Health Dialog, 11, 154-159. Hoeyer, K., Olofsson, B.O., Mjorndal, T., Lynoe, N. (2004) "Informed Consent and Biobanks: A Population-based Study of Attitudes towards Tissue Donation for Genetic Research", Scand J Public Health 32, 224-229. Lindegger, G. and Richter, R., (2000) "HIV Vaccine Trials: Critical Issues in Informed Consent", S Afr J Sci., 96, 313-317. Loue, S., Okello, D., and Kawama, M., (1996) "Research Bioethics in the Ugandan Context: A Program Summary", J Law Med Ethics, 24, 47-53. Moutel, G., Duchange, N., Raffi, F., Sharara, L.I., Theodorou, I., et al., (2005) "Communication of Pharmacogenetic Research Results to HIV-infected Treated Patients: Standpoints of Professionals and Patients", Eur J Hum Genet. 13, 1055-1062. Partridge, A.H., Burstein, H.J., Gelman, R.S., Marcom, P.K., Winer, E.P., (2003) "Patients Participating in Clinical Trials Want to Know Study Results?" J Natl Cancer Inst. 95, 491-492. Partridge, A.H., Wong, J.S., Knudsen. K., Gelman, R., Sampson, E. (2005) "Offering Participants Results of a Clinical Trial: Sharing Results of a Negative Study", Lancet 365, 963-964. Richards, M.P, Ponder, M, Pharoah, P, Everest S, Mackay, J. (2003) "Issues of Consent and Feedback in a Genetic Epidemiological Study of Women with Breast Cancer", J Med Ethics, 29, 93-96. Schulz, C.J, Riddle, M.P, Valdimirsdottir, H.B, Abramson, D.H, Sklar, C.A. (2003) "Impact on Survivors of Retinoblastoma When Informed of Study Results on Risk of Second Cancers", Med Pediatr Oncol., 41, 36-43. Shalowitz, D.I, Miller, F.G. (2008) "Communicating the Results of Clinical Research to Participants: Attitudes, Practices, and Future Directions", PLoS Med, 5(5), e91. doi:10.1371/journal.pmed.0050091. Varmus, H, and Satcher, D. (1997) Ethical Complexities of Conducting Research in Developing Countries", NEJM, 337, 1003-5. Wendler, D, Pentz, R. (2007) "How Does the Collection of Genetic Test Results Affect Research Participants?", Am J Med Genet., A 143, 1733-1738. ## Ethical Challenges And Code In Study Design In Social And Behavioural Research In Vaccine Testing In Non-Literate Communities Abraham Alabi Introduction Vaccine testing through clinical trials poses ethical challenges even in literate communities but the problem is compounded in the non-literate due to ignorance, cultural beliefs, and lack of proper understanding of the concept of vaccine. Clinical trials that lacked appropriate scientific basis and ethical justification were conducted predominantly on the disadvantaged, usually non-literate subgroups at different times in past century. For instance, the Nazi doctors conducted gruesome medical experiments in German concentration camps during the Second World War. Similarly, some 400 poor black men in the rural south of USA who were diagnosed with syphilis were left untreated as part of a study that was designed to observe the natural course of untreated syphilis in the Tuskegee syphilis study that came to light in the 1970s (Jones, 1981). Such trials which were deliberately designed to exploit the ignorance of participants were accompanied by serious injuries, permanent disability, and the death of the research subjects. The establishment of internationally recognised ethical codes and standards for conducting clinical trials on human subjects was as a result of public outcry and condemnation and as part of the concerted efforts of the scientific community to prevent future occurrence. A few examples of codes and regulatory frameworks that are conceived to prevent occurrence are the: Nuremberg Code (1949), International Ethical Guidelines for Biomedical Research Involving Human Subjects (CIOMS, 1993), World Medical Association Declaration of Helsinki (2000; 1964), and Belmont Report (1979). This paper will attempt to outline main ethical challenges in study design in vaccine testing in nonliterate communities and/or resource-limited settings in Africa. Study Design Non-literate communities are unique settings in which the concept of vaccine testing or trials could easily be misunderstood or misinterpreted at any stage of the process. Hence the study design must be simple with in-built mechanisms for monitoring, dissemination of outcomes, investigatorcommunity interaction, and conflict resolution. Other important factors that must be carefully considered in the design of a vaccine trial in non-literate communities are the objectives of the trial; the Phase (whether Phase I, II, or III); mode of delivery; cold-chain requirements; data analysis; cultural beliefs; leadership structures; confidentiality; and community mobilisation (i.e., how to communicate effectively with all strata in a given community). It is important to pay attention to post-trial events such as plan for the dissemination of results and how the tested vaccine will be made available to the participating communities if successful. Ethical codes in vaccine testing consist of a set of clear guidelines for community-based vaccine trials in accordance with internationally acceptable standards. This is without prejudice to the type of community, (i.e., literate or non-literate) because ethical codes should not be based on social or educational status. However, special efforts must be made to ensure that the ethical codes are simple and unambiguous when vaccine trial is conducted in non-literate communities. In addition, the codes should be translated into local languages and clearly explained to staff in a way that they understand the rules and procedures that guide the conduct of trials if they are to be directly involved (i.e., as field workers or interpreters). Ethical codes in vaccine trials must provide guidance to all staff on the likely ethical issues that may arise in the course of trial. These will include respect for participants and the cultural values of the participating communities; informed consent; enrollment of volunteers; procurement of vaccine; storage and transportation; recommended dosage and the route of administration; health and safety (i.e., the favourable risk/benefit ratio); sample and data collection procedures; analysis and dissemination of results; including independent ethical review of protocols. All professional staff such as doctors and nurses must comply with the ethical codes of their professional bodies throughout trials. Ethical Challenges in Vaccine Testing in Non-Literate Communities The guidelines for ethics in scientific research involving human subjects are informed by the principles of: a. respect for persons; b. beneficence/non-maleficence, and c. justice (Marshall, 2007). While these ethical guidelines are now widely publicised, their implementation and acceptance has remained largely voluntary (Bhutta, 2002). This is true in many developing countries where the regulatory bodies and institutions that are charged with the responsibility of ensuring compliance with international standards lack the capacity to do so. However, many of these countries are now making effort to have functional National Ethics Review Committees (NERCs) and Institutional Review Boards (IRBs) with the support of funding agencies. Carrying out vaccine trials in non-literate communities often involves an act of balancing universally recognised ethical standards for research with the local. Marshall (2007) concluded that the disconnection between ideal standards and their application in the real world of structural imperfections and social, political, and economic inequities contributes to the moral complexity that surrounds research design and implementation in resource-poor settings. It is desirable to adapt ethical requirements to the reality in non-literate communities without compromising internationally acceptable standards. The main ethical challenges in vaccine trials in non-literate communities are as follows: Informed Consent The concept of informed consent is crucial to the credibility of any vaccine trial. The participants in trials should voluntarily agree to participate after they are given all relevant information pertaining to the trial; (i.e., they have well-informed knowledge upon which they can independently take a decision to participate without any fear of intimidation or denial of any potential benefits of the trial). But the challenges in non-literate communities include: - how to explain the concept of informed consent to non-literates to sufficiently understand and make informed decisions; - how independent is the decision to participate in a vaccine trial (i.e., autonomy); - the motive for participation, and - whether the head of a household or community can give consent on behalf of members of his/her household or community. Therefore well-informed consent is a challenge. The question is: "how informed is informed consent among non-literate respondents?" In a study of informed consent in an influenza vaccine trial among children in The Gambia, Leach et. al., (1999) reported that, although 90 per cent of the 189 consenting parents knew that the aim of the vaccine was to prevent disease, only 10 per cent understood the placebo in the control design. Similarly, Pace et. al., (2005) found that even though most respondents in their study of comprehension of consent in a randomised drug trial among HIV-positive individuals in Thailand said that they were well informed, only one third correctly reported that half of the participants would receive the experimental therapy. Finding words in local languages to explain scientific terms such as placebo, randomisation, and confidentiality without distorting their meanings is also a great challenge. Community Consultation and Mobilisation Recognised heads/leaders (i.e., traditional rulers, village heads, chiefs, etc) wield enormous powers in non-literate communities and securing their support is essential to achieving a successful vaccine trial in their communities because they enjoy substantial respect and followership. The challenge is how best to approach these leaders to make them buy into the idea that participating in a vaccine trial is good for their communities. The support of such community leaders is also vital in resolving potential misconceptions or conflicts during trials. For instance, The Medical Research Council (MRC) has been operating in The Gambia for over sixty years with good and mutually beneficial relationship with Gambians and their Government. This cordial relationship has been very useful in resolving misconceptions about research activities. Consequently, community involvement should be an ongoing process in which the community is kept abreast of research activities and findings (Marshall and Rotimi, 2001). Conclusion Internationally recognised ethical codes and standards are well-established for scientific research involving human subjects. Social and behavioural research must always uphold mutual respect and trust between participants and investigators and also adhere to the principles of beneficence and non-maleficence (do no harm). Ethical code must strike a balance in the obligations to study participants, professionalism, funding agencies, and the society at large. The debate goes on whether ethical codes and standards should be universally sacrosanct and followed strictly by the letter irrespective of the location of a study. While strongly arguing against promoting double standards under any guise, it is advisable to adapt ethical codes and standards to the need and practical realities of the different communities across the globe. References Bhutta, Z. A. (2002) "Ethics in International Health Research: A Perspective from the Developing World", Bulletin of the World Health Organization, 80(2): 114-20. CIOMS (1993) International Ethical Guidelines for Biomedical Research Involving Human Subjects, Geneva: WHO. Jones, J. (1981) Bad blood: The Tuskegee Syphilis Experiment: A Tragedy of Race and Medicine, New York: The Free Press. Leach A. et al., (1999) An Evaluation of the Informed Consent Procedure Used During a Trial of a Haemophilus influenzae Type B Conjugate Vaccine Undertaken in The Gambia, West Africa", Social Science & Medicine, 48(2): 139–148. Marshall, P.A. (2007) Ethical Challenges in Study Design and Informed Consent for Health Research in Resource-poor Settings, http://www.who.int/tdr/publications/publications/pdf/ethical_challenges.pdf (accessed on 04/04/08). Marshall, P. A. and Rotimi, C. (2001) "Ethical Challenges in Community Based Research", American Journal of Medical Sciences, 322(5): 259–263. Nuremberg Code, (1949) From Trials of War Criminals Before the Nuremberg Military Tribunals Under Control Council Law, Vol. 2, No. 10, 181-182. Washington, D.C.: U.S. Government Printing Office. Pace, C. et. al., for the ESPRIT Group (2005) "The Quality of Informed Consent for a Clinical Research Study in Thailand", IRB: Ethics and Human Research, 27(1): 9-17. The Belmont Report (1979) http://www.impactcg.com/docs/BelmontReport.pdf (accessed on 14/04/08). WMA (1998) "Declaration of Helsinki", In A. R. Jonsen, R.M. Veatch, L. Walters (eds.) Source Book in Bioethics, Washington DC: Georgetown University Press, 13-15. # Ethical Issues And Research Code In Social Science Methodology In Africa Olayiwola Erinosho Introduction Scientific inquiry is about observation, objectivity, rigorous interrogation, analysis, and interpretation of data on the basis of probability theory. Testable propositions may be confirmed or refuted on the basis of carefully assembled verifiable facts. Every outcome of scientific enquiry has a character of hypothesis. As such, today's outcomes may be refuted tomorrow if newly discovered facts indicate otherwise. The core principles underlying science methodology transcend all human societies regardless of their colour, creed, or spatial location. Pioneer social scientists also shared the epistemological standpoint of biological and physical scientists in the production of knowledge. Social scientists are therefore expected to be detached in the study of human behaviour (i.e., value –free) as well as display an open rather a closed mind on outcomes. Outcomes may be modified or dismissed depending on new facts/data. The orientation of the founders of the social sciences was eclectic because they were inclined to utilise wide ranging strategies severally and collectively in data collection. They recognised a holistic approach to the production of grand scientific theories. Positivism was not strictly defined in terms of the quantitative method, or by simply quantifying data/information but in a broad inclusive way. They reasoned that grand theories could only enjoy scientific credence if all possible useful and relevant techniques are used in data collection in the study of social problems and society. The classical works of pioneer social scientists bear testimony to this orientation. Works by Smith's (1976), Comte's (1776), Durkheim (1951), Weber (1958), and Marx (1906) underscore an eclectic orientation in social research because both the quantitative and qualitative including the historical methods were used by these writers to gather data that are required to support their paradigms. The pioneer social anthropologists invented the participatory/observational method in order to understand/analyse human behaviour/communities. They lived, ate, drank, played, worked etc with groups/communities. They studied the local languages before they embarked on research. It is painstaking because researchers are required to spend several months or years observing and taking notes before analysing and interpreting what they observe. This enables them to understand the history, social life and structure of the groups/communities were (or are being still) studied. This paper will attempt to provide an overview of the ethical issues and research code including challenges/dilemmas in social science research projects in largely non-literate societies in Africa. Ethics and Code in Social Science Research Ethics and research code are extremely important in the work of social scientists because the rights of human beings that are targeted in their studies must be respected. It is desirable for them to: - obtain informed consent from participants prior to the studies that focus on them; - handle them with dignity during study; - assure confidentiality of the information, most which might be personal, that is obtained from them; - provide feedback to them on the completion of study, and - ameliorate their conditions if possible (Nuffield Council on Bioethics, 2002; Marshall, 2007). One of the practical ways of highlighting what is proper in the context of social research is to focus on methods of social investigation which include: - survey research (viz., which may be retrospective, cross-sectional or longitudinal); - experimental; - quasi-experimental; - participatory/observational; - non-participatory/observational; - focus group discussion; - In-depth interviews; - case study, and - documents/records. Informed consent is required in order to access documents/records in retrospective surveys and in the procurement of information from respondents that are targeted in all manners of social research. Written permission is required while respondents and organisations are free to participate or opt out from studies. Permission provides the covering approval for data collection on a wide range of issues including those that are of personal and/or sensitive nature. Also, the respondents that are targeted must be given adequate information on the objectives of the study. The permission to ask any question or obtain any record including the opportunity to use the precious time of respondents is a privilege and not a right. As such, researchers are expected to seek their cooperation before embarking on their study. Entry into organisations and/or small communities can be facilitated if permission is sought and obtained from their heads/elders. The heads/elders of organisations are the gatekeepers of records/documents, their co-operation will facilitate data gathering. Researchers should give assurance that on keeping the information that is provided confidential. It is also necessary to enlighten respondents/communities on the risks and benefits of their studies. Finally, they should express their gratitude to them on the completion of interviews/studies. Researchers were inclined in the past to report the outcomes of their studies in journals/books which are usually not accessible to their respondents or the organisations that are targeted for study. But sharing outcomes through policy briefs and/or workshops with respondents/organisations that are targeted for study is vital for two reasons. Firstly, it gives them an insight into outcomes and also ample opportunity to make input into them (i.e., the outcomes) even when researchers are unable to solve the problems of respondents and communities. Information sharing also reassures the targeted respondents/organisations/subgroups that they are not merely used and dumped by researchers. Finally, feedback clear the way for prospective researchers in same group/community/organisation in the future. It is vital to draw attention to ethical issues in participatory/observational studies of sensitive groups such as cults or secret societies etc. While such groups could grant researchers the permission to study their activities, they might not take kindly to the dissemination of what they do in secret to the public at large (Brink, 1993). This implies that those who work on sensitive issues ought to seek clarification before disseminating the outcomes of their studies. Research Code in Social Research Studies must be conducted in accordance with extant guidelines/rules in scientific work. Among the extant guidelines are to: - select adequate/representative sample; - maintain affective neutrality; - apply appropriate statistical techniques where required; - interpret outcomes dispassionately, and - draw reasonable conclusions based on facts. Researchers should recognise the limitations in the use of records and documents that are kept by those that do not have the researchers in mind. Secondly, records/documents are not necessarily sufficiently rich for the analyses that social researchers envisage. Thirdly, they might have been deliberately distorted by their recorders/keepers. Fourthly, records and documents provide an eye bird view of issues/problems (e.g., hospital records or crime records) and are therefore not sufficiently comprehensive. These and other shortcomings should be recognised in retrospective surveys based on records and documents. Researchers ought to exercise caution in the interpretation of findings, bearing in mind that there are chance errors. Besides, they ought to be honest and transparent in their work as well as acknowledge the contributions of co-authors, field workers, and other collaborating institutions in the implementation of their studies. Ethical Challenges and Dilemmas in Non-literate Communities One of the major challenges facing researchers in non-literate communities is how to obtain informed consent in writing as demanded by international ethical review boards. Non-literate respondents are always unwilling to append their signature to, or thumb print consent form because of its legal implications. However, they are inclined to give oral consent. The key issue is whether oral consent is adequate for ethical clearance by boards that are not acquainted with the sociocultural context of research in Africa. A solution that is worth considering is to procure oral consent on tapes provided it is with the permission of respondents. Another challenge revolves around entry into communities. Communities are now becoming hostile to researchers and are also equally inclined to demand some sort of monetary gratifications before collaborating with them. The participants in focus group discussions would like to be reimbursed for money spent to travel to the venue of discussions and/or for abandoning their sources of livelihood in order to take part in discussions. Chiefs would like to be settled in cash or in kind up front before garnering the support of members of their communities. Some areas or subregions like the Niger Delta in Nigeria are proving dangerous for research work There is now a loud and demand from the public for the benefits of research in view of the failure to use the outcomes from past studies to improve lives. A certain degree of cynicism has crept in and this is accounting for blackmail and/or outright hostility toward social research and researchers. But researchers usually lack the funds for dissemination seminars/workshops at the end of their study. Research Code and Its Challenges in Non-Literate Communities There are misconceptions about social science methodology in Africa's institutions of higher learning resulting in a situation in which students tenaciously hold to the viewpoint that the quantitative is the most effective and important method. Teachers and students appear to be incapable of showing appreciation for developing and/or acquiring appropriate skill in qualitative including the historical methods that can yield the data that enrich quantitative studies. There is an erroneous but widely shared view that social science work cannot really be regarded as scientific or earn respect unless: - questionnaires are designed and administered; - data are processed using computers, and - mathematical models/equations and other sophisticated statistics are flaunted with commendable ease. This orientation presumably explains why the dominant social science methodology among scholars obfuscates the understanding/analysis of Africa's problems. Africa is still largely rural and noted for oral tradition and large numbers in the population are still non-literate. Surveys in which questionnaires are administered among largely non-literate respondents in Africa often fail to uncover critical aspects of behaviour patterns, resulting in superficial analysis, interpretation, and recommendations. Although researchers usually indicate that they intend to gather qualitative data through focus group discussions or in-depth interviews, they hardly make use of them in the final analysis. The importance of an eclectic orientation in social science methodology in the understanding of Africa's problems cannot be glossed over in view of the outcomes from recent HIV/AIDS studies. African countries are still carrying a heavy burden of the disease in view of the pervasiveness of high risk behaviours despite the efforts that have been made to understand the factors that account for its spread. Two studies, one from East Africa (Soma-Net, 2006) and the other from Malawi (Tawfik & Watkins, 2007) in which the researchers used the participatory/observational and community dialogue methods in their investigation of behaviour patterns that are conducive to the spread of HIV/AIDS. are however providing significant insights. These studies demonstrate the need to bring a fruitful approach to the study of social problems in Africa. The challenges in field research at the macro standpoint can be briefly examined in the context of the study of sensitive problems like secret societies or sexuality or reproductive health matters most especially among non-literate or Muslim subgroups and bland/ non-sensitive ones (e.g., job satisfaction and motivation or use of health facilities etc). Researchers are likely to face more difficulties or taxing challenges in the studies on the sensitive than in those that are not. The design of instrument for field studies in multi-ethnic and largely non-literate societies could be challenging because they (i.e., the instruments) are expected to be translated into local languages/dialects by experts who are also acquainted with commonly used words and/or inoffensive concepts (e.g., studies on sensitive issues/subgroups). Back and forward translations could be problematic and is also are the recoding of responses by field workers. Field assistants must be well trained to administer the instrument in the most effective way. They must also possess the capacity to relate in an accustomed way to respondents/communities. For instance, accessing women who live in Purdah in Muslim communities in surveys is by no means an easy task because the permission of their husbands must be sought and obtained. The husbands of these women could also insist on being around while the interview is taking place. Getting such women to participate in focus group discussions away from their homes could also pose a problem to researchers. Another dilemma facing researchers is how to compensate participants during data collection without paying them. Respondents are nowadays unwilling to participate in studies unless they are compensated in one way or another partly because the: - societies have become materialistic; - respondents are wary of researchers who tend to breeze in and out and take their cooperation and support for granted, and - cynicism over the possible benefits of research to them/communities. Consequently, everyone is anxious to know what is in the research for them which they would like to collect "up front". Data like age is difficult to gather in non-literate populations. The National Population Commission in Nigeria has devised the means of estimating age during national censuses by using uses important historical events. Occupation is another variable that defies reliable classificatory scheme because it is difficult to distinguish trader from business man or woman. Another is income and researchers are forced to estimate or use proxies. Researchers are also likely to confront different challenges in urban vis-à-vis rural settings. While entry into rural areas could easily be facilitated by community leaders, this could prove to be difficult in large urban settings that incorporate heterogeneous ethnic groups. Researchers might have to enter urban communities through age grade associations, civil society organisations, faithbased organisations etc. or use the media to educate the public about the impending study in order to secure their support. Concluding Remarks This paper has addressed key ethical issues and challenges in social science methodology in the context of Africa. As can be seen from the discussion, African countries are unique in a number of ways. They are multi--religious, multi-cultural, multi-racial, and non-literate. Secondly, vast numbers of their citizens are still non-literate and poor. Thirdly, the gap between researchers and the populace is wide because the former who are literate and 'westernized" are inclined to carry patriarchal nuances into their relationship with those that are targeted in research who are largely non-literate and unacquainted with the logic and process in social research. The paper has highlighted the dimensions of ethics in research in such settings. References Brink, P.J. (1993) "Studying African Women's Secret Societies", In C.M. Renzetti & R.M. Lee eds. Researching Sensitive Topics, London: Sage Publications, 235-248 Comte, A. (1855) The Positive Philosophy, Free trans. and condensed by Harriet Martineau, 3 Vols. New York: Calvin Blanchard. Durkheim, E. (1951) Suicide: A Study in Sociology, trans. J.A. Spaulding and G. Simpson and ed. With introduction by G. Simpson, New York: The Free Press of Glencoe. Marshall, P. (2007) Ethical Challenges in Study Design and Informed Consent for Health Research in Resource-poor Settings, Geneva: World Health Organisation. Marx, K. (1906) Capital: A Critique of Political Economy, New York: The Modern Library. Nuffield Council on Bioethics (2002) The Ethics of Research Related to Health care in Developing Countries, London: Nuffield Council on Bioethics. Smith, A. (1776) An Inquiry into the Nature and Causes of Wealth of Nations, edited by E. Canaan with Preface by George Stigler, Chicago: University of Chicago Press. Soma-Net, (2006) Re-Thinking Research and Intervention Approaches that Aim at Preventing HIV Infection among the Youth, ed. Anne Pertet, Nairobi, Kenya: Soma-Net. Tawfik L. & Watkins, S.C. (2007) "Sex in Geneva, Sex in Lilongwe, and Sex in Balaka", Social Science and Medicine, 64, 1090-1101. Weber, M. (1958) The Protestant Ethic and the Spirit of Capitalism, New York: Charles Scribner's Sons. # 8 Ethical Issues In Qualitative Research In Public Health In Africa Paul Nchoji Nkwi Introduction Medical anthropology which seeks to study disease and other health problems as cultural phenomena also pays particular attention to ethical issues. Working with public health specialists often calls for special attention to issues that concern the privacy of patients, confidentiality, conflict of interest, informed consent, beneficence, maleficence, and all ethical issues that focus on cultural concerns. Anthropologists use predominantly qualitative research methods and these ethical issues are part of the process, a process which includes the collection and analysis of data. The generation or creation of knowledge is often and in most cases the object of research but the practical application of knowledge is often recommended because we seek to improve the quality of health when we deal with health issues. The models below attempt to show how all the ethical issues must be at the back of the mind of researchers as they conduct research. ## Sample Themes Of Behavioural Research On Hiv/Aids Stages Of Applied Research Source: Ndonko and Nkwi, 2004 In order to understand and appreciate qualitative methodology, we will provide answers to the following questions: What is qualitative research? Where do qualitative data come from? What do qualitative researchers in health do? Why use qualitative data? What is Qualitative Research? Qualitative research involves any research that uses data that do not indicate ordinal values. It deals with video, objects, texts, or narratives of a personal life. It could also consist of a list of bars or clubs that are frequented by prostitutes or all articles that mention HIV/AIDS in local newspapers over the last 20 years. The expression "qualitative research" could be confusing but Bernard (1996) notes that since research consists of data collection and analysis, it is not clear if qualitative research refers to the collection of qualitative data or qualitative data analysis. Where Do Qualitative Data Come From? Qualitative data come from two main sources: non-interviewed-based and interview-based sources. First, we need to distinguish data that already exist in those that are procured through interviews. The non-interview-based data include tangible things (artefacts and documents) and observations. Artefacts include all material objects (archaeological findings, goods and tools, etc). Documents include video (films etc.), audio, (music, oral speeches etc.), books, personal letters, newspaper articles, etc. All human historical records belong to this category Interview-based data sources can be broken into those that produce free-flowing texts, words and phrases. Interviews that produce free flowing texts can further be distinguished into unstructured (e.g., informal ethnographic materials from participant observation) and the structured (e.g., focus groups). Techniques that produce words and phrases are often referred to as "systematic". These include free-listing pile sorts, triad tests, paired comparisons, frame substitutions, successive freelisting, ethnographic decision models, face-to-face surveys and questionnaires. What Do Qualitative Researchers in Public Health Want to Do? The choice of methods depends on the (a) aims and goals of research; (b) theoretical and conceptual approaches in a research; and (c) feasibility and ethics of the sampling strategy (Miles and Haberman, 1994). In exploring a subject, a researcher hopes to discover themes and patterns and/or build models. An example is a study on the factors that determine high fertility or the prescribing behaviour of family planning products by providers. In the case of description, the researcher will describe a single case, list typical events as well as exceptional idiosyncrasies. The researcher will describe cases and note how individuals are similar and different from one another. Comparison can be made at the individual and group levels. Why Use Qualitative Data? There are pragmatic and epistemological reasons for using qualitative data. Researchers who study health and population issues might wish to: - discover or explore new phenomenon; - identify new concepts and themes; - describe and understand complex, dynamic, multidimensional phenomena, and - bring forth people's experiences. The Informant The informant is to the anthropologist just as the patient is to a medical doctor. Medical ethics imposes on the physician a behaviour pattern or guiding principles that are related to the physician's consultations. The basic values in medical ethics are beneficence, non-maleficience, autonomy, justice, dignity, trustworthiness and honesty. Informed consent is also important. Informants are the oral sources of information and the repositories of knowledge from which researchers retrieve information which they transcribe into books and monographs. They have special knowledge. They are articulate and full of insight in many areas that are of interest to social scientists. We return to key informants on many occasions in social research and build knowledge on issues that are of interest on such occasions. We document what they say including their names, dates, and settings of interviews. Sometimes we forget to quote them as we quote other authors. Interviewing Ethics Some basic ethical considerations must be respected in order not to cause any emotional or physical harm to informants in the data collection process. The researcher must decide at the initial stage of the interview what kind of data he/she wishes to collect. He/she must protect the identity of informants if the information that is being collected is sensitive. Protection means that the researchers must protect informants from emotional disturbances (Bernard, 1994). The possible harms to the informants are: - violation of informant's right to privacy by asking sensitive questions; - violation of informant's right to privacy by having access without his/her permission to records or files that contain personal and confidential information; - secretly observing the behaviour of informant; - disclosure of information from your informant to other persons, and - failure to observe or respect certain cultural values, traditions, and taboos. (This could occur when the researcher lives in the community). In order to avoid attitudes that could tarnish the image of a researcher in the community and/or jeopardise the future for others, researchers must: - obtain the consent of the informant before asking sensitive questions. (This should be obtained before the interview starts); - respect the informant's privacy; - ensure that the data are protected against third party, and - avoid misrepresentation of the information that is obtained from informants (i.e., must be reported verbatim without identifying by name unless this is waived by informants). Cultural concerns are paramount in all of these. The cultural perceptions of diseases may not necessarily correspond to modern medical ethics. Many cultures have spiritual or cultural theories about the origins of disease which are not in consonance with the germ theory in western medicine. Often researchers have to reconcile the people's beliefs with the tenets of Western medicine but this is often very difficult. Indeed, value judgment must be avoided. That is, researchers should avoid classifying cultural practices as good or bad. Although this could lead us to assert the value of cultural relativity, we cannot judge other cultural practices through our prism. Consent must be obtained in the collection of qualitative data in which key informants are targeted. The informants should be briefed about the purpose of research and shown why their knowledge will contribute to this. Informants should know about the risks that they are taking. Informants can choose to make their own health decisions, and only delegate such decision-making authority to another party when culture does permit them to do so. The decision-making tree-model in terms of health reconstruction is generally made on the basis of experiences and cultural norms and values. The value of informed consent is closely related to the value of autonomy and truth telling. An example: in cultures where people's wives cannot be interviewed without their consent, researchers should not attempt to do so. Confidentiality This applies to information that is obtained by researchers from informants/patients. Revealing confidential information that is obtained from informants under oath is unethical. In order to assess the quality of life of people living with HIV/AIDS, we conducted a series of interviews in several treatment centres and found that almost 40 per cent came from other faraway treatment centres. Many of them came to these centres because they wanted anonymity. We had to assure them of total confidentiality in order to collect data from these patients. Revealing HIV/AIDS status without consent is unethical, especially if this information is obtained confidentially. Beneficence This is about the concept of doing good to community in general. Some interventions or the work that we do can bring about positive outcomes while also potentially doing harm. The problem of "double effect." is possible. Researchers in medical research use experimental drugs for treatment groups while the control groups do not receive treatment. If the experiment proves successful, it will benefit many. During the period of treatment, it is possible that people in the control group may die because of neglect Cultural Concerns Use of emic and etic approaches in the study of health problems in communities is critical in the understanding of how a culture views itself from the inside (emic) as well as the outsiders view of it (etic). Cultures have different perceptions of medical problems. Some cultures have spiritual theories about the origins of disease. Appreciating these theories and considering them from the standpoint of insiders is the beginning of reconciling these beliefs with Western notions of medicine. Value judgments must be avoided. Although this may lead to asserting the value of cultural relativity, we cannot label other cultural practices as bad. Some cultures believe that female genital mutilation (FGM) has the potential of increasing fertility. Understanding the "internal logic" of FGM will constitute the beginning of leading people to consider the risks that are involved. Studying One's Culture Many researchers study their cultures as health providers study their family members. Researchers and health providers who do so must be vigilant not to create conflict of interest or handle issues inappropriately. Studying one's culture usually has a number of advantages, - the mastery of the language(s), knowledge of the basic cultural tenets (values, norms, beliefs) etc. But the researchers can lose objectivity and take many things for granted. Conclusion The anthropology of health which studies diseases and medical problems as cultural phenomena focuses on the individual as the reification of cultural concepts, beliefs, and norms. The individual is not just a patient but a carrier of culture or gatekeeper. The key informant or the ordinary sick person who is seeking to reconstruct his/her health goes to a healer who heals, and to the diviner who diagnoses and also heals. Each culture has its own health system with its own cannons, tenets, and code of ethics. If research has need of information, one of the basic norms is to respect culture, values, and norms. The breaking of these rules can be counterproductive and may constitute a constraint to future researchers. References Bernard, H.R. (1994) Research Methods in Anthropology: Qualitative and Quantitative Approaches, AltaMira: Walnut Creek. Miles, A. and Huberman, S. (1994) Qualitative Data Analysis, Thousand Oak, CA: Sage Publications. Nkwi, P., Nyamongo, I. and Ryan, G (2001) Research Guidelines for Socio-cultural Research, Yaoundé: CASSRT Publication. Ndonko F. and Nkwi, P. (2004) Applying Anthropology: The Study of HIV/AIDS In Cameroon, Yaoundé, Cameroon: CASSRT Publications. ## 9 Hiv/Aids In Nigeria And Its Ethical Challenges Babatunde Osotimehin Introduction Readers might ask: Why the focus on HIV/AIDS? And what makes it so different from other diseases? The true story of the family of Mr. A, a big time cocoa farmer from one of the South Western states of Nigeria, will shed more light on the gravity of the epidemic. As Mr. A's business boomed, so did his family which comprised four wives and twenty-two children. In the late 90s, Mr. A, a trader operating in Northern Nigeria, took ill and was taken to his ancestral home to receive treatment. Mr. A's illness was protracted, and the family was forced to expend a large proportion of its earnings on its breadwinner. The lorries for his cocoa business were sold. Mr. A's health continued to deteriorate despite the huge amounts that the family spent to look after him. While Mr. A's health was failing, his second wife took ill. Local herbs and remedies were applied, but her condition worsened. It was detected that she had tuberculosis when the advice of orthodox medical practitioners was sought. Mrs. A was isolated. Her eating utensils (i.e., cups, plates and spoons) were separated from all others in the household. Word spread around that a strange form of witchcraft had befallen the family of Mr. A. Soon after, a gaunt and very sickly Mr. A gave up the ghost. The family mourned the loss of their patriarch. Shortly after his death, Mr. A's first wife also took ill. She lost appetite, complained of nausea and diarrhoea and lost weight very rapidly. This time around the advice of a close family friend was sought. A formally trained nurse noticed a strange trend in the community. Able bodied men were being brought home "close to death'. They presented with symptoms similar to the new and dreaded disease called "AIDS". Following trainings at workshops, a next of kin volunteered to offer home-based care to those in critical condition as most health care workers were unwilling to touch these patients. On one of her home care visits, she was informed about the plight of Mrs. A. Based on her experience, she suspected HIV infection. She visited and found two of the wives in critical condition, one dying of tuberculosis and the other losing weight very rapidly. The nurse invited a doctor to their home and offered voluntary counselling and testing services to the wives. Three of the four wives tested HIV positive. Financial support was provided within the dwindling family resources to take care of the sick wives. However, both wives died within a year. Caring for sick mothers and a father placed a heavy toll on the children's education. Some of the children skipped school in order to take care of their sick mothers. Others took turns to oversee their mothers' petty trading business. As the family income dwindled, so did the prospects of a sound education. Several of their children who ought to sit the West African School Leaving Certificate examination could not do so. There was simply no money to pay their fees. Others were sent back home as they could no longer afford to pay school fees. The cocoa business gradually crumbled. A once rich family became impoverished by HIV/AIDS. Word got round that Mr. A's wives were HIV positive. Family and friends were unwilling to associate with the family. The petty trading business also received low patronage as a result of the stigma that is associated with HIV which the family members encountered. A few 'bold' close relatives offered what they could, but it was insufficient to go round everyone. The nurse who became a regular visitor to the family spoke with a few community leaders and development partners to see if some assistance could be offered. Mr. A was blessed with several sons and daughters. In an interview with a journalist one of the daughters, a sixteen year old, stated that though she wanted to further her education, she did not have any means to do so and did not know what steps to take. HIV infection had suddenly exposed the teenage girl to the harsh realities of life, thus increasing her vulnerability. If the desired help was not forthcoming, it was left to imagination what the girl could do in order to keep body and soul together and 'make ends meet'. Other children within the family also remained at crossroads. Poverty predisposes HIV and fuels its spread. Mr. A's family story depicts the challenges that HIV/AIDS presents in various spheres of life on a daily basis. Nigeria's Response to HIV/AIDS Nigeria's journey in addressing HIV/AIDS began when the first case was identified in 1986. There was, however, an initial denial about the infection for four years (viz., 1986 and 1990). HIV infection spread unabated among the 'at risk populations or vulnerable groups ' including uniformed men, women, girls, long distance truck drivers, youths, and sex workers during this period. The denial of HIV/AIDS fuelled the spread of the epidemic. The stigma and discrimination faced by the few known HIV+ individuals also drove the infection underground. Slowly and steadily, the number of HIV+ cases grew (NACA, 2002; FGN, 2003; FMOH,2004). The first sero-prevalence survey was conducted in 1992 when the national prevalence was 1.8 per cent but this exploded to 5.8 per cent by 2001. However, the last two surveys indicate a decline to 5.0 per cent in 2003 and 4.4 per cent in 2005. We are in the middle of another survey and we expect that it will be less than 4.4 per cent. General awareness about the infection grew between 1991 and 1998 and Nigeria slowly began to acknowledge the seriousness of the epidemic. But has awareness been translated into action aimed at reducing the spread of the epidemic? No. It took the death of Fela Anikulapo-Kuti, one of Nigeria's greatest musicians as a result of HIV/AIDS to wake many Nigerians up to the reality of the disease. Fela died in denial of his HIV status. He kept a harem of 27 wives and countless other sex partners. He did not believe in condoms and thought AIDS was a Western invention to discourage sex in Africa, even though his elder brother was Nigeria's renowned Health Minister and notable health care advocate. It took the courage of Professor Olikoye Ransome-Kuti to announce to the whole world that Fela died of AIDS. Fela was the AIDS role model that Nigeria never had. Fela's death presented an opportunity to drive the HIV/AIDS message home. Unfortunately, that opportunity was not efficiently utilised to drive the AIDS message home. That didn't happen. Eventually, a health sector response to HIV/AIDS was initiated by Professor Olikoye Ransome- Kuti which was energised by the death of his brother. It became apparent over time that a strictly biomedical approach to HIV/AIDS would not work given the fact that a critical element in tackling this infection was and is still "Behaviour Change". The need to engage all sectors in the response to the epidemic became paramount, hence the adoption of a multi-sectoral response. While a multi-sectoral approach has yielded results, it still does not present the 'magic bullet' solution to the HIV/AIDS burden that Nigeria bears. We are hopeful but we are not yet there. Several scientific breakthroughs in the past two decades indicate that there is light at the end of the tunnel. Several hurdles lie in way in the attempt to nip the burden of HIV/AIDS in the bud. Questions abound and there are no easy answers but the author will to raise some of issues in the hope that this paper will stimulate discussions. Voluntary Versus Routine HIV Testing and Ethical Challenges Over the past decade, the case for voluntary testing has been promoted by human rights advocates who are of the opinion that an individual should voluntarily undergo HIV test. On presenting at the centre, the individual is counselled and offered the test. He/she could refuse to undergo the test after counselling. It is a purely voluntary issue. Though VCT has been promoted over the years and continues to be promoted by religious leaders, civil society advocates etc, a major drawback is that the 'average man on the street' has strong reservations about going for HIV test. It takes a lot of courage to go for a test! Yet, those living with HIV do not even know it because they have not gone for test. There is needless death with the advent of antiretroviral drugs (ARVs) for HIV/AIDS. Many HIV related deaths would have been prevented if the affected persons were aware of their condition and were immediately placed on ARV. Because people often delay, there is the likelihood that they may put their health and that of their loved ones at risk Routine testing on the contrary implies that HIV tests are done routinely every time persons present themselves at health facilities (i.e., for blood donation, tooth infection, malaria, typhoid etc). If the person tests positive, the individual is promptly counselled and placed on treatment for opportunistic infections (O.Is) or ARVs as the case may be. Proponents of this approach which is now endorsed by the World Health Organisation (WHO) argue that routine testing presents the opportunity to screen a wider range of people for HIV and is beneficial because cases will be detected early. They also argue that given that HIV/AIDS is a public health issue, it is more important to protect the health of the 'general public' than to protect an individual's right. Efforts to protect an individual's right to privacy, (i.e., through voluntary counselling etc) should not put the health of a population or community in jeopardy. Here lies the ethical dilemma, - do we promote the right of an individual or do we ignore it in order to protect the larger population from harm? Preventing Parent to Child Transmission In view of the scientific breakthroughs on HIV, it is now possible for People Living with HIV (PLWH) to marry and bear HIV-children. Several HIV+ women worldwide have through prevention of mother-to- child transmission programmes given birth to healthy children. But it is important that mothers are treated to enable them to take care of their children. Research indicates that breast milk provides one of the routes for HIV transmission. Consequently, HIV+ mothers are encouraged to avoid breastfeeding: rather, they are to provide infant formula for their newborns. Free infant formulae are provided to HIV+ mothers in some of the tertiary health care facilities under the Federal Government treatment programme in collaboration with its partners. Also, free maternal care and infant formula are available in our culture where breastfeeding is strongly promoted as the best means of nutrition for infants. However, a nursing mother who refuses to breast-feed is viewed with suspicion within the community and may be stigmatised for choosing not to breastfeed. How can HIV-positive nursing mothers in the rural areas preserve the health of their children without incurring the wrath of the custodians of culture/tradition who believe that the 'mother's milk is best? Should an HIV+ mother in a hard to reach rural community in Nigeria watch her newborn child starve because she cannot afford infant formula? Should she breastfeed her baby and unduly expose the infant to HIV? These are tough decisions for any mother to take and they present another dimension in the debate of what is ethical. The Male Circumcision Debate Several cultures in Nigeria and other African countries accept male circumcision as part of sociocultural and/or religious practices long before the outbreak of HIV/AIDS. Recent research findings on male circumcision that were conducted for HIV prevention among young men in the Kisumu District of Kenya indicate that it could protect them against HIV-1 infection. This was a randomised controlled trial of 2784 men aged 18-24 years aimed at determining the relative risk of HIV incidence in men that were randomly assigned to receive circumcision versus those who did not receive such treatment. The study found that male circumcision significantly reduces the risk of HIV infection among them (Lancet, 2007). It concluded that "where appropriate, voluntary, safe, and affordable circumcision services should be integrated into other HIV preventive interventions and also provided as expeditiously as possible". While this can be described as a 'breakthrough' in Kenya, such findings need to be cautiously disseminated within Nigeria where men have been circumcised from birth. These findings could also be the subject of several interpretations. The man on the street could interpret them to mean Because I am circumcised, I am protected against HIV infection'. It means I can engage in unprotected sex and may not necessarily embrace the ABC of prevention theory. This could also call into question a woman's ability to negotiate safe sex as some men might now insist that the research findings are now the gospel truth. Should these findings now take pre-eminence over the use of condoms? Is there sufficient evidence as of now to take the male circumcision trial findings hook, line and sinker? Are the risks to HIV infection lower in men who are circumcised in their youth when compared to men circumcised at birth? Ethical Challenges in New Prevention Technologies in Clinical Trials Research on HIV/AIDS that is initiated, designed, and/or funded by agencies that are in high income countries but conducted in those that are poor gives rise to important ethical challenges. Sub-Saharan Africa continues to bear a disproportionate burden of HIV infection, particularly in the marginalised communities. This implies greater imperative for the development of new strategies and technologies to prevent further spread of HIV and also minimise its impact. The conduct of the much needed research in these communities poses ethical dilemmas that are not easily resolvable. Although the clinical trials of HIV vaccines began ten years ago in the United States and Europe, an increasing number of them are now conducted or planned in other countries, including several that are considered "developing" countries which have a high HIV incidence. Safeguarding the rights and welfare of the individuals who are participating as research subjects in developing countries is a priority issue. Researchers are coming under criticism because communities and human rights advocates in the developing countries are concerned about the autonomy and privacy of individuals and respect for their personal, cultural, and social values. This is important in order to maximise the benefits for the targeted participants/communities and also advance the science of HIV prevention in Africa. Most HIV social and behavioural science investigations are on sensitive issues of prevention on sexual activities (particularly as relates to microbicides), drug use or intervention trials of biomedical technologies that could have unknown physical and psychological outcomes. The ethical requirement for such studies is informed consent from the targeted individuals and communities. But what constitutes "truly" informed consent is a subject of much discussion and disagreement in the scientific community. The issue is further exacerbated if the targeted participants have little of no formal education, speak different languages from the researchers or have cultural beliefs that do not encourage the questioning medical authority. The imbalance in the economies among nation-sates also widens this divide. Unlike in the highincome countries where their citizens participate in clinical trials for altruistic reasons, those in the low participate in trials because of some form of material 'benefits'. Such benefits include free condoms, free treatment for sexually transmitted infections, transport fare, meal allowance etc. These 'benefits' are the catch or inducements and the would-be participants would rather append their signatures and ignore the details that are contained in the informed consent form provided they are assured of the next meal! Should we then discontinue clinical trials in Nigeria/Africa? No. There will be no rapid scientific breakthroughs without these clinical trials. Better mechanisms should be put in place to safeguard and protect the rights of participants in clinical trials. Efforts to improve sensitivity in culturally and linguistically appropriate ways are essential in order to provide truly informed consent in HIV prevention studies. Hence, there is need for Community Advisory Boards (CABs), comprising members of the community who can critically review research protocols before they are approved for clinical trials. Trial participants should also be given the opportunity to 'opt out 'at any stage of trials. Way Forward The opportunity for this presentation before social scientists presents a chance to explore the different ways in which their disciplines can contribute to the understanding of the dynamics of the epidemic and proffer solutions to some of its driving factors. It is appropriate to suggest that HIV/AIDS and indeed the whole area of sexually transmitted diseases are more of social problems than biomedical ones. We are persuaded that behaviour change is a more effective weapon for fighting the spread of the infection but we sometimes lack the evidence for appropriate messages or interventions that will bring the desired change. Social scientists are challenged to give serious thoughts to the evidence that is required to guide interventions. New technologies also provide a great opportunity for social scientists. Potentially, there are many products which require acceptance before they are unleashed on the population. Thus, well defined population studies will be required to ensure that Nigerians/Africans are not turned into the guinea pigs of multinational pharmaceutical industries whose sole motive is at times to make ethically unacceptable profits. Finally it is important for us to appreciate that HIV has provided an opportunity to affect the health and the lives of Nigerians/Africans positively since it brings with it resources which are unprecedented in the annals of infectious disease control. We should seize the moment and make a big difference in our engagement with this development process. References Federal Government of Nigeria (2003) National Policy on HIV/AIDS, Abuja: Federal Government of Nigeria. Federal Ministry of Health (2001) A Technical Report on the 2001 National HIV/Syphilis Survey among Pregnant Women Attending Ante-natal Clinics in Nigeria, Abuja: Federal Ministry of Health. Federal Ministry of Health (2004) Technical Report 2003 National HIV Sero-Prevalence Sentinel Survey, Abuja: Federal Ministry of Health. Lancet, Vo. 369, February 24, 2007. National Action Committee on AIDS (2002) HIV/AIDS Emergency Action Plan (HEAP), March Abuja: National Action Committee on AIDS. ## Ethical Issues In Usaid Applied Health Research In Nigeria Stalin Edegba Ewoigbokhan Introduction Ethics are norms for proper or acceptable conduct. They are also about what is morally right in society. Professions such as medicine and law have ethical codes, deviation from which is considered a misconduct or unethical practice. Unethical practices in health care research include: manipulation and/or changing research design or methodology to achieve predetermined expectations; altering results that contradict one's previous findings; research that exploits and/or deceives unsuspecting and less privileged subgroups in the population; and falsification of outcomes (Ryan, 2005; Committee on Science, Engineering and Public Policy, 2000). Shamoo and Resnick (2003) describe 29 activities which are deviations from ethical behaviour that are not defined as misconduct by government. Unethical activities can also be due to honest human errors on the part of researchers. More than 900 codes and declarations have been published around the world (OHRP/USDHHS, 2008). But none of these codes is complete or enjoys universal acceptability or applicability. However, each of the various declarations emerged at different times in history, each aimed at responding to a specific unethical incident. Codes and declarations have no legal status, and to a large extent, serve advisory functions (Nuffield Council on Bioethics, 2004). Although the Hippocratic Code is regarded as the ground norm for medical practice with its central commandment of do no harm, it makes no specific provisions for the protection of human subjects in research. The forerunner of the ethical codes that exist today is the Nuremberg Code (United States Government, 1949). The Code got its name from the German city of Nuremberg where Nazi doctors and scientists were tried in 1947 for carrying out unethical experiments on prisoners in concentration camps during the Second World War (1939-1945). The Nuremberg Code was the first to make specific declaration on the protection of human subjects in research, declaring among others that the voluntary consent of human subjects is absolutely necessary". Also, the World Medical Association (WMA) published the Helsinki Declaration in 1964 (the Ethical Principles for Medical Research Involving Human Subjects) which has been amended five times, the latest amendment at Edinburgh, Scotland in 2000 (World Medical Association, 2000). A series of scandalous experiments in the US such as the: Stanley Milgram's experiment, Willowbrook study, and Tuskegee Syphilis study prompted the enactment of the National Research Act (1974) and also gave rise to the National Commission for the Protection of Human Subjects in Biomedical and Behavioural Research that defined the guidelines in the Belmont Report (The National Commission for the Protection of Human Subjects in Behavioural Research, 1979). The Belmont Report established the requirements for Institutional Review Boards (IRBs). The US Department of Health and Human Services (DHSS) sets it out in the code that is known as the Basic Policy for the Protection of Humans Subjects (DHSS, 2005). The Boston University Medical Centre Institutional Review Board (BUMC-IRB) The Boston University Institutional Review Board (BUMC-IRB) was established in 1996 in compliance with federal regulations and state laws to protect the rights and welfare of human subjects that are participating in research. It is subject to regulation and inspection by all government regulatory agencies such as the Food and Drug Administration and the Office of Human Research Protection of the Department of Health and Human Services. The BU-IRB applies the principles in the Belmont Report (National Commission for the Protection of Human Subject of Biomedical and Behavioural Research, 1979). Among the functions of BUMC-IRB is the review and approval of protocols and the consent forms for research that is funded by BUMC. The IRB can approve, difer, or cancel a study if it is convinced that ethical requirements for the protection of the rights of subjects are breached. IRB Registration and Federal Wide Assurance (FWA) Number Boston University Ethics Committee requires all the institutions that are participating in studies that are funded by the US Government to have a Federal Wide Assurance (FWA) before research activities can begin (OHRP, 2005). An FWA is an institution's formal commitment to US federal authorities (i.e., the Office of Human Research Protection or OHRP) to protect the rights of subjects. There are two steps for obtaining an approved assurance from OHRP. First, an application must be submitted for the registration of the institution, followed by the recognition/registration of the IRB of an institution. This is followed by the completion and submission of the assurance application. The five criteria for registering an Institutional Review Board/Institutional Ethics Committee are: - membership of at least five; - at least a member whose primary interest is in the scientific area and at least a member whose primary concern is in the non-scientific area; - at least a member who is not affiliated to the institution; - gender balance; - members are not drawn from a profession, and - at least a member who should be knowledgeable on ethical issues IRB provides guidance, review protocols and the consent forms of studies. IRBs have enormous powers but do not necessarily live up to their responsibilities in all cases. The Applied Research on Child Health Project The Applied Research on Child Health (ARCH) Project was an international research Initiative, based at the Centre for International Health and Development (CIHD) of the Boston University School of Public Health. The programme supported collaborative research by social and biomedical scientists, aimed at reducing childhood morbidity and mortality in developing countries. It also incorporated training and technical assistance. The ARCH Project in Nigeria, supported by the United States Agency for International Development (USAID), was designed to: - generate new knowledge that will contribute directly to the improvement of the health and survival of children; - build the capacity of individuals and institutions to undertake applied research, and - disseminate new findings to national and international implementing agencies that are operating in Nigeria. The goals were pursued through a series of activities and strategies in collaboration with federal and state health authorities, and with USAID partners and contractors working in Nigeria coordinating the project. A national advisory committee of senior scientists and health professionals based in Nigeria's universities and research institutes provided strategic advice and guidance to the Project. There were 13 research teams of more than 50 researchers in 8 institutions in 4 groups: - Universities: University of Ibadan, Ahmadu Bello University, University of Ilorin and the University of Nigeria - Research Institutes: Nigeria Institute of Medical Research and Nigerian Institute of Social and Economic Research - Non-governmental organisations: Centre for Economic Development and Conflict Management, Ile-Ife and Centre for Family Health, Ile-Ife, and - Government: the Federal Ministry of Health. Four teams conducted multi-site studies on congenital malaria, using basic clinical and laboratory procedures while nine teams used the social and behavioural research methods The topics of research were chosen after a priorities-setting seminar that was organised by the national advisory committee of the Project. The Committee identified six priority areas in child health research and publicly invited proposals in the following areas: - HIV/AIDS in young children; - nutrition and feeding in children; - fever and household decision-making; - patent medicine sellers and health; - quality of health care, and - the effectiveness of traditional medicine sellers. A technical team in Boston along with the advisory committee in Nigeria assessed the letters of intent and invited fifteen teams to submit full proposals. Eleven proposals that are listed below were funded. - Dynamics in Household Decision-making on Febrile Illnesses in Children in a Nigerian Rural Community. - Comparison of Household Decisions for the Treatment of Childhood Fevers in Rural and Urban Communities in Enugu State, South-eastern Nigeria. - Father's Involvement in Child Health Behaviour in Nigeria: Implications for Child Health Care Delivery. - Antenatal VCT among Women in Southwest Nigeria: A Case Study of Ijebu North LGA of Ogun State. - Social Outcomes of HIV/AIDS on Children in Selected States of Southwest Nigeria. - Feeding and Care of Low Birth Weight Babies in Rural Communities in Ekiti State. - Feeding and Care of Low Birth Weight Babies in Epe LGA of Lagos State. - PMS: How important are they in the management of sick children in Kaduna, Northern Nigeria? - The Role of PMS in Identifying and Treating Childhood Illnesses in Oyo State, Nigeria. - The Epidemiology of Congenital Malaria Ibadan (A Multi-Site Study in Ibadan, Ilorin , Enugu and Kaduna). - Introduction to the Study of the Burden of Diseases among Children in Nigeria. Ethical Issues in Nigeria's ARCH Studies The ARCH Project provided Nigerian scientists, most especially the junior ones the opportunity to collaborate with scholars and institutions at the international level at a time when research grants were scarce. The BUMC-IRB ensured adherence and did not hesitate to withdraw grant if ethics were breached. IRB (a) monitored adherence to protocols; (b) facilitated the procurement of Federal Wide Assurance Number (FWA) according to US Code of Federal Regulation (CFR 45 Part 46), and (c) ensured commitment to respect for human subjects (OHRP, 2005). The IRB regulations underscore: - Respect for persons: the autonomy of the individual. - Beneficence: ensuring that no harm is done to the individual and the maximisation of benefits and minimisation of risks. - Justice: equality of individuals and that the benefits and risks should be distributed fairly. The applications of these principles are: - Informed consent: subjects must be allowed free choice; consent must be voluntary and based on correct information and a clear understanding of the issues (45 CFR 46.111(a) (4), 21; CFR 56.111(a)(4). - Assessment of risks and benefits: There must be a systematic assessment of benefits and risks to participants (45 CFR 46.111(a)(1), 21 CFR 56.111(a)(1). - Selection process: This entails fairness and no bias in the selection process (45 CFR 46.111(a) (3), 21 CFR 56.111(a) (3). - It was only after the IRBs/IECs of the grantees' institutions were registered that application could be made for FWA number. Only one of the institutions (the University of Ibadan) had FWA number prior to grant. However, the Project assisted other participating institutions to apply for, and obtain FWA number before funds were released to teams. ## Deviation From Protocols The Approval For Two Studies On Hiv/Aids Was Delayed By Bu-Irb On Account Of Ethical Issues. This Led To Significant Revision Of The Study Design. Some Studies Were Also Suspended Because Teams Made Changes In Their Study Designs Without The Approval Of Irb. Informed Consent There Is Always Contention As To Who Gives Consent In An African Setting. For Example, A Community Leader Might Give Blanket Consent On Behalf Of Members Of His Community. The IRB requires an individual to sign the consent form. In some cases, there were threats to stop studies in places where the community leader's approval was not sought. The spouse or older members of the family or household also exercised great influence over approval. Thus, it took a husband to agree or disagree for the wife to give consent. Signing and/or thumb-printing consent form generated concern among respondents because they were worried about its legal implications and the following clause: by signing this document it means you have agreed to voluntarily participate in this study… This aroused suspicion. Many respondents were willing to answer questions but not inclined to sign the consent form. It took persistent persuasion bordering on coercion for them to sign up. The patent medicine sellers in two studies were uneasy and hesitated to sign the consent form. The process for seeking consent in this group began with advocacy and sensitisation meetings with the officials of their association. The requirement to sign the consent forms therefore introduced bias because only those who signed. Research assistants were presumably inclined to seek those who they knew would sign up. A 17 -year old married girl who was enrolled in one of the centres in the multi-centre study on congenital malaria and who gave consent was defined by IRB as a minor because she was under 18 years of age (a child is defined as any person that is below the age of 18 years). She needed the consent of an older member of her family and a child accent form was required. In the same study and at another site, it was required to determine the level of paracetamia in placenta, thus placentas were harvested for aspiration. But this was a cultural setting where the families of the delivered women go home with placenta. Some women and/or their families objected. Since the placentas were required in the study, investigators faced the added challenge of convincing the family of mothers to allow their placentas to be released to investigators. Some consented while others refused. Views defer on the necessity for informed consent. Pedroni and Pimples (2001) opined that although the historic basis for seeking informed consent stems from the atrocious experiments in Nazi concentration camps, it is unnecessary to extend consent to "risk free" research such as surveys and interviews. Others share this view and cannot see the risk in answering "a few questions". However, granting interviews and disclosing personal and private information to a complete stranger (researchers) carries certain amount of risk. Some questions could be embarrassing and cause discomfort among respondents. Informed consent has two perspectives: moral and socio-legal (Petroni and Pimples, 2001). Anonymity, Privacy, and Photographs Two research teams that studied feeding and care of low birth weight infants in South West Nigeria hit ethical brick walls for different reasons. They first ran into hitches when BUMC-IRB, during the review of their protocols, found listed in the budget, an item for the purchase of cameras and photographic films. A query asking what the cameras and photo films would be used for was posed. The investigators responded that they intended to take the photographs of the environment where low-birth weigh infants and their mothers lived. The IRB differed and reminded the investigators that this was a violation of the privacy of the participants. The grantee was requested to expunge the items from the budget before the IRB allowed the study to proceed. In an attempt to demonstrate the effects of their intervention and also enrich as well as provide contrast to the readability of their interim report, another team of investigators inserted the before and after photos of low birth weigh babies. Someone spotted the pictures before the report was forwarded to IRB. The pictures were removed because they violated the rules governing the anonymity of research subjects. Furthermore, there was no evidence that the research subjects granted consent for the pictures that were to be taken. A written consent is required for photographs that identify research subjects or patients (American College of Medical Genetics, 2000). The person whose photograph is to be taken should give consent and in the case of children, accent should be given by their parents and guardians. In addition to protecting the rights of individuals that are involved in research, Paulson (2006) expressed the need for more attention to the protection of the privacy of family and community members when genetic or other matters are part of study. Reporting Adverse Events (AE) Involving Research Subjects Adverse Event (AE) is defined as any untoward occurrence in research participants. The occurrence need not have clear causal relationship with an individual's participation in research. An AE can be any unfavourable and unintended sign, symptom, event, or occurrence that affects a participant's physical, mental, social, financial, legal, or psychological well-being. Adverse events also take the form of domestic violence, occasioning the forced withdrawal of a subject from a study. It is the requirement of the Office of Human Research Protection (OHRP) of the Food and Drug Administration (FDA) and the BUMC-IRB to continuously review research. Included in the review is the monitoring of adverse reactions and unexpected events (21 CFR 56.108 and 45 CFR 46.103). Additionally, adverse events can and should be reported at any time during any study. One of the infants in the feeding of low-birth weight infants died but not as a result of being enrolled in the study. This was reported to IRB as part of the review process. A Voluntary Counselling and Testing (VCT) component in the study was changed to "investigating the knowledge and perception of voluntary HIV and counselling among women attending antenatal care". The women in the study were to recruit their husbands. The IRB was concerned about confidentiality, anonymity, and the likely adverse events (e.g., domestic violence or divorce) should one or both test positive. A study by Family Health International (2002) found that the women who disclosed their positive HIV status to their husbands after informed consent either were beaten or chased away by them. What are the guarantees that spouses or employers will not have access to the research records as affirmed in the consent form by the investigator? A woman who opted for HIV test as required of pregnant women who were attending antenatal care in furtherance of the prevention of mother-to-child transmission of HIV at one of the congenital malaria sites was thrown out of the matrimonial home by her husband when she tested positive. One of the issues raised by the IRB was that a research institution had no FWA number, making it a non-starter because it had no commitment to protecting the participants in the study. The other issues were confidentiality, privacy, and voluntariness. The study was to utilise FGDs. How do you secure confidentiality and anonymity in a group? Benefits of Participation in Research It was stated clearly in the consent form that the individuals would not benefit personally if they participated in the studies, but that the community stood to benefit from their outcomes. One investigator also indicated in the consent form that knowledge of HIV status is a benefit. But BUMC- IRB pointed out that knowledge of HIV status could only be beneficial if she/he was willing to undergo test. It was customary for community leaders to expect or demand beneficial interventions that were outside the scope and/or budget of the study. The direct benefit to the communities was the recruitment of research assistants from host communities. One of the teams that investigated the role of patent medicine vendors in health care organised feedback seminars for members of their Association. Consent is required in a case control studies in which participants are made to feel that they were receiving active beneficial ingredients but turns out to placebo (Hill et al., 2008; Wenger and Shapiro, 1997). Such studies are in consonance with the Tuskegee experiments. The benefits that the participants are expecting are really not there. Conclusion The USAID Child Health Research Project was an opportunity for Nigerian scientists to collaborate with international scholars and institutions. It also provided an opportunity for better understanding of ethical issues and the application of universally acceptable ethical standards. The ethical issues arising from the studies provide useful lessons that will guide future studies. Although all the grantee institutions registered IRBs, their institutions could not provide technical or ethical guidance to their research teams. Consequently, capacity building of IRB members on ethical issues in research is extremely important in Nigeria. References Department of Health and Human Services (2005) Title 45, Part 46, Protection of Human Subjects (http:wwww.hhs.gov.ohrp/humansujects/guidance/45cfr46.htm). Dhai, A (2005) Module Five: Implementation of Ethics Review - Developing World Bioethics ISSN 1471-8847(online) Vol.5, No.1, United Kingdom: Blackwell Publishing Ltd. Family Health International: Network (2002) FHI Case Studies on Ethics and Informed Consent, Vol. 21, No. 2. Hill, et. al., (2008) "Informed Consent in Ghana: What do Participants Really Understand?", Journal of Medical Ethics, 34, 48-53. National Commission for the Protection of Human Subject of Biomedical and Behavioural Research (1979): Ethical Principles and Guidelines for Human Subjects of Biomedical and Behavioural Research. Nuffield Council on Bioethics (2004) The Ethics of Research in Developing Countries. A Followup Discussion Paper on the Workshop Held in Cape Town, South Africa12-14th February. Paulson, J.A. (2006) An Exploration of Ethical Issues in Research in Children's Health and Environment, A Mini-monograph; Environmental Heath Perspectives. Pedroni, J.A .and Pimple, K.D. (2001) A Brief Introduction to Informed Consent in Research with Human Subjects, Indiana: The Trustees of Indiana University. Shamoo, A. and Resnik, D. (2003) Responsible Conduct of Research, New York: Oxford University Press. United Sates Government (1949) "Nuremberg Code: Directives for Human Experimentation", Trials of War Criminal before the Nuremberg Military Tribunal under Control Council Law, Vol. 2, No. 10, 181-182, Washington D.C. U.S. Government Printing Office. Wenger, N. S. and Shapiro, M. F. (1997) "Consent and Discontent", Canadian Medical Association, (December) 15, 157(12). World Medical Association (1964) Ethical Principles for Medical Research Involving Human Subjects, The Declaration of Helsinki, Document 17.C. # Issues In Socio-Behavioural Research Projects In Public Health ## Abha Saxena Introduction It is increasingly recognised that in order to improve health, the bio-medical approach must be twinned with the socio-behavioural in order to formulate policies that will have a positive impact on health outcomes. WHO has established a Commission on Social Determinants of Health (CSDH) in recognition of the growing importance of the socio-behavioural in public health. The Commission recognises that the social determinants of health (SDH) must be addressed through effective policies based on sound global and local evidence. Though there are abundant global data on the social determinants of health, nonetheless, there is a growing need to generate data for local needs, mainly because data are context-specific, and not easily transferable from one country to another or even within a country from one region to another or one community to another. In recognition of this growing need, various technical departments of the WHO support countries in carrying out socio-behavioural research not only on health care delivery but also tropical diseases. There is also support for studies on reproductive and sexual health, chronic life-style related diseases, child and adolescent related diseases etc. The WHO Research Ethics Review Committee (WHO ERC) is increasingly asked to review research protocols that are either primarily on sociobehavioural or bio-medical projects. This paper will discuss some of the challenges and issues in socio-behavioural research, based on the experience of WHO ERC. This is not meant to be an exhaustive discussion in relation to sociobehavioural research, but on the common 'problems' that the WHO ERC faces. Insufficient Expertise in Ethics Committees Because of the growing demand for socio-behavioural research on health determinants, the ethics committees of many organisations and universities that traditionally review bio-medical research are now challenged to review social science projects or those that have social science components. Traditionally, the social sciences are described as 'soft sciences', because they do not use the rigorous quantitative approach that is used by bio-medical researchers that can be reliably reproduced. The social scientists conventionally use qualitative approaches and also combine quantitative approaches which few bio-medical researchers sometimes (incorrectly) consider 'fuzzy'. Therefore the ethics committees that often have a predominance of medical researchers or no social scientists on their panels, often, misunderstand these projects. It is important that such ethics committees should include social scientists on their panel or at least have them as advisers. Nine of the 26 members of the WHO ERC are social scientists, and the current Chair is a social scientist. This allows the WHO ERC to evaluate most of the social science projects adequately, without having to call in external experts. This was, however, not necessarily the case in the past. We had a paucity of social scientists and were blamed for being too rigid! The Research Protocol The social scientists claim that because they use sufficiently different methodologies as compared to bio-medical scientists, they cannot use the same format for writing their protocols. For example, items like the sample size and inclusion and exclusion criteria cannot be defined in the social sciences. What this really means is that they cannot be defined in precise quantitative terms; however they can be described qualitatively (e.g., that a snowballing technique will be used or that 'enough persons will be selected till a point of saturation is reached' etc.). It is the opinion of the WHO ERC that all research protocols can be and should be described using a similar format. This allows for easy reading and review of protocols. Ethics Committees need to know the details about the way research will be conducted in order to identify the ethical issues in projects. One of the commonest problems that is seen at the WHO ERC is that enough methodological details are not provided in many social science projects. For example, many social science projects just mention that focus group discussions will be conducted in the research communities. The WHO ERC (as should other ERCs) requires information about how many FGDs, with whom, why, where, how etc. This type of information is required for all interventions. Data analysis - It may not be enough to say that qualitative approaches will be used to analyse the data, - the analytical tools and methods in the social sciences are sufficiently refined to be described - and should be described, as is done for bio-medical research. Adequate peer review - like any bio-medical research, any socio-behavioural research project must have been reviewed by at least two independent peer reviewers who provide comments on the technical and scientific aspects of projects. Risks to Participants While most socio-behavioural research projects do not have a risk of physical harm (though gender based violence is a definite but an under-estimated risk in many situations), they cannot all be considered as low-risk projects. The potential for harm may be much higher, partly because it may be hidden and unrecognised. It is the responsibility of the ethics committee to be cognizant of such potential risks. In the experience of the WHO ERC, some of the common causes for the potential for harm can occur through: 1. Psychological trauma - discussion of traumatic experiences or private experiences that the participants might not wish to discuss. 2. Breach of confidentiality and privacy. 3. Stigmatisation, either through breach of confidentiality or inadequate attention to gender issues. 4. Increasing vulnerability through inadequate attention to confidentiality and privacy issues. Socio-behavioural research is often of greater interest in groups of individuals who are already very vulnerable (which is usually the basic premise for studying these individuals) like displaced persons, the impoverished or illiterate population, deviant personalities, those indulging in illegal activities, etc. Often, the safeguards for protecting them and their rights are not sufficiently explained in the protocol, and this is of concern to Ethics Review Committees. Privacy and confidentiality issues are so important that they deserve a special section. The social science methods often include taping interviews, taking photographs, asking intimate questions, observing practices, and spending long periods of time with research participants thus becoming privy to some very personal and intimate knowledge about them. Often the participants forget that they are engaged in research and the boundaries between the professional and private may become blurred, increasing the risk of breaching confidentiality. These issues deserve more discussion in protocols in order to demonstrate that they have been considered by the investigators, and they are aware of the issues and are taken seriously. Data Ownership In the course of conducting social science projects, the investigators may become privy to local knowledge and customs that may have the potential for intellectual property rights (IPR) and be subject to IPR issues (for example collecting information on methods of traditional healing). Who will own the data and who will have IP rights should be a concern raised by the ethics committees. Care Provision in the Context of Socio-Behavioural Health Research This is a common issue. While social scientists may not have the professional duty to provide or even make arrangements for health care provision, where it is lacking, but by entering into a collaborative relationship (and sometimes an intimate collaborative relationship with the communities), they do incur a moral obligation to do so. It is not a requirement that they have to take responsibility for improving health care services or provide care and treatment for a disease that they are studying. However, by being in a dominant position, they can make a difference by: 1. providing information; 2. ensuring that research participants have access to counselling; 3. exploring various avenues, and 4. forming networks with civil society organisations and public health officials in order to provide care and treatment etc. Ethics committees (like the WHO ERC) can insist that these moral obligations are fulfilled. It is equally important that these arrangements are discussed with the research communities prior to initiation of research and also ensure that a clear understanding of roles and responsibilities by all concerned. Formative Research Increasingly, many bio-medical research projects carry out formative research prior to initiating large-scale clinical trials. Formative research often combine qualitative and quantitative methods, but is often not adequately described in protocols, except to do a lip-service. Very often, the protocols have single sentences mentioning that formative research will be carried out. At least the WHO ERC likes to see greater details on this aspect of the study. Dissemination of Research Results to Communities The WHO ERC is increasingly concerned that communities that take part in research study are not always informed about research outcomes. While it may be easier to communicate the outcomes of bio-medical research, one must be more careful in social science research lest the vulnerabilities of individuals are exposed or harm to some families might occur. It is therefore advisable to think carefully on how to disseminate the research results in a responsible and balanced manner. This is not an exhaustive list of ethical issues that the WHO ERC is concerned about but they are the most frequently encountered ones. I do not think that we are alone in being challenged by these issues. Other ethics committees that review socio-behavioural research projects probably also have similar concerns. Greater communication is required between social scientists and ethics committee members to resolve some of these issues. These problems do not occur due to lack of concern by social scientists but because of lack of the understanding of the requirements of the WHO ethics committee. ## Participants 1. ADDO, K.K. (Dr.) Noguchi Memorial Institute for Medical Research, University of Ghana, Legon, Ghana kaddo@noguchi.mimcom.net 2. ADEBAMOWO, Clement (Professor) College of Medicine, University of Ibadan, Ibadan, Nigeria cadebamo@yahoo.com 3. ADEJUMO, 'Bayo (Dr.) Department of Psychology, University of Ibadan, Ibadan, Nigeria bisiandbayo@yahoo.com 4. ADERINTO, Adeyinka Abideen (Dr.) Department of Sociology, University of Ibadan, Ibadan, Nigeria aderinto@yahoo.com 5. ADUAGBA, Usman Bolaji (Mr.) Department of Health Planning & Research, Federal Ministry of Health, Shehu Shagari Way, Abuja, Nigeria. bolajiadua@yahoo.com 6. AGOMOH, Uche (Ms.) Legal Practioner, JB Daudu & Co.,Abuja, Nigeria. uceeh@yahoo.com 7. AKPOVETA-NIEMOGHA, M.T. (Dr.) Nigerian Institute of Medical Research, 6 Edmund Crescent,Off Murtala Muhammed Way, PMB 2013,Yaba, Lagos, Nigeria niemoghamary@yahoo.co.uk 8. ALABI, Abraham (Dr.) Medical Research Laboratory, Banjul, Gambia aalabi@mrc.gm 9. ALI, Ahmed Gubio (Mr.) Department of Health Planning & Statistics,Federal Ministry of Health, Shehu Shagari Way, Abuja, Nigeria. Aligubio_ahmed@yahoo.co.uk 10. ALUBO, Ogoh (Professor) Department of Sociology, University of Jos, Jos, Nigeria. ogohalubo@yahoo.com 11. ARINZE-ONYIA, Susan (Dr.) Faculty of Science, Enugu State University of Science & Technology, Enugu, Nigeria samakarinze@yahoo.com 12. BABALOLA, Chinedum (Dr.) IMRAI, College of Medicine, University of Ibadan, Ibadan, Nigeria. peacebab2001@yahoo.com 13. DJOKAM, Tamo R.R. (Dr.) University of Yaoundé I, Cameroon rdjokam@yahoo.fr 14. EDICHA, Jibril Abdullahi (Mr.) Department of Geography, University of Abuja, Abuja, Nigeria. edijib@yahoo.com 15. EGUAEVON, Agatha N. T. (Dr.) Department of Sociology, Ambrose Alli University, Ekpoma, Nigeria. anteguavon@yahoo.com 16. EKWUNIFE, C.C. (Dr.) Nnamdi Azikiwe University, Awka, Nigeria drcyee@yahoo.com 17. ERINOSHO, Layi (Professor) Department of Sociology Olabisi Onabanjo University Ago-Iwoye, Ogun State, Nigeria laierinosho@yahoo.com or erinosho@skannet.com 18. EWOIGBOKHAN, Stalin (Mr.) COMPASS, 35 George Sowemimo Street, Abuja, Nigeria sewoigbokhan@gmail.com or sewoigbokhan@yahoo.co.uk 19. FADEYI, O. (Dr.) Department of Sociology, Lagos State University, Ojo, Lagos, Nigeria fadeyi2@yahoo.com 20. FAKEYE, Tolu (Dr.) Department of Planning, Research & Statistics, Federal Ministry of Health, Shehu Shagari Way, Abuja, Nigeria tolu_fakeye@yahoo.co.uk 21. IGUN, Uvie A. (Professor) Department of Sociology, Delta State University, Abraka, Delta State, Nigeria aruoturegr@yahoo.com 22. IVHARUE, John Ogie (Mr.) Department of Sociology, Post Graduate School, University of Abuja, Abuja, Nigeria. ivharuejohn@yahoo.com 23. JEGEDE, Ayodele Samuel (Dr.) Department of Sociology, University of Ibadan, Ibadan, Nigeria sayjegede@yahoo.com 24. JESANI, Amar (Dr.) Trustee Anusandhan Trust, Sai Ashray, Aaram Society Road, Vakola, Santacruz, East , Mumbai, 400055, India amar.jesani@gmail.com 25. MAFE, Margaret (Dr.) Department of Planning, Research & Statistics,Federal Ministry of Health, Shehu Shagari Way, Abuja, Nigeria margmafe@yahoo.co.uk 26. MAMMAN, Aisha Indo (Dr.) Department of Haematology, Ahmadu Bello University, Zaria, Nigeria aishamamman@yahoo.com 27. NKWI, Paul (Professor) Centre for Training and Research, BP 1862,Yaoundé, Cameroon. nchoji@yahoo.com 28. NNODU, O.E. (Dr.) Department of Haematology, College of Medicine, University of Abuja, Abuja, Nigeria obynnodu@yahoo.com 29. NWOKE, Bertram E. B. (Professor) Department of Parasitology, Imo State University, Owerri, Nigeria bebndie@yahoo.com 30. NYANDAITI, Yakub (Dr.) Department of Medicine, University of Maiduguri, Maiduguri, Nigeria ynyandaiti@yahoo.com 31. ODEKUNLE, Femi (Professor) Department of Sociology, University of Abuja, Abuja, Nigeria femiodekunle2005@yahoo.com 32. ODUNUGA, Segun (Professor) Faculty of Arts, Olabisi Onabanjo University, Ago-Iwoye, Ogun State, Nigeria segun.odunugua@yahoo.com 33. OGUNJUYIGBE, P.O. (Dr.) Department of Demography & Statistics, Obafemi Awolowo University, Ile-Ife, Nigeria pogunjuyigbe@yahoo.com 34. OKUMAGBA, Mamodesan T. (Dr.) Department of Preventive/Community Dentistry, Faculty of Dentistry, College of Health Sciences, Delta State University, Abraka, Delta State, Nigeria. okusdent@yahoo.com 35. OLURODE, Lai (Professor) Department of Sociology, University of Lagos, Yaba, Lagos, Nigeria olurode@yahoo.com 36. OWUMI, B.E. (Dr.) Department of Sociology, University of Ibadan, Ibadan, Nigeria bowumi@yahoo.com 37. PETU, Amos (Dr.) World Health Organization, UN House, Abuja, Nigeria. petua@ng.afro.who.int 38. SAXENA, Abha (Dr.) World Health Organization, Section on Review of Protocols, Geneva, Switzerland saxenaa@who.int 39. SCHMIDT, H (Dr.) Nuffield Bioethics Council, 28 Bedford Road, London, UK hschmidt@nuffieldbioethics.org 40. SOMMERFELD, Johannes (Dr.) Manager/Social Scientist, TDR/WHO, World Health Organization,Geneva, Switzerland sommerfeldj@who.int 41. TAIWO, Abigail O. (Dr.) Department of Psychology, University of Ibadan, Ibadan, Nigeria bolataiwo31@yahoo.com 42. TINUOLA, Femi (Dr.) Department of Sociology, Kogi State University, Anyigba, Kogi State, Nigeria. adufem2000@yahoo.com 43. UZUEGBUNAM, Anthonia (Dr.) School of General Studies, University of Nigeria, Nsukka, Nigeria. toniauzuegbuman@yahoo.com 44. YAKUBU, Aminu Adamu (Mr.) Department of Health Planning & Research Federal Ministry of Health, Shehu Shagari Way, Abuja, Nigeria. yaminads@yahoo.com ## Secretariat 45. AMASSEY, Grace (Mrs.) Social Science Academy of Nigeria, Flat 99, Crescent 12, Kado Housing Estate, Abuja, Nigeria graceamaugo@yahoo.com 46. AUDU, Hannah (Ms.) Social Science Academy of Nigeria, Flat 99, Crescent 12, Kado Housing Estate, Abuja, Nigeria hanniesj@yahoo.com	en
0239-pdf	## 2016 Uk Greenhouse Gas Emissions, Provisional Figures Statistical Release: National Statistics This document is available in large print, audio and braille on request. Please email enquiries@beis.gov.uk with the version you require. ## © Crown Copyright 2017 You may re-use this information (not including logos) free of charge in any format or medium, under the terms of the Open Government Licence. To view this licence, visit www.nationalarchives.gov.uk/doc/open-governmentlicence/version/3/ or write to the Information Policy Team, The National Archives, Kew, London TW9 4DU, or email: psi@nationalarchives.gsi.gov.uk. Any enquiries regarding this publication should be sent to us at ClimateChange.Statistics@beis.gov.uk. The responsible statistician for this publication is Amanda Penistone. Contact telephone: 0300 068 8090. This publication is available for download at https://www.gov.uk/government/collections/finaluk-greenhouse-gas-emissions-national-statistics. ## Contents Executive Summary ___________________________________________________ 3 Introduction __________________________________________________________ 5 2016 annual provisional emissions results __________________________________ 7 Energy Supply _____________________________________________________ 10 Residential ________________________________________________________ 12 Transport _________________________________________________________ 13 Business __________________________________________________________ 13 Industrial process ___________________________________________________ 14 Public sector _______________________________________________________ 14 Agriculture; waste management; and land use, land use change and forestry _____ 14 Carbon dioxide emissions by fuel type _____________________________________ 15 2016 temperature adjusted provisional emissions results by sector _______________ 17 Additional Information __________________________________________________ 19 Coverage of emissions reporting _______________________________________ 19 Basis of the provisional emissions estimates ______________________________ 19 Quarterly totals _____________________________________________________ 20 Temperature adjustment ______________________________________________ 20 Revisions to the quarterly provisional emissions estimates ___________________ 20 Future updates to emissions estimates __________________________________ 21 Further information __________________________________________________ 21 Background notes ___________________________________________________ 21 ## Executive Summary This publication provides the latest estimates of 1990-2016 UK greenhouse gas emissions which are presented in carbon dioxide equivalent units throughout this statistical release. ## Key Findings The provisional emissions figures rely on estimates of carbon dioxide emissions based on UK energy statistics. In 2016, UK net emissions of carbon dioxide were provisionally estimated to be 374.1 million tonnes (Mt), 7.4 per cent lower than the 2015 figure of 403.8 Mt. Carbon dioxide (CO2) is the main greenhouse gas, accounting for over 81 per cent of total UK greenhouse gas emissions. This decrease in emissions was mainly caused by:  Reductions in carbon dioxide emissions in the energy supply sector, down 18.7 per cent (25.4 MtCO2e) driven by a large decrease in power station emissions due to a change in the fuel mix for electricity generation, with less use of coal (as a result of reduced capacity and conversion of a unit at Drax to biomass) and increased use of gas.  A decrease of 10.3 per cent (7.1 MtCO2e) in the business sector, driven by a reduction in emissions from manufactured solid fuels, following the closure of SSI steelworks at Redcar in September 2015. Total carbon dioxide emissions on a temperature adjusted basis for 2016 were 378.2 Mt, 1.0 per cent higher than actual emissions. This reflects the fact that temperatures in 2016 were slightly higher than the long term average. The sectoral breakdowns for provisional emissions are based on the source of the emissions. Emissions related to electricity generation are therefore attributed to power stations, the source of these emissions, rather than homes and businesses where electricity is used. 2016 UK greenhouse gas emissions provisionally estimated to decrease from 2015 2016 temperature adjusted greenhouse gas emissions were higher than actual emissions Temperature adjusted emissions estimates remove the effect of external temperatures Figures are annual totals including the preceding 4 quarters. The energy supply sector experienced the largest reduction in CO2 emissions from 2015 to 2016 Energy supply 13% 46% Industrial process 10% 45% Business 1% 1% Transport 15% 4% Residential 5% Public 37% Higher temperature adjusted emissions reflects the fact that temperatures in 2016 were slightly warmer than the long term average Reduction in energy supply CO2 emissions driven by change in fuel mix for electricity generation in 2016, with less use of coal and more use of nuclear and renewables ## Introduction This publication provides provisional annual and quarterly estimates of UK greenhouse gas emissions by source sector for 2016. This publication also provides an estimate of temperature adjusted emissions, which give an idea of overall trends in emissions without fluctuations due to changes in external temperature. Data for 1990-2015 are consistent with the annual emissions presented in the National Statistics publication '2015 Final UK Greenhouse Gas Emissions statistics'. Data for 2016 emissions are provisional and are calculated based on UK energy statistics. The provisional estimates of carbon dioxide emissions are based on provisional inland energy consumption statistics, which are being published at the same time in DECC's quarterly Energy Trends publication. Estimates of non-CO2 gases are based on a simple approach which assumes that emissions of non-CO2 gases in 2016 will be the same as emissions in 2015, and that these emissions will be spread evenly over the year. Quarterly emissions estimates are presented as a moving annual total up to a particular quarter. For example when quarterly emissions are presented as up to quarter 4, 2016, this represent an annual total comprising the latest quarter (quarter 4 2016) and the preceding 3 quarters (quarters 1, 2 and 3 of 2016). Presenting the data in this way has some advantages over presenting data for single quarters, since seasonal fluctuations are smoothed out and long term trends highlighted. Data on emissions in individual quarters are available in the Excel spread sheet data tables published alongside this publication. There are uncertainties associated with all estimates of greenhouse gas emissions. Although for any given year considerable uncertainties may surround the emissions estimates for a pollutant, it is important to note that trends over time are likely to be much more reliable. It is also important to note that the provisional 2016 estimates are subject to a greater range of uncertainty than the final figures for earlier years. For more information on uncertainties see the annex published alongside the 2015 Final UK Greenhouse Gas Emissions statistics. For the purposes of reporting, greenhouse gas emissions are allocated into sectors as follows:  Energy supply  Business  Transport  Public  Residential  Agriculture  Industrial process  Land use, land use change and forestry (LULUCF)  Waste management These high-level sectors are made up of a number of more detailed sectors, which follow the definitions set out by the Intergovernmental Panel on Climate Change (IPCC), and which are used in international reporting tables which are submitted to the United Nations Framework Convention on Climate Change (UNFCCC) every year. The provisional estimates are not used for any formal reporting of how the UK is performing against its emissions reduction targets, as this requires final estimates based on the UK's greenhouse gas inventory. However, these statistics give policy makers and other users an initial steer as to the trend in emissions between 2015 and 2016, which helps them to form an initial assessment of the extent to which the UK is on track to meet targets. For information on UK emissions targets and progress towards them, see the 2015 Final UK Greenhouse Gas Emissions statistics. More information about the underlying methodology for the quarterly emissions statistics can be found in the accompanying methodology document. Note that all 2016 greenhouse gas emissions and energy statistics figures in this statistics release are provisional and subject to change. The annual provisional emissions estimates will be subject to revision when the final estimates are published in February 2018; however, they provide an early indication of emissions in the most recent full calendar year. The majority of provisional estimates in the past have been within 2 per cent of the final figures. ## 2016 Annual Provisional Emissions Results In 2016, an estimated 30 per cent of carbon dioxide emissions were from the energy supply sector, 32 per cent from transport, 16 per cent from business and 18 per cent from the residential sector. Between 2015 and 2016, provisional estimates indicate that carbon dioxide emissions decreased by 7.4 per cent (29.8 million tonnes (Mt)). Emissions in the energy supply sector decreased by 18.7 per cent (25.4 Mt), driven by a change in the fuel mix for electricity generation, with less use of coal (as a result of reduced capacity and conversion of a unit at Drax to biomass) and increased use of gas. Business sector emissions decreased by 10.0 per cent (7.1 Mt) due to a reduction in the use of manufactured solid fuels following the closure of SSI steelworks at Redcar in September 2015. Emissions increased by 4.5 per cent (2.8 Mt) in the residential sector due to an increase in the use of natural gas for space heating, and there was also a small increase of 0.9 per cent in emissions from the transport sector. Since 1990, UK carbon dioxide emissions have decreased by 37 per cent. This decrease has resulted mainly from changes in the mix of fuels being used for electricity generation, including the growth of renewables, together with greater efficiency resulting from improvements in technology and a decline in the relative importance of energy intensive industries. Overall energy consumption is provisionally estimated to have decreased by around 10 per cent since 1990 (although it increased up to 2001 and has decreased since then). If this figure is adjusted to allow for the effect of temperature, energy consumption has fallen by around 13 per cent between 1990 and 2016. UK, 1990-2016 MtCO2e 1990 1995 2000 2005 2010 2015 2016 (p) Energy supply 242.1 210.0 203.3 218.7 196.6 136.4 110.9 from power stations 202.9 162.7 158.0 172.7 156.9 102.9 77.9 other Energy supply 39.2 47.3 45.3 46.0 39.8 33.5 33.1 Business 111.6 108.7 108.8 96.9 78.4 68.6 61.5 Transport 119.2 119.4 124.5 128.8 119.0 118.8 119.8 Public 13.4 13.2 12.1 11.1 9.7 8.1 8.5 Residential 78.4 79.7 85.6 82.5 84.5 63.4 66.3 Agriculture 7.0 7.1 5.7 5.6 5.2 5.2 5.2 Industrial process 19.4 17.7 17.0 16.4 10.6 12.1 10.6 Waste management 1.3 0.9 0.5 0.4 0.3 0.3 0.3 LULUCF 3.2 0.6 -1.8 -5.2 -7.5 -8.9 -8.9 Total CO2 595.7 557.5 555.7 555.2 496.7 403.8 374.1 Other greenhouse gases 203.3 191.0 154.1 130.6 109.2 91.9 91.9 Total greenhouse gases 799.0 748.5 709.7 685.8 605.9 495.7 466.0 Source: Table 1, Provisional UK greenhouse gas emissions national statistics 1990-2016 Excel data tables Notes: 1. (p) 2016 estimates are provisional. 2. Provisional 2016 CO2 emissions for the agriculture, waste and LULUCF sectors are assumed to be the same as 2015 estimates as unlike other CO2 estimates these cannot be estimated from energy statistics. 3. The entire time series is revised each year to take account of methodological improvements in the UK emissions inventory. 4. Emissions are presented as carbon dioxide equivalent in line with international reporting and carbon trading. To convert carbon dioxide into carbon equivalents, divide figures by 44/12. 5. Figures shown do not include any adjustment for the effect of the EU Emissions Trading System (EU ETS), which was introduced in 2005. 6. Totals for CO2 emissions, energy supply and total greenhouse gases may not sum due to rounding. 7. Estimates of non-CO2 gases are based on a simple approach which assumes that emissions of non-CO2 gases in 2016 will be the same as emissions in 2015. Note: 1. Figures are annual totals including the preceding 4 quarters. 2. From year to Q1 2016 onwards, figures include provisional data. Both the non-adjusted and the temperature corrected series show a general decreasing trend since 2009. On a temperature adjusted basis, emissions remained relatively flat during the period between early 2010 and 2012, while non-adjusted emissions were much more variable during this period, showing that much of the fluctuation in the non-adjusted series can be attributed to changes in energy use due to varying external temperatures. In particular, Q4 2010 was 2.4 degrees (Celsius) lower than the long term average, while temperatures in Q4 2012 and Q1 2013 were 0.5 and 1.8 degrees (Celsius) lower than the long term average. During 2013, 2014 and 2015 both temperature adjusted and non-adjusted emissions have fallen. ## Energy Supply The energy supply sector was the largest contributor to the decrease in carbon dioxide emissions between 2015 and 2016. Carbon dioxide emissions from this sector were provisionally estimated to be 110.9 Mt in 2016, a decrease of 19 per cent (25.4 Mt) compared to 2015. Since 2015 emissions from power stations have decreased by 24 per cent, largely due to changes to the fuel mix used at power stations for electricity generation. In particular there was a 59 per cent decrease in coal use for generation (as a result of reduced capacity and conversion of a unit at Drax to biomass) and an increase in use of gas. In 2016, carbon dioxide emissions from power stations, at 77.9 Mt, accounted for a fifth of all carbon dioxide emissions. Looking at longer term trends, carbon dioxide emissions from the energy supply sector were estimated to be around 54 per cent lower in 2016 than they were in 1990. This decrease has resulted mainly from changes in the mix of fuels being used for electricity generation, including fuel switching from coal to gas and the growth of renewables, together with greater efficiency resulting from improvements in technology. There has been an overall decline in the use of coal at power stations over the period (particularly during the 1990s), accompanied by an overall increase in the use of gas, which has a lower carbon content. Coal use in generation is estimated to have reduced by 85 per cent between 1990 and 2016. Overall, emissions from electricity generation have decreased by 62 per cent since 1990, despite final consumption of electricity being provisionally estimated to be around 13 per cent higher in 2016 than in 1990 (although it peaked in 2005 and has decreased since then). ## Residential In 2016, the residential sector, with emissions of 66.3 Mt, accounted for 18 per cent of all carbon dioxide emissions. Between 2015 and 2016 there was a 4.5 per cent (2.8 Mt) increase in emissions from this sector. Whilst the average temperature for both years was similar the months of November and December were both over 3 degrees Celsius cooler on average when compared to the same months in 2015 which has contributed to an increase in the use of natural gas for space heating. The main source of emissions from this sector is the use of natural gas for heating and cooking. Since 2004 there has been a general downward trend in emissions, although 2010 and 2012 were exceptions to this, due to the particularly cold weather experienced in 2010 and warm weather in 2011. In 2016, emissions from this sector were 15 per cent lower than in 1990. It should be noted that emissions from this sector do not include those related to domestic electricity consumption, as these emissions are included in the energy supply sector. ## Transport In 2016, carbon dioxide emissions from the transport sector, at 119.8 Mt, accounted for 32 per cent of all carbon dioxide emissions. Between 2015 and 2016, transport emissions increased by 0.9 per cent (1.0 Mt). Provisional motor vehicle traffic estimates show that vehicle kilometres travelled increased in 20161 resulting in a higher use of fuel. Emissions from this sector are similar to 1990 levels. Road transport is the most significant source of emissions in this sector, in particular passenger cars. Emissions from passenger cars have decreased since the early 2000s due to lower petrol consumption outweighing an increase in diesel consumption2 and, more recently, improvements in fuel efficiency of both petrol and diesel cars3. However, this decrease has been partially offset by an increase in emissions from light goods vehicles. It should be noted that these estimates do not include emissions from international aviation and shipping; domestic aviation and shipping, however, are included. ## Business Carbon dioxide emissions from the business sector, at 61.5 Mt, accounted for around 16 per cent of all carbon dioxide emissions in 2016. This was 10.3 per cent (7.1 Mt) lower than in 2015, largely due to a reduction the use of manufactured solid fuels following the closure of SSI steelworks at Redcar in September 2015. There has been a 45 per cent decrease in business sector emissions since 1990. Most of this decrease came between 2001 and 2009, with a significant drop in 2009 likely driven by economic factors. The main driver of the overall decrease in emissions since 1990 is a reduction in emissions from industrial combustion (including iron and steel). ## Industrial Process In 2016, carbon dioxide emissions from the industrial process sector were estimated to be 10.6 Mt, a decrease of 13.0 per cent (1.5 Mt) compared with 2015. Between 1990 and 2016, emissions from this sector are estimated to have decreased by around 46 per cent driven by a reduction in emissions from cement production due to lower manufacturing output from this sector. ## Public Sector Carbon dioxide emissions from the public sector, at 8.5 Mt, were estimated to have increased by about 5.2 per cent (0.4 Mt) from 2015 emissions. This has been largely driven by an increase in the use of gas for space heating as a result of 2016 being a cooler year than 2015. Between 1990 and 2016, emissions from this sector are estimated to have decreased by around 37 per cent. ## Agriculture; Waste Management; And Land Use, Land Use Change And Forestry Updated emissions estimates for these sectors are not yet available for 2016, so for these statistics, emissions from these sectors are assumed to be the same as they were in 20154. ## Carbon Dioxide Emissions By Fuel Type The amount of carbon dioxide released by the consumption of one unit of energy depends on the type of fuel consumed. For example, since coal has a higher carbon content than gas, more carbon dioxide emissions result from burning one unit of coal than from one unit of gas. Emissions per unit of electricity supplied by major power producers from fossil fuels are estimated to have been around 440 tonnes of carbon dioxide per gigawatt hour (GWh) overall in 2016; within this, emissions from electricity generated from coal (880 tonnes of carbon dioxide per GWh electricity supplied) were over two times higher than for electricity supplied by gas (330 tonnes of carbon dioxide per GWh). For all sources of electricity (including nuclear, renewables and autogeneration), the average amount of carbon dioxide emitted in 2016 amounted to around 220 tonnes per GWh of electricity supplied. In 2016, carbon dioxide emissions from the use of fossil fuels, including fuel used for generating electricity, were estimated at 365.9 Mt. This was 8 per cent lower than the 2015 figure of 395.6 Mt. The biggest change in emissions was from the use of coal, down 39.3 Mt (54 per cent) from 72.7 Mt in 2015 to 33.4 Mt in 2016. This largely resulted from a change in the fuel mix for electricity generation, with less use of coal (as a result of reduced capacity and conversion of a unit at Drax to biomass) and increased use of gas. Over the period 1990 to 2016, carbon dioxide emissions from fossil fuels decreased by 36 per cent. Over the same period, overall primary consumption of fossil fuels has dropped by around 20 per cent. The relatively higher decrease in emissions can be attributed to an increase in the use of gas accompanied by a decrease in the use of coal and other solid fuels; carbon dioxide emissions from gas as a proportion of all carbon dioxide emissions from fossil fuels has increased from 24 per cent in 1990 to 48 per cent in 2016, whilst emissions from coal as a proportion of all fossil fuel carbon dioxide emissions has decreased from 37 per cent to 9 per cent over the same period. The proportion of carbon dioxide emissions from oil has remained relatively stable over the period at around a third of emissions. UK, 1990-2016 MtCO2e 1990 1995 2000 2005 2010 2015 2016 (p) Gas 145.9 188.5 241.5 235.4 228.4 171.8 181.4 Oil 191.6 179.6 168.1 170.2 150.7 143.8 144.6 Coal 219.2 152.0 117.0 124.9 100.9 72.7 33.4 Other solid fuels 14.1 13.3 11.5 10.1 8.9 7.3 6.5 Non-fuel 24.9 24.0 17.6 14.6 7.8 8.2 8.2 Total 595.7 557.5 555.7 555.2 496.7 403.8 374.1 Note: (p) 2016 estimates are provisional. ## 2016 Temperature Adjusted Provisional Emissions Results By Sector A temperature adjustment has been applied to the quarterly CO2 emissions, in order to estimate what the overall trend of emissions would have been without the impact of external temperatures. Table 3 compares temperature adjusted and unadjusted quarterly CO2 emissions by sector. MtCO2 Temperature Difference Difference Total CO2 adjusted CO2 emissions (%) (MtCO2) emissions Energy supply 110.9 112.2 1.2 1.1% Business 61.5 62.1 0.6 1.0% Transport 119.8 119.8 0.0 0.0% Public 8.5 8.7 0.2 2.0% Residential 66.3 68.4 2.1 3.2% Other 7.1 7.1 0.0 0.0% Total CO2 374.1 378.2 4.1 1.1% Source: Tables 3 & 4, Provisional UK greenhouse gas emissions national statistics 1990-2016 Excel data tables Note: 1. Figures for "Total CO2" and "Difference" may be different to the sum of those presented in the table due to rounding. The sectors most influenced by temperature are residential and energy supply. With respect to the residential sector in particular, if temperatures increase there is a decrease in demand for space heating, resulting in a decrease in emissions. The reverse is true if temperatures decrease. Figures 7 and 8 below show the trend for these two sectors. Temperature adjusted emissions from the energy supply sector show a similar trend to non-adjusted emissions. In the residential sector, the difference between actual and temperature adjusted emissions is much more noticeable than in other sectors, reflecting the fact that this is the sector in which energy consumption and emissions are most sensitive to external temperatures. On a temperature adjusted basis, residential emissions have remained relatively flat since 2009, while the trend for non-adjusted emissions is much more variable over the same time period. Temperature adjusted emissions in the residential sector have decreased by around 6 per cent compared to the year to Q1 2009, while non-adjusted emissions have decreased by around 18 per cent over the same period. ## Additional Information Coverage Of Emissions Reporting The basket of greenhouse gases covered by these statistics is based on that covered by the Kyoto Protocol, and consists of seven gases: carbon dioxide, methane, nitrous oxide, hydrofluorocarbons, perfluorocarbons, sulphur hexafluoride and nitrogen trifluoride. The last four gases are collectively referred to as fluorinated gases or F gases. In accordance with international reporting and carbon trading protocols, each of these gases is weighted by its global warming potential (GWP), so that total greenhouse gas emissions can be reported on a consistent basis. The GWP for each gas is defined as its warming influence relative to that of carbon dioxide. Greenhouse gas emissions are then presented in carbon dioxide equivalent units. Carbon dioxide (CO2) is reported in terms of net emissions, which means total emissions from burning fuel minus total removals of carbon dioxide from the atmosphere by carbon sinks. Carbon sinks are incorporated within the land use, land use change and forestry (LULUCF) sector, which covers afforestation, reforestation, deforestation and forest management. They are defined by the United Nations Framework Convention on Climate Change (UNFCCC) as "any process, activity or mechanism which removes a greenhouse gas, an aerosol or a precursor of a greenhouse gas from the atmosphere". Unless otherwise stated, any figures included in this release represent emissions from within the UK and excludes its Crown Dependencies (Jersey, Guernsey, and the Isle of Man) and overseas territories. Figures are expressed in millions of tonnes of carbon dioxide equivalent (MtCO2e). ## Basis Of The Provisional Emissions Estimates The estimates of carbon dioxide emissions have been produced based on provisional inland energy consumption statistics which are published in DECC's quarterly Energy Trends publication. Carbon dioxide accounts for the majority of UK greenhouse gas emissions (82 per cent in 2015). However, in order to give an indication of what the latest provisional carbon dioxide emissions estimates imply for the total, we need to also produce an estimate of emissions of the remaining non-CO2 gases. Estimates of non-CO2 gases are based on a simple approach which assumes that emissions of non-CO2 gases in 2016 will be the same as emissions in 2015, and that these emissions will be spread evenly over the year. ## Quarterly Totals In order to remove the seasonality in the data so that a trend in emissions over time can be observed, quarterly emissions are reported as annual totals, covering the stated quarter plus the preceding three quarters. When data becomes available for each new quarter, the estimates for the latest quarter are added to the total, while at the same time the estimates for the same quarter from the previous year are removed from the series. This procedure serves to smooth out short-term fluctuations and highlights long term trends, and can be used to show the underlying trend each quarter. Emissions estimates for each individual quarter are reported in the data tables accompanying this publication. ## Temperature Adjustment Carbon dioxide emissions are indirectly influenced by external temperatures. During the winter months, emissions are generally higher than in summer months, due to higher demand for fuel for space heating. During a particularly cold winter for example, it is likely that more fuel will be burnt for domestic or commercial use than during an average winter, and therefore emissions will be higher due to the additional fuel consumption. Temperature adjusted quarterly emissions estimates therefore remove the effect of external temperatures. In a particularly cold winter quarter, for example, this will result in temperature adjusted emissions being lower than actual emissions, reflecting the lower fuel consumption which would have occurred if temperatures had been at average levels (based on the 30 year period 1981-2010). The temperature adjustment to emissions has been applied for the months from September to April inclusive; in any given calendar year, it will therefore be applied in the period from January to April, and then again from September to December. Temperature adjustment is determined by the average number of heating degree days in each quarter. This information can be found in Energy Trends. Further details of how quarterly emissions have been estimated and of the methodology underlying the temperature adjusted estimates can be found alongside this statistical release in a separate methodology summary. ## Revisions To The Quarterly Provisional Emissions Estimates It should be noted that the quarterly emissions time series may be revised annually reflect any revisions made to either the underlying energy data or to the UK greenhouse gas inventory. Emissions from 2009-2015 are consistent with final UK greenhouse gas emissions statistics from 1990-2015. Emissions estimates for 2016 are provisional and are based on UK energy statistics. More information on the timing of revisions to the underlying data can be found in the methodology summary. ## Future Updates To Emissions Estimates Final estimates of UK greenhouse gas emissions for 2016 will be published as National Statistics on 6th February 2018. These estimates will be based on the UK's Greenhouse Gas Inventory for 2016. Provisional estimates help us to understand the latest trend in emissions, and will provide an early indication of this trend ahead of the final annual figures being available from our greenhouse gas emissions inventory. We recommend that users look at this trend rather than any absolute figures. It is important to note that these figures are based on provisional energy data and are subject to change. The sectoral breakdown is given mainly for information, and is included in the publication for completeness, but sectoral estimates are more uncertain than the total. ## Further Information Further information on UK greenhouse gas emissions statistics, including Excel tables with additional data on UK emissions, can be found on the Gov.uk website at: https://www.gov.uk/government/collections/uk-greenhouse-gas-emissions-statistics The latest UK energy statistics, including revisions to earlier years' data, can be found in the Energy Trends quarterly bulletin produced by BEIS. Any enquiries about the Energy Trends report should be sent to energyefficiency.stats@beis.gov.uk. ## Background Notes 1. A full set of data tables can be accessed via the Final UK greenhouse gas emissions national statistics pages of the Gov.uk website. 2. The background quality report provides a summary of quality issues relating to statistics on UK greenhouse gas (GHG) emissions. 3. The latest UK energy statistics, including revisions to earlier years' data, can be found in the 2016 Digest of UK Energy Statistics. 4. Detailed UK temperature data can be found on both the Met Office website and the Weather Statistics section of the Gov.uk website. 5. When emissions are measured on this basis, UK emissions account for less than 2 per cent of the global total, based on a range of estimates produced by the UN, the IEA, the World Resources Institute and the EIA, amongst others. Department for Business, Energy & Industrial Strategy 1 Victoria Street, London, SW1H 0ET www.gov.uk/beis	en
1070-pdf	# Monthly Report: Surveillance Project Sb4008 Ifng Tests For Bovine Tuberculosis (Tc0651 And Tc0751) Number 148 # Report Period 1St - 31St December 2018 ## Operational Notes On Terminology, Definitions, Re-Test And Re-Samples Test Outcomes: - "Samples" refers to an individual tube of blood taken from an individual animal which is subsequently submitted for testing. It is generally assumed that the number of samples and the number of animals are analogous as any duplicate sample blood tube from the same animal will not be tested. However, minor discrepancies may occur where the same animal is tested more than once due to a request for a resample or the animal is tested twice under different categories (for example, as a PAR-RAPID and then as part of a PAR-HERD-S). - "Submissions" refers to an individual batch or set of samples received for testing. Submissions may comprise 1 or more samples (for example, if an entire herd is being tested it is usually sent as 1 submission). It is generally assumed that the number of submissions and the number of herds are analogous. - Retests are samples where the first ELISA assay fails and the same sample is retested on a new ELISA plate. Each sample can be retested only once. A retest is not a reportable test outcome. - Resamples are where a sample has been retested and failed a second time, so that the lab requests a new sample. This is a reportable test outcome. - Rejects are samples that are not tested by the lab for one of the following reasons: blood collected into wrong type of vacutainer, samples that have not been maintained at the appropriate temperature range (22±5C), unlabelled samples, broken or cracked tubes, blood that is extensively clotted (small clots are OK), samples received after 4pm on the day after sample collection. Such samples are reported separately in the tables and in figure 5. - POS (pokeweed mitogen) is a sample positive control reagent which provides a measure of the quality/viability of the blood sample. A POS fail (< 0.45 optical density reading) may indicate compromised blood quality as a result of collection/transportation conditions or due the animal having an unusually low/suppressed cellular immune response. - NEG (no-antigen control) is a sample negative control which provides a measure of the background antigen-independent IFN- responses. A NEG fail (> 0.3 optical density reading) may indicate a laboratory procedures problem (normally resolved during re-test) or that an animal has unusually high background levels of IFN-g. ## Test Criteria \| Submission Reason \| Explanation \| \|-----------------------------------------------------\|----------------------\| \| Possible Herd Slaughter \| \| \| (PAR-HERD-S) \| \| \| Parallel interferon-gamma blood testing of skin \| \| \| test negative cattle to inform whole or partial \| \| \| herd slaughters decisions \| \| \| Parallel blood testing of skin test-negative cattle \| \| \| in persistently infected herds that have failed to \| \| \| resolve by repeated short-interval skin testing \| \| \| and fulfill a minimum of biosecurity standards. \| \| \| Persistent TB breakdowns \| \| \| (OTF status withdrawn) \| \| \| (PAR-P-CONF) N.B. \| \| \| PAR-PERSIS from 1st April \| \| \| 2017 \| \| \| Parallel - Low Incidence \| \| \| (PAR-LOW-IN) N.B. \| \| \| PAR-NEW-IN from 1st April \| \| \| 2017 \| \| \| Parallel blood testing to maximise the \| \| \| probability of removing all infected cattle in a \| \| \| new herd breakdown as soon as possible after \| \| \| confirmation of TB. \| \| \| Rapid Testing of twice IR's \| \| \| (PAR-RAPID) \| \| \| Parallel blood testing of two-times IRs identified \| \| \| under the severe interpretation of the skin test \| \| \| used in Wales. \| \| \| PAR-CUL-N \| \| \| Parallel blood testing to maximise the \| \| \| probability of removing all infected cattle in a \| \| \| new breakdown as soon as possible after \| \| \| confirmation of TB where herd is situated in \| \| \| badger control areas of England that have \| \| \| completed at least 2 effective culls. \| \| \| PAR-CUL-P \| \| \| Parallel blood testing to maximise the \| \| \| probability of removing all infected cattle in a \| \| \| persistent confirmed breakdown where herd is \| \| \| situated within badger control areas of England \| \| \| that have completed at least 2 effective culls \| \| \| Parallel Other \| \| \| (PAR-OTHER) \| \| \| Other parallel blood testing not covered in any \| \| \| of the other scenarios \| \| \| NO (APHA discretion) \| \| \| 'NSR' Herds (SER-NSR) \| \| \| Modified serial blood testing of individual skin \| \| \| test reactors and/or IRs in unconfirmed TB \| \| \| breakdown herds to clarify their infection status \| \| \| where there is evidence of non-specific \| \| \| sensitisation to bovine tuberculin (the \| \| \| "non-specific reactor" procedure) \| \| \| Suspected Fraud \| \| \| (SER-FRAUD) \| \| \| Modified serial blood test of suspected \| \| \| fraudulent reactors to the skin test (animals with \| \| \| abnormal skin swellings), in confirmed or \| \| \| unconfirmed TB incidents. \| \| \| Serial Other \| \| \| (SER-OTHER) \| \| \| Serial test - other reasons \| NO (APHA Discretion) \| \| SER-FLEXI \| \| \| Extended blood test to provide flexible test \| \| \| readout in a confirmed M. bovis-infected herd \| \| \| where Johne's (M. a. paratuberculosis) infection \| \| \| or vaccination is suspected to be interferring \| \| \| with M. bovis infection detection \| \| \| YES, if APHA are \| \| \| contemplating a herd \| \| \| slaughter \| \| \| NO (APHA discretion) \| \| \| YES in Area of Low \| \| \| Incidence \| \| \| YES (Wales only) \| \| \| YES (in eligible badger \| \| \| control areas of England) \| \| \| NO (APHA discretion) \| \| \| NO (APHA discretion) \| \| \| NO (APHA discretion to \| \| \| firm up or rule out any \| \| \| suspicion of fraud and \| \| \| support any \| \| \| investigations) \| \| \| NO (APHA discretion) \| \| \| % \| Total 2018 \| % \| \|-------------------------\|--------------------------\|----------\| \| Num \| \| \| \| samples \| \| \| \| December \| \| \| \| 2018 \| \| \| \| Submissions \| 228 \| 2669 \| \| Samples \| Total (%) \| 21554 \| \| England \| 15274 \| 70.86 % \| \| Wales \| 6280 \| 29.14 % \| \| Scotland \| 2241 \| 0.88 % \| \| Parallel Tests \| PAR-CUL-N \| 2693 \| \| PAR-CUL-P \| 424 \| 1.97 % \| \| PAR-HERD-S \| 1631 \| 7.57 % \| \| PAR-NEW-IN \| 11486 \| 53.29 % \| \| PAR-OTHER \| 1128 \| 5.23 % \| \| PAR-PERSIS \| 3814 \| 17.70 % \| \| PAR-RAPID \| 63 \| 0.29 % \| \| Total(% of all samples) \| 21239 \| 98.54 % \| \| Serial/Extended Tests \| SER-FLEXI \| 315 \| \| SER-FRAUD \| 0 \| 0.00 % \| \| SER-NSR \| 0 \| 0.00 % \| \| SER-OTHER \| 0 \| 0.00 % \| \| Total(% of all samples) \| 315 \| 1.46 % \| \| Total \| 21554 \| 100.00 % \| \| Retests \| Total (% of all samples) \| 1642 \| \| England \| 1192 \| 5.53 % \| \| Wales \| 450 \| 2.09 % \| \| Scotland \| 201 \| 0.08 % \| \| Resamples \| Total (% of all samples) \| 1211 \| \| England \| 918 \| 4.26 % \| \| Wales \| 293 \| 1.36 % \| \| Scotland \| 139 \| 0.05 % \| \| Rejects \| Total (% of all samples) \| 131 \| \| England \| 110 \| 0.51 % \| \| Wales \| 21 \| 0.10 % \| \| Scotland \| 0 \| 0.00 % \| PAR-HERD-S: potential herd slaughter, PAR-P-CONF (PAR-PERSIS from 1 April 2017): persistent TB breakdown OTFW, PAR-LOW-IN (PAR-NEW-IN from 1 April 2017): parallel low incidence, PAR-RAPID: rapid testing of twice IRs, PAR-CUL-N: new infection in cull area, PAR-CUL-P: persistent infection in cull area, PAR-OTHER: parallel other, SER-FLEXI: flexible extended test in confirmed herds with concurrent Johne's infection/vaccination, SER-NSR: serial non-specific reactor, SER-FRAUD: serial potential fraud, SER-OTHER: serial other \| PAR-CUL-N \| 2693 \| 12.5 % \| \|-------------\|--------\|----------\| \| PAR-CUL-P \| 424 \| 2.0 % \| \| PAR-HERD-S \| 1631 \| 7.6 % \| \| PAR-NEW-IN \| 11486 \| 53.3 % \| \| PAR-OTHER \| 1128 \| 5.2 % \| \| PAR-PERSIS \| 3814 \| 17.7 % \| \| PAR-RAPID \| 63 \| 0.3 % \| \| SER-FLEXI \| 315 \| 1.5 % \| \| Total \| 21554 \| 100.00 % \| Breakdown of Samples submitted by County \| Country \| County \| \|----------------\|----------------\| \| Submission \| \| \| Reasons* \| \| \| No. \| \| \| subs \| \| \| Samples \| Gamma Positive \| \| n \| % of total \| \| England - HRA \| Corn & Scilly \| \| PAR-NEW-IN \| 1 \| \| PAR-PERSIS \| 1 \| \| Devon \| PAR-CUL-N \| \| PAR-CUL-P \| 1 \| \| PAR-PERSIS \| 3 \| \| Dorset \| PAR-CUL-N \| \| Gloucs \| PAR-CUL-N \| \| Heref \| PAR-CUL-P \| \| PAR-OTHER \| 1 \| \| PAR-PERSIS \| 2 \| \| Shropshire \| PAR-PERSIS \| \| Somerset \| PAR-CUL-N \| \| England - Edge \| Berks \| \| Bucks \| PAR-NEW-IN \| \| Cheshire \| PAR-NEW-IN \| \| Derbyshire \| PAR-NEW-IN \| \| E Sussex \| PAR-NEW-IN \| \| Hampshire \| PAR-NEW-IN \| \| Leics & Rut \| PAR-NEW-IN \| \| PAR-OTHER \| 2 \| \| Northants \| PAR-NEW-IN \| \| Oxon \| PAR-NEW-IN \| \| Warks \| PAR-NEW-IN \| \| England - LRA \| Cambs \| \| Cumbria \| PAR-NEW-IN \| \| Isle of wight \| PAR-NEW-IN \| \| Lincs \| PAR-NEW-IN \| * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. PAR-HERD-S: potential herd slaughter, PAR-P-CONF (PAR-PERSIS from 1 April 2017): persistent TB breakdown OTFW, PAR-LOW-IN (PAR-NEW-IN from 1 April 2017): parallel low incidence, PAR-RAPID: rapid testing of twice IRs, PAR-CUL-N: new infection in cull area, PAR-CUL-P: persistent infection in cull area, PAR-OTHER: parallel other, SER-FLEXI: flexible extended test in confirmed herds with concurrent Johne's infection/vaccination, SER-NSR: serial non-specific reactor, SER-FRAUD: serial potential fraud, SER-OTHER: serial other ## Table 2A. Summary By County For December 2018 Cont. \| Country \| County \| \|-------------------------\|----------------\| \| Submission \| \| \| Reasons* \| \| \| No. \| \| \| subs \| \| \| Samples \| Gamma Positive \| \| n \| % of total \| \| England \| \| \| 122 \| 15274 \| \| Wales - High TB \| Carms \| \| PAR-OTHER \| 5 \| \| PAR-PERSIS \| 9 \| \| PAR-RAPID \| 5 \| \| SER-FLEXI \| 5 \| \| Ceredigion \| PAR-PERSIS \| \| SER-FLEXI \| 1 \| \| Gwent \| PAR-PERSIS \| \| PAR-RAPID \| 4 \| \| Pembs \| PAR-HERD-S \| \| PAR-OTHER \| 1 \| \| PAR-PERSIS \| 4 \| \| PAR-RAPID \| 10 \| \| SER-FLEXI \| 3 \| \| Powys \| PAR-HERD-S \| \| PAR-NEW-IN \| 2 \| \| PAR-PERSIS \| 2 \| \| S Wales \| PAR-OTHER \| \| PAR-RAPID \| 1 \| \| W Glamorgan \| PAR-OTHER \| \| Wales - Intermediate TB \| Carms \| \| PAR-OTHER \| 1 \| \| PAR-RAPID \| 1 \| \| Ceredigion \| PAR-HERD-S \| \| SER-FLEXI \| 2 \| \| NE Wales \| PAR-NEW-IN \| \| PAR-PERSIS \| 1 \| * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. PAR-HERD-S: potential herd slaughter, PAR-P-CONF (PAR-PERSIS from 1 April 2017): persistent TB breakdown OTFW, PAR-LOW-IN (PAR-NEW-IN from 1 April 2017): parallel low incidence, PAR-RAPID: rapid testing of twice IRs, PAR-CUL-N: new infection in cull area, PAR-CUL-P: persistent infection in cull area, PAR-OTHER: parallel other, SER-FLEXI: flexible extended test in confirmed herds with concurrent Johne's infection/vaccination, SER-NSR: serial non-specific reactor, SER-FRAUD: serial potential fraud, SER-OTHER: serial other ## Table 2A. Summary By County For December 2018 Cont. \| Country \| County \| \|----------------\|----------------\| \| Submission \| \| \| Reasons* \| \| \| No. \| \| \| subs \| \| \| Samples \| Gamma Positive \| \| n \| % of total \| \| PAR-RAPID \| 1 \| \| SER-FLEXI \| 2 \| \| Shropshire \| PAR-NEW-IN \| \| W Glamorgan \| PAR-OTHER \| \| Wales - Low TB \| Gwynedd \| \| NE Wales \| PAR-NEW-IN \| \| Wales \| \| \| 106 \| 6280 \| \| Grand Total \| Sum: \| For test criteria please refer to Operational notes. Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. PAR-HERD-S: potential herd slaughter, PAR-P-CONF (PAR-PERSIS from 1 April 2017): persistent TB breakdown OTFW, PAR-LOW-IN (PAR-NEW-IN from 1 April 2017): parallel low incidence, PAR-RAPID: rapid testing of twice IRs, PAR-CUL-N: new infection in cull area, PAR-CUL-P: persistent infection in cull area, PAR-OTHER: parallel other, SER-FLEXI: flexible extended test in confirmed herds with concurrent Johne's infection/vaccination, SER-NSR: serial non-specific reactor, SER-FRAUD: serial potential fraud, SER-OTHER: serial other \| Country \| County \| \|---------------\|----------------\| \| Submission \| \| \| Reasons* \| \| \| No. \| \| \| subs \| \| \| Samples \| Gamma Positive \| \| n \| % of total \| \| England - HRA \| Avon \| \| PAR-PERSIS \| 8 \| \| SER-FLEXI \| 2 \| \| SER-FRAUD \| 1 \| \| Corn & Scilly \| PAR-CUL-N \| \| PAR-CUL-P \| 1 \| \| PAR-NEW-IN \| 2 \| \| PAR-OTHER \| 3 \| \| PAR-PERSIS \| 23 \| \| SER-FLEXI \| 9 \| \| Devon \| PAR-CUL-N \| \| PAR-CUL-P \| 19 \| \| PAR-NEW-IN \| 9 \| \| PAR-OTHER \| 6 \| \| PAR-PERSIS \| 38 \| \| SER-FLEXI \| 14 \| \| Dorset \| PAR-CUL-N \| \| PAR-CUL-P \| 1 \| \| PAR-NEW-IN \| 2 \| \| PAR-OTHER \| 2 \| \| PAR-PERSIS \| 18 \| \| SER-FLEXI \| 1 \| \| Gloucs \| PAR-CUL-N \| \| PAR-CUL-P \| 9 \| \| PAR-NEW-IN \| 2 \| \| PAR-OTHER \| 2 \| \| PAR-PERSIS \| 5 \| \| SER-FLEXI \| 5 \| * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. PAR-HERD-S: potential herd slaughter, PAR-P-CONF (PAR-PERSIS from 1 April 2017): persistent TB breakdown OTFW, PAR-LOW-IN (PAR-NEW-IN from 1 April 2017): parallel low incidence, PAR-RAPID: rapid testing of twice IRs, PAR-CUL-N: new infection in cull area, PAR-CUL-P: persistent infection in cull area, PAR-OTHER: parallel other, SER-FLEXI: flexible extended test in confirmed herds with concurrent Johne's infection/vaccination, SER-NSR: serial non-specific reactor, SER-FRAUD: serial potential fraud, SER-OTHER: serial other ## Table 2B. Summary By County For 2018 Cont. \| Country \| County \| \|----------------\|----------------\| \| Submission \| \| \| Reasons* \| \| \| No. \| \| \| subs \| \| \| Samples \| Gamma Positive \| \| n \| % of total \| \| Heref \| PAR-CUL-N \| \| PAR-CUL-P \| 4 \| \| PAR-NEW-IN \| 3 \| \| PAR-OTHER \| 1 \| \| PAR-PERSIS \| 6 \| \| SER-FLEXI \| 2 \| \| SER-FRAUD \| 2 \| \| Shropshire \| PAR-NEW-IN \| \| PAR-OTHER \| 8 \| \| PAR-PERSIS \| 16 \| \| Somerset \| PAR-CUL-N \| \| PAR-CUL-P \| 4 \| \| PAR-NEW-IN \| 1 \| \| PAR-OTHER \| 6 \| \| PAR-PERSIS \| 21 \| \| Staffs \| PAR-PERSIS \| \| SER-FLEXI \| 4 \| \| Wiltshire \| PAR-NEW-IN \| \| PAR-OTHER \| 5 \| \| PAR-PERSIS \| 12 \| \| SER-FLEXI \| 6 \| \| SER-FRAUD \| 2 \| \| W Midlands \| PAR-PERSIS \| \| SER-FRAUD \| 3 \| \| England - Edge \| Berks \| \| PAR-PERSIS \| 6 \| \| Bucks \| PAR-NEW-IN \| \| Cheshire \| PAR-NEW-IN \| * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. ## Par-Herd-S: Potential Herd Slaughter, Par-P-Conf (Par-Persis From 1 April 2017): Persistent Tb Breakdown Otfw, Par-Low-In (Par-New-In From 1 April 2017): Parallel Low Incidence, Par-Rapid: Rapid Testing Of Twice Irs, Par-Cul-N: New Infection In Cull Area, Par-Cul-P: Persistent Infection In Cull Area, Par-Other: Parallel Other, Ser-Flexi: Flexible Extended Test In Confirmed Herds With Concurrent Johne'S Infection/Vaccination, Ser-Nsr: Serial Non-Specific Reactor, Ser-Fraud: Serial Potential Fraud, Ser-Other: Serial Other Table 2B. Summary By County For 2018 Cont. \| Country \| County \| \|---------------\|----------------\| \| Submission \| \| \| Reasons* \| \| \| No. \| \| \| subs \| \| \| Samples \| Gamma Positive \| \| n \| % of total \| \| PAR-PERSIS \| 10 \| \| Derbyshire \| PAR-NEW-IN \| \| E Sussex \| PAR-NEW-IN \| \| PAR-PERSIS \| 2 \| \| Hampshire \| PAR-NEW-IN \| \| PAR-OTHER \| 1 \| \| PAR-PERSIS \| 1 \| \| SER-NSR \| 3 \| \| Leics & Rut \| PAR-NEW-IN \| \| PAR-OTHER \| 4 \| \| SER-NSR \| 1 \| \| Northants \| PAR-NEW-IN \| \| Notts \| PAR-NEW-IN \| \| PAR-OTHER \| 1 \| \| Oxon \| PAR-NEW-IN \| \| PAR-PERSIS \| 14 \| \| Warks \| PAR-NEW-IN \| \| PAR-PERSIS \| 2 \| \| England - LRA \| Beds \| \| Cambs \| PAR-NEW-IN \| \| Cumbria \| PAR-NEW-IN \| \| PAR-OTHER \| 3 \| \| PAR-PERSIS \| 1 \| \| Essex \| PAR-NEW-IN \| \| Herts \| PAR-NEW-IN \| \| Humberside \| PAR-NEW-IN \| \| Isle of wight \| PAR-NEW-IN \| \| Kent \| PAR-NEW-IN \| * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. PAR-HERD-S: potential herd slaughter, PAR-P-CONF (PAR-PERSIS from 1 April 2017): persistent TB breakdown OTFW, PAR-LOW-IN (PAR-NEW-IN from 1 April 2017): parallel low incidence, PAR-RAPID: rapid testing of twice IRs, PAR-CUL-N: new infection in cull area, PAR-CUL-P: persistent infection in cull area, PAR-OTHER: parallel other, SER-FLEXI: flexible extended test in confirmed herds with concurrent Johne's infection/vaccination, SER-NSR: serial non-specific reactor, SER-FRAUD: serial potential fraud, SER-OTHER: serial other ## Table 2B. Summary By County For 2018 Cont. \| Country \| County \| \|-----------------\|----------------\| \| Submission \| \| \| Reasons* \| \| \| No. \| \| \| subs \| \| \| Samples \| Gamma Positive \| \| n \| % of total \| \| Lincs \| PAR-NEW-IN \| \| Merseyside \| PAR-NEW-IN \| \| Norfolk \| PAR-NEW-IN \| \| N Yorks \| PAR-NEW-IN \| \| S Yorks \| PAR-NEW-IN \| \| W Sussex \| PAR-NEW-IN \| \| PAR-PERSIS \| 2 \| \| England \| \| \| 1469 \| 193638 \| \| Wales - High TB \| Carms \| \| PAR-OTHER \| 12 \| \| PAR-PERSIS \| 61 \| \| PAR-RAPID \| 97 \| \| SER-FLEXI \| 17 \| \| Ceredigion \| PAR-HERD-S \| \| PAR-OTHER \| 1 \| \| PAR-PERSIS \| 18 \| \| PAR-RAPID \| 32 \| \| SER-FLEXI \| 11 \| \| Gwent \| PAR-HERD-S \| \| PAR-NEW-IN \| 2 \| \| PAR-OTHER \| 2 \| \| PAR-PERSIS \| 40 \| \| PAR-RAPID \| 41 \| \| SER-FLEXI \| 6 \| \| Pembrokshire \| PAR-OTHER \| \| Pembs \| PAR-HERD-S \| \| PAR-OTHER \| 6 \| \| PAR-PERSIS \| 91 \| * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. PAR-HERD-S: potential herd slaughter, PAR-P-CONF (PAR-PERSIS from 1 April 2017): persistent TB breakdown OTFW, PAR-LOW-IN (PAR-NEW-IN from 1 April 2017): parallel low incidence, PAR-RAPID: rapid testing of twice IRs, PAR-CUL-N: new infection in cull area, PAR-CUL-P: persistent infection in cull area, PAR-OTHER: parallel other, SER-FLEXI: flexible extended test in confirmed herds with concurrent Johne's infection/vaccination, SER-NSR: serial non-specific reactor, SER-FRAUD: serial potential fraud, SER-OTHER: serial other ## Table 2B. Summary By County For 2018 Cont. \| Country \| County \| \|-------------------------\|----------------\| \| Submission \| \| \| Reasons* \| \| \| No. \| \| \| subs \| \| \| Samples \| Gamma Positive \| \| n \| % of total \| \| PAR-RAPID \| 143 \| \| SER-FLEXI \| 32 \| \| SER-FRAUD \| 2 \| \| Powys \| PAR-HERD-S \| \| PAR-NEW-IN \| 24 \| \| PAR-OTHER \| 5 \| \| PAR-PERSIS \| 50 \| \| PAR-RAPID \| 35 \| \| SER-FLEXI \| 6 \| \| S Wales \| PAR-OTHER \| \| PAR-PERSIS \| 3 \| \| PAR-RAPID \| 4 \| \| W Glamorgan \| PAR-OTHER \| \| PAR-RAPID \| 2 \| \| Wales - Intermediate TB \| Carms \| \| PAR-OTHER \| 2 \| \| PAR-PERSIS \| 2 \| \| PAR-RAPID \| 5 \| \| Ceredigion \| PAR-HERD-S \| \| PAR-NEW-IN \| 1 \| \| PAR-PERSIS \| 3 \| \| PAR-RAPID \| 21 \| \| SER-FLEXI \| 7 \| \| Mid glamorgan \| PAR-PERSIS \| \| NE Wales \| PAR-HERD-S \| \| PAR-NEW-IN \| 133 \| \| PAR-PERSIS \| 4 \| \| PAR-RAPID \| 11 \| * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. ## Par-Herd-S: Potential Herd Slaughter, Par-P-Conf (Par-Persis From 1 April 2017): Persistent Tb Breakdown Otfw, Par-Low-In (Par-New-In From 1 April 2017): Parallel Low Incidence, Par-Rapid: Rapid Testing Of Twice Irs, Par-Cul-N: New Infection In Cull Area, Par-Cul-P: Persistent Infection In Cull Area, Par-Other: Parallel Other, Ser-Flexi: Flexible Extended Test In Confirmed Herds With Concurrent Johne'S Infection/Vaccination, Ser-Nsr: Serial Non-Specific Reactor, Ser-Fraud: Serial Potential Fraud, Ser-Other: Serial Other Table 2B. Summary By County For 2018 Cont. \| Country \| County \| \|---------------------\|----------------\| \| Submission \| \| \| Reasons* \| \| \| No. \| \| \| subs \| \| \| Samples \| Gamma Positive \| \| n \| % of total \| \| SER-FLEXI \| 11 \| \| Powys \| PAR-HERD-S \| \| PAR-NEW-IN \| 8 \| \| PAR-RAPID \| 3 \| \| Shropshire \| PAR-NEW-IN \| \| W Glamorgan \| PAR-OTHER \| \| SER-FLEXI \| 2 \| \| Wales - Low TB \| Gwynedd \| \| PAR-RAPID \| 1 \| \| NE Wales \| PAR-NEW-IN \| \| PAR-OTHER \| 1 \| \| PAR-PERSIS \| 1 \| \| PAR-RAPID \| 3 \| \| SER-FLEXI \| 2 \| \| Wales \| \| \| 1169 \| 57607 \| \| Scotland - Scotland \| Aberdeenshire \| \| Argyll & Bute \| PAR-NEW-IN \| \| SER-FLEXI \| 1 \| \| Ayrshire \| PAR-NEW-IN \| \| PAR-OTHER \| 1 \| \| Perthshire \| PAR-NEW-IN \| \| West lothian \| PAR-NEW-IN \| \| Wigtown \| PAR-NEW-IN \| \| Scotland \| \| \| 31 \| 2241 \| \| Grand Total \| Sum: \| For test criteria please refer to Operational notes. Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. PAR-HERD-S: potential herd slaughter, PAR-P-CONF (PAR-PERSIS from 1 April 2017): persistent TB breakdown OTFW, PAR-LOW-IN (PAR-NEW-IN from 1 April 2017): parallel low incidence, PAR-RAPID: rapid testing of twice IRs, PAR-CUL-N: new infection in cull area, PAR-CUL-P: persistent infection in cull area, PAR-OTHER: parallel other, SER-FLEXI: flexible extended test in confirmed herds with concurrent Johne's infection/vaccination, SER-NSR: serial non-specific reactor, SER-FRAUD: serial potential fraud, SER-OTHER: serial other ## Table 3A. Summary Of Ifn Gamma Results By Country And Protocol December 2018 \| Country \| Protocol \| \|-----------------\|--------------\| \| No \| \| \| submissions \| Samples \| \| n \| % of total n \| \| England \| Parallel \| \| Serial/Extended \| 0 \| \| Total \| 122 \| \| Scotland \| Parallel \| \| Serial/Extended \| 0 \| \| Total \| 0 \| \| Wales \| Parallel \| \| Serial/Extended \| 13 \| \| Total \| 106 \| \| GB \| Parallel \| \| Serial/Extended \| 13 \| \| Total \| 228 \| \| 122.00 \| \| \| 106.00 \| \| * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. ## Table 3B. Summary Of Ifn Gamma Results By Country And Protocol (Total 2018) \| Country \| Protocol \| \|-----------------\|--------------\| \| No \| \| \| submissions \| Samples \| \| n \| % of total n \| \| England \| Parallel \| \| Serial/Extended \| 55 \| \| Total \| 1469 193638 \| \| Scotland \| Parallel \| \| Serial/Extended \| 1 \| \| Total \| 31 \| \| Wales \| Parallel \| \| Serial/Extended \| 96 \| \| Total \| 1169 \| \| GB \| Parallel \| \| Serial/Extended \| 152 \| \| Total \| 2669 253486 \| ####### ####### 31.00 * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. Submission Reason No submissions Samples Gamma Positive Gamma Negatives Retest Resample Reject n % of total n % n % n % n % n % GB Extended Flexible IFN-GAMMA test 13 315 1.5% 48 15.2% 256 81.3% 13 4.1 % 9 2.9 % 2 0.6 % Parallel - Herd or Group Slaughter 21 1631 7.6% 114 7.0% 1437 88.1% 111 6.8 % 72 4.4 % 8 0.5 % Parallel New Infection 98 11486 53.3% 535 4.7% 10118 88.1% 955 8.3 % 727 6.3 % 106 0.9 % Parallel - new infection cull area 28 2693 12.5% 144 5.3% 2431 90.3% 157 5.8 % 116 4.3 % 2 0.1 % Parallel - Other 15 1128 5.2% 95 8.4% 953 84.5% 106 9.4 % 79 7.0 % 1 0.1 % Parallel Persistent Infection 28 3814 17.7% 260 6.8% 3379 88.6% 245 6.4 % 163 4.3 % 12 0.3 % Parallel - persistent infection cull area 3 424 2.0% 31 7.3% 350 82.5% 51 12.0 % 43 10.1 % 0 Parallel - Rapid Testing Two-times IRs 22 63 0.3% 14 22.2% 47 74.6% 4 6.3 % 2 3.2 % 0 Total 228 21554 100.0% 1241 5.8% 18971 88.0% 1642 7.6 % 1211 5.6 % 131 0.6 % England - HRA Parallel New Infection 1 183 0.8% 6 3.3% 154 84.2% 28 15.3 % 23 12.6 % 0 Parallel - new infection cull area 28 2693 12.5% 144 5.3% 2431 90.3% 157 5.8 % 116 4.3 % 2 0.1 % Parallel - Other 1 5 0.0% 0 0.0 % 5 100.0% 0 0 0 Parallel Persistent Infection 9 1793 8.3% 138 7.7% 1580 88.1% 101 5.6 % 71 4.0 % 4 0.2 % Parallel - persistent infection cull area 3 424 2.0% 31 7.3% 350 82.5% 51 12.0 % 43 10.1 % 0 England - HRA 42 5098 23.7% 319 6.3% 4520 88.7% 337 6.6 % 253 5.0 % 6 0.1 % England - Edge Parallel New Infection 72 9398 43.6% 474 5.0% 8233 87.6% 765 8.1 % 589 6.3 % 102 1.1 % Parallel - Other 2 24 0.1% 3 12.5% 19 79.2% 1 4.2 % 1 4.2 % 1 4.2 % England - Edge 74 9422 43.7% 477 5.1% 8252 87.6% 766 8.1 % 590 6.3 % 103 1.1 % England - LRA Parallel New Infection 6 754 3.5% 28 3.7% 650 86.2% 89 11.8 % 75 9.9 % 1 0.1 % England - LRA 6 754 3.5% 28 3.7% 650 86.2% 89 11.8 % 75 9.9 % 1 0.1 % Wales - High TB Extended Flexible IFN-GAMMA test 9 267 1.2% 41 15.4% 220 82.4% 8 3.0 % 4 1.5 % 2 0.7 % Parallel - Herd or Group Slaughter 17 1247 5.8% 80 6.4% 1109 88.9% 77 6.2 % 51 4.1 % 7 0.6 % Parallel New Infection 2 91 0.4% 2 2.2% 87 95.6% 3 3.3 % 2 2.2 % 0 Parallel - Other 9 486 2.3% 25 5.1% 418 86.0% 60 12.3 % 43 8.8 % 0 Parallel Persistent Infection 18 1913 8.9% 119 6.2% 1700 88.9% 130 6.8 % 86 4.5 % 8 0.4 % Parallel - Rapid Testing Two-times IRs 20 61 0.3% 13 21.3% 46 75.4% 4 6.6 % 2 3.3 % 0 Wales - High TB 75 4065 18.9% 280 6.9% 3580 88.1% 282 6.9 % 188 4.6 % 17 0.4 % Wales - Intermediate TB Extended Flexible IFN-GAMMA test 4 48 0.2% 7 14.6% 36 75.0% 5 10.4 % 5 10.4 % 0 Parallel - Herd or Group Slaughter 4 384 1.8% 34 8.9% 328 85.4% 34 8.9 % 21 5.5 % 1 0.3 % Parallel New Infection 7 297 1.4% 8 2.7% 273 91.9% 20 6.7 % 14 4.7 % 2 0.7 % Parallel - Other 3 613 2.8% 67 10.9% 511 83.4% 45 7.3 % 35 5.7 % 0 Parallel Persistent Infection 1 108 0.5% 3 2.8% 99 91.7% 14 13.0 % 6 5.6 % 0 Parallel - Rapid Testing Two-times IRs 2 2 0.0% 1 50.0% 1 50.0% 0 0 0 Wales - Intermediate TB 21 1452 6.7% 120 8.3% 1248 86.0% 118 8.1 % 81 5.6 % 3 0.2 % Wales - Low TB Parallel New Infection 10 763 3.5% 17 2.2% 721 94.5% 50 6.6 % 24 3.1 % 1 0.1 % Wales - Low TB 10 763 3.5% 17 2.2% 721 94.5% 50 6.6 % 24 3.1 % 1 0.1 % ## Table 4B. Summary Of Ifn Gamma Results By Submission Reason (Total 2018) Submission Reason No submissions Samples Gamma Positive Gamma Negatives Retest Resample Reject n % of total n % n % n % n % n % GB Extended Flexible IFN-GAMMA test 138 9178 3.6% 735 8.0% 7840 85.4% 778 8.5 % 515 5.6 % 88 1.0 % Parallel - Herd or Group Slaughter 127 8132 3.2% 405 5.0% 6830 84.0% 731 9.0 % 516 6.3 % 381 4.7 % Parallel New Infection 1142 131838 52.0% 5144 3.9% 118042 89.5% 11297 8.6 % 7823 5.9 % 829 0.6 % Parallel - new infection cull area 266 31400 12.4% 1754 5.6% 27793 88.5% 2542 8.1 % 1665 5.3 % 188 0.6 % Parallel - Other 82 5134 2.0% 422 8.2% 4311 84.0% 395 7.7 % 273 5.3 % 128 2.5 % Parallel Persistent Infection 464 59225 23.4% 3417 5.8% 51980 87.8% 4503 7.6 % 3199 5.4 % 629 1.1 % Parallel - persistent infection cull area 38 6710 2.6% 383 5.7% 5891 87.8% 501 7.5 % 336 5.0 % 100 1.5 % Parallel - Rapid Testing Two-times IRs 398 1570 0.6% 352 22.4% 1112 70.8% 102 6.5 % 75 4.8 % 31 2.0 % Serial - Anomalous Reaction 10 270 0.1% 58 21.5% 204 75.6% 13 4.8 % 8 3.0 % 0 Serial - Suspected NSR Herd 4 29 0.0% 0 0.0 % 29 100.0% 0 0 0 Total 2669 253486 100.0% 12670 5.0% 224032 88.4% 20862 8.2 % 14410 5.7 % 2374 0.9 % England - HRA Extended Flexible IFN-GAMMA test 43 6550 2.6% 517 7.9% 5699 87.0% 522 8.0 % 321 4.9 % 13 0.2 % Parallel New Infection 23 2925 1.2% 164 5.6% 2560 87.5% 276 9.4 % 189 6.5 % 12 0.4 % Parallel - new infection cull area 266 31400 12.4% 1754 5.6% 27793 88.5% 2542 8.1 % 1665 5.3 % 188 0.6 % Parallel - Other 34 3158 1.2% 206 6.5% 2696 85.4% 210 6.6 % 130 4.1 % 126 4.0 % Parallel Persistent Infection 151 31312 12.4% 1871 6.0% 27880 89.0% 2167 6.9 % 1496 4.8 % 65 0.2 % Parallel - persistent infection cull area 38 6710 2.6% 383 5.7% 5891 87.8% 501 7.5 % 336 5.0 % 100 1.5 % Serial - Anomalous Reaction 8 170 0.1% 3 1.8% 159 93.5% 12 7.1 % 8 4.7 % 0 England - Edge Parallel New Infection 759 93689 37.0% 3948 4.2% 83824 89.5% 8093 8.6 % 5582 6.0 % 335 0.4 % Parallel - Other 6 53 0.0% 4 7.5% 46 86.8% 3 5.7 % 2 3.8 % 1 1.9 % Parallel Persistent Infection 35 4577 1.8% 253 5.5% 3903 85.3% 389 8.5 % 319 7.0 % 102 2.2 % Serial - Suspected NSR Herd 4 29 0.0% 0 0.0 % 29 100.0% 0 0 0 England - LRA Parallel New Infection 96 12162 4.8% 470 3.9% 10701 88.0% 1142 9.4 % 787 6.5 % 204 1.7 % Parallel - Other 3 276 0.1% 30 10.9% 205 74.3% 50 18.1 % 41 14.9 % 0 Parallel Persistent Infection 3 627 0.2% 17 2.7% 581 92.7% 33 5.3 % 29 4.6 % 0 England 1469 193638 76.4% 9620 5.0% 171967 88.8% 15940 8.2 % 10905 5.6 % 1146 0.6 % ## Table 4B. Summaryof Ifn Gamma Results By Submission Reason (Total 2018) Cont. Wales - High TB Extended Flexible IFN-GAMMA test 72 2155 0.9% 186 8.6% 1733 80.4% 219 10.2 % 161 7.5 % 75 3.5 % Parallel - Herd or Group Slaughter 112 6729 2.7% 345 5.1% 5692 84.6% 460 6.8 % 314 4.7 % 378 5.6 % Parallel New Infection 26 960 0.4% 23 2.4% 897 93.4% 55 5.7 % 38 4.0 % 2 0.2 % Parallel - Other 30 787 0.3% 54 6.9% 680 86.4% 72 9.1 % 53 6.7 % 0 Parallel Persistent Infection 263 21940 8.7% 1198 5.5% 19002 86.6% 1810 8.2 % 1278 5.8 % 462 2.1 % Parallel - Rapid Testing Two-times IRs 354 1398 0.6% 315 22.5% 985 70.5% 93 6.7 % 68 4.9 % 30 2.1 % Serial - Anomalous Reaction 2 100 0.0% 55 55.0% 45 45.0% 1 1.0 % 0 0 Wales - Intermediate TB Extended Flexible IFN-GAMMA test 20 417 0.2% 31 7.4% 355 85.1% 34 8.2 % 31 7.4 % 0 Parallel - Herd or Group Slaughter 15 1403 0.6% 60 4.3% 1138 81.1% 271 19.3 % 202 14.4 % 3 0.2 % Parallel New Infection 143 12764 5.0% 238 1.9% 11753 92.1% 985 7.7 % 711 5.6 % 62 0.5 % Parallel - Other 7 812 0.3% 88 10.8% 676 83.3% 59 7.3 % 47 5.8 % 1 0.1 % Parallel Persistent Infection 11 764 0.3% 78 10.2% 612 80.1% 101 13.2 % 74 9.7 % 0 Parallel - Rapid Testing Two-times IRs 40 157 0.1% 35 22.3% 114 72.6% 9 5.7 % 7 4.5 % 1 0.6 % Wales - Low TB Extended Flexible IFN-GAMMA test 2 46 0.0% 0 0.0 % 45 97.8% 2 4.3 % 1 2.2 % 0 Parallel New Infection 66 7153 2.8% 160 2.2% 6401 89.5% 547 7.6 % 378 5.3 % 214 3.0 % Parallel - Other 1 2 0.0% 1 50.0% 1 50.0% 0 0 0 Parallel Persistent Infection 1 5 0.0% 0 0.0 % 2 40.0% 3 60.0 % 3 60.0 % 0 Parallel - Rapid Testing Two-times IRs 4 15 0.0% 2 13.3% 13 86.7% 0 0 0 Wales 1169 57607 22.7% 2869 5.0% 50144 87.0% 4721 8.2 % 3366 5.8 % 1228 2.1 % Scotland - Scotland Extended Flexible IFN-GAMMA test 1 10 0.0% 1 10.0% 8 80.0% 1 10.0 % 1 10.0 % 0 Parallel New Infection 29 2185 0.9% 141 6.5% 1906 87.2% 199 9.1 % 138 6.3 % 0 Parallel - Other 1 46 0.0% 39 84.8% 7 15.2% 1 2.2 % 0 0 Scotland 31 2241 0.9% 181 8.1% 1921 85.7% 201 9.0 % 139 6.2 % 0 \| Year \| Month \| \|--------------\|---------\| \| Herds \| \| \| sampled \| \| \| Samples \| \| \| tested \| \| \| IFNg+ \| \| \| samples \| \| \| Wrong \| \| \| Eartags \| \| \| VL No \| \| \| Cult \| \| \| Herds \| \| \| with \| \| \| positives \| \| \| No PM \| \| \| No \| \| \| Cult \| \| \| No PM \| \| \| Cult \| \| \| Pend \| \| \| No PM \| \| \| Cult \| \| \| Neg \| \| \| No PM \| \| \| Cult \| \| \| Mb \| \| \| VL \| \| \| Cult \| \| \| Neg \| \| \| VL \| \| \| Cult \| \| \| Pend \| \| \| VL \| \| \| Cult \| \| \| Mb \| \| \| VL \| \| \| Cult \| \| \| Other \| \| \| NVL \| \| \| No \| \| \| Cult \| \| \| NVL \| \| \| Cult \| \| \| Pend \| \| \| NVL \| \| \| Cult \| \| \| Neg \| \| \| NVL \| \| \| Cult \| \| \| Mb \| \| \| NVL \| \| \| Cult \| \| \| Other \| \| \| No \| \| \| PM \| \| \| Cult \| \| \| Other \| \| \| 2018 \| January \| \| February \| 206 \| \| March \| 189 \| \| April \| 195 \| \| May \| 250 \| \| June \| 187 \| \| July \| 207 \| \| August \| 228 \| \| September \| 216 \| \| October \| 274 \| \| November \| 282 \| \| December \| 228 \| \| Totals (last \| \| \| 12 months) \| \| \| 2669 \| 253486 \| Country Herds sampled Samples tested IFNg+ samples VL No Cult Herds with positives No PM No Cult No PM Cult Pend No PM Cult Neg No PM Cult Mb VL Cult Neg VL Cult Pend VL Cult Mb VL Cult Other NVL No Cult NVL Cult Pend NVL Cult Neg NVL Cult Mb NVL Cult Other No PM Cult Other England 1469 193638 1013 9620 710 0 0 0 0 780 16 12 33 1 7939 25 43 1 2 Scotland 31 2241 20 181 30 0 0 0 0 22 4 0 0 8 50 0 37 0 27 Wales 1169 57607 594 2869 229 0 0 0 0 140 7 2 18 3 1831 207 380 3 14 Totals 2669 253486 1627 12670 969 0 0 0 0 942 27 14 51 12 9820 232 460 4 43 Includes all animals with IFNg test negative, resample and reject outcomes County %Resampled %Retested \| Berks \| 2.33 % \| 4.24 % \| \|---------------\|----------\|----------\| \| Bucks \| 5.96 % \| 6.97 % \| \| Cambs \| 5.34 % \| 9.16 % \| \| Carms \| 4.60 % \| 7.41 % \| \| Ceredigion \| 5.15 % \| 6.19 % \| \| Cheshire \| 5.57 % \| 8.13 % \| \| Corn & Scilly \| 6.29 % \| 8.31 % \| \| Cumbria \| 10.02 % \| 11.89 % \| \| Derbyshire \| 8.99 % \| 9.09 % \| \| Devon \| 5.28 % \| 7.26 % \| \| Dorset \| 4.07 % \| 6.47 % \| \| E Sussex \| 2.39 % \| 2.39 % \| \| Gloucs \| 3.30 % \| 4.51 % \| \| Gwent \| 8.33 % \| 10.19 % \| \| Gwynedd \| 2.54 % \| 6.76 % \| \| Hampshire \| 4.53 % \| 11.08 % \| \| Heref \| 8.05 % \| 9.17 % \| \| Isle of wight \| 13.44 % \| 13.98 % \| \| Leics & Rut \| 2.91 % \| 3.74 % \| \| Lincs \| \| \| \| NE Wales \| 4.59 % \| 7.54 % \| \| Northants \| 14.63 % \| 14.63 % \| \| Oxon \| 8.62 % \| 12.27 % \| \| Pembs \| 4.84 % \| 6.89 % \| \|-------------\|----------\|----------\| \| Powys \| 3.17 % \| 3.49 % \| \| Shropshire \| 4.32 % \| 5.76 % \| \| Somerset \| 1.84 % \| 1.84 % \| \| S Wales \| 3.37 % \| 4.49 % \| \| Warks \| 5.23 % \| 6.54 % \| \| W Glamorgan \| 6.79 % \| 10.80 % \| Country No. animals No of IFHg+ animals % Positive animals No. samples No of IFHg+ samples England 15080 824 5.5% 15274 824 5.4% Wales 6199 417 6.7% 6280 417 6.6% GB 21279 1241 5.8% 21554 1241 5.8% Country No. animals No of IFHg+ animals % Positive animals No. samples No of IFHg+ samples England 7195 444 6.2% 7199 444 6.2% Wales 1765 165 9.3% 1793 165 9.2% Scotland 486 59 12.1% 486 59 12.1% GB 9446 668 7.1% 9478 668 7.0% Country No. animals No of IFHg+ animals % Positive animals No. samples No of IFHg+ samples England 165901 9620 5.8% 193638 9620 5.0% Wales 50414 2858 5.7% 57607 2869 5.0% Scotland 2080 181 8.7% 2241 181 8.1% GB 218375 12659 5.8% 253486 12670 5.0% Country No. animals No of IFHg+ animals % Positive animals No. samples No of IFHg+ samples England 77307 5094 6.6% 98529 5094 5.2% Wales 32133 2314 7.2% 35660 2314 6.5% Scotland 2979 228 7.7% 3267 228 7.0% GB 112416 7636 6.8% 137456 7636 5.6% % Positive samples % Positive samples % Positive samples % Positive samples Test type Num Submissions Num Samples Num Positives Northern Somerset & South Glou PRV-SE 1 1 0 Oxfordshire PRV-SE 1 2 1 50.00 % Somerset excl North PRV-SE 1 30 8 26.67 % Total 3 33 9 27.27 % Isle of Man SER-IOM 2 2 0 * Test type Num Submissions Berkshire PRV-SP 1 2 0 Buckinghamshire PRV-SE 1 1 0 Cheshire PRV-SP 3 3 1 33.33 % Cornwall and Isles of Scilly PRV-SE 1 3 0 PRV-SP 1 1 0 Devon PRV-SE 1 2 1 50.00 % PRV-SP 1 2 0 Dorset PRV-SE 4 25 6 24.00 % PRV-SP 1 1 0 East Sussex PRV-SE 1 1 0 PRV-SP 1 1 0 Hampshire PRV-SE 2 6 1 16.67 % PRV-SP 1 3 0 Northern Somerset & South Glou PRV-SE 3 47 8 17.02 % Oxfordshire PRV-SE 2 40 5 12.50 % Somerset excl North PRV-SE 4 76 11 14.47 % PRV-SP 1 1 0 Suffolk PRV-SP 2 11 0 West Sussex PRV-SP 1 1 0 Total 32 227 33 14.54 % Isle of Man SER-IOM 18 51 1 1.96 % *SER-IOM: Serial High Specificity test - Isle of Man; PRV-SE: Private High Sensitivity test - England; PRV-SP: Private High Specificity test - England Private % Positive % Positive Num Samples Num Positives Private \| \| Test \| County \| Num Submissions \| Num Samples Tested \| Num Positive Samples % Positive \| \|---------------\|-----------------\|----------\|-------------------\|----------------------\|-----------------------------------\| \| TC0077 \| Carmarthenshire \| 1 \| 10 \| 1 \| 10.0 % \| \| Staffordshire \| 1 \| 382 \| 91 \| 23.8 % \| \| \| TC0077 \| Sum: \| 392 \| 92 \| 23.5 % \| \| ## Table 8B Number Of Cattle Antibody Tests 2018 \| \| Test \| County \| Num Submissions \| Num Samples Tested \| Num Positive Samples % Positive \| \|------------------\|-----------------\|----------\|-------------------\|----------------------\|-----------------------------------\| \| TC0077 \| Argyll and Bute \| 1 \| 3 \| 3 \| 100.0 % \| \| Carmarthenshire \| 4 \| 192 \| 6 \| 3.1 % \| \| \| Ceredigion \| 1 \| 85 \| 4 \| 4.7 % \| \| \| North East Wales \| 2 \| 66 \| 4 \| 6.1 % \| \| \| Pembrokeshire \| 3 \| 201 \| 10 \| 5.0 % \| \| \| Powys \| 2 \| 361 \| 4 \| 1.1 % \| \| \| South Wales \| 5 \| 199 \| 17 \| 8.5 % \| \| \| Staffordshire \| 1 \| 382 \| 91 \| 23.8 % \| \| \| TC0077 \| Sum: \| 1,489 \| 139 \| 9.3 % \| \|	en
2391-pdf	## Dwp Request For Information From Hmrc Details Of Claimant About Whom Information Is Requested Details Of Third Party About Whom Information Is Requested (Please note that the exchange of information is not mandatory. Only information that is proportionate to the nature of your enquiry will be provided.) request: (State details of the investigation or enquiry to which the request relates. These details must show how the individual or company are linked to the enquiry and state what they are suspected of doing.)	en
3776-pdf	## Manual To The Building Regulations A code of practice for use in England ## Acknowledgements MHCLG would like to thank industry stakeholders who have participated in the production of this manual. Particular thanks are owed to the Building Regulations Advisory Committee and Working Group, the Construction Products Association, the Federation of Master Builders, the Royal Institution of Chartered Surveyors, the National House Building Council, the Property Care Association and the Royal Institute of British Architects. ## Picture Credits Front cover: Sunny Uplands of Suburbia by Moose Allain © www.worldofmoose.com Page 4: © LABC Page 11: © LABC Page 16: © AHMM Page 17: © Gas Safe Register Page 18: © NAPIT Page 36: © Gas Safe Register Page 48: © Aaron Hargreaves/Foster + Partners Page 49: © Feilden Clegg Bradley Studios Page 57: © AHMM Back cover: Great Wall by Moose Allain © www.worldofmoose.com Other illustrations © MHCLG ## © Crown Copyright, July 2020 Copyright In The Typographical Arrangement Rests With The Crown You may re-use this information (not including logos) free of charge in any format or medium, under the terms of the Open Government Licence. To view this licence visit http://www.nationalarchives.gov.uk/doc/opengovernment-licence/version/3/ This publication is available on our website at www.gov.uk/mhclg If you have any enquiries regarding this publication, complete the form at http://forms.communities.gov.uk/ or write to us at: Technical Policy Division (Building Regulations) Ministry of Housing, Communities and Local Government Fry Building 2 Marsham Street London SW1P 4DF Telephone: 030 3444 0000 For all our latest news and updates follow us on Twitter: https://twitter.com/mhclg July 2020 ## Contents This manual contains the following sections: Page 5 Introduction ## Volume 1: Overview Page 9 Chapter 1 The regulatory framework Page 11 Chapter 2 The building control process Page 13 Chapter 3 Do I need to notify someone? Page 15 Chapter 4 Is a building control body involved? Page 17 Chapter 5 Competent person schemes Page 19 Chapter 6 Local authority building control and approved inspectors Page 21 Chapter 7 Meeting the technical requirements Page 25 Chapter 8 Before the work is finished ## Volume 2: Further Guidance Page 27 Chapter A Do the Building Regulations apply? Page 33 Chapter B Should a building control body be involved? Page 35 Chapter C Competent person schemes and third-party testing Page 37 Chapter D Local authority building control Page 41 Chapter E Approved inspectors Page 49 Chapter F Meeting the technical requirements Page 55 Appendix I Key terms Page 59 Appendix II References ## Introduction This is a short manual on the Building Regulations, providing guidance on the Building Regulations system in England. Volume 1 of this manual gives a very high-level outline of how the Building Regulations system currently works. Volume 2 goes into more detail. The manual is only a summary. You should always rely on what is said in the legislation, rather than the guidance in this manual. You should think about what help you need with your project. There are professionals who can give you advice on your project. This can help you make sure that you comply with the Building Regulations. When you do one of the following, Building Regulations are likely to apply: a. put up a new building b. change or make bigger a building that is already built c. change the use of a building that is already built or d. alter the building services if they are either what is legally called: i. a 'controlled service' or ii. a 'controlled fitting' (these terms are explained in Appendix I). The Building Regulations may apply in and around buildings. These requirements are intended to protect people's safety, health and welfare. They also set standards for accessibility, water use, energy use and security. The approved documents give further guidance for many common building situations. They contain statutory guidance on how to meet the requirements of the Building Regulations. Dame Judith Hackitt led the Independent Review of Building Regulations and Fire Safety following the Grenfell Tower tragedy. Dame Judith's expert group called for this manual to be revised and made available. The Building Act 1984 set up a simple way of regulating building in England (and, at the time, in Wales). This new system was explained by a manual, the Manual to the Building Regulations. The old manual is now out of date. This current manual replaces previous manuals in England. In the coming months, the government intends to introduce legislation to deliver a new Building Safety Regulator. The new regulator will be responsible for implementing and enforcing a more stringent regulatory regime for higher-risk residential buildings (HRRBs) (a term defined by the Independent Review). The new regulator will also provide wider and stronger oversight of safety and performance across all buildings. The Fire Safety Bill, recently introduced by the government, and associated regulatory changes will enable delivery of the recommendations from the Independent Review. The Bill places beyond doubt that external wall systems, including cladding, and the fire doors to individual flats in multi-occupied residential blocks fall within the scope of the Regulatory Reform (Fire Safety) Order 2005. These changes will affirm fire and rescue services' ability to enforce locally against building owners or managers who have not remediated unsafe aluminium composite material (ACM) cladding from multi-occupied residential buildings. This manual is split into two parts: a. Volume 1 is an overview of the Building Regulations system. It is written to give a simple overview of how the system works. b. Volume 2 gives more detailed guidance. It is written for people working in the construction industry. You will need to know when Building Regulations apply. Before you start to plan a project, you should seek professional advice. This manual is not intended to provide legal, construction, design or planning advice. It is the duty of anyone responsible for building work to understand and meet their legal obligations. There will be changes to the legislation and guidance summarised in this manual. You should check whether you are reading the most up-to-date version. The key terms are highlighted in blue and listed in Appendix I. A list of references is given in Appendix II. ## Manual To The Building Regulations Volume 1: Overview Chapter 1 The Regulatory Framework The Building Regulations The Building Act 1984 (the Building Act) is the most wide-reaching law controlling building in England. It sets the enforcement powers. The Building Regulations 2010 (the Building Regulations) go into more detail about building work. Most building work carried out in England must comply with the Building Regulations. The legal term 'building work' generally includes building new buildings, making buildings bigger, altering buildings and changing what they are used for. It also covers installing a 'controlled service' or a 'controlled fitting'. A replacement window is an example of a controlled fitting. A boiler is an example of a controlled service. 'Renovation of thermal elements' is also building work. This includes roofs or external walls. Those responsible for carrying out building work have a duty to meet the requirements of the Building Regulations. Generally, the Building Regulations set out the required standards for the building work. For example, a home must be insulated, but the Building Regulations do not tell you how you should do it. The approved documents give help for some common problems. There are 15 technical requirements in Schedule 1 to the Building Regulations. Each technical requirement corresponds to a letter - for example, Part B is fire safety. These set out some of the legal requirements of the Building Regulations - these are rules that must be followed. They are often referred to as technical requirements. In addition to these, there are some other requirements in the Building Regulations. Some of these are about keeping energy use low. The people planning the work can decide how best to meet the rules, and there is guidance to help them (see the next section on approved documents). Everyone involved in carrying out building work must obey the rules. That includes: the building owner, agents, designers, builders and installers. The Building Regulations also allow inspections and enforcement to take place. Building control bodies or building inspectors will need to be satisfied too. Building control bodies is the term used for the organisations which check or inspect building work. ## Approved Documents The Building Act allows the government to publish approved documents. The government may also approve other guidance. The approved documents give more detailed advice on how to meet the legal requirements of the Building Regulations for some common situations. The approved documents should be useful for most domestic projects. The approved documents may not be relevant for all situations. Limitations on using the approved documents are discussed in Chapter 7 of this volume and Chapter F in Volume 2. You do not have to follow the guidance in approved documents, but if you don't you need to be sure that your building work meets the legal rules. Following the approved documents does not always guarantee that you are complying with the Building Regulations. A list of the approved documents is set out in Table 1.1. When working on a building that is already there, you should agree with the building control body the approach to standards. \| Dwellings \| Other buildings \| \|---------------------------------------------------------------------------\|------------------------------------------\| \| New \| Existing \| \| 1 \| \| \| New \| Existing \| \| 1 \| \| \| A: \| \| \| Structure \| \| \| B: \| \| \| Fire safety, Volume 1: Dwellings \| \| \| B: \| \| \| Fire safety, Volume 2: Buildings other than dwellings \| \| \| C: \| \| \| Site preparation and resistance to contaminants and moisture \| \| \| D: \| \| \| Toxic substances \| \| \| E: \| \| \| Resistance to the passage of sound \| \| \| F: \| \| \| Ventilation \| \| \| G: \| \| \| Sanitation, hot water safety and water efficiency \| \| \| H: \| \| \| Drainage and waste disposal \| \| \| J: \| \| \| Combustion appliances and fuel storage systems \| \| \| K: \| \| \| Protection from falling, collision and impact \| \| \| L: \| \| \| Conservation \| \| \| L: \| \| \| Conservation \| \| \| L: \| \| \| Conservation \| \| \| L: \| \| \| Conservation \| \| \| of fuel and power \| of fuel and power \| \| L1A \| \| \| New dwellings \| \| \| L1B \| \| \| Existing dwellings \| \| \| L2A \| \| \| New buildings other \| \| \| L2B \| \| \| Existing buildings \| \| \| than dwellings \| other than dwellings \| \| M: \| \| \| Access to and use of buildings \| \| \| M: \| \| \| Access to and use of buildings \| \| \| Volume 1: Dwellings \| Volume 2: Buildings other than dwellings \| \| P: \| \| \| Electrical safety - dwellings \| \| \| 2 \| \| \| P: \| \| \| No approved document \| \| \| Q: \| \| \| Security - dwellings \| \| \| Q: \| \| \| No requirement \| \| \| Q: \| \| \| No requirement \| \| \| R: \| \| \| Physical infrastructure for high-speed electronic communications networks \| \| NOTES: 1. The requirements that apply to material changes of use are covered in Table A2 in Volume 2. 2. Approved Document P provides guidance for other buildings if the supply is shared with a dwelling. ## Following Other Guidance It is important to agree with the building control body that the standards you are using are right for your project. If you are undertaking a project that needs to be checked by others, you should make sure you are designing to the right standards. Any work that the Building Regulations apply to must meet all requirements in Schedule 1 which are relevant to the project. For example, new electrical wiring must comply with Part P (electrical safety), Part L (energy efficiency) and Part M (access to and use of buildings). It also must comply with the fire safety requirements of Part B. The materials and workmanship must meet Regulation 7 of the Building Regulations. A list of other laws that often govern buildings or building work is given at the end of this document (in Appendix II). The legal requirements of the Building Regulations must always be met when they apply to your project. Although the local authority has some powers to relax Building Regulations you should take your own legal advice if you don't think you can comply with every part of the Building Regulations. This applies to all those responsible for building work. This includes: the building owner, agents, designers, builders and installers. Meeting the requirements of the Building Regulations can be complex. For example, it is a good idea that those designing or carrying out work are skilled in designing and constructing buildings. It may be necessary to seek advice. The more complex your project, the more expert help you are likely to need. ## Volume 1 Chapter 2 The Building Control Process The building control process involves building inspectors approving some aspects of the building work. Three laws control this process in England. These are the Building Act 1984 (Building Act), the Building Regulations 2010 (Building Regulations) and the Building (Approved Inspectors etc.) Regulations 2010 (Approved Inspectors Regulations). There are several paths through the building control process. a. The work may be checked by a building control body, either: i. local authority building control or ii. a licensed approved inspector. b. Some types of work may be done by a 'competent person'. This is a term for an installer who works under a scheme that has been approved by the government. The flowchart in Figure 2.1 provides a simplified overview of the building control process for those involved in building work. Start No Do Building Regulations apply to the work? Yes No Has the work commenced? The work may be checked by the local authority or an approved inspector or carried out by a competent person Yes Apply to the local authority No Is all the building work covered by a competent person scheme or a third-party scheme for certification? No need to submit a notice to the local authority. The competent person or the scheme operator will notify the local authority of the work and provide them and the building occupier with a certificate of completion within 30 days of completion of the work The work may be checked by the local authority or an approved inspector. Work covered by a competent person scheme or a third-party scheme for certification can take place at the same time Local authority route Approved inspector route Local authority building control under the Building Regulations 2010 Does the work involve any of the following: 1. Erecting or working on a building where the Regulatory Reform (Fire Safety) Order 2005 applies or will apply after the work is complete? 2. Erecting a building that fronts a private street? 3. Erecting a building over a sewer? Yes No No The applicant must deposit a full plans application The applicant may deposit a building notice application - additional plans and details may be requested by the local authority The local authority must provide a substantive assessment of the plans and details and must approve or reject plans within five weeks or two months (with agreement). The local authority must consult with the fire authority and, where appropriate, the sewerage undertaker and consider their views Work may start after the local authority has had at least two clear working days' notice. If the full plans application or submitted details under a building notice have not been assessed and approved, the work will be deemed 'at risk' The local authority will provide an inspection framework and must be notified at these certain stages in order for inspection to take place. Where the local authority is satisfied that work complies with the Building Regulations, it will issue a completion certificate NOTES: 1. The approved inspector must issue a final certificate within four weeks of occupation for buildings other than dwellings or eight weeks for dwellings. Regulation 17(7) of the Approved Inspectors Regulations allows a local authority to extend these time periods either before or after expiry. Refer to Volume 2, Chapter E for details of approved inspectors' initial notices. More information on the building control process can be found in Volume 2, Chapter A. No notification required Yes Approved inspectors under the Building (Approved Inspectors etc.) Regulations 2010 In conjunction with the approved inspector an initial notice must be given to the local authority Is initial notice accepted by the local authority? Provide additional information, amend notice or submit application to local authority Yes Request plan assessment and plans certificate, if desired. Where applicable, plans certificate is issued to both client and local authority Agree site inspection plan with approved inspector The approved inspector must consult the fire authority and, where appropriate, the sewerage undertaker, taking due regard of their views. The plans certificate or final certificate cannot be issued until 15 working days have elapsed Where the approved inspector is satisfied that work complies with the Building Regulations, it will issue a final certificate to both the applicant and the local authority within eight weeks of completion1 ## Volume 1 Chapter 3 Do I Need To Notify Someone? If you are going to carry out building work that is controlled under the Building Regulations then you need to notify or get approval from a building control body before you start the work. This does not apply to work which is carried out under a competent person scheme. Building Regulations approval is different to planning permission and listed building consent. You could need all three. To find out if your project will need planning consents, contact your local planning authority. If you are carrying out work under planning 'permitted development' rights, you are likely to need to go through the building control process. Even if your building project follows your planning permission, you must still meet the requirements of the Building Regulations. You must check if the work you are about to carry out is controlled under the Building Regulations before you start work. You can ask a building control body whether the Building Regulations apply to your project. A building control body can be either your local authority building control service or an approved inspector. Regulation 3 of the Building Regulations sets out the meaning of the term building work. Building work is controlled by the Building Regulations. In summary, when you do one of the following, Building Regulations are likely to apply: a. put up a new building b. change or make bigger a building that is already built c. change the use of a building that is already built or d. alter the building services if they are either what is legally called: i. a 'controlled service' or ii. a 'controlled fitting' (these terms are explained in Appendix I). You may also need Building Regulations approval for many other things, such as: a. replacing consumer units or installing new electric circuits b. installing new plumbing and waste connections c. changing existing electric circuits near a bath or shower d. putting in a ventilation or air-conditioning system e. replacing windows and doors f. replacing roof coverings on pitched and flat roofs g. putting in or replacing a heating system h. adding extra radiators i. removing a chimney breast j. removing a wall (load bearing and sometimes non-load bearing) k. creating a through lounge. Local authority building control or an approved inspector can advise on whether the Building Regulations apply. Some work does not have to be checked by a building control body but must still comply with the Building Regulations. An example is putting in new loft insulation (unconnected to a material change of use or other building work). In all cases, seek advice from a building control body to see if the Building Regulations apply. Combustion installations, such as gas boilers, must be installed to comply with the Gas Safety (Installation and Use) Regulations 1998 (subsequently referred to as the Gas Safety Regulations) and the Building Regulations. Gas installations, such as a gas cooker, must also comply with the Gas Safety Regulations and the Building Regulations. The Gas Safety Regulations require that people who work on gas systems must be registered as competent. This means that they must be on the Gas Safe Register. This is a list of competent persons who may install, service or repair gas appliances or fittings. You can check the list at the following website: https://www.gassaferegister.co.uk/ The Gas Safety Regulations cover the installation, maintenance and use of gas fittings, appliances and flues. ## Summary You might need approval, or be required to follow certain rules, for works not listed here. Check with your local authority building control service or an approved inspector to decide whether you need approval. You do not need Building Regulations approval for the following: a. Work that is not covered by the Building Regulations. b. Work carried out by someone who is registered with a competent person scheme where the type of work is within the scope of the scheme. c. You do not need advance approval for emergency repairs to your boiler or heating system, but you must comply with the Gas Safety Regulations. ## What Happens To Those Who Don'T Comply With The Building Regulations? Where building work is carried out without asking for Building Regulations approval, the owner or the person doing the work may be taken to court. Local authorities can take action when building work does not comply with the Building Regulations or when buildings are unsafe. The local authority can take action against the building owner or those doing the building work. You may be made to pay for faulty work to be fixed. The courts can impose unlimited fines. Without approval the building owner will not have certificates of compliance, which they may need when selling or insuring their home. See Volume 2, Chapter A, for more details on when the Building Regulations apply. You can also check with your local authority building control service or an approved inspector. ## Volume 1 Chapter 4 Is A Building Control Body Involved? When Building Regulations apply to the work you want to do, then you need either to: a. involve a building control body - either local authority building control or an approved inspector - or b. use an installer registered under a competent person scheme to do the work. If you need to involve a building control body, you will need to notify them of your building work. You will then need to seek their approval and explain how your work will meet the requirements of the Building Regulations. They will provide advice and carry out some checks. For some types of work you can use a competent person scheme. Examples include mechanical ventilation systems, electrical work and home window replacement. This means that you do not have to get the building control body to check the work done under the competent person scheme. Installers registered with a competent person scheme must follow certain rules to make sure they comply with the Building Regulations. They must issue a certificate to show that they have complied. You can use both a building control body and a competent person scheme on the same project. ## Volume 1 Using A Building Control Body If the work has started or been completed and you have not notified a building control body then you cannot use an approved inspector. You can only use your local authority building control service to approve your work. Local authority building control are not obliged to approve work that has already been carried out. It is a good idea to seek approval before starting your work. This may avoid you being asked to change or demolish your work later. Where building work does not comply with the Building Regulations, the person who did the work may be taken to court. To make it easier for people who wish to have work approved which has already been started or finished, there is a process called 'regularisation'. The local authority will try to determine whether the works meet the Building Regulations. The reason for doing this is to get a 'certificate of regularisation' for your works. This may mean that you have to open up works. You could be asked to take down or rebuild work. You should discuss your project with your local authority building control service before making a 'regularisation application'. You will be charged for this service. For further information on the process, see Volume 2, Chapter B, paragraphs B13 to B17. You can learn more about when to use a building control body in Volume 2, Chapter B. ## Chapter 5 Competent Person Schemes Competent person schemes let tradespeople show that they can do certain works. Examples include home window replacements or gas boiler installations. You do not need to apply for Building Regulations approval for work completed by an installer who is working under a competent person scheme. ## Volume 1 Volume 1 Only installers who are registered with a competent person scheme can self-certify that their work complies with the Building Regulations. Where necessary, they will tell your local authority about the work for you. You will receive a certificate from them within 30 days of completion of the work. This will confirm that the work complies with the Building Regulations. This certificate will also show up in property searches if you sell your home. If you don't receive a certificate within 30 days of completion, the competent person scheme operator that your installer is registered with should be able to help. You can learn more about competent person schemes in Volume 2, Chapter C. ## Chapter 6 Local Authority Building Control And Approved Inspectors There are two types of building control body. These are: a. local authority building control b. approved inspectors. It is up to you which you use if your work has not started. If it has started, you must use local authority building control. ## Local Authority Building Control If you apply for approval for your project from your local authority, then the process will broadly follow this route: Local authority route Local authority building control under the Building Regulations 2010 Does the work involve any of the following: 1. Erecting or working on a building where the Regulatory Reform (Fire Safety) Order 2005 applies or will apply after the work is complete? 2. Erecting a building that fronts a private street? 3. Erecting a building over a sewer? Yes No The applicant must deposit a full plans application The applicant may deposit a building notice application - additional plans and details may be requested by the local authority The local authority must provide a substantive assessment of the plans and details and must approve or reject plans within five weeks or two months (with agreement). The local authority must consult with the fire authority and, where appropriate, the sewerage undertaker and consider their views Work may start after the local authority has had at least two clear working days' notice. If the full plans application or submitted details under a building notice have not been assessed and approved, the work will be deemed 'at risk' The local authority will provide an inspection framework and must be notified at these certain stages in order for inspection to take place. Where the local authority is satisfied that work complies with the Building Regulations, it will issue a completion certificate ## Volume 1 Volume 1 Approved Inspectors You can apply for approval for your project through a licensed approved inspector. Approved inspectors are independent of your local authority. An approved inspector will inform your local authority of the work by giving an initial notice. The Building (Approved Inspectors etc.) Regulations 2010 (Approved Inspectors Regulations) are the main law governing approved inspectors. If you use an approved inspector then the process will broadly follow this route: Approved inspector route Approved inspectors under the Building (Approved Inspectors etc.) Regulations 2010 In conjunction with the approved inspector an initial notice must be given to the local authority Is initial notice accepted by the local authority? No Provide additional information, amend notice or submit application to local authority Yes Request plan assessment and plans certificate, if desired. Where applicable, plans certificate is issued to both client and local authority When the person carrying out the building work engages an approved inspector, together the person and the approved inspector must give the local authority both of the following: a. an initial notice Agree site inspection plan with approved inspector b. an insurance declaration demonstrating that the approved inspector has the appropriate professional and public liability insurance. The content of an initial notice is outlined in Form 1 in Schedule 1 to the Approved Inspectors Regulations. The initial notice must contain all of the following information: a. a description of the work b. in the case of a new building or extension: The approved inspector must consult the fire authority and, where appropriate, the sewerage undertaker, taking due regard of their views. The plans certificate or final certificate cannot be issued until 15 working days have elapsed i. a site plan to a scale of not less than 1:1250 showing the boundaries and location of the site Where the approved inspector is satisfied that work complies with the Building Regulations, it will issue a final certificate to both the applicant and the local authority within eight weeks of completion1 ii. a statement that if work involves building over or near any drain, sewer or disposal main shown on any map of sewers kept by the sewerage undertaker, the approved inspector will consult the sewerage undertaker. ## Notes: 1. The Approved Inspector Must Issue A Final Certificate Within Four Weeks Of Occupation For Buildings Other Than Dwellings Or eight weeks for dwellings. Regulation 17(7) of the Approved Inspectors Regulations allows a local authority to extend these time periods either before or after expiry. You can learn more about these two types of building control body and their role in checking that building work complies with the Building Regulations later in this manual. Chapter D in Volume 2 covers local authority building control and Chapter E looks at approved inspectors. ## Volume 1 Chapter 7 Meeting The Technical Requirements Complying With The Building Regulations The key legal requirements which your building work must meet in order to comply with the Building Regulations are frequently referred to as the 'technical requirements'. The technical requirements are set out in Schedule 1 to the Building Regulations and the areas addressed in the requirements are summarised in Table 7.1 below. \| Lettered parts from Schedule 1 \| Building Regulations specific to each part \| \|---------------------------------------------------\|----------------------------------------------------\| \| A: \| \| \| Structure \| \| \| B: \| \| \| Fire safety \| Regulations 7, 38 \| \| C: \| \| \| Site preparation and resistance to contaminants \| \| \| and moisture \| \| \| D: \| \| \| Toxic substances \| \| \| E: \| \| \| Resistance to the passage of sound \| Regulation 41 \| \| F: \| \| \| Ventilation \| Regulations 39, 42, 44 \| \| G: \| \| \| Sanitation, hot water safety and water efficiency \| Regulations 36, 37 \| \| H: \| \| \| Drainage and waste disposal \| \| \| J: \| \| \| Combustion appliances and fuel storage systems \| \| \| K: \| \| \| Protection from falling, collision and impact \| \| \| L: \| \| \| Conservation of fuel and power \| Regulations 23, 24, 25, 25a, 26, 26a, 27, 27a, 28, \| \| 35, 40, 43, 44 \| \| \| M: \| \| \| Access to and use of buildings \| \| \| P: \| \| \| Electrical safety (dwellings) \| \| \| Q: \| \| \| Security (dwellings) \| \| \| R: \| \| \| Physical infrastructure for high speed electronic \| \| \| communications networks (dwellings) \| \| NOTE: The Building Regulations, including Regulation 7, also apply. In addition to complying with the technical requirements in Schedule 1 to the Building Regulations, work controlled by the Building Regulations must be carried out with adequate and proper materials and in a workmanlike manner, as required by Regulation 7 of the Building Regulations. Further details are given in Chapter F in Volume 2. The visual quality of building work is only controlled by the Building Regulations if it affects technical compliance with the Building Regulations. This means that the quality of pointing of brickwork is only important if it affects, for example, the structural stability of the wall or another requirement regarding work controlled by the Building Regulations. Building Regulations ban the use of combustible materials in the external walls of certain tall residential buildings. For further information, see Approved Document B, Volume 1: Dwellings. ## How To Use The Technical Guidance While the legal requirements are contained in the Building Regulations (summarised above), the approved documents contain guidance on how you may be able to meet those legal requirements. The approved documents provide guidance for common building situations. They may not provide appropriate guidance if the case is unusual in terms of its design, setting, use, scale or technology. Non-standard conditions may include any of the following: a. difficult ground conditions b. buildings with unusual occupancies or high levels of complexity c. very large or very tall buildings d. large timber buildings e. some buildings that incorporate modern construction methods. The full list of the approved documents and what they cover is given in Table 1.1 in Chapter 1. The approved documents will be relevant in many common building situations. Anyone using the approved documents should have sufficient knowledge and skills to understand the guidance and correctly apply it to the building work. This is important because simply following the guidance does not guarantee that your building work will comply with the legal requirements of the Building Regulations. Each approved document contains legal requirements (which you must follow) and guidance (which you may or may not choose to follow). The text in a box with a green background at the beginning of each section of an approved document is taken from the Building Regulations. This text sets out the legal requirements. The explanation which follows the legal requirements is guidance (Figure 7.1). The guidance then explains one or more ways to demonstrate how building work should comply with the legal requirements in common circumstances. The terms in green lettering in an approved document are key terms, listed and explained in the appendix to that approved document. Guidance in the approved documents addresses most, but not all, situations that homeowners will face. Situations may arise that are not covered. You or your advisers will need to carefully consider whether following the guidance will mean that the requirements of the Building Regulations will be met. ## K4 Requirement K4: Protection Against Impact With Glazing This approved document deals with the following requirement from Part K of Schedule 1 to the Building Regulations 2010. ## ➊ Performance In the Secretary of State's view, you can meet requirement K4 if you adopt, in critical locations, one of the following approaches. ## ➋ a. Measures to limit the risk of cutting and piercing injuries by the use of glazing that is reasonably safe, such that, if breakage did occur, any particles would be relatively harmless. b. Use of glazing sufficiently robust to ensure that the risk of breakage is low. c. Steps are taken to limit the risk of contact with the glazing. Key ➊The law: extract from Schedule 1 to the Building Regulations 2010. ➋Statutory guidance. Where the approved documents do not provide appropriate guidance, there may be other ways to demonstrate compliance. It may be possible to achieve compliance by following the advice in one or more of the sources set out below: a. guidance from recognised standards bodies b. industry recognised codes c. manufacturers' technical literature. Where you wish to follow an alternative approach to the guidance in the approved documents, you should discuss and agree it with a building control body before starting building work. British and European standards and other technical guidance also deal with matters that are not covered by the Building Regulations. Nothing in the Building Regulations or an approved document prevents you from adopting higher standards. Building work must meet the relevant technical requirements in the Building Regulations. Regulation 7 of the Building Regulations requires building work to be carried out 'with adequate and proper materials' and 'in a workmanlike manner'. Regulation 7 also controls the combustibility of external walls of certain tall buildings. For further information, see Approved Document B, Volume 1: Dwellings. ## Responsibility For Compliance Receiving a completion certificate or final certificate is not a complete guarantee of compliance with the Building Regulations. The legal meaning of the certificate is that it is 'evidence but not conclusive evidence' of compliance. The building control officer or approved inspector will not have checked every piece of building material and how it has been fitted or every aspect of submitted documents. It is the responsibility of those carrying out building work to comply with the Building Regulations. The building control body will inspect the work on site at appropriate stages, but you cannot rely on this as the only method of ensuring that the work complies with the Building Regulations. The responsibility for ensuring compliance rests with the people carrying out the work. For example, a building has just received the final certificate or completion certificate, but the roof is leaking. The fact that the roof leaks is the builder's or building designer's problem and not the building control body's problem. However, the building control body may point out problems either with the design or construction at any stage up to granting the final certificate or completion certificate. ## Planning Building Work By carefully planning building work in advance, you can avoid many potential problems. Homeowners in particular may wish to engage building design professionals to help guide them through the complexities of construction projects. Design professionals can produce coordinated drawings and other design information to reduce risks once you start to build. The people who design buildings should be suitably competent and skilled in order to satisfy the requirements of Schedule 1 to the Building Regulations. If you carry out your building work without first ensuring that it will comply with Building Regulations, you may later be required to undo or redo it, and this may be expensive. You can learn more about the approved documents and Regulation 7 of the Building Regulations in Volume 2, Chapter F. ## Constructing And Altering Buildings The people who construct and alter buildings should be suitably competent and skilled in order to satisfy the requirements of the Building Regulations. ## Volume 1 Chapter 8 Before The Work Is Finished Completion Certificates Typically, the building owner will have received a completion certificate (from local authority building control) or a final certificate (from an approved inspector) before the building is occupied. These certificates are issued when the work is complete. In some circumstances a building may be occupied before the building owner has received the completion certificate or the final certificate. If this happens, the building owner will not be sure that the work meets all of the requirements of the Building Regulations and this may stop you from re-mortgaging your home or someone from buying your home. ## Other Legislation The Regulatory Reform (Fire Safety) Order 2005 generally applies to most buildings other than houses or individual flats. This requirement comes from Regulation 38 of the Building Regulations. The Regulatory Reform (Fire Safety) Order creates the duty of the 'responsible person'. This person should take reasonable steps to reduce the risk from fire and make sure people can safely escape if there is a fire. The person carrying out the building work must provide fire safety information to the responsible person before the completion of the work. The responsible person should use this information when they carry out their fire risk assessment. Once a building is finished and occupied, other laws and regulations will apply. The Housing Act 2004 is relevant to residential properties. The Health and Safety at Work etc. Act 1974 covers buildings in which people are working. There are many other regulations which apply to buildings in use, some of which are listed in Appendix II. ## Alterations When buildings are extended or altered or their use is changed, Building Regulations are likely to apply again. This will be the case if the work is defined as building work or if the change of use comes under the scope of the Building Regulations. ## Manual To The Building Regulations Volume 2: Further Guidance Chapter A Do The Building Regulations Apply? General Considerations A1 This second volume of the Manual to the Building Regulations looks in more detail at how the system works. It is intended to be used by people working professionally in the design and construction of buildings. A2 Building control bodies can provide advice on when the Building Regulations apply. A3 Those carrying out building work (e.g. agents, designers, builders, installers and the building owner) are responsible for ensuring that the work complies with all applicable requirements of the Building Regulations. A4 If building work does not comply with the Building Regulations, the local authority may serve an enforcement notice on the building owner. A5 This manual can only provide a summary of the applicable legislation and, in addition, the legislation will be amended from time to time. You should always rely on the text of the legislation in preference to relying on the summary in this manual. ## Exempt Premises A6 The Building Regulations do not apply to some types of buildings or building work, and these are summarised in paragraphs A7 to A13 below. In the remainder of this chapter, where we refer to buildings, we are generally referring to buildings which are not exempt from the Building Regulations. ## Crown Buildings A7 The procedural aspects of the Building Regulations do not apply to Crown buildings, such as central government offices and courts of law. These have their own systems of control. ## Statutory Undertakers And Airport Operators A8 Statutory undertakers are bodies that have been given statutory powers in relation to functions that are of a public character. Generally, they are utilities, telecoms companies or companies such as Network Rail, but you should check. Gas and electricity suppliers are not regarded as statutory undertakers under Section 4 of the Building Act. A9 A building that belongs to a statutory undertaker, the Civil Aviation Authority or an airport operator is exempt from the Building Regulations if both of the following apply: a. The company uses the building for the purposes of its undertaking. b. Any building owned by a statutory undertaker is not used as either of the following: i. a house or hotel ii. an office or showroom, unless it is part of a railway station or airport. A10 The Metropolitan Police Authority is exempt from the procedural elements of the Building Regulations. Local authorities do not have powers of enforcement over the Metropolitan Police Authority. However, building work undertaken by the Metropolitan Police Authority is still subject to the same standards (referred to as 'substantive requirements' in the Building Act). ## Exempt Buildings A11 Regulation 9 of the Building Regulations exempts some small buildings, extensions, and buildings used for specific purposes from the Building Regulations. Exempt buildings are defined in Schedule 2 to the Building Regulations and summarised in Table A1. The buildings must continue to meet the definitions in Schedule 2 after the works are complete. ## Table A1 Buildings Exempt From The Building Regulations \| Class 1 \| Buildings controlled under legislation for explosives, nuclear facilities or ancient \| \|------------------------------------------------------------------------------\|-----------------------------------------------------------------------------------------\| \| monuments \| \| \| Class 2 \| Certain buildings not visited by people, such as plant rooms \| \| Class 3 \| Certain greenhouses, agricultural buildings and buildings for animals \| \| Class 4 \| Temporary buildings not intended to remain in situ for more than 28 days \| \| Class 5 \| Buildings used for site accommodation \| \| Class 6 \| Certain small detached buildings, generally without sleeping accommodation \| \| Class 7 \| Includes certain conservatories, porches and open-sided carports (see paragraphs \| \| A12 and A13). Any glazing in a Class 7 building must comply with the safety \| \| \| requirements of Schedule 1 to the Building Regulations, which are set out in \| \| \| Approved Document K (see K4 and K5) \| \| NOTE: If any water or electricity in an exempt greenhouse or building exempted under Class 6 or 7 is supplied from or shared with a dwelling, the work must comply with the requirements of Schedule 1 for water supply and electricity. See Regulation 9 of the Building Regulations and Approved Documents G (G1 and G3) and P (P1). Certain works may be carried out under a competent person scheme, and these works will not require Building Regulations approval. ## Conservatories, Porches And Open-Sided Carports A12 The exemption in Class 7 (see paragraph A11) applies to conservatories, porches and open-sided carports only where the building control body is satisfied that all of the following conditions are met: a. The work is an extension to an existing building. b. The extension is at ground level. c. The extension has a maximum floor area of 30m². d. Any glazing complies with requirements K4, K5.1, K5.2, K5.3 and K5.4 of Schedule 1 to the Building Regulations. e. Thermal separation is maintained between the building and the extension. f. The building's heating system does not extend into the extension. The requirements listed in a to d above come from Schedule 2 to the Building Regulations. The conditions set out in e and f come from the approved documents. Work to an existing conservatory or porch remains exempt to the same extent as building a new conservatory or porch, provided that the resulting conservatory or porch continues to meet the exemption criteria. A13 If the extension is not an exempt conservatory or porch (or other extension exempt under Class 7), then a building control process is required. ## Building Work - General A14 Where a building is not exempt, the Building Regulations apply to the types of building work defined in Regulation 3 of the Building Regulations. This can include any of the following work: a. Erecting or extending a building (Regulation 3(1)(a)). b. Providing, extending or otherwise materially altering a controlled service or fitting (paragraphs A15 to A18) (Regulation 3(1)(b)). c. Work required due to a material change of use (paragraph A20) (Regulation 3(1)(d)). d. Installing cavity wall insulation (Regulation 3(1)(e)). e. Underpinning a building (Regulation 3(1)(f)). f. Changes to a building's energy status (Regulation 22). g. Renovation or replacement of part of the thermal envelope (Regulation 23). h. Making certain changes to buildings over 1,000m² in area (Regulation 28). ## Controlled Services And Fittings A15 Where a building is not exempt, the Building Regulations apply to providing or extending a controlled service or fitting. A16 A controlled service or fitting is a service or fitting to which the requirements of the following parts of Schedule 1 to the Building Regulations apply: a. Part G Sanitation, hot water safety and water efficiency - this includes hot water systems, WCs and washing facilities. b. Part H Drainage and waste disposal - this includes drainage systems and septic tanks. c. Part J Combustion appliances and fuel storage systems - this includes boilers, fireplaces, flues, air supply to combustion appliances and fuel tanks. d. Part L Conservation of fuel and power - this includes heating and air conditioning systems, mechanical ventilation systems, external windows and doors and solar panels. e. Part P Electrical safety - dwellings - this covers the fixed electrical system in dwellings or common parts of blocks of flats. A17 The relevant approved document (see Chapter 7) gives details of the requirements and performance standards of Parts G, H, J, L and P . A18 Some requirements for controlled services or fittings only apply when dwellings are initially erected, and the fitting or service may not continue to be controlled after the dwelling has been completed. As long as any subsequent changes to the controlled service or fitting do not make it less compliant with Building Regulations than it was before the building work took place, the change does not have to comply with the Building Regulations. ## Material Alteration A19 The Building Regulations always apply to the material alteration of a building. An alteration is a material alteration under Regulation 3 if the proposals would at any stage make a building or a controlled service or fitting less satisfactory or no longer compliant in terms of structural safety, fire safety or disabled access. Building control bodies commonly ask for building control approval for structural works, such as chimney breast removal or structural alterations. ## Material Change Of Use A20 The Building Regulations apply to building work when any of the following changes are proposed (this list is a summary of Regulation 5): a. Changing a building's use to that of a dwelling. b. Creating a flat. c. Changing the use to become a hotel or boarding house. d. Changing the use to become a residential institution. e. Changing the use to become a public building. f. Changing the use so that the building would no longer be classed as exempt under Classes 1 to 6 of Schedule 2. g. Changing the number of dwellings in a building that contains at least one dwelling. h. Adding a room for residential purposes. i. Changing the number of rooms for residential purposes in a building with at least one such room. j. Changing the use to that of a shop. k. Changing the building to become a relevant building as set out under Regulation 7(4) when it was previously not a relevant building. In relation to change of use (k) above, Regulation 7 applies to buildings with a storey at least 18m above ground level and containing a dwelling or institution, and in some cases rooms for residential use. Under Regulation 6, where a material change of use is proposed, work must be carried out so that the building complies with the requirements indicated in Table A2. If only part of a building is affected by a material change of use, then under Regulation 6 in most cases the Building Regulations apply only to the part that is subject to the change of use. However, the change of use may adversely affect other parts of a building, for example in relation to fire safety. ## Table A2 Requirements That Apply To Material Changes Of Use Material change of use under: 5(a) 5(b) 5(c) 5(d) 5(e) 5(f) 5(g) 5(h) 5(i) 5(j) 5(k) All cases Requirement (from Schedule 1 to the Building Regulations 2010) A1–A3     B1  B2  B3  B4(1) 1 B4(2)  B5  Reg. 6(3)  C1(2)     2    C2 3 C2(c)  E1–E3       E4 4 F1  G1  G2   G3(1)–(3)  G3(4)   G4  G5  G6  H1  H6  J1–J4  K1–K6 L1  M1     P1 5     Q1    R1 ## Notes: 1. B4(1) Applies To Buildings Over 15M High. It Applies To The Whole Building Even If The Change Of Use only applies to a part. 2. Where new residential accommodation is created. 3. Applies to the whole building not just the parts converted to residential use. 4. If the public building after the change contains a school. 5. P1 applies in all cases if the electricity supply is shared with a dwelling. 6. Regulations 7(1) and 7(2) always apply to the above requirements. ## Volume 2 Repairs (Other Than Renovation Of Thermal Elements And Controlled Fittings) A21 The Building Regulations apply to repair or replacement work if the work is to renovate a thermal element (see paragraphs A22 and A23 below), replace a controlled fitting (see paragraphs A24 and A25), underpin a building or if the work is classed as building work under Regulation 3. Otherwise, unless at any stage the work makes: a. any building that does not comply with Building Regulations less compliant or b. any building that does comply with Building Regulations non-compliant (as set out in Regulation 3(2)) then the Building Regulations do not apply to the repair or replacement work. ## Renovation Of Thermal Elements And Controlled Fittings A22 Examples of thermal elements include roofs, external walls and ground floors. Examples of controlled fittings include windows and doors. A23 Major renovation and renovation of a thermal element are defined in Approved Document L1B, 5.6A and L2B, 3.1. Under Regulation 23, if more than 50 per cent of a thermal element is renovated or replaced, the whole thermal element must comply with the current energy conservation requirements of requirement L1(a)(i) of Schedule 1 if technically and economically feasible. If a building undergoes major renovation, the same requirements from Schedule 1 apply. Renovation of a thermal element covers replacing a roofing membrane or adding a new layer (such as insulation). In case of repairs to thermal elements, such as a flat roof, which involve work to less than 50 per cent of the element's surface area, no thermal upgrade is required. A24 If a controlled fitting, such as a window or door is replaced, and not just repaired, the replacement should comply with all relevant aspects of the current Building Regulations. For example, for an external door, relevant aspects of the Building Regulations include Part K (Protection from falling, collision and impact) and Part L (Conservation of fuel and power) and Regulation 7. A25 Guidance on complying with Regulation 23 is given in Approved Documents L1B and L2B. This includes consideration of listed buildings, buildings in conservation areas and scheduled ancient monuments. ## Responsibility For Compliance A26 Ensuring that building work complies with all applicable requirements of the Building Regulations is the responsibility of those carrying out the work, for example, agents, designers, builders, installers and the building owner. Details of local authority enforcement powers are given in Chapter B. ## Chapter B Should A Building Control Body Be Involved? Notification Of Work B1 When Building Regulations apply to the work you are proposing, then you either need to: a. involve a building control body (local authority building control or an approved inspector) or b. use an installer registered under a competent person scheme to do the work. You can use both a building control body and a competent person scheme on the same project. B2 Except for the work described in paragraph B3, you must notify a building control body of all of the following: a. Building work as defined under Regulation 3 of the Building Regulations. b. Any change in a building's energy status. c. Replacement or renovation of thermal elements. d. Material changes of use. The building control body will then consider whether the work complies with the Building Regulations, although it remains the responsibility of those carrying out the building work to ensure that it does. B3 Regulation 12(6)(a) states that a building control body does not need to be notified if one of the following conditions applies: a. The work is listed in Schedule 4 to the Building Regulations. b. The work will be self-certified by a registered competent person. c. The work will be certified by a registered third party. B4 The person carrying out the building work can choose which type of building control body to notify. This same building control body will then inspect the work. The two types of building control body are: a. local authority building control b. approved inspectors. B5 Some work does not have to be checked by a building control body but must still comply with the Building Regulations. An example is installing loft insulation unconnected to a material change of use or other building work. In all cases, seek advice from a building control body to see if Building Regulations apply. B6 If building work does not comply with the Building Regulations, the local authority building control body can take enforcement action. ## Enforcement Action B7 The Building Regulations can be contravened by not following the correct procedures or not meeting the required technical performance requirements. B8 Local authorities may take enforcement action if notifiable building work (as set out in paragraph B2 above) is carried out without having previously notified the local authority by submitting a Building Regulations application or an initial notice. B9 Local authorities may also take enforcement action if building work does not comply with Building Regulations. B10 Under Section 95 of the Building Act, local authorities have the right of entry into buildings in relation to enforcing the Building Act. B11 Under Sections 35, 35A and 36 of the Building Act the local authority has the power to take enforcement action. Local authorities can take action against the building owner and those carrying out the works and this can include requiring that the works are pulled down or removed. B12 If the building owner or those carrying out the works contravene the Building Regulations, the local authority may prosecute them in the magistrates' court, where an unlimited fine may be imposed (Sections 35 and 35A of the Building Act). ## Regularisation Certificates B13 Where unauthorised building work has been carried out on or after 11 November 1985, it may be possible to obtain a regularisation certificate from the local authority. If issued, the regularisation certificate shows that the works complied with the Building Regulations that were in place when the unauthorised work was carried out. B14 Regulation 18 lists the information to include in an application for a regularisation certificate. This includes both of the following: a. A description, preferably including drawings, of the unauthorised work. b. Plans showing any additional work needed to ensure compliance with the Building Regulations which were in force when the work was originally carried out. B15 The local authority may require the building owner to take reasonable steps so that it can decide what work, if any, is needed to comply with the Building Regulations. Such steps may include laying open work or carrying out tests. B16 When the local authority has sufficient information, it will tell the building owner what work, if any, is needed to comply with the Building Regulations. B17 If the specified work has been completed to its satisfaction, the local authority can issue a regularisation certificate to the building owner. However, the local authority has no obligation to issue a regularisation certificate. ## Chapter C Competent Person Schemes And Third-Party Testing Competent Person Schemes C1 For some types of building work, such as replacing certain windows or reroofing, people working under a relevant approved competent person scheme can self-certify that their work complies with the Building Regulations. C2 Competent person schemes are set up under Regulation 20 and listed in Schedule 3 to the Building Regulations. An up-to-date list of current schemes is also given at: https://www.gov.uk/guidance/competent-person-scheme-current-schemes-and-howschemes-are-authorised#current-schemes C3 If building work is carried out under a competent person scheme, there is no need to submit a building notice or an initial notice or to deposit full plans for that work. C4 The competent person will notify the local authority of the work and issue a completion certificate, either directly or through the scheme operator. The certificate must be given to both the building occupier and the local authority within 30 working days of completion of the work. C5 If you don't receive a certificate within 30 days of completion, contact the competent person scheme operator that your installer is registered with and they may be able to help you resolve the matter. C6 Even if work is carried out under a competent person scheme, if the work contravenes the Building Regulations, local authority building control still have enforcement powers. ## Third-Party Testing For Airtightness C7 Third-party certification schemes are available for testing airtightness, enabling approved airtightness testers to certify that the work meets the required performance standard. These are established under Regulation 43 of the Building Regulations. An up-to-date list of testing organisations can be found at: https://www.gov.uk/guidance/competent-person-scheme-current-schemes-and-howschemes-are-authorised#types-of-building-work ## Volume 2 Third-Party Testing Of Domestic Electrical Work C8 Under a third-party certification scheme for electrical installations in dwellings, a person who is registered with the scheme can inspect and test the domestic electrical work of others and certify that it complies with the Building Regulations. This is expanded upon in more detail in Approved Document P . C9 Third-party certification schemes for electrical installations in dwellings are listed in Schedule 3A to the Building Regulations. An up-to-date list is also given at: https://www.gov.uk/guidance/third-party-certification-schemes-for-domesticelectrical-work C10 If electrical work is approved under a third-party certification scheme, there is no need to submit a building notice or an initial notice or to deposit full plans for that work. C11 The operator of the third-party certification scheme will notify the local authority of work that complies with the Building Regulations. ## Chapter D Local Authority Building Control D1 Local authorities provide a building control service for all categories of work and all types of building. Local authorities may also be responsible for other statutory requirements, including town planning, listed building consent and licensing, that may affect the design of the building. D2 If you are planning to carry out building work that needs to be checked by a building control body you can choose either of the following routes: a. depositing full plans (described in Regulation 14) or b. submitting a building notice, which contains less information than full plans (see Regulation 13). D3 To start work without either depositing full plans or submitting a building notice is likely to contravene Regulation 12, unless the exceptional circumstances set out in Regulation 12(8) are applicable. If Regulation 12 is contravened, the local authority can prosecute. In either of the cases detailed above, the applicant may be required to pay a penalty. D4 It is necessary to deposit full plans instead of a building notice if any of the following work is proposed: a. Building work in relation to a building to which the Regulatory Reform (Fire Safety) Order 2005 applies or will apply after building work is complete. Examples of such buildings include hotels, boarding houses, offices, shops and factories. b. Building work that includes erecting a building that fronts a private street. c. Building work that involves building over or otherwise interfering with an existing shared drain, sewer or disposal main shown on a map of sewers. ## Deposit Of Plans D5 When full plans are deposited, the applicant must pay the plan charge to the local authority. D6 The local authority must pass or reject the full plans within five weeks, or within two months if the applicant has agreed to an extension of time in writing (see Section 16 of the Building Act). D7 The local authority may reject the plans for either of the following reasons: a. The plans show that work will contravene the Building Regulations. b. The plans are defective (for example incomplete) - they fail to show that work will comply with the Building Regulations. The local authority must give the reason in the notice of rejection. ## Building In Accordance With Deposited Plans D8 Building work does not need to conform exactly to the plans but must comply with the requirements of the Building Regulations. D9 If building work deviates from what the deposited and passed (or not rejected) plans show, the local authority may require this work to be taken down or altered. It is therefore advisable to consult the local authority before deviating from approved plans. ## Building Notices D10 A building notice may be used where the Regulatory Reform (Fire Safety) Order 2005 does not apply. Where the building work is simple and drawings are not required, this may be appropriate. D11 The building notice enables work to be started without having to provide the local authority with plans. The local authority must be informed before the work is started. D12 When a building notice is deposited, the building notice fee must be paid to the local authority. The building notice fee is similar to the combined plan and inspection fees of the full plans option. D13 The building notice will typically be submitted on a form produced by the local authority and should include the information specified in Regulation 13. In the case of a new building or extension, the information should include a site plan. D14 Once the building notice has been deposited, the local authority may ask in writing for further information. NOTE: Once the building notice has been submitted, building work may start on the third day after the local authority has been informed. If building work has not started within three years of a building notice being deposited, under Regulation 13(5) the building notice is no longer valid. D15 The local authority is not required to pass or reject a building notice. If you use a building notice instead of the full plans route, then both of the following apply: a. You will not have the protection of having full plans passed by the local authority. If the local authority has passed your plans, then you know that they are happy for you to build from them. b. You cannot ask the Secretary of State for a determination if the person carrying out the building work disagrees with the requirements of the local authority. D16 If building work contravenes the Building Regulations, the local authority can require the work to be altered or removed. ## Consulting The Fire Authority D17 Details of the consultation procedures that should be followed at the design and construction stages of a building project are given in the Joint Regulators Group's forthcoming Technical Guide: Building Regulations and Fire Safety Procedural Guidance (2020). ## Consulting The Sewerage Undertaker D18 When full plans have been deposited with the local authority and the work affects a drain, sewer or disposal main (as described in paragraph D4(c)), under Regulation 15 the local authority must consult the sewerage undertaker. The local authority must consider the views of the sewerage undertaker before passing the plans or issuing a completion certificate. The local authority must be satisfied that work will not be detrimental to either the building in question or the continued maintenance of any drain, sewer or disposal main. ## Conditional Passing Of Plans D19 A local authority may pass plans subject to either or both of the following conditions, under Section 16(2) of the Building Act: a. The local authority may pass the plans subject to required additions or amendments being made. b. The local authority may request further plans to be submitted. NOTE: The local authority is not obliged to use these procedures. The written agreement of the applicant is required. ## Starting Work D20 When a building notice has been served, building work may begin at any time provided the local authority is given two clear working days' notice of the intention to start work, as required by Regulation 16(1). D21 When full plans have been deposited and the notice described above has been given, work may begin. ## Giving Notices At Relevant Stages D22 You are required under the Building Regulations to give the local authority notice of when the work has reached relevant stages. The local authority will set out the notification procedure. The work should be programmed to allow the local authority time to inspect at the required stages. D23 If the local authority is not informed of a relevant stage of work for inspection it may, by giving notice in writing, require the work to be opened up for inspection so that it can be ascertained whether or not the work complies with the Building Regulations. ## Contravention Of The Requirements D24 During the building work, or within a year of its completion, if the local authority considers that the work contravenes any requirement of the Building Regulations, it may serve a notice under Section 36 of the Building Act requiring the work to be taken down or altered within 28 days. D25 Where the person who carried out the work disagrees with the local authority, they may notify the local authority that they want to obtain an independent expert report under Section 37 of the Building Act. In this case, the deadline for the work to be taken down is extended to 70 days. D26 Where the local authority has considered an expert report, it may withdraw the Section 36 notice. If the local authority does not withdraw the notice, the person who carried out the work may appeal to the magistrates' court under Section 40 of the Building Act. ## Completion Certificates D27 Once the work has finished, and if they are satisfied that the work complies with the relevant provisions of the Building Regulations, the local authority must issue a completion certificate. D28 The relevant provisions of the Building Regulations are Regulations 25A, 26, 29, 36, 38 and Schedule 1. The first four of these regulations deal with environmental performance and Regulation 38 concerns fire safety information. D29 The local authority is authorised to accept testing carried out in accordance with Regulations 41 to 44 as demonstrating that the requirements in the Building Regulations have been satisfied. ## Duration Of Approval D30 If building work does not commence within three years of the date when the local authority passed the plans, the local authority may serve a notice under Section 32 of the Building Act to rescind the approval. It is important to note that this is different to the requirements for starting work under planning legislation. ## Determinations And Appeals D31 The local authority has the power (under Regulation 11 of the Building Regulations) to relax requirements of the Building Regulations other than those relating to: a. Regulation 23(1)(a) b. Regulation 25A c. Regulation 25B d. Regulation 26 and e. paragraph R1 of Schedule 1 to the Building Regulations. Those responsible for the building work may submit a formal application to the local authority for relaxation of the Building Regulations. D32 If, after a request, the local authority refuses to ignore or relax the requirements, the person carrying out the building work can appeal to the Secretary of State. Details of appeals can be found at: www.gov.uk/guidance/building-regulations-appeals--6 D33 If the local authority and the person carrying out the building work disagree about whether work shown on full plans complies with the Building Regulations, a determination can be requested from the Secretary of State before work starts. There is no statutory timetable for this process. Details of determinations can be found at: www.gov.uk/guidance/building-regulations-determinations ## Chapter E Approved Inspectors E1 This chapter refers to the Building (Approved Inspectors etc.) Regulations 2010, subsequently referred to as the Approved Inspectors Regulations. E2 Approved inspectors are companies or individuals, licensed through CICAIR Ltd under the Building Act to provide a building control service for all categories of work and for any building type. With the exception of minor works, approved inspectors must be financially and professionally independent of the work they inspect. Minor works are defined in Regulation 9(5) of the Approved Inspectors Regulations. E3 Approved inspectors are independently monitored and regulated by CICAIR Ltd to carry out building control work in England (and Wales). CICAIR Ltd is a wholly owned subsidiary of the Construction Industry Council (CIC) and the approval process it operates provides a route to registration as an approved inspector. For more information, visit the CICAIR website: https://www.cicair.org.uk/ E4 Approved inspectors are required to have insurance from a government approved scheme. E5 The person carrying out the building work enters into a formal contract with the approved inspector and may negotiate the fees involved. ## The Initial Notice E6 When the person carrying out the building work engages an approved inspector, that person and the approved inspector must together give the local authority an initial notice. E7 The contents of an initial notice are outlined in Form 1 in Schedule 1 to the Approved Inspectors Regulations. The initial notice must contain all of the following: a. A description of the work. b. In the case of a new building or extension, both of the following: i. A site plan to a scale of not less than 1:1250 showing the boundaries and location of the site. ii. A statement that if work involves building over or near any drain, sewer or disposal main shown on any map of sewers kept by the sewerage undertaker, the approved inspector will consult the sewerage undertaker. E8 The initial notice must show how any new drainage will be connected. a. If drainage will be connected to an existing sewer, it is often sufficient to indicate on the site plan the points at which the drainage will be connected. b. If drainage will not be connected to an existing sewer, the initial notice must describe how drainage discharges will be dealt with. For example, this could include details of the location of any septic tank and associated secondary treatment system, or any wastewater treatment system or cesspool. ## Acceptance Or Rejection Of Initial Notice E9 After receiving an initial notice, the local authority has five working days in which to consider its validity. E10 If the local authority considers that the initial notice contains insufficient information, it may reject it. The local authority may only reject an initial notice on the grounds prescribed in Schedule 2 to the Approved Inspectors Regulations. E11 If the local authority does not reject the initial notice within five working days of receipt, it is presumed to have accepted the initial notice unconditionally. E12 Once the initial notice has been accepted or is deemed to have been accepted (five days after receipt), the approved inspector will certify that they are satisfied that the works have been completed. NOTE: Those responsible for carrying out the building work (which includes clients, designers, builders and installers) must ensure that the work complies with the Building Regulations. ## Independence Of Approved Inspectors E13 Approved inspectors must have no professional or financial interest in the work that they supervise, and should be independent of the designer, builder or building owner, unless the work comprises any of the following: a. The material alteration or extension of a one or two storey house, provided that the house has no more than three storeys when work is complete (ignoring any basement storeys). b. The provision, extension or material alteration of a controlled service or fitting in any building. c. The underpinning of any building. ## Consulting The Fire Authority E14 If work is proposed to a building to which the Regulatory Reform (Fire Safety) Order 2005 applies or will apply once building work is complete, the approved inspector must consult the fire authority at each of the following stages: a. Before or as soon as practicable after giving an initial notice (or amendment notice where there is a need to subsequently change the initial notice), the approved inspector must supply the fire authority with sufficient information to show that the work described in the initial notice will comply with Part B (Fire safety) of Schedule 1 to the Building Regulations. b. Before giving a plans certificate (whether combined with an initial notice or not), the approved inspector must give the fire authority a copy of the relevant plans. c. Before giving a final certificate. E15 Before giving a plans certificate or final certificate to the local authority, the approved inspector must allow the fire authority up to 15 working days to comment. The approved inspector must consider the views of the fire authority. ## Consulting The Sewerage Undertaker E16 If an initial notice or amendment notice involves proposals to erect or extend or carry out underpinning works to a building within 3 metres of the centreline of a drain, sewer or disposal main to which paragraph H4 of Schedule 1 to the Building Regulations applies, the approved inspector must consult the sewerage undertaker. E17 Before giving a plans certificate or final certificate to the local authority, the approved inspector must allow the sewerage authority up to 15 working days to comment. The approved inspector must consider the views of the sewerage authority. ## Plans Certificate E18 A plans certificate can be used to demonstrate that detailed plans of the work or a part of it comply with the Building Regulations. A plans certificate can provide protection if the initial notice is cancelled or ceases to be valid and no new initial notice is given or accepted. E19 Plans certificates are described in Regulations 14 and 15 of the Approved Inspectors Regulations and Section 50 of the Building Act. The person proposing the building work can ask the approved inspector to supply a plans certificate. If the approved inspector is satisfied with the plans, they must give a plans certificate to both of the following parties: a. the person proposing the building work and b. the local authority. The approved inspector can give the plans certificate with the initial notice or later. ## Final Certificate E20 When the building work is complete and the approved inspector is satisfied that the work meets all the relevant requirements of the Building Regulations, the approved inspector must give the local authority a final certificate as described in Section 51 of the Building Act and Form 5 of Schedule 1 to the Approved Inspectors Regulations. A final certificate provides evidence, but not conclusive evidence, of compliance with the Building Regulations. E21 A final certificate need not relate to all the work specified in an initial notice. For example, for a single initial notice that covers a new housing estate, separate final or plans certificates might be given for individual houses or groups of houses. E22 The local authority may reject the final certificate only on the grounds given in Schedule 4 to the Approved Inspectors Regulations. The local authority has 10 working days within which to reject the final certificate, otherwise it is deemed to have been accepted. If a final certificate is rejected, the initial notice ceases to be valid four weeks later. ## Events Causing The Initial Notice To Become Invalid E23 There are limitations on the validity of the initial notice, where the initial notice has been given to erect, extend or materially alter a building. This applies when any part of the building or extension is subsequently occupied and no final certificate has been given. In such situations the initial notice is no longer valid after a 'relevant change of use', as described in Regulation 12(6) of the Approved Inspectors Regulations. E24 For most buildings, the initial notice will lapse eight weeks from the date when the building is occupied. For buildings comprising only flats and common parts, the initial notice will lapse four weeks after the building is occupied. NOTE: A local authority can, however, extend the period of the initial notice. The local authority may wish to extend the period if it is reasonably confident that a final certificate will be given soon. E25 In case of a material change of use covered by an initial notice (paragraph E23), if the change of use takes place and no final certificate is given, the initial notice for the work will no longer have effect eight weeks after the change of use. E26 Once the initial notice no longer has effect, both of the following situations apply: a. The approved inspector will be unable to give a final certificate. b. The local authority has the power, under Section 36 of the Building Act, to take enforcement action against non-compliant work. This has the same consequences as an approved inspector withdrawing (as described below). ## Withdrawal Of Approved Inspector E27 An approved inspector who cannot continue to supervise work for which they have given an initial notice must cancel the initial notice and inform both of the following parties: a. The person doing the building work. b. The local authority. E28 If the person responsible for the work (building owner or client) becomes aware that the approved inspector is unable to continue supervising the work, the owner or client must cancel the initial notice (see Section 52 of the Building Act and Regulation 18 of the Approved Inspectors Regulations). E29 The person responsible for the work (building owner or client) may give a new initial notice jointly with a new approved inspector provided the original approved inspector agrees to cancel the earlier notice as soon as the new notice is accepted (see Schedule 2 to the Approved Inspectors Regulations, paragraph 12). ## Change Of Person Intending To Carry Out Work E30 If a different person from that named in the original initial notice intends to carry out the work, the procedure is as follows. The approved inspector and the person who originally intended to carry out the work may jointly give written notice to the local authority to state that a new person or organisation intends to carry out the work (Section 51C of the Building Act). The initial notice is then treated as having been given by the new person intending to carry out the work and the approved inspector. E31 In a situation where the approved inspector considers that the building work does not comply with the Building Regulations and there is a refusal to bring it into compliance, the approved inspector will cancel the initial notice. If no other approved inspector takes on the work, the building control function will automatically be taken on by the local authority. From this point, the local authority will have enforcement powers. ## Local Authority'S Powers In Relation To Partially Completed Work E32 If an initial notice is no longer valid, the local authority becomes responsible for enforcing the Building Regulations in relation to any completed work for which a final certificate has not been given (Regulation 19 of the Approved Inspectors Regulations). The local authority must be provided with both of the following: a. Plans of the building work carried out, if requested by the local authority. b. Plans referred to in a plans certificate where granted by the approved inspector. E33 For any partially completed work, the local authority may require the person carrying out building work to cut into, lay open or pull down work so that the local authority may determine whether any work (not covered by a final certificate) contravenes the Building Regulations. However, the local authority cannot take action against that person in relation to any work carried out as described in a plans certificate. E34 If it is intended to continue with partially completed work, the local authority must be given sufficient plans to show that the work can be completed without contravening the Building Regulations. NOTE: Where an approved inspector is used, the local authority cannot give a notice under Section 36 of the Building Act to remove or alter any offending work so long as the initial notice remains valid. Work covered by an approved inspector's final certificate that the local authority has accepted cannot be subject to local authority action under Section 36 of the Building Act. ## Contravention Of Building Regulations E35 An approved inspector cannot enforce the Building Regulations. If work appears not to comply with the Building Regulations, an approved inspector may, however, give the person carrying out the building work a written notice. E36 If the work that appears not to comply with the Building Regulations is not remedied within three months, the approved inspector must cancel the initial notice. The approved inspector must give the person carrying out the building work and the local authority a cancellation notice in the set form. This notice must describe how the work appears not to comply with the Building Regulations (see Section 52 of the Building Act and Regulation 18 of the Approved Inspectors Regulations). ## Volume 2 Limitations On The Enforcement Powers Of Local Authorities E37 If the initial notice ceases to be in force (as described in Section 47(1) of the Building Act) and the conditions in Section 53(2) of the Building Act are satisfied, the local authority may not: a. give a notice under Section 36(1) of the Building Act (removal or alteration of work which contravenes Building Regulations) or b. institute proceedings under Section 35 of the Building Act for a contravention of Building Regulations. For details of this situation, refer to Regulation 15 of the Approved Inspectors Regulations. ## Dealing With Variations To The Work E38 To vary the work detailed in an initial notice (e.g. to build six units instead of five on a site), the person carrying out the building work and the approved inspector should give the local authority an amendment notice. (See Sections 51A and 51B of the Building Act and Form 2 of Schedule 1 to the Approved Inspectors Regulations). ## Contents Of An Amendment Notice E39 The amendment notice must be as described in Form 2 in Schedule 1 to the Approved Inspectors Regulations. The amendment notice must contain the information required for an initial notice (set out above in paragraph E7) plus either of the following: a. A statement that all plans submitted with the original notice remain unchanged. b. Copies of all the amended plans with a statement that any plans not included remain unchanged. ## Acceptance And Rejection Of Amendment Notice E40 The local authority has five working days in which to consider the amendment notice. The local authority may only reject the amendment notice on grounds set out in Schedule 2 to the Approved Inspectors Regulations. The procedure is identical to that for accepting or rejecting an initial notice. ## Duration Of Validity Of Initial Notices And Plans Certificates E41 If work has not started within three years of the date on which an initial notice was accepted or deemed to have been accepted, a local authority may cancel an initial notice under Section 52(5) of the Building Act. If work has not started within three years of accepting a plans certificate, the local authority may rescind its acceptance, under Section 50(8) of the Building Act. ## Determinations And Appeals E42 An approved inspector cannot relax Building Regulations. However, the building owner or client can apply to the local authority to relax Building Regulations, even when an approved inspector is used. E43 Before work begins, if the approved inspector and the person carrying out the building work disagree about whether the work shown on the plans complies with the Building Regulations, the building owner or client can request a determination from the Secretary of State. E44 Once work has started, the only recourse against the decision of the building control body is an appeal to the Secretary of State. E45 Details of appeals and determinations can be found at: Appeals: www.gov.uk/guidance/building-regulations-appeals--6 Determinations: www.gov.uk/guidance/building-regulations-determinations ## Local Authorities Acting As Approved Inspectors E46 Local authorities can operate as approved inspectors beyond the boundaries of their local authority area. ## Chapter F Meeting The Technical Requirements The Approved Documents F1 The approved documents set out what, in ordinary circumstances, may be accepted as one way to comply with the Building Regulations. However, Section 7 of the Building Act indicates that following the guidance in approved documents may be relied upon as tending to negative liability, while failing to follow the guidance may be relied upon as tending to establish liability. Therefore, following the approved documents alone does not guarantee compliance. F2 It remains the responsibility of those designing or undertaking building work to assess, on a case-by-case basis, whether specific circumstances require additional or alternative measures to achieve compliance with the regulatory requirements. F3 Following industry guidance referenced in the approved documents may, depending on the circumstances, have the same legal effect as following the approved document itself. Using other guidance, including a different version of a referenced guidance document, would not give the same legal presumption. Figure F1 shows how the approved documents and other sources of guidance fit into the overall regulatory system. F4 Approved documents vary in length and complexity and in how the guidance applies to different types of buildings. Table 1.1 in Chapter 1 of this manual lists the approved documents for different types of new or existing dwellings and other buildings. F5 In some mixed-use developments, parts of a building are used as dwellings while other parts have non-domestic uses. If the requirements of the approved documents for dwellings and other buildings differ, the more onerous requirements apply in any shared parts of the building. This is discussed in detail with regard to fire safety in Approved Document B and ventilation in Approved Document F. F6 When an approved document refers to a named standard, the relevant version of the standard is listed at the end of the approved document. Until the approved document is amended, these references are part of the guidance approved under Section 6 of the Building Act. If work complies with the guidance referred to in the approved document, that makes it likely that the work conforms with the relevant requirements of the Building Regulations. Following other guidance would not provide that legal protection. F7 If an approved document refers to an older version of a standard that the issuing standards body has now revised or updated, the new version may be used as a source of guidance, provided it continues to address the relevant requirements of the Building Regulations. ## Designing And Constructing Buildings F8 Any building work that is subject to the requirements imposed by Schedule 1 to the Building Regulations must be carried out in accordance with Regulation 7. Building work is defined in Regulation 3. F9 Building work under Regulation 7 shall be carried out: a. with adequate and proper materials which i. are appropriate for the circumstances in which they are used ii. are adequately mixed or prepared and iii. are applied, used or fixed so as adequately to perform the functions for which they are designed, and b. in a workmanlike manner. F10 Regulation 7 places requirements on materials and workmanship to deliver the performance required under the Building Regulations. Those responsible for building work must be able to demonstrate that both materials and workmanship comply with the Building Regulations, as part of the overall scheme. F11 Regulation 7 applies to all building work to which the Building Regulations apply. However, in accordance with Regulation 8, the standards of materials and workmanship need be no higher than are necessary to satisfy the following conditions: a. For Parts A–D, F–K and P (except for paragraphs G2, H2 and J7) of Schedule 1: to secure reasonable standards of health or safety for people in or about the building. b. For Part E of Schedule 1: to secure reasonable resistance to the passage of sound for the welfare and convenience of people in or about the building. c. For Part L of Schedule 1: to conserve fuel and power. d. For Part M of Schedule 1: to provide access to buildings and their facilities for people. ## Demonstrating Compliance F12 Whether materials and associated workmanship meet the requirements of the Building Regulations could be established in a number of different ways. It may be necessary to use more than one of these methods to provide appropriate evidence of compliance. The properties of the materials and workmanship being demonstrated as fit could be established by the methods listed below. a. A CE marking, provided it is relevant and the product is used appropriately. Accompanying performance information may not cover all of the required properties of the product. b. Following relevant guidance of the approved documents or standards referenced by the approved documents. c. Compliance with a relevant British or European standard or standards. d. Compliance with a relevant ISO or other national technical standards. e. Use of a competent person scheme to carry out work or to certify materials and workmanship within the scope of the scheme. f. Use of an independent certification scheme accredited by a certification body belonging to the European co-operation for Accreditation (EA). In the UK, the United Kingdom Accreditation Service (UKAS) is the national accreditation body. g. Past experience from safe and successful longstanding relevant practice in the existing building stock. Existing practice should be reviewed to ensure that it is safe, appropriate and relevant to the proposed conditions. h. Tests are often used to show that materials and workmanship are appropriate. In many circumstances, testing is one way of showing compliance, but in the following three instances the Building Regulations require those undertaking building work to have tests carried out to demonstrate compliance. i. Sound insulation as described in Regulation 41. ii. Air flow rate of mechanical ventilation as described in Regulation 42. iii. Pressure testing as described in Regulation 43. i. Where there is no relevant harmonised European standard, calculations against appropriate standards could demonstrate the compliance of materials and workmanship. ## Other Design Standards F13 Where design standards other than those referred to in the approved documents are used, it is important that the acceptability of these standards is discussed with the building control body in advance. It should be noted that building control bodies may not be familiar with all standards, and mixing standards produced by different bodies may be unacceptable. ## Ce Markings Under The Construction Products Regulations F14 The future status of CE markings may be reviewed as part of the UK exiting the European Union. F15 At present, CE markings are used to demonstrate that either: a. a product complies with a harmonised European standard or standards (British versions of standards are numbered starting BS EN and contain an Annex ZA) or b. a product has undergone a European Technical Assessment. F16 CE marking includes the reference of the product standard and the levels or classes of performance being declared against some or all of the characteristics covered by the standard. The CE marking should be on the product, its label, the packaging or accompanying documents. The CE symbol by itself does not necessarily indicate that the material is suitable for the building work. F17 In addition to CE marking, the product will have a declaration of performance containing more detailed information on the product. This may be a paper or electronic document, or it may be on a website. It is essential to check that the declared performance is suitable for the building work. F18 In the absence of indications to the contrary, the building control body may assume that the information given in the CE marking and declaration of performance is accurate and reliable, and that the product meets the declared performance. F19 If the declared performance of a product is suitable for its intended use and the product is installed correctly, the building control body should not unreasonably prohibit or impede the use of the product. ## Optional Requirements F20 Local planning authorities may impose planning requirements that may exceed the minimum standards required by the Building Regulations. These may include the following cases: a. accessible housing (Requirements M4(2) and M4(3) of Schedule 1 to the Building Regulations) b. water efficiency (Regulation 36). F21 Such planning requirements will appear as conditions in the relevant planning consent. Enforcement of such options is part of the planning process. However, it is important that the building control body is made aware of such planning conditions. ## Historic Buildings F22 The Building Regulations should be complied with in a manner that respects historic buildings and environments. Local authority building control officers and conservation officers may be able to advise on how to comply appropriately with Building Regulations. F23 Approved Documents B, C, E, F, G, H, J, L and M provide detailed guidance on meeting the Building Regulations in historic buildings. F24 Additional guidance is available in Historic England's Energy Efficiency and Historic Buildings: Application of Part L of the Building Regulations to historic and traditionally constructed buildings. This can be downloaded from the following website: https://historicengland.org.uk/images-books/publications/energy-efficiency-historicbuildings-ptl/ ## Design And Construction Tolerances F25 Dimensions given in the approved documents make no mention of any allowance for construction tolerances. To ensure that design standards are met, appropriate allowance for tolerance should be considered in the design process. A critical dimension may depend on multiple construction tolerances. Industry standards may provide guidance on achievable tolerances. ## Ban On Combustible Materials F26 The use of combustible materials in the external walls and specified attachments of certain buildings with a storey at 18m or more above ground level is prohibited by the Building Regulations. See Regulation 7(2) of the Building Regulations and Approved Document B: Volume 2, part B4 for details. NOTE: The requirement B4(1) applies to buildings of any height. The external walls of the building shall adequately resist the spread of fire over the walls and from one building to another, having regard to the height, use and position of the building. ## Volume 2 Volume 2 Properties Of Certain Materials F27 Some materials, in the absence of special care, may be considered unsuitable because of their rapid deterioration in relation to the expected life of the building. F28 A short-lived material which is readily accessible for inspection, maintenance and replacement may meet the requirements of the Building Regulations if the consequences of failure are not likely to be serious to the health or safety of people in and around the building. F29 If a short-lived material is not readily accessible for inspection, maintenance and replacement, and the consequences of failure are likely to be serious for health or safety, it is unlikely that the material will meet the requirements of the Building Regulations. F30 A local authority may impose conditions on the proposed use of short-lived or otherwise unsuitable materials under Section 20 of the Building Act. F31 If a material is at risk of spontaneous failure, such as toughened glass, and the consequences of failure are likely to present a safety risk, it is unlikely that the material will meet the requirements of the Building Regulations. ## Sampling By Building Control Bodies F32 A local authority may take samples to establish whether materials that are used in building work comply with the Building Regulations under Regulation 46. F33 An approved inspector may sample materials under Regulation 8 of the Approved Inspectors Regulations. ## Record Keeping F34 Those carrying out building work will want to keep accurate records on the source of materials to help demonstrate that materials comply with Regulation 7 or other requirements in the Building Regulations. ## Enduring Powers Under The Building Act F35 Once building work is complete the Building Regulations no longer control the materials or workmanship used. Outside the building control process, the Building Act gives local authorities powers in relation to unsafe buildings and structures. Any changes to a building may trigger a new building control process, as detailed earlier in this manual. ## Appendix I Key Terms Terms relating to the structure of legislation: Regulation followed by a number refers to a regulation in the Building Regulations 2010. Schedule refers to a schedule contained in the Building Regulations 2010, for example Schedule 1 to the Building Regulations. Section refers to a section of the Building Act 1984. ## Other Terms: Amendment notice refers to a change of the scope of an initial notice. For further information see Chapter E. Approved document refers to a document approved by government that provides practical guidance on how the Building Regulations can be satisfied in some common situations. Approved documents are given legal status by the Building Act 1984. Approved inspectors are companies or individuals authorised under the Building Act 1984 to carry out building control work in England and Wales. They must be registered with the Construction Industry Council Approved Inspectors Register (CICAIR), which provides a list of approved inspectors. https://www.cicair.org.uk/approved-inspectors-register/ Approved Inspectors Regulations refers to the Building (Approved Inspectors etc.) Regulations 2010. Building is generally any permanent or temporary building. A reference to a building includes a reference to part of a building. Buildings include dwellings (houses, flats) and public buildings. Building Act refers to the Building Act 1984. Building control body is a local authority building control department or an approved inspector. Building notice is a route to Building Regulations approval using local authority building control. Refer to Chapter D for details. Building Regulations refers to the Building Regulations 2010. Building work includes erecting or extending a building, providing or extending a controlled service or fitting in or in connection with a building, and the material alteration of a building or a controlled service or fitting. CE marking under the Construction Products Regulation (305/2011/EU-CPR). The Construction Products Regulation requires that construction products on the EU market covered by a harmonised European product standard normally have a CE marking. Refer to Chapter F for details. Competent person schemes allow tradespeople to demonstrate their ability to carry out certain work to required standards instead of the work going through a building control body approval process. Refer to Chapter 5 and Chapter C. Completion certificates are issued by the local authority to confirm that it has taken reasonable steps to ensure that there is evidence, but not necessarily conclusive evidence, that the work complies with the relevant requirements of the Building Regulations. Controlled services or fittings include a service or fitting subject to Schedule 1 (to the Building Regulations) requirements in respect of sanitation, hot water safety, water efficiency, drainage and waste disposal, combustion appliances and fuel storage, conservation of fuel or power, and electrical safety. Final certificate refers to the certificate issued by the approved inspector to the person carrying out the work and the local authority and confirms that the work in the initial notice is complete and that the approved inspector is satisfied that it complies with the relevant requirements of the Building Regulations. Full plans refers to the route to Building Regulations approval using local authority building control. Refer to Chapter D for details. Initial notice refers to the notice served on the local authority jointly by the client and the approved inspector when an approved inspector is selected as the building control body. Listed building consent operates in addition to normal planning controls under the Planning (Listed Buildings and Conservation Areas) Act 1990. Listed building consent is likely to be required for any alteration to a listed building. Local authority building control is the building control department of the local authority. Major renovation is defined in Approved Document L1B, 5.6A and L2B, 3.1. Material alteration is defined under Regulation 3 of the Building Regulations. An alteration is a material alteration if the proposed building work would make a building less safe structurally, more at risk from fire or less accessible for disabled people. Materials include: manufactured products, such as components, fittings, items of equipment and systems; naturally occurring materials, such as stone, timber and thatch; and backfilling for excavations in connection with building work. Planning permission is approval to carry out building work from a town and country planning point of view. It is typically required to construct or extend a building or change the use of a building. The local planning authority decides whether a project will need planning permission. Plans certificates can be used to demonstrate that detailed plans of the work or a part of it comply with the Building Regulations. They are described in Regulations 14 and 15 of the Approved Inspectors Regulations and Section 50 of the Building Act. Regularisation certificates can be issued by local authorities retrospectively to indicate that work started after 11 November 1985 which has been completed complies with the Building Regulations which applied at the time the works were done. Renovation (in relation to a thermal element) is defined in Approved Document L1B, 5.6A and L2B, 3.1. Responsible person is the person defined in article 3 of the Regulatory Reform (Fire Safety) Order 2005 and having the duties for compliance with the Order as prescribed in article 5. Thermal element is a material that contributes to the thermal performance of a building's thermal envelope, such as any element of a wall, floor or roof but not a door or window. Thermal element is defined in Regulation 2(3) of the Building Regulations. UKAS is the United Kingdom Accreditation Service (www.ukas.com). ## Appendix Ii References Publications Joint Regulators Group (2020) Technical Guide: Building Regulations and Fire Safety Procedural Guidance. Historic England (2017) Energy Efficiency and Historic Buildings: Application of Part L of the Building Regulations to historic and traditionally constructed buildings. Available at: https://historicengland.org.uk/images-books/publications/energy-efficiency-historicbuildings-ptl/ ## Websites Gas Safe Register Www.Gassaferegister.Co.Uk Competent person schemes www.gov.uk/guidance/competent-person-scheme-current-schemes-and-how-schemes-areauthorised#current-schemes Testing organisations for building work www.gov.uk/guidance/competent-person-scheme-current-schemes-and-how-schemes-areauthorised#types-of-building-work ## Third-Party Certification Schemes For Electrical Installations In Dwellings Www.Gov.Uk/Guidance/Third-Party-Certification-Schemes-For-Domestic-Electrical-Work Building Regulations appeals and determinations www.gov.uk/guidance/building-regulations-appeals--6 www.gov.uk/guidance/building-regulations-determinations ## Cicair: Construction Industry Council Approved Inspectors Register Www.Cicair.Org.Uk/ Legislation (available via www.legislation.gov.uk) The following list includes selected legislation that is often relevant to the design, construction and use of buildings. This list is not comprehensive. Building Act 1984 (c. 55) The Building (Approved Inspectors etc.) Regulations 2010 (No. 2215) The Building Regulations 2010 (No. 2214) The Confined Spaces Regulations 1997 (No. 1713) The Construction (Design and Management) Regulations 2015 (No. 51) The Contaminated Land (England) Regulations 2006 (No. 1380) The Control of Substances Hazardous to Health Regulations 2002 (No. 2677) Criminal Procedure and Investigations Act 1996 (c. 25) Environmental Protection Act 1990 (c. 43) Equality Act 2010 (c. 15) The Equality Act 2010 (Disability) Regulations 2010 (No. 2128) The Fire Precautions (Workplace) Regulations 1997 (No. 1840) The Food Safety and Hygiene (England) Regulations 2013 (No. 2996) The Gas Safety (Installation and Use) Regulations 1998 (No. 2451) Health and Safety at Work etc. Act 1974 (c. 37) The Health and Safety (Consultation with Employees) Regulations 1996 (No. 1513) The Health and Safety (Display Screen Equipment) Regulations 1992 (No. 2792) Highways Act 1980 (c. 66) Housing Act 2004 (c. 34) The Lifting Operations and Lifting Equipment Regulations 1998 (No. 2307) The Management of Health and Safety at Work Regulations 1999 (No. 3242) The Manual Handling Operations Regulations 1992 (No. 2793) The Notification of Conventional Tower Cranes Regulations 2010 (No. 333) Party Wall etc. Act 1996 (c. 40) The Personal Protective Equipment at Work Regulations 1992 (No. 2966) Planning (Listed Buildings and Conservation Areas) Act 1990 (c. 9) Police and Criminal Evidence Act 1984 (c. 60) The Private Water Supplies (England) Regulations 2016 (No. 618) The Provision and Use of Work Equipment Regulations 1998 (No. 2306) Public Health Act 1936 (c. 49) The Regulatory Reform (Fire Safety) Order 2005 (No. 1541) Sustainable and Secure Buildings Act 2004 (c. 22) Town and Country Planning Act 1990 (c. 8) (and other planning legislation) The Town and Country Planning (Use Classes) Order 1987 (No. 764) The Volatile Organic Compounds in Paints, Varnishes and Vehicle Refinishing Products Regulations 2012 (No. 1715) Water Industry Act 1991 (c. 56) Water Resources Act 1991 (c. 57) The Water Supply (Water Fittings) Regulations 1999 (No. 1148) The Water Supply (Water Quality) Regulations 2016 (No. 614) The Work at Height Regulations 2005 (No. 735) The Workplace (Health, Safety and Welfare) Regulations 1992 (No. 3004) ## List Of Approved Documents The following documents have been published to give guidance on how to meet the Building Regulations. Approved documents are available at: www.gov.uk/government/collections/approved-documents ## Approved Document 7 Materials And Workmanship Approved Document A Structure Approved Document B Fire Safety Approved Document C Site Preparation And Resistance To Contaminants And Moisture Approved Document D Toxic Substances Approved Document E Resistance To The Passage Of Sound Approved Document F Ventilation Approved Document G Sanitation, Hot Water Safety And Water Efficiency Approved Document H Drainage And Waste Disposal Approved Document J Combustion Appliances And Fuel Storage Systems Approved Document K Protection From Falling, Collision And Impact Approved Document L Conservation Of Fuel And Power Approved Document M Access To And Use Of Buildings Approved Document P Electrical Safety - Dwellings Approved Document Q Security - Dwellings Approved Document R Physical Infrastructure For High Speed Electronic Communications Networks # Manual To The Building Regulations A code of practice for use in England	en
1123-pdf	## £20,000 have been considered by the Chief Executive in his capacity as Accounting Officer; and the requests for consultancy below £20,000 have been considered by the Director of Corporate Operations. ## \| Summary of application \| Decision \| \|------------------------------------------\|----------------------------------------\| \| date \| \| \| Ref: No. & \| \| \| Directorate \| \| \| Approved \| \| \| 05/04/2015 \| \| \| 26C(3) RME Embedded policy support for \| \| \| the Retail Market Review, \| \| \| (extension to ref: 26C(2)), \| \| \| £20,000 \| \| \| Approved \| \| \| 07/04/2015 \| \| \| 18C(4) RME Assessment of aspirations for \| \| \| track access on the East Coast \| \| \| Main Line, (extension to ref: \| \| \| 18C(3)), £14,850 \| \| \| Approved \| \| \| 09/04/2015 \| \| \| 56C RME \| Evidence of revenue \| \| generation and abstraction \| \| \| from historical open-access \| \| \| entry and expansion, £150,000 \| \| \| 21/04/2015 \| \| \| 57C Legal \| Senior Salary Review, £10,000 Approved \| \| \| \| ##	en
4736-pdf	## Audit Committee Monday, 18 June 2018 PRESENT: Councillor M Markham (Chair); Councillor Oldham (Deputy Chair); Councillors J Hill and Stone Mr Ian Orrell (Observer) ## 1. Apologies Apologies were received from Councillors Marriott and Golby. ## 2. Minutes The Minutes of the meeting held on 15th January 2018 were confirmed and signed by the Chair as a true record. ## 3. Deputations / Public Addresses There were none. ## 4. Declarations Of Interest There were none. ## 5. Matters Of Urgency Which By Reason Of Special Circumstances The Chair Is Of The Opinion Should Be Considered There were none. ## 6. Governance Action Plan Councillor Markham introduced Mr Ian Orrell to the Committee and reported that following his appointment as Independent Chair of Audit Committee, he would be attending the meeting as an observer prior to commencing the Chair at future Audit Committees. The Governance and Risk Manager elaborated on a report that outlined the progress made to date on implementing the Council's Governance Action Plan (GAP) and reported that there were 6 items on the plan that remained 'open', 3 of which required the delivery of training. It was explained that there would be further work monitoring Cabinet decisions, which would be reported to the Audit Committee and work was being undertaken to establish a due diligence and compliance manual. She commented that there had been extensive work carried out with regards to Risk Management and noted that one specific area that would need further work was that of Councillors. In response to questions asked, the Governance & Risk Manager explained that further work needed to be carried out with regards to due diligence and compilation of a manual. The Chief Finance Officer commented that a loan checklist was being implemented and that there was a need to refresh and examine policies and delegations, explaining that this should not become an overly bureaucratic process. He reported that work was being carried out with the Chief Executive and Cabinet to ensure that projects could still be delivered without lengthy bureaucracy stalling decisions and a commitment to refine the process was being discussed with auditors to ensure that there was an awareness of parameters. In response to further questions asked, the Governance & Risk Manager reported that improvements to governance had been made and risks had been reduced and noted the importance of ensuring that processes put in place were fit for purpose. The Senior Internal Controls Officer referred to appendix 3 and reported that there was a need to focus on areas that generate income and that work had already commenced on the reviewing the use of interims and agency staff which would followed by a review of the Management of the Establishment List/Structure Charts. It was further explained that the review of service areas could identify positive practices which could be shared with other areas. In response to further questions, the Chief Finance Officer explained that with regards to temporary accommodation and housing, the Council delivered a number of elements but that they were not obliged to scrutinise the accounts of Northampton Partnership Homes (NPH) and the External Auditor confirmed that NPH had their own auditors in place. 2.1 That the Governance Action Plan Committee be reviewed. 2.2 That the required work identified in light of the Governance Action Plan implementation, be agreed. 2.3 That update reports on the implementation of the Governance Action Plan from the Borough Secretary be received at every future meeting until it determines otherwise. ## 7. Position Statement On Vacant Posts And Interim/Agency Staff The Chief Finance Officer submitted a report and elaborated thereon and noted that whilst there had been attempts to try and reduce the number of agency staff but noted that since the Unitary proposal had been tabled, there was the prospect that the number may increase. In response to questions asked, the Chief Finance Officer explained that there was no intention of increasing vulnerability of staff and noted that the majority of savings identified, would be at the upper tiers of staff structures and noted that a mixed economy would be needed and the retention of knowledge encouraged. Members of the Committee discussed their concerns about the probable increase in the number of interims due to the uncertainty of Unitary proposals and the potential difficulties in recruiting people to a position when it would be for a limited time until the formation of Unitary Councils. 2.1 That the finance report be noted. 2.2 That efforts to reduce the number of agency and interim staff at present be noted and that as NBC head toward a Unitary environment, that it be recognised that there may be a need to increase the use of agency and interim staff. ## 8. Statement Of Accounts 2016/17 Progress Report The Chief Finance Officer elaborated on a report which informed the Committee about the work undertaken by the Finance team in conjunction with the external auditors KPMG, since the last Audit Committee on the 18th January 2018 towards enabling them to issue their audit opinion on the 2016/17 Statement of Accounts. He explained that the accounts for 2016/17 had not been closed and the report outlined where and why this had not happened. It was noted that lessons had been leaned and process put in place to reduce the chances of being in a similar position in the future. That the progress towards enabling KPMG to issue their external audit opinion of the 2016/17 accounts be noted. ## 9. Treasury Management Amendment The Chief Finance Officer elaborated on a report that presented the Committee with a proposed amendment to the NBC Treasury Management Policy. It was noted that the amendment would allow cash held in specific reserves as part of the resource available to the Council to deliver value for money and increase 'income' from the Treasury service. The Chief Finance Officer explained that there was a need for a further report to be brought before the Audit Committee to report on the due diligence and commented that if the Committee required, the Council could facilitate a briefing session by CCLA to provide members with additional information. That an amendment to the recommendation contained within the report be agreed as follows: 2.1 To consider the contents of this Treasury Management Policy Report 2.2 That Audit Committee supports the principle of improving income through the use of Treasury Management Policies. 2.3 That the Audit Committee instructs officers to refresh the proposal and bring a further report to Audit Committee in July 2018, with specific reference to due diligence and next steps. ## 10. Internal Audit Report (Lgss) The Audit Committee received a report that summarised the findings of LGSS Internal Audit assurance work relating to LGSS functions. There were a number of issues highlighted in the Business Rates Review Action Plan and reference was made to the Business Rates Collection. It was noted that the 2018-19 reviews had been agreed and would include:  Housing Benefits  IT Audit System Review of Agresso  Accounts Receivable  Quarterly Balance Sheet review - This would be a new review which would include elements of coverage that would normally be considered in reviews of Bank Accounts Reconciliations and General Ledger. In response to questions asked, the Chief Finance Officer explained that the intelligent client function had been crossed back to NBC and therefore improvements would be seen and additional focus placed on contracts. That the report be noted. ## 11. Internal Audit Annual Report (Pwc) The Internal Auditor elaborated on a report which highlighted the work that they had carried out for the year end 31 March 2018. It was reported that there were significant weaknesses or non-compliance in the framework of governance, risk management and control which put the achievement of organisations objectives at risk. Major improvements were required to improve the adequacy or effectiveness of governance and risk management and it was explained some elements of the Risk Management had been completed and noted that the Governance Action Plan was in place and was being embedded. It was explained that the Internal Auditors had reported that contract management was rated as high risk, as there were no contracts in place for all but one of the 12 suppliers with whom the Council had expenditure of over £75,000 in the period under review and that the contract register had a number of errors. In response to questions asked, it was confirmed that there was limited contract management in place and it was noted that whilst this was not good practise, improvements were being made. That the report be noted. ## 12. External Audit Update The External Auditor (KPMG) submitted a report and noted that progress had been made since the last communication in September 2017 on key issues which were outstanding. It was noted that due to the number of areas of concern and errors found, they had not been able to obtain sufficient assurance that the financial statements would present a true and fair view prior to the statutory deadline. It was reported that information that had been given to them had been not only inaccurate but wrong and of very poor quality; 9 months later it was not considered to have progressed efficiently enough to sign off. It was noted that there were several areas of concern which included: a. Valuation of Council dwellings b. Having requested in December 2017 that the Council provide a reconciliation between the draft version of the valuers report and the fixed asset register, no reconciliation was provided, despite numerous requests. c. Lack of clarity on the application of uplift based on original valuations d. Incorrect social housing adjustment factors. With regards to additional costs relating to additional work and ongoing delays, the Committee noted that in September 2017 the audit was likely to be £71,250. That figure had now reached over £150,000. The Chair expressed her disappointment that the information requested by KPMG had not been supplied in a timely manner and the subsequent impact that this would have had on the overall costs of the Audit. Frustration was expressed that LGSS finance had been employed to oversee the finances of the Council and that they had not been held responsible for the financial issues and costs that the Council had incurred, which could be partly attributed to their failings. The Chief Finance Officer explained that there was a relationship between LGSS and the Council and that as an authority, the Council were not in the position to extract themselves and as progress with Unitary was made it would be very unwise to try and engage with another party. Mr Ian Orrell commented that NBC were not unique in having an interdependency with LGSS and noted that there was a need for sound and robust contract management to be in place to address such issues. That the report be noted The meeting concluded at 7.42pm	en
4521-pdf	Department Family Entity Date Paid Expense Type Expense Area Slt Status Supplier Transaction Reference Amount THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 28/02/2014 BIOCHEMISTRY TRUSTWIDE LABORATORY REAGENTS Fully Settled ABBOTT LABORATORIES LTD 711223 50,765.24 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 05/02/2014 GRAPHIC DESIGN COMPUTER MAINTENANCE Fully Settled ACCENTURE 726021 69,365.61 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 28/02/2014 MYHT FINANCE TEAM COMPUTER SOFTWARE/LICENSE Fully Settled ADVANCED BUSINESS SOLUTIONS 732952 51,540.68 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 05/02/2014 BALANCE SHEET STOCKS FINISHED GOODS Fully Settled ALLIANCE HEALTHCARE (DISTRIBUTION) LTD 729333 46,508.31 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 19/02/2014 BALANCE SHEET STOCKS FINISHED GOODS Fully Settled ALLIANCE HEALTHCARE (DISTRIBUTION) LTD 732019 47,665.18 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 19/02/2014 BALANCE SHEET STOCKS FINISHED GOODS Fully Settled ALLIANCE HEALTHCARE (DISTRIBUTION) LTD 737451 44,965.32 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 26/02/2014 BALANCE SHEET SOFTWARE ADDITIONS PURCHASED Fully Settled ASCRIBE GROUP LTD 731572 37,500.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 10/02/2014 PACEMAKERS PACEMAKERS Fully Settled BOSTON SCIENTIFIC LTD 726132 30,984.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 05/02/2014 PACEMAKERS PACEMAKERS Fully Settled BOSTON SCIENTIFIC LTD 726133 30,816.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 05/02/2014 CARDIO RESP INVESTIGATIONS PACEMAKERS Fully Settled BOSTON SCIENTIFIC LTD 726134 25,080.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 28/02/2014 KINGSDALE UNIT WAKEFIELD COMMERCIAL SECTOR Fully Settled BUPA CARE HOMES 735582 66,080.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 03/02/2014 INFORMATION TECHNOLOGY CONTR OTHER EXTERNAL Fully Settled CALDERDALE AND HUDDERSFIELD FOUNDATION TRUST 29739 48,336.83 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 12/02/2014 TRUST MEDICAL PHYSICS MED & SURG EQUIP REPAIR Fully Settled CAREFUSION UK 306 LTD 728235 39,717.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 26/02/2014 PFI ACCOUNTING UNITARY PAYMENT Part Settled CONSORT HEALTHCARE (MID YORKSHIRE) LTD 735738 3,305,055.01 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 19/02/2014 STAFF ACCOMODATION DDH GAS Fully Settled CORONA ENERGY RETAIL 4 LTD 730490 47,750.98 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 26/02/2014 PGH UTILITIES & RATES GAS Fully Settled CORONA ENERGY RETAIL 4 LTD 737592 92,841.31 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 26/02/2014 DDH UTILITIES & RATES GAS Fully Settled CORONA ENERGY RETAIL 4 LTD 738464 60,139.03 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 17/02/2014 PGI UTILITIES & RATES ELECTRICITY Fully Settled EDF ENERGY LTD 735168 28.64 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 17/02/2014 PGI UTILITIES & RATES ELECTRICITY Fully Settled EDF ENERGY LTD 735168 38,062.74 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 17/02/2014 DDH UTILITIES & RATES ELECTRICITY Fully Settled EDF ENERGY LTD 735169 45.78 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 17/02/2014 DDH UTILITIES & RATES ELECTRICITY Fully Settled EDF ENERGY LTD 735169 69,861.95 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 17/02/2014 PGH UTILITIES & RATES ELECTRICITY Fully Settled EDF ENERGY LTD 735170 54.41 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 17/02/2014 PGH UTILITIES & RATES ELECTRICITY Fully Settled EDF ENERGY LTD 735170 82,768.99 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 17/02/2014 PGH UTILITIES & RATES ELECTRICITY Fully Settled EDF ENERGY LTD 735477 53.64 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 17/02/2014 PGH UTILITIES & RATES ELECTRICITY Fully Settled EDF ENERGY LTD 735477 81,936.54 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 05/02/2014 EDMS PROJECT EXTERNAL DATA CONTRACTS Fully Settled EDM GROUP LTD 726427 91,925.25 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 05/02/2014 BALANCE SHEET STOCKS FINISHED GOODS Fully Settled ELI LILLY & CO LTD 728503 38,400.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 19/02/2014 BALANCE SHEET STOCKS FINISHED GOODS Fully Settled ELI LILLY & CO LTD 734397 46,080.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 05/02/2014 MYHT FINANCE TEAM EXTERNAL CONSULTANCY FEES Fully Settled ERNST & YOUNG LLP 732592 246,000.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 19/02/2014 BALANCE SHEET NONRES BLDG ADDS PURCHASED Fully Settled GROVE BUILDING SOLUTIONS LTD 730593 77,931.56 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 05/02/2014 ORTHOTIC DEPARTMENT - PONTE. PATIENTS APPLIANCES : PURCHASE Fully Settled HUGH STEEPER LTD 726819 4,617.02 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 05/02/2014 ORTHOTIC DEPARTMENT - PONTE. PATIENTS APPLIANCES : PURCHASE Fully Settled HUGH STEEPER LTD 726819 67,730.22 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 28/02/2014 MRI SERVICE LABORATORY EXTERNAL TESTS Fully Settled INHEALTH LTD 737606 69,730.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 26/02/2014 BALANCE SHEET STOCKS FINISHED GOODS Fully Settled JANSSEN CILAG LTD 734661 25,489.80 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 24/02/2014 INFORMATION TECHNOLOGY FM COMPUTER CONTRACTS Fully Settled KCOM 736743 375,109.10 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 05/02/2014 GENERAL SURGERY - TRUSTWIDE SENIOR LECTURER Fully Settled LEEDS TEACHING HOSPITALS NHS TRUST 29614 55,000.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 05/02/2014 CLINICAL HAEMATOLOGY TRUSTWIDE CONSULTANT Fully Settled LEEDS TEACHING HOSPITALS NHS TRUST 29615 552.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 05/02/2014 ONCOLOGY TRUSTWIDE CONSULTANT Fully Settled LEEDS TEACHING HOSPITALS NHS TRUST 29615 35,068.59 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 05/02/2014 WOMEN'S MEDICAL STAFFING TW CONSULTANT Fully Settled LEEDS TEACHING HOSPITALS NHS TRUST 29615 2,408.67 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 19/02/2014 PATHOLOGY MANAGEMENT TRUSTWIDE LABORATORY EXTERNAL TESTS Fully Settled LEEDS TEACHING HOSPITALS NHS TRUST 29759 47,111.36 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 28/02/2014 CLINICAL HAEMATOLOGY TRUSTWIDE CONSULTANT Fully Settled LEEDS TEACHING HOSPITALS NHS TRUST 29850 552.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 28/02/2014 ONCOLOGY TRUSTWIDE CONSULTANT Fully Settled LEEDS TEACHING HOSPITALS NHS TRUST 29850 35,068.59 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 28/02/2014 WOMEN'S MEDICAL STAFFING TW CONSULTANT Fully Settled LEEDS TEACHING HOSPITALS NHS TRUST 29850 2,408.67 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 19/02/2014 BALANCE SHEET STOCKS FINISHED GOODS Fully Settled LLOYDS PHARMACY LTD 726834 134,002.40 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 19/02/2014 BALANCE SHEET STOCKS FINISHED GOODS Fully Settled LLOYDS PHARMACY LTD 726836 89,284.63 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 19/02/2014 BALANCE SHEET STOCKS FINISHED GOODS Fully Settled MOVIANTO UK LTD - INVOICES START 955 731848 40,680.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 12/02/2014 BLOOD SERVICE TRUSTWIDE BLOOD PRODUCTS Fully Settled NHS BLOOD AND TRANSPLANT 29700 108,090.71 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 12/02/2014 BLOOD SERVICE TRUSTWIDE BLOOD PRODUCTS Fully Settled NHS BLOOD AND TRANSPLANT 29703 37,842.07 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 03/02/2014 NHSP HOLDING ACCOUNT NHSP AGENCY CONTROL Fully Settled NHS PROFESSIONALS LTD 725002 2,226.18 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 03/02/2014 NHSP HOLDING ACCOUNT NHSP AGENCY CONTROL Fully Settled NHS PROFESSIONALS LTD 725002 29,687.85 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 03/02/2014 NHSP HOLDING ACCOUNT NHSP AGENCY CONTROL Fully Settled NHS PROFESSIONALS LTD 725002 14,540.34 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 05/02/2014 NHSP HOLDING ACCOUNT NHSP BANK CONTROL Fully Settled NHS PROFESSIONALS LTD 726887 1,778.61 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 05/02/2014 NHSP HOLDING ACCOUNT NHSP BANK CONTROL Fully Settled NHS PROFESSIONALS LTD 726887 9,269.81 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 05/02/2014 NHSP HOLDING ACCOUNT NHSP BANK CONTROL Fully Settled NHS PROFESSIONALS LTD 726887 96,993.49 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 05/02/2014 NHSP HOLDING ACCOUNT NHSP BANK CONTROL Fully Settled NHS PROFESSIONALS LTD 729125 56,254.66 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 05/02/2014 NHSP HOLDING ACCOUNT NHSP BANK CONTROL Fully Settled NHS PROFESSIONALS LTD 729125 5,403.02 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 05/02/2014 NHSP HOLDING ACCOUNT NHSP BANK CONTROL Fully Settled NHS PROFESSIONALS LTD 729125 338.84 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 10/02/2014 NHSP HOLDING ACCOUNT NHSP AGENCY CONTROL Fully Settled NHS PROFESSIONALS LTD 729126 6,863.46 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 10/02/2014 NHSP HOLDING ACCOUNT NHSP AGENCY CONTROL Fully Settled NHS PROFESSIONALS LTD 729126 7,550.49 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 10/02/2014 NHSP HOLDING ACCOUNT NHSP AGENCY CONTROL Fully Settled NHS PROFESSIONALS LTD 729126 9,762.22 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 12/02/2014 NHSP HOLDING ACCOUNT NHSP BANK CONTROL Fully Settled NHS PROFESSIONALS LTD 730329 87,636.66 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 12/02/2014 NHSP HOLDING ACCOUNT NHSP BANK CONTROL Fully Settled NHS PROFESSIONALS LTD 730329 7,723.56 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 12/02/2014 NHSP HOLDING ACCOUNT NHSP BANK CONTROL Fully Settled NHS PROFESSIONALS LTD 730329 331.48 \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 19/02/2014 NHSP HOLDING ACCOUNT \| NHSP BANK CONTROL \| Fully Settled \| NHS PROFESSIONALS LTD \| 732002 \| 87,326.22 \| \|-----------------------------------------\|-----------------------------------------\|-----------------------------------------\|-------------------------------\|-----------------\|----------------------------------------------\|----------\|-------------\| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 19/02/2014 NHSP HOLDING ACCOUNT \| NHSP BANK CONTROL \| Fully Settled \| NHS PROFESSIONALS LTD \| 732002 \| 11,062.43 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 19/02/2014 NHSP HOLDING ACCOUNT \| NHSP BANK CONTROL \| Fully Settled \| NHS PROFESSIONALS LTD \| 732002 \| 423.55 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 24/02/2014 NHSP HOLDING ACCOUNT \| NHSP AGENCY CONTROL \| Fully Settled \| NHS PROFESSIONALS LTD \| 732003 \| 14,912.99 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 24/02/2014 NHSP HOLDING ACCOUNT \| NHSP AGENCY CONTROL \| Fully Settled \| NHS PROFESSIONALS LTD \| 732003 \| 21,395.35 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 26/02/2014 NHSP HOLDING ACCOUNT \| NHSP BANK CONTROL \| Fully Settled \| NHS PROFESSIONALS LTD \| 734501 \| 88,193.30 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 26/02/2014 NHSP HOLDING ACCOUNT \| NHSP BANK CONTROL \| Fully Settled \| NHS PROFESSIONALS LTD \| 734501 \| 13,791.95 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 26/02/2014 NHSP HOLDING ACCOUNT \| NHSP BANK CONTROL \| Fully Settled \| NHS PROFESSIONALS LTD \| 734501 \| 331.46 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 19/02/2014 ESTATES - HEALTH CENTRES \| CONTR ESTATE MANAGEMENT \| Fully Settled \| NHS PROPERTY SERVICES LTD \| 29914 \| 175,007.50 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 05/02/2014 BALANCE SHEET \| NONNHS TRADE CR < 1 YR \| Fully Settled \| NHS SUPPLY CHAIN \| 29646 \| 108,327.06 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 05/02/2014 BALANCE SHEET \| NONNHS TRADE CR < 1 YR \| Fully Settled \| NHS SUPPLY CHAIN \| 29647 \| 71,195.74 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 12/02/2014 BALANCE SHEET \| NONNHS TRADE CR < 1 YR \| Fully Settled \| NHS SUPPLY CHAIN \| 29708 \| 68,597.43 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 12/02/2014 BALANCE SHEET \| NONNHS TRADE CR < 1 YR \| Fully Settled \| NHS SUPPLY CHAIN \| 29709 \| 174,989.65 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 19/02/2014 BALANCE SHEET \| NONNHS TRADE CR < 1 YR \| Fully Settled \| NHS SUPPLY CHAIN \| 29780 \| 98,639.15 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 19/02/2014 BALANCE SHEET \| NONNHS TRADE CR < 1 YR \| Fully Settled \| NHS SUPPLY CHAIN \| 29781 \| 61,254.58 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 28/02/2014 BALANCE SHEET \| NONNHS TRADE CR < 1 YR \| Fully Settled \| NHS SUPPLY CHAIN \| 29837 \| 127,612.23 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 28/02/2014 BALANCE SHEET \| NONNHS TRADE CR < 1 YR \| Fully Settled \| NHS SUPPLY CHAIN \| 29838 \| 52,540.60 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 19/02/2014 BALANCE SHEET \| STOCKS FINISHED GOODS \| Fully Settled \| NOVARTIS PHARMACEUTICALS UK LTD \| 730952 \| 81,700.32 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 12/02/2014 BALANCE SHEET \| STOCKS FINISHED GOODS \| Fully Settled \| NOVARTIS PHARMACEUTICALS UK LTD \| 731497 \| 44,396.94 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 28/02/2014 BALANCE SHEET \| STOCKS FINISHED GOODS \| Fully Settled \| NOVARTIS PHARMACEUTICALS UK LTD \| 735205 \| 91,595.52 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 26/02/2014 SLEEP SERVICE \| GENERAL MATERIALS \| Fully Settled \| PHILIPS RESPIRONICS \| 733005 \| 28,091.02 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 26/02/2014 A&E PGH & PGI \| GENERAL PRACTITIONERS \| Fully Settled \| PRIMECARE \| 735571 \| 39,055.95 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 05/02/2014 BALANCE SHEET \| STOCKS FINISHED GOODS \| Fully Settled \| ROCHE PRODUCTS LTD \| 728492 \| 112,245.12 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 12/02/2014 BALANCE SHEET \| STOCKS FINISHED GOODS \| Fully Settled \| ROCHE PRODUCTS LTD \| 730254 \| 117,351.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 12/02/2014 BALANCE SHEET \| IT ADDITIONS \| Fully Settled \| SCC SPECIALIST COMPUTER CENTRES \| 728205 \| 179,793.60 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 19/02/2014 HISTOPATHOLOGY & CYTOLOGY TW \| LABORATORY REAGENTS \| Fully Settled \| SOURCE BIOSCIENCE UK LTD \| 730056 \| 546.35 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 19/02/2014 HISTOPATHOLOGY & CYTOLOGY TW \| LABORATORY REAGENTS \| Fully Settled \| SOURCE BIOSCIENCE UK LTD \| 730056 \| 32,781.12 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 28/02/2014 BALANCE SHEET \| PREPAYMENT < 1 YEAR \| Fully Settled \| SOUTH WEST YORKSHIRE PARTNERSHIP NHS FT \| 28798 \| 66,428.03 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 03/02/2014 PLASTIC SURGERY PGH \| COMMERCIAL SECTOR \| Fully Settled \| SPIRE METHLEY PARK HOSPITAL \| 716189 \| 26,622.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 28/02/2014 LAUNDRY DDH \| EXT CONTR LAUNDRY \| Fully Settled \| SYNERGY HEALTH (UK) LTD INV START 2000 LINEN \| 733357 \| 28,932.02 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 19/02/2014 BALANCE SHEET \| MEDICAL EQUIP ADDITIONS PURCH \| Fully Settled \| TOSHIBA MEDICAL SYSTEMS LTD \| 731037 \| 60,853.03 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 19/02/2014 BALANCE SHEET \| MEDICAL EQUIP ADDITIONS PURCH \| Fully Settled \| TOSHIBA MEDICAL SYSTEMS LTD \| 731038 \| 61,932.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 19/02/2014 BALANCE SHEET \| MEDICAL EQUIP ADDITIONS PURCH \| Fully Settled \| TOSHIBA MEDICAL SYSTEMS LTD \| 731039 \| 66,010.97 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 19/02/2014 BALANCE SHEET \| MEDICAL EQUIP ADDITIONS PURCH \| Fully Settled \| TOSHIBA MEDICAL SYSTEMS LTD \| 731040 \| 60,853.03 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 26/02/2014 BALANCE SHEET \| MEDICAL EQUIP ADDITIONS PURCH \| Fully Settled \| TOSHIBA MEDICAL SYSTEMS LTD \| 732227 \| 61,932.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 26/02/2014 BALANCE SHEET \| MEDICAL EQUIP ADDITIONS PURCH \| Fully Settled \| TOSHIBA MEDICAL SYSTEMS LTD \| 732229 \| 61,932.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 12/02/2014 PALLIATIVE CARE TRUSTWIDE \| OTHER TRAINING INCOME \| Fully Settled \| WAKEFIELD HOSPICE \| 729168 \| 84,350.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 26/02/2014 PGH UTILITIES & RATES \| WATER \| Fully Settled \| YORKSHIRE WATER SERVICES LTD \| 737363 \| 25,712.42 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 26/02/2014 PGH UTILITIES & RATES \| WATER \| Fully Settled \| YORKSHIRE WATER SERVICES LTD \| 737363 \| 450.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 23/09/2013 BALANCE SHEET \| PAYROLL DED'NS N/S <1YR \| Fully Settled \| EDENRED \| 27913 \| 43,858.13 \|	en
3212-pdf	## Tackling Worklessness Targeting Jobs And Training Through The Procurement Process Why Use Procurement? "With an annual expenditure of over £150 billion, public procurement has an important role to play in . . . tackling social issues" (Buy and Make a Difference. Office of Government Commerce. 2008) ## H Local authorities should aim to maximise the extent to whic their procurement generate jobs and training opportunities. However, this tends to compete with potentially conflicting objectives like cost reductions, quality and timely delivery. These have traditionally taken precedence, partly because of an unduly conservative interpretation of European procurement rules and case law. But it also reflects a local authority culture derived from a more restrictive era, as defined by the Local Government Act 1988. Overcoming resistance to linking local employment and training benefits with procurement is the main barrier. This 'How to Guide' provides economic development and employability practitioners with information to enable them to champion this activity. The UK government and the European Commission are encouraging public agencies to use procurement to achieve social policy goals. This is reflected in the publication of UK Guidance. _ Social Issues in Purchasing http://www.ogc.gov.uk/delivering policy_aims_through_public_procurement_social_issues.asp Promoting Skills Through Public Procurement, 2009, OGC and Department for Innovation, Universities and Skills http://www.ogc.gov.uk/key_policy_principles_and_ supporting_guidance_promoting_skills_through_public_ procurement_.asp ## Collaborative Procurement Http://Www.Ogc.Gov.Uk/Delivering_Value_For_Money.Asp Nevertheless, there is a need to proceed with care to accommodate the EU and UK legal and policy frameworks. The aim is to get the best fit with the purchaser's other objectives, and to introduce the requirements into different forms of contract. Training and employment outcomes have most frequently been included in construction-related contracts. This is because it can represent significant investment in areas with high levels of social exclusion. Without intervention, the structure of the industry can work against local employment. The same method would also be valid for other locallydelivered services. In construction a range of procurement strategies may result in different forms of contracts. This may include: - one-off contracts - framework contracts –where a panel of companies is selected and each may get some work - Private Finance Initiative (PFI) contracts that may last for 25 years - development agreements linked to land sales. Employment and training requirements have been used in all types of contract - but each may call for a different approach and raise specific issues. ## Case Study - Glasgow Housing Association Glasgow Housing Association (GHA) was formed from the largest housing stock transfer in Britain. It is spending about £200 million a year on achieving the 'decent homes standard' through framework contracts. From its inception, GHA has had a strong Neighborhood Renewal strategy. This has provided the policy basis for including targeted recruitment and training as a core requirement of contractors: - Reference to the requirements was included in the contract notice. - Questions on relevant experience were included in the pre-qualification questionnaires (PQQs). . - Requirements were included in the invitation to tender - A training method statement was scored as part of each tender evaluation. From January 2006 to September 2009, GHA's contractors have recruited more than 630 new entrant trainees - mostly apprentices - and provided nearly 29,000 weeks employment. This represents 11 per cent of the total person-weeks used compared with a 10 per cent overall target. It is being achieved at no cost to the housing investment budget. ## Eu And Uk Legal Frameworks European Union Treaties and European Commission Procurement Directives are incorporated into UK Public Contract Regulations and require all public bodies and Housing Associations to give equal access to contract opportunities for bidders from across Europe.1 Where the anticipated cost is above approximately £3.5m for works and £140,000 for goods and services, the EU sets out procedures for the advertising of opportunities, the selection of bidders and the award of the contract. A useful 'laypersons' guide to the requirements can be found in the CAN DO Toolkit (Resource 2) - www.whq.org.uk/i2i (go to i2i resources). include social services provisions. European case law on the extent to which a public body can include employment and training requirements in their procurement mostly relates to situations where these were seen as 'added value' - that is, secondary considerations– rather than part of the subject of the contracts - core requirements. As local authorities have broad powers to promote community wellbeing under the Local Government Act 2000, they can include training and job outcomes as core requirements - for example, buying 'highways maintenance and skills development'. By referring to these requirements, an authority can take bidders' offers on these into account in the award of the contract. Secondary considerations can be included as contract conditions, but must not be used in the tender evaluation and award. Under European case law, the inclusion of employment and training requirements could disadvantage non-local bidders. This is because they may have no local workforce or knowledge of local labour markets. It is important to avoid 'local referencing', that is only specifying targets that can be met from anywhere in Europe - for example, recruiting trainees - and instead specifying a source of beneficiaries - for example, a college, job centre or agency - that will ensure equal access to bidders from anywhere in Europe. Providing information to bidders on the resources and services of the named source is important in creating a level playing field at the tender stage. Relevant policy allows local authorities to include employment and training benefits as core requirements of the contract. This may be found in the council's corporate plan, procurement strategy, community strategy, sustainable development policy - that may refer to 'sharing the benefits with all' - or the local area agreement (LAA). As opportunities arise to modify these policies, more explicit wording should be included. Local authorities in England also need to have a 'best value' rationale for including work and skills requirements in their procurement. They need to comply with Section 17 - noncommercial considerations - of the Local Government Act 1988, as amended by Statutory Instrument 909/2001. The amendments were made differently in Wales and Scotland. 'Best value' is defined as 'continuous improvement in the way functions are exercised' - Local Government Act 1999 Section 3[1]. So the rationale could be the achievement of a range of local authority policy objectives - see above - or specifically the expansion of skills in the labour market. ## Ii.1.5) Short Description Of The Contract Or Purchase(S) The project involves the construction of a new primary school. Under this project the contractor is required to participate actively in the economic and social regeneration of the locality of and surrounding the place of delivery for the project. Accordingly contract performance conditions may relate in particular to social and environmental considerations. ## Best Value And Affordability Local authorities have a duty to achieve 'best value' from their procurement and other public bodies have a duty to achieve 'value for money' (vfm). Both best value and vfm are judged against the core requirements of the contract. If work and skills requirements are included then they should be part of the best value and or vfm consideration. Achieving the purchaser's policy objectives is sufficient value: the work and skills requirements do not need to show a financial benefit to the authority. However, a procurement team will assume that including such requirements will add cost to a contract. Demonstrating how these costs can be minimised is critical in obtaining their cooperation. This can be achieved by setting requirements that match the 'supply-side resources' available in the target area - for example, via colleges and training providers, Jobcentre Plus, European funding programmes and industry training bodies. Purchasers will need assurance that these resources will be available, and bidders will need information that will help them in pricing the tender. Some purchasers may be willing to accept some additional cost as part of the tender, but will be looking to see how this can be minimised. ## Summary Of Targeted Recruitment & Training Resources \| Cost Item \| \|--------------------\| \| Management \| \| and \| \| administration \| \| Training costs \| \| Additional site \| \| costs \| \| Mentoring and \| \| support activities \| ## Total Cost Sources of Funding and other Resources Industry training funds Existing company staff/overheads Corporate social responsibility resources Trainee productivity Services from other external agencies Total of additional resources ## Net Cost ## Measuring And Monitoring Targets Procurement supports the promotion of employment and training. Some additional benefits - in terms of a multiplier effect on the local economy - will be obtained by targeting the opportunities at local people. Greater benefit can be derived if the beneficiaries are people who face significant barriers to work. It is important to pursue this 'social inclusion' rationale, especially in times of higher unemployment. Economic development officers should identify appropriate employment and training targets on a contract-by-contract basis. They should take into account: - local data on unemployment and inactivity - adopted policies and the priorities of the LAA - the resources available for training and job-matching - the type of opportunities that can obtained from the contract. Avoid the temptation to set too many requirements. It is better to focus resources and effort. ## Illustration 3: Extract From The Bid Stage Draft Protocol On Prosperity And Employability - Leicester Local Education Partnership - Delivering Building Schools For The Future Collective Partnership Targets Each construction and life-cycle maintenance project shall make a contribution to the achievement of the following: - 10% of the person-weeks required to deliver the works to be provided by employed-status new entrant trainees recruited from an agency agreed by the Council; - every vacancy on site, including those with subcontractors, is to be notified to agencies named by the Council at least 2 working days before being filled from other sources; - the equivalent of 1.5% of the person-weeks required to deliver the works are to be made available as unwaged work experience opportunities. In occupations where high labour turnover is the norm, it may be better to use person-weeks of employment as the measure. The person-weeks may be achieved by employing a few people for a longer period, or a larger number of people for a shorter period. The person-week targets may be mixed with job numbers for example, six new entrant trainees to obtain a total of 312 person-weeks employment. It is essential to define in plain English what the terms mean because they are not standardised or obvious. Under EU procurement frameworks, any contract requirements should be measurable so that the purchaser and or procurer can verify their delivery. In relation to employment and training outcomes, useful measures may be: - the number of vacancies notified to named agencies and the number of people recruited from these agencies - the number of people enrolled on industry-recognised training courses and the numbers of qualifications obtained - the number of new entrant trainees - that is from sociallyexcluded groups recruited from named agencies. The 'named agency' is a way of securing benefits for a target population. These will be maximised where the agency undertakes outreach and pre-recruitment work with this community and provides mentoring and personal support during the transition into work. Remember, it is easier to monitor absolute targets - for example, 1,000 trainee person-weeks - than formulaic targets - for example, 10 per cent of all person-weeks. ## Illustration 4: Definition From Brent Council`S South Kilburn Partnership Specification A 'new trainee' is a person that is leaving an educational establishment (e.g. school, college or university) or a training provider, or a non-employed person that is seeking employment that includes on-site training and assessment or offsite training or a mix of these, or a person that was recruited as a new entrant trainee and is seeking a new position through the named Agency in order to complete their training. These may be apprentices or other trainees. An 'apprentice' is a person registered as an apprentice with an industry recognised body and can be counted as a 'new trainee' for up to 104 weeks. Other 'new trainees' can be counted for up to 52 weeks. ## Taking A Strategic Approach Using procurement to achieve employment and training outcomes requires a long-term strategy. It is not a quick fix. Sometimes there is a significant delay between the start of the procurement process and the availability of opportunities. The ideal is to build the case for including social requirements into procurement. This can be achieved by identifying the policy basis, identifying the training and job-matching resources, and the staff to help purchasers and suppliers define, deliver and monitor the work and skills requirements. Lead member and director-level support may then be needed to get commitment from the authority's procurement staff. However, where the procurement could provide opportunities for many years ahead it may be necessary to get the requirements into the procurement process and then put together the required resources and information. The earlier employment and training requirements are introduced the better. This requires good contacts with the procurement officers and allows: - affordability issues to be discussed - the rules on advertising and bidder selection to be followed - the appropriate tender requirements to be drafted. However, even when the requirements are in the contract, it will be essential to work with the supplier to help with delivery. The effort they put in will invariably reflect the effort the client and the supply-side organisations put in. ## Illustration 5: Extract From West Northamptonshire Development Corporation Board Report 2008 Construction Futures will help West Northamptonshire Development Corporation (WNDC) and its partners achieve what has been a long standing objective for many public bodies, but one that is rarely achieved - significant social and economic added-value for local communities (in terms of skill levels, employment and household income) through construction training and procurement programmes linked to development activity. ## Top Tips - Institutional resistance to including employment and training outcomes in local procurement is the main obstacle to overcome. - Develop a long-term strategic approach, but be prepared to intervene - Intervene as early as possible in each procurement process: this requires good contacts with procurement teams. - Be explicit about the intention to use procurement to achieve employment and training requirements in relevant policies. - Include work and skills requirements in the subject of the contract, rather than as secondary requirements, or as 'added value.' - Target work and skills opportunities at people with significant barriers to work. - Maximise local recruitment by naming a source from which beneficiaries must be recruited - rather than simply specifying 'local' beneficiaries. - Ensure the named sources undertake pre-employment support with the target communities in order to provide candidates that are job-ready. - Define the targets and measures. Terms like 'trainee', 'unemployed', 'job-seeker', 'person-week' and 'apprentice' do not have universally shared meanings. - Provide information on the resources and services of the named source - this is important in creating a level playing field at the tendering stage. - Consider what can be measured and verified when setting targets - it is easier to monitor absolute targets, than formula-based targets. This guide provides information in general terms only. Readers should seek legal advice on particular cases. IDeA Layden House 76-86 Turnmill Street London EC1M 5LG telephone 020 7296 6880 facsimile 020 7296 6666 email ihelp@idea.gov.uk www.idea.gov.uk ©IDeA - March 2010 Printed on 100 per cent recycled paper using vegetable based ink. For a copy in Braille, Welsh, larger print or audio, please contact iHelp on 020 7296 6880. We consider requests on an individual basis.	en
3443-pdf	## Joint Forest Sector Questionnaire: Provisional 2016 Data Publication Date: 18 May 2017 Coverage: United Kingdom Geographical Breakdown: None The Joint Forest Sector Questionnaire (JFSQ) collects data on removals, production and trade of wood and wood products. Statistics are collected annually and the collection is co-ordinated by a number of international organisations: Eurostat, UNECE, FAO and ITTO. Notes: 1. In the JQ1 and JQ1 OB tables, "removals" data is as delivered to processors and others. 2. The product codes tables are provided as guidance by international organisations, the exact list of commodity codes used by the Forestry Commission for specific JQ categories can differ. List of Tables JQ1 OB: Removals over bark JQ1: Removals and production JQ2: Trade JQ3: Trade in secondary processed wood and paper products Glulam and X-lam ECE-EU: Trade in roundwood and sawnwood by species EU1: Trade with countries outside the EU EU2: Removals by type of ownership Conversion factors Product codes for the JQ2 and EU1 tables Product codes for the JQ3 table UK data that is submitted to international organisations via the JFSQ is published twice a year, in May (provisional data) and September (final data) at: www.forestry.gov.uk/forestry/infd-7aqhzh Next update: 28 September 2017: final results for 2016 17 May 2018: provisional results for 2017 Issued by: IFOS - Statistics, Forest Research, 231 Corstorphine Road, Edinburgh, EH12 7AT Enquiries: Jackie Watson 0300 067 5238 statistics@forestry.gsi.gov.uk Statistician: Sheila Ward 0300 067 5236 www.forestry.gov.uk/statistics Date: 18 May 2017 Name of Official responsible for reply: Sheila Ward Official Address (in full): IFOS-Statistics, Forest Research, 231 Corstorphine Road, Edinburgh EH12 7AT, UK ## Eu Jq1 Ob Telephone:+ 44 300 067 5236 Fax: E-mail: sheila.ward@forestry.gsi.gov.uk ## Removals Product Product 2015 2016 Unit Code Quantity Quantity ROUNDWOOD REMOVALS OVERBARK 3 11,827 11,821 1 ROUNDWOOD 1000 m 3 11,299 11,292 1.C Coniferous 1000 m 3 527 529 1.NC Non-Coniferous 1000 m 3 2,160 2,105 1.1 WOOD FUEL, INCLUDING WOOD FOR CHARCOAL 1000 m 3 1,760 1,705 1.1.C Coniferous 1000 m 3 400 400 1.1.NC Non-Coniferous 1000 m 3 9,667 9,716 1.2 INDUSTRIAL ROUNDWOOD (WOOD IN THE ROUGH) 1000 m 3 9,540 9,587 1.2.C Coniferous 1000 m 3 127 129 1.2.NC Non-Coniferous 1000 m 3 7,075 7,255 1.2.1 SAWLOGS AND VENEER LOGS 1000 m 3 7,003 7,182 1.2.1.C Coniferous 1000 m 3 72 73 1.2.1.NC Non-Coniferous 1000 m 3 2,028 1,902 1.2.2 PULPWOOD (ROUND & SPLIT) 1000 m 3 2,028 1,901 1.2.2.C Coniferous 1000 m 3 0 1 1.2.2.NC Non-Coniferous 1000 m 3 564 559 1.2.3 OTHER INDUSTRIAL ROUNDWOOD 1000 m 3 509 504 1.2.3.C Coniferous 1000 m 3 55 55 1.2.3.NC Non-Coniferous 1000 m Sheila Ward ## Jq1 Forest Sector Questionnaire Removals And Production Product Product 2015 2016 Code Quantity Quantity ROUNDWOOD REMOVALS (under bark) 1 ROUNDWOOD 1000 m 1.C Coniferous 1000 m 1.NC Non-Coniferous 1000 m 1.1 WOOD FUEL, INCLUDING WOOD FOR CHARCOAL 1000 m 1.1.C Coniferous 1000 m 1.1.NC Non-Coniferous 1000 m 1.2 INDUSTRIAL ROUNDWOOD (WOOD IN THE ROUGH) 1000 m 1.2.C Coniferous 1000 m 1.2.NC Non-Coniferous 1000 m 1.2.1 SAWLOGS AND VENEER LOGS 1000 m 1.2.1.C Coniferous 1000 m 1.2.1.NC Non-Coniferous 1000 m 1.2.2 PULPWOOD (ROUND & SPLIT) 1000 m 1.2.2.C Coniferous 1000 m 1.2.2.NC Non-Coniferous 1000 m 1.2.3 OTHER INDUSTRIAL ROUNDWOOD 1000 m 1.2.3.C Coniferous 1000 m 1.2.3.NC Non-Coniferous 1000 m PRODUCTION 2 WOOD CHARCOAL 1000 mt 5 5 3 CO-PRODUCTS / CHIPS, PARTICLES, RESIDUES 1000 m 3.1 Chips and particles 1000 m 3.2 Residues including wood for agglomerates 1000 m 4 WOOD PELLETS AND OTHER AGGLOMERATES 1000 mt 343 357 4.1 Wood pellets 1000 mt 343 357 4.2 Other agglomerates 1000 mt 0 0 5 SAWNWOOD 1000 m 5.C Coniferous 1000 m 5.NC Non-Coniferous 1000 m 5.NC.T of which:Tropical 1000 m 6 WOOD-BASED PANELS 1000 m 6.1 VENEER SHEETS 1000 m 6.1.C Coniferous 1000 m 6.1.NC Non-Coniferous 1000 m 6.1.NC.T of which:Tropical 1000 m 6.2 PLYWOOD 1000 m 6.2.C Coniferous 1000 m 6.2.NC Non-Coniferous 1000 m 6.2.NC.T of which:Tropical 1000 m 6.3 PARTICLE BOARD, OSB and OTHERS 1000 m 6.3.1 of which:OSB 1000 m 6.4 FIBREBOARD 1000 m 6.4.1 HARDBOARD 1000 m 6.4.2 MDF (MEDIUM DENSITY) 1000 m 6.4.3 OTHER FIBREBOARD 1000 m 7 WOOD PULP 1000 mt + + + + + + 7.1 MECHANICAL 1000 mt + + + + + + 7.2 SEMI-CHEMICAL 1000 mt 0 0 7.3 CHEMICAL 1000 mt 0 0 7.3.1 SULPHATE UNBLEACHED 1000 mt 0 0 7.3.2 SULPHATE BLEACHED 1000 mt 0 0 7.3.3 SULPHITE UNBLEACHED 1000 mt 0 0 7.3.4 SULPHITE BLEACHED 1000 mt 0 0 7.4 DISSOLVING GRADES 1000 mt 0 0 8 OTHER PULP 1000 mt 2,880 2,572 8.1 PULP FROM FIBRES OTHER THAN WOOD 1000 mt 7 7 8.2 RECOVERED FIBRE PULP 1000 mt 2,873 2,565 9 RECOVERED PAPER 1000 mt 7,912 7,825 10 PAPER AND PAPERBOARD 1000 mt 3,970 3,675 10.1 GRAPHIC PAPERS 1000 mt 1,053 897 10.1.1 NEWSPRINT 1000 mt 10.1.2 UNCOATED MECHANICAL 1000 mt 10.1.3 UNCOATED WOODFREE 1000 mt 10.1.4 COATED PAPERS 1000 mt 10.2 SANITARY AND HOUSEHOLD PAPERS 1000 mt 772 728 10.3 PACKAGING MATERIALS 1000 mt 1,894 1,800 10.3.1 CASE MATERIALS 1000 mt 10.3.2 CARTONBOARD 1000 mt 10.3.3 WRAPPING PAPERS 1000 mt 10.3.4 OTHER PAPERS MAINLY FOR PACKAGING 1000 mt 10.4 OTHER PAPER AND PAPERBOARD N.E.S. 1000 mt 251 250 + + + denotes data not available. Country: UK Date: 18 May 2017 Name of Official responsible for reply: Official Address (in full): Forestry Commission, IFOS-Statistics, Forest Research, 231 Corstorphine Road, Edinburgh EH12 7AT, UK Telephone: + 44 300 067 5236 Fax: E-mail: sheila.w ard@forestry.gsi.gov.uk Unit 3 10,550 10,545 3 10,089 10,082 3 461 463 3 1,921 1,872 3 1,571 1,522 3 350 350 3 8,629 8,673 3 8,517 8,560 3 111 113 3 6,315 6,477 3 6,252 6,412 3 63 64 3 1,811 1,698 3 1,811 1,698 3 0 0 3 503 498 3 454 450 3 48 48 3 3,112 3,458 3 2,334 2,593 3 778 864 3 3,493 3,603 3 3,449 3,557 3 44 46 3 3 3,080 3,033 3 0 0 3 0 0 3 0 0 3 0 0 3 0 0 3 0 0 3 0 0 3 0 0 3 2,324 2,349 3 3 756 684 3 0 0 3 756 684 3 0 0 UK Country: Date: 18 May 2017 Name of Official responsible for reply: Sheila Ward ## Jq2 FOREST SECTOR QUESTIONNAIRE Official Address (in full): IFOS-Statistics, Forest Research, 231 Corstorphine Road, Edinburgh EH12 7AT, UK Trade Telephone: + 44 300 067 5236 Fax: E-mail: sheila.w ard@forestry.gsi.gov.uk 1000 UK £ (Sterling) \| I M P O R T \| E X P O R T \| \|------------------------------------------\|---------------\| \| Product \| \| \| \| \| \| Unit of \| \| \| 2016 \| 2015 \| \| code \| Product \| \| quantity \| \| \| \| \| \| \| \| \| Quantity \| Value \| \| 1 \| \| \| ROUNDWOOD \| \| \| 1000 m \| \| \| 3 \| \| \| 534 \| 47,069 \| \| 1.1 \| \| \| WOOD FUEL, INCLUDING WOOD FOR CHARCOAL \| \| \| 1000 m \| \| \| 3 \| \| \| 61 \| 8,299 \| \| 1.2 \| \| \| INDUSTRIAL ROUNDWOOD (WOOD IN THE ROUGH) \| \| \| 1000 m \| \| \| 3 \| \| \| 473 \| 38,770 \| \| 1.2.C \| \| \| Coniferous \| \| \| 1000 m \| \| \| 3 \| \| \| 414 \| 30,618 \| \| 1.2.NC \| \| \| Non-Coniferous \| \| \| 1000 m \| \| \| 3 \| \| \| 59 \| 8,152 \| \| 1.2.NC.T \| \| \| of which: Tropical \| \| \| 1000 m \| \| \| 3 \| \| \| 6 \| 2,248 \| \| 2 \| \| \| WOOD CHARCOAL \| \| \| 1000 mt \| 107 \| \| 3 \| \| \| CO-PRODUCTS / CHIPS, PARTICLES, RESIDUES \| \| \| 1000 m \| \| \| 3 \| \| \| 212 \| 10,692 \| \| 3.1 \| \| \| Chips and particles \| \| \| 1000 m \| \| \| 3 \| \| \| 212 \| 10,692 \| \| 3.2 \| \| \| Residues including wood for agglomerates \| \| \| 1000 m \| \| \| 3 \| \| \| 0 \| 0 \| \| 4 \| \| \| WOOD PELLETS AND OTHER AGGLOMERATES \| \| \| 1000 mt \| 6,573 \| \| 4.1 \| \| \| Wood pellets \| \| \| 1000 mt \| 6,573 \| \| 4.2 \| \| \| Other agglomerates \| \| \| 1000 mt \| 0 \| \| 5 \| \| \| SAWNWOOD \| \| \| 1000 m \| \| \| 3 \| \| \| 6,323 \| 1,310,761 \| \| 5.C \| \| \| Coniferous \| \| \| 1000 m \| \| \| 3 \| \| \| 5,888 \| 1,057,830 \| \| 5.NC \| \| \| Non-Coniferous \| \| \| 1000 m \| \| \| 3 \| \| \| 435 \| 252,931 \| \| 5.NC.T \| \| \| of which: Tropical \| \| \| 1000 m \| \| \| 3 \| \| \| 96 \| 60,798 \| \| 6 \| \| \| WOOD-BASED PANELS \| \| \| 1000 m \| \| \| 3 \| \| \| 3,215 \| 958,025 \| \| 6.1 \| \| \| VENEER SHEETS \| \| \| 1000 m \| \| \| 3 \| \| \| 15 \| 29,762 \| \| 6.1.C \| \| \| Coniferous \| \| \| 1000 m \| \| \| 3 \| \| \| 3 \| 1,981 \| \| 6.1.NC \| \| \| Non-Coniferous \| \| \| 1000 m \| \| \| 3 \| \| \| 12 \| 27,781 \| \| 6.1.NC.T \| \| \| of which: Tropical \| \| \| 1000 m \| \| \| 3 \| \| \| 3 \| 5,877 \| \| 6.2 \| \| \| PLYWOOD \| \| \| 1000 m \| \| \| 3 \| \| \| 1,466 \| 459,952 \| \| 6.2.C \| \| \| Coniferous \| \| \| 1000 m \| \| \| 3 \| \| \| 475 \| 115,363 \| \| 6.2.NC \| \| \| Non-Coniferous \| \| \| 1000 m \| \| \| 3 \| \| \| 991 \| 344,589 \| \| 6.2.NC.T \| \| \| of which: Tropical \| \| \| 1000 m \| \| \| 3 \| \| \| 109 \| 49,678 \| \| 6.3 \| \| \| PARTICLE BOARD, OSB and OTHERS \| \| \| 1000 m \| \| \| 3 \| \| \| 970 \| 192,294 \| \| 6.3.1 \| \| \| of which: OSB \| \| \| 1000 m \| \| \| 3 \| \| \| 305 \| 51,468 \| \| 6.4 \| \| \| FIBREBOARD \| \| \| 1000 m \| \| \| 3 \| \| \| 764 \| 276,016 \| \| 6.4.1 \| \| \| HARDBOARD \| \| \| 1000 m \| \| \| 3 \| \| \| 154 \| 88,208 \| \| 6.4.2 \| \| \| MDF (MEDIUM DENSITY) \| \| \| 1000 m \| \| \| 3 \| \| \| 560 \| 174,711 \| \| 6.4.3 \| \| \| OTHER FIBREBOARD \| \| \| 1000 m \| \| \| 3 \| \| \| 50 \| 13,098 \| \| 7 \| \| \| WOOD PULP \| \| \| 1000 mt \| 1,192 \| \| 7.1 \| \| \| MECHANICAL \| \| \| 1000 mt \| 1 \| \| 7.2 \| \| \| SEMI-CHEMICAL \| \| \| 1000 mt \| 160 \| \| 7.3 \| \| \| CHEMICAL \| \| \| 1000 mt \| 992 \| \| 7.3.1 \| \| \| SULPHATE UNBLEACHED \| \| \| 1000 mt \| 18 \| \| 7.3.2 \| \| \| SULPHATE BLEACHED \| \| \| 1000 mt \| 971 \| \| 7.3.3 \| \| \| SULPHITE UNBLEACHED \| \| \| 1000 mt \| 0 \| \| 7.3.4 \| \| \| SULPHITE BLEACHED \| \| \| 1000 mt \| 3 \| \| 7.4 \| \| \| DISSOLVING GRADES \| \| \| 1000 mt \| 39 \| \| 8 \| \| \| OTHER PULP \| \| \| 1000 mt \| 32 \| \| 8.1 \| \| \| PULP FROM FIBRES OTHER THAN WOOD \| \| \| 1000 mt \| 30 \| \| 8.2 \| \| \| RECOVERED FIBRE PULP \| \| \| 1000 mt \| 2 \| \| 9 \| \| \| RECOVERED PAPER \| \| \| 1000 mt \| 305 \| \| 10 \| \| \| PAPER AND PAPERBOARD \| \| \| 1000 mt \| 6,032 \| \| 10.1 \| \| \| GRAPHIC PAPERS \| \| \| 1000 mt \| 3,394 \| \| 10.1.1 \| \| \| NEWSPRINT \| \| \| 1000 mt \| 592 \| \| 10.1.2 \| \| \| UNCOATED MECHANICAL \| \| \| 1000 mt \| 453 \| \| 10.1.3 \| \| \| UNCOATED WOODFREE \| \| \| 1000 mt \| 924 \| \| 10.1.4 \| \| \| COATED PAPERS \| \| \| 1000 mt \| 1,425 \| \| 10.2 \| \| \| SANITARY AND HOUSEHOLD PAPERS \| \| \| 1000 mt \| 318 \| \| 10.3 \| \| \| PACKAGING MATERIALS \| \| \| 1000 mt \| 2,175 \| \| 10.3.1 \| \| \| CASE MATERIALS \| \| \| 1000 mt \| 1,075 \| \| 10.3.2 \| \| \| CARTONBOARD \| \| \| 1000 mt \| 746 \| \| 10.3.3 \| \| \| WRAPPING PAPERS \| \| \| 1000 mt \| 277 \| \| 10.3.4 \| \| \| OTHER PAPERS MAINLY FOR PACKAGING \| \| \| 1000 mt \| 77 \| \| 10.4 \| \| \| OTHER PAPER AND PAPERBOARD N.E.S. \| \| \| 1000 mt \| 145 \| Official Address (in full): 231 Corstorphine Road, Edinburgh EH12 7AT, UK IFOS-Statistics, Forest Research, JQ3 Telephone/Fax: + 44 300 067 5236 E-mail: sheila.w ard@forestry.gsi.gov.uk ## Secondary Processed Wood And Paper Products Trade 1000 UK £ (Sterling) I M P O R T V A L U E E X P O R T V A L U E Product Product code 2015 2016 2015 2016 11 Secondary wood products 11.1 Further processed sawnwood 159,305 166,177 18,345 18,570 11.1.C Coniferous 41,884 39,855 11,065 9,432 11.1.NC Non-coniferous 117,420 126,322 7,280 9,138 11.1.NC.T of which: Tropical 58,710 63,161 3,640 4,569 11.2 Wooden wrapping and packing equipment 182,844 157,483 42,417 44,625 11.3 Wood products for domestic/decorative use (excl. furniture) 167,680 165,582 26,373 27,363 11.4 Other manufactured wood products 243,889 249,941 39,906 37,838 11.5 Builder's joinery and carpentry of wood 678,885 706,245 52,383 49,393 11.6 Wooden furniture 3,007,411 3,053,239 351,858 351,092 11.7 Prefabricated buildings 179,824 190,272 92,805 89,391 11.7.1 of which: made of wood 65,950 59,472 5,386 4,293 12 Secondary paper products 12.1 Composite paper and paperboard 46,224 40,149 11,962 11,286 12.2 Special coated paper 282,065 292,061 229,667 251,922 12.3 Carbon paper and copying paper, ready for use 14,722 16,254 4,034 3,728 12.4 Household and sanitary paper, ready for use 328,975 305,152 187,587 176,553 12.5 Packaging cartons, boxes, etc. 732,766 714,384 274,531 292,610 12.6 Other articles of paper or paperboard 703,235 701,795 572,205 518,577 12.6.1 of which: printing & writing paper, ready for use 18,920 23,048 4,010 4,171 12.6.2 of which: articles, moulded or pressed from pulp 19,527 24,489 8,326 8,870 12.6.3 of which: filter paper & paperboard, ready for use 20,790 21,508 107,381 88,647 Flow Product Year Total Export Total Import Extra-EU Export Extra-EU Import Production 1000 mt 1000 mt 1000 NAC 1000 mt 1000 NAC 1000 mt 1000 NAC 1000 mt 1000 NAC 2015 Glulam +++ 2 2,725 28 33,181 0 483 8 13,808 2016 +++ 3 3,047 26 28,385 0 545 19 15,975 2015 X-lam +++ +++ +++ +++ +++ +++ +++ +++ +++ 2016 +++ +++ +++ +++ +++ +++ +++ +++ +++ Definitions: Glulam: Builders' carpentry also includes glue-laminated timber (glulam), which is a structural timber product obtained by gluing together a number of wood laminations having their grain essentially parallel. Laminations of curved members are arranged so that the plane of each lamination is at 90 degrees to the plane of the applied load; thus, laminations of a straight gluman beam are laid flat. [from HS 4418, Builders' joinery and carpentry of wood, including cellular wood panels, assembled flooring panels, shingles and shakes] X-lam: Panels consisting of laths of roughly sawn wood, assembled with glue in order to facilitate transport or later working. [from HS4421, Other articles of wood] + + + denotes data not available. Country: Date: Sheila Ward ## Ece/Eu Species Trade Forest Sector Questionnaire Trade In Roundwood And Sawnwood By Species 1000 UK £ (Sterling) Product Classification Classification Unit of Code HS2007 CN2007 Product Quantity Quantity Value Quantity Value Quantity Value Quantity Value 3 414 30,618 461 30,456 271 18,213 244 13,922 1.2.C 44.03.20 Industrial Roundwood (wood in the rough), Coniferous 1000 m 3 70 9,555 61 9,743 163 7,146 134 7,186 ex 44.03.20 Fir/Spruce (Abies spp., Picea spp.) 1000 m 3 55 6,931 44 6,956 157 6,824 134 7,186 44.03.20.11 sawlogs and veneer logs (Abies alba, Picea abies) 1000 m 3 16 2,625 17 2,787 6 322 0 0 44.03.20.19 pulpwood and other industrial roundwood (Abies alba, Picea abies) 1000 m 3 93 7,906 44 5,709 39 3,426 3 275 ex 44.03.20 Pine (Pinus spp.) 1000 m 3 25 2,585 3 505 1 43 3 106 44.03.20.31 sawlogs and veneer logs (Pinus sylvestris) 1000 m 3 68 5,321 40 5,204 38 3,383 1 168 44.03.20.39 pulpwood and other industrial roundwood (Pinus sylvestris) 1000 m 3 251 13,157 355 15,005 70 7,640 106 6,461 ex 44.03.20 Other / Non-specified 1000 m 3 246 12,471 355 14,903 41 2,154 50 2,407 44.03.20.91 sawlogs and veneer logs 1000 m 3 5 686 0 102 30 5,486 56 4,055 44.03.20.99 pulpwood and other industrial roundwood 1000 m 3 59 8,152 73 12,124 0 1,958 0 3,107 1.2.NC 44.03.40/90 Industrial Roundwood (wood in the rough), Non-Coniferous 1000 m 3 4 726 11 1,842 0 118 0 110 44.03.91 of which: Oak (Quercus spp.) 1000 m 3 1 226 3 555 0 0 0 32 44.03.91.10 sawlogs and veneer logs 1000 m 3 2 499 8 1,287 0 118 0 78 44.03.91.90 pulpwood and other industrial roundwood 1000 m 3 3 413 0 104 0 39 0 58 44.03.92 of which: Beech (Fagus spp.) 1000 m 3 0 83 0 0 0 0 0 48 44.03.92.10 sawlogs and veneer logs 1000 m 3 3 330 0 104 0 39 0 10 44.03.92.90 pulpwood and other industrial roundwood 1000 m 3 5 298 25 982 0 34 0 83 ex 44.03.99 of which: Birch (Betula spp.) 1000 m 3 3 186 25 897 0 31 0 79 44.03.99.51 sawlogs and veneer logs 1000 m 3 2 112 0 85 0 3 0 4 44.03.99.59 pulpwood and other industrial roundwood 1000 m 3 0 33 0 16 0 209 0 164 44.03.99.10 of which: Poplar (Populus spp.) 1000 m 3 3 402 9 950 0 0 0 2 44.03.99.30 of which: Eucalyptus (Eucalyptus spp.) 1000 m 3 5,888 1,057,830 6,191 1,125,585 167 31,291 165 34,043 5.C 44.07.10 Sawnwood, Coniferous 1000 m 3 2,906 501,472 2,967 529,690 27 5,298 24 4,916 ex 44.07.10 of which: Fir/Spruce (Abies spp., Picea spp.) 1000 m 3 1,632 304,920 1,746 327,195 1 234 1 422 ex 44.07.10 of which: Pine (Pinus spp.) 1000 m 3 435 252,931 426 288,325 21 12,964 25 14,460 5.NC 44.07.20/90 Sawnwood, Non-coniferous 1000 m 3 175 125,371 161 137,361 5 3,132 8 4,036 44.07.91 of which: Oak (Quercus spp.) 1000 m 3 26 9,541 19 7,974 0 45 0 164 44.07.92 of which: Beech (Fagus spp.) 1000 m 3 4 2,704 4 2,989 0 76 0 142 44.07.93 of which: Maple (Acer spp.) 1000 m 3 1 896 1 768 0 36 0 37 44.07.94 of which: Cherry (Prunus spp.) 1000 m 3 13 8,718 15 10,350 1 385 1 899 44.07.95 of which: Ash (Fraxinus spp.) 1000 m 3 23 9,466 23 12,728 1 305 1 327 ex 44.07.99 of which: Poplar (Populus spp.) 1000 m 3 + + + + + + + + + + + + + + + + + + + + + + + + ex 44.07.99 of which: Birch (Betula spp.) 1000 m Light blue cells are requested only for EU members using the Combined Nomenclature to fill in - other countries are welcome to do so if their trade classification nomenclature permits "ex" codes indicate that only part of that trade classication code is used + + + denotes data not available. UK 18 May 2017 Name of Official responsible for reply: Official Address (in full): IFOS-Statistics, Forest Research, 231 Corstorphine Road, Edinburgh EH12 7AT, UK + 44 300 067 5236 Telephone: Fax: E-mail: sheila.ward@forestry.gsi.gov.uk \| \| \| I M P O R T \| E X P O R T \| \|------\|------\|---------------\|---------------\| \| 2015 \| 2016 \| 2015 \| 2016 \| UK Country: Date: 18 May 2017 Name of Official responsible for reply: Sheila Ward ## Eu1 FOREST SECTOR QUESTIONNAIRE Official Address (in full): IFOS-Statistics, Forest Research, 231 Corstorphine Road, Edinburgh EH12 7AT, UK Trade with countries outside EU Telephone: + 44 300 067 5236 Fax: E-mail: sheila.ward@forestry.gsi.gov.uk 1000 UK £ (Sterling) \| I M P O R T \| E X P O R T \| \|------------------------------------------\|---------------\| \| Product \| \| \| \| \| \| Unit of \| \| \| 2015 \| 2015 \| \| code \| Product \| \| quantity \| \| \| \| \| \| \| \| \| Quantity \| Value \| \| 1 \| \| \| ROUNDWOOD \| \| \| 1000 m \| \| \| 3 \| \| \| 10 \| 3,949 \| \| 1.1 \| \| \| WOOD FUEL, INCLUDING WOOD FOR CHARCOAL \| \| \| 1000 m \| \| \| 3 \| \| \| 3 \| 730 \| \| 1.2 \| \| \| INDUSTRIAL ROUNDWOOD (WOOD IN THE ROUGH) \| \| \| 1000 m \| \| \| 3 \| \| \| 7 \| 3,218 \| \| 1.2.C \| \| \| Coniferous \| \| \| 1000 m \| \| \| 3 \| \| \| 1 \| 337 \| \| 1.2.NC \| \| \| Non-Coniferous \| \| \| 1000 m \| \| \| 3 \| \| \| 6 \| 2,882 \| \| 1.2.NC.T \| \| \| of which: Tropical \| \| \| 1000 m \| \| \| 3 \| \| \| 2 \| 775 \| \| 2 \| \| \| WOOD CHARCOAL \| \| \| 1000 mt \| 62 \| \| 3 \| \| \| CO-PRODUCTS / CHIPS, PARTICLES, RESIDUES \| \| \| 1000 m \| \| \| 3 \| \| \| 0 \| 234 \| \| 3.1 \| \| \| Chips and particles \| \| \| 1000 m \| \| \| 3 \| \| \| 0 \| 234 \| \| 3.2 \| \| \| Residues including wood for agglomerates \| \| \| 1000 m \| \| \| 3 \| \| \| 0 \| 0 \| \| 4 \| \| \| WOOD PELLETS AND OTHER AGGLOMERATES \| \| \| 1000 mt \| 4,788 \| \| 4.1 \| \| \| Wood pellets \| \| \| 1000 mt \| 4,788 \| \| 4.2 \| \| \| Other agglomerates \| \| \| 1000 mt \| 0 \| \| 5 \| \| \| SAWNWOOD \| \| \| 1000 m \| \| \| 3 \| \| \| 676 \| 226,971 \| \| 5.C \| \| \| Coniferous \| \| \| 1000 m \| \| \| 3 \| \| \| 472 \| 91,568 \| \| 5.NC \| \| \| Non-Coniferous \| \| \| 1000 m \| \| \| 3 \| \| \| 204 \| 135,403 \| \| 5.NC.T \| \| \| of which: Tropical \| \| \| 1000 m \| \| \| 3 \| \| \| 76 \| 45,104 \| \| 6 \| \| \| WOOD-BASED PANELS \| \| \| 1000 m \| \| \| 3 \| \| \| 1,255 \| 369,436 \| \| 6.1 \| \| \| VENEER SHEETS \| \| \| 1000 m \| \| \| 3 \| \| \| 5 \| 7,617 \| \| 6.1.C \| \| \| Coniferous \| \| \| 1000 m \| \| \| 3 \| \| \| 2 \| 1,128 \| \| 6.1.NC \| \| \| Non-Coniferous \| \| \| 1000 m \| \| \| 3 \| \| \| 3 \| 6,489 \| \| 6.1.NC.T \| \| \| of which: Tropical \| \| \| 1000 m \| \| \| 3 \| \| \| 0 \| 898 \| \| 6.2 \| \| \| PLYWOOD \| \| \| 1000 m \| \| \| 3 \| \| \| 1,202 \| 341,056 \| \| 6.2.C \| \| \| Coniferous \| \| \| 1000 m \| \| \| 3 \| \| \| 394 \| 93,863 \| \| 6.2.NC \| \| \| Non-Coniferous \| \| \| 1000 m \| \| \| 3 \| \| \| 808 \| 247,193 \| \| 6.2.NC.T \| \| \| of which: Tropical \| \| \| 1000 m \| \| \| 3 \| \| \| 81 \| 30,226 \| \| 6.3 \| \| \| PARTICLE BOARD, OSB and OTHERS \| \| \| 1000 m \| \| \| 3 \| \| \| 3 \| 1,974 \| \| 6.3.1 \| \| \| of which: OSB \| \| \| 1000 m \| \| \| 3 \| \| \| 1 \| 448 \| \| 6.4 \| \| \| FIBREBOARD \| \| \| 1000 m \| \| \| 3 \| \| \| 45 \| 18,790 \| \| 6.4.1 \| \| \| HARDBOARD \| \| \| 1000 m \| \| \| 3 \| \| \| 9 \| 5,358 \| \| 6.4.2 \| \| \| MDF (MEDIUM DENSITY) \| \| \| 1000 m \| \| \| 3 \| \| \| 12 \| 5,254 \| \| 6.4.3 \| \| \| OTHER FIBREBOARD \| \| \| 1000 m \| \| \| 3 \| \| \| 25 \| 8,177 \| \| 7 \| \| \| WOOD PULP \| \| \| 1000 mt \| 462 \| \| 7.1 \| \| \| MECHANICAL \| \| \| 1000 mt \| 0 \| \| 7.2 \| \| \| SEMI-CHEMICAL \| \| \| 1000 mt \| 1 \| \| 7.3 \| \| \| CHEMICAL \| \| \| 1000 mt \| 424 \| \| 7.3.1 \| \| \| SULPHATE UNBLEACHED \| \| \| 1000 mt \| 4 \| \| 7.3.2 \| \| \| SULPHATE BLEACHED \| \| \| 1000 mt \| 419 \| \| 7.3.3 \| \| \| SULPHITE UNBLEACHED \| \| \| 1000 mt \| 0 \| \| 7.3.4 \| \| \| SULPHITE BLEACHED \| \| \| 1000 mt \| 0 \| \| 7.4 \| \| \| DISSOLVING GRADES \| \| \| 1000 mt \| 38 \| \| 8 \| \| \| OTHER PULP \| \| \| 1000 mt \| 22 \| \| 8.1 \| \| \| PULP FROM FIBRES OTHER THAN WOOD \| \| \| 1000 mt \| 21 \| \| 8.2 \| \| \| RECOVERED FIBRE PULP \| \| \| 1000 mt \| 1 \| \| 9 \| \| \| RECOVERED PAPER \| \| \| 1000 mt \| 3 \| \| 10 \| \| \| PAPER AND PAPERBOARD \| \| \| 1000 mt \| 1,052 \| \| 10.1 \| \| \| GRAPHIC PAPERS \| \| \| 1000 mt \| 572 \| \| 10.1.1 \| \| \| NEWSPRINT \| \| \| 1000 mt \| 298 \| \| 10.1.2 \| \| \| UNCOATED MECHANICAL \| \| \| 1000 mt \| 53 \| \| 10.1.3 \| \| \| UNCOATED WOODFREE \| \| \| 1000 mt \| 167 \| \| 10.1.4 \| \| \| COATED PAPERS \| \| \| 1000 mt \| 53 \| \| 10.2 \| \| \| SANITARY AND HOUSEHOLD PAPERS \| \| \| 1000 mt \| 145 \| \| 10.3 \| \| \| PACKAGING MATERIALS \| \| \| 1000 mt \| 328 \| \| 10.3.1 \| \| \| CASE MATERIALS \| \| \| 1000 mt \| 132 \| \| 10.3.2 \| \| \| CARTONBOARD \| \| \| 1000 mt \| 137 \| \| 10.3.3 \| \| \| WRAPPING PAPERS \| \| \| 1000 mt \| 56 \| \| 10.3.4 \| \| \| OTHER PAPERS MAINLY FOR PACKAGING \| \| \| 1000 mt \| 2 \| \| 10.4 \| \| \| OTHER PAPER AND PAPERBOARD N.E.S. \| \| \| 1000 mt \| 8 \| Country: UK Date: 18 May 2017 Name of Official responsible for reply: Sheila Ward Official Address (in full): IFOS-Statistics, Forest Research, 231 Corstorphine Road, Edinburgh EH12 7AT, UK Phone/Fax: + 44 300 067 5236 E-mail: sheila.ward@forestry.gsi.gov.uk ## Eu2 Forest Sector Questionnaire Removals by type of ownership Product Unit 2015 2016 Ownership code Quantity Quantity ROUNDWOOD REMOVALS (under bark) 3 10,550 10,545 1 ROUNDWOOD 1000 m 3 10,089 10,082 1.C Coniferous 1000 m 3 461 463 1.NC Non-coniferous 1000 m 3 4,703 5,004 State forests 1000 m 3 4,639 4,944 Coniferous 1000 m 3 64 59 Non-coniferous 1000 m 3 + + + + + + Other publicly owned forests 1000 m 3 + + + + + + Coniferous 1000 m 3 + + + + + + Non-coniferous 1000 m 3 5,848 5,541 Private forest 1000 m 3 5,450 5,138 Coniferous 1000 m 3 397 403 Non-coniferous 1000 m ## Note: - Ownership categories correspond to those of the TBFRA. State forests: Forests owned by national, state and regional governments, or government-owned corporations; Crown forests. Other publicly owned forests: Forests belonging to cities, municipalities, villages and communes. Private forests: Forests owned by individuals, co-operatives, enterprises and industries and other private institutions. - The unit should be solid cubic metres, under bark. + + + denotes data not available. ## The Following Factors Have Been Used To Convert Between Cubic Metres (M3) And Metric Tonnes: Product m3 / tonne Fuelwood, including wood for charcoal 1.38 Wood chips, sawdust, etc 1.48 Industrial roundwood (wood in the rough) - softwood 1.43 Industrial roundwood (wood in the rough) - hardwood 1.25 Sawnwood - softwood 1.82 Sawnwood - hardwood 1.43 Veneer sheets 1.33 Plywood, particleboard 1.54 Hardboard 1.053 MDF (medium density fibreboard) 1.667 Insulating board - density 0.35-0.5 g/cm3 1.667 Insulating board - other 4 Codes for the JQ2 and EU1, EU and EFTA countries ## Joint Forest Sector Questionnaire C l a s s i f i c a t i o n s Product Product Code CN 2011 HS2007 CN 2012 CN 2013 HS2012 1 ROUNDWOOD 44.01.10 44.03.20/40/90 1.1 WOOD FUEL, INCLUDING WOOD FOR CHARCOAL 44.01.10 1.2 INDUSTRIAL ROUNDWOOD (WOOD IN THE ROUGH) 44.03.20/40/90 1.2.C Coniferous 44.03.20 1.2.NC Non-Coniferous (Eurostat to attribute all of 440399.95 to 1.2.NC) 44.03.40/90 1.2.NC.T of which:Tropical ex440399.95 44.03.41/49 44.03.40 ex440399 2 WOOD CHARCOAL 44.02.90 440120 440139.10 440120 ex440130 44.01.20 ex44.01.39 44.01.20 ex44.01.30 3 CO-PRODUCTS / CHIPS, PARTICLES, RESIDUES 440120 440139.30 440139.80 3.1 Chips and particles 440121/22 440121/22 44.01.21/22 3.2 Residues including wood for agglomerates 440139.30 440139.80 440139.10 ex440130 ex44.01.39 ex44.01.39 4 WOOD PELLETS AND OTHER AGGLOMERATES 440131.00 440139.20 440131.00 ex440139.90 440130.20 ex440130.80 44.01.31 ex44.01.39 4.1 Wood pellets 440131.00 440130.20 44.01.31 44.01.30 4.2 Other agglomerates 440139.20 ex440139.90 ex440130.80 ex44.01.39 5 SAWNWOOD 44.07 5.C Coniferous 44.07.10 5.NC Non-Coniferous 44.07.20/90 5.NC.T of which:Tropical 440799.96 44.07.20 ex44.07.99 6 WOOD-BASED PANELS 44.08 44.10 44.11 44.12.30/90 6.1 VENEER SHEETS 44.08 6.1.C Coniferous 44.08.10 6.1.NC Non-Coniferous (Eurostat to attribute all of 440890 to 6.1.NC) 44.08.30/90 6.1.NC.T of which:Tropical ex440890 44.08.30 ex44.08.90 6.2 PLYWOOD 44.12.30/90 44.12.39 ex44.12.90 6.2.C Coniferous 441239.00; 441294.90; 441299.85 44.12.31/32 ex44.12.90 6.2.NC Non-Coniferous 441231.10 and 441231.90; 441232.10; 441232.90; 441294.10; 441299.30; 441299.40; 441299.50 44.12.31 ex44.12.32 ex44.12.90 6.2.NC.T of which:Tropical 441231.10 and 441231.90; 441232.90; 441299.50 6.3 PARTICLE BOARD, OSB and OTHERS 44.10 6.3.1 of which: OSB 44.10.12 6.4 FIBREBOARD 44.11 6.4.1 HARDBOARD 44.11.92 6.4.2 MDF (Medium Density) 44.11.10 6.4.3 OTHER FIBREBOARD 44.11.93/94 7 WOOD PULP 47.01 47.02 47.03 47.04 47.05 7.1 MECHANICAL 47.01 7.2 SEMI-CHEMICAL 47.05 7.3 CHEMICAL 47.03 47.04 7.3.1 SULPHATE UNBLEACHED 47.03.10 7.3.2 SULPHATE BLEACHED 47.03.20 7.3.3 SULPHITE UNBLEACHED 47.04.10 7.3.4 SULPHITE BLEACHED 47.04.20 7.4 DISSOLVING GRADES 47.02 8 OTHER PULP 47.06 8.1 PULP FROM FIBRES OTHER THAN WOOD 47.06.10/30/90 8.2 RECOVERED FIBRE PULP 47.06.20 9 RECOVERED PAPER 47.07 10 PAPER AND PAPERBOARD 48.01/02/03/04/05/06/08/09/10 48.11.50 48.12/13 10.1 GRAPHIC PAPERS 48.01 48.02.10/20/50/60 48.09 48.10.10/20 10.1.1 NEWSPRINT 48.01 10.1.2 UNCOATED MECHANICAL 48.02.60 10.1.3 UNCOATED WOODFREE 48.02.10/20/50 10.1.4 COATED PAPERS 48.09 48.10.10/20 10.2 SANITARY AND HOUSEHOLD PAPERS 48.03 10.3 PACKAGING MATERIALS 48.04.10/20/30/42/49/50 48.05.10/20/30/90 48.06.10/20/40 48.08 48.10.30/90 48.11.50 10.3.1 CASE MATERIALS 48.04.10 48.05.10/20/91 10.3.2 CARTONBOARD 48.04.42/49/50 48.05.92 48.10.32/39/92 48.11.50 10.3.3 WRAPPING PAPERS 48.04.20/30 48.05.30 48.06.10/20/40 48.08 48.10.31/99 10.3.4 OTHER PAPERS MAINLY FOR PACKAGING 48.05.93 10.4 OTHER PAPER AND PAPERBOARD N.E.S 480441.98 48.02.40 48.04.41 48.05.40/50 48.06.30 48.12/13 HS: The Harmonised Commodity Description and Coding Systems, a multipurpose international product nomenclature developed by the World Customs Organization (WCO), comprises up to six digits and is updated every 4 - 6 years. CN: The Combined Nomenclature of the EU is identical to the HS on the first six digits and comprises two extra digits, making it more detailed than the HS. It is updated and published every year. How to interpret the notation: The dots are used for readability and have no meaning. A code ending in " 0" means that all subcodes are to be included, e.g. 47.03.10 includes subcodes 47.03.11 and 47.03.19. If only 4 digits are indicated, all subcodes are included, e.g. 47.06 includes 47.06.10, 47.06.20, 47.06.30, and 47.06.90. Code numbers separated by " /" mean that all the following codes ending in the digits indicated (and their subcodes) are to be included. The term " ex" means that only part of the data available under a code is usable because the code encompasses a wider product range. For instance, " ex44.07.99" under " Sawnwood - of which tropical" means that only part of the data under HS-code 44.07.99 is usable, because insufficient detail is available. However, the table shows that CN code 440799.96 is sufficiently detailed to identify " Sawnwood - of which tropical" . In case even the CN is not detailed enough, bold print is used in the CN column. Many tropical timber products contain " ex" codes in the above list, since the HS explicitly recognises less than 100 tropical timber species. Species not explicitly recognised as tropical are grouped in " other" categories with non-tropical, non-coniferous timbers that are likewise not explicitly recognised by the HS (e.g. 44.07.99). Estimates of tropical timber trade totals therefore require that these " other" categories be analysed to ascertain how much of the total was sourced from tropical countries. This can only be done at country level; Eurostat produces ## Codes For The Jq3, Eu And Efta Countries JOINT FOREST SECTOR QUESTIONNAIRE Trade in Secondary Processed Wood and Paper Products CROSS REFERENCE between the HS (bold print) and the CN (normal print) C l a s s i f i c a t i o n s Code HS2007 CN 2012 HS2012 CN 2011 11 Secondary wood products 11.1 Further processed sawnwood 44.09.10 44.09.29 11.1.C Coniferous 44.09.10 11.1.NC Non-coniferous (Eurostat to attribute all of 440929 to 11.1.NC) 44.09.29 11.1.NC.T of which: Tropical ex440929 ex44.09.29 11.2 Wooden wrapping and packing equipment 44.15 44.16 11.3 Wood products for domestic/decorative use (excl. furniture) 44.14 44.19 44.20 11.4 Other manufactured wood products 44.17 44.21 11.5 Builder's joinery and carpentry of wood 44.18 94.01.60 ex 94.01.90 94.03.30/40/50/60 ex94.03.90 11.6 Wooden furniture 940190.30 (parts, of seats, of wood) 940390.30 (furniture, parts, of wood) 11.7 Prefabricated buildings 94.06 11.7.1 of which made of wood 940600.20 ex94.06 12 Secondary paper products 12.1 Composite paper and paperboard 48.07 12.2 Special coated paper 48.11.10/40/60/90 12.3 Carbon paper and copying paper, ready for use 48.16 12.4 Household and sanitary paper, ready for use 48.18 12.5 Packaging cartons, boxes, etc. 48.19 12.6 Other articles of paper or paperboard 48.14/15/17/20/21/22/23 12.6.1 of which printing & writing paper, ready for use 482390.40 ex48.23.90 12.6.2 of which articles, moulded or pressed from pulp 48.23.70 12.6.3 of which filter paper & paperboard, ready for use 48.23.20 HS: The Harmonised Commodity Description and Coding Systems, a multipurpose international product nomenclature developed by the World Customs Organization (WCO), comprises up to six digits and is updated every 4 - 6 years. CN: The Combined Nomenclature of the EU is identical to the HS on the first six digits and comprises two extra digits, making it more detailed than the HS. It is updated and published every How to interpret the notation: The dots are used for readability and have no meaning. A code ending in "0" means that all subcodes are to be included, e.g. 49.00 includes all codes from 49.01 to 49.11. If only 4 digits are indicated, all subcodes are included, e.g. 48.18 includes 48.18.10, 48.18.20, 48.18.30, 48.18.40, 48.18.50 and 48.18.90. Code numbers separated by "/" mean that all the follow ing codes ending in the digits indicated (and their subcodes) are to be included. The term "ex" means that only part of the data available under a code is usable because the code encompasses a wider product range. For instance, "ex94.06" under "Prefabricated buildings - of w hich made of w ood" means that only part of the data under HS-code 94.06 is usable, since mobile homes and prefabricated buildings of wood, iron or steel are all lumped together under that code. How ever, the table show s that the CN classification covers sufficient detail to identify "Prefabricated buildings of wood". In case even the CN is not detailed enough, bold print is used in the CN column. Many tropical timber products contain "ex" codes in the above list, since the HS explicitly recognises less than 100 tropical timber species. Species not explicitly recognised as tropical are grouped in "other" categories with non-tropical, non-coniferous timbers that are likewise not explicitly recognised by the HS. Estimates of tropical timber trade totals therefore require that these "other" categories be analysed to ascertain how much of the total was sourced from tropical countries. This can only be done at country level; Eurostat produces foreign trade data for all countries.	en
2113-pdf	Choose two modules from: RIMB 016 Design and management of records systems Aim To enable students to support the design, development and maintenance of records and record keeping systems based on the principles of information storage, retrieval and access Content Includes: characteristics of records and the implications for record keeping systems; systems analysis and design; application of principles of classification and indexing; design of corporate file structures; thesaurus implementation and use; corporate file structures; record creation formats; creating systems documentation; information security systems; operating existing systems and selecting and implementing new systems, legacy issues. RIMB 018 User services and user relations Aim To provide students with the skills needed to understand and accommodate the requirements of their clients in the record keeping context. Content Includes: Understanding user needs; approaches to quality in records management; developing and operating service level agreements; writing and implementing records management policies and procedures; developing user training programmes; marketing the records management service; strategies for ensuring user compliance. ARIM 010 Business archives* Aim To provide an in-depth view of practice in the business and corporate archives environment, and the nature of business archives and methods of exploitation. Content Includes: business and corporate archives in a range of contexts and settings; development of the modern corporation and associated records; compliance and accountability and business records; main types of business records; managing and promoting business archives. or ARIM 006* Where appropriate (and after consultation with their mentor or line manager) students may select either of two ARIM modules from the parallel programme D/CPS: Archives and Records Management. These modules are available only by distance learning; there is no contact teaching associated with them. Choose two modules from: RIMB 019 Archives and permanent preservation Aims to develop an understanding of how to manage records selected for long term preservation, and of the relationship between current, semi-current and archival records. Content Includes: Conversion and migration strategies; conservation management; preservation issues, including permanent preservation of records media; acquisition policies and their Implementation; transfer to archives procedures, including physical transfer; archival description and descriptive standards; distributed custody options; access policies; user services in archives; national archival policies and networks; role of TNA. RIMB 017 Work-based, student-designed project Aims to allow the student to design and carry out an independent project within and relevant to the workplace Content Students will be expected to assess the feasibility of a project, to identify appropriate methodologies required to carry it out and to implement the project. Assessment will be on the basis of the project report (or other output as agreed) and on an assessment by the student of the success of the project RIMB 003 Principles and tools for information storage, retrieval and access Aims to introduce students to the theory and practice of logical storage and retrieval of information in a records context. Content Includes: cataloguing and metadata models; thesaurus construction; classification approaches; indexing systems; indexing languages and controlled vocabularies; search strategies and information retrieval (including natural language, free-text, Boolean and probability-based models); physical storage issues. ARIM 006 Archives as an information resource Aims to introduce the student to the basic principles and practice of using archives for information and research, with guidance on locating and using external resources relating to archives. Content This module includes: principles and ethics governing the use of archives; how researchers use archives; elements of a successful research strategy; identifying the information potential of records; description of appropriate archival and other research resources; developing a work-place guide; use of archives in education; locating and using external sources about archives or ARIM 010* NOTE: all modules subject to availability. Semester choices may vary from that shown. Content is indicative I'm interested: what should I do now? Contact the Programme Administrator Sue Mulcahy for an application form or download one from the website. The application form will ask for details of your current and past experience and for names of two referees. Applications are considered after the closing date for applications. Priority is given to employees within central and local government and then within the public sector more widely. There is a maximum number of entrants (20) per year. DEADLINE FOR APPLICATIONS: 2 JULY 2010 Telephone 0151 794 2413 Web: http://www.liv.ac.uk/lucas/courses.htm E-mail sueb@liverpool.ac.uk Write to LUCAS, 9 Abercromby Square, Liverpool L69 7WZ Participating in this programme will enable you to gain or develop knowledge and skills in records and information management through a university-accredited award in the subject. The programme has been developed in consultation with The National Archives. ## Diploma/Certificate In Professional Studies: Records And Information Management Prospectus Records And Information Management Education For The Public Sector What does the programme aim to achieve? The programme aims to:  facilitate best practice in records and information management in government  develop the professionalism and expertise of government records staff equip government records staff with the range of skills needed for effective record- keeping  explain the broad national and international context for UK government records and information management  raise awareness across government of current developments in records management and government information policy  enable you to manage your own continuing professional development The University of Liverpool and records management education The University of Liverpool has delivered records and information management education by distance learning since 1999. Geared specifically towards the public sector, the Diploma/Certificate in Professional Studies: Records and Information Management programme has been developed in consultation with The National Archives (TNA). TNA actively supports the D/CPS: RIM as a career development tool within central government and the wider public sector. Is the programme suitable for me? The programme is suitable for anyone working within central government or the wider public sector, in a records and information management role, who wishes to:  gain an introduction to one or more records or information management topics or enhance and deepen existing skills or knowledge in the area  acquire a university accredited qualification Successful students receiving their awards at the 2008 IRMG conference from former TNA Chief Executive Natalie Ceeney. Don't worry if you have been out of formal education for some time: your current role, past experience, commitment and workplace support all play a major part in your ability to complete the programme successfully. A Study Skills Day gives guidance on learning and studying at a distance. ## Programme Structure Diploma/Certificate in Professional Studies: Records and Information Management The D/CPS: RIM is an undergraduate-level qualification (equivalent to the third year of an undergraduate honours degree) with a modular structure. For a Certificate you will need to complete four compulsory 15-credit modules, and for the Diploma a further four modules making a credit total of 120. Modules for students starting the programme in 2010/11 are described on the next two pages. It's also possible to take an individual module if you're uncertain about whether you want the whole award, gaining credits on successful completion. How does it work? Delivery of the modules is based on University semesters (September-January and February-July). At the beginning of each semester there will be a short (2-3 day) course, held usually in Liverpool, which introduces students to that semester's modules. For the remainder of the semester you will be studying on a distance learning basis in your own home or workplace, taking 10 weeks to complete each module. How long does it take? You can complete the Certificate in one year and the Diploma in two years. This is the recommended timescale. However you can spend up to two years studying for the Certificate, and four years for the Diploma if you wish. How long will I need to study for each module? As a rough guide, a student starting from scratch in terms of experience and knowledge should spend around 150 'learning hours' on each module over 10 weeks. This includes the introductory course and the preparation of an assignment. This time is likely to reduce where you have pre-existing experience and skills in the field. How is each module assessed? As the start of each module you will be given an assignment to be completed at the end of the 10-week period. The assignment tests your understanding of the module topic and demonstrates that you have achieved the stated learning objectives. Your mark for the assignment is the mark you receive for the whole module. Assignment questions are based on situations, procedures or issues that arise in the workplace. They usually take the form of reports or other documents which are routinely used in a working environment rather than the more academic essay-type assessment. ## Programme Components And Fees Study Skills Training Day, Liverpool, 20 September 2010 (To Be Confirmed) Study Skills Training Is Compulsory For Students Undertaking The D/Cps. It Forms The First Day Of The Introductory Course (20 September) Which Takes Place In Liverpool. The Aims Of The Day Are To  An Orientation Day at TNA introduces students to initiatives taking place at national level. They will also gain a better understanding of how their own department's work ties in with the work of TNA. The National Archives at Kew prepare students for studying at a distance  introduce the theory and practice of learning  provide an opportunity to develop study skills to support studying at a distance e.g. finding and using information, preparing for assessment, time management  identify the roles and responsibilities of learners, tutors and support staff. Semester 2 contact days, Liverpool, February 2010 (date to be confirmed) FEES How much does it cost? Fees for the D/CPS:RIM are calculated on a modular basis. The 2010/11 fee for each 15-credit module is £497 Certificate in Professional Studies = £1,988 i.e. four 15-credit modules @ £497 Diploma in Professional Studies = £3,976 i.e. Certificate + a further four 15-credit modules @ £497 Contact courses and the Orientation Day are included in the module fees. Students will be expected to meet their own accommodation and travel expenses as necessary. The day provides the opportunity to meet tutors and administrators, and, most importantly, the students who will form your cohort as you progress through the programme. Semester 1 contact days, Liverpool, 21-22 September 2010 (to be confirmed) An introduction to Modules RIMB001 and 002 and an opportunity to discuss some of the issues involved. The National Archives Orientation Day, Kew, 9 November 2010 All module fees are liable to an annual increase in line with University tuition fee increases. ## Certificate Modules (Year 1) Semester 2 Semester 1 Business Continuity Planning And Business Resumption. Rimb01 Introduction To Records And Information Management Rimb 14 Compliance And The Regulatory Environment Aim To Demonstrate The Importance Of Compliance Within The Organisational Context And To Understand The Organisational Regulatory Environment And The Relevant Implementation Of Records And Information-Related Legislation Aim This module forms an introduction to the programme and provides an overview of the purpose and nature of records and information and their management, and the sectoral, national and international context of government records and information management. Content Includes: concepts and definitions of records and information management and related disciplines; an overview of the nature of records and information management programmes and their staff, and the particular challenges presented by the electronic environment; an examination of the justification for records and information management; an introduction to legal issues associated with records and information management; an introduction to working with users, and an overview of current professional issues. ## Rimb02 Principles And Tools For Managing Records Aim To Equip Students With Generic Tools For Managing Records In An Organisational Context. Content Includes: FOI and Data protection: access v privacy issues; the role of the record manager in ensuring organisational compliance; legal issues within the life-cycle framework; legal admissibility and the electronic environment; standards, guidance and best practice. RIMB 15 Principles and practice of appraisal Aim To enable students to understand appraisal theories and methodologies and how these may be applied within the RM programme. Content Includes : Approaches to appraisal (including TNA appraisal policy); legal and regulatory issues and risk assessment; connections with functional analysis; assigning value to record series; vital records identification; retention scheduling methodologies; documenting appraisal Note: all Certificate modules are compulsory. Content description is indicative Content Includes: Business process analysis; functional analysis; conducting records audits; mapping information flows; conducting a user needs analysis; systems design methodologies; organisational structures and cultures and their implications for records management; risk analysis and risk management in a records management context and	en
0732-pdf	## Heritage Statement Sandyford Brook Restoration Project Historic environment input to planning application to replace the modern wooden footbridge and create a pitched stone surface for a length of steep incline footpath at the Sandyford Brook near Curbar Gap Mitigation Proposal Bearing in mind the conditions of the consent for the proposed works from Historic England, within Appendix 1, it is proposed that: (i) All those involved in the implementation of the works will be informed that areas of the land on which they will be working is designated as a scheduled monument under the Ancient Monuments and Archaeological Areas Act 1979 (as amended) and that specific consent conditions have been detailed by Historic England. (ii) The boundary of the scheduled monument directly affected by the works and the scheduled monument in the vicinity of the area of works will be delineated on the ground just outside the actual SM areas, to ensure that all personnel are aware of their extreme sensitivities. (iii) Any undesignated features within 30m of the zone of intervention will also be delineated to ensure that they are not damaged in any way. (iv) Equipment and machinery will not be used or operated in the scheduled areas in conditions or in a manner likely to result in damage to the monument or ground disturbance other than that which is expressly authorised in this consent. (v) Equipment and machinery will not be used across known undesignated archaeological sites; a map will be provided to all operatives that shows the exclusion zones that will be marked on the ground for the duration of the works, as well as the archaeological sites further afield. (vi) Operatives will be inducted as to the types of archaeological discoveries that may be made during the works. There will be a clear written procedure in place to ensure that (vii) below is fulfilled. (vii) Any discoveries of archaeological interest made during the consented works will be reported immediately to the Historic England Inspector of Ancient Monuments and the appropriate Peak District National Park Authority and National Trust archaeological curators. (viii) There shall be an archaeologist on site during the works to ensure that any archaeological features exposed during the groundworks, are fully recorded and interpreted in accordance with the Chartered Institute for Archaeologists 'Standards and guidance for archaeological watching briefs' (CIfA, 2014). 1 Historic environment legislation, policy and guidance Scheduled monument legislation Refer to the SMs - the proposed works will have a direct impact on one of the scheduled monuments (NHLE 1004599 - an extensive archaeological landscape) and could possibly affect another (NHLE 1017109 - a cairnfield and field system). Guidance Historic England has issued a range of Good Practice Advice in 2015 and various Advice Notes in 2015 and 2016. Standards and guidance are also provided by the Chartered Institute for Archaeologists. 2 Archaeological heritage statement 2.1 Introduction The Eastern Moors Partnership took on the lease for land management of the Big Moor and Curbar area in 2011 and noted this area as a key footpath for access from the largest public carpark at Curbar Gap. The track has been existing for a number of years although the condition has particularly begun to deteriorate over the last halfdecade. There are a number of known archaeological sites within 100m of the area of intervention, both within and outside the boundaries of the SMs, as visible within Plan A in section 2.3. That the only visible features that could be directly affected by the proposed works are comparatively short sections of the braided track/hollow ways that the footpath crosses, and the wooden footbridge - the latter being a 1980s insert that is now ready for replacement. It is our opinion that the settings of the two scheduled monuments and other archaeological features in the area will not be significantly affected by the proposals, and Historic England also considers the effect of the proposed works upon Scheduled Monument 1004599 to be beneficial for the preservation of the monument and unlikely to damage archaeological remains (see Appendix 1). 2.2 Specific location The severely eroded footpath from OS grid ref SK 26622 74979 to SK 2679 75116, 150m in length and now >3m in width, is part of the route from Curbar Gap to White Edge. 2.3 Heritage assets close to the proposed area of works - sources of info It is recognised that the proposed area of works lies within a very rich historic environment, with a vast designated archaeological landscape immediately to the north, north-west and north-east, and a smaller scheduled area to the east-southeast. The data presented is based on archaeological desk-based assessments derived from the National Trust's Sites and Monument Records (SMR) database, the County HER, Historic England's National Heritage List of England and an ArcHeritage survey commissioned in 2011. All sites in the area have been considered during this desk-based assessment seen in map view below. In addition, specific heritage assets within 100m of the proposed area of works have been listed in detail. They include 2 scheduled monuments, 16 individual sites, a number of banks and hollow ways, a small area of ridge and furrow, and field walls associated with agricultural improvement. 2.4 Historic environment features This district of the National Park is part of an extensive prehistoric and historic landscape that has survived across similar areas of unenclosed farmland in the Peak District. It is visually obvious that this landscape has been occupied and traversed for millennia. Elements of the range of features in this wider landscape are reflected in the immediate area of proposed works. Within 100m of the zone of intervention there are features associated with 2nd World War training activities, infrastructure relating to post-medieval farming, medieval and later transport routes, and prehistoric farming and settlement. 2.4.2 Archaeological and historical background: Eastern Moors The archaeology of the Eastern Moors before c2,300BC While Palaeolithic artefacts have been found in the Peak District, none are known from the Eastern Moors estate. However, Mesolithic flint scatters dating to the period 10–6,000BC, have been found around the edges of the area, as a result of major moorland fires and as chance finds. Palaeo-environmental studies indicate that during the Mesolithic period this was largely an area of deciduous woodland, although the edges may have been open, while blanket peat was forming over parts of the open tops. Hunter-gatherers clearly used the resources of this landscape. The Neolithic first farmers have also left no upstanding evidence of their communities across the estate, although flint and stone artefacts have been found around the edges and on Big Moor and Ramsley Moor. Evidence of prehistoric land-use since c2,300BC It has to be presumed that some of the archaeological evidence associated with the first two millennia BCE had its origins in the preceding millennium. However, most of the prehistoric sites on the Eastern Moors estate have been dated to the Bronze Age and early Iron Age (2,300–500BC). Vast tracts of the landscape bear witness to small, dispersed settlements and farming, with the remains of round houses, cairnfields and field systems, as well as burial cairns or barrows and embanked stone circles. This density is reflected in the considerable number Scheduled Monuments across the estate and their large extent, particularly that of Big Moor (NHLE1004599). The results of the excavations at Gardom's Edge provide a significant glimpse of this period of land use. Good agricultural land for crops or grazing would have been re-used for generations, the sandy soils on the gritstone being particularly suitable for prehistoric farming. Whether the field systems can be associated with permanent or shifting settlement is not known. Less fertile ground would clearly have been more short-term in its agricultural use, presumably reflecting a need to take in more land due to population pressures. These areas must have been far less sustainable. However, there have been few archaeological excavations in the area and therefore few opportunities to clarify details, although the work at Eyam Moor did extend the period range of one such site back into the Neolithic. Towards the other end of the prehistoric period, during the later Iron Age, it seems that there was a change in land use across the Eastern Moors. Environmental evidence for this period indicates that woodland cover receded and today's open heather moorland began to predominate. This may have been due to climate change and a decrease in population. In addition, it could reflect changing agricultural practices: a result of unrestricted grazing when farmsteads were abandoned. Bronze Age burial mounds (dating to c2,300–1500BC) are a significant element in the landscape, confirming ancestral rights to lands as well as acting as foci for ritual and social gatherings. They are usually located at the edge of fields or in visually striking positions, such as that on the ridge above Curbar Gap. Romano-British and medieval times There is very little evidence of settlement across the Peak District during the Romano-British period and none on the Eastern Moors estate. Presumably the area was unsuitable for agriculture. Most of the Eastern Moors had become the open moorland of today which, in the medieval period, is characterised as one of commons and wastes, used for grazing stock and the extraction of natural resources, including peat, stone and possibly coal. The topography of the edges was also used for lead smelting - the ore being brought to the bole furnaces. At Curbar Edge, however, there is slight evidence of medieval ridge and furrow agriculture surviving in one of the rectilinear fields that were enclosed in the postmedieval period. Perhaps this area was one where settlement and agriculture continued sporadically throughout the historic period. Instead of the farmsteads with their field systems which typified the area during the 2nd and part of the 1st millennia BC, the landscape is criss-crossed by pack horse and foot transport routes across the moors. Braided tracks and hollow ways now define these paths on steep inclines and lesser slopes, although whether all such routes were used during this period is not known. Four of the routes cross the Big Moor or pass along White Edge to meet at Curbar Gap. The north-easterly track from Curbar Gap crosses the moor and then follows the Barbrook; its route is marked by guide stoops of medieval or post-medieval date. A few medieval waymarker and boundary crosses also survive, and certain slab (clapper) bridges probably originated in this period. Some of these are Scheduled Monuments. The post-medieval period - after 1500AD Most of the wastes and commons of Eastern Moors remained unenclosed, although there are a few areas of agricultural enclosure that were created in the 18th and 19th centuries, such as the rectilinear fields close to Curbar Gap. In the main, however, the land either continued to be grazed, as is evidenced by the sheepfolds and isolated enclosures, or large swathes of ground were enclosed at the behest of the Duke of Rutland so that the estate could be used for grouse shooting. It is post-medieval quarrying, mining and lead smelting that has had the greatest visual impact on the Eastern Moors. There is plenty of evidence of stone extraction, millstone quarrying, coal and ganister mining. Lead smelting ore hearths survive, the complexes using water to power the furnace bellows, date to the 16th–18th centuries. The trackways and subsequent turnpike, metalled roads facilitated transportation of the products of extraction and smelting, resulting in the abandonment of some hollow ways across the moors. Then, in the late-1800s, the railway tunnel between Totley and Grindleford was constructed, enabling transport to Sheffield and Manchester. Associated features on this northern part of the moors included the sighting towers and air shafts, of which little survives upstanding. By contrast, there is much evidence of First and Second World War use of Eastern Moors as infantry training grounds. Bullet holes and mortar scars on boulders and rock outcrops, as well as gun emplacements, practice trenches and foxholes, are commonplace; there is also an extensive rifle range close to the north. 2.4.3 Archaeological and historical background: Big Moor and Curbar Gap The following extract from the ArcHeritage Historic Landscape Survey Report of 2011 (sections 6.3.4 and 6.3.7) provides an overview of this area: "This very large parcel contains a large number and variety of archaeological features representing a palimpsest of considerable time depth. There are several dense complexes of Bronze Age to Iron Age field systems with scattered settlement sites and funerary and ritual monuments. Most of these have scheduled monument status. Medieval features are represented by a large concentration of hollow ways in a variety of routes, including at least one medieval stone cross, which may be a boundary marker as well as a direction stone. The routes represented by the hollow ways continued to be used throughout the post-medieval period, and there are also several post-medieval direction stones on the moor. Several paved paths ('causeys') are also present on the moor, usually associated with hollow way routes. Quarrying occurs widely across the moor, mainly in relatively small quarrying episodes, though with some larger quarries on the edges and ridge tops. Modern features include military training trenches and bullet and mortar scars from target practice. These appear to date mainly to World War II. There are also features associated with the early 20th century reservoirs towards the northern end of the moor. Areas of palaeo-environmental potential have been defined on Big Moor, including Lucas Moss at the top of White Edge, and Stoke Flat, which appears to have relatively recent drainage, as well as areas of smaller peat bog on the higher ground in the centre of the moor and in the vicinity of streams." The eastern group of early 19th century enclosed fields at Curbar Gap includes an area of faint ridge and furrow cultivation of uncertain date. 2.4.4 Specific archaeological features in the vicinity of the proposed footpath works A very small part of the Big Moor scheduled monument (NHLE1004599) is directly affected by the proposed works. The braided trackway that is to be repaired (NT204917) is one of two known features within the scheduled monument that will be impacted by the footpath improvements. The modern timber bridge (NT204916) that is to be replaced also lies within the scheduled area. The methodology to minimise the impacts is given below. The Eastern Moors Partnership will commission an archaeological contractor to undertake a watching brief during disturbance to the current ground surface, which will take place as a single exercise. Beyond the zone of intervention there are various other sites, all of which will be protected, also as outlined below. Known archaeological features around the zone of intervention The following are National Trust SMR site numbers, with a concordance to the Derbyshire Council HER site numbers NW of the footpath outside the scheduled monument - features associated with preand post-improvement fields NT204551 two stone gateposts - part of drystone field wall NT204552 (MDR19328) demolished 19th century outfarm building NT204553 possible hollow way/trackway within improved field, though an alternative interpretation for this feature is that it could be the eroded remains of ridge and furrow, as it is on the same alignment as NT204552 in the same field NT204647 stone gatepost - part of drystone field wall NT205768 ridge and furrow on pre-improvement N-S alignment overlain by rectilinear fields bounded by drystone walls MDR 7605 (HER4508) post-medieval rectilinear earthwork enclosures, sub-divided internally by field banks - that marked on Plan B below is presumably in addition to those recorded on Ordnance Survey maps. SW of footpath outside the scheduled monument - post-medieval features, presumably associated with constructing the field walls and/or repairing the footpath/trackway NT204920 a small stone quarry pit NT204921 a small stone quarry pit NT204922 an area of flat stones, reflecting footpath improvement or drainage works S of footpath outside the scheduled monument - features associated with a postmedieval sheepfold NT204911 (part of HER4507) stone and earth bank aligned NE-SW presumably associated with the sheepfold NT204912 NT204912 (part of HER4507) post-medieval sheepfold NT204913 (part of HER4507) stone gatepost set into S end of bank NT204914 NT204914 (part of HER4507) stone and earth bank aligned N-S presumably associated with the sheepfold NT204912 NT204915 (part of HER4507) a length of curvilinear bank from SW to NE E of footpath within the scheduled monument - features related to World War II training exercises NT203949 short section of hollow way NT203623 World War II slit trench NT203624 World War II slit trench NT203625 WW2 bullet scars on natural boulder NT203626 WW2 bullet scars on natural boulder NT203627 World War II slit trench NT203628 World War II slit trench NT203629 World War II 'fox hole' trench NE of footpath within the scheduled monument - features NT202933 small trench of unknown function NT202934 WW2 bullet scars on natural outcrop NT202935 short stretch of worn slabs with robber trench to west NT202936 small stone cairn with possible guidestone (HER15848) in centre NT202938 (HER1377) large ring cairn on outcrop immediately N of NT202934 which is half destroyed by the pack horse routes that cross this area All of these site types are characteristic of this part of the Peak District and as such are of local and/or regional archaeological significance. 3 Archaeological significances Statement of significance The development site falls within Scheduled Monument 1004599 and is an area recognised to be of national significance for its well preserved prehistoric field and settlement remains. Historic England has granted Scheduled Monument consent for the work (see Appendix 1) as they consider the effect of the works upon the monument to be beneficial for its long-term preservation and unlikely to damage the archaeological remains. 4 The proposed works The pitched stone path will be constructed using local/same geology stone as the adjacent stone walls and will appear similar to other examples of this form of path in the vicinity. The footbridge will take the form of a clapper-style bridge using more appropriate and hardwearing materials than the existing, again providing a more congruous appearance with stone to match the surroundings. Existing and initial replacement bridge concept design 5 Archaeological implications and actions A short 100-150m length of the proposed path lies within the scheduled area of SM 1004599 and access will be required to prepare the actual path route, as well as to offload the stone for the pitching and construct it, although the majority of the work shall be undertaken within the path area itself. The scheduled monument SM1017109 is located 150m from the works area. Scheduled monument consent has been granted for the proposed works with certain conditions, included Appendix 1. 5.1 The braided trackway The only known archaeological feature that will be directly affected by the proposed works is the braided track (NT204917). The current footpath uses part of the route of the braided track which, by its very nature, is made up of a series of ways. These are more or being negatively affected by the increasingly damaging erosion of the path. The current state of affairs is a continuation of that which led to the creation of the numerous braids to the trackway in the first place. However, it is understood that today's level of use is such that without the construction of a dedicated route with a hard surface the area will become impassable because it is so steep and of poor quality eroded surface. The proposed works are intended to ensure that the width and depth of the erosion scar does not increase and affect even more of this archaeological feature. It is expected that the preservation of most of the existing braided trackway will be secured for the future by the construction of this 1000mm wide pitched stone path and re-establishment of topsoil and vegetation adjacent. The eroded path lies parallel to the recently rebuilt/repaired stone wall that forms part of the rectilinear field boundaries immediately to the north-west. Arguably, the pitched stone of the proposed path surface will mirror these existing stone features. It is therefore suggested that the visual impact on the setting of this element of the landscape will hardly be affected. There is a requirement for vehicle movements to access the sites to bring materials and tools. These movements shall be kept to a minimum and will not go over the Scheduled Monument or any of the other archaeological features. The use of lowimpact vehicles and single person hand or powered wheelbarrows will be preferred where possible and bog mats are proposed for any heavier loads. The vehicle route will be monitored and a staggered approach be used to allow the surface to recovery as the vehicle movements are also intended to be spread over a number of months. 5.2 The other known archaeological features adjacent to the zone of intervention There are various other known archaeological features adjacent to the line of the proposed pitched stone path. There is no reason to think that these will be impacted by the proposed works. To ensure that this is indeed the case the boundaries of the archaeological features within 30m of the works area will be marked with narrow-diameter rods / electric fencing canes and exclusion tape. 5.3 The timber footbridge Although this footbridge (NT204916) is included in the Sites and Monument Record managed by the National Trust, it is not regarded as being of specific historic significance. It was comparatively recently that this timber bridge was constructed (the 1980s). It is thought that the stream may originally have been forded at various places along the full width of the braided trackway. A stone crossing may eventually have been constructed if the ford became so eroded that crossing on foot became dangerous. Alternatively, a broad clapper bridge may have been needed if wheeled traffic started to use the trackway. However, no evidence of such a feature survives. It is therefore suggested that a replacement stone clapper-style footbridge will be a pragmatic solution to the need to replace the current crossing and will also be in keeping with the landscape. 6 Detailed mitigation proposals A construction method statement which details the extent of the works has been prepared and will be issued to all site staff involved as well as being reviewed at site preparation meetings. This includes the below working methodology with further information of direct mitigation as follows: Any members of staff believe they may have identified any archaeological interest or unknown potential for, shall make the lead site manager aware and works in that area shall cease. Clarification shall then be sought from archaeological specialists before work can commence subject to the outcome of further investigation as required. 7 Bibliography Article in serial: Barnatt, J. 1986. 'Bronze Age remains on the East Moors of the Peak District', Derbyshire Archaeological Journal. Volume 106, pp 18-100. p 43; Fig. 15 Scheduling record: English Heritage. 1999. Cairnfield and field system 450m SW of Swine Sty. 31257. Cat. No.: 457 Unpublished document: Wyatt, S (PDNPA). 2010. Scheduled Monument Monitoring Form: Cairnfield and field system N of Eaglestone Flat, 450m SW of Swine Sty. Unpublished document: Barnatt, J (PDNPA). Descriptive text on monuments in the Peak District. Bibliographic reference: Walsh, T.. 1976. Walsh 1976. P47, fig 16. Article in serial: Barnatt, J (PPJPB). 1995. 'Neolithic and Bronze Age radiocarbon dates from the Peak District: a review', Derbyshire Archaeological Journal. Vol 115, pp 5-19. p.11-12 Verbal communication: Myers, A. 1983. Personal Observation. Unpublished document: Ainsworth, S & Barnatt, J. 1998. An Archaeological Survey of the Scheduled Landscape on Big Moor and Ramsley Moor. Unpublished document: Peak District National Park Authority (PDNPA). Parish file. Sketch plan: Butcher, 1-24 Ms Rosalind Buck Direct Dial: 01604 735460 National Trust Hardwick Consultancy Office Our ref: S00175480 The croft, Doe Lea Chesterfield Derbyshire S44 5QJ 25 October 2017 Dear Ms Buck Ancient Monuments and Archaeological Areas Act 1979 (as amended); Section 2 control of works Application for Scheduled Monument Consent PREHISTORIC BIG MOOR & RAMSLEY AREA, DERBYSHIRE Scheduled Monument No: SM DR 136, HA 1004599 Our ref: S00175480 Application on behalf of The National Trust (Eastern Moors Partnership) 1. I am directed by the Secretary of State for Digital, Culture, Media & Sport to advise you of the decision regarding your application for Scheduled Monument Consent received 1 September 2017 in respect of proposed works at the above scheduled monument concerning the installation of stone pitching to restore a section of footpath and the replacement of the existing wooden bridge over Sandyford Brook with a stone clapper bridge of a single span and no central pier. The works were detailed in the following documentation submitted by you: Scheduled Monument Consent Application Form Eastern Moors Partnership. 2017. Design and Access Statement: Sandyford Brook Restoration (draft) Location plan 1 - showing full extent of Scheduled Monument 1004599 Location plan 2 - showing extent of the Sandyford Brook application site overlain by the National Trust's HBSMR data. 2. In accordance with paragraph 3(2) of Schedule 1 to the 1979 Act, the Secretary of State is obliged to afford you, and any other person to whom it appears to the Secretary of State expedient to afford it, an opportunity of appearing before and being heard by a person appointed for that purpose. This opportunity was offered to you by Historic England and you have declined it. 3. The Secretary of State is also required by the Act to consult with the Historic Buildings and Monuments Commission for England (Historic England) before deciding whether or not to grant Scheduled Monument Consent. Historic England considers the effect of the proposed works upon the monument to be beneficial for the preservation of the monument and unlikely to damage archaeological remains; there is no requirement for archaeological recording. I can confirm that the Secretary of State is agreeable for the works to proceed providing the conditions set out below are adhered to, and that accordingly Scheduled Monument Consent is hereby granted under section 2 of the 1979 Act for the works described in paragraph 1 above, subject to the following conditions: (i) The works to which this consent relates shall be carried out to the satisfaction of the Secretary of State, who will be advised by Historic England. At least 2 weeks' notice (or such shorter period as may be mutually agreed) in writing of the commencement of work shall be given to tim.allen@historicengland.org.uk in order that an Historic England representative can inspect and advise on the works and their effect in compliance with this consent. (ii) All those involved in the implementation of the works granted by this consent must be informed by the National Trust that the land is designated as a scheduled monument under the Ancient Monuments and Archaeological Areas Act 1979 (as amended); the extent of the scheduled monument as set out in both the scheduled monument description and map; and that the implications of this designation include the requirement to obtain Scheduled Monument Consent for any works to a scheduled monument from the Secretary of State prior to them being undertaken. (iii) Equipment and machinery shall not be used or operated in the scheduled area in conditions or in a manner likely to result in damage to the monument or ground disturbance other than that which is expressly authorised in this consent. (iv) Any discoveries of archaeological interest made during the consented works shall be reported immediately to the Historic England Inspector of Ancient Monuments and the appropriate Peak District National Park Authority and National Trust archaeological curators. 4. By virtue of section 4 of the 1979 Act, if no works to which this consent relates are executed or started within the period of five years beginning with the date on which this consent was granted (being the date of this letter), this consent shall cease to have effect at the end of that period (unless a shorter time period is set by a specific condition above). 5. This letter does not convey any approval or consent required under any enactment, bye law, order or regulation other than section 2 of the Ancient Monuments and Archaeological Areas Act 1979. 6. Your attention is drawn to the provisions of section 55 of the 1979 Act under which any person who is aggrieved by the decision given in this letter may challenge its validity by an application made to the High Court within six weeks from the date when the decision is given. The grounds upon which an application may be made to the Court are (1) that the decision is not within the powers of the Act (that is, the Secretary of State has exceeded the relevant powers) or (2) that any of the relevant requirements have not been complied with and the applicant's interests have been substantially prejudiced by the failure to comply. The "relevant requirements" are defined in section 55 of the 1979 Act: they are the requirements of that Act and the Tribunals and Inquiries Act 1971 and the requirements of any regulations or rules made under those Acts. Yours sincerely Tim Allen Inspector of Ancient Monuments E-mail: tim.allen@HistoricEngland.org.uk For and on behalf of the Secretary of State for Digital, Culture, Media and Sport cc Natalie Ward, Senior Conservation Archaeologist, Peak District National Park Authority	en
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DATE \| AMOUNT \| REF. \| \|------------------------------------------\|--------------------------------\|--------------------------------\|--------------------------------\|--------------\|-----------\|--------\| \| AA SHOPFITTING & BUILDING SERVICES LTD \| Finance, Efficiency & Assets \| The Pavillion - Land And Build \| Pla: Redecoration - External \| 11/11/2014 \| 3,500.00 \| 122851 \| \| AA SHOPFITTING & BUILDING SERVICES LTD \| Health Improvement & Leisure \| The Pavilion \| Hired Services \| 11/11/2014 \| 720.00 \| 122851 \| \| AA SHOPFITTING & BUILDING SERVICES LTD \| Health Improvement & Leisure \| The Pavilion \| Hired Services \| 11/11/2014 \| 285.00 \| 122572 \| \| A B WALLACE TROPHIES LIMITED \| Health Improvement & Leisure \| Local Sports Alliance \| Materials - Purchase \| 26/11/2014 \| 266.67 \| 123487 \| \| ACTIVE ARTS GROUP \| Health Improvement & Leisure \| Leisure Dev. - Arts & Heritage \| Project/Initiatives Fees \| 26/11/2014 \| 1,250.00 \| 123609 \| \| AC TRAINING SERVICES \| N'Hood & Env. Health Services \| Vehicle Maintenance \| Seminars & Short Training \| 12/11/2014 \| 2,741.55 \| 122634 \| \| ADVANCED BUSINESS SOLUTIONS \| Finance, Efficiency & Assets \| Financial Services \| Software Maintenance \| 25/11/2014 \| 14,315.20 \| 123469 \| \| ALLPAY LIMITED DIRECT DEBIT ACCOUNT \| Finance, Efficiency & Assets \| Banking Charges \| Transaction Costs - All Pay \| 06/11/2014 \| 1,503.72 \| 122570 \| \| ALL SAINTS CHURCH \| N'Hood & Env. Health Services \| Car Parks \| Rent Payments \| 13/11/2014 \| 1,500.00 \| 122878 \| \| ANCHORPRINT GROUP LIMITED \| Health Improvement & Leisure \| Corporate Health Improvement \| Project/Initiatives Fees \| 26/11/2014 \| 294.59 \| 123543 \| \| ANCHORPRINT GROUP LIMITED \| Leader \| Performance Management \| Outside Printing \| 12/11/2014 \| 700.00 \| 122961 \| \| ARCO LTD \| N'Hood & Env. Health Services \| Non-Kerbside Recycling Prom. \| Site Works \| 05/11/2014 \| 888.75 \| 122624 \| \| ARTYLOON \| Other \| General Fund Balance Sheet \| Creditors - Dep-Citizen Of Yr \| 12/11/2014 \| 366.00 \| 122264 \| \| AUTOMATIC DOORS LTD \| Finance, Efficiency & Assets \| Council Offices & Land \| Cyc: Auto Doors & Barrier Serv \| 19/11/2014 \| 325.00 \| 122864 \| \| BLABY AUDIO VISUAL LIMITED \| Finance, Efficiency & Assets \| Council Offices & Land \| Rea: Electrical \| 14/11/2014 \| 373.77 \| 122818 \| \| BRAUNSTONE TOWN COUNCIL \| Other \| General Fund Balance Sheet \| Commuted Sums - Open Spaces \| 06/11/2014 \| 1,000.00 \| 122529 \| \| BRITISH TELECOM PLC \| Partnerships & Corp. Services \| Ict Services \| Telecoms - Calls \| 27/11/2014 \| 2,103.79 \| 123451 \| \| BRITISH TELECOM PLC \| Partnerships & Corp. Services \| Ict Services \| Telecoms - Internal \| 27/11/2014 \| 5,930.50 \| 123451 \| \| BROOK STREET UK LIMITED \| N'Hood & Env. 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Health Services \| Refuse Coll & Domestic Recyc \| Composting Fees \| 12/11/2014 \| 5,330.59 \| 122635 \| \| DISCLOSURE & BARRING SERVICE \| Other \| General Fund Balance Sheet \| Misc - Criminal Records Bureau \| 06/11/2014 \| 279.00 \| 122664 \| \| DOG SQUAD \| N'Hood & Env. Health Services \| Control Of Dogs \| Small Misc Contracts \| 19/11/2014 \| 936.00 \| 122846 \| \| D P CONSTRUCTION \| Other \| General Fund Balance Sheet \| In Year Capital Additions \| 19/11/2014 \| 5,883.30 \| 123261 \| \| EARTH ANCHORS LTD \| N'Hood & Env. Health Services \| Grounds Maintenance Service \| Countryside Areas Maintenance \| 06/11/2014 \| 915.50 \| 122637 \| \| EDDISONS COMMERCIAL PROPERTY MANAGEMENT Finance, Efficiency & Assets \| Council Offices & Land \| Recharged Insurances \| 27/11/2014 \| 406.25 \| 123520 \| \| \| EDDISONS - STANDING ORDER ACCOUNT \| Finance, Efficiency & Assets \| Council Offices & Land \| Rent Payments \| 27/11/2014 \| 4,187.50 \| 123519 \| \| ELECTORAL REFORM SERVICES \| Leader \| Register Of Electors \| Hired Services \| 13/11/2014 \| 2,719.02 \| 122966 \| \| ENDERBY PARISH COUNCIL \| Finance, Efficiency & Assets \| Open Spaces Management \| Parish Councils \| 13/11/2014 \| 712.28 \| 123000 \| \| ESPO \| Finance, Efficiency & Assets \| Council Offices & Land \| Gas \| 20/11/2014 \| 1,247.33 \| 123188 \| \| ESPO \| Finance, Efficiency & Assets \| Littlethorpe Depot \| Gas \| 20/11/2014 \| 287.84 \| 123187 \| \| ESPO \| Finance, Efficiency & Assets \| The Pavillion - Land And Build \| Gas \| 20/11/2014 \| 404.11 \| 123186 \| \| FAROL LIMITED \| N'Hood & Env. Health Services \| Grounds Maintenance Service \| Mobile Equipment \| 12/11/2014 \| 1,455.00 \| 122509 \| \| FAROL LIMITED \| N'Hood & Env. Health Services \| Highway Cyclic Main Ptnership \| Running Costs \| 25/11/2014 \| 543.42 \| 123229 \| \| FAROL LIMITED \| N'Hood & Env. Health Services \| Highway Cyclic Main Ptnership \| Running Costs \| 25/11/2014 \| 223.01 \| 123225 \| \| FAROL LIMITED \| N'Hood & Env. Health Services \| Vehicle Maintenance \| Normal Repairs \| 25/11/2014 \| 400.00 \| 123470 \| \| F G MOSS & SON \| Other \| General Fund Balance Sheet \| In Year Capital Additions \| 12/11/2014 \| 955.00 \| 122870 \| \| F G MOSS & SON \| Other \| General Fund Balance Sheet \| In Year Capital Additions \| 26/11/2014 \| 3,087.86 \| 123558 \| \| FIRMSTEP \| Other \| General Fund Balance Sheet \| In Year Capital Additions \| 11/11/2014 \| 3,488.00 \| 122806 \| \| FORD & SLATER \| N'Hood & Env. Health Services \| Grounds Maintenance Service \| Accidental Damage Repair Costs \| 13/11/2014 \| 250.00 \| 122822 \| \| FORD & SLATER \| N'Hood & Env. Health Services \| Refuse Coll & Domestic Recyc \| Insurance Excess \| 06/11/2014 \| 250.00 \| 122540 \| \| FORD & SLATER \| N'Hood & Env. Health Services \| Vehicle Maintenance \| Normal Repairs \| 06/11/2014 \| 1,625.75 \| 122641 \| \| FORD & SLATER \| N'Hood & Env. Health Services \| Vehicle Maintenance \| Normal Repairs \| 25/11/2014 \| 270.00 \| 122506 \| \| FRANK MAWBY & COMPANY \| Other \| General Fund Balance Sheet \| In Year Capital Additions \| 06/11/2014 \| 1,119.00 \| 122646 \| \| FRASER BROWN SOLICITORS \| N'Hood & Env. Health Services \| Environmental Health \| Seminars & Short Training \| 11/11/2014 \| 540.00 \| 122361 \| \| GAP PROPERTY SERVICES LEICESTER LIMITED \| Finance, Efficiency & Assets \| Littlethorpe Depot \| Rea: Building \| 27/11/2014 \| 1,025.00 \| 119061 \| \| GAP PROPERTY SERVICES LEICESTER LIMITED \| Other \| General Fund Balance Sheet \| In Year Capital Additions \| 05/11/2014 \| 3,915.00 \| 122648 \| \| SUPPLIER NAME \| PORTFOLIO \| COST CENTRE \| EXPENDITURE CLASS \| POST. DATE \| AMOUNT \| REF. \| \|---------------------------------------\|--------------------------------\|--------------------------------\|------------------------------\|--------------\|------------\|--------\| \| GEESINK NORBA \| N'Hood & Env. Health Services \| Fleet Management \| Road Fund Licence \| 25/11/2014 \| 650.00 \| 123275 \| \| GHM PLANNING LTD \| Planning, Econ. Dev. & Housing \| Planning Delivery \| Gross Pay \| 05/11/2014 \| 5,290.00 \| 122552 \| \| GLEN PARVA PARISH COUNCIL \| Other \| General Fund Balance Sheet \| Debtors Suspense \| 13/11/2014 \| 360.00 \| 122855 \| \| GREENERGY FUELS LIMITED \| Other \| General Fund Balance Sheet \| Fuel \| 05/11/2014 \| 18,104.61 \| 122538 \| \| GREENERGY FUELS LIMITED \| Other \| General Fund Balance Sheet \| Fuel \| 19/11/2014 \| 18,475.20 \| 123221 \| \| HAYMARKET PUBLISHING SERVICES LIMITED \| Planning, Econ. Dev. & Housing \| Planning Delivery \| Books, Newspapers And Pubs \| 05/11/2014 \| 642.00 \| 122633 \| \| HAYMARKET PUBLISHING SERVICES LIMITED \| Planning, Econ. Dev. & Housing \| Planning Delivery \| Books, Newspapers And Pubs \| 13/11/2014 \| 745.00 \| 122566 \| \| HAYS SPECIALIST RECRUITMENT \| Partnerships & Corp. Services \| Lpc - Commissioning \| Lpc Expenditure \| 06/11/2014 \| 282.54 \| 122656 \| \| HAYS SPECIALIST RECRUITMENT \| Partnerships & Corp. Services \| Lpc - Commissioning \| Lpc Expenditure \| 06/11/2014 \| 524.40 \| 122657 \| \| HAYS SPECIALIST RECRUITMENT \| Partnerships & Corp. Services \| Lpc - Commissioning \| Lpc Expenditure \| 06/11/2014 \| 396.90 \| 122659 \| \| HAYS SPECIALIST RECRUITMENT \| Partnerships & Corp. Services \| Lpc - Commissioning \| Lpc Expenditure \| 14/11/2014 \| 524.40 \| 122972 \| \| HAYS SPECIALIST RECRUITMENT \| Partnerships & Corp. Services \| Lpc - Commissioning \| Lpc Expenditure \| 14/11/2014 \| 661.50 \| 122981 \| \| HAYS SPECIALIST RECRUITMENT \| Partnerships & Corp. Services \| Lpc - Commissioning \| Lpc Expenditure \| 21/11/2014 \| 289.97 \| 122973 \| \| HAYS SPECIALIST RECRUITMENT \| Partnerships & Corp. Services \| Lpc - Commissioning \| Lpc Expenditure \| 25/11/2014 \| 282.54 \| 123506 \| \| HEALTH MANAGEMENT LIMITED \| Leader \| Human Res. Train & Development \| Occupational Health \| 19/11/2014 \| 767.60 \| 123212 \| \| HFX LIMITED \| Finance, Efficiency & Assets \| Council Offices & Land \| Rea: Electrical \| 25/11/2014 \| 750.00 \| 123488 \| \| HFX LIMITED \| Leader \| Human Res. Train & Development \| Software Maintenance \| 25/11/2014 \| 420.00 \| 122561 \| \| HINCKLEY & BOSWORTH COUNCIL \| Leader \| Human Res. Train & Development \| Software Maintenance \| 20/11/2014 \| 277.96 \| 118683 \| \| HINCKLEY & BOSWORTH COUNCIL \| Partnerships & Corp. Services \| Community Development \| Other Partnership Support \| 20/11/2014 \| 613.44 \| 118683 \| \| HINCKLEY & BOSWORTH COUNCIL \| Partnerships & Corp. Services \| External Legal Fees \| Legal Fees \| 19/11/2014 \| 998.44 \| 123201 \| \| HINCKLEY & BOSWORTH COUNCIL \| Partnerships & Corp. Services \| Ict Services \| Hbbc: Ict Services Provision \| 20/11/2014 \| 108,842.55 \| 118683 \| \| HINCKLEY & BOSWORTH COUNCIL \| Partnerships & Corp. Services \| Ict Services \| Hbbc: Ict Services Provision \| 20/11/2014 \| 27,208.24 \| 120185 \| \| HINCKLEY & BOSWORTH COUNCIL \| Partnerships & Corp. Services \| Ict Services \| Infrastructure - Servers \| 20/11/2014 \| 5,000.00 \| 118719 \| \| HMCTS \| Finance, Efficiency & Assets \| C.Tax Billing, Coll & Recovery \| Court Fees \| 06/11/2014 \| 5,004.00 \| 122652 \| \| HMCTS \| Finance, Efficiency & Assets \| C.Tax Billing, Coll & Recovery \| Court Fees \| 13/11/2014 \| -4,791.00 \| 122857 \| \| HOLLANDS BUSINESS SOLUTIONS LIMITED \| Health Improvement & Leisure \| The Pavilion \| Publicity & Promotion \| 20/11/2014 \| 990.00 \| 123231 \| \| ICON ELECTRICAL SERVICES \| Other \| General Fund Balance Sheet \| In Year Capital Additions \| 06/11/2014 \| 900.00 \| 122617 \| \| IDOX SOFTWARE LIMITED \| Health Improvement & Leisure \| Corporate Health Improvement \| Software Maintenance \| 27/11/2014 \| 4,650.00 \| 123241 \| \| IDOX SOFTWARE LIMITED \| Planning, Econ. Dev. & Housing \| Planning Delivery \| Design Support \| 12/11/2014 \| 2,677.50 \| 122813 \| \| INDEPENDENT TECHNICIANS LTD \| Other \| General Fund Balance Sheet \| In Year Capital Additions \| 11/11/2014 \| 2,250.00 \| 122852 \| \| INDUSTRIA PERSONNEL SERVICE LTD \| N'Hood & Env. Health Services \| Refuse Coll & Domestic Recyc \| Temporary/Casual Staff \| 24/11/2014 \| 317.46 \| 123492 \| \| JAMES HERBERT \| Health Improvement & Leisure \| Local Sports Alliance \| Grants - Sportivate \| 13/11/2014 \| 210.00 \| 122575 \| \| JAM PERSONNEL MIDLANDS LIMITED \| N'Hood & Env. Health Services \| Cleansing Services \| Temporary/Casual Staff \| 12/11/2014 \| 783.20 \| 122821 \| \| JAM PERSONNEL MIDLANDS LIMITED \| N'Hood & Env. Health Services \| Cleansing Services \| Temporary/Casual Staff \| 19/11/2014 \| 646.80 \| 123232 \| \| JAM PERSONNEL MIDLANDS LIMITED \| N'Hood & Env. Health Services \| Cleansing Services \| Temporary/Casual Staff \| 19/11/2014 \| 646.80 \| 123280 \| \| JAM PERSONNEL MIDLANDS LIMITED \| N'Hood & Env. Health Services \| Refuse Coll & Domestic Recyc \| Temporary/Casual Staff \| 12/11/2014 \| 2,315.83 \| 122817 \| \| SUPPLIER NAME \| PORTFOLIO \| COST CENTRE \| EXPENDITURE CLASS \| POST. DATE \| AMOUNT \| REF. \| \|------------------------------------------\|--------------------------------\|--------------------------------\|--------------------------------\|--------------\|------------\|--------\| \| JAM PERSONNEL MIDLANDS LIMITED \| N'Hood & Env. Health Services \| Refuse Coll & Domestic Recyc \| Temporary/Casual Staff \| 13/11/2014 \| 1,893.97 \| 122502 \| \| JAM PERSONNEL MIDLANDS LIMITED \| N'Hood & Env. Health Services \| Refuse Coll & Domestic Recyc \| Temporary/Casual Staff \| 13/11/2014 \| 407.25 \| 122502 \| \| JAM PERSONNEL MIDLANDS LIMITED \| N'Hood & Env. Health Services \| Refuse Coll & Domestic Recyc \| Temporary/Casual Staff \| 19/11/2014 \| 2,730.86 \| 123252 \| \| JAM PERSONNEL MIDLANDS LIMITED \| N'Hood & Env. Health Services \| Refuse Coll & Domestic Recyc \| Temporary/Casual Staff \| 19/11/2014 \| 2,353.09 \| 123281 \| \| JOBSITE UK WORLDWIDE LIMITED \| Leader \| Recruitment Costs \| Staff Advertising \| 06/11/2014 \| 350.00 \| 122623 \| \| JOHNSTON SWEEPERS LTD \| N'Hood & Env. Health Services \| Vehicle Maintenance \| Normal Repairs \| 14/11/2014 \| 947.11 \| 122868 \| \| KAFEVEND GROUP LIMITED \| Finance, Efficiency & Assets \| Council Offices & Land \| Refreshments \| 27/11/2014 \| 435.47 \| 123209 \| \| KALU TRAINING & CONSULTANCY LIMITED \| Finance, Efficiency & Assets \| Financial Services \| Research & Development \| 13/11/2014 \| 850.00 \| 122967 \| \| KALU TRAINING & CONSULTANCY LIMITED \| Finance, Efficiency & Assets \| Financial Services \| Research & Development \| 13/11/2014 \| 1,275.00 \| 122968 \| \| KINGS ARMOURED SECURITY SERVICES LIMITED \| N'Hood & Env. Health Services \| Car Parks \| Security Services \| 26/11/2014 \| 248.38 \| 122666 \| \| KINGS ARMOURED SECURITY SERVICES LIMITED \| Partnerships & Corp. Services \| Customer Services \| Security Services \| 26/11/2014 \| 503.08 \| 123551 \| \| LAFARGE AGGREGATES LIMITED \| N'Hood & Env. Health Services \| Refuse Coll & Domestic Recyc \| Commercial Waste Fees \| 05/11/2014 \| -564.51 \| 122550 \| \| LASER FRIEND \| Partnerships & Corp. Services \| Ict Services \| Desktop - Printers \| 19/11/2014 \| 597.00 \| 123199 \| \| LEAWOOD BUILDERS \| Other \| General Fund Balance Sheet \| In Year Capital Additions \| 05/11/2014 \| 5,492.00 \| 122650 \| \| LEAWOOD BUILDERS \| Other \| General Fund Balance Sheet \| In Year Capital Additions \| 19/11/2014 \| 4,572.00 \| 123323 \| \| LEICESTER CITY COUNCIL \| Community Services \| Housing Support - Bradgate Mhu \| Other Local Authorities \| 20/11/2014 \| 10,000.00 \| 123271 \| \| LEICESTER CITY COUNCIL \| Community Services \| Housing Support - Bradgate Mhu \| Other Local Authorities \| 20/11/2014 \| 5,241.50 \| 123272 \| \| LEICESTER CITY COUNCIL \| Partnerships & Corp. Services \| External Legal Fees \| Legal Fees \| 25/11/2014 \| 525.00 \| 123005 \| \| LEICESTERSHIRE CAB \| Community Services \| Grant Aid & Access Act. - Cab \| Grants - Cab \| 27/11/2014 \| 29,350.00 \| 123541 \| \| LEICESTERSHIRE COUNTY COUNCIL \| Finance, Efficiency & Assets \| Council Offices & Land \| Tree Maintenance \| 06/11/2014 \| 1,190.10 \| 122522 \| \| LEICESTERSHIRE COUNTY COUNCIL \| Finance, Efficiency & Assets \| Open Spaces Management \| Open Space Development \| 06/11/2014 \| 1,460.07 \| 122522 \| \| LEICESTERSHIRE COUNTY COUNCIL \| Health Improvement & Leisure \| Local Sports Alliance \| Project/Initiatives Fees \| 27/11/2014 \| 2,500.00 \| 122524 \| \| LEICESTERSHIRE COUNTY COUNCIL \| N'Hood & Env. Health Services \| Car Parks \| R & M - Grounds \| 12/11/2014 \| 6,313.71 \| 122833 \| \| LEICESTERSHIRE COUNTY COUNCIL \| N'Hood & Env. Health Services \| Grounds Maintenance Service \| Tree Maintenance \| 06/11/2014 \| 1,764.70 \| 122522 \| \| LEICESTERSHIRE COUNTY COUNCIL \| N'Hood & Env. Health Services \| Grounds Maintenance Service \| Tree Maintenance \| 06/11/2014 \| 245.11 \| 122522 \| \| LEICESTERSHIRE COUNTY COUNCIL \| N'Hood & Env. Health Services \| Highway Cyclic Main Ptnership \| Sub-Contractors \| 20/11/2014 \| 3,200.00 \| 122970 \| \| LEICESTERSHIRE COUNTY COUNCIL \| N'Hood & Env. Health Services \| Refuse Coll & Domestic Recyc \| Commercial Waste Fees \| 14/11/2014 \| 4,596.33 \| 123010 \| \| LEICESTERSHIRE COUNTY COUNCIL \| Other \| General Fund Balance Sheet \| Creditors -County-Superann Ees \| 27/11/2014 \| 132,782.25 \| 123608 \| \| LEICESTERSHIRE COUNTY COUNCIL \| Other \| General Fund Balance Sheet \| Creditors-County-Superann Memb \| 27/11/2014 \| 1,210.82 \| 123608 \| \| LEICESTERSHIRE COUNTY COUNCIL \| Other \| General Fund Balance Sheet \| In Year Capital Additions \| 14/11/2014 \| 1,262.75 \| 121989 \| \| LEICESTERSHIRE COUNTY COUNCIL \| Other \| General Fund Balance Sheet \| In Year Capital Additions \| 19/11/2014 \| 3,219.50 \| 123264 \| \| LEICESTERSHIRE COUNTY COUNCIL \| Other \| General Fund Balance Sheet \| In Year Capital Additions \| 19/11/2014 \| 1,801.39 \| 123265 \| \| LEICESTERSHIRE COUNTY COUNCIL \| Other \| General Fund Balance Sheet \| In Year Capital Additions \| 19/11/2014 \| 2,160.00 \| 123266 \| \| LEICESTERSHIRE COUNTY COUNCIL \| Other \| General Fund Balance Sheet \| In Year Capital Additions \| 25/11/2014 \| 2,780.00 \| 123540 \| \| LEICESTERSHIRE COUNTY COUNCIL \| Other \| General Fund Balance Sheet \| In Year Capital Additions \| 26/11/2014 \| 530.00 \| 123559 \| \| LEICESTERSHIRE COUNTY COUNCIL \| Other \| General Fund Balance Sheet \| In Year Capital Additions \| 26/11/2014 \| 3,425.00 \| 123560 \| \| SUPPLIER NAME \| PORTFOLIO \| COST CENTRE \| EXPENDITURE CLASS \| POST. DATE \| AMOUNT \| REF. \| \|--------------------------------------------\|--------------------------------\|--------------------------------\|--------------------------------\|--------------\|-----------\|--------\| \| LEICESTERSHIRE COUNTY COUNCIL \| Partnerships & Corp. Services \| Local Land Charges \| Lcc Fees \| 19/11/2014 \| 2,576.00 \| 123269 \| \| LEICESTERSHIRE COUNTY COUNCIL \| Partnerships & Corp. Services \| Local Land Charges \| Lcc Fees \| 19/11/2014 \| 1,617.00 \| 123270 \| \| LEICESTERSHIRE COUNTY COUNCIL \| Partnerships & Corp. Services \| Lpc - Commissioning \| Lpc Expenditure \| 25/11/2014 \| 240.38 \| 123502 \| \| LEICESTERSHIRE COUNTY COUNCIL \| Planning, Econ. Dev. & Housing \| Planning Delivery \| Consultant'S Fees \| 05/11/2014 \| 9,000.00 \| 122520 \| \| LEICESTERSHIRE COUNTY COUNCIL \| Planning, Econ. Dev. & Housing \| Planning Delivery \| Consultant'S Fees \| 13/11/2014 \| 3,390.00 \| 122208 \| \| LEICESTERSHIRE COUNTY COUNCIL \| Planning, Econ. Dev. & Housing \| Planning Delivery \| Consultant'S Fees \| 26/11/2014 \| 1,767.50 \| 123461 \| \| LOCAL GOVERNMENT IMPROVEMENT & DEVELOPMENT \| Partnerships & Corp. Services \| Members Expenses/Allowances \| Seminars & Short Training \| 24/11/2014 \| 3,000.00 \| 122636 \| \| LOCAL WORLD LIMITED \| Partnerships & Corp. Services \| Democratic Serv & Governance \| Advertising - Notices \| 27/11/2014 \| 480.25 \| 123526 \| \| LOCAL WORLD LIMITED \| Partnerships & Corp. Services \| Democratic Serv & Governance \| Advertising - Notices \| 27/11/2014 \| 540.00 \| 123618 \| \| LOCAL WORLD LIMITED \| Planning, Econ. Dev. & Housing \| Planning Delivery \| Advertising - Notices \| 06/11/2014 \| 480.25 \| 122262 \| \| LOCAL WORLD LIMITED \| Planning, Econ. Dev. & Housing \| Planning Delivery \| Advertising - Notices \| 06/11/2014 \| 288.15 \| 122619 \| \| LOCAL WORLD LIMITED \| Planning, Econ. Dev. & Housing \| Planning Delivery \| Advertising - Notices \| 12/11/2014 \| 384.20 \| 122861 \| \| LODGE TYRES CO LTD \| N'Hood & Env. Health Services \| Refuse Coll & Domestic Recyc \| Accidental Damage Repair Costs \| 03/11/2014 \| 1,370.96 \| 122564 \| \| MANTA SHOPFITTERS LTD \| Other \| General Fund Balance Sheet \| In Year Capital Additions \| 05/11/2014 \| 25,371.50 \| 120894 \| \| MARRONS SOLICITORS \| Planning, Econ. Dev. & Housing \| Planning Delivery \| Legal Fees \| 11/11/2014 \| 1,102.50 \| 122680 \| \| MAYBO TRAINING \| Leader \| Staff Training And Development \| Hired Services \| 12/11/2014 \| 874.00 \| 122829 \| \| MAYBO TRAINING \| Leader \| Staff Training And Development \| Hired Services \| 20/11/2014 \| 874.00 \| 123194 \| \| MAYBO TRAINING \| Leader \| Staff Training And Development \| Hired Services \| 26/11/2014 \| 874.00 \| 123490 \| \| M F HIRE LIMITED \| Health Improvement & Leisure \| Leisure Development - Sports \| Hired Services \| 12/11/2014 \| 656.94 \| 122811 \| \| MHS ALARM SERVICES LIMITED \| Finance, Efficiency & Assets \| Council Offices & Land \| Cyc: Fire Estinqiusher Service \| 13/11/2014 \| 227.50 \| 121247 \| \| MIB DATA SOLUTIONS LIMITED \| Planning, Econ. Dev. & Housing \| Economic Development \| Project/Initiatives Fees \| 24/11/2014 \| 370.50 \| 123475 \| \| MIDLAND OIL COMPANY LTD \| N'Hood & Env. Health Services \| Vehicle Maintenance \| Normal Repairs \| 06/11/2014 \| 1,780.00 \| 122682 \| \| MIDLAND TRAINING \| Finance, Efficiency & Assets \| Financial Services \| Seminars & Short Training \| 06/11/2014 \| 457.00 \| 122512 \| \| MOLE GROUNDWORKS \| Finance, Efficiency & Assets \| Garages & Plots (Ex Hra) \| Building Works \| 24/11/2014 \| 740.00 \| 123477 \| \| MOLE GROUNDWORKS \| Finance, Efficiency & Assets \| Open Spaces Management \| Open Space Development \| 19/11/2014 \| 630.00 \| 123239 \| \| MOLE GROUNDWORKS \| Finance, Efficiency & Assets \| Open Spaces Management \| Open Space Development \| 19/11/2014 \| 2,900.00 \| 123213 \| \| NARBOROUGH PARISH COUNCIL \| Other \| General Fund Balance Sheet \| In Year Capital Additions \| 20/11/2014 \| 756.00 \| 123190 \| \| NEW AUTO LIMITED T/AS MOGO UK \| N'Hood & Env. Health Services \| Licencing - Hack Carr/Pvt Hire \| Stationery \| 26/11/2014 \| 244.00 \| 123251 \| \| NEWLINE MIDLANDS LIMITED \| N'Hood & Env. Health Services \| Refuse Coll & Domestic Recyc \| Engineering Inspections \| 11/11/2014 \| 235.13 \| 122632 \| \| NORTHGATE INFORMATION SOLUTIONS \| Community Services \| Benefits Section \| Seminars & Short Training \| 12/11/2014 \| 250.00 \| 122661 \| \| NORTHGATE INFORMATION SOLUTIONS \| Community Services \| Benefits Section \| Sundry It Purchases \| 25/11/2014 \| 8,685.00 \| 123515 \| \| NORTHGATE INFORMATION SOLUTIONS \| Finance, Efficiency & Assets \| C.Tax Billing, Coll & Recovery \| Seminars & Short Training \| 12/11/2014 \| 250.00 \| 122661 \| \| NORTHGATE VEHICLE HIRE \| N'Hood & Env. Health Services \| Cleansing Services \| Vehicle Hire - External \| 12/11/2014 \| 330.00 \| 122645 \| \| NORTHGATE VEHICLE HIRE \| N'Hood & Env. Health Services \| Cleansing Services \| Vehicle Hire - External \| 25/11/2014 \| 216.29 \| 123486 \| \| OFFICE FURNITURE TEAM GB LIMITED \| Finance, Efficiency & Assets \| Council Offices & Land \| Office Furniture \| 19/11/2014 \| 223.50 \| 123208 \| \| OFFICE OF THE POLICE & CRIME COMMISSIONER \| Community Services \| Crime & Disorder \| Hired Services \| 19/11/2014 \| 500.00 \| 123262 \| \| SUPPLIER NAME \| PORTFOLIO \| COST CENTRE \| EXPENDITURE CLASS \| POST. DATE \| AMOUNT \| REF. \| \|-------------------------------------\|--------------------------------\|--------------------------------\|--------------------------------\|--------------\|----------\|--------\| \| OTECH LIMITED \| Community Services \| Benefits Section \| Software Maintenance \| 20/11/2014 \| 645.00 \| 123192 \| \| PICK EVERARD \| Other \| General Fund Balance Sheet \| In Year Capital Additions \| 12/11/2014 \| 2,779.00 \| 122837 \| \| PICK EVERARD \| Other \| General Fund Balance Sheet \| In Year Capital Additions \| 12/11/2014 \| 2,779.00 \| 122838 \| \| PICK EVERARD \| Other \| General Fund Balance Sheet \| In Year Capital Additions \| 12/11/2014 \| 2,779.00 \| 122839 \| \| P&MM LIMITED \| Leader \| Human Resources Emp Provisions \| Provision Amounts \| 27/11/2014 \| 1,212.45 \| 123505 \| \| P&MM LIMITED - DIRECT DEBIT ONLY \| Other \| General Fund Balance Sheet \| Deductions - Childcare Voucher \| 20/11/2014 \| 2,780.00 \| 123189 \| \| POLYCOPY \| Partnerships & Corp. Services \| Reprographics \| Print Mats (Int. Print Room) \| 05/11/2014 \| 360.00 \| 122494 \| \| POLYCOPY \| Partnerships & Corp. Services \| Reprographics \| Print Mats (Int. Print Room) \| 19/11/2014 \| 720.00 \| 123257 \| \| POLYCOPY \| Partnerships & Corp. Services \| Reprographics \| Print Mats (Int. Print Room) \| 19/11/2014 \| 720.00 \| 123258 \| \| POXON RADIATORS \| N'Hood & Env. Health Services \| Vehicle Maintenance \| Normal Repairs \| 25/11/2014 \| 415.00 \| 123227 \| \| PRATT & CHESTERTON ELECTRICAL \| Finance, Efficiency & Assets \| The Pavillion - Land And Build \| Pla: Electrical \| 27/11/2014 \| 1,314.00 \| 123473 \| \| PRATT & CHESTERTON ELECTRICAL \| Finance, Efficiency & Assets \| The Pavillion - Land And Build \| Rea: Electrical \| 27/11/2014 \| 400.00 \| 123473 \| \| PRATT & CHESTERTON ELECTRICAL \| Health Improvement & Leisure \| The Pavilion \| Equipment R & M \| 27/11/2014 \| 1,879.00 \| 123473 \| \| PREMIER SECURITY SERVICES \| Finance, Efficiency & Assets \| Blaby Joint Service Shop \| Security Services \| 13/11/2014 \| 552.08 \| 122513 \| \| PREMIER SECURITY SERVICES \| Finance, Efficiency & Assets \| Council Offices & Land \| Security Services \| 13/11/2014 \| 552.08 \| 122518 \| \| PREMIER SECURITY SERVICES \| Finance, Efficiency & Assets \| Littlethorpe Depot \| Security Services \| 13/11/2014 \| 552.08 \| 122517 \| \| PREMIER SECURITY SERVICES \| N'Hood & Env. Health Services \| Grounds Maintenance Service \| Security Services \| 13/11/2014 \| 912.51 \| 122514 \| \| PREMIER TAXIS \| Partnerships & Corp. Services \| Lpc - Commissioning \| Lpc Expenditure \| 06/11/2014 \| 826.00 \| 122658 \| \| PREMIER WASTE & RECYCLING \| N'Hood & Env. Health Services \| Con Of Other Pub. Health Risks \| Works In Default \| 13/11/2014 \| 400.00 \| 120842 \| \| PREMIER WASTE & RECYCLING \| N'Hood & Env. Health Services \| Con Of Other Pub. Health Risks \| Works In Default \| 26/11/2014 \| 2,282.00 \| 123554 \| \| PRICE MARRINER & ASSOCIATES LIMITED \| N'Hood & Env. Health Services \| Environmental Health \| Gross Pay \| 26/11/2014 \| 986.25 \| 123556 \| \| PRICE MARRINER & ASSOCIATES LIMITED \| N'Hood & Env. Health Services \| Environmental Health \| Gross Pay \| 26/11/2014 \| 432.00 \| 123562 \| \| R E BRADSHAW \| Other \| General Fund Balance Sheet \| In Year Capital Additions \| 26/11/2014 \| 4,745.00 \| 123557 \| \| REED BUSINESS INFORMATION \| Planning, Econ. Dev. & Housing \| Economic Development \| Publicity & Promotion \| 19/11/2014 \| 775.00 \| 123214 \| \| REED BUSINESS INFORMATION LIMITED \| Planning, Econ. Dev. & Housing \| Economic Development \| Publicity & Promotion \| 06/11/2014 \| 775.00 \| 122526 \| \| RENEWABLE ENERGY ASSOCIATION \| N'Hood & Env. Health Services \| Non-Kerbside Recycling Prom. \| E'Es Subscriptions \| 19/11/2014 \| 480.00 \| 123211 \| \| RIGBY TAYLOR LTD \| N'Hood & Env. Health Services \| Grounds Maintenance Service \| Other Equipment \| 12/11/2014 \| 360.00 \| 122320 \| \| RIGHT TRACK CONSULTANCY LTD \| Leader \| Staff Training And Development \| Hired Services \| 06/11/2014 \| 4,387.50 \| 122565 \| \| ROL SOLUTIONS LIMITED \| Partnerships & Corp. Services \| Customer Services \| Research & Development \| 20/11/2014 \| 825.00 \| 123191 \| \| ROUTESAFE SYSTEMS \| N'Hood & Env. Health Services \| Envirocrime \| Publicity & Promotion \| 19/11/2014 \| 926.00 \| 119041 \| \| ROYAL MAIL \| Leader \| Register Of Electors \| Postages \| 27/11/2014 \| 595.00 \| 123532 \| \| ROYAL TOWN PLANNING INSTITUTE \| Planning, Econ. Dev. & Housing \| Planning Delivery \| E'Es Subscriptions \| 14/11/2014 \| 290.00 \| 122993 \| \| ROYAL TOWN PLANNING INSTITUTE \| Planning, Econ. Dev. & Housing \| Planning Delivery \| E'Es Subscriptions \| 14/11/2014 \| 290.00 \| 122994 \| \| ROYAL TOWN PLANNING INSTITUTE \| Planning, Econ. Dev. & Housing \| Planning Delivery \| E'Es Subscriptions \| 19/11/2014 \| 290.00 \| 122987 \| \| ROYAL TOWN PLANNING INSTITUTE \| Planning, Econ. Dev. & Housing \| Planning Delivery \| E'Es Subscriptions \| 19/11/2014 \| 290.00 \| 122988 \| \| ROYAL TOWN PLANNING INSTITUTE \| Planning, Econ. Dev. & Housing \| Planning Delivery \| E'Es Subscriptions \| 19/11/2014 \| 290.00 \| 122990 \| \| SUPPLIER NAME \| PORTFOLIO \| COST CENTRE \| EXPENDITURE CLASS \| POST. DATE \| AMOUNT \| REF. \| \|---------------------------------------------\|--------------------------------\|--------------------------------\|--------------------------------\|--------------\|-----------\|--------\| \| ROYAL TOWN PLANNING INSTITUTE \| Planning, Econ. Dev. & Housing \| Planning Delivery \| E'Es Subscriptions \| 20/11/2014 \| 290.00 \| 122989 \| \| RURAL COMMUNITY COUNCIL (LEICS & RUTLAND) \| Partnerships & Corp. Services \| Community Development \| Other Partnership Support \| 26/11/2014 \| 875.00 \| 123612 \| \| SABELL & CO BIRMINGHAM LIMITED \| Finance, Efficiency & Assets \| Central Stationery \| Stationery \| 20/11/2014 \| 860.00 \| 123253 \| \| SAPCOTE PARISH COUNCIL \| Health Improvement & Leisure \| Community Improvements \| Project/Initiatives Fees \| 27/11/2014 \| 750.00 \| 123525 \| \| SBX \| Health Improvement & Leisure \| Local Sports Alliance \| Hired Services \| 12/11/2014 \| 250.00 \| 122860 \| \| SBX \| Health Improvement & Leisure \| Local Sports Alliance \| Hired Services \| 25/11/2014 \| 300.00 \| 123529 \| \| SCALLIWAGS MOBILE CRECHE \| Partnerships & Corp. Services \| Lpc - Commissioning \| Lpc Expenditure \| 25/11/2014 \| 432.00 \| 123497 \| \| SCALLIWAGS MOBILE CRECHE \| Partnerships & Corp. Services \| Lpc - Commissioning \| Lpc Expenditure \| 25/11/2014 \| 360.00 \| 123498 \| \| SCALLIWAGS MOBILE CRECHE \| Partnerships & Corp. Services \| Lpc - Commissioning \| Lpc Expenditure \| 25/11/2014 \| 360.00 \| 123500 \| \| SCARAB SWEEPERS LIMITED \| N'Hood & Env. Health Services \| Cleansing Services \| Accidental Damage Repair Costs \| 12/11/2014 \| 316.55 \| 122956 \| \| SEVERN TRENT WATER \| Finance, Efficiency & Assets \| Council Offices & Land \| Water Charges \| 20/11/2014 \| 1,814.41 \| 122849 \| \| SEVERN TRENT WATER \| Finance, Efficiency & Assets \| Littlethorpe Depot \| Water Charges \| 25/11/2014 \| 2,133.84 \| 123462 \| \| SEVERN TRENT WATER \| Finance, Efficiency & Assets \| The Pavillion - Land And Build \| Water Charges \| 14/11/2014 \| 1,908.91 \| 122983 \| \| SOCITM LIMITED \| Partnerships & Corp. Services \| Ict Services \| Subscriptions \| 12/11/2014 \| 890.00 \| 122971 \| \| SOUTHERN ELECTRIC \| Finance, Efficiency & Assets \| Blaby Joint Service Shop \| Electricity \| 25/11/2014 \| 628.37 \| 123464 \| \| SOUTHERN ELECTRIC \| Finance, Efficiency & Assets \| Littlethorpe Depot \| Electricity \| 25/11/2014 \| 2,335.54 \| 123466 \| \| SOUTHERN ELECTRIC \| Finance, Efficiency & Assets \| Littlethorpe Depot \| Electricity \| 25/11/2014 \| -1,191.22 \| 123468 \| \| SOUTHERN ELECTRIC \| Finance, Efficiency & Assets \| The Pavillion - Land And Build \| Electricity \| 26/11/2014 \| 1,330.01 \| 123467 \| \| SOUTH LEICESTERSHIRE COLLEGE \| Partnerships & Corp. Services \| Lpc - Commissioning \| Lpc Expenditure \| 05/11/2014 \| 1,733.00 \| 122618 \| \| SOUTH LEICESTERSHIRE COLLEGE \| Partnerships & Corp. Services \| Lpc - Commissioning \| Lpc Expenditure \| 25/11/2014 \| 1,733.33 \| 123496 \| \| SPI GLOBAL PLAY LIMITED \| Other \| General Fund Balance Sheet \| In Year Capital Additions \| 24/11/2014 \| 1,379.00 \| 123478 \| \| SQUAIR CARE LTD \| N'Hood & Env. Health Services \| Vehicle Maintenance \| Normal Repairs \| 26/11/2014 \| 225.00 \| 123602 \| \| STEVE BURROWS TRAINING \| Partnerships & Corp. Services \| Lpc - Commissioning \| Pay P Expenditure \| 26/11/2014 \| 360.00 \| 123614 \| \| STEWART MORRIS PARTNERSHIP \| Other \| General Fund Balance Sheet \| In Year Capital Additions \| 26/11/2014 \| 267.47 \| 123610 \| \| STONBURY LIMITED \| Other \| General Fund Balance Sheet \| In Year Capital Additions \| 05/11/2014 \| 44,121.08 \| 122551 \| \| STREETVIBE YOUNG PEOPLES SERVICE \| Partnerships & Corp. Services \| Lpc - Commissioning \| Grants - Other Small Grants \| 05/11/2014 \| 7,500.00 \| 122511 \| \| TEMPLINE \| Finance, Efficiency & Assets \| Council Offices & Land \| Temporary/Casual Staff \| 13/11/2014 \| 270.47 \| 122546 \| \| TEMPLINE \| Finance, Efficiency & Assets \| Littlethorpe Depot \| Cleaning \| 13/11/2014 \| 239.40 \| 121973 \| \| TEMPLINE \| Finance, Efficiency & Assets \| Littlethorpe Depot \| Cleaning \| 25/11/2014 \| 308.43 \| 123516 \| \| TERRATRUCK DISTRIBUTION SERVICES LTD \| N'Hood & Env. Health Services \| Grounds Maintenance Service \| Mobile Equipment \| 19/11/2014 \| 1,603.50 \| 123210 \| \| THE ASSOCIATION OF ELECTORAL ADMINISTRATORS \| Leader \| Register Of Electors \| Seminars & Short Training \| 05/11/2014 \| 1,430.00 \| 122539 \| \| THE PRUDENTIAL ASSURANCE COMPANY LIMITED \| Other \| General Fund Balance Sheet \| Deductions - Avc \| 27/11/2014 \| 3,299.28 \| 123539 \| \| THE SPORTSWEB.COM \| Health Improvement & Leisure \| The Pavilion \| Gross Pay \| 26/11/2014 \| 310.80 \| 123533 \| \| THE SPORTSWEB.COM \| Health Improvement & Leisure \| The Pavilion \| Gross Pay \| 26/11/2014 \| 543.90 \| 123534 \| \| THE SPORTSWEB.COM \| Health Improvement & Leisure \| The Pavilion \| Gross Pay \| 26/11/2014 \| 424.11 \| 123536 \| \| THE SPORTSWEB.COM \| Health Improvement & Leisure \| The Pavilion \| Gross Pay \| 26/11/2014 \| 647.50 \| 123537 \| \| SUPPLIER NAME \| PORTFOLIO \| COST CENTRE \| EXPENDITURE CLASS \| POST. DATE \| AMOUNT \| REF. \| \|------------------------------\|--------------------------------\|--------------------------------\|--------------------------------\|--------------\|----------\|--------\| \| UNIVERSITY OF DERBY \| Leader \| Staff Training And Development \| Training Costs \| 27/11/2014 \| 1,520.00 \| 122269 \| \| UR PROMOTIONS LIMITED \| Partnerships & Corp. Services \| Lpc - Commissioning \| Lpc Expenditure \| 14/11/2014 \| 290.00 \| 122978 \| \| VENN GROUP LTD \| Finance, Efficiency & Assets \| C.Tax Billing, Coll & Recovery \| Temporary/Casual Staff \| 26/11/2014 \| 919.45 \| 122211 \| \| VENN GROUP LTD \| Finance, Efficiency & Assets \| C.Tax Billing, Coll & Recovery \| Temporary/Casual Staff \| 26/11/2014 \| 919.45 \| 122531 \| \| VENN GROUP LTD \| Finance, Efficiency & Assets \| C.Tax Billing, Coll & Recovery \| Temporary/Casual Staff \| 26/11/2014 \| 869.75 \| 122843 \| \| VENN GROUP LTD \| Finance, Efficiency & Assets \| C.Tax Billing, Coll & Recovery \| Temporary/Casual Staff \| 26/11/2014 \| 888.39 \| 123177 \| \| VENN GROUP LTD \| Finance, Efficiency & Assets \| C.Tax Billing, Coll & Recovery \| Temporary/Casual Staff \| 26/11/2014 \| 882.18 \| 123472 \| \| VMI BLACKBURN LIMITED \| Health Improvement & Leisure \| The Pavilion \| Water&Vending Hire & Purchases \| 20/11/2014 \| 255.96 \| 122556 \| \| WHISTL NORTH LIMITED \| Other \| General Fund Balance Sheet \| Misc - Postage Meter - Tnt \| 12/11/2014 \| 627.53 \| 122826 \| \| WHISTL NORTH LIMITED \| Other \| General Fund Balance Sheet \| Misc - Postage Meter - Tnt \| 19/11/2014 \| 265.04 \| 123246 \| \| WHISTL NORTH LIMITED \| Other \| General Fund Balance Sheet \| Misc - Postage Meter - Tnt \| 19/11/2014 \| 962.29 \| 123247 \| \| WHISTL NORTH LIMITED \| Other \| General Fund Balance Sheet \| Misc - Postage Meter - Tnt \| 25/11/2014 \| 705.21 \| 123549 \| \| WHISTL NORTH LIMITED \| Other \| General Fund Balance Sheet \| Misc - Postage Meter - Tnt \| 25/11/2014 \| 312.48 \| 123550 \| \| WILLIAM FREER LTD \| Finance, Efficiency & Assets \| Council Offices & Land \| Cyc: Gas Boiler Servicing \| 06/11/2014 \| 360.00 \| 122505 \| \| W T CLARKE & SON \| N'Hood & Env. Health Services \| Refuse Coll & Domestic Recyc \| Composting Fees \| 12/11/2014 \| 5,047.17 \| 121266 \| \| W T CLARKE & SON \| N'Hood & Env. Health Services \| Refuse Coll & Domestic Recyc \| Composting Fees \| 12/11/2014 \| 4,298.96 \| 122567 \| \| WYBONE LIMITED \| N'Hood & Env. Health Services \| Grounds Maintenance Service \| Countryside Areas Maintenance \| 26/11/2014 \| 650.00 \| 123592 \| \| YOUNG LEICESTERSHIRE LIMITED \| Partnerships & Corp. Services \| Lpc - Commissioning \| Pay P Expenditure \| 14/11/2014 \| 7,850.00 \| 122999 \| \| YOUNG LEICESTERSHIRE LIMITED \| Partnerships & Corp. Services \| Lpc - Commissioning \| Pay P Expenditure \| 26/11/2014 \| 947.85 \| 123613 \| \| TOTAL: \| 784,273.16 \| \| \| \| \| \|	en
1659-pdf	# And Of The Council Of 29 April 2004 Laying Down Specific Hygiene Rules For On The Hygiene Of Foodstuffs THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION, Having regard to the Treaty establishing the European Community, and in particular Article 152(4)(b) thereof, Having regard to the proposal from the Commission , Having regard to the Opinion of the European Economic and Social Committee †, Having consulted the Committee of the Regions, Acting in accordance with the procedure laid down in Article 251 of the Treaty ‡, Whereas: (1) By Regulation (EC) No /2004 , the European Parliament and the Council laid down general rules for food business operators on the hygiene of foodstuffs. (2) Certain foodstuffs may present specific hazards to human health, requiring the setting of specific hygiene rules. This is particularly the case for food of animal origin, in which microbiological and chemical hazards have frequently been reported. (3) In the context of the common agricultural policy, many Directives have been adopted to establish specific health rules for the production and placing on the market of the products listed in Annex I to the Treaty. These health rules have reduced trade barriers for the products concerned, contributing to the creation of the internal market while ensuring a high level of protection of public health. (4) With regard to public health, these rules contain common principles, in particular in relation to the manufacturers' and competent authorities' responsibilities, structural, operational and hygiene requirements for establishments, procedures for the approval of establishments, requirements for storage and transport and health marks. (5) These principles constitute a common basis for the hygienic production of food of animal origin, permitting the simplification of the existing Directives. (6) It is desirable to achieve further simplification by applying the same rules wherever appropriate to all products of animal origin. (7) The requirement in Regulation (EC) No /2004 ∗ whereby food business operators carrying out any stage of production, processing and distribution of food after primary production and associated operations must put in place, implement and maintain procedures based on hazard analysis and critical control point (HACCP) principles also permits simplification. (8) Taken together, these elements justify a recasting of the specific hygiene rules contained in existing Directives. (9) The principal objectives of the recasting are to secure a high level of consumer protection with regard to food safety, in particular by making food business operators throughout the Community subject to the same rules, and to ensure the proper functioning of the internal market in products of animal origin, thus contributing to the achievement of the objectives of the common agricultural policy. (10) It is necessary to maintain and, where required to ensure consumer protection, to tighten detailed hygiene rules for products of animal origin. (11) Community rules should not apply either to primary production for private domestic use or to the domestic preparation, handling or storage of food for private domestic consumption. Moreover, where small quantities of primary products or of certain types of meat are supplied directly by the food business operator producing them to the final consumer or to a local retail establishment, it is appropriate to protect public health through national law, in particular because of the close relationship between the producer and the consumer. ∗ Official Publications Office is to insert official number of Regulation on the hygiene of foodstuffs (as in recital 1). (12) The requirements of Regulation (EC) No /2004 ∗ are generally sufficient to ensure food safety in establishments carrying out retail activities involving the direct sale or supply of food of animal origin to the final consumer. This Regulation should generally apply to wholesale activities (that is, when a retail establishment carries out operations with a view to supplying food of animal origin to another establishment). Nevertheless, with the exception of the specific temperature requirements laid down in this Regulation, the requirements of Regulation (EC) No /2004 * should suffice for wholesale activities consisting only of storage or transport. (13) Member States should have some discretion to extend or to limit the application of the requirements of this Regulation to retail under national law. However, they may limit their application only if they consider that the requirements of Regulation (EC) No /2004 * are sufficient to achieve food hygiene objectives and when the supply of food of animal origin from a retail establishment to another establishment is a marginal, localised and restricted activity. Such supply should therefore be only a small part of the establishment's business; the establishments supplied should be situated in its immediate vicinity; and the supply should concern only certain types of products or establishments. (14) In accordance with Article 10 of the Treaty, Member States are to take all appropriate measures to ensure that food business operators comply with the obligations laid down in this Regulation. (15) The traceability of food is an essential element in ensuring food safety. In addition to complying with the general rules of Regulation (EC) No 178/2002 , food business operators responsible for establishments that are subject to approval in accordance with this Regulation should ensure that all products of animal origin that they place on the market bear either a health mark or an identification mark. (16) Food imported into the Community is to comply with the general requirements laid down in Regulation (EC) No 178/2002 or to satisfy rules that are equivalent to Community rules. This Regulation defines specific hygiene requirements for food of animal origin imported into the Community. (17) The adoption of this Regulation should not reduce the level of protection provided by the additional guarantees agreed for Finland and Sweden on their accession to the Community and confirmed by Decisions 94/968/EC , 95/50/EC †, 95/160/EC ‡, 95/161/EC §, 95/168/EC , 95/409/EC ††, 95/410/EC ‡‡ and 95/411/EC §§. It should establish a procedure for the granting, for a transitional period, of guarantees to any Member State that has an approved national control programme which, for the food of animal origin concerned, is equivalent to those approved for Finland and Sweden. Regulation (EC) No 2160/2003 of the European Parliament and of the Council of 17 November 2003 on the control of salmonella and other specified food-borne zoonotic agents * provides for a similar procedure in respect of live animals and hatching eggs. (18) It is appropriate for the structural and hygiene requirements laid down in this Regulation to apply to all types of establishments, including small businesses and mobile slaughterhouses. (19) Flexibility is appropriate to enable the continued use of traditional methods at any of the stages of production, processing or distribution of food and in relation to structural requirements for establishments. Flexibility is particularly important for regions that are subject to special geographical constraints, including the outermost regions referred to in Article 299(2) of the Treaty. However, flexibility should not compromise food hygiene objectives. Moreover, since all food produced in accordance with the hygiene rules will normally be in free circulation throughout the Community, the procedure allowing Member States to exercise flexibility should be fully transparent. It should provide, where necessary to resolve disagreements, for discussion within the Standing Committee on the Food Chain and Animal Health established by Regulation (EC) No 178/2002 and for the Commission to coordinate the process and take appropriate measures. (20) The definition of mechanically separated meat (MSM) should be a generic one covering all methods of mechanical separation. Rapid technological developments in this area mean that a flexible definition is appropriate. The technical requirements for MSM should differ, however, depending on a risk assessment of the product resulting from different methods. (21) There are interactions between food business operators, including the animal feed sector, and connections between animal health, animal welfare and public health considerations at all stages of production, processing and distribution. This requires adequate communication between the different stakeholders along the food chain from primary production to retail. (22) In order to ensure proper inspection of hunted wild game placed on the Community market, bodies of hunted animals and their viscera should be presented for official post-mortem inspection at a game-handling establishment. However, to preserve certain hunting traditions without prejudicing food safety, it is appropriate to provide for training for hunters who place wild game on the market for human consumption. This should enable hunters to undertake an initial examination of wild game on the spot. In these circumstances, it is not necessary to require trained hunters to deliver all viscera to the game-handling establishment for post-mortem examination, if they carry out this initial examination and identify no anomalies or hazards. However, Member States should be allowed to establish stricter rules within their territories to take account of specific risks. (23) This Regulation should establish criteria for raw milk pending the adoption of new requirements for its placing on the market. These criteria should be trigger values, implying that, in the event of any overshooting, food business operators are to take corrective action and to notify the competent authority. The criteria should not be maximum figures beyond which raw milk cannot be placed on the market. This implies that, in certain circumstances, raw milk not fully meeting the criteria can safely be used for human consumption, if appropriate measures are taken. As regards raw milk and raw cream intended for direct human consumption, it is appropriate to enable each Member State to maintain or establish appropriate health measures to ensure the achievement of the objectives of this Regulation on its territory. (24) It is appropriate for the criterion for raw milk used to manufacture dairy products to be three times as high as the criterion for raw milk collected from the farm. The criterion for milk used to manufacture processed dairy products is an absolute value, whereas for raw milk collected from the farm it is an average. Compliance with the temperature requirements laid down in this Regulation will not halt all bacterial growth during transport and storage. (25) The present recasting means that the existing hygiene rules can be repealed. Directive 2004/.../EC of the European Parliament and of the Council of ..... repealing certain Directives on food hygiene and health conditions for the production and placing on the market of certain products of animal origin intended for human consumption * achieves this. (26) In addition, the rules of this Regulation on eggs replace those of Council Decision 94/371/EC of 20 June 1994 laying down specific public health conditions for the putting on the market of certain types of eggs †, which the repeal of Annex II to Council Directive 92/118/EEC ‡ renders void. (27) Scientific advice should underpin Community legislation on food hygiene. To this end, the European Food Safety Authority should be consulted whenever necessary. (28) To take account of technical and scientific progress, close and effective cooperation should be ensured between the Commission and the Member States within the Standing Committee on the Food Chain and Animal Health. (29) The requirements of this Regulation should not apply until all parts of the new legislation on food hygiene have entered into force. It is also appropriate to provide for at least 18 months to elapse between entry into force and the application of the new rules, to allow the industries affected time to adapt. (30) The measures necessary for the implementation of this Regulation should be adopted in accordance with Council Decision 1999/468/EC of 28 June 1999 laying down the procedures for the exercise of implementing powers conferred on the Commission , HAVE ADOPTED THIS REGULATION: ## Chapter I General Provisions Article 1 Scope 1. This Regulation lays down specific rules on the hygiene of food of animal origin for food business operators. These rules supplement those laid down by Regulation (EC) No /2004 . They shall apply to unprocessed and processed products of animal origin. 2. Unless expressly indicated to the contrary, this Regulation shall not apply to food containing both products of plant origin and processed products of animal origin. However, processed products of animal origin used to prepare such food shall be obtained and handled in accordance with the requirements of this Regulation. 3. This Regulation shall not apply in relation to: (a) primary production for private domestic use; (b) the domestic preparation, handling or storage of food for private domestic consumption; (c) the direct supply, by the producer, of small quantities of primary products to the final consumer or to local retail establishments directly supplying the final consumer; (d) the direct supply, by the producer, of small quantities of meat from poultry and lagomorphs slaughtered on the farm to the final consumer or to local retail establishments directly supplying such meat to the final consumer as fresh meat; (e) hunters who supply small quantities of wild game or wild game meat directly to the final consumer or to local retail establishments directly supplying the final consumer. 4. Member States shall establish, under national law, rules governing the activities and persons referred to in paragraph 3(c), (d) and (e). Such national rules shall ensure the achievement of the objectives of this Regulation. 5. 5. (a) Unless expressly indicated to the contrary, this Regulation shall not apply to retail. (b) However, this Regulation shall apply to retail when operations are carried out with a view to the supply of food of animal origin to another establishment, unless: (i) the operations consist only of storage or transport, in which case the specific temperature requirements laid down in Annex III shall nevertheless apply; or (ii) the supply of food of animal origin from the retail establishment is to other retail establishments only and, in accordance with national law, is a marginal, localised and restricted activity. (c) Member States may adopt national measures to apply the requirements of this Regulation to retail establishments situated on their territory to which it would not apply pursuant to subparagraphs (a) or (b). 6. This Regulation shall apply without prejudice to: (a) relevant animal and public health rules, including more stringent rules laid down for the prevention, control and eradication of certain transmissible spongiform encephalopathies; (b) animal welfare requirements; and (c) requirements concerning the identification of animals and the traceability of products of animal origin. ## Article 2 Definitions The following definitions shall apply for the purposes of this Regulation: 1) the definitions laid down in Regulation (EC) No 178/2002; 2) the definitions laid down in Regulation (EC) No /2004 ; 3) the definitions laid down in Annex I; and 4) any technical definitions contained in Annexes II and III. ## Food Business Operators' Obligations Article 3 General Obligations 1. Food business operators shall comply with the relevant provisions of Annexes II and III. 2. Food business operators shall not use any substance other than potable water - or, when Regulation (EC) No /2004 or this Regulation permits its use, clean water - to remove surface contamination from products of animal origin, unless use of the substance has been approved in accordance with the procedure referred to in Article 12(2). Food business operators shall also comply with any conditions for use that may be adopted under the same procedure. The use of an approved substance shall not affect the food business operator's duty to comply with the requirements of this Regulation. ## Article 4 Registration And Approval Of Establishments 1. Food business operators shall place products of animal origin manufactured in the Community on the market only if they have been prepared and handled exclusively in establishments: (a) that meet the relevant requirements of Regulation (EC) No /2004 , those of Annexes II and III of this Regulation and other relevant requirements of food law; and (b) that the competent authority has registered or, where required in accordance with paragraph 2, approved. 2. Without prejudice to Article 6(3) of Regulation (EC) No /2004 , establishments handling those products of animal origin for which Annex III to this Regulation lays down requirements shall not operate unless the competent authority has approved them in accordance with paragraph 3 of this Article, with the exception of establishments carrying out only: (a) primary production; (b) transport operations; (c) the storage of products not requiring temperature-controlled storage conditions; or (d) retail operations other than those to which this Regulation applies pursuant to Article 1(5)(b). 3. An establishment subject to approval in accordance with paragraph 2 shall not operate unless the competent authority has, in accordance with Regulation (EC) No /2004 of the European Parliament and of the Council of .......... laying down specific rules for the organisation of official controls on products of animal origin intended for human consumption : (a) granted the establishment approval to operate following an on-site visit; or (b) provided the establishment with conditional approval. 4. Food business operators shall cooperate with the competent authorities in accordance with Regulation (EC) No /2004 . In particular, food business operators shall ensure that an establishment ceases to operate if the competent authority withdraws its approval or, in the case of conditional approval, fails to prolong it or to grant full approval. 5. This Article shall not prevent an establishment from placing food on the market between the date of application of this Regulation and the first subsequent inspection by the competent authority, if the establishment: (a) is subject to approval in accordance with paragraph 2 and placed products of animal origin on the market in accordance with Community legislation immediately prior to the application of this Regulation; or (b) is of a type in respect of which there was no requirement for approval before the application of this Regulation. ## Article 5 Health And Identification Marking 1. Food business operators shall not place on the market a product of animal origin handled in an establishment subject to approval in accordance with Article 4(2) unless it has either: (a) a health mark applied in accordance with Regulation (EC) No /2004 ; or (b) when that Regulation does not provide for the application of a health mark, an identification mark applied in accordance with Annex II, Section I, of this Regulation. 2. Food business operators may apply an identification mark to a product of animal origin only if the product has been manufactured in accordance with this Regulation in establishments meeting the requirements of Article 4. 3. Food business operators may not remove a health mark applied in accordance with Regulation (EC) No /2004 from meat unless they cut or process it or work upon it in another manner. ## Article 6 Products Of Animal Origin From Outside The Community 1. Food business operators importing products of animal origin from third countries shall ensure that importation takes place only if: (a) the third country of dispatch appears on a list, drawn up in accordance with Article 11 of Regulation (EC) No []/2004, of third countries from which imports of that product are permitted; (b) (i) the establishment from which that product was dispatched, and in which it was obtained or prepared, appears on a list, drawn up in accordance with Article 12 of Regulation (EC) No []/2004, of establishments from which imports of that product are permitted, when applicable, (ii) in the case of fresh meat, minced meat, meat preparations, meat products and MSM, the product was manufactured from meat obtained in slaughterhouses and cutting plants appearing on lists drawn up and updated in accordance with Article 12 of Regulation (EC) No []/2004 or in approved Community establishments, and (iii) in the case of live bivalve molluscs, echinoderms, tunicates and marine gastropods, the production area appears on a list drawn up in accordance with Article 13 of that Regulation, when applicable; (c) the product satisfies: (i) the requirements of this Regulation, including the requirements of Article 5 on health and identification marking; (ii) the requirements of Regulation (EC) No []/2004; and (iii) any import conditions laid down in accordance with Community legislation governing import controls for products of animal origin, and (d) the requirements of Article 14 of Regulation (EC) No []/2004 concerning certificates and documents are satisfied, when applicable. 2. By way of derogation from paragraph 1, the importation of fishery products may also take place in accordance with the special provisions laid down in Article 15 of Regulation (EC) No []/2004. 3. Food business operators importing products of animal origin shall ensure that: (a) products are made available for control upon importation in accordance with Directive 97/78/EC ; (b) importation complies with the requirements of Directive 2002/99/EC ; and (c) operations under their control that take place after importation are carried out in accordance with the requirements of Annex III. 4. Food business operators importing food containing both products of plant origin and processed products of animal origin shall ensure that the processed products of animal origin contained in such food satisfy the requirements of paragraphs 1 to 3. They must be able to demonstrate that they have done so (for example, through appropriate documentation or certification, which need not be in the format specified in paragraph 1(d)). ## Chapter Iii Trade Article 7 Documents 1. When required in accordance with Annex II or III, food business operators shall ensure that certificates or other documents accompany consignments of products of animal origin. 2. In accordance with the procedure referred to in Article 12(2): (a) model documents may be established; and (b) provision may be made for the use of electronic documents. ## Article 8 Special Guarantees 1. Food business operators intending to place the following food of animal origin on the market in Sweden or Finland shall comply with the rules set out in paragraph 2 in respect of salmonella: (a) meat from bovine and porcine animals, including minced meat but excluding meat preparations and MSM; (b) meat from poultry of the following species: domestic fowl, turkeys, guinea-fowl, ducks and geese, including minced meat but excluding meat preparations and MSM; and (c) eggs. 2.(a) In the case of meat from bovine and porcine animals and meat from poultry, samples of consignments shall have been taken in the dispatching establishment and been subjected to a microbiological test with negative results in accordance with Community legislation. (b) In the case of eggs, packing centres shall provide a guarantee that consignments originate from flocks that have been subjected to a microbiological test with negative results in accordance with Community legislation. (c) In the case of meat from bovine and porcine animals, the test provided for in subparagraph (a) need not be carried out for consignments intended for an establishment for the purposes of pasteurisation, sterilisation or treatment having a similar effect. In the case of eggs, the test provided for in subparagraph (b) need not be carried out for consignments intended for the manufacture of processed products by a process that guarantees the elimination of salmonella. (d) The tests provided for in subparagraphs (a) and (b) need not be carried out for foodstuffs originating in an establishment that is subject to a control programme recognised, in respect of the food of animal origin concerned and in accordance with the procedure referred to in Article 12(2), as equivalent to that approved for Sweden and Finland. (e) In the case of meat from bovine and porcine animals and meat from poultry, a trade document or certificate conforming to a model laid down by Community legislation shall accompany the food and state that: (i) the checks referred to in subparagraph (a) have been carried out with negative results; or (ii) the meat is intended for one of the purposes referred to in subparagraph (c); or (iii) the meat comes from an establishment covered by subparagraph (d). (f) In the case of eggs, a certificate stating that the tests referred to in subparagraph (b) have been carried out with negative results, or that the eggs are destined to be used in the manner referred to in subparagraph (c), must accompany consignments. 3. In accordance with the procedure referred to in Article 12(2): (a) the requirements of paragraphs 1 and 2 may be updated to take account in particular of changes to Member States' control programmes or the adoption of microbiological criteria in accordance with Regulation (EC) No /2004 ; and (b) the rules laid down in paragraph 2 in respect of any of the foodstuffs referred to in paragraph 1 may be extended, in whole or in part, to any Member State, or any region of a Member State, that has a control programme recognised as equivalent to that approved for Sweden and Finland in respect of the food of animal origin concerned. 4. For the purposes of this Article, "control programme" means a control programme approved in accordance with Regulation (EC) No 2160/2004 . ## Chapter Iv Final Provisions Article 9 Implementing Measures And Transitional Measures Implementing measures and transitional arrangements may be laid down in accordance with the procedure referred to in Article 12(2). ## Article 10 Amendment And Adaptation Of Annexes Ii And Iii 1. Annexes II and III may be adapted or updated in accordance with the procedure referred to in Article 12(2), taking into account: (a) the development of guides to good practice; (b) the experience gained from the implementation of HACCP-based systems pursuant to Article 5 of Regulation (EC) No /2004; (c) the technological developments and their practical consequences and consumer expectations with regard to food composition; (d) scientific advice, particularly new risk assessments; (e) microbiological and temperature criteria for foodstuffs; (f) changes in patterns of consumption. 2. Exemptions from Annex II and III may be granted in accordance with the procedure referred to in Article 12(2), provided that they do not affect the achievement of the objectives of this Regulation. 3. Member States may, without compromising achievement of the objectives of this Regulation, adopt, in accordance with paragraphs 4 to 8, national measures adapting the requirements laid down in Annex III. 4. (a) The national measures referred to in paragraph 3 shall have the aim of: (i) enabling the continued use of traditional methods at any of the stages of production, processing or distribution of food; or (ii) accommodating the needs of food businesses situated in regions that are subject to special geographic constraints. (b) In other cases, they shall apply only to the construction, layout and equipment of establishments. 5. Any Member State wishing to adopt national measures as referred to in paragraph 3 shall notify the Commission and other Member States. Each notification shall: (a) provide a detailed description of the requirements that that Member State considers need to be adapted and the nature of the adaptation sought; (b) describe the foodstuffs and establishments concerned; (c) explain the reasons for the adaptation, including, where relevant, by providing a summary of the hazard analysis carried out and any measures to be taken to ensure that the adaptation will not compromise the objectives of this Regulation; and (d) give any other relevant information. 6. The other Member States shall have three months from the receipt of a notification referred to in paragraph 5 to send written comments to the Commission. In the case of adaptations arising from paragraph 4(b), this period shall, at the request of any Member State, be extended to four months. The Commission may, and when it receives written comments from one or more Member States shall, consult Member States within the committee referred to in Article 12(1). The Commission may decide, in accordance with the procedure referred to in Article 12(2), whether the envisaged measures may be implemented, subject, if necessary, to appropriate amendments. Where appropriate, the Commission may propose general measures in accordance with paragraph 1 or 2 of this Article. 7. A Member State may adopt national measures adapting the requirements of Annex III only: (a) in compliance with a decision adopted in accordance with paragraph 6; (b) if, one month after the expiry of the period referred to in paragraph 6, the Commission has not informed Member States that it has received written comments or that it intends to propose the adoption of a decision in accordance with paragraph 6; or (c) in accordance with paragraph 8. 8. A Member State may, of its own initiative and subject to the general provisions of the Treaty, maintain or establish national rules: (a) prohibiting or restricting the placing on the market within its territory of raw milk or raw cream intended for direct human consumption; or (b) permitting the use, with the authorisation of the competent authority, of raw milk not meeting the criteria laid down in Annex III, Section IX, as regards plate count and somatic cell count of the manufacture of cheeses with an ageing or ripening period of at least 60 days, and dairy products obtained in connection with the manufacture of such cheeses, provided that this does not prejudice the achievement of the objectives of this Regulation. ## Article 11 Specific Decisions Without prejudice to the generality of Article 9 and Article 10(1), implementing measures may be laid down, or amendments to Annex II or III adopted, in accordance with the procedure referred to in Article 12(2): 1) to lay down rules for the transport of meat while it is warm; 2) to specify, in respect of MSM, which calcium content is not significantly higher than that of minced meat; 3) to lay down other treatments that may be applied in a processing establishment to live bivalve molluscs from class B or C production areas that have not been submitted to purification or relaying; 4) to specify recognised testing methods for marine biotoxins; 5) to lay down additional health standards for live bivalve molluscs in cooperation with the relevant Community Reference Laboratory, including: (a) limit values and analysis methods for other marine biotoxins; (b) virus testing procedures and virological standards; and (c) sampling plans and the methods and analytical tolerances to be applied to check compliance with the health standards; 6) to lay down health standards or checks, where there is scientific evidence indicating that they are necessary to protect public health; 7) to extend Annex III, Section VII, Chapter IX, to live bivalve molluscs other than pectinidae; 8) to specify criteria for determining when epidemiological data indicate that a fishing ground does not present a health hazard with regard to the presence of parasites and, consequently, for determining when the competent authority may authorise food business operators not to freeze fishery products in accordance with Annex III, Section VIII, Chapter III, Part D; 9) to lay down freshness criteria and limits with regard to histamine and total volatile nitrogen for fisheries products; 10) to permit the use for the manufacture of certain dairy products of raw milk not meeting the criteria laid down in Annex III, Section IX, as regards its plate count and somatic cell count; 11) without prejudice to Directive 96/23/EC , to fix a maximum permitted value for the combined total of residues of antibiotic substances in raw milk; and 12) to approve equivalent processes for the production of gelatine or collagen. ## Article 12 Committee Procedure 1. The Commission shall be assisted by the Standing Committee on the Food Chain and Animal Health. 2. Where reference is made to this paragraph, Articles 5 and 7 of Decision 1999/468/EC shall apply, having regard to the provisions of Article 8 thereof. The period provided for in Article 5(6) of Decision 1999/468/EC shall be set at three months. 3. The Committee shall adopt its rules of procedure. ## Article 13 Consultation Of The European Food Safety Authority The Commission shall consult the European Food Safety Authority on any matter falling within the scope of this Regulation that could have a significant impact on public health and, in particular, before proposing to extend Annex III, Section III, to other animal species. ## Article 14 Report To The European Parliament And To The Council 1. The Commission shall, not later than ... , submit a report to the European Parliament and the Council reviewing the experience gained from the implementation of this Regulation. 2. The Commission shall, if appropriate, accompany the report with relevant proposals. ## Article 15 This Regulation shall enter into force twenty days after the date of its publication in the Official Journal of the European Union. It shall apply 18 months after the date on which all of the following acts have entered into force: (a) Regulation (EC) No…/2004 *; (b) Regulation (EC) No…/2004 ; and (c) Directive 2004/…/EC *. However, it shall apply no earlier than 1 January 2006. This Regulation shall be binding in its entirety and directly applicable in all Member States. Done at Strsbourg, 29.4.2004. For the European Parliament For the Council The President The President P. COX M. McDOWELL ## Definitions For the purpose of this Regulation: ## 1. Meat 1.1. "Meat" means edible parts of the animals referred to in points 1.2 to 1.8, including blood. 1.2. "Domestic ungulates" means domestic bovine (including Bubalus and Bison species), porcine, ovine and caprine animals, and domestic solipeds. 1.3. "Poultry" means farmed birds, including birds that are not considered as domestic but which are farmed as domestic animals, with the exception of ratites. 1.4. "Lagomorphs" means rabbits, hares and rodents. 1.5. "Wild game" means: - wild ungulates and lagomorphs, as well as other land mammals that are hunted for human consumption and are considered to be wild game under the applicable law in the Member State concerned, including mammals living in enclosed territory under conditions of freedom similar to those of wild game; and - wild birds that are hunted for human consumption. 1.6. "Farmed game" means farmed ratites and farmed land mammals other than those referred to in point 1.2. 1.7. "Small wild game" means wild game birds and lagomorphs living freely in the wild. 1.8. "Large wild game" means wild land mammals living freely in the wild that do not fall within the definition of small wild game. 1.9. "Carcase" means the body of an animal after slaughter and dressing. 1.10. "Fresh meat" means meat that has not undergone any preserving process other than chilling, freezing or quick-freezing, including meat that is vacuum-wrapped or wrapped in a controlled atmosphere. 1.11. "Offal" means fresh meat other than that of the carcase, including viscera and blood. 1.12. "Viscera" means the organs of the thoracic, abdominal and pelvic cavities, as well as the trachea and oesophagus and, in birds, the crop. 1.13. "Minced meat" means boned meat that has been minced into fragments and contains less than 1% salt. 1.14. "Mechanically separated meat" or "MSM" means the product obtained by removing meat from flesh-bearing bones after boning or from poultry carcases, using mechanical means resulting in the loss or modification of the muscle fibre structure. 1.15. "Meat preparations" means fresh meat, including meat that has been reduced to fragments, which has had foodstuffs, seasonings or additives added to it or which has undergone processes insufficient to modify the internal muscle fibre structure of the meat and thus to eliminate the characteristics of fresh meat. 1.16. "Slaughterhouse" means an establishment used for slaughtering and dressing animals, the meat of which is intended for human consumption. 1.17. "Cutting plant" means an establishment used for boning and/or cutting up meat. 1.18. "Game-handling establishment" means any establishment in which game and game meat obtained after hunting are prepared for placing on the market. ## 2. Live Bivalve Molluscs 2.1. "Bivalve molluscs" means filter-feeding lamellibranch molluscs. 2.2. "Marine biotoxins" means poisonous substances accumulated by bivalve molluscs, in particular as a result of feeding on plankton containing toxins. 2.3. "Conditioning" means the storage of live bivalve molluscs coming from class A production areas, purification centres or dispatch centres in tanks or any other installation containing clean seawater, or in natural sites, to remove sand, mud or slime, to preserve or to improve organoleptic qualities and to ensure that they are in a good state of vitality before wrapping or packaging. 2.4. "Gatherer" means any natural or legal person who collects live bivalve molluscs by any means from a harvesting area for the purpose of handling and placing on the market. 2.5. "Production area" means any sea, estuarine or lagoon area, containing either natural beds of bivalve molluscs or sites used for the cultivation of bivalve molluscs, and from which live bivalve molluscs are taken. 2.6. "Relaying area" means any sea, estuarine or lagoon area with boundaries clearly marked and indicated by buoys, posts or any other fixed means, and used exclusively for the natural purification of live bivalve molluscs. 2.7. "Dispatch centre" means any on-shore or off-shore establishment for the reception, conditioning, washing, cleaning, grading, wrapping and packaging of live bivalve molluscs fit for human consumption. 2.8. "Purification centre" means an establishment with tanks fed by clean seawater in which live bivalve molluscs are placed for the time necessary to reduce contamination to make them fit for human consumption. 2.9. "Relaying" means the transfer of live bivalve molluscs to sea, lagoon or estuarine areas for the time necessary to reduce contamination to make them fit for human consumption. This does not include the specific operation of transferring bivalve molluscs to areas more suitable for further growth or fattening. ## 3. Fishery Products 3.1. "Fishery products" means all seawater or freshwater animals (except for live bivalve molluscs, live echinoderms, live tunicates and live marine gastropods, and all mammals, reptiles and frogs) whether wild or farmed and including all edible forms, parts and products of such animals. 3.2. "Factory vessel" means any vessel on board which fishery products undergo one or more of the following operations followed by wrapping or packaging and, if necessary, chilling or freezing: filleting, slicing, skinning, shelling, shucking, mincing or processing. 3.3. "Freezer vessel" means any vessel on board which freezing of fishery products is carried out, where appropriate after preparatory work such as bleeding, heading, gutting and removal of fins and, where necessary, followed by wrapping or packaging. 3.4. "Mechanically separated fishery product" means any product obtained by removing flesh from fishery products using mechanical means resulting in the loss or modification of the flesh structure. 3.5. "Fresh fishery products" means unprocessed fishery products, whether whole or prepared, including products packaged under vacuum or in a modified atmosphere, that have not undergone any treatment to ensure preservation other than chilling. 3.6. "Prepared fishery products" means unprocessed fishery products that have undergone an operation affecting their anatomical wholeness, such as gutting, heading, slicing, filleting, and chopping. ## 4. Milk 4.1. "Raw milk" means milk produced by the secretion of the mammary gland of farmed animals that has not been heated to more than 40ºC or undergone any treatment that has an equivalent effect. 4.2. "Milk production holding" means an establishment where one or more farmed animals are kept to produce milk with a view to placing it on the market as food. ## 5. Eggs 5.1. "Eggs" means eggs in shell - other than broken, incubated or cooked eggs - that are produced by farmed birds and are fit for direct human consumption or for the preparation of egg products. 5.2. "Liquid egg" means unprocessed egg contents after removal of the shell. 5.3. "Cracked eggs" means eggs with damaged shell and intact membranes. 5.4. "Packing centre" means an establishment where eggs are graded by quality and weight. ## 6. Frogs' Legs And Snails 6.1. "Frogs' legs" means the posterior part of the body divided by a transverse cut behind the front limbs, eviscerated and skinned, of the species RNA (family Ranidae). 6.2. "Snails" means terrestrial gastropods of the species Helix pomatia Linné, Helix aspersa Muller, Helix lucorum and species of the family Achatinidae. ## 7. Processed Products 7.1. "Meat products" means processed products resulting from the processing of meat or from the further processing of such processed products, so that the cut surface shows that the product no longer has the characteristics of fresh meat. 7.2. "Dairy products" means processed products resulting from the processing of raw milk or from the further processing of such processed products. 7.3. "Egg products" means processed products resulting from the processing of eggs, or of various components or mixtures of eggs, or from the further processing of such processed products. 7.4. "Processed fishery products" means processed products resulting from the processing of fishery products or from the further processing of such processed products. 7.5. "Rendered animal fat" means fat derived from rendering meat, including bones, and intended for human consumption. 7.6. "Greaves" means the protein-containing residue of rendering, after partial separation of fat and water. 7.7. "Gelatine" means natural, soluble protein, gelling or non-gelling, obtained by the partial hydrolysis of collagen produced from bones, hides and skins, tendons and sinews of animals. 7.8. "Collagen" means the protein-based product derived from animal bones, hides, skins and tendons manufactured in accordance with the relevant requirements of this Regulation. 7.9. "Treated stomachs, bladders and intestines" means stomachs, bladders and intestines that have been submitted to a treatment such as salting, heating or drying after they have been obtained and after cleaning. ## 8. Other Definitions 8.1. "Products of animal origin" means: - food of animal origin, including honey and blood; - live bivalve molluscs, live echinoderms, live tunicates and live marine gastropods intended for human consumption; and - other animals destined to be prepared with a view to being supplied live to the final consumer. 8.2. "Wholesale market" means a food business that includes several separate units which share common installations and sections where foodstuffs are sold to food business operators. _____________ ## Section I: Identification Marking When required in accordance with Article 5 or 6, and subject to the provisions of Annex III, food business operators must ensure that products of animal origin have an identification mark applied in compliance with the following provisions. ## A. Application Of The Identification Mark 1. The identification mark must be applied before the product leaves the establishment. 2. However, a new mark need not be applied to a product unless its packaging and/or wrapping is removed or it is further processed in another establishment, in which case the new mark must indicate the approval number of the establishment where these operations take place. 3. An identification mark is not necessary for eggs in respect of which Regulation (EC) No 1907/90 lays down requirements concerning labelling or marking. 4. Food business operators must, in accordance with Article 18 of Regulation (EC) No 178/2002, have in place systems and procedures to identify food business operators from whom they have received, and to whom they have delivered, products of animal origin. ## B. Form Of The Identification Mark 5. The mark must be legible and indelible, and the characters easily decipherable. It must be clearly displayed for the competent authorities. 6. The mark must indicate the name of the country in which the establishment is located, which may be written out in full or shown as a two-letter code in accordance with the relevant ISO standard. In the case of Member States, however, these codes are AT, BE, DE, DK, ES, FI, FR, GR, IE, IT, LU, NL, PT, SE and UK. Food business operators may continue to use stocks and equipment that they ordered before the entry into force of this Regulation until they are exhausted or require replacement. 7. The mark must indicate the approval number of the establishment. If an establishment manufactures both food to which this Regulation applies and food to which it does not, the food business operator may apply the same identification mark to both types of food. 8. When applied in an establishment located within the Community, the mark must be oval in shape and include the abbreviation CE, EC, EF, EG, EK or EY. ## C. Method Of Marking 9. The mark may, depending on the presentation of different products of animal origin, be applied directly to the product, the wrapping or the packaging, or be printed on a label affixed to the product, the wrapping or the packaging. The mark may also be an irremovable tag made of a resistant material. 10. In the case of packaging containing cut meat or offal, the mark must be applied to a label fixed to the packaging, or printed on the packaging, in such a way that it is destroyed when the packaging is opened. This is not necessary, however, if the process of opening destroys the packaging. When wrapping provides the same protection as packaging, the label may be affixed to the wrapping. 11. For products of animal origin that are placed in transport containers or large packages and are intended for further handling, processing, wrapping or packaging in another establishment, the mark may be applied to the external surface of the container or packaging. 12. In the case of liquid, granulate and powdered products of animal origin carried in bulk, and fishery products carried in bulk, an identification mark is not necessary if accompanying documentation contains the information specified in paragraphs 6, 7 and, where appropriate, 8. 13. When products of animal origin are placed in a package destined for direct supply to the final consumer, it is sufficient to apply the mark to the exterior of that package only. 14. When the mark is applied directly to products of animal origin, the colours used must be authorised in accordance with Community rules on the use of colouring substances in foodstuffs. ## Section Ii: Objectives Of Haccp-Based Procedures 1. Food business operators operating slaughterhouses must ensure that the procedures that they have put in place in accordance with the general requirements of Article 5 of Regulation (EC) No …/2004 ∗ meet the requirements that the hazard analysis shows to be necessary and the specific requirements listed in paragraph 2. 2. The procedures must guarantee that each animal or, where appropriate, each lot of animals accepted onto the slaughterhouse premises: (a) is properly identified; (b) is accompanied by the relevant information from the holding of provenance referred to in Section III; (c) does not come from a holding or an area subject to a movement prohibition or other restriction for reasons of animal or public health, except when the competent authority so permits; (d) is clean; ∗ Official Publications Office is to insert the official number of Regulation on the hygiene of foodstuffs. (e) is healthy, as far as the food business operator can judge; and (f) is in a satisfactory state as regards welfare on arrival at the slaughterhouse. 3. In the event of failure to comply with any of the requirements listed under paragraph 2, the food business operator must notify the official veterinarian and take appropriate measures. ## Section Iii: Food Chain Information Food business operators operating slaughterhouses must, as appropriate, request, receive, check and act upon food chain information as set out in this Section in respect of all animals, other than wild game, sent or intended to be sent to the slaughterhouse. 1. Slaughterhouse operators must not accept animals onto the slaughterhouse premises unless they have requested and been provided with relevant food safety information contained in the records kept at the holding of provenance in accordance with Regulation (EC) No …/2004 ∗. 2. Slaughterhouse operators must be provided with the information no less than 24 hours before the arrival of animals at the slaughterhouse, except in the circumstances mentioned in point 7. 3. The relevant food safety information referred to in point 1 is to cover, in particular: (a) the status of the holding of provenance or the regional animal health status; (b) the animals' health status; ∗ Official Oublications Office is to insert the official number of Regulation on the hygiene of foodstuffs. (c) veterinary medicinal products or other treatments administered to the animals within a relevant period and with a withdrawal period greater than zero, together with their dates of administration and withdrawal periods; (d) the occurrence of diseases that may affect the safety of meat; (e) the results, if they are relevant to the protection of public health, of any analysis carried out on samples taken from the animals or other samples taken to diagnose diseases that may affect the safety of meat, including samples taken in the framework of the monitoring and control of zoonoses and residues; (f) relevant reports about previous ante- and post-mortem inspections of animals from the same holding of provenance including, in particular, reports from the official veterinarian; (g) production data, when this might indicate the presence of disease; and (h) the name and address of the private veterinarian normally attending the holding of provenance. 4. (a) However, it is not necessary for the slaughterhouse operator to be provided with: (i) the information referred to in point 3(a), (b), (f) and (h), if the operator is already aware of this information (for example, through a standing arrangement or a quality assurance scheme); or (ii) the information referred to in point 3(a), (b), (f) and (g), if the producer declares that there is no relevant information to report. (b) The information need not be provided as a verbatim extract from the records of the holding of provenance. It may be provided through electronic data exchange or in the form of a standardised declaration signed by the producer. 5. Food business operators deciding to accept animals onto the slaughterhouse premises after evaluating the relevant food chain information must make it available to the official veterinarian without delay and, except in the circumstances mentioned in point 7, no less than 24 hours before the arrival of the animal or lot. The food business operator must notify the official veterinarian of any information that gives rise to health concerns before ante-mortem inspection of the animal concerned. 6. If any animal arrives at the slaughterhouse without food chain information, the operator must immediately notify the official veterinarian. Slaughter of the animal may not take place until the official veterinarian so permits. 7. If the competent authority so permits, food chain information may accompany the animals to which it relates to the slaughterhouse, rather than arriving at least 24 hours in advance, in the case of: (a) porcine animals, poultry or farmed game that have undergone ante-mortem inspection at the holding of provenance, if a certificate that the veterinarian has signed stating that he or she examined the animals at the holding and found them to be healthy accompanies them; (b) domestic solipeds; (c) animals that have undergone emergency slaughter, if a declaration, that the veterinarian has signed recording the favourable outcome of the ante-mortem inspection accompanies them; and (d) animals that are not delivered directly from the holding of provenance to the slaughterhouse. Slaughterhouse operators must evaluate the relevant information. If they accept the animals for slaughter, they must give the documents mentioned in subparagraphs (a) and (c) to the official veterinarian. Slaughter or dressing of the animals may not take place until the official veterinarian so permits. 8. Food business operators must check passports accompanying domestic solipeds to ensure that the animal is intended for slaughter for human consumption. If they accept the animal for slaughter, they must give the passport to the official veterinarian." __________________ ## Section I: Meat Of Domestic Ungulates Chapter I: Transport Of Live Animals To The Slaughterhouse Food business operators transporting live animals to slaughterhouses must ensure compliance with the following requirements. 1. During collection and transport, animals must be handled carefully without causing unnecessary distress. 2. Animals showing symptoms of disease or originating in herds known to be contaminated with agents of public health importance may only be transported to the slaughterhouse when the competent authority so permits. ## Chapter Ii: Requirements For Slaughterhouses Food business operators must ensure that the construction, layout and equipment of slaughterhouses in which domestic ungulates are slaughtered meet the following requirements. 1. (a) Slaughterhouses must have adequate and hygienic lairage facilities or, climate permitting, waiting pens that are easy to clean and disinfect. These facilities must be equipped for watering the animals and, if necessary, feeding them. The drainage of the wastewater must not compromise food safety. (b) They must also have separate lockable facilities or, climate permitting, pens for sick or suspect animals with separate draining and sited in such a way as to avoid contamination of other animals, unless the competent authority considers that such facilities are unnecessary. (c) The size of the lairage facilities must ensure that the welfare of the animals is respected. Their layout must facilitate ante-mortem inspections, including the identification of the animals or groups of animals. 2. To avoid contaminating meat, they must: (a) have a sufficient number of rooms, appropriate to the operations being carried out; (b) have a separate room for the emptying and cleaning of stomachs and intestines, unless the competent authority authorises the separation in time of these operations within a specific slaughterhouse on a case-by-case basis; (c) ensure separation in space or time of the following operations: (i) stunning and bleeding; (ii) in the case of porcine animals, scalding, depilation, scraping and singeing; (iii) evisceration and further dressing; (iv) handling clean guts and tripe; (v) preparation and cleaning of other offal, particularly the handling of skinned heads if it does not take place at the slaughter line; (vi) packaging offal; and (vii) dispatching meat; (d) have installations that prevent contact between the meat and the floors, walls and fixtures; and (e) have slaughter lines (where operated) that are designed to allow constant progress of the slaughter process and to avoid cross-contamination between the different parts of the slaughter line. Where more than one slaughter line is operated in the same premises, there must be adequate separation of the lines to prevent cross-contamination. 3. They must have facilities for disinfecting tools with hot water supplied at not less than 82ºC, or an alternative system having an equivalent effect. 4. The equipment for washing hands used by the staff engaged in handling exposed meat must have taps designed to prevent the spread of contamination. 5. There must be lockable facilities for the refrigerated storage of detained meat and separate lockable facilities for the storage of meat declared unfit for human consumption. 6. There must be a separate place with appropriate facilities for the cleaning, washing and disinfection of means of transport for livestock. However, slaughterhouses need not have these places and facilities if the competent authority so permits and official authorised places and facilities exist nearby. 7. They must have lockable facilities reserved for the slaughter of sick and suspect animals. This is not essential if this slaughter takes place in other establishments authorised by the competent authority for this purpose, or at the end of the normal slaughter period. 8. If manure or digestive tract content is stored in the slaughterhouse, there must be a special area or place for that purpose. 9. They must have an adequately equipped lockable facility or, where needed, room for the exclusive use of the veterinary service. ## Chapter Iii: Requirements For Cutting Plants Food business operators must ensure that cutting plants handling meat of domestic ungulates: 1) are constructed so as to avoid contamination of meat, in particular by: (a) allowing constant progress of the operations; or (b) ensuring separation between the different production batches; 2) have rooms for the separate storage of packaged and exposed meat, unless stored at different times or in such a way that the packaging material and the manner of storage cannot be a source of contamination for the meat; 3) have cutting rooms equipped to ensure compliance with the requirements laid down in Chapter V; 4) have equipment for washing hands with taps designed to prevent the spread of contamination, for use by staff engaged in handling exposed meat; and 5) have facilities for disinfecting tools with hot water supplied at not less than 82ºC, or an alternative system having an equivalent effect. ## Chapter Iv: Slaughter Hygiene Food business operators operating slaughterhouses in which domestic ungulates are slaughtered must ensure compliance with the following requirements. 1. After arrival in the slaughterhouse, the slaughter of the animals must not be unduly delayed. However, where required for welfare reasons, animals must be given a resting period before slaughter. 2. (a) Meat from animals other than those referred to in subparagraphs (b) and (c) must not be used for human consumption if they die otherwise than by being slaughtered in the slaughterhouse. (b) Only live animals intended for slaughter may be brought into the slaughter premises, with the exception of: (i) animals that have undergone emergency slaughter outside the slaughterhouse in accordance with Chapter VI; (ii) animals slaughtered at the place of production in accordance with Section III; and (iii) wild game, in compliance with Section IV, Chapter II. (c) Meat from animals that undergo slaughter following an accident in a slaughterhouse may be used for human consumption if, on inspection, no serious lesions other than those due to the accident are found. 3. The animals or, where appropriate, each batch of animals sent for slaughter must be identified so that their origin can be traced. 4. Animals must be clean. 5. Slaughterhouse operators must follow the instructions of the veterinarian appointed by the competent authority in accordance with Regulation (EC) No…/2004 ∗ to ensure that ante-mortem inspection of every animal to be slaughtered is carried out under suitable conditions. ∗ Official Publications Office is to insert the official number of Regulation on the organisation of official controls. 6. Animals brought into the slaughter hall must be slaughtered without undue delay. 7. Stunning, bleeding, skinning, evisceration and other dressing must be carried out without undue delay and in a manner that avoids contaminating the meat. In particular: (a) the trachea and oesophagus must remain intact during bleeding, except in the case of slaughter according to a religious custom; (b) during the removal of hides and fleece: (i) contact between the outside of the skin and the carcase must be prevented; and (ii) operators and equipment coming into contact with the outer surface of hides and fleece must not touch the meat; (c) measures must be taken to prevent the spillage of digestive tract content during and after evisceration and to ensure that evisceration is completed as soon as possible after stunning; and (d) removal of the udder must not result in contamination of the carcase with milk or colostrum. 8. Complete skinning of the carcase and other parts of the body intended for human consumption must be carried out, except for porcine animals and the heads and feet of ovine and caprine animals and calves. Heads and feet must be handled so as to avoid contamination of other meat. 9. When not skinned, porcine animals must have their bristles removed immediately. The risk of contamination of the meat with scalding water must be minimised. Only approved additives may be used for this operation. Porcine animals must be thoroughly rinsed afterwards with potable water. 10. The carcases must not contain visible faecal contamination. Any visible contamination must be removed without delay by trimming or alternative means having an equivalent effect. 11. Carcases and offal must not come into contact with floors, walls or work stands. 12. Slaughterhouse operators must follow the instructions of the competent authority to ensure that post-mortem inspection of all slaughtered animals is carried out under suitable conditions in accordance with Regulation (EC) No…/2004 ∗. 13. Until post-mortem inspection is completed, parts of a slaughtered animal subject to such inspection must: (a) remain identifiable as belonging to a given carcase; and ∗ Official Publications Office is to insert the official number of Regulation on the organisation of official controls. (b) come into contact with no other carcase, offal or viscera, including those that have already undergone post-mortem inspection. However, provided that it shows no pathological lesion, the penis may be discarded immediately. 14. Both kidneys must be removed from their fatty covering. In the case of bovine and porcine animals, and solipeds, the peri-renal capsule must also be removed. 15. If the blood or other offal of several animals is collected in the same container before completion of post-mortem inspection, the entire contents must be declared unfit for human consumption if the carcase of one or more of the animals concerned has been declared unfit for human consumption. 16. After post-mortem inspection: (a) the tonsils of bovine animals and solipeds must be removed hygienically; (b) parts unfit for human consumption must be removed as soon as possible from the clean sector of the establishment; (c) meat detained or declared unfit for human consumption and inedible by-products must not come into contact with meat declared fit for human consumption; and (d) viscera or parts of viscera remaining in the carcase, except for the kidneys, must be removed entirely and as soon as possible, unless the competent authority authorises otherwise. 17. After completion of slaughter and post-mortem inspection, the meat must be stored in accordance with the requirements laid down in Chapter VII. 18. When destined for further handling: (a) stomachs must be scalded or cleaned; (b) intestines must be emptied and cleaned; and (c) heads and feet must be skinned or scalded and depilated. 19. Where establishments are approved for the slaughter of different animal species or for the handling of carcases of farmed game and wild game, precautions must be taken to prevent cross-contamination by separation either in time or in space of operations carried out on the different species. Separate facilities for the reception and storage of unskinned carcases of farmed game slaughtered at the farm and for wild game must be available. 20. If the slaughterhouse does not have lockable facilities reserved for the slaughter of sick or suspect animals, the facilities used to slaughter such animals must be cleaned, washed and disinfected under official supervision before the slaughter of other animals is resumed. ## Chapter V: Hygiene During Cutting And Boning Food business operators must ensure that cutting and boning of meat of domestic ungulates takes place in accordance with the following requirements. 1. Carcases of domestic ungulates may be cut into half-carcases or quarters, and half carcases into no more than three wholesale cuts, in slaughterhouses. Further cutting and boning must be carried out in a cutting plant. 2. The work on meat must be organised in such a way as to prevent or minimise contamination. To this end, food business operators must ensure in particular that: (a) meat intended for cutting is brought into the workrooms progressively as needed; (b) during cutting, boning, trimming, slicing, dicing, wrapping and packaging, the meat is maintained at not more than 3ºC for offal and 7ºC for other meat, by means of an ambient temperature of not more than 12ºC or an alternative system having an equivalent effect; and (c) where the premises are approved for the cutting of meat of different animal species, precautions are taken to avoid cross-contamination, where necessary by separation of the operations on the different species in either space or time. 3. However, meat may be boned and cut before it reaches the temperature referred to in point 2(b) in accordance with Chapter VII, point 3. 4. Meat may also be boned and cut prior to reaching the temperature referred to in point 2(b) when the cutting room is on the same site as the slaughter premises. In this case, the meat must be transferred to the cutting room either directly from the slaughter premises or after a waiting period in a chilling or refrigerating room. As soon as it is cut and, where appropriate, packaged, the meat must be chilled to the temperature referred to in point 2(b). ## Chapter Vi: Emergency Slaughter Outside The Slaughterhouse Food business operators must ensure that meat from domestic ungulates that have undergone emergency slaughter outside the slaughterhouse may be used for human consumption only if it complies with all the following requirements. 1. An otherwise healthy animal must have suffered an accident that prevented its transport to the slaughterhouse for welfare reasons. 2. A veterinarian must carry out an ante-mortem inspection of the animal. 3. The slaughtered and bled animal must be transported to the slaughterhouse hygienically and without undue delay. Removal of the stomach and intestines, but no other dressing, may take place on the spot, under the supervision of the veterinarian. Any viscera removed must accompany the slaughtered animal to the slaughterhouse and be identified as belonging to that animal. 4. If more than two hours elapse between slaughter and arrival at the slaughterhouse, the animal must be refrigerated. Where climatic conditions so permit, active chilling is not necessary. 5. A declaration by the food business operator who reared the animal, stating the identity of the animal and indicating any veterinary products or other treatments administered to the animal, dates of administration and withdrawal periods, must accompany the slaughtered animal to the slaughterhouse. 6. A declaration issued by the veterinarian recording the favourable outcome of the ante-mortem inspection, the date and time of, and reason for, emergency slaughter, and the nature of any treatment administered by the veterinarian to the animal, must accompany the slaughtered animal to the slaughterhouse. 7. The slaughtered animal must be fit for human consumption following post-mortem inspection carried out in the slaughterhouse in accordance with Regulation (EC) No…/2004 ∗, including any additional tests required in the case of emergency slaughter. 8. Food business operators must follow any instructions that the official veterinarian may give after post-mortem inspection concerning the use of the meat. 9. Food business operators may not place meat from animals having undergone emergency slaughter on the market unless it bears a special health mark which cannot be confused either with the health mark provided for in Regulation (EC) No…/2004 * or with the identification mark provided for in Annex II, Section I to this Regulation. Such meat may be placed on the market only in the Member State where slaughter takes place and in accordance with national law. ∗ Official Publications Office is to insert the official number of Regulation on the organisation of official controls. Food business operators must ensure that the storage and transport of meat of domestic ungulates takes place in accordance with the following requirements. 1. (a) Unless other specific provisions provide otherwise, post-mortem inspection must be followed immediately by chilling in the slaughterhouse to ensure a temperature throughout the meat of not more than 3ºC for offal and 7ºC for other meat along a chilling curve that ensures a continuous decrease of the temperature. However, meat may be cut and boned during chilling in accordance with Chapter V, point 4. (b) During the chilling operations, there must be adequate ventilation to prevent condensation on the surface of the meat. 2. Meat must attain the temperature specified in point 1 and remain at that temperature during storage. 3. Meat must attain the temperature specified in point 1 before transport, and remain at that temperature during transport. However, transport may also take place if the competent authority so authorises to enable the production of specific products, provided that: (a) such transport takes place in accordance with the requirements that the competent authority specifies in respect of transport from one given establishment to another; and (b) the meat leaves the slaughterhouse, or a cutting room on the same site as the slaughter premises, immediately and transport takes no more than two hours. 4. Meat intended for freezing must be frozen without undue delay, taking into account where necessary a stabilisation period before freezing. 5. Exposed meat must be stored and transported separately from packaged meat, unless stored or transported at different times or in such a way that the packaging material and the manner of storage or transport cannot be a source of contamination for the meat. ## Section Ii: Meat From Poultry And Lagomorphs Chapter I: Transport Of Live Animals To The Slaughterhouse Food business operators transporting live animals to slaughterhouses must ensure compliance with the following requirements. 1. During collection and transport, animals must be handled carefully without causing unnecessary distress. 2. Animals showing symptoms of disease or originating in flocks known to be contaminated with agents of public-health importance may only be transported to the slaughterhouse when permitted by the competent authority. 3. Crates for delivering animals to the slaughterhouse and modules, where used, must be made of non-corrodible material and be easy to clean and disinfect. Immediately after emptying and, if necessary, before re-use, all equipment used for collecting and delivering live animals must be cleaned, washed and disinfected. ## Chapter Ii: Requirements For Slaughterhouses Food business operators must ensure that the construction, layout and equipment of slaughterhouses in which poultry or lagomorphs are slaughtered meet the following requirements. 1. They must have a room or covered space for the reception of the animals and for their inspection before slaughter. 2. To avoid contaminating meat, they must: (a) have a sufficient number of rooms, appropriate to the operations being carried out; (b) have a separate room for evisceration and further dressing, including the addition of seasonings to whole poultry carcases, unless the competent authority authorises separation in time of these operations within a specific slaughterhouse on a case-by-case basis; (c) ensure separation in space or time of the following operations: (i) stunning and bleeding; (ii) plucking or skinning, and any scalding; and (iii) dispatching meat; (d) have installations that prevent contact between the meat and the floors, walls and fixtures; and (e) have slaughter lines (where operated) that are designed to allow a constant progress of the slaughter process and to avoid cross-contamination between the different parts of the slaughter line. Where more than one slaughter line is operated in the same premises, there must be adequate separation of the lines to prevent cross-contamination. 3. They must have facilities for disinfecting tools with hot water supplied at not less than 82ºC, or an alternative system having an equivalent effect. 4. The equipment for washing hands used by the staff engaged in handling exposed meat must have taps designed to prevent the spread of contamination. 5. There must be lockable facilities for the refrigerated storage of detained meat and separate lockable facilities for the storage of meat declared unfit for human consumption. 6. There must be a separate place with appropriate facilities for the cleaning, washing and disinfection of: (a) transport equipment such as crates; and (b) means of transport. These places and facilities are not compulsory for (b) if officially authorised places and facilities exist nearby. 7. They must have an adequately equipped lockable facility or, where needed, room for the exclusive use of the veterinary service. ## Chapter Iii: Requirements For Cutting Plants 1. Food business operators must ensure that cutting plants handling meat from poultry or lagomorphs: (a) are constructed so as to avoid contamination of meat, in particular by: (i) allowing constant progress of the operations; or (ii) ensuring separation between the different production batches; (b) have rooms for the separate storage of packaged and exposed meat, unless stored at different times or in such a way that the packaging material and the manner of storage cannot be a source of contamination for the meat; (c) have cutting rooms equipped to ensure compliance with the requirements laid down in Chapter V; (d) have equipment for washing hands used by staff handling exposed meat with taps designed to prevent the spread of contamination; and (e) have facilities for disinfecting tools with hot water supplied at not less than 82ºC, or an alternative system having an equivalent effect. 2. If the following operations are undertaken in a cutting plant: (a) the evisceration of geese and ducks reared for the production of "foie gras", which have been stunned, bled and plucked on the fattening farm; or (b) the evisceration of delayed eviscerated poultry, food business operators must ensure that separate rooms are available for that purpose. ## Chapter Iv: Slaughter Hygiene Food business operators operating slaughterhouses in which poultry or lagomorphs are slaughtered must ensure compliance with the following requirements. 1. (a) Meat from animals other than those referred to in (b) must not be used for human consumption if they die otherwise than by being slaughtered in the slaughterhouse. (b) Only live animals intended for slaughter may be brought into the slaughter premises, with the exception of: (i) delayed eviscerated poultry, geese and ducks reared for the production of "foie gras" and birds that are not considered as domestic but which are farmed as domestic animals, if slaughtered at the farm in accordance with Chapter VI; (ii) farmed game slaughtered at the place of production in accordance with Section III; and (iii) small wild game in accordance with Section IV, Chapter III. 2. Slaughterhouse operators must follow the instructions of the competent authority to ensure that ante-mortem inspection is carried out under suitable conditions. 3. Where establishments are approved for the slaughter of different animal species or for the handling of farmed ratites and small wild game, precautions must be taken to prevent cross contamination by separation either in time or in space of the operations carried out on the different species. Separate facilities for the reception and storage of carcases of farmed ratites slaughtered at the farm and for small wild game must be available. 4. Animals brought into the slaughter room must be slaughtered without undue delay. 5. Stunning, bleeding, skinning or plucking, evisceration and other dressing must be carried out without undue delay in such a way that contamination of the meat is avoided. In particular, measures must be taken to prevent the spillage of digestive tract contents during evisceration. 6. Slaughterhouse operators must follow the instructions of the competent authority to ensure that the post-mortem inspection is carried out under suitable conditions, and in particular that slaughtered animals can be inspected properly. 7. After post-mortem inspection: (a) parts unfit for human consumption must be removed as soon as possible from the clean sector of the establishment; (b) meat detained or declared unfit for human consumption and inedible by-products must not come into contact with meat declared fit for human consumption; and (c) viscera or parts of viscera remaining in the carcase, except for the kidneys, must be removed entirely, if possible, and as soon as possible, unless otherwise authorised by the competent authority. 8. After inspection and evisceration, slaughtered animals must be cleaned and chilled to not more than 4ºC as soon as possible, unless the meat is cut while warm. 9. When carcases are subjected to an immersion chilling process, account must be taken of the following. (a) Every precaution must be taken to avoid contamination of carcases, taking into account parameters such as carcase weight, water temperature, volume and direction of water flow and chilling time. (b) Equipment must be entirely emptied, cleaned and disinfected whenever this is necessary and at least once a day. 10. Sick or suspect animals, and animals slaughtered in application of disease eradication or control programmes, must not be slaughtered in the establishment except when permitted by the competent authority. In that event, slaughter must be performed under official supervision and steps taken to prevent contamination; the premises must be cleaned and disinfected before being used again. ## Chapter V: Hygiene During And After Cutting And Boning Food business operators must ensure that cutting and boning of meat of poultry and lagomorphs takes place in accordance with the following requirements. 1. The work on meat must be organised in such a way as to prevent or minimise contamination. To this end, food business operators must ensure in particular that: (a) meat intended for cutting is brought into the workrooms progressively as needed; (b) during cutting, boning, trimming, slicing, dicing, wrapping and packaging, the temperature of the meat is maintained at not more than 4ºC by means of an ambient temperature of 12ºC or an alternative system having an equivalent effect; and (c) where the premises are approved for the cutting of meat of different animal species, precautions are taken to avoid cross-contamination, where necessary by separation of the operations on the different species in either space or time. 2. However, meat may be boned and cut prior to reaching the temperature referred to in point 1(b) when the cutting room is on the same site as the slaughter premises, provided that it is transferred to the cutting room either: (a) directly from the slaughter premises; or (b) after a waiting period in a chilling or refrigerating room. 3. As soon as it is cut and, where appropriate, packaged, the meat must be chilled to the temperature referred to in point 1(b). 4. Exposed meat must be stored and transported separately from packaged meat, unless stored or transported at different times or in such a way that the packaging material and the manner of storage or transport cannot be a source of contamination for the meat. ## Chapter Vi: Slaughter On The Farm Food business operators may slaughter poultry referred to in Chapter IV, point 1(b)(i), on the farm only with the authorisation of the competent authority and in compliance with the following requirements. 1. The farm must undergo regular veterinary inspection. 2. The food business operator must inform the competent authority in advance of the date and time of slaughter. 3. The holding must have facilities for concentrating the birds to allow an ante-mortem inspection of the group to be made. 4. The holding must have premises suitable for the hygienic slaughter and further handling of the birds. 5. Animal welfare requirements must be complied with. 6. The slaughtered birds must be accompanied to the slaughterhouse by a declaration by the food business operator who reared the animal indicating any veterinary products or other treatments administered to the animal, dates of administration and withdrawal periods, and the date and time of slaughter. 7. The slaughtered animal must be accompanied to the slaughterhouse by a certificate issued by the official veterinarian or approved veterinarian in accordance with Regulation (EC) No …/2004 ∗. 8. In the case of poultry reared for the production of "foie gras", the uneviscerated birds must be transported immediately and, if necessary, refrigerated to a slaughterhouse or cutting plant. They must be eviscerated within 24 hours of slaughter under the supervision of the competent authority. 9. Delayed eviscerated poultry obtained at the farm of production may be kept for up to 15 days at a temperature of not more than 4ºC. It must then be eviscerated in a slaughterhouse or in a cutting plant located in the same Member State as the farm of production. ∗ Official Publications Office is to insert the official number of Regulation on the organisation of official controls. 1. The provisions of Section I apply to the production and placing on the market of meat from even-toed farmed game mammals (Crevice and Suede), unless the competent authority considers them inappropriate. 2. The provisions of Section II apply to the production and placing on the market of meat from ratites. However, those of Section I apply where the competent authority considers them appropriate. Appropriate facilities must be provided, adapted to the size of the animals. 3. Notwithstanding points 1 and 2, food business operators may slaughter farmed ratites and farmed ungulates referred to in point 1 at the place of origin with the authorisation of the competent authority if: (a) the animals cannot be transported, to avoid any risk for the handler or to protect the welfare of the animals; (b) the herd undergoes regular veterinary inspection; (c) the owner of the animals submits a request; (d) the competent authority is informed in advance of the date and time of slaughter of the animals; (e) the holding has procedures for concentrating the animals to allow an ante-mortem inspection of the group to be made; (f) the holding has facilities suitable for the slaughter, bleeding and, where ratites are to be plucked, plucking of the animals; (g) animal welfare requirements are complied with; (h) slaughtered and bled animals are transported to the slaughterhouse hygienically and without undue delay. If transport takes more than two hours, the animals are, if necessary, refrigerated. Evisceration may take place on the spot, under the supervision of the veterinarian; (i) a declaration by the food business operator who reared the animals, stating their identity and indicating any veterinary products or other treatments administered, dates of administration and withdrawal periods, accompanies the slaughtered animals to the slaughterhouse; and (j) during transport to the approved establishment, a certificate issued and signed by the official veterinarian or approved veterinarian, attesting to a favourable result of the ante-mortem inspection, correct slaughter and bleeding and the date and time of slaughter, accompanies the slaughtered animals. 4. Food business operators may also slaughter bison on the farm in accordance with paragraph 3 in exceptional circumstances. ## Chapter I: Training Of Hunters In Health And Hygiene 1. Persons who hunt wild game with a view to placing it on the market for human consumption must have sufficient knowledge of the pathology of wild game, and of the production and handling of wild game and wild game meat after hunting, to undertake an initial examination of wild game on the spot. 2. It is however enough if at least one person of a hunting team has the knowledge referred to in paragraph 1. References in this Section to a "trained person" are references to that person. 3. The trained person could also be the gamekeeper or the game manager if he or she is part of the hunting team or located in the immediate vicinity of where hunting is taking place. In the latter case, the hunter must present the wild game to the gamekeeper or game manager and inform them of any abnormal behaviour observed before killing. 4. Training must be provided to the satisfaction of the competent authority to enable hunters to become trained persons. It should cover at least the following subjects: (a) the normal anatomy, physiology and behaviour of wild game; (b) abnormal behaviour and pathological changes in wild game due to diseases, environmental contamination or other factors which may affect human health after consumption; (c) the hygiene rules and proper techniques for the handling, transportation, evisceration etc. of wild game animals after killing; and (d) legislation and administrative provisions on the animal and public health and hygiene conditions governing the placing on the market of wild game. 5. The competent authority should encourage hunters' organisations to provide such training. ## Chapter Ii: Handling Of Large Wild Game 1. After killing, large wild game must have their stomachs and intestines removed as soon as possible and, if necessary, be bled. 2. The trained person must carry out an examination of the body, and of any viscera removed, to identify any characteristics that may indicate that the meat presents a health risk. The examination must take place as soon as possible after killing. 3. Meat of large wild game may be placed on the market only if the body is transported to a game-handling establishment as soon as possible after the examination referred to in point 2. The viscera must accompany the body as specified in point 4. The viscera must be identifiable as belonging to a given animal. 4. (a) If no abnormal characteristics are found during the examination referred to in paragraph 2, no abnormal behaviour was observed before killing, and there is no suspicion of environmental contamination, the trained person must attach to the animal body a numbered declaration stating this. This declaration must also indicate the date, time and place of killing. In this case, the head and the viscera need not accompany the body, except in the case of species susceptible to Trichinosis (porcine animals, solipeds and others), whose head (except for tusks) and diaphragm must accompany the body. However, hunters must comply with any additional requirements imposed in the Member State where hunting takes place, in particular to permit the monitoring of certain residues and substances in accordance with Directive 96/23/EC; (b) In other circumstances, the head (except for tusks, antlers and horns) and all the viscera except for the stomach and intestines must accompany the body. The trained person who carried out the examination must inform the competent authority of the abnormal characteristics, abnormal behaviour or suspicion of environmental contamination that prevented him or her from making a declaration in accordance with (a); (c) If no trained person is available to carry out the examination referred to in paragraph 2 in a particular case, the head (except for tusks, antlers and horns) and all the viscera except for the stomach and the intestines must accompany the body. 5. Chilling must begin within a reasonable period of time after killing and achieve a temperature throughout the meat of not more than 7°C. Where climatic conditions so permit, active chilling is not necessary. 6. During transport to the game-handling establishment, heaping must be avoided. 7. Large wild game delivered to a game-handling establishment must be presented to the competent authority for inspection. 8. In addition, unskinned large wild game may be skinned and placed on the market only if: (a) before skinning, it is stored and handled separately from other food and not frozen; and (b) after skinning, it undergoes a final inspection in accordance with Regulation (EC) No …/2004 ∗. 9. The rules laid down in Section I, Chapter V, apply to the cutting and boning of large wild game. ## Chapter Iii: Handling Of Small Wild Game 1. The trained person must carry out an examination to identify any characteristics that may indicate that the meat presents a health risk. The examination must take place as soon as possible after killing. ∗ Official Publications Office is to insert the official number of Regulation on the organisation of official controls. 2. If abnormal characteristics are found during the examination, abnormal behaviour was observed before killing, or environmental contamination is suspected, the trained person must inform the competent authority. 3. Meat of small wild game may be placed on the market only if the body is transported to a game-handling establishment as soon as possible after the examination referred to in point 1. 4. Chilling must begin within a reasonable period of time of killing and achieve a temperature throughout the meat of not more than 4°C. Where climatic conditions so permit, active chilling is not necessary. 5. Evisceration must be carried out, or completed, without undue delay upon arrival at the game-handling establishment, unless the competent authority permits otherwise. 6. Small wild game delivered to a game-handling establishment must be presented to the competent authority for inspection. 7. The rules laid down in Section II, Chapter V, apply to the cutting and boning of small wild game. ## Section V: Minced Meat, Meat Preparations And Mechanically Separated Meat (Msm) Chapter I: Requirements For Production Establishments Food business operators operating establishments producing minced meat, meat preparations or MSM must ensure that they: 1) are constructed so as to avoid contamination of meat and products, in particular by: (a) allowing constant progress of the operations; or (b) ensuring separation between the different production batches; 2) have rooms for the separate storage of packaged and exposed meat and products, unless stored at different times or in such a way that the packaging material and the manner of storage cannot be a source of contamination for the meat or products; 3) have rooms equipped to ensure compliance with the temperature requirements laid down in Chapter III; 4) have equipment for washing hands used by staff handling exposed meat and products with taps designed to prevent the spread of contamination; and 5) have facilities for disinfecting tools with hot water supplied at not less than 82ºC, or an alternative system having an equivalent effect. Food business operators producing minced meat, meat preparations or MSM must ensure that the raw materials used satisfy the following requirements. 1. The raw material used to prepare minced meat must meet the following requirements. (a) It must comply with the requirements for fresh meat; (b) It must derive from skeletal muscle, including adherent fatty tissues; (c) It must not derive from: (i) scrap cuttings and scrap trimmings (other than whole muscle cuttings); (ii) MSM; (iii) meat containing bone fragments or skin; or (iv) meat of the head with the exception of the masseters, the non-muscular part of the linea alba, the region of the carpus and the tarsus, bone scrapings and the muscles of the diaphragm (unless the serosa has been removed). 2. The following raw material may be used to prepare meat preparations: (a) fresh meat; (b) meat meeting the requirements of point 1; and (c) if the meat preparation is clearly not intended to be consumed without first undergoing heat treatment: (i) meat derived from the mincing or fragmentation of meat meeting the requirements of point 1 other than point 1(c)(i); and (ii) MSM meeting the requirements of Chapter III, point 3(d). 3. The raw material used to produce MSM must meet the following requirements. (a) It must comply with the requirements for fresh meat; (b) The following material must not be used to produce MSM: (i) for poultry, the feet, neckskin and head; and (ii) for other animals, the bones of the head, feet, tails, femur, tibia, fibula, humerus, radius and ulna. Food business operators producing minced meat, meat preparations or MSM must ensure compliance with the following requirements. 1. The work on meat must be organised in such a way as to prevent or minimise contamination. To this end, food business operators must ensure in particular that the meat used is: (a) at a temperature of not more than 4ºC for poultry, 3ºC for offal and 7ºC for other meat; and (b) brought into the preparation room progressively as needed. 2. The following requirements apply to the production of minced meat and meat preparations. (a) Unless the competent authority authorises boning immediately before mincing, frozen or deep-frozen meat used for the preparation of minced meat or meat preparations must be boned before freezing. It may be stored only for a limited period. (b) When prepared from chilled meat, minced meat must be prepared: (i) in the case of poultry, within no more than 3 days of their slaughter; (ii) in the case of animal other than poultry, within no more than 6 days of their slaughter; or (iii) within no more than 15 days from the slaughter of the animals in the case of boned, vacuum-packed beef and veal. (c) Immediately after production, minced meat and meat preparations must be wrapped or packaged and be: (i) chilled to an internal temperature of not more than 2ºC for minced meat and 4°C for meat preparations; or (ii) frozen to an internal temperature of not more than -18°C. These temperature conditions must be maintained during storage and transport. 3. The following requirements apply to the production and use of MSM produced using techniques that do not alter the structure of the bones used in the production of MSM and the calcium content of which is not significantly higher than that of minced meat. (a) Raw material for deboning from an on-site slaughterhouse must be no more than 7 days old; otherwise, raw material for deboning must be no more than 5 days old. However, poultry carcases must be no more than 3 days old. (b) Mechanical separation must take place immediately after deboning. (c) If not used immediately after being obtained, MSM must be wrapped or packaged and then chilled to a temperature of not more than 2°C or frozen to an internal temperature of not more than -18°C. These temperature requirements must be maintained during storage and transport. (d) If the food business operator has carried out analyses demonstrating that MSM complies with the microbiological criteria for minced meat adopted in accordance with Regulation (EC) No…/2004 ∗ it may be used in meat preparations that are clearly not intended to be consumed without first undergoing heat treatment and in meat products. (e) MSM not shown to comply with the criteria referred to in (d) may be used only to manufacture heat-treated meat products in establishments approved in accordance with this Regulation. 4. The following requirements apply to the production and use of MSM produced using techniques other than those mentioned in point 3. (a) Raw material for deboning from an on-site slaughterhouse must be no more than 7 days old; otherwise, raw material for deboning must be no more than 5 days old. However, poultry carcases must be no more than 3 days old. (b) If mechanical separation does not take place immediately after deboning the flesh-bearing bones must be stored and transported at a temperature of not more than 2°C or, if frozen, at a temperature of not more than -18°C. (c) Flesh-bearing bones obtained from frozen carcases must not be refrozen. (d) If not used within one hour of being obtained, MSM must be chilled immediately to a temperature of not more than 2°C. (e) If, after chilling, MSM is not processed within 24 hours, it must be frozen within 12 hours of production and reach an internal temperature of not more than -18°C within six hours. (f) Frozen MSM must be wrapped or packaged before storage or transport, must not be stored for more than three months and must be maintained at a temperature of not more than –18ºC during storage and transport. (g) MSM may be used only to manufacture heat-treated meat products in establishments approved in accordance with this Regulation. 5. Minced meat, meat preparations and MSM must not be re-frozen after thawing. ## Chapter Iv: Labelling 1. In addition to the requirements of Directive 2000/13/EC , food business operators must ensure compliance with the requirement of point 2 if, and to the extent that, national rules in the Member State in the territory of which the product is placed on the market so require. 2. Packages intended for supply to the final consumer containing minced meat from poultry or solipeds or meat preparations containing MSM must bear a notice indicating that such products should be cooked before consumption. ## Section Vi: Meat Products 1. Food business operators must ensure that the following items are not used in the preparation of meat products: (a) genital organs of either female or male animals, except testicles; (b) urinary organs, except the kidneys and the bladder; (c) the cartilage of the larynx, the trachea and the extra-lobular bronchi; (d) eyes and eyelids; (e) the external auditory meatus; (f) horn tissue; and (g) in poultry, the head - except the comb and the ears, the wattles and caruncles - the oesophagus, the crop, the intestines and the genital organs. 2. All meat, including minced meat and meat preparations, used to produce meat product must meet the requirements for fresh meat. However, minced meat and meat preparations used to produce meat products need not satisfy other specific requirements of Section V. ## Section Vii: Live Bivalve Molluscs 1. This Section applies to live bivalve molluscs. With the exception of the provisions on purification, it also applies to live echinoderms, tunicates and marine gastropods. 2. Chapters I to VIII apply to animals harvested from production areas that the competent authority has classified in accordance with Regulation (EC) No …/2004 ∗. Chapter IX applies to pectinidae harvested outside those areas. 3. Chapters V, VI, VIII and IX, and paragraph 3 of Chapter VII, apply to retail. 4. The requirements of this Section supplement those laid down in Regulation (EC) No …/2004 ∗∗. (a) In the case of operations that take place before live bivalve molluscs arrive at a dispatch or purification centre, they supplement the requirements of Annex I to that Regulation. (b) In the case of other operations, they supplement the requirements of Annex II to that Regulation. ∗ Official Publications Office is to insert the official number of Regulation on the organisation of official controls. ∗∗ Official Publications Office is to insert the official number of Regulation on the hygiene of foodstuffs. 1. Live bivalve molluscs may not be placed on the market for retail sale otherwise than via a dispatch centre, where an identification mark must be applied in accordance with Chapter VII. 2. Food business operators may accept batches of live bivalve molluscs only if the documentary requirements set out in paragraphs 3 to 7 have been complied with. 3. Whenever a food business operator moves a batch of live bivalve molluscs between establishments, up to and including the arrival of the batch at a dispatch centre or processing establishment, a registration document must accompany the batch. 4. The registration document must be in at least one official language of the Member State in which the receiving establishment is located and contain at least the information specified below. (a) In the case of a batch of live bivalve molluscs sent from a production area, the registration document must contain at least the following information: (i) the gatherer's identity and address; (ii) the date of harvesting; (iii) the location of the production area described in as precise detail as is practicable or by a code number; (iv) the health status of the production area; (v) the shellfish species and quantity; and (vi) the destination of the batch. (b) In the case of a batch of live bivalve molluscs sent from a relaying area, the registration document must contain at least the information referred to in (a) and the following information: (i) the location of the relaying area; and (ii) the duration of relaying. (c) In the case of a batch of live bivalve molluscs sent from a purification centre, the registration document must contain at least the information referred to in (a) and the following information: (i) the address of the purification centre; (ii) the duration of purification; and (iii) the dates on which the batch entered and left the purification centre. 5. Food business operators sending batches of live bivalve molluscs must complete the relevant sections of the registration document so that they are easy to read and cannot be altered. Food business operators receiving batches must date-stamp the document on receipt of the batch or record the date of receipt in another manner. 6. Food business operators must keep a copy of the registration document relating to each batch sent and received for at least twelve months after its dispatch or receipt (or such longer period as the competent authority may specify). 7. However, if: (a) the staff gathering live bivalve molluscs also operate the dispatch centre, purification centre, relaying area or processing establishment receiving the live bivalve molluscs; and (b) a single competent authority supervises all the establishments concerned, registration documents are not necessary if that competent authority so permits. ## A. Requirements For Production Areas 1. Gatherers may only harvest live bivalve molluscs from production areas with fixed locations and boundaries that the competent authority has classified - where appropriate, in cooperation with food business operators - as being of class A, B or C in accordance with Regulation (EC) No …/2004 ∗. 2. Food business operators may place live bivalve molluscs collected from class A production areas on the market for direct human consumption only if they meet the requirements of Chapter V. 3. Food business operators may place live bivalve molluscs collected from class B production areas on the market for human consumption only after treatment in a purification centre or after relaying. 4. Food business operators may place live bivalve molluscs collected from class C production areas on the market for human consumption only after relaying over a long period in accordance with Part C of this Chapter. ∗ Official Publications Office is to insert the official number of Regulation on the organisation of official controls. 5. After purification or relaying, live bivalve molluscs from class B or C production areas must meet all of the requirements of Chapter V. However, live bivalve molluscs from such areas that have not been submitted for purification or relaying may be sent to a processing establishment, where they must undergo treatment to eliminate pathogenic microorganisms (where appropriate, after removal of sand, mud or slime in the same or another establishment). The permitted treatment methods are: (a) sterilisation in hermetically sealed containers; and (b) heat treatments involving: (i) immersion in boiling water for the period required to raise the internal temperature of the mollusc flesh to not less than 90°C and maintenance of this minimum temperature for a period of not less than 90 seconds; (ii) cooking for three to five minutes in an enclosed space where the temperature is between 120 and 160°C and the pressure is between 2 and 5 kg/cm2, followed by shelling and freezing of the flesh to a core temperature of -20°C; and (iii) steaming under pressure in an enclosed space satisfying the requirements relating to cooking time and the internal temperature of the mollusc flesh mentioned under (i). A validated methodology must be used. Procedures based on the HACCP principles must be in place to verify the uniform distribution of heat. 6. Food business operators must not produce live bivalve molluscs in, or harvest them from, areas that the competent authority has not classified, or which are unsuitable for health reasons. Food business operators must take account of any relevant information concerning areas' suitability for production and harvesting, including information obtained from own-checks and the competent authority. They must use this information, particularly information on environmental and weather conditions, to determine the appropriate treatment to apply to harvested batches. ## B. Requirements For Harvesting And Handling Following Harvesting Food business operators harvesting live bivalve molluscs, or handling them immediately after harvesting, must ensure compliance with the following requirements. 1. Harvesting techniques and further handling must not cause additional contamination or excessive damage to the shells or tissues of the live bivalve molluscs or result in changes significantly affecting their suitability for treatment by purification, processing or relaying. Food business operators must in particular: (a) adequately protect live bivalve molluscs from crushing, abrasion or vibration; (b) not expose live bivalve molluscs to extreme temperatures; (c) not re-immerse live bivalve molluscs in water that could cause additional contamination; and (d) if carrying out conditioning in natural sites, use only areas that the competent authority has classified as being of class A. 2. Means of transport must permit adequate drainage, be equipped to ensure the best survival conditions possible and provide efficient protection against contamination. ## C. Requirements For Relaying Live Bivalve Molluscs Food business operators relaying live bivalve molluscs must ensure compliance with the following requirements. 1. Food business operators may use only those areas that the competent authority has approved for relaying live bivalve molluscs. Buoys, poles or other fixed means must clearly identify the boundaries of the sites. There must be a minimum distance between relaying areas, and also between relaying areas and production areas, so as to minimise any risk of the spread of contamination. 2. Conditions for relaying must ensure optimal conditions for purification. In particular, food business operators must: (a) use techniques for handling live bivalve molluscs intended for relaying that permit the resumption of filter-feeding activity after immersion in natural waters; (b) not relay live bivalve molluscs at a density that prevents purification; (c) immerse live bivalve molluscs in seawater at the relaying area for an appropriate period, fixed depending on the water temperature, which period must be of at least two months' duration unless the competent authority agrees to a shorter period on the basis of the food business operator's risk analysis; and (d) ensure sufficient separation of sites within a relaying area to prevent mixing of batches; the "all in, all out" system must be used, so that a new batch cannot be brought in before the whole of the previous batch has been removed. 3. Food business operators managing relaying areas must keep permanent records of the source of live bivalve molluscs, relaying periods, relaying areas used and the subsequent destination of the batch after relaying, for inspection by the competent authority. ## Chapter Iii: Structural Requirements For Dispatch And Purification Centres 1. The location of premises on land must not be subject to flooding by ordinary high tides or run-off from surrounding areas. 2. Tanks and water storage containers must meet the following requirements: (a) Internal surfaces must be smooth, durable, impermeable and easy to clean. (b) They must be constructed so as to allow complete draining of water. (c) Any water intake must be situated in a position that avoids contamination of the water supply. 3. In addition, in purification centres, purification tanks must be suitable for the volume and type of products to be purified. ## A. Requirements For Purification Centres Food business operators purifying live bivalve molluscs must ensure compliance with the following requirements. 1. Before purification commences, live bivalve molluscs must be washed free of mud and accumulated debris using clean water. 2. Operation of the purification system must allow live bivalve molluscs rapidly to resume and to maintain filter-feeding activity, to eliminate sewage contamination, not to become re-contaminated and to be able to remain alive in a suitable condition after purification for wrapping, storage and transport before being placed on the market. 3. The quantity of live bivalve molluscs to be purified must not exceed the capacity of the purification centre. The live bivalve molluscs must be continuously purified for a period sufficient to achieve compliance with allow the health standards of Chapter V and microbiological criteria adopted in accordance with Regulation (EC) No …/2004 ∗. 4. Should a purification tank contain several batches of live bivalve molluscs, they must be of the same species and the length of the treatment must be based on the time required by the batch needing the longest period of purification. foodstuffs. 5. Containers used to hold live bivalve molluscs in purification systems must have a construction that allows clean seawater to flow through. The depth of layers of live bivalve molluscs must not impede the opening of shells during purification. 6. No crustaceans, fish or other marine species may be kept in a purification tank in which live bivalve molluscs are undergoing purification. 7. Every package containing purified live bivalve molluscs sent to a dispatch centre must be provided with a label certifying that all molluscs have been purified. ## B. Requirements For Dispatch Centres Food business operators operating dispatch centres must ensure compliance with the following requirements. 1. Handling of live bivalve molluscs, particularly conditioning, calibration, wrapping and packing, must not cause contamination of the product or affect the viability of the molluscs. 2. Before dispatch, the shells of live bivalve molluscs must be washed thoroughly with clean water. 3. Live bivalve molluscs must come from: (a) a class A production area; (b) a relaying area; (c) a purification centre; or (d) another dispatch centre. 4. The requirements laid down in points 1 and 2 also apply to dispatch centres situated on board vessels. Molluscs handled in such centres must come from a class A production area or a relaying area. ## Chapter V: Health Standards For Live Bivalve Molluscs In addition to ensuring compliance with microbiological criteria adopted in accordance with Regulation (EC) No …/2004 ∗, food business operators must ensure that live bivalve molluscs placed on the market for human consumption meet the standards laid down in this Chapter. 1. They must have organoleptic characteristics associated with freshness and viability, including shells free of dirt, an adequate response to percussion and normal amounts of intravalvular liquid. 2. They must not contain marine biotoxins in total quantities (measured in the whole body or any part edible separately) that exceed the following limits: (a) for Paralytic Shellfish Poison (PSP), 800 micrograms per kilogram; (b) for Amnesic Shellfish Poison (ASP), 20 milligrams of domoic acid per kilogram; (c) for okadaic acid, dinophysistoxins and pectenotoxins together, 160 micrograms of okadaic acid equivalents per kilogram; (d) for yessotoxins, 1 milligram of yessotoxin equivalent per kilogram; and (e) for azaspiracids, 160 micrograms of azaspiracid equivalents per kilogram. ## Chapter Vi: Wrapping And Packaging Of Live Bivalve Molluscs 1. Oysters must be wrapped or packaged with the concave shell downwards. 2. Individual consumer-size packages of live bivalve molluscs must be closed and remain closed after leaving the dispatch centre and until presented for sale to the final consumer. ## Chapter Vii: Identification Marking And Labelling 1. The label, including the identification mark, must be waterproof. 2. In addition to the general requirements for identification marks contained in Annex II, Section I, the following information must be present on the label: (a) the species of bivalve mollusc (common name and scientific name); and (b) the date of packaging, comprising at least the day and the month. By way of derogation from Directive 2000/13/EC, the date of minimum durability may be replaced by the entry "these animals must be alive when sold". 3. The retailer must keep the label attached to the packaging of live bivalve molluscs that are not in individual consumer-size packages for at least 60 days after splitting up the contents. ## Chapter Viii: Other Requirements 1. Food business operators storing and transporting live bivalve molluscs must ensure that they are kept at a temperature that does not adversely affect food safety or their viability. 2. Live bivalve molluscs must not be re-immersed in, or sprayed with, water after they have been packaged for retail sale and left the dispatch centre. ## Chapter Ix: Specific Requirements For Pectinidae Harvested Outside Classified Production Areas Food business operators harvesting pectinidae outside classified production areas or handling such pectinidae must comply with the following requirements. 1. Pectinidae may not be placed on the market unless they are harvested and handled in accordance with Chapter II, Part B, and meet the standards laid down in Chapter V, as proved by a system of own-checks. 2. In addition, where data from official monitoring programmes enable the competent authority to classify fishing grounds - where appropriate, in cooperation with food business operators – the provisions of Chapter II, Part A, apply by analogy to pectinidae. 3. Pectinidae may not be placed on the market for human consumption otherwise than via a fish auction, a dispatch centre or a processing establishment. When they handle pectinidae, food business operators operating such establishments must inform the competent authority and, as regards dispatch centres, comply with the relevant requirements of Chapters III and IV. 4. Food business operators handling pectinidae must comply: (a) with the documentary requirements of Chapter I, points 3 to 7, where applicable. In this case, the registration document must clearly indicate the location of the area where the pectinidae were harvested; or (b) as regards packaged pectinidae, and wrapped pectinidae if the wrapping provides protection equivalent to that of packaging, with the requirements of Chapter VII concerning identification marking and labelling. ## Section Viii: Fishery Products 1. This Section does not apply to bivalve molluscs, echinoderms, tunicates and marine gastropods when placed on the market live. With the exception of Chapters I and II, it applies to such animals when not placed on the market live, in which case they must have been obtained in accordance with Section VII. 2. Chapter III, Parts A, C and D, Chapter IV and Chapter V apply to retail. 3. The requirements of this Section supplement those laid down in Regulation (EC) No …/2004 ∗. (a) In the case of establishments, including vessels, engaged in primary production and associated operations they supplement the requirements of Annex I to that Regulation. (b) In the case of other establishments, including vessels, they supplement the requirements of Annex II to that Regulation. 4. In relation to fishery products: (a) primary production covers the farming, fishing and collection of live fishery products with a view to their being placed on the market; and (b) associated operations cover any of the following operations, if carried out on board fishing vessels: slaughter, bleeding, heading, gutting, removing fins, refrigeration and wrapping; they also include: (1) the transport and storage of fishery products the nature of which has not been substantially altered, including live fishery products, within fish farms on land and, (2) the transport of fishery products the nature of which has not been substantially altered, including live fishery products, from the place of production to the first establishment of destination. Food business operators must ensure that: 1. vessels used to harvest fishery products from their natural environment, or to handle or process them after harvesting, comply with the structural and equipment requirements laid down in Part I; and 2. operations carried out on board vessels take place in accordance with the rules laid down in Part II. ## I. Structural And Equipment Requirements A. Requirements for all vessels 1. Vessels must be designed and constructed so as not to cause contamination of the products with bilge-water, sewage, smoke, fuel, oil, grease or other objectionable substances. 2. Surfaces with which fishery products come into contact must be of suitable corrosion-resistant material that is smooth and easy to clean. Surface coatings must be durable and non-toxic. 3. Equipment and material used for working on fishery products must be made of corrosion-resistant material that is easy to clean and disinfect. 4. When vessels have a water intake for water used with fishery products, it must be situated in a position that avoids contamination of the water supply. B. Requirements for vessels designed and equipped to preserve fresh fishery products for more than twenty-four hours 1. Vessels designed and equipped to preserve fishery products for more than twenty-four hours must be equipped with holds, tanks or containers for the storage of fishery products at the temperatures laid down in Chapter VII. 2. Holds must be separated from the engine compartments and from the crew quarters by partitions which are sufficient to prevent any contamination of the stored fishery products. Holds and containers used for the storage of fishery products must ensure their preservation under satisfactory conditions of hygiene and, where necessary, ensure that melt water does not remain in contact with the products. 3. In vessels equipped for chilling fishery products in cooled clean seawater, tanks must incorporate devices for achieving a uniform temperature throughout the tanks. Such devices must achieve a chilling rate that ensures that the mix of fish and clean seawater reaches not more than 3ºC 6 hours after loading and not more than 0 °C after 16 hours and allow the monitoring and, where necessary, recording of temperatures. ## C. Requirements For Freezer Vessels Freezer vessels must: 1. have freezing equipment with sufficient capacity to lower the temperature rapidly so as to achieve a core temperature of not more than -18ºC; 2. have refrigeration equipment with sufficient capacity to maintain fishery products in the storage holds at not more than -18ºC. Storage holds must be equipped with a temperature-recording device in a place where it can be easily read. The temperature sensor of the reader must be situated in the area where the temperature in the hold is the highest; and 3. meet the requirements for vessels designed and equipped to preserve fishery products for more than 24 hours laid down in Part B, paragraph 2. D. Requirements for factory vessels 1. Factory vessels must have at least: (a) a receiving area reserved for taking fishery products on board, designed to allow each successive catch to be separated. This area must be easy to clean and designed so as to protect the products from the sun or the elements and from any source of contamination; (b) a hygienic system for conveying fishery products from the receiving area to the work area; (c) work areas that are large enough for the hygienic preparation and processing of fishery products, easy to clean and disinfect and designed and arranged in such a way as to prevent any contamination of the products; (d) storage areas for the finished products that are large enough and designed so that they are easy to clean. If a waste-processing unit operates on board, a separate hold must be designated for the storage of such waste; (e) a place for storing packaging materials that is separate from the product preparation and processing areas; (f) special equipment for disposing waste or fishery products that are unfit for human consumption directly into the sea or, where circumstances so require, into a watertight tank reserved for that purpose. If waste is stored and processed on board with a view to its sanitation, separate areas must be allocated for that purpose; (g) a water intake situated in a position that avoids contamination of the water supply; and (h) hand-washing equipment for use by the staff engaged in handling exposed fishery products with taps designed to prevent the spread of contamination. 2. However, factory vessels on board which crustaceans and molluscs are cooked, chilled and wrapped, need not meet the requirements of paragraph 1 if no other form of handling or processing takes place on board such vessels. 3. Factory vessels that freeze fishery products must have equipment meeting the requirements for freezer vessels laid down in Part C, points 1 and 2. ## Ii. Hygiene Requirements 1. When in use, the parts of vessels or containers set aside for the storage of fishery products must be kept clean and maintained in good repair and condition. In particular, they must not be contaminated by fuel or bilge water. 2. As soon as possible after they are taken on board, fishery products must be protected from contamination and from the effects of the sun or any other source of heat. When they are washed, the water used must be either potable water or, where appropriate, clean water. 3. Fishery products must be handled and stored so as to prevent bruising. Handlers may use spiked instruments to move large fish or fish which might injure them, provided that the flesh of the products suffers no damage. 4. Fishery products other than those kept alive must undergo chilling as soon as possible after loading. However, when chilling is not possible, fishery products must be landed as soon as possible. 5. Ice used to chill fishery products must be made from potable water or clean water. 6. Where fish are headed and/or gutted on board, such operations must be carried out hygienically as soon as possible after capture, and the products must be washed immediately and thoroughly with potable water or clean water. In that event, the viscera and parts that may constitute a danger to public health must be removed as soon as possible and kept apart from products intended for human consumption. Livers and roes intended for human consumption must be preserved under ice, at a temperature approaching that of melting ice, or be frozen. 7. Where freezing in brine of whole fish intended for canning is practised, a temperature of not more than -9 °C must be achieved for the product. The brine must not be a source of contamination for the fish. 1. Food business operators responsible for the unloading and landing of fishery products must: (a) ensure that unloading and landing equipment that comes into contact with fishery products is constructed of material that is easy to clean and disinfect and maintained in a good state of repair and cleanliness; and (b) avoid contamination of fishery products during unloading and landing, in particular by: (i) carrying out unloading and landing operations rapidly; (ii) placing fishery products without delay in a protected environment at the temperature specified in Chapter VII; and (iii) not using equipment and practices that cause unnecessary damage to the edible parts of the fishery products. 2. Food business operators responsible for auction and wholesale markets or parts thereof where fishery products are displayed for sale must ensure compliance with the following requirements. (a) (i) There must be lockable facilities for the refrigerated storage of detained fishery products and separate lockable facilities for the storage of fishery products declared unfit for human consumption. (ii) If the competent authority so requires, there must be an adequately equipped lockable facility or, where needed, room for the exclusive use of the competent authority. (b) At the time of display or storage of fishery products: (i) the premises must not be used for other purposes; (ii) vehicles emitting exhaust fumes likely to impair the quality of fishery products must not have access to the premises; (iii) persons having access to the premises must not introduce other animals; and (iv) the premises must be well lit to facilitate official controls. 3. When chilling was not possible on board the vessel, fresh fishery products, other than those kept alive, must undergo chilling as soon as possible after landing and be stored at a temperature approaching that of melting ice. 4. Food business operators must cooperate with relevant competent authorities so as to permit them to carry out official controls in accordance with Regulation (EC) No…/2004 ∗, in particular as regards any notification procedures for the landing of fishery products that the competent authority of the Member State the flag of which the vessel is flying or the competent authority of the Member State where the fishery products are landed might consider necessary. ∗ Official Publications Office is to insert the official number of Regulation on the organisation of official controls. ## Handling Fishery Products Food business operators must ensure compliance with the following requirements, where relevant, in establishments handling fishery products. ## A. Requirements For Fresh Fishery Products 1. Where chilled, unpackaged products are not distributed, dispatched, prepared or processed immediately after reaching an establishment on land, they must be stored under ice in appropriate facilities. Re-icing must be carried out as often as necessary. Packaged fresh fishery products must be chilled to a temperature approaching that of melting ice. 2. Operations such as heading and gutting must be carried out hygienically. Where gutting is possible from a technical and commercial viewpoint, it must be carried out as quickly as possible after the products have been caught or landed. The products must be washed thoroughly with potable water or, on board vessels, clean water immediately after these operations. 3. Operations such as filleting and cutting must be carried out so as to avoid contamination or spoilage of fillets and slices. Fillets and slices must not remain on the worktables beyond the time necessary for their preparation. Fillets and slices must be wrapped and, where necessary, packaged and must be chilled as quickly as possible after their preparation. 4. Containers used for the dispatch or storage of unpackaged prepared fresh fishery products stored under ice must ensure that melt water does not remain in contact with the products. 5. Whole and gutted fresh fishery products may be transported and stored in cooled water on board vessels. They may also continue to be transported in cooled water after landing, and be transported from aquaculture establishments, until they arrive at the first establishment on land carrying out any activity other than transport or sorting. ## B. Requirements For Frozen Products Establishments on land that freeze fishery products must have equipment that satisfies the requirements laid down for freezer vessels in Chapter I, Part I.C, points 1 and 2. ## C. Requirements For Mechanically Separated Fishery Products Food business operators manufacturing mechanically separated fishery products must ensure compliance with the following requirements. 1. The raw materials used must satisfy the following requirements. (a) Only whole fish and bones after filleting may be used to produce mechanically separated fishery products; (b) All raw materials must be free from guts. 2. The manufacturing process must satisfy the following requirements: (a) Mechanical separation must take place without undue delay after filleting; (b) If whole fish are used, they must be gutted and washed beforehand; (c) After production, mechanically separated fishery products must be frozen as quickly as possible or incorporated in a product intended for freezing or a stabilising treatment. ## D. Requirements Concerning Parasites 1. The following fishery products must be frozen at a temperature of not more than -20 °C in all parts of the product for not less than 24 hours; this treatment must be applied to the raw product or the finished product: (a) fishery products to be consumed raw or almost raw; (b) fishery products from the following species, if they are to undergo a cold smoking process in which the internal temperature of the fishery product is not more than 60 °C: (i) herring; (ii) mackerel; (iii) sprat; (iv) (wild) Atlantic and Pacific salmon; and (c) marinated and/or salted fishery products, if the processing is insufficient to destroy nematode larvae. 2. Food business operators need not carry out the treatment required under paragraph 1 if: (a) epidemiological data are available indicating that the fishing grounds of origin do not present a health hazard with regard to the presence of parasites; and (b) the competent authority so authorises. 3. A document from the manufacturer, stating the type of process they have undergone, must accompany fishery products referred to in paragraph 1 when placed on the market, except when supplied to the final consumer. ## Chapter Iv: Requirements For Processed Fishery Products Food business operators cooking crustaceans and molluscs must ensure compliance with the following requirements. 1. Rapid cooling must follow cooking. Water used for this purpose must be potable water or, on board vessels, clean water. If no other method of preservation is used, cooling must continue until a temperature approaching that of melting ice is reached. 2. Shelling or shucking must be carried out hygienically, avoiding contamination of the product. Where such operations are done by hand, workers must pay particular attention to washing their hands. 3. After shelling or shucking, cooked products must be frozen immediately, or be chilled as soon as possible to the temperature laid down in Chapter VII. ## Chapter V: Health Standards For Fishery Products In addition to ensuring compliance with microbiological criteria adopted in accordance with Regulation (EC) No …/2004 ∗, food business operators must ensure, depending on the nature of the product or the species, that fishery products placed on the market for human consumption meet the standards laid down in this Chapter. ## A. Organoleptic Properties Of Fishery Products Food business operators must carry out an organoleptic examination of fishery products. In particular, this examination must ensure that fishery products comply with any freshness criteria. ## B. Histamine Food business operators must ensure that the limits with regard to histamine are not exceeded. ∗ Official Publications Office is to insert the official number of Regulation on the hygiene of foodstuffs. ## C. Total Volatile Nitrogen Unprocessed fishery products must not be placed on the market if chemical tests reveal that the limits with regard to TVB-N or TMA-N have been exceeded. ## D. Parasites Food business operators must ensure that fishery products have been subjected to a visual examination for the purpose of detecting visible parasites before being placed on the market. They must not place fishery products that are obviously contaminated with parasites on the market for human consumption. ## E. Toxins Harmful To Human Health 1. Fishery products derived from poisonous fish of the following families must not be placed on the market: Tetraodontidae, Molidae, Diodontidae and Canthigasteridae. 2. Fishery products containing biotoxins such as ciguatoxin or muscle-paralysing toxins must not be placed on the market. However, fishery products derived from bivalve molluscs, echinoderms, tunicates and marine gastropods may be placed on the market if they have been produced in accordance with Section VII and comply with the standards laid down in Chapter V, point 2, of that Section. ## Chapter Vi: Wrapping And Packaging Of Fishery Products 1. Receptacles in which fresh fishery products are kept under ice must be water-resistant and ensure that melt water does not remain in contact with the products. 2. Frozen blocks prepared on board vessels must be adequately wrapped before landing. 3. When fishery products are wrapped on board fishing vessels, food business operators must ensure that wrapping material: (a) is not a source of contamination; (b) is stored in such a manner that it is not exposed to a risk of contamination; (c) intended for re-use is easy to clean and, where necessary, to disinfect. ## Chapter Vii: Storage Of Fishery Products Food business operators storing fishery products must ensure compliance with the following requirements. 1. Fresh fishery products, thawed unprocessed fishery products, and cooked and chilled products from crustaceans and molluscs, must be maintained at a temperature approaching that of melting ice. 2. Frozen fishery products must be kept at a temperature of not more than -18ºC in all parts of the product; however, whole frozen fish in brine intended for the manufacture of canned food may be kept at a temperature of not more than -9ºC. 3. Fishery products kept alive must be kept at a temperature and in a manner that does not adversely affect food safety or their viability. ## Chapter Viii: Transport Of Fishery Products Food business operators transporting fishery products must ensure compliance with the following requirements. 1. During transport, fishery products must be maintained at the required temperature. In particular: (a) fresh fishery products, thawed unprocessed fishery products, and cooked and chilled products from crustaceans and molluscs, must be maintained at a temperature approaching that of melting ice; (b) frozen fishery products, with the exception of frozen fish in brine intended for the manufacture of canned food, must be maintained during transport at an even temperature of not more than -18ºC in all parts of the product, possibly with short upward fluctuations of not more than 3°C. 2. Food business operators need not comply with point 1(b) when frozen fishery products are transported from a cold store to an approved establishment to be thawed on arrival for the purposes of preparation and/or processing, if the journey is short and the competent authority so permits. 3. If fishery products are kept under ice, melt water must not remain in contact with the products. 4. Fishery products to be placed on the market live must be transported in such a way as not adversely to affect food safety or their viability. ## Section Ix: Raw Milk And Dairy Products Chapter I: Raw Milk - Primary Production Food business operators producing or, as appropriate, collecting raw milk must ensure compliance with the requirements laid down in this Chapter. ## I. Health Requirements For Raw Milk Production 1. Raw milk must come from animals: (a) that do not show any symptoms of infectious diseases communicable to humans through milk; (b) that are in a good general state of health, present no sign of disease that might result in the contamination of milk and, in particular, are not suffering from any infection of the genital tract with discharge, enteritis with diarrhoea and fever, or a recognisable inflammation of the udder; (c) that do not have any udder wound likely to affect the milk; (d) to which no unauthorised substances or products have been administered and that have not undergone illegal treatment within the meaning of Directive 96/23/EC; and (e) in respect of which, where authorised products or substances have been administered, the withdrawal periods prescribed for these products or substances have been observed. 2. (a) In particular, as regards brucellosis, raw milk must come from: (i) cows or buffaloes belonging to a herd which, within the meaning of Directive 64/432/EEC , is free or officially free of brucellosis; (ii) sheep or goats belonging to a holding officially free or free of brucellosis within the meaning of Directive 91/68/EEC †; or (iii) females of other species belonging, for species susceptible to brucellosis, to herds regularly checked for that disease under a control plan that the competent authority has approved. (b) As regards tuberculosis, raw milk must come from: (i) cows or buffaloes belonging to a herd which, within the meaning of Directive 64/432/EEC, is officially free of tuberculosis; or (ii) females of other species belonging, for species susceptible to tuberculosis, to herds regularly checked for this disease under a control plan that the competent authority has approved. (c) If goats are kept together with cows, such goats must be inspected and tested for tuberculosis. 3. However, raw milk from animals that do not meet the requirements of point 2 may be used with the authorisation of the competent authority: (a) in the case of cows or buffaloes that do not show a positive reaction to tests for tuberculosis or brucellosis, nor any symptoms of these diseases, after having undergone a heat treatment such as to show a negative reaction to the phosphatase test; (b) in the case of sheep or goats that do not show a positive reaction to tests for brucellosis, or which have been vaccinated against brucellosis as part of an approved eradication programme, and which do not show any symptom of that disease, either: (i) for the manufacture of cheese with a maturation period of at least two months; or (ii) after having undergone heat treatment such as to show a negative reaction to the phosphatase test; and (c) in the case of females of other species that do not show a positive reaction to tests for tuberculosis or brucellosis, nor any symptoms of these diseases, but belong to a herd where brucellosis or tuberculosis has been detected after the checks referred to in point 2(a)(iii) or 2(b)(ii), if treated to ensure its safety. 4. Raw milk from any animal not complying with the requirements of points 1 to 3 – in particular, any animal showing individually a positive reaction to the prophylactic tests vis-à-vis tuberculosis or brucellosis as laid down in Directive 64/432/EEC and Directive 91/68/EEC - must not be used for human consumption. 5. The isolation of animals that are infected, or suspected of being infected, with any of the diseases referred to in point 1 or 2 must be effective to avoid any adverse effect on other animals' milk. ## Ii. Hygiene On Milk Production Holdings A. Requirements for premises and equipment 1. Milking equipment, and premises where milk is stored, handled or cooled must be located and constructed so as to limit the risk of contamination of milk. 2. Premises for the storage of milk must be protected against vermin, have adequate separation from premises where animals are housed and, where necessary to meet the requirements laid down in Part B, have suitable refrigeration equipment. 3. Surfaces of equipment that are intended to come into contact with milk (utensils, containers, tanks, etc. intended for milking, collection or transport) must be easy to clean and, where necessary, disinfect and be maintained in a sound condition. This requires the use of smooth, washable and non-toxic materials. 4. After use, such surfaces must be cleaned and, where necessary, disinfected. After each journey, or after each series of journeys when the period of time between unloading and the following loading is very short, but in all cases at least once a day, containers and tanks used for the transport of raw milk must be cleaned and disinfected in an appropriate manner before re-use. B. Hygiene during milking, collection and transport 1. Milking must be carried out hygienically, ensuring in particular: (a) that, before milking starts, the teats, udder and adjacent parts are clean; (b) that milk from each animal is checked for organoleptic or physico-chemical abnormalities by the milker or a method achieving similar results and that milk presenting such abnormalities is not used for human consumption; (c) that milk from animals showing clinical signs of udder disease is not used for human consumption otherwise than in accordance with the instructions of a veterinarian; (d) the identification of animals undergoing medical treatment likely to transfer residues to the milk, and that milk obtained from such animals before the end of the prescribed withdrawal period is not used for human consumption; and (e) that teat dips or sprays are used only if the competent authority has approved them and in a manner that does not produce unacceptable residue levels in the milk. 2. Immediately after milking, milk must be held in a clean place designed and equipped to avoid contamination. It must be cooled immediately to not more than 8 °C in the case of daily collection, or not more than 6 °C if collection is not daily. 3. During transport the cold chain must be maintained and, on arrival at the establishment of destination, the temperature of the milk must not be more than 10ºC. 4. Food business operators need not comply with the temperature requirements laid down in points 2 and 3 if the milk meets the criteria provided for in Part III and either: (a) the milk is processed within 2 hours of milking; or (b) a higher temperature is necessary for technological reasons related to the manufacture of certain dairy products and the competent authority so authorises. C. Staff hygiene 1. Persons performing milking and/or handling raw milk must wear suitable clean clothes. 2. Persons performing milking must maintain a high degree of personal cleanliness. Suitable facilities must be available near the place of milking to enable persons performing milking and handling raw milk to wash their hands and arms. ## Iii. Criteria For Raw Milk 1. The following criteria for raw milk apply pending the establishment of standards in the context of more specific legislation on the quality of milk and dairy products. 2. A representative number of samples of raw milk collected from milk production holdings taken by random sampling must be checked for compliance with points 3 and 4. The checks may be carried out by, or on behalf of: (a) the food business operator producing the milk; (b) the food business operator collecting or processing the milk; (c) a group of food business operators; or (d) in the context of a national or regional control scheme. 3. (a) Food business operators must initiate procedures to ensure that raw milk meets the following criteria: (i) for raw cows' milk: \| Plate count at 30 °C (per ml) \| \|----------------------------------\| \| () \| \| \| \| ≤ 400 000 \| \| () \| \| \| \| Somatic cell count (per ml) \| (ii) for raw milk from other species: Plate count at 30 °C (per ml) ≤ 1 500 000 ()** (b) However, if raw milk from species other than cows is intended for the manufacture of products made with raw milk by a process that does not involve any heat treatment, food business operators must take steps to ensure that the raw milk used meets the following criterion. \| Plate count at 30 °C (per ml) \| \|----------------------------------\| \| () \| \| \| \| \| () Rolling geometric average over a two-month period, with at least two samples per month. (*) Rolling geometric average over a three-month period, with at least one sample per month, unless the competent authority specifies another methodology to take account of seasonal variations in production levels. 4. Without prejudice to Directive 96/23/EC, food business operators must initiate procedures to ensure that raw milk is not placed on the market if either: (a) it contains antibiotic residues in a quantity that, in respect of any one of the substances referred to in Annexes I and III to Regulation (EEC) No 2377/90 , exceeds the levels authorised under that Regulation; or (b) the combined total of residues of antibiotic substances exceeds any maximum permitted value. 5. When raw milk fails to comply with point 3 or 4, the food business operator must inform the competent authority and take measures to correct the situation. ## Chapter Ii: Requirements Concerning Dairy Products I. Temperature Requirements 1. Food business operators must ensure that, upon acceptance at a processing establishment, milk is quickly cooled to not more than 6 °C and kept at that temperature until processed. 2. However, food business operators may keep milk at a higher temperature if: (a) processing begins immediately after milking, or within 4 hours of acceptance at the processing establishment; or (b) the competent authority authorises a higher temperature for technological reasons concerning the manufacture of certain dairy products. ## Ii. Requirements For Heat Treatment 1. When raw milk or dairy products undergo heat treatment, food business operators must ensure that this satisfies the requirements of Regulation (EC) No …/2004 ∗, Annex II, Chapter XI. 2. When considering whether to subject raw milk to heat treatment, food business operators must: (a) have regard to the procedures developed in accordance with the HACCP principles pursuant to Regulation (EC) No ..../2004 ∗; and (b) comply with any requirements that the competent authority may impose in this regard when approving establishments or carrying out checks in accordance with Regulation (EC) No …/2004 ∗∗. ∗ Official Publications Office is to insert official number of Regulation on the hygiene of foodstuffs. ∗∗ Official Publications Office is to insert official number of Regulation on the organisation of official controls. ## Iii. Criteria For Raw Cows' Milk 1. Food business operators manufacturing dairy products must initiate procedures to ensure that, immediately before processing: (a) raw cows' milk used to prepare dairy products has a plate count at 30ºC of less than 300 000 per ml; and (b) processed cows' milk used to prepare dairy products has a plate count at 30ºC of less than 100 000 per ml. 2. When milk fails to meet the criteria laid down in paragraph 1, the food business operator must inform the competent authority and take measures to correct the situation. ## Chapter Iii: Wrapping And Packaging Sealing of consumer packages must be carried out immediately after filling in the establishment where the last heat treatment of liquid dairy products takes place, by means of sealing devices that prevent contamination. The sealing system must be designed in such a way that, after opening, the evidence of its opening remains clear and easy to check. ## Chapter Iv: Labelling 1. In addition to the requirements of Directive 2000/13/EC, except in the cases envisaged in Article 13(4) and (5) of that Directive, labelling must clearly show: (a) in the case of raw milk intended for direct human consumption, the words "raw milk"; (b) in the case of products made with raw milk, the manufacturing process for which does not include any heat treatment or any physical or chemical treatment, the words "made with raw milk". 2. The requirements of paragraph 1 apply to products destined for retail trade. The term "labelling" includes any packaging, document, notice, label, ring or collar accompanying or referring to such products. ## Chapter V: Identification Marking By way of derogation from the requirements of Annex II, Section I: 1. rather than indicating the approval number of the establishment, the identification mark may include a reference to where on the wrapping or packaging the approval number of the establishment is indicated; 2. in the case of the reusable bottles, the identification mark may indicate only the initials of the consigning country and the approval number of the establishment. ## Chapter I: Eggs 1. At the producer's premises, and until sale to the consumer, eggs must be kept clean, dry, free of extraneous odour, effectively protected from shocks and out of direct sunshine. 2. Eggs must be stored and transported at a temperature, preferably constant, that is best suited to assure optimal conservation of their hygiene properties. 3. Eggs must be delivered to the consumer within a maximum time limit of 21 days of laying. ## Chapter Ii: Egg Products I. Requirements For Establishments Food business operators must ensure that establishments for the manufacture of egg products are constructed, laid out and equipped so as to ensure separation of the following operations: 1) washing, drying and disinfecting dirty eggs, where carried out; 2) breaking eggs, collecting their contents and removing parts of shells and membranes; and 3) operations other than those referred to in points 1 and 2. ## Ii. Raw Materials For The Manufacture Of Egg Products Food business operators must ensure that raw materials used to manufacture egg products comply with the following requirements. 1. The shells of eggs used in the manufacture of egg products must be fully developed and contain no breaks. However, cracked eggs may be used for the manufacture of egg products if the establishment of production or a packing centre delivers them directly to a processing establishment, where they must be broken as soon as possible. 2. Liquid egg obtained in an establishment approved for that purpose may be used as raw material. Liquid egg must be obtained in accordance with the requirements of points 1, 2, 3, 4 and 7 of Part III. ## Iii. Special Hygiene Requirements For The Manufacture Of Egg Products Food business operators must ensure that all operations are carried out in such a way as to avoid any contamination during production, handling and storage of egg products, in particular by ensuring compliance with the following requirements. 1. Eggs must not be broken unless they are clean and dry. 2. Eggs must be broken in a manner that minimises contamination, in particular by ensuring adequate separation from other operations. Cracked eggs must be processed as soon as possible. 3. Eggs other than those of hens, turkeys or guinea fowl must be handled and processed separately. All equipment must be cleaned and disinfected before processing of hens', turkeys' and guinea fowls' eggs is resumed. 4. Egg contents may not be obtained by the centrifuging or crushing of eggs, nor may centrifuging be used to obtain the remains of egg whites from empty shells for human consumption. 5. After breaking, each particle of the egg product must undergo processing as quickly as possible to eliminate microbiological hazards or to reduce them to an acceptable level. A batch that has been insufficiently processed may immediately undergo processing again in the same establishment, if this processing renders it fit for human consumption. When a batch is found to be unfit for human consumption, it must be denatured so as to ensure that it is not used for human consumption. 6. Processing is not required for egg white intended for the manufacture of dried or crystallised albumin destined subsequently to undergo heat treatment. 7. If processing is not carried out immediately after breaking, liquid egg must be stored either frozen or at a temperature of not more than 4 °C. The storage period before processing at 4 °C must not exceed 48 hours. However, these requirements do not apply to products to be de-sugared, if de-sugaring process is performed as soon as possible. 8. Products that have not been stabilised so as to be kept at room temperature must be cooled to not more than 4 °C. Products for freezing must be frozen immediately after processing. ## Iv. Analytical Specifications 1. The concentration of 3-OH-butyric acid must not exceed 10 mg/kg in the dry matter of the unmodified egg product. 2. The lactic acid content of raw material used to manufacture egg products must not exceed 1 g/kg of dry matter. However, for fermented products, this value must be the one recorded before the fermentation process. 3. The quantity of eggshell remains, egg membranes and any other particles in the processed egg product must not exceed 100 mg/kg of egg product. ## V. Labelling And Identification Marking 1. In addition to the general requirements for identification marking laid down in Annex II, Section I, consignments of egg products, destined not for retail but for use as an ingredient in the manufacture of another product, must have a label giving the temperature at which the egg products must be maintained and the period during which conservation may thus be assured. 2. In the case of liquid eggs, the label referred to in paragraph 1 must also bear the words: "non-pasteurised egg products - to be treated at place of destination" and indicate the date and hour of breaking. ## Section Xi: Frogs' Legs And Snails Food business operators preparing frogs' legs or snails for human consumption must ensure compliance with the following requirements. 1. Frogs and snails must be killed in an establishment constructed, laid out and equipped for that purpose. 2. Establishment in which frogs' legs are prepared must have a room reserved for the storage and washing of live frogs, and for their slaughter and bleeding. This room must be physically separate from the preparation room. 3. Frogs and snails that die otherwise than by being killed in the establishment must not be prepared for human consumption. 4. Frogs and snails must be subjected to an organoleptic examination carried out by sampling. If that examination indicates that they might present a hazard, they must not be used for human consumption. 5. Immediately following preparation, frogs' legs must be washed fully with running potable water and immediately chilled to a temperature approaching that of melting ice, frozen or processed. 6. After killing, snails' hepato-pancreas must, if it might present a hazard, be removed and not be used for human consumption. ## Section Xii: Rendered Animal Fats And Greaves Chapter I: Requirements Applicable To Establishments Collecting Or Processing Raw Materials Food business operators must ensure that establishments collecting or processing raw materials for the production of rendered animal fats and greaves comply with the following requirements. 1. Centres for the collection of raw materials and further transport to processing establishments must be equipped with facilities for the storage of raw materials at a temperature of not more than 7°C. 2. Each processing establishment must have: (a) refrigeration facilities; (b) a dispatch room, unless the establishment dispatches rendered animal fat only in tankers; and (c) if appropriate, suitable equipment for the preparation of products consisting of rendered animal fats mixed with other foodstuffs and/or seasonings. 3. However, the refrigeration facilities required under points 1 and 2(a) are not necessary if the arrangements for the supply of raw materials ensure that they are never stored or transported without active refrigeration otherwise than as provided for in Chapter II, point 1(d). ## Chapter Ii: Hygiene Requirements For The Preparation Of Rendered Animal Fat And Greaves Food business operators preparing rendered animal fats and greaves must ensure compliance with the following requirements. 1. Raw materials must: (a) derive from animals which have been slaughtered in a slaughterhouse, and which have been found fit for human consumption following ante-mortem and post-mortem inspection; (b) consist of adipose tissues or bones, which are reasonably free from blood and impurities; (c) come from establishments registered or approved under Regulation (EC) No …/2003 ∗ or under this Regulation; and (d) be transported, and stored until rendering, in hygienic conditions and at an internal temperature of not more than 7 °C. However, raw materials may be stored and transported without active refrigeration if rendered within 12 hours after the day on which they were obtained. 2. During rendering the use of solvents is prohibited. 3. When the fat for refining meets the standards laid down in point 4, rendered animal fat prepared in accordance with points 1 and 2 may be refined in the same establishment or in another establishment with a view to improving its physico-chemical quality. ∗ Official Publications Office is to insert official number of Regulation on the hygiene of foodstuffs. 4. Rendered animal fat, depending on type, must meet the following standards: \| \| \| \| \| Ruminants \| Porcine animals \| Other animal fat \| \|----------------------\|----------------------------\|----------------------------\|------------\|----------------\|--------------------\|---------------------\| \| \| Edible tallow \| Tallow for \| Edible fat \| Lard and other \| Edible \| For \| \| refining \| fat for refining \| refining \| \| \| \| \| \| \| Premier \| \| \| \| \| \| \| Other \| \| Lard \| \| \| \| \| \| (2) \| \| \| \| \| \| \| \| \| Other \| \| \| \| \| \| \| jus \| \| \| \| \| \| \| \| (1) \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| FFA (m/m% oleic \| 0.75 \| 1.25 \| 3.0 \| 0.75 \| 1.25 \| 2.0 \| \| acid) maximum \| \| \| \| \| \| \| \| Peroxide maximum \| 4 meq/kg 4 meq/kg 6 meq/kg \| 4 meq/kg 4 meq/kg 6 meq/kg \| 4 meq/kg \| 10 meq/kg \| \| \| \| Total insoluble \| Maximum 0.15% \| Maximum 0.5% \| \| \| \| \| \| impurities \| \| \| \| \| \| \| \| Odour, taste, colour \| Normal \| \| \| \| \| \| (1) Rendered animal fat obtained by low-temperature rendering of fresh fat from the heart, caul, kidneys and mesentery of bovine animals, and fat from cutting rooms. (2) Rendered animal fat obtained from the adipose tissues of porcine animals. 5. Greaves intended for human consumption must be stored in accordance with the following temperature requirements. (a) When greaves are rendered at a temperature of not more than 70°C, they must be stored: (i) at a temperature of not more than 7°C for a period not exceeding 24 hours; or (ii) at a temperature of not more than –18°C. (b) When greaves are rendered at a temperature of more than 70°C and have a moisture content of 10% (m/m) or more, they must be stored: (i) at a temperature of not more than 7°C for a period not exceeding 48 hours or a time/temperature ratio giving an equivalent guarantee; or (ii) at a temperature of not more than -18°C. (c) When greaves are rendered at a temperature of more than 70°C and have a moisture content of less than 10% (m/m), there are no specific requirements. ## Section Xiii: Treated Stomachs, Bladders And Intestines Food business operators treating stomachs, bladders and intestines must ensure compliance with the following requirements. 1. Animal intestines, bladders and stomachs may be placed on the market only if: (a) they derive from animals which have been slaughtered in a slaughterhouse, and which have been found fit for human consumption following ante-mortem and post-mortem inspection; (b) they are salted, heated or dried; and (c) after the treatment referred to in (b), effective measures are taken to prevent re-contamination. 2. Treated stomachs, bladders and intestines that cannot be kept at ambient temperature must be stored chilled using facilities intended for that purpose until their dispatch. In particular, products that are not salted or dried must be kept at a temperature of not more than 3°C. ## Section Xiv: Gelatine 1. Food business operators manufacturing gelatine must ensure compliance with the requirements of this Section. 2. For the purpose of this Section, "tanning" means the hardening of hides, using vegetable tanning agents, chromium salts or other substances such as aluminium salts, ferric salts, silicic salts, aldehydes and quinones, or other synthetic hardening agents. ## Chapter I: Requirements For Raw Materials 1. For the production of gelatine intended for use in food, the following raw materials may be used: (a) bones; (b) hides and skins of farmed ruminant animals; (c) pig skins; (d) poultry skin; (e) tendons and sinews; (f) wild game hides and skins; and (g) fish skin and bones. 2. The use of hides and skins is prohibited if they have undergone any tanning process, regardless of whether this process was completed. 3. Raw materials listed in point 1(a) to (e) must derive from animals which have been slaughtered in a slaughterhouse and whose carcases have been found fit for human consumption following ante-mortem and post-mortem inspection or, in the case of hides and skins from wild game, found fit for human consumption. 4. Raw materials must come from establishments registered or approved under Regulation (EC) No …/2004 * or under this Regulation. 5. Collection centres and tanneries may also supply raw material for the production of gelatine intended for human consumption if the competent authority specifically authorises them for this purpose and they fulfil the following requirements. (a) They must have storage rooms with hard floors and smooth walls that are easy to clean and disinfect and, where appropriate, provided with refrigeration facilities. (b) The storage rooms must be kept in a satisfactory state of cleanliness and repair, so that they do not constitute a source of contamination for the raw materials. (c) If raw material not in conformity with this Chapter is stored and/or processed in these premises, it must be segregated from raw material in conformity with this Chapter throughout the period of receipt, storage, processing and dispatch. ## Chapter Ii: Transport And Storage Of Raw Materials 1. In place of the identification mark provided for in Annex II, Section I, a document indicating the establishment of origin and containing the information set out in the Appendix to this Annex must accompany raw materials during transport, when delivered to a collection centre or tannery and when delivered to the gelatine-processing establishment. 2. Raw materials must be transported and stored chilled or frozen unless they are processed within 24 hours after their departure. However, degreased and dried bones or ossein, salted, dried and limed hides, and hides and skins treated with alkali or acid may be transported and stored at ambient temperature. 1. The production process for gelatine must ensure that: (a) all ruminant bone material derived from animals born, reared or slaughtered in countries or regions classified as having a low incidence of BSE in accordance with Community legislation is subjected to a process which ensures that all bone material is finely crushed and degreased with hot water and treated with dilute hydrochloric acid (at minimum concentration of 4% and pH < 1.5) over a period of at least two days, followed by an alkaline treatment of saturated lime solution (pH > 12.5) for a period of at least 20 days with a sterilisation step of 138-140 °C during four seconds or by any approved equivalent process; and (b) other raw material is subjected to a treatment with acid or alkali, followed by one or more rinses. The pH must be adjusted subsequently. Gelatine must be extracted by heating one or several times in succession, followed by purification by means of filtration and sterilisation. 2. If a food business operator manufacturing gelatine complies with the requirements applying to gelatine intended for human consumption in respect of all the gelatine that it produces, it may produce and store gelatine not intended for human consumption in the same establishment. Food business operators must ensure that gelatine complies with the residue limits set out in the following table. \| Residue \| Limit \| \|---------------------------------\|----------\| \| As \| 1 ppm \| \| Pb \| 5 ppm \| \| Cd \| 0.5 ppm \| \| Hg \| 0.15 ppm \| \| Cr \| 10 ppm \| \| Cu \| 30 ppm \| \| Zn \| 50 ppm \| \| SO \| \| \| 2 \| \| \| ( Reith Williams) \| 50 ppm \| \| H \| \| \| 2 \| \| \| O \| \| \| 2 \| \| \| (European Pharmacopoeia 1986 (V \| \| \| 2 \| \| \| O \| \| \| 2 \| \| \| )) \| 10 ppm \| ## Section Xv: Collagen 1. Food business operators manufacturing collagen must ensure compliance with the requirements of this Section. 2. For the purpose of this Section, "tanning" means the hardening of hides, using vegetable tanning agents, chromium salts or other substances such as aluminium salts, ferric salts, silicic salts, aldehydes and quinones, or other synthetic hardening agents. 1. For the production of collagen intended for use in food, the following raw materials may be used: (a) hides and skins of farmed ruminant animals; (b) pig skins and bones; (c) poultry skin and bones; (d) tendons; (e) wild game hides and skins; and (f) fish skin and bones. 2. The use of hides and skins is prohibited if they have undergone any tanning process, regardless of whether this process was completed. 3. Raw materials listed in point 1(a) to (d) must derive from animals which have been slaughtered in a slaughterhouse and whose carcases have been found fit for human consumption following ante-and post-mortem inspection or, in the case of hides and skins from wild game, found fit for human consumption. 4. Raw materials must come from establishments registered or approved under Regulation (EC) No …/2004 * or under this Regulation. 5. Collection centres and tanneries may also supply raw material for the production of collagen intended for human consumption if the competent authority specifically authorises them for this purpose and they fulfil the following requirements. (a) They must have storage rooms with hard floors and smooth walls that are easy to clean and disinfect and, where appropriate, provided with refrigeration facilities. (b) The storage rooms must be kept in a satisfactory state of cleanliness and repair, so that they do not constitute a source of contamination for the raw materials. (c) If raw material not in conformity with this Chapter is stored and/or processed in these premises, it must be segregated from raw material in conformity with this Chapter throughout the period of receipt, storage, processing and dispatch. ## Chapter Ii: Transport And Storage Of Raw Materials 1. In place of the identification mark provided for in Annex II, Section I, a document indicating the establishment of origin and containing the information set out in the Appendix to this Annex must accompany raw materials during transport, when delivered to a collection centre or tannery and when delivered to the collagen-processing establishment. 2. Raw materials must be transported and stored chilled or frozen unless they are processed within 24 hours after their departure. However, degreased and dried bones or ossein, salted, dried and limed hides, and hides and skins treated with alkali or acid may be transported and stored at ambient temperature. ## Chapter Iii: Requirements For The Manufacture Of Collagen 1. Collagen must be produced by a process that ensures that the raw material is subjected to a treatment involving washing, pH adjustment using acid or alkali followed by one or more rinses, filtration and extrusion or by an approved equivalent process. 2. After having been subjected to the process referred to in paragraph 1 above, collagen may undergo a drying process. 3. If a food business operator manufacturing collagen complies with the requirements applying to collagen intended for human consumption in respect of all the collagen that it produces, it may produce and store collagen not intended for human consumption in the same establishment. ## Chapter Iv: Requirements For Finished Products Food business operators must ensure that collagen complies with the residue limits set out in the following table. \| Residue \| Limit \| \|---------------------------------\|----------\| \| As \| 1 ppm \| \| Pb \| 5 ppm \| \| Cd \| 0,5 ppm \| \| Hg \| 0,15 ppm \| \| Cr \| 10 ppm \| \| Cu \| 30 ppm \| \| Zn \| 50 ppm \| \| SO \| \| \| 2 \| \| \| ( Reith Williams) \| 50 ppm \| \| H \| \| \| 2 \| \| \| O \| \| \| 2 \| \| \| (European Pharmacopoeia 1986 (V \| \| \| 2 \| \| \| O \| \| \| 2 \| \| \| )) \| 10 ppm \| ## Chapter V: Labelling Wrapping and packaging containing collagen must bear the words "collagen fit for human consumption" and indicate the date of preparation. ## __________________ ## I. Identification Of Raw Material Type of products: ................................................................................................................................ Date of manufacture: ........................................................................................................................... Type of packaging: .............................................................................................................................. Number of packages: .......................................................................................................................... Guaranteed storage period: .................................................................................................................. Net weight (kg): .................................................................................................................................. ## Ii. Origin Of Raw Material Address(es) and registration number(s) of the approved production establishment(s): .................. ........................................................................................................................................................... ## Iii. Destination Of Raw Material The raw material will be sent: by the following means of transport: ............................................................................................... Name and address of consignor: ...................................................................................................... Name and address of consignee: ......................................................................................................	en
2724-pdf	## OnLondon 2010 Author: John Hollis GLA Intelligence Unit City Hall Queen's Walk More London SE1 2AA London intelligence@london.gov.uk 020 7983 4658 Follow us on Twitter at: http://www. twitter.com/GLAIntelligence This report is available on the London Datastore at: http://data.london.gov.uk/datastore/applications/ focus-london-population-and-migration Contains Ordnance Survey data © Crown copyright and database rights 2010. ISSN 1479-7879 ## PopulationandMigration Introduction London is the United Kingdom's only city region. Its population of 7.75 million is 12.5 per cent of the UK population living on just 0.6 per cent of the land area. The average population density is over 4,900 persons per square kilometre, this is ten times that of the second most densely populated region, the North West. London is second to the South East in terms of the size of its population, which is larger than that of Scotland and Northern Ireland combined (Table 1). Between 2001 and 2009 London's population grew by over 430 thousand, more than any other region, accounting for over 16 per cent of the UK increase. Only the East and East Midlands regions grew more rapidly than London's 5.9 per cent over the eight years (Table 2). ## PopulationandMigration Table 1: Mid-Year Population Estimates, Table 2: Increase In Mid-Year Population 2009 \| \| \| \| Estimates, 2001-2009 \| \|------------------------\|-----------\|--------\|-------------------------------\| \| Number \| % \| Number \| % \| \| South East \| 8,435,700 \| 13.7 \| \| \| London \| 431,200 \| 5.9 \| \| \| London \| 7,753,600 \| 12.5 \| \| \| South East \| 412,300 \| 5.1 \| \| \| North West \| 6,897,900 \| 11.2 \| East \| \| East \| 5,766,600 \| 9.3 \| South West \| \| West Midlands \| 5,431,100 \| 8.8 \| Yorkshire & the Humber \| \| Yorkshire & the Humber \| 5,258,100 \| 8.5 \| East Midlands \| \| South West \| 5,231,200 \| 8.5 \| West Midlands \| \| Scotland \| 5,194,000 \| 8.4 \| Scotland \| \| East Midlands \| 4,451,200 \| 7.2 \| North West \| \| Wales \| 2,999,300 \| 4.9 \| Northern Ireland \| \| North East \| 2,584,300 \| 4.2 \| Wales \| \| Northern Ireland \| 1,788,900 \| 2.9 \| North East \| Source: Office for National Statistics, mid-year estimates. ## Executive Summary > The mid-2009 estimate of London's population showed that there were 7,753,600 residents accounting for 12.5% of total UK population. > Between 2001 and 2009 London's population increased by 431,200 people accounting for over 16% of the UK increase. > Natural change accounted for 510,000 new Londoners over the 2001-2009 period. > Between 2001-2009 London attracted 1,380,000 migrants from Overseas and 1,460,000 from the rest of the UK. Of those leaving London 2,100,000 went to the rest of the UK and only 820,000 went Overseas. > The net inflow from Overseas was 560,000 thousand and the net loss to the rest of the UK was 640,000. > In 2008-09 natural change led to 78,000 more Londoners compared to only 8,000 due to migration. > In 2008 55% of births in London were to women born outside the UK. > Four of the top five inter-regional flows in the UK are to or from ## PopulationandMigration London. > In 2001-02 of all inter-regional flows London only had a net inflow from the North East. In 2008-09 London had net gains from all regions except for East, South East and South West. > The only age group with a net inflow to London from the rest of the UK is the 20-29 age group. > Since 2001 London has seen its share of total immigration to the UK fall from around 37 to 28 per cent. > The number of immigrants coming to the UK from the Twelve EU Accession countries and obtaining a National Insurance Number increased from 11,300 in 2002/03 to 74,400 in 2008/09. In the same time span the number of asylum seekers fell from 37,700 to 8,900. > Between 2011 and 2031 London's population is projected to increase by 13% and reach 8,828,800 people. 4 ## Population Age Structure Since 2001 the growth in London's population has been concentrated in two age ranges; 0-6 and 37-52 (Chart 1). There has been a significant rise in the annual number of births since 2001 that accounts for the increase amongst the very young. The increase in the older range is mainly an artefact of the ageing of the large number of residents aged 29-44 in 2001, many of whom had been part of the large British birth cohorts of the 1960s. There has been a noticeable decline in the number of children aged seven to 16, also reflecting past trends in births and the tendency for families with younger children to move away from London. The young age structure of London with a very noticeable peak of population around the late 20s and early 30s is in marked contrast to the age structure of the UK as a whole. There are relatively few people in the UK at age 32 - reflecting the lowest recent birth numbers recorded in 1977 - yet this is one of the largest cohorts resident in London (Chart 2, p.6). Beyond age 45 London has relatively fewer residents at all ages, particularly so from the late 50s. The average age of a Londoner is 37 compared with 40 for the UK as a whole. There is an even larger difference comparing median ages (that is the age where half the population is older and half younger) with London at 34 and the UK at 39. Half of Londoners are 34 or younger while the equivalent age for the United Kingdom is 39. London's age structure is a legacy of the migration changes that have occurred over the last few decades with young migrants arriving in the capital while more mature workers with families and persons around retirement age leave. The age structure also influences the annual numbers of events and the statistical measures of fertility and mortality. This is discussed in later sections. The mid-2009 populations of the London boroughs are shown with broad age groupings in the Annex (Table 16, p.25). Newham had proportionally nearly twice the child population of Westminster while Havering had more than twice the retirement age population of Tower Hamlets. The main working ages as a whole were distributed more evenly ranging from Havering with just over 60 per cent to Westminster with over 74 per cent. However the age structures within this broad grouping also showed distinct borough characteristics with a younger profile in inner London boroughs. ## Components Of Change Natural change accounted for an increase of 510,000 in London's population over the 2001-2009 period. When separating out the main components of London's recent population increase, in purely numerical terms, it is natural change (births less deaths) that has had the major influence (Chart 3, p.7). Not only has natural change accounted for a 510 thousand increase over the eight years, it has increased its contribution year-on-year from 47 thousand in 2001-02 to 78 thousand in 2008-09. This change is a combination of a 23 thousand (22 per cent) increase in births and a reduction of eight thousand deaths. In recent years London has contributed a substantial share of natural change in the UK. In 2008-09 this was 36 per cent, compared with its 12.5 per cent share of the UK population. London's share has declined in recent years as the numbers of births have increased in all parts of the UK. In the last eight years London's overall net migration has been a loss of over 80 thousand, but this single statistic not only obscures the huge volumes of inflows and outflows but also the balance between migrants within the UK and those to and from Overseas. In this period the average annual inflow to London has been 356 thousand, with 366 thousand persons leaving. This means that on average 4.7 per cent of London's residents lived elsewhere a year earlier. Between 2001 and 2009 London attracted 1.38 million migrants from Overseas and 1.46 million from the rest of the UK. Of those leaving London 2.10 million went to the rest of the UK and only 820 thousand went Overseas. The net inflow from Overseas was 560 thousand and the net loss to the rest of the UK was 640 thousand. In the last two years the inflow from Overseas has fallen to the lowest levels in the decade while the, more volatile, outflow has increased. In 2008-09 the net international inflow was less than half of its level in 2001-02. The net loss from London to the rest of the UK was also at a recent low level in 2008-09 as a result of a sharp drop in the outflow from London and the inflow reaching record levels. The annual net loss is at less than a third of its level in 2002-04 and is less than half of the level in 2007-08. The recent changes in migration flows are discussed in more detail on page 10. All boroughs had more births than deaths in 2008- 09 and in the majority natural change had an higher absolute impact on overall population change than net migration (Table 3, p.8). The eight exceptions include only two - Kensington & Chelsea and Newham - where a net migration loss exceeded the natural increase. As would be expected from the migration flows for London, the majority of boroughs - 18 - gain population from international flows and lose through internal flows. However eight boroughs gain from both internal and international flows while three - Kensington & Chelsea, Lambeth and Southwark - have been estimated to have lost to both. Overall only two boroughs are estimated to have lost population in 2008-09 - Kensington & Chelsea and Newham. Since 2001 the populations of all boroughs have been estimated to have increased except for Brent and Newham. In 2008-09 natural change had an overall higher impact on London's population than migration. \| \| Natural Change \| Migration \| \|------------------------\|------------------\|-------------\| \| Internal (UK) \| International \| Total \| \| Total \| Population \| \| \| Population \| \| \| \| In \| Out \| Net \| \| mid-2008 \| mid-2009 \| \| \| Births Deaths \| Net \| \| \| Change \| \| \| \| City of London \| \| \| \| 11.3 \| 0.1 \| 0.0 \| \| Barking and Dagenham \| \| \| \| 171.5 \| 3.7 \| 1.4 \| \| Barnet \| \| \| \| 338.1 \| 5.2 \| 2.4 \| \| Bexley \| \| \| \| 225.0 \| 2.9 \| 2.0 \| \| Brent \| \| \| \| 254.5 \| 5.0 \| 1.6 \| \| Bromley \| \| \| \| 308.0 \| 4.0 \| 2.6 \| \| Camden \| \| \| \| 226.5 \| 3.1 \| 1.1 \| \| Croydon \| \| \| \| 341.2 \| 5.2 \| 2.5 \| \| Ealing \| \| \| \| 312.1 \| 5.5 \| 1.9 \| \| Enfield \| \| \| \| 289.0 \| 4.9 \| 2.1 \| \| Greenwich \| \| \| \| 223.7 \| 4.4 \| 1.7 \| \| Hackney \| \| \| \| 212.8 \| 4.4 \| 1.1 \| \| Hammersmith and Fulham \| \| \| \| 168.6 \| 2.7 \| 0.9 \| \| Haringey \| \| \| \| 225.3 \| 4.2 \| 1.1 \| \| Harrow \| \| \| \| 225.4 \| 3.3 \| 1.4 \| \| Havering \| \| \| \| 232.3 \| 2.7 \| 2.2 \| \| Hillingdon \| \| \| \| 258.1 \| 4.1 \| 1.9 \| \| Hounslow \| \| \| \| 230.2 \| 4.2 \| 1.4 \| \| Islington \| \| \| \| 188.5 \| 2.9 \| 1.1 \| \| Kensington and Chelsea \| \| \| \| 171.1 \| 2.2 \| 0.8 \| \| Kingston upon Thames \| \| \| \| 164.6 \| 2.3 \| 1.0 \| \| Lambeth \| \| \| \| 281.4 \| 4.8 \| 1.6 \| \| Lewisham \| \| \| \| 262.0 \| 4.8 \| 1.7 \| \| Merton \| \| \| \| 202.8 \| 3.4 \| 1.2 \| \| Newham \| \| \| \| 242.4 \| 5.9 \| 1.4 \| \| Redbridge \| \| \| \| 263.8 \| 4.1 \| 1.8 \| \| Richmond upon Thames \| \| \| \| 187.2 \| 2.8 \| 1.1 \| \| Southwark \| \| \| \| 283.0 \| 5.0 \| 1.5 \| \| Sutton \| \| \| \| 189.5 \| 2.7 \| 1.4 \| \| Tower Hamlets \| \| \| \| 226.8 \| 4.2 \| 1.1 \| \| Waltham Forest \| \| \| \| 221.4 \| 4.5 \| 1.5 \| \| Wandsworth \| \| \| \| 283.7 \| 5.3 \| 1.6 \| \| Westminster \| \| \| \| 246.6 \| 2.9 \| 1.1 \| \| London \| \| \| \| 7,668.3 \| 127.7 \| 49.3 \| ## Fertility And Mortality As discussed above natural change is the biggest driver of London's total population change, and it plays a significant part in UK population growth. Looking first at fertility, in 2008-09 London contributed 16.2 per cent of all UK births, however its recent fertility profile is little different to that of the UK (Table 4). The simplest reference measure for fertility is the crude birth rate - births per thousand resident population. By this measure fertility in London was much higher than in the UK (16.7 compared with 12.9 in 2008). A more subtle measure is the general fertility rate (GFR) - births per thousand resident women aged 15-44. Even here London is ahead of the UK at 69 compared to 63. However, it is age–specific fertility rates (ASFR) and the total fertility rate (TFR - the estimated lifetime births per woman based on current age-specific rates) that reveal the underlying differences between London and the UK. London exhibits age-specific fertility rates a little lower than the UK at ages below 35 but much higher rates for older women, however the total fertility rates of the two areas are extremely close (1.95 for London and 1.96 for the UK). ## Table 4: Fertility Measures, United Kingdom And London, 1991 And 2008 \| \| \| 1991 \| 2008 \| \|----------------------\|--------\|--------\|--------\| \| UK \| London \| UK \| London \| \| <20 \| 33 \| 29 \| 26 \| \| 20-24 \| 89 \| 69 \| 74 \| \| 25-29 \| 120 \| 97 \| 108 \| \| 30-34 \| 87 \| 96 \| 113 \| \| 35-39 \| 32 \| 47 \| 58 \| \| 40+ \| 5 \| 10 \| 12 \| \| 64 \| 64 \| 63 \| 69 \| \| Fertility Rate \| \| \| \| \| 1 \| \| \| \| \| Total Fertility Rate \| \| \| \| \| 2 \| \| \| \| \| 1.82 \| 1.72 \| 1.96 \| 1.95 \| \| Crude Birth Rate \| \| \| \| \| 3 \| \| \| \| \| 13.8 \| 15.5 \| 12.9 \| 16.7 \| \| Total Births (000s) \| 792.3 \| 105.8 \| 794.4 \| 1 Births per thousand resident women aged 15-44. 2 Estimated lifetime births per woman based on current age-specific rates. 3 Births per thousand resident population. The total number of births in London reflects not just the high proportion of women aged 15-44, but also the Age-specific fertility rates in London are lower than the UK at ages below 35 but much greater for women above that age. distribution of those women in the ages of the highest fertility, the late 20s and early 30s. It is interesting to compare fertility measures for 1991 with 2008 as there were almost the same numbers of births, just over 790 thousand, in the UK in each year. However in London births rose from 106 thousand to 128 thousand. Both the crude birth rates and general fertility rates are higher in London, but in London the rates have risen while in the UK they have fallen. The age-specific fertility rates show a consistent change with the highest rates being at 30-34, rather than 25-29, increases at the older age groups and declines amongst the younger. At the ages where fertility declined, the UK rates fell more rapidly than London, while at ages where fertility has increased the UK rates rose faster than London. In London the greatest contribution to fertility is now being made by women aged over 30, but in the UK as a whole the greatest contribution is still being made by those below 30. The summation of these measures is the TFR. In London it has increased from 1.72 to 1.95, while in the UK the rise has been less rapid from 1.82 to 1.96. These apparent paradoxes in the fertility measures reflect the separate changes in the age structures of London and the UK - London has become more extreme with the proportion of women aged 15-44, and especially 25-34, increasing compared with relative declines in the UK. A major contributor to the increased numbers of young women in London is international migration. This is reflected in the birth statistics for 2008 (Chart 4, p.10) when nearly 55 per cent of births in London were to women born outside the UK. On this measure London was the highest region and the only one to have more than the England & Wales average of 24 per cent. Of all local authorities only Slough has a higher level than London - 56 per cent - but 15 individual London boroughs had higher proportions than Slough, led by Newham and Brent at over 70 per cent. London had 41 per cent of all births to women born outside the UK that occurred in England & Wales. This compared to just 11 per cent of births to UK-born women. In London most of the 'non-UK' births were to women from Africa (21 thousand) and Asia (20 thousand). ## Chart 4: Live Births By Birthplace Of Mother, London, 2008, Thousands Note: The 'European Union - new countries' constitutes the twelve countries which have joined the European Union since 2004. The 'European Union - old 15' comprises of fifteen member states which joined before 2004. Source: Office for National Statistics 01 1-4 5-15 16-24 25-34 35-44 45-54 55-64 65-74 75-84 85+ SMR2 Males UK 5.2 0.2 0.2 0.6 1.0 1.8 3.2 8.8 22.7 62.2 162.6 100 - London 4.7 0.2 0.1 0.5 0.6 1.4 3.5 9.3 22.5 57.0 144.5 93 - Females UK 4.2 0.2 0.1 0.2 0.5 1.1 2.1 5.7 14.6 45.0 146.6 100 - London 3.8 0.3 0.1 0.2 0.3 0.9 2.1 5.1 13.6 40.6 133.6 91 - All UK 4.7 0.2 0.2 0.4 0.8 1.5 2.6 7.2 18.4 52.3 151.6 100 9.4 London 4.3 0.2 0.1 0.4 0.5 1.1 2.8 7.1 17.7 47.5 137.3 92 6.6 1 Deaths of infants under one year of age per 1,000 live births. 2 Standardised mortality rate (SMR) is the ratio of observed deaths to those expected by applying a standard death rate to the area's population. 3 Crude death rate. While in London the young age structure leads to a relatively high number of births the reverse is true for deaths (Table 5). London's crude death rate in 2008 was only 6.6 (per thousand resident population) compared with 9.4 for the United Kingdom. The most straightforward way of measuring relative mortality between areas is the standardised mortality ratio (SMR) which compares actual recorded deaths in an area to the number that would have occurred if the standard (in this case, UK) age-specific mortality rates applied in each locality. For London the SMR is 92, implying that age-specific mortality rates are on average 8 per cent lower than for the UK as a whole. In 2008 London only had higher mortality rates for males at ages 45-64 and for females at 1-4 and 45-54. Over age 65, where mortality rates are highest, London has significantly better survivorship. CDR3 UK=100 ## Migration The importance of migration in shaping London's population should not be underestimated even if the combined net impact of UK and international migration has, in recent years, generally been negative. London is the hub for migration flows into and within the UK. This section will show the importance of London as the main focus of international migration to the UK as well as a magnet for students and young workers from the rest of the UK. London then becomes the main source of family and retirement migrants to the rest of the UK. ## Internal Migration This section considers migration within the UK at country and English regional level. The main source of data on long term trends of inter-regional migration is people re-registering with general practitioners (GPs). To partly overcome problems of late re-registration of young adults, ONS has recently added an analysis of moving students to enhance internal migration in the annual mid-year estimate change analysis - see p.6. However, here the GP reregistrations are considered independently based on the annualised tabulations available each quarter. 1. London to South East: 84k 2. South East to London: 57k 3. London to East: 54k 4. South East to South West: 39k 5. East to London: 32k 6. South West to South East: 32k 7. East to South East: 27k 8. South East to East: 24k 9. London to South West: 19k 10. North West to Yorks & Humber: 19k The 2001 Census showed that over two-thirds of moves in the UK were of less than 10 kilometres therefore it is not surprising that inter-regional moves between the UK's only city-region and its two neighbours, the East and South East, should be four of the top five inter-regional flows (Figure 1). In excess of two million Londoners live in boroughs that have boundaries with each of these regions; therefore many short distance radial moves away from the centre of London will have destinations in the adjacent regions (Chart 5). Inter-regional migration is largely concentrated in the greater South East with the nine largest flows having at least one of London, the East or South East as an origin or destination and all six flows between the three regions being in the top ten. and English Regions, selected years, thousands of people \| \| \| \| \| \| \| 2001-02 \| 2006-07 \| Year to Dec. 2009 \| \|--------------------------\|-------\|-------\|-------\|-------\|-------\|-----------\|-----------\|---------------------\| \| In \| Out \| Net \| In \| Out \| Net \| In \| Out \| Net \| \| United Kingdom \| 156.0 \| 254.2 \| -98.2 \| 167.0 \| 248.4 \| -81.4 \| 178.1 \| 216.2 \| \| England \| 142.4 \| 238.6 \| -96.2 \| 154.5 \| 234.5 \| -80.0 \| 164.7 \| 203.9 \| \| North East \| 4.7 \| 4.5 \| 0.2 \| 4.8 \| 3.9 \| 0.9 \| 5.3 \| 3.5 \| \| North West \| 12.3 \| 13.0 \| -0.7 \| 12.2 \| 11.9 \| 0.3 \| 13.7 \| 11.3 \| \| Yorkshire and The Humber \| 9.9 \| 10.6 \| -0.7 \| 10.8 \| 9.8 \| 1.0 \| 12.5 \| 8.9 \| \| East Midlands \| 10.1 \| 14.7 \| -4.6 \| 11.4 \| 12.4 \| -1.0 \| 12.2 \| 11.8 \| \| West Midlands \| 11.4 \| 12.8 \| -1.4 \| 12.3 \| 12.1 \| 0.2 \| 14.3 \| 11.7 \| \| East \| 28.4 \| 65.1 \| -36.7 \| 30.8 \| 64.9 \| -34.1 \| 31.9 \| 53.7 \| \| South East \| 50.6 \| 93.9 \| -43.3 \| 55.9 \| 97.1 \| -41.2 \| 57.4 \| 82.6 \| \| South West \| 15.0 \| 24.1 \| -9.1 \| 16.3 \| 22.4 \| -6.1 \| 17.9 \| 19.4 \| \| Wales \| 4.9 \| 5.8 \| -0.9 \| 5.0 \| 5.3 \| -0.3 \| 5.5 \| 4.7 \| \| Scotland \| 7.3 \| 7.8 \| -0.5 \| 6.2 \| 6.9 \| -0.7 \| 6.6 \| 6.3 \| \| Northern Ireland \| 1.4 \| 2.0 \| -0.6 \| 1.3 \| 1.8 \| -0.5 \| 1.3 \| 1.3 \| Source: Office for National Statistics Source: National Health Service Central Register The changing migration flows to and from London since 2001-02 are illustrated in Table 6 (p.12). Nearly all of the highest flows to London have occurred in the latest period, while, with the exception of the South East, all of the greatest outflows occurred at the earliest period. In 2001-02 London only had a net inflow from the North East but in the year to December 2009 London had net gains from all regions except the East, South East and South West. However, the small gains are swamped by the losses to the South East (25 thousand) and East (22 thousand). Overall London's net loss was 38 thousand. The net loss from London has not traditionally been this low (Chart 6, p.12) Current levels are the lowest for twenty years and the net loss was as high as 116 thousand as recently as 2004. The most significant changes have taken place over between June 2007 and December 2009. The outflow from London has fallen by over 13 per cent while the inflow increased by 7 per cent to reach new record levels since GP registrations were used to estimated internal migration in the 1980s (Table 7). The recent changes have their roots in the period of economic uncertainty. In the UK as a whole, inter-regional moves declined by 6 per cent between the years ending June 2007 and December 2009. Most people leaving London for other parts of the UK are Source: National Health Service Central Register \| \| selected flows between June 2007 \| \|------------\|--------------------------------------------\| \| \| and December 2009, percentages \| \| To: \| \| \| East \| London \| \| From: \| \| \| East \| 3.6 \| \| London \| -17.3 \| \| South East \| -7.3 \| \| Rest of UK \| -3.3 \| \| Total \| -9.7 \| Source: Office for National Statistics moving into owner occupation. The increased difficulty in obtaining a mortgage has limited the ability of many families to leave London. At the same time there has been an increase in participation in higher education and the London job market for young workers has not been as affected as much as other parts of the country, hence the only inter-regional flows that have increased over the last two years have been those with destinations in London. Most of the people moving to London are young and will look for accommodation in the expanding private renting sector. Source: National Health Service Central Register Source: National Health Service Central Register The only age group with a net inflow to London from the rest of the UK is the 20-29 age group. The impacts of the recent changes in migration are illustrated by the net flows between London and the East, the South East and the Rest of UK since 2001 (Chart 7, p.13). The net losses from London to the East and the South East both peaked in 2004 and were both flat between 2005 and the end of 2008. After which they fell dramatically to around half of the 2004 values by mid- 2009. On the other hand London's relationship with the Rest of the UK has completely turned around. From losses of 30 thousand in 2004 there has been a decline in almost every subsequent quarter leading to a net inflow to London in the year ending September 2008 and a net flow to London of 11 thousand in the year to September 2009. children as well as all ages between 15 and 39. The largest net losses are seen at 0-4, 15-19 and 30-44. Comparing the latest flows by age, with those in the year to September 2007 (Chart 9, p.14) shows that the increased inflows are, proportionally, fairly evenly spread at all ages below 55, with reductions in the relatively small flows at higher ages. Although overall there was a reduction in the outflow there were some increases in the late teens and early twenties, possibly as a result of more Londoners going to university outside London. The greatest proportional reductions in the outflow are at ages around and above retirement. Although the retirement moves away from London are relatively small, 23 thousand persons aged over 55 compared to 31 thousand at ages The inflow to London is dominated by people aged 20-29, the only ages at which there is also a net inflow (Chart 8, p.14). Few school-age children and people over 50 move to London. The age-profile of the outflow is less extreme having a significant number of pre-school ## Table 8: Internal Migration, The Three Largest Inter-Regional Flows From Each Region Of Origin, Year To December 2009, Thousands \| \| \| \| Largest \| 2nd Largest \| 3rd Largest \| Average \| \|-----------------------------------------------------------\|-------------\|-----------\|-------------\|----------------\|----------------\|------------\| \| Region of \| Flow \| Region of \| Flow \| Region of \| Flow \| Top 3 Flow \| \| Region of Origin \| Destination \| (000s) \| Destination \| (000s) \| Destination \| (000s) \| \| London \| \| \| \| \| \| \| \| S East \| 83.6 \| East \| 53.7 \| S West \| 19.4 \| 52.2 \| \| South East \| \| \| \| \| \| \| \| London \| 56.9 \| S West \| 39.1 \| East \| 24.1 \| 40.0 \| \| East \| \| \| \| \| \| \| \| London \| 31.9 \| S East \| 26.7 \| E Mids \| 15.6 \| 24.7 \| \| South West \| \| \| \| \| \| \| \| S East \| 31.8 \| London \| 17.9 \| W Mids \| 11.4 \| 20.4 \| \| East Midlands \| \| \| \| \| \| \| \| Yorks & H \| 15.7 \| W Mids \| 14.0 \| S East \| 13.5 \| 14.4 \| \| West Midlands \| \| \| \| \| \| \| \| E Mids \| 15.5 \| S West \| 14.4 \| London \| 14.3 \| 14.7 \| \| Yorkshire & the Humber \| \| \| \| \| \| \| \| N West \| 18.0 \| E Mids \| 17.2 \| London \| 12.5 \| 15.9 \| \| North West \| \| \| \| \| \| \| \| Yorks & H \| 18.6 \| London \| 13.7 \| W Mids \| 11.4 \| 14.6 \| \| North East \| \| \| \| \| \| \| \| Yorks & H \| 9.1 \| N West \| 5.8 \| London \| 5.3 \| 6.7 \| \| Wales \| \| \| \| \| \| \| \| S West \| 9.4 \| N West \| 8.3 \| W Mids \| 7.2 \| 8.3 \| \| Scotland \| \| \| \| \| \| \| \| London \| 6.6 \| N West \| 5.9 \| S East \| 5.6 \| 6.0 \| \| Northern Ireland \| \| \| \| \| \| \| \| N West \| 2.2 \| Scotland \| 2.1 \| London \| 1.3 \| 1.9 \| \| Grey background flows are between non-contiguous regions. \| \| \| \| \| \| \| 25-29, this group includes people who realise some of the capital locked up in their London properties to part-fund their retirement. The length and depth of the economic downturn may mean that for some of these people the move away from London will never happen. This would have knock-on effects on the NHS and London borough social services in future years, when there is already expected to be a significant growth in London's elderly population. Migration changes at the pre-school ages (0-4) have recently contributed to exacerbating the impact of the rise in births since 2001 on the education services of London boroughs. The absolute decline in the outflow, even with a rising population of under-5s, coupled with the increase in the inflow has reduced the expected net outflow from London of children aged 0 to 4. Therefore reception class places have been oversubscribed in several boroughs and most boroughs are catering for more children than were expected. The ONS mid-year estimates show that between 2005 and 2009 the number of 4-year olds in London rose by nearly 15 thousand, while the number of births in London which gave rise to these cohorts had increased by just over 10 thousand. with the flows from London to the South East, East and South West. It then picks out the three main destinations of flows from those three regions. This brings in two additional regions, the East Midlands and the West Midlands. The East Midlands brings in Yorkshire and the Humber, which then adds the North West to the cascade. This successive process fails to show any strong links with the North East nor with Wales, Scotland and Northern Ireland. At successive stages of the cascade the average of the three largest flows also declines, from over 50 thousand from London to two thousand from, small and geographically isolated, Northern Ireland. The populations of the North East, Wales and Northern Ireland are significantly lower than those of Scotland and the other regions, therefore outflows from these areas are expected to be lower. Flows between non-contiguous regions are indicated by a grey background. London is one of the three most popular destinations for seven of the nine regions with which it does not share a boundary, the exceptions being the East Midlands and Wales. The only other non-contiguous flows illustrated are those from London to the South West and from Scotland to the South East. London is a favoured destination for nine of the eleven other regions/countries. The next most favoured destinations, with five, are the South East and the North West, which has land boundaries with Wales, Scotland and three English regions as well as being the closest part of England to Northern Ireland. ## International Migration Since 2001, the share of immigrants coming to the UK and choosing London fell from 37 per cent to 28 per cent. There are several definitions of international migration. Long-term migrants intend to stay in the UK (or leave the UK) for at least a year. People meeting this standard United Nations definition are included in the ONS estimates of the resident population. People, who intend to stay (or leave) the UK for less than a year are described as short-term migrants. These moves are not included in resident population estimates. ONS has experimentally estimated short-term migrant flows for England and Wales on the basis of stays of 1-12 months and 3-12 months, with some analysis of purpose of stay. ONS has also issued local authority level estimates relating to 2006-07 for consultation purposes. Estimates of international migration are drawn from a number of sources, the principal of which is the International Passenger Survey (IPS), which has recently been improved to concentrate more on migrants, as opposed to tourism, and now, with the inclusion of the Republic of Ireland, includes moves with all countries outside the UK. At the regional level IPS immigrant estimates are distributed using data from the Labour Force Survey (LFS). IPS emigrant estimates are distributed by a modelling process. Other sources are UK Borders Agency administrative data on asylum seekers and estimates of switchers, that is persons whose actual length of stay (either in or outside the UK) is different from their original intentions. These three sources together are combined to create the ONS estimates of Long-term International Migration (LTIM). There are also administrative data sets that are useful as indicators of international migration. Of these, National Insurance and National Health Service data are considered below. The latest estimates of Long-term International Migration relating to London are shown in Chart 3 (p.7). These are from the recently revised mid-year estimates series. ONS data in the LTIM series are available in both calendar year and mid-year to mid-year formats, but have not yet been revised to match the flows used in the mid-year estimates. The main difference is in the distribution of emigrants, but Charts 10 (p.16) and 11 adequately illustrate the main trends of change through the decade. Since 2001 London has seen its share of total immigration to the UK fall from around 37 per cent to 28 per cent. The data on emigration are more difficult to ## Table 9: National Insurance Registrations by Citizens of the Twelve EU Accession Countries, UK and London, 2002/03 to 2008/09, thousands \| \| London \| UK \| London as % of UK \| \|---------\|----------\|-------\|---------------------\| \| 2002/03 \| 11.3 \| 17.7 \| 64.2 \| \| 2003/04 \| 18.8 \| 28.7 \| 65.5 \| \| 2004/05 \| 38 \| 116.8 \| 32.5 \| \| 2005/06 \| 63.7 \| 276.7 \| 23 \| \| 2006/07 \| 68.9 \| 317.5 \| 21.7 \| \| 2007/08 \| 87.7 \| 332.4 \| 26.4 \| \| 2008/09 \| 74.4 \| 257 \| 28.9 \| Source: Department for Work and Pensions collect and estimate, therefore there are less clear trends, but London's share of emigration has also fallen, though not as fast, from around 31 per cent to 26 per cent. In 2006 and 2006-07 London's share of emigration was estimated to have exceeded its share of immigration, which meant that London's share of the net inflow to the UK plummeted from 42 per cent in 2005-06 to 28 per cent in 2006. More recently London's share of the UK net flow has been around 31 per cent, but of a significantly reduced total. There are a number of indicators based on administrative sources that give additional evidence about international flows into the UK. However none such exist for emigration. Charts 12 and 13 (both p.19) Table 10: Asylum Seekers (from the mid-year estimate change analyses), England and London, 2001-02 to 2008-09, thousands \| \| London \| England \| London as % of England \| \|---------\|----------\|-----------\|--------------------------\| \| 2001-02 \| 43.4 \| 85.1 \| 51 \| \| 2002-03 \| X \| 37.7 \| 76.4 \| \| 2003-04 \| X \| 18.6 \| 39.8 \| \| 2004-05 \| X \| 12.4 \| 28.2 \| \| 2005-06 \| X \| 9.1 \| 21.7 \| \| 2006-07 \| X \| 8.1 \| 20.1 \| \| 2007-08 \| X \| 8.1 \| 21.7 \| \| 2008-09 \| X \| 8.9 \| 24.9 \| Source: Office for National Statistics compare inflows based on the mid-year estimates, National Insurance Numbers (NINos) issued to foreign nationals, and new registrations from overseas to the National Health Service, referred to as Flag 4s. ONS is currently using the NINos and Flag 4s in its modelling of the distribution of international inflows to local authorities within regions - but not at regional level. Hence there is independence between the three sources, but it must be borne in mind that there are inconsistencies in the definitions that are being used. NINos are frequently issued several years after the person's arrival in the UK. The NHS requires three months residence before registration. Neither source distinguishes between potential long-term (more than a year) and short-term UK residence intentions, which is a key definitional issue for the ONS LTIM estimates used in the mid-year estimates. In terms of numbers of arrivals the NINos show the huge rise in labour migration to London after the eight Eastern European countries (the A8) were admitted to the EU in May 2004. Up to mid-2009 new NINos in London had plateaued, but nationally new registrations have fallen from the 2007-08 peak, partly as a consequence of the reduced demand for labour in the recession. The Flag 4s have continued to rise in London and are broadly at the same level as the Mid-year Estimates/Long-term International Migration. Nationally Flag 4s have fallen from a peak in 2007-08. In terms of the proportion of the inflows to England that are accounted for by London, until 2006-07 all three data sources show a declining share coming to London. Flag 4s are very similar to the Mid-year Estimates/Long-term International Migration but London is having a considerably higher share of NINo registrations. This could be a function of short-term labour migration and/or registration at a first address before moving out of London. The proportions of both NINos and Flag 4s in London have increased in the latest periods. This may also be due to recession effects with reduced demand for labour being seen more outside London. The impact of all twelve EU accession countries, including Cyprus and Malta in 2004 and Bulgaria and Romania in 2007, on NINo registrations is shown in Table 9. Numbers rose much more rapidly outside London after 2004 and the proportion coming to London fell from 65 per cent to 22 per cent in 2006/07. With total numbers stabilising in 2007/08 and then falling, the proportion coming to London in 2008/09 has increased to 29 per cent. ONS has recently issued provisional national estimates based on the IPS showing that in the year to the end Source: Office for National Statistics, Department for Work and Pensions and National Health Service Source: Office for National Statistics, Department for Work and Pensions and National Health Service of September 2009 there was the first recorded net emigration of A8 citizens since the time of accession. This was largely as the result of a decline of long-term immigrants from 100 thousand in the year to September 2008 to just 45 thousand. Asylum seeker applications have fallen considerably since the late 1990s. Table 10 (p.18) shows the estimated numbers coming to London as shown in the ONS mid-year estimate change analyses. The total flow has declined as has London's share of the England total. The only other data on asylum that identifies London relates to those receiving some kind of support. In March 2010 the Home Office registered 2,775 asylum seekers receiving subsistence support in London and 1,225 receiving accommodation, out of UK totals of 4,015 and 22,735 respectively. The only available short-term migration (STM) estimates for London were published by ONS as 'consultation' statistics in 2009. They relate to inflows in 2006-07 of between 1 and 12 months stay and indicate that London had 60 thousand STM workers, 35 per cent of the England total, and 420 thousand other STMs, 37 per cent of England. Nationally, the majority of the arrivals were having either extended visits with family and friends (40 per cent) or were on holiday (16 per cent). Only 13 per cent came to work. ## Table 11: Population Turnover, 2008-09, Thousands, Rates \| Turnover (000s) \| Turnover \| \|--------------------------\|---------------\| \| Rate per \| \| \| Internal \| \| \| 1000 \| \| \| (UK) \| International \| \| North East \| 89.3 \| \| North West \| 227.5 \| \| Yorkshire and the Humber \| 210.8 \| \| East Midlands \| 221.6 \| \| West Midlands \| 211.4 \| \| East \| 275.2 \| \| London \| 442.4 \| \| South East \| 435.4 \| \| South West \| 253.3 \| \| Wales \| 111.5 \| ## Turnover And Churn The turnover of population in an area due to migration flows of people into and out of the area can have a significant impact on public services, for example the numbers of children joining In 2008-2009 more than new schools 700,000 people moved into or out of London. during the school year, the numbers of households reregistering with local authorities for council tax and the numbers of people changing general practitioners (Table 11). Using the internal and international flows from the mid-year estimate change analysis for 2008-09 it is possible to compare turnover rates at the regional level. It is estimated that over 700 thousand people moved across the London boundary, although this total would double-count any people who moved both into and away from London in the same year. The rate of 93 per thousand resident population compares with 68 in the next highest region - the South East and 44 - the lowest - in the North West. These figures also mean that 47 in every thousand residents in London lived outside London a year earlier. Turnover rates for lower tier local authorities are relatively higher (Table 12, p.21) since the calculations also incorporate moves between authorities in the same region. The highest local authority turnover rates in 2008-09 were recorded in Cambridge (335) and Oxford (310) with a number of other areas outside London with Inflow Rate per Outflow Rate per 1000 1000 large student populations also having high turnover. London boroughs had rates between 82 (Havering) and 273 (Islington). Most inner boroughs had rates in excess of 200 while the only other authority outside London above 200 was Manchester. The highest inflow rate in London was 140 per thousand in Islington and the highest outflow was 138 for Hammersmith & Fulham. Both these rates were only exceeded by Cambridge and Oxford. Moves within each area are called internal churn. Internal churn plus turnover gives overall churn which is a measure of all people who have either moved in or out or within the area. The internal churn is based on statistics from the 2001 Census to account \| Turnover (000s) \| Turnover \| Inflow \| Outflow \| Internal \| Churn \| \|------------------------\|---------------\|------------\|------------\|------------\|---------\| \| Rate \| Rate \| Rate \| Churn Rate \| Rate \| \| \| (per 1000) \| (per 1000) \| (per 1000) \| (per 1000) \| (per 1000) \| \| \| Internal (UK) \| International \| Total \| \| \| \| \| City of London \| 1.7 \| 1.3 \| 3.0 \| 264 \| 138 \| \| Barking and Dagenham \| 21.8 \| 3.7 \| 25.6 \| 147 \| 79 \| \| Barnet \| 40.8 \| 10.1 \| 51.0 \| 150 \| 78 \| \| Bexley \| 19.7 \| 1.6 \| 21.3 \| 95 \| 47 \| \| Brent \| 39.1 \| 10.5 \| 49.6 \| 194 \| 92 \| \| Bromley \| 28.5 \| 2.7 \| 31.2 \| 101 \| 52 \| \| Camden \| 43.6 \| 17.0 \| 60.6 \| 265 \| 138 \| \| Croydon \| 37.8 \| 7.4 \| 45.2 \| 132 \| 65 \| \| Ealing \| 44.7 \| 14.8 \| 59.5 \| 189 \| 96 \| \| Enfield \| 34.8 \| 4.2 \| 39.0 \| 135 \| 66 \| \| Greenwich \| 32.4 \| 7.6 \| 40.1 \| 178 \| 89 \| \| Hackney \| 36.8 \| 6.5 \| 43.3 \| 202 \| 101 \| \| Hammersmith and Fulham \| 34.5 \| 11.3 \| 45.8 \| 271 \| 133 \| \| 321 \| \| \| \| \| \| \| Haringey \| 40.6 \| 7.3 \| 47.9 \| 212 \| 100 \| \| Harrow \| 28.5 \| 5.4 \| 33.9 \| 150 \| 77 \| \| Havering \| 18.0 \| 1.2 \| 19.2 \| 82 \| 44 \| \| Hillingdon \| 30.8 \| 5.3 \| 36.2 \| 139 \| 74 \| \| Hounslow \| 33.2 \| 10.7 \| 43.9 \| 189 \| 97 \| \| Islington \| 42.0 \| 9.8 \| 51.8 \| 273 \| 140 \| \| Kensington and Chelsea \| 23.4 \| 13.9 \| 37.2 \| 218 \| 102 \| \| Kingston upon Thames \| 24.5 \| 4.9 \| 29.4 \| 177 \| 91 \| \| Lambeth \| 57.8 \| 12.4 \| 70.2 \| 249 \| 122 \| \| Lewisham \| 41.2 \| 6.4 \| 47.6 \| 181 \| 89 \| \| Merton \| 30.1 \| 8.7 \| 38.8 \| 190 \| 98 \| \| Newham \| 40.0 \| 8.7 \| 48.7 \| 201 \| 89 \| \| Redbridge \| 33.6 \| 6.0 \| 39.6 \| 149 \| 77 \| \| Richmond upon Thames \| 25.8 \| 5.2 \| 31.0 \| 165 \| 82 \| \| Southwark \| 49.6 \| 10.7 \| 60.3 \| 212 \| 104 \| \| 45 \| 257 \| \| \| \| \| \| Sutton \| 19.3 \| 2.2 \| 21.5 \| 113 \| 60 \| \| Tower Hamlets \| 39.6 \| 13.5 \| 53.1 \| 230 \| 125 \| \| Waltham Forest \| 30.4 \| 8.3 \| 38.7 \| 174 \| 87 \| \| Wandsworth \| 59.3 \| 14.4 \| 73.8 \| 259 \| 128 \| \| Westminster \| 40.8 \| 19.1 \| 59.9 \| 241 \| 123 \| Source: Office for National Statistics, mid-year estimates for the 350 thousand persons who moved in 2000-01 without changing their borough of residence. Internal churn rates varied from 36 per thousand in Havering and Redbridge to 61 per thousand in Wandsworth. The overall churn rates varied in 2008-09 from 119 per thousand in Havering to 321 in Hammersmith & Fulham. The sum of internal churn and the inflow rate is the proportion of the population of a borough that lived elsewhere a year ago, for London the median value of the boroughs is 140 per thousand, but this rises to almost 190 in Wandsworth. ## Demographic Projections Source: Greater London Authority, 2009 Round of Demographic Projections As part of the preparation for the draft replacement London Plan the GLA prepared demographic projections for London boroughs. These included population by age, gender and ethnicity, households by age, gender and marital status of the household representative (as well as by five types of household), and economically active residents by age and gender. These have been converted to ward level population projections by age and gender. GLA projections differ from ONS subnational population projections and the associated CLG household projections, as the GLA uses actual and planned housing development as the lead indicator of population change since 2001. ONS relies on using recent trends in the ## Table 13: Summary Of Demographic Projections For The London Plan, 2006 To 2031, Thousands \| \| 2006 \| 2011 \| 2016 \| 2021 \| 2026 \| 2031 \| \|------------------------\|---------\|---------\|---------\|---------\|---------\|---------\| \| Married Couples \| 1,037.2 \| 964.2 \| 909.3 \| 869.5 \| 840.1 \| 833.9 \| \| Cohabiting Couples \| 333.1 \| 400.3 \| 455.8 \| 503.3 \| 547.4 \| 584.3 \| \| Lone Parents \| 317.7 \| 347.8 \| 375.4 \| 395.5 \| 410.7 \| 425.1 \| \| Other (2+ Adults) \| 340.0 \| 357.7 \| 378.7 \| 399.8 \| 420.9 \| 440.8 \| \| One-person \| 1,146.5 \| 1,252.7 \| 1,370.5 \| 1,488.4 \| 1,604.3 \| 1,706.2 \| \| Total Households \| 3,174.5 \| 3,322.8 \| 3,489.6 \| 3,656.5 \| 3,823.4 \| 3,990.3 \| \| Household Population \| 7,434.1 \| 7,713.7 \| 7,983.1 \| 8,242.7 \| 8,493.6 \| 8,729.7 \| \| Average Household Size \| 2.34 \| 2.32 \| 2.29 \| 2.25 \| 2.22 \| 2.19 \| \| Communal Population \| 92.8 \| 93.1 \| 93.3 \| 94.1 \| 96.1 \| 99.1 \| \| Total Population \| 7,526.9 \| 7,806.8 \| 8,076.4 \| 8,336.9 \| 8,589.7 \| 8,828.8 \| \| Economically Active \| 3,902.0 \| 4,071.2 \| 4,231.2 \| 4,372.6 \| 4,493.0 \| 4,593.0 \| estimated local migration levels constrained to national assumptions about international flows. Table 13 shows the main results of the GLA projection, which between 2011 and 2031 is based on the London Plan borough housing targets amounting to an average of 33,400 new homes per year. Table 14 (p.23) shows the main results for the boroughs. Between 2011 and 2031 London's population is projected to increase by 1.02 million persons, equivalent to 13 per cent. Households are expected to increase by 667 thousand, or 20 per cent. The difference in the rates of change is a reflection of the 6 per cent decline in average household size from 2.32 to 2.19. The structure of household change is dominated by the 450 thousand increase in one-person households that accounts for 68 per cent of the total household growth. The resident labour force has been projected using borough level age-specific economic activity rates which are based on the 2001 Census and improved according to ONS national projections until 2020. The rates are then held constant. Between ## Table 14: Summary Of Demographic Projections For The London Plan, London Boroughs, 2011 and 2031, thousands \| 2011 \| 2031 \| \|------------------------\|----------------\| \| Econonomically \| Econonomically \| \| Population \| Households \| \| City of London \| 9.7 \| \| Barking and Dagenham \| 177.8 \| \| Barnet \| 330.6 \| \| Bexley \| 217.4 \| \| Brent \| 279.6 \| \| Bromley \| 302.4 \| \| Camden \| 210.9 \| \| Croydon \| 342.9 \| \| Ealing \| 319.5 \| \| Enfield \| 294.2 \| \| Greenwich \| 238.1 \| \| Hackney \| 231.5 \| \| Hammersmith and Fulham \| 180.6 \| \| Haringey \| 237.2 \| \| Harrow \| 220.7 \| \| Havering \| 231.6 \| \| Hillingdon \| 261.8 \| \| Hounslow \| 237.2 \| \| 128.4 \| \| \| Islington \| 208.8 \| \| Kensington and Chelsea \| 169.9 \| \| Kingston upon Thames \| 155.3 \| \| Lambeth \| 300.2 \| \| Lewisham \| 272.7 \| \| Merton \| 198.7 \| \| Newham \| 267.9 \| \| Redbridge \| 258.8 \| \| Richmond upon Thames \| 186.4 \| \| Southwark \| 285.5 \| \| Sutton \| 185.9 \| \| Tower Hamlets \| 248.7 \| \| Waltham Forest \| 229.4 \| \| Wandsworth \| 297.5 \| \| Westminster \| 217.2 \| \| London \| 7,806.8 \| Source: Greater London Authority 2009, Round of Demographic Projections 2011 and 2031 there is a 520 thousand increase in the resident labour force aged 16-74, equivalent to 13 per cent. The female contribution to the labour force rises by over 310 thousand and is 60 per cent of the total growth. Between 2011 and 2031 the growth in population is seen at most age groups (Chart 14, p.22). The only exception is the under-5s, which reflects the downward revision in national fertility assumptions. The changes demonstrate both a distinct ageing pattern, particularly with an increase of over 400 thousand persons between 45 and 64 as well as a significant increase in the child population, with 115 thousand more children of school age (4-15). The elderly population is projected to grow particularly fast. The over 65s are projected to increase by 34 per cent, or nearly 300 thousand, to reach 1.17 million by 2031. The over 90s are expected to almost double to 96 thousand. Table 15 compares the London Plan projection for London with the latest ONS and CLG projections of population and households. The London Plan projections followed the trend in the original series of ONS mid-year estimates that were superseded in May 2010; therefore the results for 2011 are quite close to the ONS/CLG 2006-based projections. The upward revisions to the mid-year estimates informed the ONS 2008-based projections so the starting population and the migration trajectory were both higher. Overall the change in the London Plan projection is a little less than the ONS/ CLG 2006-based figures but somewhat lower than the ONS 2008-based projections, which have not yet been converted to households by CLG. Although the London Plan projections followed ONS mid-year estimate trends for London this was not done for each borough, hence the borough projections for 2011 are in several instances quite different to the ONS mid-year estimates for 2009 shown in Table 16 (p.25). ## Table 15: Comparison Of Population And Household Projections For London, 2011 And 2031, Thousands \| 2011 \| 2031 \| \|----------------------------------------------\|------------\| \| Percentage Change \| \| \| Population \| Households \| \| Greater London Authority, London Plan \| 7,807 \| \| Office for National Statistics/ \| \| \| Communities and Local Government, 2006-based \| \| \| 7,817 \| 3,337 \| \| Office for National Statistics, 2008-based \| 7,868 \| Sources: Greater London Authority, 2009 Round of Demographic Projections. Percentage of Total 16- 16- Retirement Retirement Retirement Retirement Total 0-15 Age1 Age+ 0-15 Age1 Age+ City of London 11.5 0.8 9.3 1.4 7.0 80.9 12.2 Barking and Dagenham 175.6 43.4 108.6 23.6 24.7 61.8 13.4 Barnet 343.1 69.5 217.5 56.1 20.3 63.4 16.4 Bexley 225.9 45.3 137.8 42.8 20.1 61.0 18.9 Brent 255.5 51.5 166.0 38.0 20.2 65.0 14.9 Bromley 310.2 60.7 188.8 60.7 19.6 60.9 19.6 Camden 231.2 35.5 170.5 25.3 15.4 73.7 10.9 Croydon 342.8 71.1 218.6 53.1 20.7 63.8 15.5 Ealing 316.6 60.5 214.3 41.9 19.1 67.7 13.2 Enfield 291.2 63.1 182.7 45.5 21.7 62.7 15.6 Greenwich 226.1 48.0 147.8 30.4 21.2 65.4 13.4 Hackney 216.0 46.8 147.4 21.8 21.7 68.2 10.1 Hammersmith and Fulham 169.7 28.6 120.5 20.7 16.9 71.0 12.2 Haringey 225.5 44.3 155.7 25.5 19.6 69.0 11.3 Harrow 228.1 43.8 146.6 37.7 19.2 64.3 16.5 Havering 234.1 44.3 141.4 48.5 18.9 60.4 20.7 Hillingdon 262.5 53.4 168.5 40.6 20.3 64.2 15.5 Hounslow 234.2 45.3 159.6 29.4 19.3 68.1 12.6 Islington 191.8 30.4 141.3 20.1 15.8 73.7 10.5 Kensington and Chelsea 169.9 27.4 113.8 28.7 16.1 67.0 16.9 Kingston upon Thames 166.7 29.8 113.1 23.8 17.9 67.8 14.3 Lambeth 283.3 49.0 207.0 27.3 17.3 73.1 9.6 Lewisham 264.5 52.6 182.2 29.7 19.9 68.9 11.2 Merton 206.4 37.9 140.2 28.4 18.4 67.9 13.8 Newham 241.2 59.9 157.7 23.6 24.8 65.4 9.8 Redbridge 267.7 57.6 170.9 39.2 21.5 63.8 14.6 Richmond upon Thames 189.0 37.0 122.8 29.1 19.6 65.0 15.4 Southwark 285.6 50.0 205.9 29.7 17.5 72.1 10.4 Sutton 192.2 38.3 122.2 31.7 19.9 63.6 16.5 Tower Hamlets 234.8 45.8 170.0 19.1 19.5 72.4 8.1 Waltham Forest 224.3 48.9 147.2 28.2 21.8 65.6 12.6 Wandsworth 286.6 46.8 208.3 31.5 16.3 72.7 11.0 Westminster 249.4 31.7 185.7 32.0 12.7 74.5 12.8 London 7,753.6 1,498.7 5,189.8 1,065.0 19.3 66.9 13.7 1Retirement Age is taken as 60 for females and 65 for males. Source: Office for National Statistics, mid-year estimates ## Notes Mid-year estimates (Tables 1, 2, 3, 16, and Chart 3) The estimated resident population of an area includes all people who usually live there, whatever their nationality. People arriving into an area from outside the UK are only included in the population estimates if their total stay in the UK is 12 months or more. Visitors and shortterm migrants (those who enter the UK for less than 12 months) are not included. Similarly, people who leave the UK are only excluded from the population estimates if they remain outside the UK for 12 months or more. This is consistent with the United Nations recommended definition of an international long-term migrant. Members of UK and non-UK armed forces stationed in the UK are included in the population and UK forces stationed outside the UK are excluded. Students are taken to be resident at their term time address. 'Other changes' includes changes in population due to changes in the number of armed forces (both non-UK and UK) and their dependants resident in the UK. In calculating the international migration component of the population estimates, ONS uses the United Nations recommended definition of an international longterm migrant (someone who changes their country of residence for at least 12 months). This component does not include short-term migrants and visitors. The other component of population change is 'Natural Change' - the number of births less the number of deaths. Total Fertility Rate (Table 4) Age-specific birth rates for the United Kingdom have been calculated from all births registered in the UK, i.e. including births to mothers usually resident outside the UK apart from those to the non-residents of Northern Ireland, which are excluded. Data relate to year of occurrence in England and Wales, and year of registration in Scotland and Northern Ireland. The total fertility rate (TFR) is the average number of live children that a woman would bear if the female population experienced the Age Specific Fertility Rate (ASFRs) of the calendar year in question throughout their childbearing life-span. Standardised mortality ratio (Table 5) The standardised mortality ratio (SMR) compares overall mortality in a region with that for the UK. The ratio expresses the actual number of deaths in a region as a percentage of the hypothetical number that would have occurred if the region's population had experienced the sex/age-specific rates of the UK that year. Inter-regional migration (Figure 1, Table 6, 7, 8, Chart 3, 5, 6, 7, 8, and 9) Estimates for internal population movements are based on the movement of NHS doctors' patients between former Health Authorities (HAs) in England and Wales and Area Health Boards (AHBs) in Scotland and Northern Ireland. The figures provide a detailed indicator of population movement within the UK. However, they should not be regarded as a perfect measure of migration as there is variation in the delay between a person moving and registering with a new doctor. Additionally, some moves may not result in a re- registration, i.e. individuals may migrate again before registering with a doctor. Conversely, there may be others who move and re-register several times in a year. Not everyone registers with a doctor so their movement will not be recorded. International migration (Chart 3, 10, 11, 12, 13) The richest source of information on international migrants comes from the International Passenger Survey (IPS), which is a sample survey of passengers arriving at, and departing from, the main United Kingdom air and sea ports and Channel Tunnel. This survey provides migration estimates based on respondents' intended length of stay in the UK or abroad and excludes most persons seeking asylum and some dependents of such asylum seekers. More can be found about the IPS from the following link: www.statistics.gov.uk/ssd/surveys/ international_passenger_survey.asp . Population Turnover Rate (Table 11, 12) To help users who wish to compare different areas the migration estimates are converted into rates using the average population estimates of 2001 and mid-year 2007. An inflow rate of 141 therefore means that for every 1,000 people estimated to be living in the area at the end of the year, 141 people lived outside the area, one year previously. The rates include international migrants (people moving to or from the UK).	en
2845-pdf	TERMS OF REFERENCE FOR THE FSA BUSINESS COMMITTEE (Reviewed by the Board August 2020) Purpose: The Business Committee is a committee to which the FSA Board has delegated functions as detailed below. It exists to provide appropriate high-level oversight of financial and operational matters at Board level and support the translation of policy into effective results. Transparency: It meets in the open so that it is clear to interested parties and the public on what basis it has taken its decisions and what evidence it has taken into account in reaching them. There are some issues that need to be discussed in private, because they relate to issues that are commercial in confidence, are the subject of live negotiations in which the public interest could be adversely affected, or relate to individuals. Membership: All members of the Board are members of the Business Committee. The Chief Executive and members of the Executive Team are also members of the Business Committee up to a number equivalent to the Non-Executive members of the Board excluding the Chair. The Chief Executive will be responsible for determining which members of the Executive are members of the Business Committee. Chair: The Chair of the FSA. Quorum: Four Non Executive Board Members, of whom one to be one of the Members from Northern Ireland or Wales plus the Chair of the meeting, plus three Executive Team members including the Chief Executive or their nominated deputy. Reporting: The Business Committee will publish its minutes. The Terms of Reference for the Business Committee will be reviewed annually by the Board together along with the Terms of Reference and Standing Orders for the Board. Meetings: The Business Committee shall meet at least 4 times a year. Responsibilities: The Business Committee will on behalf of the Board: 1. Scrutinise the financial and other performance information relating to the FSA and advise the Chief Executive in the discharge of the Accounting Officer responsibilities. 2. Identify and monitor operational and delivery risks. 3. Approve the annual business plan and maintain oversight of major financial decisions in line with that plan. 4. In private, consider confidential matters relating to the position to be adopted on behalf of the UK in international discussions concerning food and animal feed law. 5. Consider such other matters as may from time to time be delegated to the Business Committee by the main Board. The Chair may decide that specific issues must be remitted to the Board for decision.	en
3313-pdf	## Audit Committee Report Report Title Bdo Internal Audit Update Agenda Status: Public Audit Committee Meeting Date: 24 August 2020 Policy Document: No Services: Chief Finance Officer Accountable Cabinet Member: Cllr Brandon Eldred ## 1. Purpose 1.1 To update the Audit Committee on the Internal Audit activities of BDO. ## 2. Recommendations 2.1 It is recommended that the Audit Committee note: a) the Internal Audit Annual Report for 2019-20 b) the Internal Audit Follow Up Report as at August 2020 c) the Progress Report as at August 2020. ## 3. Issues Of Note 3.1 Report Background BDO provide the Internal Audit Function for Northampton Borough Council, including the designated role of 'Head of Internal Audit. The attached reports from BDO outline the work they have undertaken and their view of the current position in respect of these audits and their associated observations and management actions. The revised Internal Audit Plan for 2020-21 is provided in as separate report by the Chief Finance Officer. 3.2 Issues Specific issues in respect of individual audits and response times are contained within the BDO reports attached as appendices. ## 4. Implications (Including Financial Implications) 4.1 Policy 4.1.1 There are no policy implications associated with this report. ## 4.2 Resources And Risk 4.2.1 There are no resource or risks implications associated with this report. ## 4.3 Legal 4.3.1 There are no legal implications associated with this report. ## 4.4 Equality 4.4.1 There are no specific equality impacts relating to this report. ## 4.5 Consultees (Internal And External) 4.5.1 The reports have been shared with the Corporate Management Board and the Governance and Risk Manager. ## 4.6 Other Implications 4.6.1 None ## 5. Background Papers 5.1 Appendices: 5.1.1 Northampton Borough Council Annual Report 5.1.2 Northampton Borough Council Internal Audit Follow Up Report 5.1.3 Northampton Borough Council Progress Report Gurpreet Dulay - NBC BDO Internal Audit Manager Stuart McGregor - Chief Finance Officer	en
0009-pdf	## - Level 1 3 - Creating A Presentation ## Creating A Presentation INFOCUS PowerPoint can be so much fun to use that it would be easy to jump in and start playing around without planning your presentation first. Unfortunately, if you try this approach, you could spend much more time fiddling with your presentation than is necessary. The first stage in creating a presentation is to consider the design of the presentation. You then need to consider the content − what are the key ideas that you want to get across? Once you have a design and the content sorted out, you can use PowerPoint to put these two together quickly and easily to create a presentation with a professional and consistent appearance. ## In This Booklet We Will Show You How To:  gain an understanding of some factors that affect the design of a presentation  gain an understanding of presentation methods and hardware  gain an understanding of design principles  create a blank presentation  create a presentation based on a template  create a presentation based on a theme  type text in the Outline pane  save a presentation  insert new slides and text  preview a slide show. ## Planning A Presentation have to present it and the delivery method. By understanding these factors, you can begin to consider presentation design as well as content. The first stage in creating a presentation is the planning phase. At this stage you need to consider the purpose of your presentation, your intended audience, the format of the presentation, the time you ## Planning For Effective Presentations Planning a presentation is important if you want to ensure that you communicate your intended message effectively. Consider each of the following factors when planning your presentation, as they will help you to determine your overall presentation design and layout. For example, the colours you use in your presentation may be determined by the audience. A younger audience may prefer brighter colours, whereas a presentation to the Board might require that you use conservative or company colours. Purpose Write a short statement that outlines the purpose of the presentation. Is it, for example, to persuade others to make a decision? Or, perhaps you are informing others of new or updated practices. The purpose of the presentation will help to determine the content to include, and also help to set the tone of the presentation (such as formal or informal). \| Theme \| \| Make sure you choose a presentation design that compliments your \| \|---------------------------------------------------------------------------\|-----\|-----------------------------------------------------------------------\| \| topic. For example, a template with a crayon design might be great for \| \| \| \| communicating the new plans for a children's classroom or childcare \| \| \| \| centre, but would be totally inappropriate for an Accountant's annual \| \| \| \| report - unless it was intended to add an air of humour! \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Audience \| \| Who is your audience? Who will be viewing the presentation? Are they \| \| knowledgeable about the subject or complete novices? What is their \| \| \| \| age, background, location and position in the company? The design and \| \| \| \| language you use, and the level of animation applied, will depend on \| \| \| \| who you are trying to communicate with. \| \| \| \| Key Ideas \| \| What is the most important idea that you are trying to communicate? \| \| What other ideas do you want to focus on during the presentation? \| \| \| \| These ideas must take centre stage in your presentation, and they \| \| \| \| must clearly leap out of the presentation as being important. \| \| \| \| Action \| \| \| \| Required \| \| \| \| What action do you want to take place as a result of your presentation? \| \| \| \| Do you want people to support your proposal? Do you want feedback \| \| \| \| on the information you have provided? Maybe you need to include a \| \| \| \| slide that provides a plan of action or contact details. \| \| \| \| Timeframe \| \| How much time do you have to present the information? Make sure you \| \| don't have too many slides to cover in the available time. It is highly \| \| \| \| unlikely that you will have too few, but if you do you can simply make \| \| \| \| more time available for questions or discussion. \| \| \| \| Time of Day \| \| If you are presenting in the early afternoon or evening, you may want \| \| to add a bit more pizzazz to retain audience interest than if you are \| \| \| \| presenting early in the morning. \| \| \| \| Presentation \| \| \| \| Method \| \| \| \| This is another important consideration, as it will affect the \| \| \| \| presentation design also. For example, if you are printing the slides to \| \| \| \| use on an overhead transparency projector, you will need to ensure \| \| \| \| you have little to no colour (or backgrounds). If the presentation is to \| \| \| \| be uploaded to the internet for others to view, will it be a self-running \| \| \| \| presentation or will you enable user control over the presentation, for \| \| \| \| example? \| \| \| ## Presentation Methods And Hardware Presentations can be made in a variety of ways and with a range of equipment. The means of presenting a show will depend on the size and location of your intended audience, whether or not you need to make the presentation available on an ongoing basis such as a lecture, whether the presentation is interactive, and the equipment available to you. This table discusses the options. ## Equipment Used For Presentations Laptop Computer Laptop computers are ideal for transporting a presentation. They can be used for small audiences, as with the desktop computer, but most often are taken to the audience with the presentation ready to run. The laptop is then hooked up to projection equipment and the show will run from the laptop. The advantage of this setup is that the presentation can be created and tested on the computer that will be used to present it, leaving less room for error. Video Projectors Video projectors are connected to a computer and are used to project the computer image onto a projection surface. This is the most commonly used means of projection. Desktop Computer A desktop computer can be used to present information to a small audience or can be used as a kiosk for situations like trade shows and the like. It is ideal for interactive shows where you require the audience to navigate themselves. If you plan to distribute a show, such as product information, or a lecture including video and notes, you can design your presentation to suit a particular computer monitor. Overhead Projectors and Data Shows An overhead projector can be used to project overheads created in PowerPoint, or together with a data show and a computer, can be used to project the slides directly from PowerPoint. A data show is a tablet that sits over the top of an overhead projector and displays a see-through image of what appears on the computer screen. These have been made largely redundant by the reduction in price of video projectors. Internet and Network Access Presentations can be made available over the internet or local network, and even scheduled for special broadcast times. Internet and network access means that people in a wide range of locations and in different time zones can watch the same presentation. Access can be restricted to a specific audience, and only one copy of the presentation is required. \| Slide Projector \| PowerPoint can be used to create 35mm slides and this was common practice \| \|-----------------------------------------------------------------------------------\|------------------------------------------------------------------------------\| \| before the availability of modern projection technology. The drawback of using \| \| \| slides and a slide projector is that you cannot easily change the content of the \| \| \| slides. In addition, navigation through a presentation will always be linear - \| \| \| you cannot easily jump from one slide to another out of sequence. \| \| \| \| \| \| Digital Pointer \| A digital pointer is a pointing device used by the presenter during a live \| \| presentation to emphasise particular points. Early pointers provided a simple \| \| \| laser light that appeared as a single red dot on the screen, while the latest \| \| \| ones actually enable you to change slides and underline points without having \| \| \| to touch your computer. These act as a wireless mouse as well as a pointer. \| \| \| \| \| \| Projection \| \| \| Surfaces \| \| \| \| \| \| The surface onto which you project your presentation is just as important as \| \| \| the rest of your presentation. If the audience can't read it, all of your work is \| \| \| wasted. There is a wide range of projection screens available, but even a flat \| \| \| white wall is sufficient. Matt surfaces are far better than gloss ones because a \| \| \| shiny surface can cause very distracting reflections. Remember to test your \| \| \| presentation before you begin - the colour choices must work with the \| \| \| equipment provided. \| \| ## Designing A Presentation The design and layout of your presentation will affect whether you get your message across as intended. Although PowerPoint provides many 'whizz-bang' features, these should be used sparingly and only to reinforce your message. Poorly-designed presentations may distract the audience and reduce understanding. Keep the following in mind when designing presentations. ## Comprehension To ensure easy comprehension by the audience, keep text to a minimum. It is important to be concise when writing for presentations. Use the following guidelines when creating slides.  Use a slide to introduce one main idea or key topic.  Limit each slide to between three and five bullet points to support the main idea.  Try and keep each bullet point to a single line of text. ## Readability Font choice and size will impact on readability. The following guidelines will help you to design readable slides.  Use a sans-serif font. A sans-serif font doesn't have 'tails' at the top or bottom of each letter. Arial is an example of a sans-serif font, while Times New Roman is a serif font. Note: Verdana is the coporate font that should be used on all work related presentations.  Make sure the font is large enough. Slide text should be visible from the back of the room. Generally, headings are around 36-45 points, while the main body of text and bullet points is around 22 points.  Make good use of white space on each slide. The more white space that appears on a slide, the easier it will be for the audience to read what does appear. Try to keep a minimum of 20 per cent of white space on all slides.  Keep the number of colours you use to a minimum. Generally two to three colours per slide is ample. Make sure the colours complement each other and do not interfere with your message. ## Consistency To ensure a professional design across your slide presentation, it is important to ensure a consistent look and feel across each slide. People like to see repeating elements on each slide. Here are a few ways you can ensure consistency and also save time when creating presentations.  Use a design template. Design templates already contain the fonts, colours and other visual elements, so all you have to do is to type in your text. Each slide will have the same look as the others in the presentation.  Use the same background design on all slides. PowerPoint has many background designs for you to choose from, which can be easily applied to all slides. Note: there are WSCC corporate templates on the intranet  Use the same fonts, font sizes and other formatting attributes throughout your presentation. For example, if you have used yellow bullets on one slide, make sure you use yellow bullets on all slides. ## Creating A Blank Presentation If you plan to create a presentation with your own design, the Blank Presentation template would be a good place to start. This default template is perfect when you require little in the way of design and Before starting this exercise make sure that PowerPoint is open... 1 Click on the File tab, then click on New to display Available Templates and Themes Here you can create a blank presentation or you can create a presentation based on a design template or theme… 2 Ensure that Blank Presentation is selected, then click on [Create] A new blank presentation will open. All blank presentations will have the default Office theme applied to them - notice that "Office Theme" appears on the Status bar at the bottom of the PowerPoint window. You will now close the presentation… 3 Click on the File tab, then click on Close to close the presentation \| To \| create \| a \| blank \| \|-----------------\|--------------------\|--------------------\|---------\| \| 1. Click on the \| File \| tab, then click on \| \| \| New \| \| \| \| \| 2. Ensure that \| Blank Presentation \| is \| \| \| selected \| \| \| \| \| 3. Click on \| [Create] \| \| \| colour. This template is also appropriate for very simple slides that could be used as overhead transparencies since the default font colour is black. Handy to Know…  Press + to create a blank presentation.  Once you've created a presentation based on a template, you cannot apply a different template to that presentation. But you can change the look and feel of your presentation by applying a different Theme (on the Design tab) to the presentation. ## Creating A Presentation Based On A Template PowerPoint 2010 comes complete with a range of sample templates that you can use. Each template already contains a particular design and layout, so you can choose the template that will most closely Before starting this exercise ensure PowerPoint is open... 1 Click on the File tab, then click on New to display Available Templates and Themes 2 Click on Sample Templates to display the range of installed templates 3 Click on Training, then click on [Create] to open a new presentation based on this template 4 Click on the File tab, then click on Close to close the presentation Now we'll look at the online templates... 5 Repeat step 1, then click on Presentations under Office.com Templates , then click on Training to display a range of templates in this category 6 Click on Sales training presentation, then click on [Download] You will receive a message that the file is downloading, and after a moment, a new presentation based on this template will open 7 Click on the File tab, then click on Close to close the presentation To create a presentation based on a template: 1. Click on the File tab, then click on New 2. Click on Sample Templates, then click on a category, or click on a category under Office.com Templates 3. Click on a template, then click on [Create] represent the tone of your presentation. Then all you really need to do is to type the text. Sample templates can also be downloaded freely from Microsoft's website.  To use prescribed company templates or to access templates from the relevant Templates folder on your computer network (if applicable), click on the File tab, click on New, then click on My Templates to display the New Presentation dialog box. Click on a template, then click on [OK]. ## Creating A Presentation Based On A Theme A theme is a set of colours, fonts and effects that you can apply to your presentation for a professional-looking finish. Each theme consists of a range of complimentary colours, styles (fonts) and exercise ensure that Click on the File tab, then click on New to display Backstage view 2 Click on Themes, then scroll down to view the range of available themes 3 Click on Slipstream, then click on [OK] to create a new presentation based on the Slipstream theme To create a presentation based on a theme: 1. Click on the File tab, then click on 2. Click on Themes 3. Click on a theme to select it 4. Click on [OK] effects, such as animations, so once you've applied a theme, all you really need to do is to type the text. Applying a theme ensures a consistent design across your presentation.  You can apply a different theme to an existing themed presentation. To do this, click on the Design tab, then select a theme from the Themes gallery.  All new presentations will be based on the default Office Theme (blank presentation) unless you select another theme. ## Typing Text Into The Outline Pane Text serves as the framework for your presentation. It is the key to the concepts that you are trying to communicate. You can type text directly onto a slide or you can type it directly into the Outline pane. Continue using the previous file with this exercise... Click on the Outline tab, then click to the right of the slide icon Type Transport then press A second slide will be inserted, but we want to add a sub-heading to the first slide… 3 Press to remove slide 2, then type A New Direction \| Let's insert another slide… \| \| \|-------------------------------\|-----------\| \| 4 \| \| \| Click on the \| Home \| \| the top half of \| New Slide \| \| Slides \| group to insert slide \| \|-----------------------------------------\|--------------------------\| \| 2 \| \| \| \| \| \| PowerPoint assumes that we want a \| \| \| bulleted list and therefore inserts the \| \| \| slide layout: Title and Content… \| \| 5 Type Personal, press then press to start a bulleted list 6 Type the text as shown, pressing at the end of a line to create the next bullet point Now to insert another slide using a different method… 7 Press to move to the next line, then press + to remove the indent A new slide will be inserted… 8 Using the above steps, create the remaining two slides as shown \| To \| type text \| into the \| Outline \| \|--------------------------------------\|-------------\|--------------\|-----------\| \| 1. Click in the \| Outline \| pane \| \| \| 2. Click on the top half of \| New Slide \| \| \| \| to create a new slide, then type the \| \| \| \| \| title text \| \| \| \| 3. Press then , then type the \| content text, pressing \| \|---------------------------\| \| of each bullet \| By typing text directly into the Outline pane, you are able to focus purely on the content, such as ensuring the sequence and structure of each slide is correct.  Many people prefer to structure their slide show in the Outline pane because it is fast and enables you to see each slide's relationship with the others. If you prefer, you can type text directly onto the slides in the Slide window. ## Saving A Presentation When you save a presentation all changes made to the presentation will be stored in a file. You can then open the file at any time and continue working. It cannot be stressed enough just how important it is to your presentation - in this leave it as that and select a location to save it in… \| To \| save \| a presentation: \| \|-----------------------------------\|-----------\|---------------------\| \| 1. Click on the \| File \| tab, then click on \| \| Save As \| \| \| \| 2. Type the file name in \| File name \| \| \| 3. Navigate to the desired folder \| \| \| \| 4. Click on \| [Save] \| \| save your work regularly. Once you have saved the presentation the first time, you should then save your work every few minutes where possible.  Once you've saved your presentation the first time, you can save regularly by clicking on Save in the Quick Access \| Toolbar \| or by pressing \| + \| . \| \|-----------\|--------------------\|-------\|------\|  To change the file name or location of the presentation, open the Save As dialog box. ## Inserting Slides And Text While you really should have decided on the content of the presentation well before starting to build it in PowerPoint, the reality is that you'll probably need to change the content at some stage. This ## Try This Yourself: For Your Reference… To insert a new slide using the Outline pane: can mean editing or inserting more text, as well as inserting slides in between others slides. You can insert text and slides easily in the Outline pane.  If you click on the top half of New Slide in the Slides group, a new slide will be inserted into the presentation with the last selected slide layout. ## Previewing A Slide Show Normal view will give you some idea about how your presentation will appear to the audience when presented. But the best way to test the presentation is to preview it as a slide show in Slide Show view. It's a File Same Continue using the previous file with this exercise, or open the file P803 Creating A Presentation_2.pptx... 1 Click on the Slide Show tab, then click on From Beginning in the Start Slide Show group The slide show begins from slide 1… 2 Press or click with the left mouse button to step through the slide show until you return to Normal view 3 In the Outline pane, click in the heading text on slide 3 - People Transport to display this slide in the Slide window Let's start the slide show from this page… 4 Click on From Current Slide in the Start Slide Show group 5 Press or click with the left mouse button to step through the slide show until you return to the Normal view, or press to exit the slide show earlier 6 Click on the File tab, then click on Close to close the presentation, and save the changes if required To preview a slide show from the beginning: 1. Click on From Beginning in the Start Slide Show group on the Slide Show tab To preview a slide show from the current slide: 1. Click on From Current Slide in the Start Slide Show group on the Slide Show tab good idea to test your presentation regularly, especially when you've inserted slides, animations and transitions, for example, to make sure you've got it right.  You can preview a slide show from the beginning by pressing .  You can also preview a slide show in Reading view, which allows you to view the slide show but with the Taskbar is displayed, giving you access to other windows and tasks during the slide show if required. ## Concluding Remarks Congratulations! You have now completed the Creating a presentation booklet. This booklet was designed to get you to the point where you can competently perform a variety of operations as outlined in the task list on page 2. We have tried to build up your skills and knowledge by having you work through specific tasks. The step by step approach will serve as a reference for you when you need to repeat a task. ## Where To From Here… The following is a little advice about what to do next:  Spend some time playing with what you have learnt. You should reinforce the skills that you have acquired and use some of the application's commands. This will test just how much of the concepts and features have stuck! Don't try a big task just yet if you can avoid it - small is a good way to start.  Some aspects of the course may now be a little vague. Go over some of the points that you may be unclear about. Use the examples and exercises in these notes and have another go - these step-by-step notes were designed to help you in the classroom and in the work place! Here are a few techniques and strategies that we've found handy for learning more about technology:  visit CLD's e-learning zone on the Intranet  read computer magazines - there are often useful articles about specific techniques  if you have the skills and facilities, browse the Internet, specifically the technical pages of the application that you have just learnt  take an interest in what your work colleagues have done and how they did it - we don't suggest that you plagiarise but you can certainly learn from the techniques of others  if your software came with a manual (which is rare nowadays) spend a bit of time each day reading a few pages. Then try the techniques out straight away - over a period of time you'll learn a lot this way  and of course, there are also more courses and booklets for you to work through  finally, don't forget to contact CLD's IT Training Helpdesk on 01243-752100	en
4854-pdf	Department Family Entity Date Paid Expense Type Expense Area Supplier Transaction THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 07/10/2015 BALANCE SHEET STOCKS FINISHED GOODS AAH PHARMACEUTICALS LTD 899232 £43,053.60 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 28/10/2015 BALANCE SHEET STOCKS FINISHED GOODS AAH PHARMACEUTICALS LTD 902800 £66,740.40 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 28/10/2015 BIOCHEMISTRY TRUSTWIDE LABORATORY REAGENTS ABBOTT LABORATORIES LTD 848133 £25,304.92 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 28/10/2015 BIOCHEMISTRY TRUSTWIDE POSTAGE & CARRIAGE ABBOTT LABORATORIES LTD 848133 £71.70 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 28/10/2015 BIOCHEMISTRY TRUSTWIDE LABORATORY REAGENTS ABBOTT LABORATORIES LTD 856758 £41,226.34 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 30/10/2015 BIOCHEMISTRY TRUSTWIDE LABORATORY EQUIPMENT ABBOTT LABORATORIES LTD 907944 £31,627.46 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 30/10/2015 BALANCE SHEET STOCKS FINISHED GOODS ALLOGA UK LIMITED 903467 £30,840.48 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 12/10/2015 BALANCE SHEET MEDICAL EQUIP ADDITIONS PURCH ARMSTRONG MEDICAL LTD 893263 £72,165.60 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 19/10/2015 BALANCE SHEET STOCKS FINISHED GOODS BAYER PLC 905350 £78,660.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 07/10/2015 INFORMATION TECHNOLOGY CONTR OTHER EXTERNAL CALDERDALE AND HUDDERSFIELD FOUNDATION TRUST 36078 £43,394.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 28/10/2015 BALANCE SHEET AUC PFI BLDG LEASE ADDS PURCH CONSORT HEALTHCARE (MID YORKSHIRE) LTD 905825 £1,039,311.65 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 28/10/2015 PFI ACCOUNTING UNITARY PAYMENT CONSORT HEALTHCARE (MID YORKSHIRE) LTD 907696 £3,642,010.89 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 26/10/2015 PGH UTILITIES & RATES GAS CORONA ENERGY RETAIL 4 LTD 908768 £26,038.02 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 28/10/2015 BLOOD SERVICE TRUSTWIDE BLOOD PRODUCTS CSL BEHRING UK LTD 904298 £29,600.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 21/10/2015 PGI UTILITIES & RATES ELECTRICITY EDF ENERGY LTD 906891 £39,894.19 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 21/10/2015 PGH UTILITIES & RATES ELECTRICITY EDF ENERGY LTD 906893 £87,407.60 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 21/10/2015 PGH UTILITIES & RATES ELECTRICITY EDF ENERGY LTD 906893 £64.09 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 21/10/2015 PGH UTILITIES & RATES ELECTRICITY EDF ENERGY LTD 906895 £86,608.17 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 26/10/2015 STAFF ACCOMODATION DDH ELECTRICITY EDF ENERGY LTD 908253 £69,029.17 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 30/10/2015 EDMS PROJECT EXTERNAL DATA CONTRACTS EDM GROUP LTD 906769 £24,160.87 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 28/10/2015 BALANCE SHEET STOCKS FINISHED GOODS ELI LILLY & CO LTD 898041 £57,600.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 12/10/2015 CORPORATE CENTRAL COSTS MISCELLANEOUS EXPENDITURE ERNST & YOUNG LLP 868718 £119,700.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 12/10/2015 CORPORATE CENTRAL COSTS MISCELLANEOUS EXPENDITURE ERNST & YOUNG LLP 896744 £100,200.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 05/10/2015 CORPORATE CENTRAL COSTS EXTERNAL CONSULTANCY FEES ERNST & YOUNG LLP 901265 £360,151.20 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 05/10/2015 CORPORATE CENTRAL COSTS EXTERNAL CONSULTANCY FEES ERNST & YOUNG LLP 903670 £59,400.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 30/10/2015 BALANCE SHEET MEDICAL EQUIP ADDITIONS PURCH GE MEDICAL SYSTEMS LTD 906743 £26,894.78 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 07/10/2015 MICROBIOLOGY TRUSTWIDE LABORATORY EQUIPMENT GENMED.ME LIMITED 899316 £40,972.80 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 05/10/2015 AGENCY HOLDING CODE AGENCY OTHER MEDICAL HCL DOCTORS 903676 £207,245.26 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 12/10/2015 AGENCY HOLDING CODE AGENCY OTHER MEDICAL HCL DOCTORS 905723 £174,573.85 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 21/10/2015 AGENCY HOLDING CODE AGENCY OTHER MEDICAL HCL DOCTORS 907890 £148,671.34 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 28/10/2015 AGENCY HOLDING CODE AGENCY OTHER MEDICAL HCL DOCTORS 909467 £205,514.63 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 29/10/2015 BALANCE SHEET STOCKS FINISHED GOODS HUGH STEEPER LTD 906534 £78,550.14 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 29/10/2015 BALANCE SHEET STOCKS FINISHED GOODS HUGH STEEPER LTD 906534 £11,124.87 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 21/10/2015 BALANCE SHEET NONRES BLDG ADDS PURCHASED I.H. EQUIPMENT LTD 903032 £46,895.40 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 30/10/2015 DDH UTILITIES & RATES RATES KIRKLEES COUNCIL 906118 £50,072.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 30/10/2015 GRAPHIC DESIGN CONTR PHOTOCOPIER RENTAL KONICA MINOLTA BUSINESS SOLUTIONS EAST LTD 905426 (£39,559.26) THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 30/10/2015 GRAPHIC DESIGN CONTR PHOTOCOPIER RENTAL KONICA MINOLTA BUSINESS SOLUTIONS EAST LTD 905818 £67,689.74 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 30/10/2015 GRAPHIC DESIGN CONTR PHOTOCOPIER RENTAL KONICA MINOLTA BUSINESS SOLUTIONS EAST LTD 905820 £39,559.26 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 05/10/2015 NUCLEAR MEDICINE RECHARGES LABORATORY EXTERNAL TESTS LEEDS TEACHING HOSPITALS NHS TRUST 35811 £25,160.81 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 05/10/2015 PATHOLOGY MANAGEMENT TRUSTWIDE LABORATORY EXTERNAL TESTS LEEDS TEACHING HOSPITALS NHS TRUST 35814 £47,062.15 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 30/10/2015 CLINICAL HAEMATOLOGY TRUSTWIDE CONSULTANT LEEDS TEACHING HOSPITALS NHS TRUST 35899 £439.25 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 30/10/2015 ONCOLOGY TRUSTWIDE CONSULTANT LEEDS TEACHING HOSPITALS NHS TRUST 35899 £38,367.26 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 30/10/2015 PAEDIATRICS PGH CONSULTANT LEEDS TEACHING HOSPITALS NHS TRUST 35899 £1,976.50 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 05/10/2015 BALANCE SHEET STOCKS FINISHED GOODS LLOYDS PHARMACY LTD 889703 £170,232.91 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 14/10/2015 BALANCE SHEET STOCKS FINISHED GOODS LLOYDS PHARMACY LTD 889705 £319,445.48 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 30/10/2015 RADIOLOGY MEDICAL STAFFING OTHER PUBLIC SECTOR MEDICA REPORTING LTD (MEDICA GROUP) 907754 £29,557.50 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 21/10/2015 BALANCE SHEET STOCKS FINISHED GOODS MERZ PHARMA UK LTD 903439 £46,500.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 28/10/2015 BALANCE SHEET STOCKS FINISHED GOODS MOVIANTO UK LTD 906667 £66,444.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 14/10/2015 BLOOD SERVICE TRUSTWIDE BLOOD PRODUCTS NHS BLOOD AND TRANSPLANT 36191 £119,007.75 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 14/10/2015 BLOOD SERVICE TRUSTWIDE BLOOD PRODUCTS NHS BLOOD AND TRANSPLANT 36192 (£27,471.65) THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 14/10/2015 BLOOD SERVICE TRUSTWIDE BLOOD PRODUCTS NHS BLOOD AND TRANSPLANT 36195 £40,115.25 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 22/10/2015 MYHT LOSSES AND COMPS CNST CONTRIBUTIONS NHS LITIGATION AUTHORITY 36511 £1,575,634.60 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 22/10/2015 MYHT LOSSES AND COMPS INSURANCE COSTS NHS LITIGATION AUTHORITY 36512 £38,232.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 05/10/2015 NHSP HOLDING ACCOUNT NHSP FIXED FEE CONTROL NHS PROFESSIONALS LTD 884921 £26,400.00 Reference Amount \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 12/10/2015 NHSP HOLDING ACCOUNT \| NHSP AGENCY CONTROL \| NHS PROFESSIONALS LTD \| 900824 \| £129,458.28 \| \|-----------------------------------------\|-----------------------------------------\|-------------------------------------------\|-------------------------------\|---------------------------------\|----------\|---------------\| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 12/10/2015 NHSP HOLDING ACCOUNT \| NHSP AGENCY CONTROL \| NHS PROFESSIONALS LTD \| 900824 \| £37,306.18 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 07/10/2015 NHSP HOLDING ACCOUNT \| NHSP BANK CONTROL \| NHS PROFESSIONALS LTD \| 900825 \| £91,901.12 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 07/10/2015 NHSP HOLDING ACCOUNT \| NHSP BANK CONTROL \| NHS PROFESSIONALS LTD \| 900825 \| £9,189.27 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 21/10/2015 NHSP HOLDING ACCOUNT \| NHSP AGENCY CONTROL \| NHS PROFESSIONALS LTD \| 902753 \| £130,849.80 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 21/10/2015 NHSP HOLDING ACCOUNT \| NHSP AGENCY CONTROL \| NHS PROFESSIONALS LTD \| 902753 \| £139,896.74 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 16/10/2015 NHSP HOLDING ACCOUNT \| NHSP BANK CONTROL \| NHS PROFESSIONALS LTD \| 903346 \| £78,349.55 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 16/10/2015 NHSP HOLDING ACCOUNT \| NHSP BANK CONTROL \| NHS PROFESSIONALS LTD \| 903346 \| £8,801.36 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 26/10/2015 NHSP HOLDING ACCOUNT \| NHSP AGENCY CONTROL \| NHS PROFESSIONALS LTD \| 903979 \| £106,513.56 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 26/10/2015 NHSP HOLDING ACCOUNT \| NHSP AGENCY CONTROL \| NHS PROFESSIONALS LTD \| 903979 \| £50,982.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 26/10/2015 NHSP HOLDING ACCOUNT \| NHSP BANK CONTROL \| NHS PROFESSIONALS LTD \| 903980 \| £81,479.70 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 26/10/2015 NHSP HOLDING ACCOUNT \| NHSP BANK CONTROL \| NHS PROFESSIONALS LTD \| 903980 \| £6,832.25 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 30/10/2015 NHSP HOLDING ACCOUNT \| NHSP BANK CONTROL \| NHS PROFESSIONALS LTD \| 906039 \| £80,546.48 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 30/10/2015 NHSP HOLDING ACCOUNT \| NHSP BANK CONTROL \| NHS PROFESSIONALS LTD \| 906039 \| £8,792.77 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 26/10/2015 FACILITIES - HEALTH CENTRES \| CONTR ESTATE MANAGEMENT \| NHS PROPERTY SERVICES LTD \| 35473 \| £46,346.28 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 26/10/2015 FACILITIES - HEALTH CENTRES \| CONTR ESTATE MANAGEMENT \| NHS PROPERTY SERVICES LTD \| 35474 \| £46,346.28 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 26/10/2015 FACILITIES - HEALTH CENTRES \| CONTR ESTATE MANAGEMENT \| NHS PROPERTY SERVICES LTD \| 35885 \| £185,385.11 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 26/10/2015 FACILITIES - HEALTH CENTRES \| CONTR ESTATE MANAGEMENT \| NHS PROPERTY SERVICES LTD \| 35886 \| £185,385.11 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 26/10/2015 FACILITIES - HEALTH CENTRES \| CONTR ESTATE MANAGEMENT \| NHS PROPERTY SERVICES LTD \| 35887 \| (£46,346.28) \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 26/10/2015 FACILITIES - HEALTH CENTRES \| CONTR ESTATE MANAGEMENT \| NHS PROPERTY SERVICES LTD \| 35888 \| (£46,346.28) \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 28/10/2015 RADIOLOGY MANAGEMENT TRUSTWIDE \| X-RAY EQUIP MAINT/REPAIR \| NHS SUPPLY CHAIN \| 36300 \| £61,874.25 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 28/10/2015 RADIOLOGY MANAGEMENT TRUSTWIDE \| X-RAY EQUIP MAINT/REPAIR \| NHS SUPPLY CHAIN \| 36300 \| £1,262.76 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 07/10/2015 BALANCE SHEET \| NONNHS TRADE CR < 1 YR \| NHS SUPPLY CHAIN \| 36354 \| £50,714.97 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 07/10/2015 BALANCE SHEET \| NONNHS TRADE CR < 1 YR \| NHS SUPPLY CHAIN \| 36355 \| £92,211.30 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 14/10/2015 BALANCE SHEET \| NONNHS TRADE CR < 1 YR \| NHS SUPPLY CHAIN \| 36464 \| £50,679.49 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 14/10/2015 BALANCE SHEET \| NONNHS TRADE CR < 1 YR \| NHS SUPPLY CHAIN \| 36465 \| £128,845.81 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 21/10/2015 BALANCE SHEET \| NONNHS TRADE CR < 1 YR \| NHS SUPPLY CHAIN \| 36548 \| £47,323.55 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 21/10/2015 BALANCE SHEET \| NONNHS TRADE CR < 1 YR \| NHS SUPPLY CHAIN \| 36549 \| £109,876.50 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 28/10/2015 BALANCE SHEET \| NONNHS TRADE CR < 1 YR \| NHS SUPPLY CHAIN \| 36625 \| £44,523.05 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 28/10/2015 BALANCE SHEET \| NONNHS TRADE CR < 1 YR \| NHS SUPPLY CHAIN \| 36626 \| £110,611.65 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 30/10/2015 ULTRASOUND \| AGENCY PROF & TECH \| NORTHERN MEDICAL ULTRASOUND \| 906221 \| £30,624.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 07/10/2015 BALANCE SHEET \| STOCKS FINISHED GOODS \| NOVARTIS PHARMACEUTICALS UK LTD \| 899610 \| £91,311.84 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 30/10/2015 BALANCE SHEET \| STOCKS FINISHED GOODS \| NOVARTIS PHARMACEUTICALS UK LTD \| 905905 \| £80,412.53 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 30/10/2015 BALANCE SHEET \| MEDICAL EQUIP ADDITIONS PURCH \| ORTHOSONICS LTD \| 907425 \| £58,609.88 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 30/10/2015 A&E PGH & PGI \| GENERAL PRACTITIONERS \| PRIMECARE \| 906211 \| £34,110.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 21/10/2015 BALANCE SHEET \| STOCKS FINISHED GOODS \| QUALASEPT \| 903402 \| £43,217.40 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 28/10/2015 BALANCE SHEET \| STOCKS FINISHED GOODS \| ROCHE PRODUCTS LTD \| 898705 \| £95,715.12 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 28/10/2015 BALANCE SHEET \| STOCKS FINISHED GOODS \| ROCHE PRODUCTS LTD \| 903387 \| £32,047.80 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 28/10/2015 BALANCE SHEET \| STOCKS FINISHED GOODS \| ROCHE PRODUCTS LTD \| 905898 \| £82,268.16 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 21/10/2015 LAUNDRY DDH \| EXT CONTR LAUNDRY \| SYNERGY HEALTH (UK) LTD \| 904239 \| £33,061.19 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 07/10/2015 PGH UTILITIES & RATES \| RATES \| WAKEFIELD COUNCIL \| 906099 \| £241,570.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 07/10/2015 PGI UTILITIES & RATES \| RATES \| WAKEFIELD COUNCIL \| 906100 \| £51,765.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 14/10/2015 ENDOSCOPY UNIT DDH \| MED & SURG MAINT CONTRACT \| WASSENBURG LTD \| 901680 \| £69,493.20 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 14/10/2015 ENDOSCOPY UNIT PGH & PGI \| MED & SURG MAINT CONTRACT \| WASSENBURG LTD \| 901680 \| £117,999.60 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 16/10/2015 DDH UTILITIES & RATES \| WATER \| YORKSHIRE WATER SERVICES LTD \| 906896 \| £45,160.16 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 26/10/2015 PGH UTILITIES & RATES \| WATER \| YORKSHIRE WATER SERVICES LTD \| 908789 \| £450.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 26/10/2015 PGH UTILITIES & RATES \| WATER \| YORKSHIRE WATER SERVICES LTD \| 908789 \| £31,083.39 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 30/10/2015 ORTHOPAEDICS TRUSTWIDE \| KNEES - PRIMARY \| ZIMMER LTD \| 904737 \| £62,280.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 26/08/2015 BALANCE SHEET \| PAYROLL DED'NS N/S <1YR \| EDENRED \| 44953 \| £41,118.83 \|	en
4490-pdf	\| Department Family \| Entity \| Date Paid \| Expense Type \| Expense Area \| Supplier \| Transaction Reference \| \|---------------------------------------\|---------------------------------------\|------------------------------------\|----------------------------\|----------------------------------------------\|------------\|-------------------------\| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 28/06/2016 BALANCE SHEET \| STOCKS FINISHED GOODS \| AAH PHARMACEUTICALS LTD \| 971709 \| £27,054.07 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 01/06/2016 MRI SERVICE \| INDEPENDENT SECTOR \| ALLIANCE MEDICAL LTD \| 958143 \| £23,400.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 01/06/2016 MRI SERVICE \| INDEPENDENT SECTOR \| ALLIANCE MEDICAL LTD \| 968076 \| (£23,400.00) \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 22/06/2016 BALANCE SHEET \| STOCKS FINISHED GOODS \| AMGEN LIMITED \| 977678 \| £25,272.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 13/06/2016 INFORMATION TECHNOLOGY \| COMPUTER MAINTENANCE \| AXIOM TDM LIMITED \| 972962 \| £70,500.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 15/06/2016 BALANCE SHEET \| STOCKS FINISHED GOODS \| BAYER PLC \| 966293 \| £78,660.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 22/06/2016 INFORMATION TECHNOLOGY \| CONTR OTHER EXTERNAL \| CALDERDALE AND HUDDERSFIELD FOUNDATION TRUST \| 38747 \| £39,602.23 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 22/06/2016 MYHT FINANCE TEAM \| AUDIT FEES: INTERNAL \| CALDERDALE AND HUDDERSFIELD FOUNDATION TRUST \| 39027 \| £34,500.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 20/06/2016 INFORMATION TECHNOLOGY \| COMPUTER HARDWARE PURCH \| CDW LTD \| 970364 \| £46,569.60 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 28/06/2016 BALANCE SHEET \| NONRES BLDG ADDS PURCHASED \| CONSORT HEALTHCARE (MID YORKSHIRE) LTD \| 975422 \| £297,381.37 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 28/06/2016 PFI ACCOUNTING \| UNITARY PAYMENT \| CONSORT HEALTHCARE (MID YORKSHIRE) LTD \| 978321 \| £3,512,518.75 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 28/06/2016 BALANCE SHEET \| STOCKS FINISHED GOODS \| CSL BEHRING UK LTD \| 967606 \| £27,900.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 01/06/2016 BUSINESS INTELLIGENCE \| COMPUTER SOFTWARE/LICENSE \| DR FOSTER LTD \| 965163 \| £95,600.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 28/06/2016 PGI UTILITIES & RATES \| ELECTRICITY \| EDF ENERGY LTD \| 975057 \| £7.62 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 28/06/2016 PGI UTILITIES & RATES \| ELECTRICITY \| EDF ENERGY LTD \| 975057 \| £39,923.64 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 01/06/2016 INFORMATION TECHNOLOGY \| COMPUTER MAINTENANCE \| ELITEMICRO LTD \| 965181 \| £27,756.58 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 01/06/2016 AGENCY HOLDING CODE \| AGENCY OTHER MEDICAL \| HCL DOCTORS \| 968163 \| £12,317.50 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 01/06/2016 AGENCY HOLDING CODE \| AGENCY OTHER MEDICAL \| HCL DOCTORS \| 968163 \| £68,124.05 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 01/06/2016 AGENCY HOLDING CODE \| AGENCY OTHER MEDICAL \| HCL DOCTORS \| 969623 \| £13,132.60 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 01/06/2016 AGENCY HOLDING CODE \| AGENCY OTHER MEDICAL \| HCL DOCTORS \| 969623 \| £51,154.07 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 06/06/2016 AGENCY HOLDING CODE \| AGENCY OTHER MEDICAL \| HCL DOCTORS \| 971873 \| £11,649.70 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 06/06/2016 AGENCY HOLDING CODE \| AGENCY OTHER MEDICAL \| HCL DOCTORS \| 971873 \| £38,671.62 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 13/06/2016 AGENCY HOLDING CODE \| AGENCY OTHER MEDICAL \| HCL DOCTORS \| 973279 \| £7,118.50 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 13/06/2016 AGENCY HOLDING CODE \| AGENCY OTHER MEDICAL \| HCL DOCTORS \| 973279 \| £31,539.59 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 22/06/2016 AGENCY HOLDING CODE \| AGENCY OTHER MEDICAL \| HCL DOCTORS \| 975848 \| £15,446.85 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 22/06/2016 AGENCY HOLDING CODE \| AGENCY OTHER MEDICAL \| HCL DOCTORS \| 975848 \| £84,266.53 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 22/06/2016 BALANCE SHEET \| STOCKS FINISHED GOODS \| HEALTHCARE AT HOME LTD \| 971211 \| £81,360.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 01/06/2016 INFORMATION TECHNOLOGY \| COMPUTER MAINTENANCE \| HEALTHCARE SOFTWARE SYSTEMS \| 970749 \| £55,100.11 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 28/06/2016 BALANCE SHEET \| STOCKS FINISHED GOODS \| JANSSEN CILAG LTD \| 968284 \| £49,169.04 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 15/06/2016 BALANCE SHEET \| AUC ADDITIONS \| KIER CONSTRUCTION LTD \| 970972 \| £43,580.92 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 01/06/2016 DDH UTILITIES & RATES \| RATES \| KIRKLEES COUNCIL \| 970652 \| £68,586.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 28/06/2016 DDH UTILITIES & RATES \| RATES \| KIRKLEES COUNCIL \| 976781 \| £68,586.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 01/06/2016 BALANCE SHEET \| STOCKS FINISHED GOODS \| LLOYDS PHARMACY LTD \| 956740 \| £228,843.30 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 01/06/2016 BALANCE SHEET \| STOCKS FINISHED GOODS \| LLOYDS PHARMACY LTD \| 956741 \| £226,088.69 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 01/06/2016 BALANCE SHEET \| STOCKS FINISHED GOODS \| LLOYDS PHARMACY LTD \| 965888 \| £163,306.95 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 01/06/2016 BALANCE SHEET \| STOCKS FINISHED GOODS \| LLOYDS PHARMACY LTD \| 965892 \| £254,504.70 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 01/06/2016 PACEMAKERS \| PACEMAKERS \| MEDTRONIC LTD \| 963905 \| £49,046.40 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 28/06/2016 GENERAL OFFICE PGH \| POSTAGE & CARRIAGE \| NEOPOST LTD \| 979421 \| £39,000.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 08/06/2016 BLOOD SERVICE TRUSTWIDE \| BLOOD PRODUCTS \| NHS BLOOD AND TRANSPLANT \| 38851 \| £42,702.83 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 08/06/2016 BLOOD SERVICE TRUSTWIDE \| BLOOD PRODUCTS \| NHS BLOOD AND TRANSPLANT \| 38853 \| £112,598.33 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 28/06/2016 BALANCE SHEET \| OTH PROVN UTILISATION >1YR \| NHS BUSINESS SERVICES AUTHORITY \| 38551 \| £108,339.56 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 15/06/2016 MYHT LOSSES AND COMPS \| CNST CONTRIBUTIONS \| NHS LITIGATION AUTHORITY \| 39163 \| £1,733,198.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 15/06/2016 MYHT LOSSES AND COMPS \| INSURANCE COSTS \| NHS LITIGATION AUTHORITY \| 39164 \| £39,459.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 01/06/2016 NHSP HOLDING ACCOUNT \| NHSP AGENCY CONTROL \| NHS PROFESSIONALS LTD \| 968505 \| £217,061.67 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 01/06/2016 NHSP HOLDING ACCOUNT \| NHSP BANK CONTROL \| NHS PROFESSIONALS LTD \| 968506 \| £81,710.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 01/06/2016 NHSP HOLDING ACCOUNT \| NHSP BANK CONTROL \| NHS PROFESSIONALS LTD \| 968506 \| £6,523.90 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 08/06/2016 NHSP HOLDING ACCOUNT \| NHSP BANK CONTROL \| NHS PROFESSIONALS LTD \| 970370 \| £80,563.73 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 08/06/2016 NHSP HOLDING ACCOUNT \| NHSP BANK CONTROL \| NHS PROFESSIONALS LTD \| 970370 \| £7,677.89 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 08/06/2016 NHSP HOLDING ACCOUNT \| NHSP AGENCY CONTROL \| NHS PROFESSIONALS LTD \| 970371 \| £144,910.56 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 15/06/2016 NHSP HOLDING ACCOUNT \| NHSP AGENCY CONTROL \| NHS PROFESSIONALS LTD \| 971928 \| £95,115.75 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 15/06/2016 NHSP HOLDING ACCOUNT \| NHSP BANK CONTROL \| NHS PROFESSIONALS LTD \| 971930 \| £87,366.38 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 15/06/2016 NHSP HOLDING ACCOUNT \| NHSP BANK CONTROL \| NHS PROFESSIONALS LTD \| 971930 \| £7,126.21 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 22/06/2016 NHSP HOLDING ACCOUNT \| NHSP BANK CONTROL \| NHS PROFESSIONALS LTD \| 973814 \| £84,071.48 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 22/06/2016 NHSP HOLDING ACCOUNT \| NHSP BANK CONTROL \| NHS PROFESSIONALS LTD \| 973814 \| £5,907.85 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 28/06/2016 NHSP HOLDING ACCOUNT \| NHSP AGENCY CONTROL \| NHS PROFESSIONALS LTD \| 973816 \| £221,658.10 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 22/06/2016 NHSP HOLDING ACCOUNT \| NHSP FIXED FEE CONTROL \| NHS PROFESSIONALS LTD \| 974045 \| £62,400.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 01/06/2016 TRUST MEDICAL PHYSICS \| X-RAY EQUIP MAINT/REPAIR \| NHS SUPPLY CHAIN \| 38066 \| £33,401.40 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 01/06/2016 TRUST MEDICAL PHYSICS \| X-RAY EQUIP MAINT/REPAIR \| NHS SUPPLY CHAIN \| 38066 \| £681.60 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 08/06/2016 TRUST MEDICAL PHYSICS \| X-RAY EQUIP MAINT/REPAIR \| NHS SUPPLY CHAIN \| 38577 \| £209,564.75 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 08/06/2016 TRUST MEDICAL PHYSICS \| X-RAY EQUIP MAINT/REPAIR \| NHS SUPPLY CHAIN \| 38577 \| £4,276.88 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 01/06/2016 TRUST MEDICAL PHYSICS \| X-RAY EQUIP MAINT/REPAIR \| NHS SUPPLY CHAIN \| 38613 \| £38,959.35 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 01/06/2016 TRUST MEDICAL PHYSICS \| X-RAY EQUIP MAINT/REPAIR \| NHS SUPPLY CHAIN \| 38613 \| £795.21 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 01/06/2016 TRUST MEDICAL PHYSICS \| X-RAY EQUIP MAINT/REPAIR \| NHS SUPPLY CHAIN \| 38709 \| £58,272.30 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 01/06/2016 TRUST MEDICAL PHYSICS \| X-RAY EQUIP MAINT/REPAIR \| NHS SUPPLY CHAIN \| 38709 \| £1,189.14 \| \|-----------------------------------------\|-----------------------------------------\|-------------------------------------------\|-------------------------------\|----------------------------------------\|---------\|-------------\| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 01/06/2016 BALANCE SHEET \| MEDICAL EQUIP ADDITIONS PURCH \| NHS SUPPLY CHAIN \| 38773 \| £295,376.93 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 15/06/2016 BALANCE SHEET \| NONNHS TRADE CR < 1 YR \| NHS SUPPLY CHAIN \| 38937 \| £64,328.27 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 15/06/2016 BALANCE SHEET \| NONNHS TRADE CR < 1 YR \| NHS SUPPLY CHAIN \| 38938 \| £119,111.37 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 28/06/2016 BALANCE SHEET \| NONNHS TRADE CR < 1 YR \| NHS SUPPLY CHAIN \| 39021 \| £54,960.33 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 28/06/2016 BALANCE SHEET \| NONNHS TRADE CR < 1 YR \| NHS SUPPLY CHAIN \| 39022 \| £155,288.44 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 01/06/2016 A&E PGH & PGI \| GENERAL PRACTITIONERS \| NORTHERN HEALTH LTD \| 964005 \| £46,500.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 15/06/2016 A&E PGH & PGI \| GENERAL PRACTITIONERS \| NORTHERN HEALTH LTD \| 969587 \| £46,500.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 08/06/2016 BALANCE SHEET \| STOCKS FINISHED GOODS \| NOVARTIS PHARMACEUTICALS UK LTD \| 968278 \| £82,393.92 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 06/06/2016 BALANCE SHEET \| STOCKS FINISHED GOODS \| PHARMAXO PHARMACY LIMITED \| 967658 \| £31,500.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 01/06/2016 AGENCY HOLDING CODE \| AGENCY OTHER MEDICAL \| QX LIMITED \| 971820 \| £81,829.67 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 10/06/2016 AGENCY HOLDING CODE \| AGENCY OTHER MEDICAL \| QX LIMITED \| 974291 \| £146,054.40 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 15/06/2016 AGENCY HOLDING CODE \| AGENCY OTHER MEDICAL \| QX LIMITED \| 976137 \| £101,319.48 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 22/06/2016 AGENCY HOLDING CODE \| AGENCY OTHER MEDICAL \| QX LIMITED \| 978322 \| £124,681.56 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 29/06/2016 AGENCY HOLDING CODE \| AGENCY OTHER MEDICAL \| QX LIMITED \| 980423 \| £105,170.29 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 28/06/2016 BALANCE SHEET \| STOCKS FINISHED GOODS \| ROCHE PRODUCTS LTD \| 969074 \| £25,750.75 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 01/06/2016 LAUNDRY DDH \| EXT CONTR LAUNDRY \| SYNERGY HEALTH (UK) LTD \| 964970 \| £29,217.10 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 06/06/2016 CLINICAL HAEMATOLOGY TRUSTWIDE \| CONSULTANT \| THE LEEDS TEACHING HOSPITALS NHS TRUST \| 38139 \| £439.25 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 06/06/2016 ONCOLOGY TRUSTWIDE \| CONSULTANT \| THE LEEDS TEACHING HOSPITALS NHS TRUST \| 38139 \| £38,367.26 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 06/06/2016 WOMEN'S MEDICAL STAFFING TW \| CONSULTANT \| THE LEEDS TEACHING HOSPITALS NHS TRUST \| 38139 \| £1,976.50 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 20/06/2016 CLINICAL HAEMATOLOGY TRUSTWIDE \| CONSULTANT \| THE LEEDS TEACHING HOSPITALS NHS TRUST \| 38674 \| £452.87 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 20/06/2016 ONCOLOGY TRUSTWIDE \| CONSULTANT \| THE LEEDS TEACHING HOSPITALS NHS TRUST \| 38674 \| £34,828.12 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 20/06/2016 PAEDIATRICS PGH \| CONSULTANT \| THE LEEDS TEACHING HOSPITALS NHS TRUST \| 38674 \| £2,226.38 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 06/06/2016 RADIOLOGY MEDICAL STAFFING \| SENIOR LECTURER \| THE LEEDS TEACHING HOSPITALS NHS TRUST \| 38804 \| £45,000.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 28/06/2016 CLINICAL HAEMATOLOGY TRUSTWIDE \| CONSULTANT \| THE LEEDS TEACHING HOSPITALS NHS TRUST \| 38807 \| £452.83 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 28/06/2016 ONCOLOGY TRUSTWIDE \| CONSULTANT \| THE LEEDS TEACHING HOSPITALS NHS TRUST \| 38807 \| £34,828.08 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 28/06/2016 PAEDIATRICS PGH \| CONSULTANT \| THE LEEDS TEACHING HOSPITALS NHS TRUST \| 38807 \| £2,226.42 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 06/06/2016 NUCLEAR MEDICINE RECHARGES \| LABORATORY EXTERNAL TESTS \| THE LEEDS TEACHING HOSPITALS NHS TRUST \| 38894 \| £29,698.29 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 28/06/2016 RADIOLOGY MEDICAL STAFFING \| SENIOR LECTURER \| THE LEEDS TEACHING HOSPITALS NHS TRUST \| 39087 \| £25,644.46 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 28/06/2016 BALANCE SHEET \| PAYROLL DED'NS N/S <1YR \| UNISON \| 39191 \| £69,613.34 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 16/06/2016 PGH UTILITIES & RATES \| BUSINESS RATES \| WAKEFIELD COUNCIL \| 976797 \| £250,985.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 16/06/2016 PGI UTILITIES & RATES \| BUSINESS RATES \| WAKEFIELD COUNCIL \| 976798 \| £52,185.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 22/06/2016 PGH UTILITIES & RATES \| WATER \| YORKSHIRE WATER SERVICES LTD \| 975973 \| £37,047.12 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 22/06/2016 PGH UTILITIES & RATES \| WATER \| YORKSHIRE WATER SERVICES LTD \| 975973 \| £450.00 \| \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| THE MID YORKSHIRE HOSPITALS NHS TRUST \| 28/06/2016 BALANCE SHEET \| PAYROLL DED'NS N/S < 1YR \| EDEN RED \| 51381 \| £41,694.39 \|	en
3524-pdf	## A1 - Blagab I Minus E Computation (Lam03000) Total Step 1 - BLAGAB income Property business (LAM3090) Loan relationship and derivative income (LAM03070) 47,701 527,136 574,837 Net chargeable gains (LAM03200) (G) 230,333 Step 2 - BLAGAB chargeable gains less losses Sundry receipts (LAM03100) Minimum profits charge (A2) (LAM03500) 455 9,500 9,955 Step 3 - Sundry receipts and minimum profits charge 821,247 (2,501) Sum of steps 1 - 3 Non-trading deficit (LAM03070) 'I' 818,746 Step 4 - Sum of steps 1 - 3, deduct any BLAGAB nontrading deficit. Result is 'I' (A3) (288,650) Less BLAGAB management expenses (LAM04000) Step 5 - Adjusted BLAGAB management expenses 'E' Step 6 - subtract 'E' from 'I' I minus E profit / (excess BLAGAB expenses) Less non-BLAGAB allowable losses under s95 FA 2012 (LAM03400) (A8) (6,122) 536,218 530,096 ## A2 - Minimum Profits Charge (Lam03510) \| \| \|--------------------------------------\| \| Total \| \| 530,096 \| \| (9,500) \| \| 118,577 \| \| I minus E profit \| \| (A1) \| \| \| \| Ignore minimum profits charge \| \| Add BLAGAB non-taxable distributions \| \| \| \| \| \| \| \| \| \| 639,173 \| \| Adjusted I- E profit / \| \| excess BLAGAB \| \| expenses \| \| \| \| \| \| BLAGAB trade profit \| \| (A4) \| \| \| \| Less BLAGAB trade loss b/f \| \| \| \| 650,273 \| \| (1,600) \| \| \| \| Adjusted BLAGAB \| \| trade profit \| \| \| \| \| \| \| \| 648,673 \| \| \| \| (A1) \| \| \| \| 9,500 \| \| 1 \| \| \| \| \| \| Minimum profits charge \| \| \| \| Compare the \| \| adjusted BLAGAB \| \| trade profit with \| \| adjusted I- E profit \| ## A3 - Blagab Management Expenses (Lam04000) Total Ordinary BLAGAB management expenses 109,620 Step 1 - Company's ordinary BLAGAB management expenses of the AP Step 2 less six-sevenths of the acquisition expenses of the period (42,500) 67,120 Spreading of acquisition expenses Capital allowances on management assets Transitional relief for old annuity contracts 169,150 22,500 8,350 200,000 Step 3 - deemed BLAGAB management expenses - FA2012/S78(3) Sum of steps 1 to 3 Deduct relief previously given for expenses repaid in the AP Adjust for BLAGAB trade loss relieved 267,120 (3,600) 0 263,520 Step 4 - total of steps 1-3, adjust for expenses reversed in the AP and BLAGAB trade loss utilised Step 5 - add management expenses brought forward to the sum of step 4 12,500 12,630 (A1) 25,130 288,650 Management expenses brought forward Minimum profits charge of previous AP Adjusted BLAGAB management expenses 1 The Minimum Profits Charge is carried forward to the next accounting period as an excess management expense ## A4 - Blagab Trade (Lam07000) \| \| \| \|-------------------------------------------\|---------\| \| \| \| \| Total \| \| \| Profit before tax \| \| \| \| \| \| \| 677,211 \| \| Accounting profit \| \| \| before tax \| \| \| \| \| \| \| \| \| \| \| \| Adjustments to \| \| \| accounting profit \| \| \| 9,430 \| \| \| (27,350) \| \| \| 11,620 \| \| \| (1,350) \| \| \| (19,288) \| \| \| nil \| \| \| Disallowed expenses \| \| \| Capital allowances - management assets \| \| \| Pre 2013 Deferred Acquisition Costs (DAC) \| \| \| Pre 2013 Deferred income \| \| \| Transitional receipt/(expense) \| \| \| Policyholder tax adjustment (A7) \| \| \| \| \| \| \| \| \| \| \| \| LAM07150 \| \| \| \| \| \| LAM07150 \| \| \| \| \| \| \| \| \| LAM07040 \| \| \| LAM07040 \| \| \| LAM07130 \| \| \| LAM07210 \| \| \| \| \| \| (26,938) \| \| \| BLAGAB trade profit \| \| \| BLAGAB trade \| \| \| profit for tax \| \| \| \| \| \| BLAGAB trade loss brought forward \| \| \| \| \| \| (1,600) \| \| \| \| \| \| (A2) (A7) \| \| \| \| \| \| LAM07310 \| \| \| \| \| \| 648,673 \| \| \| \| \| \| Less BLAGAB \| \| \| trade loss \| \| \| brought forward \| \| \| \| \| ## A5 - Non-Blagab Trade (Lam07000) \| \| \| \|-------------------------------------------\|---------\| \| \| \| \| Total \| \| \| Loss before tax \| \| \| \| \| \| \| (6,253) \| \| Accounting \| \| \| profit/loss before \| \| \| tax \| \| \| \| \| \| \| \| \| \| \| \| Adjustments to \| \| \| accounting profit \| \| \| 3,650 \| \| \| (2,460) \| \| \| 10,340 \| \| \| (7,630) \| \| \| 4,350 \| \| \| Disallowed expenses \| \| \| Capital allowances - management assets \| \| \| Pre 2013 Deferred Acquisition Costs (DAC) \| \| \| Pre 2013 Deferred income \| \| \| Transitional receipt/(expense) \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| 8,250 \| \| \| \| \| \| \| \| \| Non-BLAGAB trade profit/loss before \| \| \| foreign tax \| \| \| Foreign tax deducted \| \| \| \| \| \| 1,997 \| \| \| \| \| \| (7,602) \| \| \| \| \| \| \| \| \| \| \| \| Non-BLAGAB trade loss \| \| \| \| \| \| (5,605) \| \| \| \| \| \| \| \| \| Non-BLAGAB loss \| \| \| for tax \| \| \| \| \| \| Less offset against other profits \| \| \| (A8) \| \| \| \| \| \| (5,605) \| \| \| \| \| \| \| \| \| \| Nil \| \| (5,840) \| \| \| Non-BLAGAB \| \| \| trade losses \| \| \| Current period loss carried forward \| \| \| Non-BLAGAB trade loss brought forward \| \| \| \| \| \| \| \| ## A6 - Long-Term Business Fixed Capital And Other Non-Trade (Lam11000) LTBFC contains structural assets and those grandfathered from pre 1 January 2013 shareholders' funds. Tax rules applicable to investment companies apply. Total 21,540 7,660 655 (655) (5,880) (1,250) 22,070 Loan relationships and derivative income Non-trading gain on intangible assets Chargeable gains Capital losses not arising from BLAGAB Management expenses Non-trading loan relationship deficit brought forward CTA2009/S457(1) Profit / (loss) (A8) ## A7 - Policyholders' Share Of I Minus E Profit (Lam06000) Policyholders' share calculation Adjusted amount of BLAGAB trade profit Shareholders' share of BLAGAB nontaxable distributions Total 530,096 (530,096) nil 648,673 (118,577) 530,096 118,577 118,577 I minus E profit (A1) Reduced by adjusted BLAGAB trade profit(below) Policyholders' share (A8) BLAGAB trade profit reduced by brought forward losses (A4) Reduced by shareholders share of BLAGAB non-taxable distributions Adjusted BLAGAB trade profit BLAGAB non-taxable distributions (A2) Shareholders' share of BLAGAB non-taxable distributions (LAM05050) ## A8 - Tax Calculation \| \| LTBFC \| \| Total per return \| \| \| \| BLAGAB \| \|------------------------\|-----------\|-----------\|----------------------\|--------\|---------\|----------------\|-------------------\| \| I - E \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| (A1) \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| (A6) \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| 527,136 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| 21,540 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| 548.676 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Non-trade loan \| \| \| \| \| \| \| \| \| relationship \| \| \| \| \| \| \| \| \| income \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Property business \| \| \| \| \| \| \| \| \| (A1) \| \| \| \| \| \| \| \| \| \| 47,701 \| \| \| \| 47,701 \| \| \| \| \| \| \| \| \| \| \| \| \| (A1) \| \| \| \| \| \| \| \| \| \| 9,955 \| \| \| \| 9,955 \| Sundry and \| \| \| minimum profits \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Profits before gains \| \| \| \| \| \| \| \| \| (A1) \| \| \| \| \| \| \| \| \| \| 584,792 \| \| \| \| \| \| \| \| (A6) \| \| \| \| \| \| \| \| \| 21,540 \| \| 606,332 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| (G) \| \| \| \| \| \| \| \| \| \| 236,455 \| \| 0 \| \| 236,455 \| Net chargeable \| \| \| gains \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| (A6) \| \| \| \| \| \| \| \| \| 7,660 \| \| 7,660 \| Non-trading gain on \| \| \| \| \| \| intangible fixed \| \| \| \| \| \| \| \| \| assets \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Non trading deficit \| \| \| \| \| \| \| \| \| on loan relationship \| \| \| \| \| \| \| \| \| \| \| \| (2,501) \| \| \| \| \| \| (A1) \| \| \| \| \| \| \| \| \| \| (2,501) \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| (A3) \| \| \| \| \| \| \| \| \| \| (288,650) \| \| \| \| \| \| \| \| (A6) \| \| \| \| \| \| \| \| \| (5,880) \| \| (294,530) \| Management \| \| \| \| \| \| expenses \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| (A6) \| \| \| \| \| \| \| \| \| (1,250) \| \| (1,250) \| Non-trading loan \| \| \| \| \| \| relationship deficits \| \| \| \| \| \| \| \| \| brought forward \| \| \| \| \| \| \| \| \| CTA09/S457(1) \| \| \| \| \| \| \| \| \| \| \| \| _______ \| \| ______ \| ______ \| \| \| \| \| \| \| \| \| \| \| \| (A1) \| \| \| \| \| \| \| \| \| 530,096 \| \| \| \| \| \| \| \| \| (A6) \| \| \| \| \| \| \| \| \| 22,070 \| \| 552,166 \| Net profits before \| \| \| \| \| \| reliefs \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| 530,096 \| \| 22,070 \| \| 552,166 \| \| \| Shareholders' \| \| \| \| \| \| \| \| \| profits before reliefs \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| (A5) \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Less trading losses \| \| \| \| \| \| \| \| \| CTA10/S37 (non- \| \| \| \| \| \| \| \| \| BLAGAB) \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Group relief \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| (5,605) \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| (120,650 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| (5,605) \| \| \| \| \| \| \| \| \| 2 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| (120,650) \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| ______ \| \| \| \| \| \| \| \| \| _ \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| 403,841 \| \| 22,070 \| \|-----------------------\|-----\|------------\|---------\|-----------\| \| (A9) \| \| \| \| \| \| 425,911 \| \| \| \| \| \| Shareholders' \| \| \| \| \| \| share of profits \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| (A7) \| \| \| \| \| \| nil \| \| \| \| \| \| (A9) \| \| \| \| \| \| nil \| \| \| \| \| \| Policyholders' \| \| \| \| \| \| share of profits \| \| \| \| \| \| \| \| \| _______ \| \| \| Total taxable profits \| \| \| \| \| \| 403,841 \| \| 22,070 \| \| 425,911 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| ## A9 - Tax Liability \| \| \| Tax \| \| Profit \| \| Rate \| \|------------------------------------\|------------\|-----------\|---------\|-----------\|--------\|--------------------\| \| Corporation tax \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| On policyholders' share of profits \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| 2016 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| 20.00% \| \| \| 2017 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| 20.00% \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Tax on policyholders' profit \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| nil \| \| \| \| \| \| \| (A8) \| \| \| \| \| \| \| \| nil \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| On shareholders' profits \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| 2016 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| 21,016.20 \| \| 105,081 \| 20.00% \| \| \| \| 2017 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| 60,957.70 \| \| 320,830 \| 19.00% \| \| \| \| \| \| \| \| \| \| \| \| Tax on shareholders' profits \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| 82,063.90 \| \| \| \| \| \| \| (A8) \| \| \| \| \| \| \| \| 425,911 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Tax before DTR \| \| 82,063.90 \| \| \| \| \| \| \| \| \| \| \| \| \| \| DTR relief \| \| \| \| \| \| \| \| (B) \| \| \| \| \| \| \| \| (1,112) \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| (3,556.10) \| \| \| \| \| Income Tax set off \| \| \| \| \| \| \| \| \| \| Corporation tax liability \| \| \| \| \| \| \| \| 77,395.8 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| ## B1 - Double Tax Relief - Summary (Lam09000) \| Category \| Relevant \| Foreign \| Creditable \| Actual \| Tax deductible \| \|-------------\|-------------\|------------\|---------------\|-----------\|-------------------\| \| income \| tax \| tax before \| \| \| \| \| Excess \| \| \| \| \| \| \| foreign \| creditable \| \| \| \| \| \| limitations \| tax \| tax \| \| \| \| \| BLAGAB (B2) \| 81,420 \| 1,112 \| 1,112 \| 0 \| \| \| (A9) \| \| \| \| \| \| \| 1,112 \| 0 \| \| \| \| \| \| Non-BLAGAB \| 302,897 \| 7,602 \| 6,700 \| 902 \| \| \| (A9) \| \| \| \| \| \| \| 0 \| \| \| \| \| \| \| \| \| \| \| \| \| \| 7,602 \| \| \| \| \| \| \| (B3) \| \| \| \| \| \| \| Total \| 384,317 \| 8,714 \| 7,812 \| 0 \| 1,112 \| \| (A5) \| \| \| \| \| \| \| 7,602 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| ## B2 - Foreign Income - Blagab Source Relevant Foreign Rate Foreign Appropriate Income Relevant Income Actual income tax % tax to Excess foreign fraction of above fraction restricted Maximum creditable creditable 20.25% tax relevant expenses of profits to profits tax tax expenses TIOPA TIOPA (TRE x RI/TI) 2010 s100 2010 s101 Overseas 19,230 260 1.38 260 0 17,250 1,980 15,631 1,980 400 260 shares Overseas 62,190 852 1.37 852 0 55,772 6,418 50,551 6,418 1,296 852 debentures Total 81,420 1,112 ## B3 - Foreign Income - Non Blagab A B C D E F G H I J K L Source Relevant Foreig Rate Foreig Appropriate Income Relevant Income Actual income n tax n tax Excess foreign fraction of above fraction of restricted to Maximum creditable creditable tax to tax relevant expenses profits profits TIOPA tax 20.25% expenses (TRE TIOPA 2010 2010 s101 x RI/TI) s100 Overseas 100 15 15% 15 0 67.37 32.63 (1) 0 0 0 shares Overseas 18,997 4,749 25% 3,847 902 12,798 6,199 (352) 0 0 0 preference shares Overseas 283,800 2,838 1% 2,838 0 191,196 92,604 (5251) 0 0 0 debentures Total 302,897 0 ## G - Capital Gains And Losses (Lam03200) (below) (A1) Capital gains BLAGAB chargeable gains TCGA/S212 Total before losses offset BLAGAB losses Net capital gains Capital losses BLAGAB losses arising TCGA/S212 losses arising Total 89,556 221,621 (LAM03300) 311,117 (68,540) 236,455 22,875 45,665 68,540 ##	en

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John Larkinson Director Railway Markets & Economics 10 August 2018 Managing Directors Train operating companies using Worldline ticket engine Dear Colleague, ## Compliance With Condition 4 Of The Passenger Licence And Gb Statement Of National Regulatory Provisions: Passenger, And Consumer Law I refer to our letters1 of 23 February 2018, 8 May 2018 and 4 July 2018 regarding compliance with Condition 4 of the Passenger Licence and GB Statement of National Regulatory Provisions: Passenger (Information to Passengers2) and the Consumer Protection (from Unfair Trading) Regulations 2008 (the CPRs). We are grateful for the engagement on this issue to date, and for the meetings held with most of you in July. We are aware that since May some steps have been made towards discussing potential changes with your Ticket Issuing System supplier (in this instance Worldline3) to improve the information available to prospective passengers through online journey planners and ticket engines. We expect that all sites will show at least the same information about services to that shown on the National Rail Enquiries (NRE) website - albeit not necessarily in exactly the same format. As we have discussed, we do not think that it is reasonable for prospective passengers to have to check multiple websites to find the necessary information about the services that they plan to use. We need assurance that all reasonably practicable steps are taken in this area. This requires you to provide **evidence of the new information** that will be available to prospective passengers alongside a **firm commitment to a delivery date** that is within a reasonable timescale. By this, we mean when this information will become available to prospective passengers across your desktop website, mobile website and mobile app. For the avoidance of doubt, our expectation here is that warning information in the event of unconfirmed timetables **and** information relating to both planned and unplanned disruption is required to enable prospective passengers to plan and make their journeys with a reasonable degree of assurance. Where it remains unclear that companies are taking all reasonable steps to make improvement in this area we will take appropriate action to secure the necessary changes to ensure that all passengers can take informed decisions and plan their journey with a reasonable degree of assurance. To allow for the holiday season please respond by **31 August** setting out: (1) Evidence **of the new information that will be available to passengers** and the changes that you plan to make to your information channels so that they show consistent information (both between each channel and with other rail industry sites such as NRE); and (2) The **date** by which the information specified above will be shown to prospective passengers using your desktop website, mobile website and mobile app. A copy of this letter and your response will be placed on the ORR website. Yours sincerely John Larkinson

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Department Family Entity Date Paid Expense Type Expense Area Slt Status Supplier Transaction Reference Amount THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 11/06/2013 PACS (IT) COMPUTER MAINTENANCE Fully Settled ACCENTURE 663300 71,601.86 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 18/06/2013 BALANCE SHEET STOCKS FINISHED GOODS Fully Settled ALLIANCE HEALTHCARE (DISTRIBUTION) LTD 668432 48,855.42 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 18/06/2013 BALANCE SHEET STOCKS FINISHED GOODS Fully Settled ALLIANCE HEALTHCARE (DISTRIBUTION) LTD 668432 363.52 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 13/06/2013 BALANCE SHEET STOCKS FINISHED GOODS Fully Settled ALLIANCE HEALTHCARE (DISTRIBUTION) LTD 672096 48,286.21 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 06/06/2013 INFORMATION TECHNOLOGY COMPUTER SOFTWARE/LICENSE Fully Settled ARDENTIA LTD 662268 46,590.64 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 20/06/2013 BALANCE SHEET STOCKS FINISHED GOODS Fully Settled BIO PRODUCTS LABORATORY 27187 39,600.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 04/06/2013 INFORMATION TECHNOLOGY CONTR OTHER EXTERNAL Fully Settled CALDERDALE AND HUDDERSFIELD FOUNDATION TRUST 27125 48,336.83 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 13/06/2013 TRUST MEDICAL PHYSICS MED & SURG EQUIP GENERAL Fully Settled CAREFUSION UK 306 LTD 663873 129,300.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 27/06/2013 PFI ACCOUNTING UNITARY PAYMENT Part Settled CONSORT HEALTHCARE (MID YORKSHIRE) LTD 671720 3,623,338.66 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 27/06/2013 PGH UTILITIES & RATES GAS Fully Settled CORONA ENERGY RETAIL 4 LTD 673404 72,828.55 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 25/06/2013 DDH UTILITIES & RATES GAS Fully Settled CORONA ENERGY RETAIL 4 LTD 673407 29,928.83 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 25/06/2013 CHIEF EXECUTIVE CHIEF EXECUTIVE Fully Settled COUNTY DURHAM AND DARLINGTON NHS FT 27373 26,916.44 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 20/06/2013 CENTRAL ESTATES MANAGEMENT EXTERNAL CONSULTANCY FEES Fully Settled DTZ DEBENHAM TIE LEUNG 670469 25,000.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 25/06/2013 PGH UTILITIES & RATES GAS Fully Settled EDF ENERGY LTD 668438 65,095.48 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 25/06/2013 PGI UTILITIES & RATES ELECTRICITY Fully Settled EDF ENERGY LTD 668442 36,062.80 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 25/06/2013 PGH UTILITIES & RATES GAS Fully Settled EDF ENERGY LTD 668445 78,742.87 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 25/06/2013 PGH UTILITIES & RATES GAS Fully Settled EDF ENERGY LTD 668459 (78,056.66) THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 25/06/2013 PGH UTILITIES & RATES GAS Fully Settled EDF ENERGY LTD 668460 78,006.86 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 25/06/2013 PGH UTILITIES & RATES GAS Fully Settled EDF ENERGY LTD 668462 (78,792.67) THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 25/06/2013 PGH UTILITIES & RATES GAS Fully Settled EDF ENERGY LTD 668469 (65,145.28) THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 25/06/2013 PGI UTILITIES & RATES ELECTRICITY Fully Settled EDF ENERGY LTD 668472 (36,112.60) THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 25/06/2013 PGH UTILITIES & RATES ELECTRICITY Fully Settled EDF ENERGY LTD 673323 81,098.62 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 25/06/2013 PGH UTILITIES & RATES ELECTRICITY Fully Settled EDF ENERGY LTD 673326 80,312.50 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 25/06/2013 PGI UTILITIES & RATES ELECTRICITY Fully Settled EDF ENERGY LTD 673328 37,140.52 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 27/06/2013 DDH UTILITIES & RATES ELECTRICITY Fully Settled EDF ENERGY LTD 673400 64,413.91 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 06/06/2013 EDMS PROJECT ELECTRICITY Fully Settled EDM GROUP LTD 662305 33,842.36 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 25/06/2013 MYHT FINANCE TEAM AUDIT FEES: STATUTORY Fully Settled GRANT THORNTON 674077 31,428.84 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 11/06/2013 BALANCE SHEET STOCKS FINISHED GOODS Fully Settled HEALTHCARE PRODUCT SERVICES-INV 939,945,971 666882 27,120.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 18/06/2013 ORTHOTIC DEPARTMENT - PONTE. APPL CONTRACT Fully Settled HUGH STEEPER LTD 671239 58,354.32 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 18/06/2013 ORTHOTIC DEPARTMENT - PONTE. PATIENTS APPLIANCES : PURCHASE Fully Settled HUGH STEEPER LTD 671239 5,249.61 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 27/06/2013 MRI SERVICE INDEPENDENT SECTOR Fully Settled INHEALTH LTD 669781 62,130.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 27/06/2013 KNOWLEDGE MANAGEMENT COMPUTER SOFTWARE/LICENSE Fully Settled INSIGHT DIRECT (UK) LTD 663533 125,381.42 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 27/06/2013 KNOWLEDGE MANAGEMENT COMPUTER SOFTWARE/LICENSE Fully Settled INSIGHT DIRECT (UK) LTD 671284 376,144.25 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 27/06/2013 KNOWLEDGE MANAGEMENT COMPUTER SOFTWARE/LICENSE Fully Settled INSIGHT DIRECT (UK) LTD 671288 (125,381.42) THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 25/06/2013 TRUST MEDICAL PHYSICS MED & SURG MAINT CONTRACT Fully Settled INTERGRATED RADIOLOGICAL SERVICES LTD 668930 51,921.60 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 13/06/2013 CLINICAL HAEMATOLOGY TRUSTWIDE CONSULTANT Fully Settled LEEDS TEACHING HOSPITALS NHS TRUST 26996 552.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 13/06/2013 ONCOLOGY TRUSTWIDE CONSULTANT Fully Settled LEEDS TEACHING HOSPITALS NHS TRUST 26996 37,755.76 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 13/06/2013 WOMEN'S MEDICAL STAFFING TW CONSULTANT Fully Settled LEEDS TEACHING HOSPITALS NHS TRUST 26996 2,548.08 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 13/06/2013 GENERAL SURGERY - TRUSTWIDE SENIOR LECTURER Fully Settled LEEDS TEACHING HOSPITALS NHS TRUST 27057 55,000.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 04/06/2013 CARDIO RESP INVESTIGATIONS PACEMAKERS Fully Settled MEDTRONIC LTD 645695 29,280.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 04/06/2013 PACEMAKERS PACEMAKERS Fully Settled MEDTRONIC LTD 645695 1,260.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 27/06/2013 SECURITY DDH CONTR PREMISES SECURITY Fully Settled MITIE SECURITY LTD 669357 24,246.08 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 13/06/2013 BLOOD SERVICE TRUSTWIDE BLOOD PRODUCTS Fully Settled NHS BLOOD AND TRANSPLANT 27041 108,090.71 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 13/06/2013 BLOOD SERVICE TRUSTWIDE BLOOD PRODUCTS Fully Settled NHS BLOOD AND TRANSPLANT 27042 37,842.07 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 17/06/2013 MYHT LOSSES AND COMPS INSURANCE COSTS Fully Settled NHS LITIGATION AUTHORITY 27308 35,396.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 17/06/2013 MYHT LOSSES AND COMPS CNST CONTRIBUTIONS Fully Settled NHS LITIGATION AUTHORITY 27309 1,043,179.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 06/06/2013 NHSP HOLDING ACCOUNT NHSP BANK CONTROL Fully Settled NHS PROFESSIONALS 663916 81,537.86 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 06/06/2013 NHSP HOLDING ACCOUNT NHSP BANK CONTROL Fully Settled NHS PROFESSIONALS 663916 12,486.46 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 06/06/2013 NHSP HOLDING ACCOUNT NHSP BANK CONTROL Fully Settled NHS PROFESSIONALS 663916 1,498.98 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 13/06/2013 NHSP HOLDING ACCOUNT NHSP BANK CONTROL Fully Settled NHS PROFESSIONALS 666338 80,999.73 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 13/06/2013 UNION STAFF NHSP BANK CONTROL Fully Settled NHS PROFESSIONALS 666338 13,072.01 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 13/06/2013 NHSP HOLDING ACCOUNT NHSP AGENCY CONTROL Fully Settled NHS PROFESSIONALS 666339 9,462.55 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 13/06/2013 UNION STAFF NHSP AGENCY CONTROL Fully Settled NHS PROFESSIONALS 666339 14,882.63 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 13/06/2013 UNION STAFF NHSP AGENCY CONTROL Fully Settled NHS PROFESSIONALS 666339 5,634.30 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 20/06/2013 NHSP HOLDING ACCOUNT NHSP BANK CONTROL Fully Settled NHS PROFESSIONALS 668497 81,998.08 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 20/06/2013 NHSP HOLDING ACCOUNT NHSP BANK CONTROL Fully Settled NHS PROFESSIONALS 668497 13,099.29 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 20/06/2013 NHSP HOLDING ACCOUNT NHSP BANK CONTROL Fully Settled NHS PROFESSIONALS 668497 992.54 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 20/06/2013 NHSP HOLDING ACCOUNT NHSP AGENCY CONTROL Fully Settled NHS PROFESSIONALS 668498 9,450.36 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 20/06/2013 NHSP HOLDING ACCOUNT NHSP AGENCY CONTROL Fully Settled NHS PROFESSIONALS 668498 10,222.30 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 20/06/2013 NHSP HOLDING ACCOUNT NHSP AGENCY CONTROL Fully Settled NHS PROFESSIONALS 668498 8,340.54 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 27/06/2013 NHSP HOLDING ACCOUNT NHSP BANK CONTROL Fully Settled NHS PROFESSIONALS 669832 80,408.06 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 27/06/2013 NHSP HOLDING ACCOUNT NHSP BANK CONTROL Fully Settled NHS PROFESSIONALS 669832 11,937.07 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 27/06/2013 NHSP HOLDING ACCOUNT NHSP BANK CONTROL Fully Settled NHS PROFESSIONALS 669832 454.85 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 06/06/2013 TRUST MEDICAL PHYSICS X-RAY EQUIP MAINT/REPAIR Fully Settled NHS SUPPLY CHAIN 26952 145,185.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 06/06/2013 TRUST MEDICAL PHYSICS X-RAY EQUIP MAINT/REPAIR Fully Settled NHS SUPPLY CHAIN 26953 426,807.80 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 06/06/2013 TRUST MEDICAL PHYSICS X-RAY EQUIP MAINT/REPAIR Fully Settled NHS SUPPLY CHAIN 26953 8,710.23 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 06/06/2013 TRUST MEDICAL PHYSICS X-RAY EQUIP MAINT/REPAIR Fully Settled NHS SUPPLY CHAIN 26954 49,788.25 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 06/06/2013 TRUST MEDICAL PHYSICS X-RAY EQUIP MAINT/REPAIR Fully Settled NHS SUPPLY CHAIN 26954 1,016.09 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 06/06/2013 BALANCE SHEET NONNHS TRADE CR < 1 YR Fully Settled NHS SUPPLY CHAIN 26957 126,233.49 | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 06/06/2013 BALANCE SHEET | NONNHS TRADE CR < 1 YR | Fully Settled | NHS SUPPLY CHAIN | 26958 | 51,628.91 | |-----------------------------------------|-----------------------------------------|-------------------------------------|-------------------------------|-----------------|----------------------------------------------|---------|-------------| | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 13/06/2013 BALANCE SHEET | NONNHS TRADE CR < 1 YR | Fully Settled | NHS SUPPLY CHAIN | 27053 | 175,482.01 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 13/06/2013 BALANCE SHEET | NONNHS TRADE CR < 1 YR | Fully Settled | NHS SUPPLY CHAIN | 27054 | 65,950.60 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 20/06/2013 TRUST MEDICAL PHYSICS | MED & SURG MAINT CONTRACT | Fully Settled | NHS SUPPLY CHAIN | 27097 | 299,310.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 20/06/2013 BALANCE SHEET | NONNHS TRADE CR < 1 YR | Fully Settled | NHS SUPPLY CHAIN | 27104 | 158,031.08 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 20/06/2013 BALANCE SHEET | NONNHS TRADE CR < 1 YR | Fully Settled | NHS SUPPLY CHAIN | 27105 | 60,924.94 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 27/06/2013 BALANCE SHEET | NONNHS TRADE CR < 1 YR | Fully Settled | NHS SUPPLY CHAIN | 27167 | 125,071.61 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 27/06/2013 BALANCE SHEET | NONNHS TRADE CR < 1 YR | Fully Settled | NHS SUPPLY CHAIN | 27168 | 52,355.36 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 27/06/2013 TRUST MEDICAL PHYSICS | X-RAY EQUIP MAINT/REPAIR | Fully Settled | NHS SUPPLY CHAIN | 27172 | 226,958.90 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 27/06/2013 TRUST MEDICAL PHYSICS | X-RAY EQUIP MAINT/REPAIR | Fully Settled | NHS SUPPLY CHAIN | 27172 | 2,524.96 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 20/06/2013 CHIEF EXECUTIVE | DIRECTOR | Fully Settled | NORTH CUMBRIA ACUTE HOSPITALS NHS TRUST | 27279 | 25,829.23 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 20/06/2013 BALANCE SHEET | STOCKS FINISHED GOODS | Fully Settled | NOVARTIS PHARMACEUTICALS UK LTD | 669206 | 80,154.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 27/06/2013 A&E PGH & PGI | GENERAL PRACTITIONERS | Fully Settled | PRIMECARE | 671305 | 37,320.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 27/06/2013 A&E DDH | AGENCY OTHER MEDICAL | Fully Settled | PRIMECARE | 671308 | 30,084.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 13/06/2013 TRUST MEDICAL PHYSICS | LAB EQUIP MAINT / REPAIRS | Fully Settled | RADIOMETER LTD | 663946 | 22,500.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 13/06/2013 TRUST MEDICAL PHYSICS | LAB EQUIP MAINT / REPAIRS | Fully Settled | RADIOMETER LTD | 663953 | 35,990.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 20/06/2013 BALANCE SHEET | STOCKS FINISHED GOODS | Fully Settled | ROCHE PRODUCTS LTD | 669030 | 73,332.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 20/06/2013 BALANCE SHEET | STOCKS FINISHED GOODS | Fully Settled | ROCHE PRODUCTS LTD | 669181 | 125,733.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 11/06/2013 BALANCE SHEET | MEDICAL EQUIP ADDITIONS PURCH | Fully Settled | SMITH & NEPHEW ADVANCED SURGICAL DEVICES | 657530 | 53,448.52 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 25/06/2013 ESTATES - HEALTH CENTRES | CONTR ESTATE MANAGEMENT | Fully Settled | SOUTH WEST YORKSHIRE PARTNERSHIP NHS TRUST | 27318 | 49,844.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 20/06/2013 LAUNDRY DDH | EXT CONTR LAUNDRY | Fully Settled | SYNERGY HEALTH (UK) LTD INV START 2000 LINEN | 669956 | 28,585.29 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 20/06/2013 LAUNDRY DDH | EXT CONTR LAUNDRY | Fully Settled | SYNERGY HEALTH (UK) LTD INV START 2000 LINEN | 669965 | 40,825.85 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 20/06/2013 LAUNDRY DDH | EXT CONTR LAUNDRY | Fully Settled | SYNERGY HEALTH (UK) LTD INV START 2000 LINEN | 669966 | 24,699.34 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 27/06/2013 BALANCE SHEET | PAYROLL DED'NS N/S <1YR | Fully Settled | UNISON | 28711 | 71,568.71 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 13/06/2013 PGH UTILITIES & RATES | RATES | Fully Settled | WAKEFIELD METROPOLITAN DISTRICT COUNCIL | 666889 | 215,247.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 25/06/2013 PGH UTILITIES & RATES | WATER | Fully Settled | YORKSHIRE WATER SERVICES LTD | 673292 | 500.40 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 25/06/2013 PGH UTILITIES & RATES | WATER | Fully Settled | YORKSHIRE WATER SERVICES LTD | 673292 | 38,240.87 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 24/06/2013 BALANCE SHEET | PAYROLL DED'NS N/S <1YR | Fully Settled | EDENRED | 25184 | 45,215.01 |

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# Completed Acquisition By Jla New Equityco Limited Of Washstation Limited ## Appendices And Glossary Appendix A: Terms of reference and conduct of investigation Appendix B: Industry background Appendix C: List of previous acquisitions made by JLA Appendix D: Background to the sale of Washstation Appendix E: Assessment of JLA's analysis of the effects of the Merger on JLA's and Washstation's offer Glossary ## Appendix A: Terms Of Reference And Conduct Of Investigation Terms Of Reference 1. In exercise of its duty under section 22(1) of the Enterprise Act 2002 (the Act) the Competition and Markets Authority (CMA) believes that it is or may be the case that: (a) a relevant merger situation has been created, in that: (i) enterprises carried on by JLA New Equityco Limited (and its subsidiaries) have ceased to be distinct from enterprises carried on by Washstation Limited; and (ii) the condition specified in section 23(2)(b) of the Act is satisfied; and (b) the creation of that situation has resulted, or may be expected to result, in a substantial lessening of competition within a market or markets in the United Kingdom (UK) for goods or services, including the supply of managed laundry services to higher education customers under variable rental agreements in the UK. 2. Therefore, in exercise of its duty under section 22(1) of the Act, the CMA hereby makes a reference to its chair for the constitution of a group under Schedule 4 to the Enterprise and Regulatory Reform Act 2013 in order that the group may investigate and report, within a period ending on 30 September 2018, on the following questions in accordance with section 35(1) of the Act: (a) whether a relevant merger situation has been created; and (b) if so, whether the creation of that situation has resulted, or may be expected to result, in a substantial lessening of competition within any market or markets in the UK for goods or services. Rachel Merelie Senior Director, Delivery and Sector Regulation Competition and Markets Authority 16 April 2018 ## Conduct Of The Investigation 1. We published biographies on the members of the inquiry group conducting the investigation on 16 April 2018 and on the same date the administrative timetable for the investigation was published on our webpages and updated on 16 May 2018 and on 13 September 2018. 2. The initial reference period 30 September 2018 was extended for two weeks because JLA failed (with or without a reasonable excuse) to comply with a requirement of a notice under section 109 notice of the Act by the deadline of 1 May 2018. On 15 May 2018, the Group was satisfied for the purposes of section 39(8) of the Act that JLA provided the information and documents required in the the section 109 notice request. As a result, the reference period terminates on 14 October 2018. 3. The CMA served an initial enforcement order (IEO) on 13 December 2017 and several derogations were subsequently granted. The order and redacted derogations were published on the case page. 4. On 8 May 2018, we directed JLA to appoint: (a) a monitoring trustee (MT) whose functions are to support any action, or as the case may be any remedial action, which may be required to maintain the Washstation business as a viable business and monitor compliance by JLA with the IEO. (b) a hold separate manager (HSM) whose functions are to exercise the day-today management of Washstation, so that its independence is preserved, it is maintained as a going concern with access to sufficient resources for its continued operation and development, and it is operated separately from and competes actively with JLA. 5. On 9 May 2018, we published an issues statement on our webpages, setting out the areas on which the investigation would focus. 6. We invited a wide range of interested parties to comment on the Merger. We sent detailed questionnaires to a number of suppliers, manufacturers and other stakeholders. In addition, we instructed DJS, a research company, to conduct a market research for us and its report was published on the case page on 2 July 2018. Evidence was also obtained through further written requests. We also used evidence from the CMA's phase 1 investigation into the Merger. Summaries of interviews can be found on the case page. 7. We received written evidence from the Parties and a non-confidential version of their response to the phase 1 decision and issues statement is on the case page. We also held a hearing with the Parties on 10 July 2018. 8. On 23 May 2018, members of the inquiry group, accompanied by staff, visited the premises of JLA. 9. In the course of our investigation we sent JLA a number of working papers, and other parties were sent extracts of those working papers, for comment. 10. On 10 August 2018, we published on the case page our provisional findings report, along with a notice of provisional findings and a notice of possible remedies. 11. A non-confidential version of the final report was published on our webpages on 11 October 2017. 12. We would like to thank those who have assisted us in our inquiry. ## Appendix B: Industry Background Market Overview 1. The commercial laundry sector involves the provision of commercial laundry equipment and related services to customers. It covers the supply of machinery through sales and rentals as well as the sale of related repair and maintenance services. 2. Managed laundry services are a subset of the commercial laundry sector. Customers for managed laundry services want (or need) to offer a laundry facility to their own end users1 and provide space for a managed laundry services provider to install the required machinery.2 The provider usually retains ownership of the machinery and manages the laundry operation on behalf of the customer, including providing breakdown services and responding to end-user queries. 3. Although JLA is active across the entire commercial laundry sector, the Parties overlap primarily in the supply of managed laundry services to higher education customers and therefore, this customer group is the focus of this investigation. ## Providers 4. We summarise below the main providers of managed laundry services under vend share agreements to higher education customers in the UK other than JLA and Washstation. ## Armstrong And Hughes 5. James Armstrong and Commercial Company Ltd (**Armstrong**) was previously a family-owned commercial laundry equipment supplier, founded in 1878. It is based in Newbury and provides commercial laundry services to healthcare, hospitality and higher education customers. 6. Armstrong has an annual turnover of approximately £[] million. 7. In January 2018, Armstrong was acquired by Hughes Electrical Limited (**Hughes**) 8. Hughes is also a family owned business, founded in 1921. Hughes' principal business activity is the rental and retail of consumer electrical products. Hughes offers a wider range of product categories across all types of domestic electrical equipment.3 9. Hughes has almost 1,000 employees and a turnover in excess of £110 million. According to Hughes's own website, Hughes is the fourth largest specialist electrical retailer in the country and the second largest provider of home entertainment and kitchen appliance rentals. 10. In addition to its domestic electrical equipment, Hughes also offers commercial laundry and dishwasher equipment and associated support services to businesses and operators of on-premise laundries through its commercial arm, Hughes Pro. 11. Hughes's commercial offering is a relatively new part of the business, having been established in 2012. Hughes Pro was originally part of Hughes Trade (which provides domestic electrical products to trade and business) before becoming its own department in May 2018. 12. Hughes Pro is an official Miele Professional Partner and certified service agent, serving the Midlands, East Anglia and South East of England. 13. Hughes Pro serves a wide range of customer groups including the care, hospitality, tourism and educational sectors. 14. Although publicly available data does not give us an indication of the size of Hughes Pro relative to the rest of the business, a news release regarding Hughes Pro indicated that the department employed 26 staff as of February 2018. 15. Hughes told us that it had only one commercial laundry operation in the higher education sector before the transaction with Armstrong.4 ## Goodman Sparks 16. Goodman Sparks Limited (**Goodman Sparks**) was established in 1971 and is a supplier of commercial laundry systems. Goodman Sparks serves a number of customers, including universities, colleges, independent schools and nursing/care homes. The company operates predominantly across the north of England and the Midlands and generates annual revenue of approximately £[] million. In 2017, Goodman Sparks generated around £75,000 of its revenue from higher education customers on vend share agreements. ## Other Providers 17. JLA told us that it considered the following providers to be competitors: (a) Brewer and Bunney Limited (**Brewer and Bunney**): a distributor of commercial and industrial laundry equipment in the South West of England. Brewer and Bunney is active in the sale, rental and maintenance of commercial laundry equipment and is an approved Electrolux business partner. It offers machines for sale as well as providing a fixed rental option. Brewer and Bunney is not currently active in the higher education segment. It had a couple of managed laundry services contracts with higher education customers in the past. (b) Dishwashers Direct Limited (**Dishwashers Direct**): part of Dishwashers Direct, Laundry Equipment Direct provides commercial machines. Laundry Equipment Direct provide maintenance contracts with its rental option and offers its Aquatec system, aimed at students. Aquatec facilitates online and cashless payments as well as allowing students to check machine availability online. (c) F.Donald Forbes & Co. Limited (**Forbes**): a national rental services company, offering domestic and commercial equipment for rental to customers. Forbes offers commercial laundry equipment through Forbes Professional and serves customers in the healthcare, care homes and hospitality sectors. It currently does not supply higher education customers. Forbes currently offers managed laundry services although mostly under fixed rental agreements and to the hospitality sector. Forbes indicated to the CMA that, while its preference is for fixed rental agreements, it would be willing to offer vend share agreements.5 Forbes recently []. (d) Laundry 365 Limited (**Laundry 365**): a regional provider of managed laundry services under fixed rental agreements, mostly to care homes. Laundry 365 provide commercial machines for sale as well as offering a fixed rental option. []. (e) MAG Equipment Limited (**MAG Group**): a regional distributor of commercial laundry equipment. MAG is the exclusive UK distributor for Primer laundry machines, offering machines for sale and fixed rental but it does not provide a vend share option. MAG does not operate in the supply of managed laundry services. It sold its machines to a small number of higher education customers. (f) Maxwell Adam Limited (**Maxwell Adam**): an Electrolux distributor and supplier of laundry equipment, mainly to care homes and boarding schools. It currently does not supply higher education customers. Maxwell Adam does not offer vend share agreements but does provide managed laundry services under the fixed rental model. (g) OPL Group Limited (OPL): a provider of commercial laundry services, commercial laundry equipment, commercial catering and associated consumables (ie chemical products for both laundry and catering). OPL was established in 1970 and supplies its services to a range of UK and international businesses including NHS trusts, universities and government. OPL offers commercial laundry machines sales as well as after-sales maintenance agreements and a fixed rental option. OPL told us that they very rarely offer vend share agreements and their fixed rental customers usually require machinery for their own internal use, rather than providing a service to end-users and collecting payments. OPL's website does, however, include information about its vend share offering.6 (h) Photo-Me International Plc (**Photo-Me**): a company that operates, sells and services a range of instant service equipment. While mostly known for its photobooth operation, Photo-Me also operates digital printing kiosks and selfservice laundrettes. Photo-Me entered the laundry services market in 2017 and offers full maintenance and service contracts following installation of selfservice laundry kiosks. It recently launched a new product, Revolution laundrettes. Revolution is a 24/7 outdoor self-service laundrette designed for installation in car parks, convenience stores, supermarkets and petrol station forecourts. Only one higher education customer currently uses the Revolution laundrettes in addition to washing machines and dryers from another supplier. (i) Thain Commercial Limited (**Thain**): a regional distributor of Miele laundry equipment based in Scotland. Thain provides commercial laundry and dishwasher equipment across a range of sectors including healthcare, hospitality and sports and leisure. Thain's product offering comprises equipment sales and fixed rentals only. Thain has never tendered to supply managed laundry services to higher education customers and has never considered starting to provide these services. (j) Wolf Laundry Limited (**Wolf Laundry**): a supplier of commercial laundry equipment and related services, based in Yorkshire. Wolf Laundry offers a range of OEM brands for sale and rental to various customer segments including care homes, hospitals, hospitality and leisure and housing associations. Wolf Laundry currently offers a managed laundry service under both fixed rental and vend sharing models. Until recently it did not have any direct relationships with higher education customers, but it recently won a small contract with a small private student accommodation provider . Wolf indicated that it would continue to focus on healthcare and hospitality customers and expand into the private accommodation segment. ## Appendix C: List Of Previous Acquisitions Made By Jla 1. JLA has also made a number of acquisitions in its recent history to grow its customer base (see Table A: below). Table A: JLA merger and acquisition activity (last five years) Revenue in HE Date of Acquisition Company name Nature of Business % Higher education customers [] 07 October 2013 Red Squared Foodservice & Laundry Solutions Limited Laundry Y ([5-10]% of revenue) 14 October 2013 Commercial Kitchen Maintenance Limited Catering Y ([]% of revenue) 31 October 2013 Proton (Southern) Limited Catering Y ([]% of revenue) 06 December 2013 Carford Holdings Limited Catering Y ([]% of revenue) 04 August 2014 Harmony Business and Technology Limited Catering Y ([]% of revenue) 18 February 2015 Comcat Engineering Limited Catering Y ([]% of revenue) 19 February 2015 Newco Catering Equipment Limited Catering Y ([]% of revenue) £[] 19 June 2015 Laundryserv Laundry, including vend share Y ([5-10]% of revenue) 20 April 2016 Westwells (North West) Limited Catering Y ([]% of revenue) 26 August 2016 Wilsons Laundry, including vend share Y ([0-5]% of revenue) [] £[] 18 May 2017 Washstation Limited Laundry (vend share) Y ([90-100]% of revenue) 10 November 2017 DCSW Ltd (and subsidiary Direct Catering Products Limited) Catering None noted 13 December 2017 Acer Equipment Limited Laundry Y ([0-5]% of revenue) [] 29 March 2018 Fire Bright Fire Safety Y ([]% of revenue) Source: JLA response to RFI dated 16 April 2018, Annex 7. ## Appendix D: Background To The Sale Of Washstation 1. We have provided further detail on the background to the sale of Washstation as we have received conflicting versions of events from the Parties. The initiation of sale discussions is potentially relevant to the counterfactual as a desire to sell Washstation may be an indication that the business was weakening and would support JLA's submissions regarding the competitiveness of Washstation absent the Merger. 2. However, we do not consider this to be a determinative factor in our counterfactual analysis as JLA accepts1 that the counterfactual is not Washstation's exit from the market and our view is that, in the absence of the Merger, Washstation was not likely to have exited the market. Furthermore, the evidence assessed in section 5 of the Final Report shows that, absent the Merger, Washstation would likely continue to compete as it did pre-Merger. 3. JLA told us that: (a) Mr Copley contacted Stephen Baxter, the CEO of JLA, in June/July 2016 to discuss whether JLA Group would be interested in acquiring the Washstation business; (b) rather than conduct a formal sales process, Mr Copley sought out JLA due to his prior connections with the business: Mr Copley was previously employed by JLA and had previously sold another company, Circuit Laundrette Services Limited (**Circuit**), to JLA in 2002; and (c) Mr Copley wished to sell the Washstation business as it was either facing, or likely to face, financial difficulties. 4. JLA told us that negotiations with Mr Copley started in August 2016 and continued to be conducted bilaterally before Mr Copley appointed Smith & Williamson as his advisers in late January 2017, and that Heads of Terms were signed on 10 March 2017. 5. JLA told us that it undertook legal and financial due diligence following the signing of Heads of Terms agreement, in order to determine the duration and expected revenue from live Washstation contracts, and not to determine the valuation of the Washstation business.2 6. JLA told us that it appointed BDO to carry out financial due diligence and that BDO identified that Washstation had accrued approximately £[] million of late commission payments due to customers and would require additional investment in equipment of around £[] million to service recently awarded contracts. 7. JLA told us that the original purchase price for the Washstation business agreed with Mr Copley was reduced by approximately £[] million from £[] million to £[] million to reflect these issues (late commission payments and additional capital expenditure required) and other debt-like items identified during the financial due diligence work.3 8. In contrast, Mr Copley told us that Mr Baxter approached him about a possible sale of the Washstation business, but that he was not initially inclined to sell the business 4. Mr Copley told us that following further conversations with JLA, the Parties reached an agreement on an acceptable sale price.5 9. Mr Copley also provided us with email correspondence leading up to the sale, including an exchange with Grant Thornton. Grant Thornton6 stated that [].This implies, as submitted by Mr Copley, that the decision to sell Washstation was not motivated by financial difficulties and he was not actively looking to sell. 10. In response, JLA submitted that: (a) Washstation's engagement with Grant Thornton clearly suggested that a process was undertaken regarding a sale of the business; and (b) Mr Copley had appointed an interim finance director to prepare the business for sale, prior to any engagement with JLA. 11. While we have received conflicting views regarding the origin of sale discussions, our view is that this is not a determinative factor in our analysis. This is because we have not seen evidence that Washstation's financial situation was such that it necessarily required the sale of the business.7 In addition, JLA has not submitted that the counterfactual should be Washstation's exit from the market. 12. JLA also provided an analysis of the Washstation acquisition price compared to other acquisitions that JLA has made in recent years.8 This shows that the price paid for Washstation was in line with other acquisitions made by JLA.9 We consider that the price paid for Washstation indicates that the business was not financially failing and was not at risk of material deterioration in the near term. We understand that JLA ultimately paid £[] million for the Washstation business. ## Appendix E: Assessment Of Jla'S Analysis Of The Effects Of The Merger On Jla'S And Washstation'S Offer 1. JLA provided some data on its own contracts and the commission rates associated with them. Their analysis of their commissions found that the Merger did not raise prices from after the completion of the Merger in May 2017 until December 2017.1 2. The dataset analysed consisted of JLA contracts that expired between January 2016 and December 2017, covering a period of 17 months before the Merger and seven months afterwards. Only those contracts which were retained by JLA and which were renegotiated are included in the analysis. The dataset includes information on the starting date of the contract, whether the contract renewal required new machines to be installed, the number of machines the contract includes, whether a card payment system was used, and the vend price for a full cycle (presumably under the new contract). The expiry date of each customer's initial contract with JLA is considered as being the renegotiation date, so those contracts which expired after the Merger are considered in the analysis to have been renegotiated after the Merger. 3. Descriptive statistics show that a greater proportion of the contracts (weighted by the number of machines) which involved new machines which were signed after the Merger were more likely to have increased commission (i.e. more money going to the customer) than those signed before the Merger. A smaller proportion involved decreases to commission levels. For contracts involving the retention of existing machines, there was a small increase in the proportion of machines for which the commission level increased, and a larger increase in the proportion for which commission levels decreased. % pre-Merger (529 post-Merger Change in commission machines) (325 machines) percent change Increase [] [] [] Decrease [] [] [] Same [] [] [] Source: CMA analysis of JLA data submitted by RBB as response of the issue letter in phase 1 investigation 14 March 2018 % pre-Merger (646 post-Merger (274 Change in commission machines) machines) percent change Increase [] [] [] Decrease [] [] [] Same [] [] [] Source: CMA analysis of JLA data submitted by RBB as response of the issue letter in phase 1 investigation 14 March 2018 4. These figures show the number of machines affected by commission decreases and increases, but not the number of contracts. We calculated the figures in terms of numbers of contracts in Figure 3 and Figure 4 below. % pre-Merger (55 post-Merger (33 Change in commission contracts) contracts) percent change Increase [] [] [] Decrease [] [] [] Same [] [] [] Source: CMA analysis of JLA data submitted by RBB as response of the issue letter in phase 1 investigation 14 March 2018 % pre-Merger (60 post-Merger (40 Change in commission contracts) contracts) percent change Increase [] [] [] Decrease [] [] [] Same [] [] [] Source: CMA analysis of JLA data submitted by RBB as response of the issue letter in phase 1 investigation 14 March 2018 5. The Parties' regression analysis shows that the number of machines a contract requires, whether new machines are installed, the vend price, and whether a card payment system is used do have an effect on the level of commission agreed, though the dummy variable on whether the agreement was reached after the Merger is insignificant. They fit a similar regression to the percentage-point change in commission levels following the Merger, finding that the post-Merger variable is insignificant, as are the other explanatory variables except the presence of a card payment system. Dependent variable Independent variables Commission rate Change in commission rate After Merger dummy [] [] New machines required [] [] Machines [] [] Vend price [] [] Card payment system [] [] Constant [] [] N [] [] R2 [] Source: RBB analysis of JLA data, submitted 16 July 2018 ***/**/* Statistically significantly different from zero at 1, 5 and 10% confidence. Third party comments CMA customer research 6. Research respondents were asked whether the quality of service provided by their laundry supplier has changed in the last year.2 The majority (48 out of 59) said that the service has not changed, with a small number saying that the service has got worse (six respondents) or that it has improved (two respondents). Of Washstation customers, nine respondents said service was the same and one respondent said service had gotten worse. 7. Those who thought that the service had improved mentioned better engagement from the account manager and newer machines requiring less maintenance as the key improvements. 8. Those who thought that the service had got worse, named the following issues: (a) increased number of breakdowns and call-outs; (b) lengthy repair times; (c) the service being reactive not proactive; and (d) inflexibility of payment methods and confusion, since the Merger, in terms of responsibilities. 9. When asked directly what impact they expect the Merger to have on them as a customer, around half of respondents (24 out of 59) said 'neutral', around a quarter (13) said 'bad' and less than 1 in 10 (5) said 'good'3. Those who thought the impact was positive, mentioned easier management of multiple contracts and better service levels as reasons. 10. The main reasons why some customers were expecting a negative impact were lower service levels and a lessening of competition, both resulting from an increase in JLA's size. For example: (a) A private student accommodation provider said that there would be less competition in the market to keep costs down. (b) Further, a university or college said that they were unhappy with JLA's service levels and that JLA had no incentive to improve because "there is now little or no competition". 11. Those who thought the impact would be positive mentioned easier management of multiple contracts and better service levels as reasons. For example: (a) A private student accommodation provider said that the merged firm would have more resources and more experience. (b) Further, a university or college said that they have contracts with multiple suppliers, and would benefit from "discuss[ing] all issues with a single supplier". Review of the evidence submitted by JLA on pre- and post-merger service level KPIs 12. As part of its response to the working papers, JLA submitted four graphs comparing (i) the average responses times of Washstation and JLA between December 2017 and May 2018; (ii) the average response times of Washstation from December 2017 until May 2018, and JLA from May 2016 until May 2018; (iii) the proportion of 'first time fix' of Washstation and JLA between December 2017 and May 2018; and (iv) the proportion of first time fix calls for Washstation between December 2017 and May 2018, and for JLA between May 2016 and May 2018. The graphs are analysed in the paragraphs below, however the CMA noted that from the graphs it is difficult to compare JLA's and Washstation's service levels pre- and post-Merger due to a lack of Washstation data on service level pre-Merger. 13. Figure 6 and Figure 7 show that for JLA and Washstation the average response to a call remains overall constant post-Merger, being around []%. When looking at the period before the Merger (May 2016) and comparing it with the period after the Merger (until May 2018), Figure 7 indicates that JLA's average response rate has slightly increased going from between []% between May 2016 -and May 2017 to []%. However, the graphs do not report any data for Washstation's average response in the period prior the Merger and therefore it is difficult to compare how Washstation was performing pre-Merger relative to JLA. [] Source: JLA submission as response to CMA working paper [] Source: JLA submission as response to CMA working paper 14. Figure 8 and Figure 9 report the proportion of first time fix for JLA and Washstation between December 2017 to May 2018 (data relating to JLA goes back to May 2016 in Figure 9) and they show that there has been a slight decline in the proportion of the first-time fix from []% to []% between May 2016 to May 2018 for JLA. JLA submitted that this has nothing to do with the Merger itself but rather this is because there is a trend increase in the number of simpler jobs that do not need an engineer which are now increasingly fixed over the phone. It is difficult to compare Washstation's and JLA's service performance due to a lack of data for Washstation prior to the Merger. [] Source: JLA submission as response to CMA working paper [] Source: JLA submission as response to CMA working paper ## Glossary | | | |---------------------------------------------------------|--------------------------------------------------------| | Act | The Enterprise Act 2002. | | Alliance | Alliance Laundry Systems LLC. | | Armstrong | James Armstrong & Co Ltd. | | Acquisition Contracts | Contracts with | | transferred to | JLA | | Brewer and Bunney | Brewer and Bunney Limited | | CMA | Competition and Markets Authority. | | Circuit | Circuit Launderette Services Limited | | Commercial Laundry | | | Services | | | Services in which non-domestic washing machines and | | | tumble dryers (machines) are either rented or sold to | | | business customers. | | | Commission | An agreed percentage of the revenues generated from | | end-users of the machines which are then paid to higher | | | education customers by managed laundry services | | | providers under vend share agreements. | | | CMA customer | | | research | | | The CMA commissioned customer research conducted | | | by DJS Research. | | | Counterfactual | Assessment of the most likely competitive situation in | | the absence of the Merger. | | | DJS | DJS Research Limited | | Current Contracts | Contracts with | | held by | Washstation | | arrangements. | | | FFV | Full Forward Value, which is the sum of the annualised | | revenue of each contract, multiplied by the remaining | | | contract period. Annualised revenue reflects annual | | | revenue projections for each contract plus any vend | | | price increases where appropriate. Amounts are not | | | discounted to present value. | | | Fixed rental agreement | An agreement where the provider rents the machine to a | | customer and carries out repairs and maintenance | | | works; and the customer pays a fixed monthly fee and | | retains any payments made by end-users for use of the machine. Forbes F.Donald Forbes & Co. Limited Goodman Sparks Goodman Sparks Ltd. Greenwald Greenwald Industries, Inc. Higher education customers include: Higher education customers (a) universities and colleges; (b) private organisations that provide student housing and related services either directly to students or on behalf of a university/college via an outsourcing arrangement; and (c) management companies who manage student accommodation, but do not own the buildings. HSM The Hold Separate Manager, appointed to operate the Washstation business separately from JLA for the duration of the investigation. Hughes Hughes Electric Ltd Hughes Armstrong Armstrong under the ownership of Hughes, ie after Hughes acquisition of Armstrong in January 2018 IEO The Initial Enforcement Order served by the CMA on the Parties on 13 December 2017 under section 72(2) of the Act. IQ IQ Student Acccomodation Ltd JLA JLA New Equityco Limited and its subsidiaries. Laundry 365 Laundry 365 Limited Machines Non-domestic washing machines and tumble dryers. Maintenance and repair services agreements The customer owns the machine and the provider carries out all repairs and maintenance of the machine (these agreements are often signed alongside a sales agreement of machines). MAG Group MAG Equipment Limited MAG Merger Assessment Guidelines (CC 2 Revised), September 2010 Managed laundry services Services in which commercial laundry services are provided on fixed rental agreements and vend share agreements. This is a subset of the commercial laundry sector. Maxwell Adam Maxwell Adam Ltd Merger The completed acquisition of Washstation by **JLA** via its subsidiary Vanilla Group Limited. Maytag Maytag Corporation MT The Monitoring Trustee, appointed to monitor compliance by JLA with the IEO. OEM Original Equipment Manufacturer. For example, Alliance or **Maytag**. OPL OPL Group Limited Online services Additional services to managed laundry services, eg app-based machine monitoring. Parties JLA and Washstation Phase 1 The investigation, by the CMA, of the Merger to determine whether the statutory test for reference for an in-depth phase 2 has been met. Phase 1 decision The CMA's phase 1 decision dated 3 April 2018 to refer the acquisition of Washstation by JLA for further investigation. Phase 2 An in-depth investigation by the CMA of the Merger following the reference from phase 1. RCBs Relevant Customer Benefits within the meaning of section 30 of the Act. Provisional Findings The provional findings report published on 10 August . Remedies Notice The notice of possible remedies under Rule 12 of the CMA's rules of procedure for merger, market and special reference groups. Response to the Provisional Findings JLA's responde to the Provisional Findings of 31 August 2018 Photo-Me Photo-Me International Plc Thain Thain Commercial Limited | UPP | UPP Group Holdings Limited | |---------------------------------------------------------|-----------------------------------------------------| | Vend share agreement | The provider supplies and installs the machines and | | carries out repairs and maintenance works. The | | | customer does not pay rent to the provider, but instead | | | receives an agreed percentage of the revenues | | | generated from end-users of the machines in the form of | | | commission from the provider. | | | The same meaning as vend share agreement | Variable rental | | agreement | | | Washstation | Washstation Limited. | | Whirlpool | Whirlpool Corporation | | Wolf Laundry | Wolf Laundry Limited | | | |

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## Pre-Release Access To Official Statistics: National Forest Inventory Statistics For England And Aligned Areas Introduction The Forestry Commission's arrangements for pre-release access to Official Statistics are described in a Pre-Release Access Statement1. This document supplements the statement by giving the names and/or job titles of all those persons to whom pre-release access has been granted to the National Forest Inventory statistics for England and aligned areas. The report covers 2 forms of prerelease access:  Part 1 provides a list of those receiving pre-release access to the Official Statistics in their final form for briefing purposes. As this is a release covering England, the prerelease access period is **limited to 24 hours**.  Part 2 provides a list of those receiving pre-release access for quality assurance purposes. The justification for giving advance access to each listed recipient will be available on request. Sheila Ward Forestry Commission Lead Official for Statistics Updated August 2017 ## Part 1: Pre-Release Access To Final Form (24 Hours) (last updated by Aug 2017)  Ian Gambles, Director, Forestry Commission England  Richard Greenhous, Director of Forest Services, FC England  Simon Hodgson, Chief Executive of Forest Enterprise England  Joe Watts, Head of Sustainable Forest Management, FC England  Richard Britton, Head of Forest Services Delivery, FC England  James Pendlebury, Chief Executive, Forest Research  Mark Broadmeadow, Principal Adviser, Climate Change, FC England  Colin Whelan, Natural Environment Policy, Defra  Rebecca Waite, Policy Advisor, Local Delivery 25YEP and JOLT/aligned areas, Defra  Megan Phillips, Press Office, FC/Defra  Rachel Ford, Chief Communications Officer, Defra  Emily Beaumont, Media Relations Officer, FE England  Natasha Moor, Communications Officer, Defra  Caitlin Owers Press Office, Defra  Lee Cain, Media Special Adviser, Defra  Guy Robinson, Policy Special Adviser, Defra ## Part 2: Pre-Release Access For Quality Assurance (last updated by Aug 2017)  Richard Britton, Head of Forest Services Delivery, FC England  Peter Freer-Smith, Research Director, Forest Research  Peter Weston, Head of Inventory, Forecasting & Operational Support (IFOS), Forest Research  Keith Jones, Area Director, North West & West Midlands England, FC England  Mark Prior, Area Director, South West England, FC England  Steve Scott, Area Director, East and East Midlands England, FC England  Alison Field, Area Director, South East England Area, FC England  Crispin Thorn, Area Director, Yorkshire & North East , FC England  Sheila Ward, Statistician, IFOS-Forest Research  Craig Harrison, Partnership & Expertise Manager, London, FC England  Chris Waterfield, Partnership & Expertise Manager, North West & West Midlands England, FC England  Donna Tavernor, Partnership & Expertise Manager, North West & West Midlands England, FC England  Richard Pow, Partnership & Expertise Manager, Yorkshire & North East , FC England  Jim Smith, Local Partnership Advisor, Yorkshire & North East, FC England  David Bole, Partnerships & Expertise Manager, East and East Midlands England, FC England  Corinne Meakins, Partnership & Expertise Manager, East and East Midlands England, FC England  Matthew Woodcock, Partnership & Expertise Manager, South East England, FC England  Kate Tobin, Local Partnership Adviser, South West England, FC England

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## Comparing Pavement Condition - Feasibility Study Office of Rail and Road ## Important Notice This report was prepared by Cambridge Economic Policy Associates Limited (CEPA) for the exclusive use of the client(s) named herein. Information furnished by others, upon which all or portions of this report are based, is believed to be reliable but has not been independently verified, unless expressly indicated. Public information, industry and statistical data are from sources we deem to be reliable; however, we make no representation as to the accuracy or completeness of such information, unless expressly indicated. The findings enclosed in this report may contain predictions based on current data and historical trends. Any such predictions are subject to inherent risks and uncertainties. The opinions expressed in this report are valid only for the purpose stated herein and as of the date of this report. No obligation is assumed to revise this report to reflect changes, events or conditions, which occur subsequent to the date hereof. CEPA does not accept or assume any responsibility in respect of the report to any readers of the report (third parties), other than the client(s). To the fullest extent permitted by law, CEPA will accept no liability in respect of the report to any third parties. Should any third parties choose to rely on the report, then they do so at their own risk. ## Glossary | BCD | Base Condition Data | |-----------------------------------------------------------------------------------------|------------------------------------------------------------------------| | CQC | Customers Quality Cost | | CSC | Characteristic Skid Resistance | | DBFO | Design Build Finance and Operate | | DfT | Department for Transport | | DMRB | Design Manual for Roads and Bridges | | GPR | Ground Penetrating Radar | | HAPMS | Highways England's Pavement Management System | | HGV | Heavy goods vehicle | | HMDIF | Highways Maintenance Data Interchange Format | | IRI | International Roughness Index | | KPI | Key Performance Indicator | | KPI8 | Pavement Condition metric Highways England is assessed against in RIS1 | | LA | Local Authority | | LPV | Longitudinal Profile Variance | | MPD | Mean Profile Depth | | NSC | Network Structural Category | | ORR | Office of Rail and Road | | PMS | Pavement Management System | | RCD | Raw Condition Data | | RCI | Road Condition Index | | RDC0120 | | | DfT data tables for LA managed classified roads where maintenance should be considered, | | | by LA in England | | | RIS | Road Investment Strategy | | RWS | Rijkswaterstaat | | SCANNER | Surface Condition Assessment for the National Network of Roads | | SCRIM | Sideway-force Coefficient Routine Investigation Machine | | SFC | SCRIM Skid Resistance data | | SKM | Skid Resistance | | SMTD | Sensor Measured Texture Depth | | SRN | Strategic Road network | | TfL | Transport for London | | TRACS | TRAffic-speed Condition Survey | | TRASS | TRAffic-speed Structural Survey | | TSD | Traffic-Speed Deflectometer | ## Executive Summary The Office of Rail and Road (ORR) have commissioned CEPA and TRL to consider the composition and level of detail of pavement condition data across highway authorities that are comparable to Highways England. The objective of this project is to assess the feasibility of making direct comparisons of pavement condition data between Highways England and these candidate comparators. To meet ORR's requirements our analysis was split into two stages, as shown in Figure 1 below. ## Assessment Of Comparators Table 1 below provides a summary of our findings regarding the feasibility of making direct comparisons of pavement condition between Highways England and the comparators. It provides an indication, by metric, of which road authorities can be compared and whether that comparison requires that the metric be modified. Metrics Parameters RIS1 RIS2 Netherlands LA Authority Highways England ✓ ✓ m ✓ ✓ Scotland m m m ✓ ✓ (some) Wales m m m ✓ ✓ (some) Local Authorities m m m ✓ ✓ (some) Netherlands m m ✓  ✓ (some) Sweden     ✓ (some) ## Key  Calculation of metric not possible, required parameters not available ✓ Calculation of metric possible or comparison of parameters possible m Calculation of a modified version of the metric possible. Further explanation of these findings is provided below. ## Feasibility Of Comparison Using Highways England Ris Pavement Metric Assessment of the feasibility of comparison between Highways England and the comparator organisations using the Highways England Road Investment Strategy (RIS) pavement metric has revealed that it is not possible to directly undertake comparisons using the RIS1 metric, or proposed RIS2 metric, without modifications to the metric calculations. Undertaking certain modifications would allow for comparisons with Figure.1: Overall project approach Wales, Scotland and the Netherlands, albeit using modified versions of these metrics and requiring bespoke modification for each road authority. The data collected and held by Sweden appears to be too different to make any comparison with the Highways England's RIS pavement metrics feasible. Whilst comparison with the Local Authorities (LAs) is possible, it is not recommended due to the level of work required to do so. ## Feasibility Of Comparison Using Netherlands Metric As was the case with Highways England's RIS pavement metrics, assessment of the feasibility of comparison between Highways England and the comparator organisations using the Netherlands metric has revealed that it is not possible to directly undertake any comparisons without making modifications to the metric calculations. The main difference between the Netherlands metric and the other comparators is around Fretting. Other authorities either do not collect Fretting data, or do not measure the parameter in the same way. Similarly, Cracking is not measured in the same way in the UK. Therefore, no comparison can be performed with the Dutch metric that includes either of these parameters. The data collected and held by Sweden appears to be too different to make any sort of comparison with the Netherlands metric feasible. Comparison with the LAs is not recommended due to the level of work required to do so. The Highways England RIS pavement metrics require different modifications for the Netherlands and Wales/Scotland/LAs. The above analysis has revealed that, unlike the RIS pavement metrics, Highways England, Scotland, Wales, LAs and the Netherlands can all be compared with one another using the same modified version of the Dutch metric, but calculated using only Rutting, Ride Quality and Skid Resistance. ## Feasibility Of Comparison Using Local Authority Metric The LA metric will allow for comparison between Highways England, Scotland, Wales and LAs, without requiring modification, pending further investigation of TRAffic-speed Condition Survey (TRACS) and Surface Condition Assessment for the National Network of Roads (SCANNER) Cracking data. This contrasts the previous metrics, which also allow for extensive comparison but require modification to the metric calculations. For the Netherlands and Sweden, a meaningful calculation of the Road Condition Index (RCI) is not possible and consequently neither is comparison with Highways England. We conclude that the LA metric (Amber) provides the most straightforward opportunity for comparison of pavement condition for the UK authorities. It does not appear practicable to include international comparators. ## Feasibility Of Comparison Using Highways England Data Comparison using components of Highways England data is the alternative option to using whole metrics. Assessment of the feasibility of comparisons using parameters of Highways England's data shows that all of the comparators can be compared with Highways England using some, but not all, of the data components recorded at an individual level. Highways England, Scotland, Wales and the LAs appear to be comparable with each other for some of the parameters. Including the Netherlands and Sweden in the majority of these comparisons does not appear possible. A parameter comparison between authorities may be used as a stand-alone measure, or alternatively, as a complementary measure to a metric comparison. The added value of the latter would depend on the parameters and authorities included in the chosen metric. Sweden and the Netherlands can only be compared with Highways England on Rutting and Roughness parameters., Texture, Skid Resistance and possibly Cracking parameters could also be compared between UK authorities. ## Considerations For Future Work Two potential issues emerge when discussing the actual undertaking of the comparisons discussed in this report, particularly between Highways England and Local Authorities. These would need to be considered during any future work. See Appendix C for further information. First, Sideway-force Coefficient Routine Investigation Machine (SCRIM) type data is not collected network wide by local authorities, presenting challenges in monitoring changes in Skid Resistance over time in these cases, as a relatively small part of the network is sampled each year. This presents a risk that the sample may not be representative of the road condition of the LA networks in any given year. Second, practice differs between LAs in terms of how the network condition of the roads not surveyed in the latest year are treated in reporting an overall measure. ## Summary We used case studies to assess the feasibility of taking forward direct comparisons of pavement conditions. This revealed that: - Regardless of whether the RIS1 or RIS2 version of the Highways England pavement metric is used, it is not possible to directly undertake any comparisons without modifications to the metric calculations. - Scotland, Wales and the LAs are already closely aligned in terms of the form and structure of the data collected, and as a group are the most feasible comparators for Highways England. - Among international comparators, Sweden is not a suitable candidate for comparisons, and the Netherlands is a more feasible candidate. - The Netherlands metric provides the opportunity for the most extensive comparison. The modifications required to undertake the comparison are the same for Highways England, Scotland, Wales and the LA. This means all comparators, except Sweden, can be included in a multicomparison. - The LA metric (Amber) provides the best opportunity for comparison of pavement condition between the UK authorities. - Highways England, Scotland, Wales and the LAs appear to be comparable using some data parameters instead of a metric to undertake comparisons, The Netherlands and Sweden cannot be included in the majority of these comparisons. - There are some potential limitations with using LAs as comparators that need to be considered during any future work. These may be rectified by selecting as comparators those LAs which manually over-write their road condition databases when improvement works are undertaken. Assessment of pavement condition between Highways England and other organisations, therefore, appears more feasible using metrics calculated by other organisations, rather than using the Highways England pavement metric. The Netherlands appears to allow for a more extensive comparison than the LA metrics. But the LA metrics are the most straightforward option for a comparison between UK authorities. A parameter comparison between authorities may be used as a stand-alone measure, or alternatively, as a complementary measure to a metric comparison. The added value of the latter would depend on the parameters and authorities included in the chosen metric. Sweden and the Netherlands can only be compared with Highways England on Rutting and Roughness parameters. Texture, Skid Resistance and possibly Cracking parameters could also be compared between UK authorities. Undertaking a comparison using the individual data parameters is a simpler process and one that allows for comparison between specific elements of pavement condition. The use of such metrics allows for a more complete picture of pavement condition to be presented in way that is easier to understand and allows for easy comparison across time. Initial cost estimates for undertaking the comparisons are presented in Figure 2 below. ## 1. Introduction Highways England is responsible for operating, maintaining and improving the Strategic Road Network (SRN) in England. The SRN is an important national asset which generates and supports the growth of the UK. The ORR monitors Highways England's performance delivery and management of the SRN through a performance scheme, which includes both efficiency and operational performance metrics, as well as investment monitoring. This performance scheme forms part of the five-year Road Investment Strategy (RIS), through which ORR advises on future strategies, evaluates proposals and monitors Highways England's performance against set targets. Highways England is nearing the end of the first road period (RIS1), which concludes in 2020, and ORR is currently involved in finalising outputs and funding, as well as the performance metrics and targets, for the second period (RIS2). One of the metrics Highways England is formally assessed against in RIS1 is KPI8, the key performance indicator (KPI) for pavement condition measured as the percentage of the network that needs no further investigation for possible maintenance. Highways England is proposing an amended version of this current pavement metric for RIS2, which would instead measure the percentage of the pavement network in good condition. ORR has commissioned CEPA and TRL to consider the composition and level of detail of pavement condition data across highway authorities that are comparable to Highways England. The objective of this project is to assess the feasibility of making direct comparisons of pavement condition data between Highways England and these comparators. This report builds on our previous work,1 which considered how pavement metrics are designed and measured across several organisations including Local Authorities (LAs), Transport Scotland, the Welsh Government and internationally. The objective of that work was to assess what other road management agencies do in terms of measuring and monitoring pavement condition, and the extent to which this can be compared to the approach adopted by Highways England. ## 1.1. Structure Of Document The remainder of the report is structured as follows: - Section 2 gives an overview of our approach; - Section 3 contains a case study on Highways England's pavement condition data and measurement; - Section 4 provides an outline of the comparators selected; - Section 5 provides a comparison between Highways England and the organisations identified for analysis; and - Section 6 outlines our findings. ## 2. Approach To meet ORR's requirements our analysis was split into two stages, as shown below and discussed in the subsequent sections. ## 2.1. Stage 1: Research The first stage of the project involved: - selection of comparators; - researching the form and detail of data held by potential comparators; and - developing a case study for each comparator. We revisited our earlier report and selected those comparators that we found to be most comparable to Highways England for the purposes of this research. The Netherlands and LAs were found to be the most comparable and might permit some form of benchmarking, if the data underlying current measures could be obtained and analysed. The highway parameters for Scotland and Wales are similar enough to Highways England's RIS1 pavement metric that a comparison can be made, though a modification would be required for both. Whilst Sweden was not considered within the previous study, its road condition data is published now online. Therefore, Sweden has also been considered in this research. Further detail is provided in Section 4. We engaged with each of these comparators, as well as undertaking desk-based analysis, in order to identify and assess the type of data collected to assess pavement condition, and the level of detail available. Table 2.1 below sets out the list of case studies compiled, along with the associated provider and type of road network. | Jurisdiction | Provider | |-------------------|----------------------------------------------| | Netherlands | Riijkswaterstaat (National Roads) | | Scotland | Transport Scotland (Trunk Road Network) | | Local Authorities | Various (Local Road Network) | | London | Transport for London (Local and Trunk Roads) | | Wales | Welsh Government (Trunk Road Network) | | Sweden | Trafikverket (National Roads) | For the remainder of Stage 1, for each comparator, we: - determined how the data could be compared between comparators, with attention paid to the pavement metric currently used by Highways England in RIS1; and Figure 2.1: Overall project approach - from this, assessed whether comparisons were feasible and what factors may hinder direct comparability. We created a standardised case study template that we used to collate our research and analysis on each comparator, as well as to facilitate comparison with our Highways England case study. By the end of Stage 1 we had developed a set of six comparator case studies which covered: - Type, form, age and structure of data collected. - Level of detail of data. - Time required and cost to collate/clean/prepare data and perform comparison. - Factors that may hinder direct comparability. - Likelihood of comparison success. - Steps required to compare data. - Feasibility of using the comparator's data to obtain a metric equivalent to Highways England's pavement metrics, Netherlands metric and LA metrics. - Feasibility of using the comparator's data to compare with Highways England data. ## 2.2. Stage 2: Synthesis Of Research In Stage 2, the case studies were compared in order to draw out the comparisons that we consider feasible. Once the case studies had been evaluated, an analysis of the data amendments and additions that are required in order to facilitate comparison between Highways England and the comparators was undertaken. ## 3. Highways England Case Study This section provides information on the form and detail of Highways England's pavement condition data, as well as outlining the KPI used to measure pavement condition in RIS1 (KPI8) and the proposed metric for RIS2. ## 3.1. Pavement Condition Assessment The general approach to pavement condition assessment comprises consideration of: - structural condition; - surface unevenness; and - surface Skid Resistance. To measure these, Highways England uses the TRAffic-speed Condition Surveys (TRACS) for surface condition, Sideway-force Coefficient Routine Investigation Machine (SCRIM) to measure Skid Resistance and Traffic Speed Deflectometer (TSD) for TRAffic-speed Surveys of Structural condition (TRASS).2 These surveys collect the following data: - TRACS (Traffic Speed Condition Survey) data: Rutting, Ride Quality (3m, 10m and 30m eLPV, and Bump Measure), Texture (SMTD), Cracking, Fretting, Images, Retroreflectivity (road markings), Ground Penetrating Radar (GPR); - SCRIM data (Skid Resistance): SFC; and - TRASS (TSD): Deflection data. A lot of this data is used for directly assessing maintenance interventions, or for using in the calculation of the RIS1 pavement metric. However, some have only been introduced quite recently (e.g. Fretting, GPR) and have not yet been established as robust, whilst parameters such as Texture are only used as proxies for others (Skid Resistance) and therefore, only the more important measure is included in the metric. ## 3.2. Ris1 Pavement Metric (Kpi8) Highways England uses the condition data that these surveys collect as the basis for its RIS1 KPI. Its Operational Metrics Manual3 describes the KPI for pavement condition as the percentage of the network that needs no further investigation for possible maintenance. The KPI is based on the condition of each 10m length of Lane 1 of main carriageway (i.e. not lay-bys, slip roads, link roads or roundabouts) on the network and excludes the part of the network managed as a part of Design, Build, Finance and Operate (DBFO) concessions, as Highways England has no direct control of maintenance works undertaken on these roads. The condition of the pavement for the RIS1 KPI is measured as part of annual TRACS and Skid Resistance surveys of Lane 1 of main carriageways (non-DBFO parts only). The data from these two surveys, which describe Rutting, (3m, 10m and 30m wavelength) longitudinal profile and Skid Resistance, are used to assess the condition of each 10m length of the network. Four categories are used to define the pavement condition measured by TRACS: - Category 1: No visible deterioration; - Category 2: Low level deterioration and no action required; - Category 3: Moderate level of deterioration and investigation is required; and - Category 4: Severe level of deterioration and investigation is required at the earliest opportunity. Highways England uses Category 3a for the RIS1 Pavement Condition Metric, mid-way between the thresholds for Categories 3 and 4. For Skid Resistance the Investigatory Level is equivalent to Category 3 (i.e. the condition is to be investigated). The target for the RIS1 KPI is to maintain at least 95% of the network (Lane 1) at a level where further investigation is not required for each year of RIS1, defined as Category 3a or better.4 Table 3.1 below provides a summary of Highways England's approach to pavement condition measurement in RIS1. | Area of interest | |----------------------------------------------------------------------------------------------------| | Summary of | | techniques used | | by Highways | | England | | | | TRACS - used to measure different elements of pavement surface condition. | | SCRIM - measures Skid Resistance. | | TSD - measures the (structural) strength (expressed as the Network Structural Category) of | | the road pavement. | | GPR - data used in combination with TSD measurement in the identification of the Network | | Structural Category (NSC). | | Deflectograph - measures the pavement deflection (to show the pavement strength); used for | | targeted investigations only when the other surveys indicate that further investigation is needed. | | RIS1 Metric | | construction | Data on the surface condition (Rutting and evenness) and Skid Resistance of the pavement on the network is used. Not all of the network can be surveyed in a year for a range of reasons, so the length examined is less than the total length of Lane 1 on the SRN, but the annual data coverage is high at >96%. The condition of each 10m length of Lane 1 of the main carriageways is identified using a variety of defects (Rutting, 3m, 10m and 30m longitudinal profile, and Skid Resistance). All defects in each 10m length must be in better condition than Category 3a for the 10m length to be considered as good condition for the KPI analysis. The total length without condition data is assumed to be the same condition (i.e. the percentage length in good condition) as the part of the network with condition data. The targeted condition is for 95% or more of Lane 1 to not require further investigation (i.e. condition better than Category 3a) for the KPI. Anything worse than the thresholds for Category 3a is deemed to require further investigation (i.e. in poor condition for the KPI). Records of completed maintenance are entered into HAPMS. Any 10m length that has been maintained since the condition survey is assumed to be in better condition than Category 3a. The overall % of the network not requiring further investigation is calculated as (Total length of network data not requiring further investigation / Total lane 1 length of the network) *100 Source: CEPA ## 3.3. Proposed Ris2 Pavement Metric Highways England is proposing an amended version of the RIS1 pavement metric for RIS2. Through this updated Pavement Condition metric, it aims to move from recording the percentage of the pavement network that does not require further investigation, to the *percentage that is in good condition*. The RIS2 pavement metric will be based on Rutting, evenness and Skid Resistance data, collected from the same survey types as in RIS1; however, it will use data from all lanes of the main carriageway and will assess performance using 100m lengths. All lengths of pavement that were renewed since the previous survey will be automatically marked as being in 'good' condition. Part of the proposed update to the pavement metric for RIS2 is the introduction of the Crash model into an altered metric process. Whereas SCRIM identifies areas of the network with Skid Resistance below the Investigatory Level, the Crash Model will now be used to perform additional, more detailed, assessments on these areas. The model results will suggest, of the areas where the Skid Resistance threshold has been breached, the areas where maintenance is likely to be needed due to a higher than normal number of accidents occurring for the type of road. These areas are then followed up with site investigations which, if a need for maintenance is confirmed, will be labelled as not in 'good' condition. Those areas where the Skid Resistance threshold is breached, but the Crash Model shows no issue, or the inspection in-fact reveals no need for maintenance, will be labelled as being in 'good' condition, unless the Rutting or evenness thresholds are also breached. It should be noted that Highways England does not yet fully understand the impact that the inclusion of the Crash model will have on the performance of the metric. ## 3.4. Ris1 Kpi Vs. Ris2 Proposal Table 3.2 provides an outline of the differences between the current RIS1 Pavement Condition Metric and the updated version proposed by Highways England for RIS2. These differences mean the approach taken to assessing the feasibility of making comparisons of pavement condition data between Highways England and comparators will differ depending on whether the RIS1 pavement metric is retained for RIS2, or if the proposed updated metric is introduced. | Component | RIS1 | RIS2 | |------------------------------------------------|-------------------------|--------------------------------------| | % of pavement network in good condition | Title | | | % of pavement asset that does not require | | | | further investigation for possible maintenance | | | | Coverage | Lane 1 main carriageway | All permanent main carriageway lanes | | 5 | | | | | | | | Assessment length | 10m | 100m | | Reporting frequency | Annual | Annual | | Measures of | | | | condition | | | | Rutting | | | | Longitudinal profile (3m, 10m, 30m) | | | | Skidding resistance | | | | Rutting | | | | Longitudinal profile (3m, 10m, 30m) | | | | Skidding resistance | | | | Condition thresholds | Category 3a | Category 3 | Calculation Length of network in good condition scaled up for missing condition data for each defect Only available data is used - no scaling up to account for missing condition data 2 years 2 years Maximum metric data age Source: Operational Metrics Manual, Highways England (2019) and Draft Strategic Business Plan - Section D: Performance, Highways England (2019). | Condition Parameter | Category 3a Threshold | Category 2 to 3 Threshold | |----------------------------------------------------|--------------------------|------------------------------| | Rut Depth (mm) | 15.5 | 11 | | Characteristic Skid Resistance (CSC) | | | | 6 | | | | | 0.05 Investigatory Level | 0.05 Investigatory Level | | Ride Quality 3m Longitudinal Profile Variance (mm | | | | 2 | | | | ) | | | | Motorways | 3.3 | 2.2 | | Rural Dual Carriageways | 3.3 | 2.2 | | Urban Dual Carriageways | 3.85 | 2.2 | | Rural Single Carriageways | 3.85 | 2.2 | | Urban Single Carriageways | 6.55 | 3.8 | | Ride Quality 10m Longitudinal Profile Variance (mm | | | | 2 | | | | ) | | | | Motorways | 10.6 | 6.5 | | Rural Dual Carriageways | 10.6 | 6.5 | | Urban Dual Carriageways | 15.7 | 8.6 | | Rural Single Carriageways | 15.7 | 8.6 | | Urban Single Carriageways | 27.45 | 18.3 | | Ride Quality 30m Longitudinal Profile Variance (mm | | | | 2 | | | | ) | | | | Motorways | 88 | 66 | | Rural Dual Carriageways | 88 | 66 | | Urban Dual Carriageways | 98 | 75 | | Rural Single Carriageways | 98 | 75 | | Urban Single Carriageways | 145 | 97 | Source: Operational Metrics Manual, Highways England, 2019 and Design Manual for Roads and Bridges, Volume 7, Section 3, Part 2, HD 29/08 The change of condition threshold from Category 3a to Category 3 means that Highways England will be subject to more stringent condition thresholds (Category 2 to 3 thresholds). This will potentially have a negative impact on reported performance, as condition will now need to be higher across the network in order to not breach the new thresholds. Despite this having a potentially negative impact on reported performance, other changes to the proposed pavement metric for RIS2 have the potential to increase reported performance, particularly relating to the coverage of the metric. Most road authorities survey the nearside lane only, as this is the lane that typically takes most of the heavy goods vehicle (HGV) traffic, which are the vehicles that do the most damage to the road. By doing this, these road authorities are assuming that the nearside lane is either representative of all other lanes, or that the other lanes are in better condition. Whilst this is not always the case (e.g. if the nearside lane has been recently reconstructed), in general, calculating a metric based on only nearside lane data is likely to give a more pessimistic view of the condition of the road network - the worst-case scenario. By using data from all lanes, the proposed metric for RIS2 may result in Highways England's network appearing to be in much better condition comparatively than it is in reality, when comparing with other authorities where only nearside lane data is available. The overall impact on reported performance as a result of the proposed changes to the RIS1 pavement metric for RIS2 may therefore, not be negative overall. ## 3.5. Data Form And Detail As mentioned above, Highways England commissions TRACS, TSD and SCRIM surveys. The survey contractors process raw condition data (RCD files) using MSP software and upload base condition data (BCD) to HAPMS database. Data, reported at 100m intervals, is available to all pavement engineers via the HAPMS database. Data reported at 10m intervals is also available in HAPMS, but special permission is needed to access this. Raw data for TRACS (longitudinal profile, transverse profile etc.) is also provided to Highways England's Pavement Team and TRL (as the survey auditor). The raw data is stored in text files (RCD files), the format of which is defined by Highways England. ## 4. Selection Of Comparators 4.1. Previous Findings ORR previously commissioned CEPA and TRL to consider how pavement condition metrics are designed and measured across road networks managed by several organisations that are in some way comparable to Highways England. Those jurisdictions studied included two LAs, London (TfL), Australia, Austria, Denmark, Netherlands, Scotland and Wales. Our research indicated that of the organisations studied, the LAs, TfL and the Netherlands were the most comparable to Highways England and might permit some form of benchmarking if the data underlying current measures could be obtained and analysed. We found that although the LAs and TfL measure similar pavement condition characteristics to Highways England, the metric used to summarise condition for LAs and TfL (the Road Condition Index) is not directly comparable to Highways England's RIS1 pavement metric. Nevertheless, some of the underlying pavement condition data collected by the LAs and reported to the Department for Transport (DfT) could be compared to Highways England. Our findings also indicated that the Dutch pavement condition metric is quite similar to Highways England's RIS1 pavement metric, but a direct comparison cannot be made on a like-for-like basis because the Dutch metric includes different components, sets different intervention levels for maintenance, and measures Skid Resistance differently. For the two metrics to be comparable, the measured values for each aspect of condition on one network would need to be converted to the scale of values used for the other network and the same indicator then calculated for both networks, or the two indicators would need to be related on a common scale. ## 4.1.1. Metrics As well as Highways England's pavement metric, the metrics briefly described below were also identified in the previous work. ## Netherlands Metric The metric for pavement condition, used for national roads in the Netherlands (including motorways and connecting roads), is measured as the percentage of the network that needs no further investigation for possible maintenance. The calculation is based on data reported over 100m lengths and the parameters used to calculate it are: - Rutting; - Ride Quality (IRI); - Skid Resistance (SKM); - Cracking (longitudinal and transversal); and - Ravelling (Fretting). Table 4.1 provides summarised thresholds that are applied by Rijkswaterstaat (RWS), the Dutch roads and waterways administration, to measurements from the Dutch road network. | Defect | Intervention limit per 100 m | Remarks | |--------------------------------------------------------------------|---------------------------------|--------------------------------| | Rut Depth | 17 mm | Only measured on nearside lane | | IRI | 3.5 m/km | Only measured on nearside lane | | Skid | | | | Resistance | | | | 0.51 for porous asphalt | | | | 0.53 for dense asphalt | | | | Only measured on nearside lane | | | | Skid Resistance is expressed by subtracting the intervention limit | | | | of the weighted average value of the last two years. For example: | | | | The weighted average is: 0.60 | | | | The intervention limit is: 0.51 | | | | The value in the excel file is then: 0.09 | | | | Longitudinal | | | | Cracking | | | | 60 m moderate Cracking | | | | | | | | Measured on all lanes | | | | Moderate = cracks with a width of 3 - 20 mm | | | | Longitudinal Cracking also includes alligator Cracking | | | | Transversal | | | | Cracking | | | | 7 moderate transversal cracks | Measured on all lanes | | | Moderate = cracks with a width of 3 - 20 mm | | | | Ravelling | 50 m wheel track with moderate | | | Ravelling | | | | Measured on all lanes | | | | Moderate = 10 - 20 % of the stones are missing per square | | | | meter | | | ## Local Authority Metric The metric for pavement condition used for local A roads in the UK, Single Data List item 130-01 (former National Indicator 168), is the percentage of principal classified roads where maintenance should be considered. This is also known as the "Red Length", where the SCANNER RCI is ≥100. The calculation is based on data reported over 10m lengths and the parameters used to calculate it are: - Rutting; - Ride Quality (3m and 10m LPV); - Cracking; and - Texture (SMTD). Some English local authorities are members of the CQC Efficiency Network, a benchmarking club of 92 local highways authorities in England. In addition to calculating the percentage of "Red" lengths on their network, these authorities also calculate the percentage of "Amber" lengths on their network (the lengths that might need to be considered for maintenance in the next few years). This metric is calculated with the same parameters as for the "Red" lengths but is where the SCANNER RCI is ≥40 but <100. ## 4.2. Comparator Selection As noted above, the organisations previously studied included LAs, Netherlands, Scotland, Wales, London (TfL), Australia, Austria and Denmark. The former four comparators were selected to be taken forward for this feasibility study. All of these organisations are responsible for a road network that is at least somewhat comparable to the SRN, considering traffic volumes, network length, surface material and climate. This creates the potential for a useful benchmarking exercise. Additionally, comparisons with Highways England pavement metrics and some parameters is possible, albeit a modified version for the former. Whilst Sweden was not considered within the previous study, the Swedish road authority, Trafikverket, now publishes its road condition data online. The road network in Sweden has limited comparability to the SRN, but some comparisons are possible with Highways England parameters. Thus, in order to include an additional international comparator, data from Sweden has also been considered in this research. A summary of whether it would be possible to perform a comparison between the data from these authorities and Highways England is presented in Table 4.2, indicating the reasons for selection. Appendix A provides further detail. Country/Road Authority Is the road network comparable? Are Highways England's metric parameters comparable? Can parameters be compared? Rutting Roughness Skid Resistance Australia No Y ~ Y Y Austria No Y ~ N Some No - N/A No Denmark No Y ~ N Some No - N/A No Netherlands Y ~ ~~ Y Yes* Yes Yes* Yes Somewhat - similar network, traffic and climate, different surface material. Scotland Y Y Y Y Yes* No No Yes Somewhat - similar climate and surface material, less traffic, shorter network. Sweden Y ~ N Some No - N/A Yes Limited - similar surface material, different climate, short network, less traffic. Y Y Y† Y Yes* Yes Yes Yes UK Local authorities Variable between LAs. A-roads only (partial). Shorter network carrying less traffic, including HGVs. UK Transport for London No Y Y Y Y Yes* but comparison may be meaningless, - N/A No Metric published? Could a comparison with Highways England's pavement metrics be made? Should this authority be considered for comparison? Can metric be calculated from Highways England data? - N/A No Yes* but comparison may be meaningless, due to lack of similarity between networks. Country/Road Authority Is the road network comparable? Are Highways England's metric parameters comparable? Can parameters be compared? Rutting Roughness Skid Resistance Wales Y Y Y Y Yes* - N/A Yes Somewhat - similar climate and surface material. Less traffic, short network. ~ = somewhat - these countries calculate IRI, which can be calculated from raw Highways England data, or estimated from 3m and 10m eLPV but is not directly comparable to eLPV ~~ = somewhat - the same measurement principle is used but a different tyre and post-processing is applied, so values are subtly different. * a modified version of the metric could be calculated. † Some Skid Resistance measurements are made but only on selected lengths of the network. Metric published? Could a comparison with Highways England's pavement metrics be made? Should this authority be considered for comparison? Can metric be calculated from Highways England data? due to lack of similarity between networks. ## 5. Assessment Of Comparators This section provides an assessment of the feasibility of making direct comparisons of pavement condition data between Highways England and the comparator organisations, as well as cost estimates for undertaking the comparisons. See Appendix B for the full case studies. ## 5.1. Data Table 5.1 below gives a summary of the type of data collected/held by each organisation, as well at its form/ structure, providing an introductory overview for the assessments undertaken in the subsequent sections. | Comparator | Type of data collected/held | |------------------------------------------|--------------------------------| | Form, structure and level of | | | detail | | | Highways England | | | - | | | | | | TRACS (Traffic Speed Condition | | | Survey) data: Rutting, Ride Quality (3m, | | | 10m and 30m eLPV, and Bump | | | Measure), Texture (SMTD), Cracking, | | | Fretting, Images | | | - | | | | | | SCRIM data (Skid Resistance): SFC | | | - | | | | | | TRASS (TSD): Deflection data | | | Scotland | | | - | | | | | | SCANNER data (i.e. Rutting, Ride | | | Quality (LPV), Texture, Cracking, Edge | | | Deterioration, Texture Variability) | | | - | | | | | | SCRIM data (Skid Resistance): SFC | | | - | | | | | | Deflection data (Deflectograph) | | | Wales | As with Scotland, the survey | | contractors deliver processed data | | | over 10m reporting lengths and this | | | is stored in the Welsh pavement | | | management system (PMS). Raw | | | data is not stored but may be | | | requested from the contractor, in | | | special circumstances. | | | Local Authorities | | | Survey contractors either deliver | | | HMDIF files, which contain | | | processed data and can be loaded | | | into the pavement management | | | system (UKPMS) by the authority, | | | or the contractors load processed | | | data straight into the pavement | | | management database. The data is | | | provided over 10m reporting | | | lengths. The authorities may be able | | Survey contractors process raw condition data (RCD files) using MSP software and upload base condition (BCD) to HAPMS database. Data is reported at 100m intervals. Data reported at 10m intervals is also available in HAPMS. Raw data for TRACS is stored in text files (RCD files), the format of which is defined by Highways England. Survey contractors deliver processed data over 10m reporting lengths and this is stored in the Scottish pavement management system (PMS). Raw data is not stored but may be requested from the contractor, in special circumstances. | Comparator | |-------------------------------------------| | Form, structure and level of | | detail | | Netherlands | | - | | | | Surface condition data (Rutting, Ride | | Quality (IRI), Cracking (longitudinal and | | transversal), Ravelling) | | - | | | | Skid Resistance data | | - | | | | Calculated residual life span for each of | | the defects. | | Sweden | | - | | | | Surface condition data (IRI, Edge | | Deterioration, Texture (MPD), Rutting) | | - | | | | 5 years forecast data (IRI, Rutting, Edge | | Deterioration). | Source: CEPA analysis In terms of the comparators' willingness to engage, all either publish the data publicly (LAs and Sweden), therefore removing the need for engagement, or were willing to cooperate in a comparison study and were eager to see the results (Scotland, Wales and Netherlands). This provides confidence that data access issues should not present a large issue if undertaking the below comparisons was required in the future. ## 5.2. Feasibility Of Comparison Using Highways England'S Ris Pavement Metrics Assessment of the feasibility of comparison between Highways England and the comparator organisations has revealed that it is not possible to directly undertake any comparisons using the RIS1 pavement metric, or proposed for RIS2, without modifications to the metric calculations. The steps required to undertake the comparisons using the RIS1 metric, or proposal for RIS2, can be found in the case studies in Appendix B. Undertaking certain modifications would allow for comparisons with Wales, Scotland and the Netherlands, albeit using different modified version of the RIS1 and RIS2 metrics and therefore, not allowing comparison across the three comparators and Highways England (see Appendix B for the steps required to undertake the comparisons). The data collected and held by Sweden appears to be too different to make any sort of comparison with Highways England's pavement metric feasible. Comparison with LAs, whilst in theory possible, is not recommended due to the high amount of work required to do so. The methods used by Wales, Scotland and LAs to measure and calculate Rutting are very similar to that used by Highways England, and the methods used for Skid Resistance are identical. For all three comparators however, the SCANNER surveys only collect 3m and 10m Longitudinal Profile Variance (LPV), whilst the RIS pavement metric also requires 30m. Calculation of a modified metric, excluding 30m LPV, would therefore to request raw data from the contractors. Processed (parameter) data for 100m section lengths is stored in the Rijkswaterstaat (RWS) database, along with the residual life span for the 5 years ahead. Raw data is stored separately but is not readily accessible for most people. Processed data for 20m lengths of all the roads managed by Trafikverket are stored in the PMSv3 pavement management system, which is free and open to public, research asset management and commercial use. Forecasted individual parameter data for the each of the next 5 years are calculated and provided for 100m lengths. Raw data is stored separately - not readily accessible to all. be required in order to undertake a comparison of pavement condition between Scotland, Wales, LAs and Highways England using the RIS1 pavement metric, or RIS2 proposal. To provide robust data from such a comparison however, several LAs should be considered, requiring permission to be sought to use their data. To obtain a sufficient amount of SCRIM data for the LAs would require a large amount of effort as this is not collected network-wide by LAs - a relatively small part of the network is sampled per year. This presents a risk that the sample may not be representative of the road condition of the LA networks in any given year. This additional data collection may outweigh the benefit of performing a comparison given the lack of similarity between the SRN and the much of the local road network. It is therefore recommended that LAs are not included in the comparison using Highways England's pavement metrics. As is the case with Wales and Scotland, comparison of a modified version of Highways England's RIS1 or RIS2 pavement metric should be possible for the Netherlands. The Dutch data is reported over 100m lengths whilst the RIS pavement metric is calculated for every 10m length of the network, but the Rutting, Roughness and Skid resistance data collected is somewhat similar to that collected by Highways England, although all require alterations, set out in Appendix B, to enable comparison. In Sweden, data is reported for every 20m length, whereas Highways England's pavement metrics require reporting lengths of 10m lengths, and Skid Resistance data is not collected. Comparison is possible, but only through the use of two individual parameters, (Rutting and Roughness) which would be used to calculate a modified version of the pavement metrics. As is the case with the LAs, a significant amount of effort would be required to complete a comparison between Sweden and Highways England using the RIS1, or proposed RIS2, pavement metric, and may not provide additional benefit relative to comparing individual data parameters directly. Comparison is therefore not recommended. ## 5.3. Feasibility Of Comparison Using Netherlands Metric As was the case with the Highways England metrics, assessment of the feasibility of comparison between Highways England and the comparator organisations using the Netherlands metric has revealed that it is not possible to directly undertake any comparisons without making modifications to the metric calculations. The main difference between the Netherlands Metric and the other comparators is around Fretting, with other authorities either not collecting Fretting data, or not measuring the parameter in the same way. Similarly, Cracking is not measured in the same way in the UK. Therefore, no comparison can be performed with the Dutch metric including either of these parameters. See Appendix B for the steps required to undertake the comparisons. The data collected and held by Sweden appears to be too different to make any sort of comparison with the Netherlands metric feasible, and comparison with the LAs is not recommended due to the high amount of work required to do so. As described previously, the Highways England metrics required different modifications for the Netherlands and Wales/Scotland/LAs. The above analysis has revealed that, unlike the RIS1 and proposed RIS2 metrics, Highways England, Scotland, Wales, LAs and the Netherlands can all be compared with one another using the same modified version of the Dutch metric, calculated using only Rutting, Ride Quality and Skid Resistance. For Highways England, a comparison using the Dutch metric, calculated using only Rutting, Ride Quality and Skid Resistance should be possible. RWS in the Netherlands has provided data from all the highways it manages, which should enable an equivalent metric to be calculated for the Dutch road network and a comparison between Highways England and the Netherlands. The Rutting data collected by Highways England is very similar to that collected by the Netherlands. The Roughness and Skid Resistance data collected by Highways England is different, but an adjustment for both can calculated. The Dutch Cracking and Ravelling (Fretting) measurements and parameters are very different from those reported by Highways England. It is, therefore, not appropriate to try to include these parameters in the metric without a further understanding of any relationship that exists between them. Any comparison to determine if a relationship existed between these parameters would require either the current TRACS device to collect survey data on the Dutch road network, or for the Dutch device to survey some of the SRN. It likely that the cost and effort involved for this would outweigh the benefit of this analysis. The Rutting data collected in Wales and Scotland, and by LAs, is very similar to that collected by the Netherlands. The Roughness and Skid Resistance data collected is different, but an adjustment can be calculated for both. The Dutch Cracking measurements and parameters are very different from that reported by Wales, Scotland and LAs, and Fretting is not a parameter that any of these comparators collect at a network level. For Scotland, Wales and LAs, a comparison of a modified metric, calculated using only Rutting, Ride Quality and Skid Resistance, should be possible. However, as was the case with the Highways England pavement metrics, to provide robust data from such a comparison, several LAs should be considered, requiring permission to be sought to use their data. To obtain a sufficient amount of SCRIM data for the LAs would require a large amount of effort as this is not collected network wide by LAs - a relatively small part of the network is sampled per year. This presents a risk that the sample may not be representative of the road condition of the LA networks in any given year. This may outweigh the benefit of performing a comparison given the lack of similarity between the SRN and the local road network. It is therefore recommended that LAs are not included in the comparison using the Netherlands metric. In Sweden, data is processed and reported over 20m lengths, while the Dutch data is over 100m lengths, and the Skid Resistance, Cracking and Ravelling data used to calculate the Dutch metric is not collected. As was the case with the Highways England pavement metrics, comparison is possible but only through calculation of a modified Netherlands metric using two individual parameters (Rutting and Roughness). A significant amount of effort would be required to make this comparison and may not provide additional benefit relative to comparing individual data parameters directly. Comparison is therefore not recommended. ## 5.4. Feasibility Of Comparison Using Local Authority Metric The LA metric (RCI) will allow for comparison between Highways England, Scotland, Wales and LAs, without requiring modification, pending an investigation of TRACS and SCANNER Cracking data. This contrasts the previous metrics which also allowed for extensive comparison but required modifications to the metric calculations. For the Netherlands and Sweden however, a meaningful calculation of the RCI is not possible and therefore, neither is comparison with Highways England. The LA metric provides the most straightforward opportunity for comparison of pavement condition for the UK authorities. However, it does not appear suitable for inclusion of international comparators. Highways England's pavement condition data is available in HAPMS at either 10m or 100m reporting lengths, meaning the 10m reporting lengths needed to calculate Red and Amber length are available. The measurement and calculation of Rutting used by Highways England is very similar to that carried out by LAs, and the measurement and calculation of Texture is the same. The measurement of Roughness, however, is different, as is the equipment used to measure Cracking, meaning the parameter delivered may be fundamentally different. A brief investigation will be needed, using TRACS and SCANNER Accreditation data, to determine comparability. A comparison between LA road networks and the SRN using the Red Length metric should be possible if the Cracking data is comparable, as the Red Length metric for each English LA is published annually by the DfT. If Cracking data is not comparable, the RCI could be calculated excluding Cracking, which would require individual LAs being approached in order to use their data to calculate this modified metric. Skid Resistance, an important measure for the SRN due to the speed of traffic, is not included in the Red Length metric. Both Transport Scotland and Wales commission surveys that are very similar to the SCANNER surveys used on local roads. Therefore, all parameters used to calculate the RCI are available in Scotland and Wales and are the same as those for the LAs. Calculation of the RCI and a comparison, using both the Red and Amber Length metrics, should be possible for both Scotland and Wales, with the focus on Amber (see box below). ## Focus On Amber Road Condition One finding from the CQC Efficiency Network has been that reliance on DfT road condition data for LA managed roads (RDC0120) is not ideal for benchmarking. This is for two reasons: 1. The date of publication of the RDC0120 single data list metrics is substantially after the financial year end for any given year. For example, the road condition measure for 2017/18 is only available in January 2019. This presents challenges for incorporating most recent data in benchmarking 2. More fundamentally, the reliance on the Red measure appears to be incompatible with a more proactive asset management strategy. In general, a cost minimising proactive asset management strategy will intervene on roads before they deteriorate to the Red level, as interventions to this condition of roads is very expensive. As such it makes more sense to focus on the green/(amber + red) trade-off as opposed to the red/(green + amber) trade-off. The focus should therefore be on green/not green (Amber) rather than the significantly deteriorated parts of the network, but ideally all three measures would be available for analysis. To address these two issues, the CQC Efficiency Network requests data directly from participating LAs. The majority of authorities can supply the Amber road condition for A roads. More challenging is Amber road condition for the unclassified network due to the use of a variety of surveying methods, but that is not relevant for comparison with Highways England. Permission for the release of this data could be sought from CQC Efficiency Network members for the next stages of this work. The Netherlands pavement condition data is available at 100m reporting lengths but 10m lengths are needed to calculate Red and Amber Length of RCI. The measure of Roughness in the Netherlands cannot be split out into similar measures to 3m and 10m LPV and therefore, the Roughness calculation within the RCI would not be possible. Similarly, the measurement of Cracking is fundamentally different to the LAs, and Texture is not routinely delivered. Therefore, given the reporting length and lack of comparable parameters, a meaningful calculation of the RCI and therefore either the Red or Amber Length, is not possible for the Netherlands. Swedish pavement condition data is available at 20m reporting lengths, Cracking data is not measured, and the Roughness parameter used is different. Therefore, it would only be possible to calculate the RCI based on Rutting and Texture data. Overall, given the reporting length and lack of comparable parameters, a meaningful calculation of the RCI, and therefore either the Red or Amber Length, is not possible. ## 5.5. Feasibility Of Comparison Using Highways England Data Comparison using components of Highways England data is the alternative option to using whole metrics. Assessment of the feasibility of comparisons using parameters of Highways England's data shows that all of the comparators can be compared with Highways England using some, but not all, of the data components recorded at an individual level. In terms of undertaking a multi-comparison, Highways England, Scotland, Wales and the LAs appear to be comparable with each other for some of the parameters. Including the Netherlands and Sweden in the majority of these comparisons, however, does not appear possible. For Scotland, Wales and the LAs, most of the main parameters collected are similar to those collected on the SRN (Rutting, Roughness (eLPV or LPV), Texture (SMTD), Skid Resistance (SCRIM)). Cracking is slightly different, but comparison may be possible. The data these comparators collect from the Deflectograph surveys is not generally comparable to that from Highways England's TSD. Overall for Scotland, Wales and the LAs, a comparison of parameter data on Rutting, Roughness, Texture and Skid Resistance should be possible, and a comparison of Cracking data may be possible. A brief investigation will be needed, using TRACS and SCANNER Accreditation data, to determine comparability. Several LAs would need to be approached in order to use their data for this comparison, and as for the above metrics, the effort required for this might outweigh any benefit obtained. In the Netherlands, whilst the measurement of Skid Resistance is similar (sideway-force coefficient measurement), only sections below the Skid Resistance intervention limit are reported in the database. Therefore, a comparison of Skid Resistance data would be very limited and is unlikely to be helpful and would not be recommended. The same is the case for the Netherlands Cracking and Ravelling (Fretting) parameters, but a comparison using Rutting and IRI data should be possible. Swedish data reporting length is 20m, while Highways England's data reporting length is 10m or 100m, and Skid Resistance is not routinely measured, with Texture (MPD) instead being recorded. Highways England also measures Texture on the SRN, reporting the MPD parameter. Whilst it is therefore possible to compare MPD values, this may not be a fair comparison as acceptable Texture values can vary depending on the pavement surfacing used. Cracking and Fretting are also not measured in Sweden, and a single Ride Quality parameter (IRI), which cannot be directly compared to Highways England, is used. A comparison between Rutting and IRI on the Swedish and Highways England networks should be possible though. Table 5.2 below provides a summary of what data parameter comparisons are possible using components of Highways England's data. Country/Road Authority Rutting Roughness Skid Resistance Cracking Texture Netherlands Y ~ ~~ N N Scotland Y Y Y Y* Y Sweden Y ~ N N Y** UK Local authorities Y Y Y† Y* Y Wales Y Y Y Y* Y ~ = somewhat - these countries calculate IRI, which can be calculated from raw Highways England data, or estimated from 3m and 10m eLPV but is not directly comparable to eLPV ~~ The same measurement principle is used but a different tyre and post-processing is applied, so values are subtly different. Unlikely to be helpful, therefore not recommended. * A brief investigation will be needed, using TRACS and SCANNER Accreditation data, to determine comparability. ** Possible put difficult to interpret. † Some Skid Resistance measurements are made but only on selected lengths of the network. ## 5.6. Cost Of Comparisons An initial high-level estimate of the costs to undertake these comparisons is presented in Figure 5.1 below. These figures are subject to considerable uncertainty which is reflected in the ranges given. Preparing the data for comparison has a separate cost for each authority, depending on the format of the data. This step is required regardless of the comparison(s) chosen, with the cost varying depending upon the number of comparators selected. Depending upon the selection of comparisons that are to be taken forward, these cost estimates can be further refined. Figure 5.1: Indicative cost estimates for comparisons ORR would be able to select any combination of possible comparisons to undertake. The associated cost will be dependent upon the number of authorities within the comparison, in addition to the level of parameter comparability and associated modifications across authorities. The comparisons would be carried out in a spreadsheet structured so that it can be easily added to going forward. This would need to be accompanied by a detailed description of the modifications that have been made to enable replication of the comparisons in future. Additionally, we consider that the analysis should then be quality assured, and findings presented in a report. The estimates provided are inclusive of all these costs. ## 5.7. Considerations For Future Work To facilitate meaningful, and therefore robust comparisons, there needs to be alignment between data in (at least) two key dimensions: - geographical coverage - cost and quality should cover the same assets; and - temporal coverage - cost and quality should cover the same time period and, as importantly, be resampled at the same rate. Two potential issues emerge when discussing the actual undertaking of the comparisons discussed in this report, particularly between Highways England and LAs, that would need to be considered during any future work. See Appendix C for further information. ## 5.7.1. Geographical Coverage SCRIM type data is not collected network wide by LAs. This presents challenges in monitoring changes in Skid Resistance over time in these cases, as a relatively small part of the network is sampled each year. This presents a risk that the sample may not be representative of the road condition of the LA networks in any given year. Also, not all A roads are sampled each year, although this is less of issue assuming that roads are being sampled in a systematic method unrelated to their underlying condition, at least within road class. ## 5.7.2. Temporal Coverage Most surveys are annual and occur at similar time in the year. This means comparisons in road condition and cost should be valid over time and, perhaps with adjustments to systematic road condition reflecting sampling at different times of year, valid between infrastructure managers. There is a very important interaction between temporal coverage and geographical coverage. Where the network is not sampled in entirety, there is a challenge to capture changes in road condition which is potentially exacerbated by different data base management processes between infrastructure managers. This issue emerged with specific work undertaken by the CQC Efficiency Network for LAs, highlighting the limitation of relying on data on road condition based on partial surveys of the network. Limited interview work undertaken as part of the CQC Efficiency Network indicated that practice does differ between LAs in terms of how the network condition of the roads not surveyed in the latest year are treated. Some LAs simply roll over the previous year's survey data, which introduces lags in the response of the road condition measure. Other LAs implement a policy of manually adjusting their PMS system to reflect when they have undertaken improvement work on a road section flagged in the last survey as in need of repair, somewhat circumventing the lag problem. As such, one solution could be to select LAs for comparison which manually over-write their road condition databases when improvement works are undertaken. ## 6. Summary We used case studies to assess the feasibility of taking forward direct comparisons of pavement conditions. This revealed that: - Regardless of whether the RIS1 or RIS2 version of the Highways England pavement metric is used, it is not possible to directly undertake any comparisons without modifications to the metric calculations. - Scotland, Wales and the LAs are already closely aligned in terms of the form and structure of the data collected, and as a group are the most feasible comparators for Highways England. - Among international comparators, Sweden is not a suitable candidate for comparisons, and the Netherlands is a more feasible candidate. - The Netherlands metric provides the opportunity for the most extensive comparison. The modifications required to undertake the comparison are the same for Highways England, Scotland, Wales and the LA. This means all comparators, except Sweden, can be included in a multicomparison. - The LA metric (Amber) provides the best opportunity for comparison of pavement condition between the UK authorities. - Highways England, Scotland, Wales and the LAs appear to be comparable using some data parameters instead of a metric to undertake comparisons, The Netherlands and Sweden cannot be included in the majority of these comparisons. - There are some potential limitations with using LAs as comparators that need to be considered during any future work. These may be rectified by selecting as comparators those LAs which manually over-write their road condition databases when improvement works are undertaken. Assessment of pavement condition between Highways England and other organisations, therefore, appears more feasible using metrics calculated by other organisations, rather than using the Highways England pavement metric. The Netherlands appears to allow for a more extensive comparison than the LA metrics. But the LA metrics are the most straightforward option for a comparison between UK authorities. A parameter comparison between authorities may be used as a stand-alone measure, or alternatively, as a complementary measure to a metric comparison. The added value of the latter would depend on the parameters and authorities included in the chosen metric. Sweden and the Netherlands can only be compared with Highways England on Rutting and Roughness parameters. Texture, Skid Resistance and possibly Cracking parameters could also be compared between UK authorities. Undertaking a comparison using the individual data parameters is a simpler process and one that allows for comparison between specific elements of pavement condition. The use of such metrics allows for a more complete picture of pavement condition to be presented in way that is easier to understand and allows for easy comparison across time. Initial cost estimates for undertaking the comparisons are presented in Figure 6.1 below. ## Comparator Selection Australia The Australian road network is not comparable to the SRN. The network is much longer, more dispersed and carries less traffic than the SRN. The road authority uses equipment that is, to a considerable degree, comparable to the equipment used on the SRN and the measurements of pavement characteristics are very similar, apart from the measurement of Roughness. There is no published metric and, currently, each state tends to use their own indicator to determine condition. It may be possible to calculate a version of Highways England's pavement metrics using Australian data, with modification to account for the different Roughness parameter. However, as the network is so different, it is unlikely that this would enable direct comparison to Highways England. A comparison between data from Australia and Highways England is not recommended. ## Austria The Austrian motorway network is not comparable to the SRN, being shorter in length and with much lower traffic volumes. The pavement type is also different. Similar equipment to TRACS is used to measure surface condition but very different equipment is used for Skid Resistance and deflection. Thus, whilst the parameters delivered describe similar pavement characteristics, they are not similar enough to enable a comparison. A comparison with Austria's motorway network is not recommended. ## Denmark The Danish road network is somewhat comparable to the SRN, as are the measurement systems used. The measurements made are very similar. But they do not have a pavement network condition indicator, and it would not be possible to calculate Highways England's pavement metrics, as their Skid Resistance measurements are different. Thus, whilst the parameters delivered describe similar pavement characteristics, they are not similar enough to enable a comparison. A comparison with the Danish road network is not recommended. ## Scotland The network in Scotland is somewhat comparable to the SRN, with similar construction materials, but is shorter in length and has lower traffic volumes. The equipment used to measure condition is the same as that used for the UK local road network, hence similar to that used for the SRN. The metric calculated in Scotland includes data from Deflectograph surveys (pavement strength), which are not routinely carried out on the SRN. Thus, it would not be possible to perform a direct comparison with Highways England using the Scottish metric. However, the data collected is similar enough to enable comparison using other metrics e.g. Highways England's pavement metrics. A comparison between motorways and major A roads in Scotland and the SRN should be possible. ## Sweden Sweden was not considered in the previous research but the national road authority (Trafikverket) publishes the condition data collected annually on their road network.7 The Swedish motorway network has limited comparability to the SRN as the traffic volumes are much lower. Also, since the network is covered by snow for a large part of the year, the approach to maintenance and monitoring is different e.g. they do not currently measure Skid Resistance. The published data includes Rutting, Roughness (IRI), Texture (MPD), and Edge Deterioration, reported over 20m lengths. Not enough parameters are available to calculate any of the considered metrics (e.g. Highways England's pavement metric) but the parameters are similar to those collected by Highways England and thus some comparison should be possible. A comparison between the **parameters** collected on the Swedish motorway network and the SRN should be possible. However, a comparison of metrics would not be possible. ## The Netherlands Of the authorities considered for the previous work, the Netherlands has the most similar network to Highways England in terms of characteristics. The network lengths, climates, and traffic levels are comparable but the surface materials, mainly porous asphalt, used in the Netherlands are not actively used by Highways England, where porous asphalt is permitted but not common. The pavement characteristics measured are similar but, whilst Skid Resistance is measured using the same principle as in the UK, different tyres are used, thus the values are subtly different. The Roughness parameter is also different from Highways England. A modified version of the RIS1, or proposed RIS2, pavement metrics, using different thresholds applied to skid data and accommodation of the different Roughness parameter, would need to be calculated in order to perform a comparison. The Dutch calculate a metric based on similar parameters to Highways England's pavement metrics (Rutting, Roughness, Skid Resistance) but with Cracking and Fretting parameters included in addition. The Roughness parameter is different but can be calculated from Highways England data. However, the Cracking and Fretting parameters are different to those collected by Highways England. Thus, a modified version of this metric would need to be calculated to enable a comparison. Thus, a comparison between the Dutch national road network and the SRN **should** be possible. ## Uk Local Authorities Cornwall and South Lanarkshire were considered in the previous work, but most LAs take a very similar approach to measurement of condition. The A roads in most UK LAs are comparable with A roads on the SRN to a degree. However, traffic volume and the number of HGVs using the roads are much lower, and only the more major roads could be considered comparable. Many authorities use equipment that is, to a considerable degree, comparable to the equipment used on the SRN and the measurements of pavement characteristics are very similar. The DfT publish the metric used on local roads annually, so it should be possible to perform a comparison with the metric, calculated with equivalent data for A roads on the SRN without needing to involve individual LAs. Therefore, a comparison between major A roads in a local authority and A roads on the SRN **should** be possible. ## Transport For London The major A roads in Transport for London's network are comparable with A roads on the SRN, but the proportion of HGVs using the roads is lower. The equipment used to measure condition is comparable to a considerable degree and the parameters describing pavement characteristics similar. Thus, the data collected is similar enough to enable a comparison. Whilst DfT publishes the metric used on all roads owned by LAs, no metric is published for TfL. The condition of the TfL network is likely to be similar to other UK LAs and thus the effort required to obtain a metric for TfL's network is unlikely to be outweighed by any benefit gained. Therefore, a comparison with Transport for London's network is not recommended. ## Wales The situation is very similar for Wales as in Scotland, in that the major road network is comparable to the SRN, but traffic volumes are lower. The pavement characteristics measured, and parameters delivered are similar enough to enable a comparison. Therefore, a comparison between motorways and major A roads in Wales and the SRN **should** be possible. ## Detailed Case Studies England Country: England (Highways England) Data Type of data collected/held TRACS (Traffic Speed Condition Survey) data: Rutting, Ride Quality (3m, 10m and 30m eLPV, and Bump Measure), Texture (SMTD), Cracking, Fretting, Images, Retroreflectivity (road markings), GPR; SCRIM data (Skid Resistance): SFC; TRASS (TSD): Deflection data. Form, structure and level of detail of data TRACS, TSD and SCRIM surveys are commissioned by the Highways England. The survey contractors process raw condition data (RCD files) using MSP software and upload base condition (BCD) to HAPMS database. Data, reported at 100m intervals, is available to all pavement engineers via the HAPMS database. Data reported at 10m intervals is also available in HAPMS, but special permission is needed to access this. Raw data for TRACS (longitudinal profile, transverse profile etc.) is also provided to Highways England's Pavement Team and TRL (as the survey auditor). The raw data is stored in text files (RCD files), the format of which is defined by Highways England. Would the road authority be willing to engage? Highways England have given their permission to use their data only for the purposes of this specific project in accordance with the agreed specification. Permission allows access to the raw RIS1 metric data if the analysis and interpretation is conducted by TRL. Common steps required to compare data Obtain TRACS and SCRIM data (including SCRIM categories) at 10m and 100m reporting intervals. Obtain section category data from HAPMS and align this with TRACS/SCRIM data. TRL have access to HAPMS, and thus this data. Total: 24 hours (£2,963) Time required and cost to collate/clean/pre pare data for potential comparison ## Comparison Of Ris1 (Kpi8) And Proposed Ris2 Metrics Steps required to compare data - What calculations would need to be undertaken on the data? Results of the current RIS1 metric (KPI8) calculation are published by the DfT. However, it is not possible to calculate the true metric from other authority's data, so any comparisons performed using KPI8 will require calculation of a modified metric from Highways England's data. It would, however, be worthwhile calculating KPI8 and comparing with published results, to ensure understanding of the metric and correct calculation. Calculate the proposed RIS2 metric. It is suggested that only Lane 1 data is used (as with current metric), as all lane data is not available from other authorities. Also, that Skid Resistance is assessed as currently, without consideration of the Crash Model. No other authority measures 30m eLPV, so this will also need to be excluded from the calculation. Time required and cost - Calculate the RIS1 metric and compare with results published by DfT: 4 hours (£494). - Calculation of the proposed RIS2 metric excluding 30m eLPV: 4 hours (£494). - Calculation of the proposed RIS2 metric: 4 hours (£494). Total: 12 hours (£1,481). ## Country: England (Highways England) Feasibility To Use The Country'S Data To Obtain A Metric Equivalent To Netherlands Metric What factors regarding the data used the road authority may hinder direct comparability The Rutting data collected by Highways England is very similar to that collected by the Dutch. Thus, it would be appropriate to apply the Dutch threshold to Highways England data (i.e. 17mm). The Roughness data collected by Highways England is different but an approximation for IRI can either be calculated using eLPV data or can be calculated directly from raw profile data. Thus, it would be appropriate to apply the Dutch threshold to IRI calculated from Highways England data (3.5 m/km). A formula to convert eLPV values to IRI is given in TRL CPR 1553: IRI ≈max⁡imum(√(10 ∗3m⁡eLPV)/3 +⁡√10m⁡eLPV −0.1, 0) The Skid Resistance values collected in the Netherlands are likely to be 4-8% higher than UK ones, due to the different test tyre used. Also, the values are reported for a speed of 80km/h, not 50km/h and they do not apply the 0.78 adjustment factor used in the UK. Therefore, it would not be appropriate to apply the Dutch threshold directly to UK data: It is proposed that a reduced value is used 0.53*0.78*1.083/1.06 = 0.42. The Dutch Cracking and Ravelling (Fretting) measurements and parameters are very different from those reported by Highways England. Thus, it is not appropriate to try to include these parameters in the metric, without further understanding of any relationship that exists between them. Any comparison to determine if a relationship existed between these parameters would require either the current TRACS device to collect survey data on the Dutch road network, or for the Dutch device to survey some of the SRN. It is unlikely that the cost and effort involved for this would be outweighed by the benefit of this analysis. Therefore, it is recommended that the Dutch metric is calculated using only Rutting, Ride Quality and Skid Resistance. Likelihood of success - How possible is the comparison? A comparison using the Dutch metric, calculated using only Rutting, Ride Quality and Skid Resistance should be possible. RWS in the Netherlands have provided data from all the highways managed by them, which should enable an equivalent metric to be calculated for the Dutch road network. Hence it should be possible to perform a comparison of Highways England and Dutch data. Calculate IRI values - either use estimate based on eLPV values or recalculate from raw profile data (more robust approach/challengeable dataset). Obtain SCRIM values from previous year and calculate the average. Apply thresholds to Rutting, IRI and Skid Resistance values and calculate the percentage of the network where none of these parameters exceed the thresholds. Recalculate Netherlands metric using only Rutting, IRI and Skid Resistance from Dutch data. Steps required to compare data - What calculations would need to be undertaken on the data? - Calculation of IRI parameter: o Estimating from eLPV values - 8 hours (£988); or o Calculating from raw data - 24 hours (£2,963); or Time required and cost to perform comparison o Both of the above - 32 hours (£3,950). - Obtaining average SCRIM values: 6 hours (£741). - Calculate Dutch metric using Highways England data: 5 hours (£617). - Calculate Dutch metric using Dutch Rutting, IRI and Skid Resistance data: 5 hours (£617). Total: 24 hours (£2,963), 40 hours (£4,938) or 48 hours (£5,925). ## Feasibility To Use The Country'S Data To Obtain A Metric Equivalent To Local Authority Metrics Highways England pavement condition data is available in HAPMS at either 10m or 100m reporting lengths, thus the 10m reporting lengths needed to calculate Red and Amber length are available. What factors regarding the data used by the road authority ## Country: England (Highways England) may hinder direct comparability The measurement and calculation of Rutting used by Highways England is very similar to that carried out by local authorities. Similarly, the measurement and calculation of Texture is the same. Thus, these parameters can be used directly for the calculation of Red or Amber lengths. However, the measurement of Roughness is different - the eLPV parameter is used by Highways England, whilst LPV is used on the local road network. LPV was replaced by eLPV on the SRN in 2004. LPV data may be calculated from the raw data, or equivalent thresholds determined for eLPV. The equipment used to measure Cracking is also very different and therefore, the parameter delivered may be fundamentally different. A brief investigation will be needed (using TRACS and SCANNER Accreditation data) in order to determine comparability. If the Cracking data is not determined to be comparable, then a version of the RCI, excluding Cracking data, could be calculated. Likelihood of success - How possible is the comparison? A comparison of the Red Length metric should be possible, if the Cracking data is comparable, as the Red Length metric for each English Local Authority is published annually by the DfT (https://assets.publishing.service.gov.uk/government/uploads/system/uploads/attachment_data/file /775446/rdc0120.ods). If Cracking data is not comparable, it has been suggested that the RCI could be calculated excluding Cracking. If this is needed, individual local authorities will need to be approached in order to use their data to calculate this modified metric. A comparison of Amber should be possible with countries for which the RCI is being calculated by TRL (i.e. Scotland, Wales). However, there will be a need to obtain permission to use several CQC local authorities' data should comparison with LAs be required. Steps required to compare data - What calculations would need to be undertaken on the data? Determine how comparable the Cracking data is (use data from SCANNER and Accreditation tests for this work) - are they similar enough to apply the same thresholds? Obtain LPV data (this will require processing raw TRACS data) or apply equivalent thresholds to the eLPV data (thresholds for both LPV and eLPV are given in the DMRB). If the Cracking is comparable, calculate the RCI and the percentage of 10m lengths where RCI ≥100 for Highways England data, download the published results for LAs. If the Cracking is not comparable: - If comparison with local authorities is required, contact a selection of local authorities to ask permission to use their data, obtain data and calculate RCI excluding Cracking. - Calculate the Highways England RCI excluding Cracking and the percentage of 10m lengths where this modified RCI ≥100. A comparison of Amber (i.e. where 100>RCI ≥40) should be possible with countries for which the RCI is being calculated by TRL (i.e. Scotland, Wales) If there is a need to compare Highways England Amber with local authorities, there will be a need to obtain results from several LAs in the CQC. - Determine comparability of Cracking data using existing data from vehicle QA: 12 hours (£1,481). - Obtain LPV data: 24 hours (£2,963) or 1 additional hour (£123) if combined with IRI calculation. Time required and cost to perform comparison o OR Apply equivalent thresholds to eLPV data: 0.5 hours (£62). - Calculate the RCI if Cracking is comparable: 6 hours (£741). - If the Cracking is not comparable: o If comparison with local authorities is required: 24 hours (£2,963). o Calculate Highways England RCI excluding Cracking: 6 hours (£741). - Calculation of Amber length: 0.5 hours if in addition to Red Length calculation (£62). - If Amber comparison with local authorities required: 2 hours (£247), additional to any hours required for Red Length comparison. ## Country: England (Highways England) Total: 18.5 hours (£2,284) to 68.5 hours (£8,456) depending on comparability of Cracking and the options chosen ## Scotland Country: Scotland (Transport Scotland) Data Type of data collected/held SCANNER data (i.e. Rutting, Ride Quality (LPV), Texture, Cracking, Edge Deterioration, Texture Variability); SCRIM Skid Resistance data (SFC); Deflection data (Deflectograph). Form, structure and level of detail of data SCANNER, Deflectograph and Skid Resistance surveys are commissioned by the Transport Scotland. The survey contractors deliver processed data over 10m reporting lengths and this is stored in the Scottish pavement management system (PMS). TS do not store the raw data themselves but may be able to request this from the contractor, in special circumstances. Transport Scotland (TS) have given their permission to use their data to investigate the feasibility of the comparison, on the provision that they can have a copy of the report. Would the road authority be willing to engage? Common steps required to compare data Obtain latest SCANNER and SCRIM data, at 10m reporting intervals. As SCANNER auditor, TRL has access to this data but SCRIM data would need to be obtained from TS or directly from the survey contractor. Inform TS that their data is going to be used for benchmarking and publishing the results. Confirm that they are happy with this. - Obtain latest SCANNER data: 12 hours (£1,481). - Obtain latest SCRIM data, plus SCRIM categories: 16 hours (£1,975). - Inform TS of data use and confirm participation: 0.5 hours (£62). Total: 28.5 hours (£3,518) Time required and cost to collate/clean/prepare data for potential comparison ## Feasibility To Use The Country'S Data To Obtain A Metric Equivalent To Highways England'S Ris Pavement Metric What factors regarding the data used by the road authority may hinder direct comparability The measurement and calculation of Rutting used in Scotland is very similar to that carried out by Highways England. Similarly, the measurement of Skid Resistance is identical and thus these parameters can be used directly in the calculation of the RIS1, or proposed RIS2, metric. The measurement of Roughness used for assessment (LPV) is different but eLPV data is also calculated from SCANNER data, thus should be available for Scotland. SCANNER surveys only collect 3m and 10m eLPV, whereas 30m eLPV is also used to calculate the RIS1, or proposed RIS2, metric. Thus, a modified metric, excluding 30m eLPV would need to be calculated for both TS and Highways England data. It should be possible to calculate a modified version of the RIS1, or proposed RIS2, metric (excluding 30m eLPV) for Scottish motorways and major A roads. Likelihood of success - How possible is the comparison? Steps required to compare data - What calculations would need to be undertaken on the data? Calculate the RIS1 metric excluding 30m eLPV. To enable comparison using the proposed RIS2 metric: Obtain TS data at 100m reporting lengths (calculate average); Calculate modified proposed RIS2 metric, excluding extra steps for Skid Resistance data and excluding 30m eLPV. - Calculate the RIS1 metric excluding 30m eLPV: 4 hours (£494). - Obtain TS data at 100m reporting lengths, then calculate the proposed RIS2 metric: 6 Time required and cost to perform comparison hours (£741). Total: 10 hours (£1,234) ## Country: Scotland (Transport Scotland) Feasibility To Use The Country'S Data To Obtain A Metric Equivalent To Netherlands Metric What factors regarding the data used the road authority may hinder direct comparability The Rutting data collected by TS is very similar to that collected by the Dutch. Thus, it would be appropriate to apply the Dutch threshold to TS data (i.e. 17mm). The Roughness data collected by TS is different but an approximation for IRI can be calculated using eLPV data, assuming this is available. Thus, it would be appropriate to apply the Dutch threshold to IRI calculated from TS data (3.5 m/km). The Skid Resistance values collected in the Netherlands are likely to be 4-8% higher than Scottish ones, due to the different equipment and test tyre used. Also, the values are reported for a speed of 80km/h, not 50km/h and they do not apply the 0.78 adjustment factor used in the UK. Therefore, it would not be appropriate to apply the Dutch threshold to UK data. It is proposed that a reduced value is used: 0.53*0.78*1.083/1.06 = 0.42. The Dutch Cracking measurements and parameter are very different from that reported by TS. Also, Fretting is not a parameter collected at a network level by TS. Thus, it is not appropriate to try to include these parameters in the metric. A comparison of a modified metric, calculated using only Rutting, Ride Quality and Skid Resistance should be possible. Likelihood of success - How possible is the comparison? Steps required to compare data - What calculations would need to be undertaken on the data? Obtain TS data at 100m reporting lengths (calculate average from 10m data); Calculate estimated IRI values using eLPV. Apply thresholds to Rutting, IRI and Skid Resistance values and calculate the percentage of the network where none of these parameters exceed the thresholds. Recalculate Netherlands metric using only Rutting, IRI and Skid Resistance from Dutch data. - Obtain TS data at 100m reporting lengths: 4 hours (£494) (may have already been done as part of the proposed RIS2 metric calculation). Time required and cost to perform comparison - Calculate estimated IRI values using eLPV: 4 hours (£494). - Calculate metric: 5 hours (£617). - Recalculate modified Netherlands metric using Dutch data: 0 hours (will have already been done for Highways England comparison). Total: 13 hours (£1,605) ## Feasibility To Use The Country'S Data To Obtain A Metric Equivalent To Local Authority Metrics TS commissions surveys that are very similar to the SCANNER surveys used on local roads. Thus, all parameters used to calculate the RCI are available in Scotland and are the same as those for the local authorities. What factors regarding the data used by the road authority may hinder direct comparability Likelihood of success - How possible is the comparison? Calculation of the RCI should be possible, thus a comparison of the Red Length metric should be possible. A comparison of the Amber length metric should also be possible between Highways England and TS. Calculate the RCI (possibly modified, if TRACS/SCANNER crack data not comparable). Calculate the percentage of 10m lengths where RCI ≥100. Calculate the percentage of 10m lengths where 100>RCI ≥40. Steps required to compare data - What calculations would need to be undertaken on the data? - Calculate the RCI: 5 hours (£617). Time required and cost to perform comparison ## Country: Scotland (Transport Scotland) - Calculate the percentage of 10m lengths where RCI ≥100 and 100>RCI ≥40: 1 hour (£123). Total: 6 hours (£741) ## Feasibility To Use The Country'S Parameter Data To Compare With Highways England Data What factors regarding the data used by the road authority may hinder direct comparability Most of the main parameters, collected on the TS road network, are similar to those collected on the SRN (Rutting, Roughness (eLPV or LPV), Texture (SMTD), Skid Resistance (SCRIM)). Cracking is slightly different, but it may still be possible to compare values. Data from Deflectograph surveys is not generally comparable to that from the TSD. Likelihood of success - How possible is the comparison? A comparison of Rutting, Roughness, Texture and Skid Resistance parameter data should be possible. A comparison of Cracking data may be possible. A brief investigation will be needed (using TRACS and SCANNER Accreditation data) in order to determine comparability. Include Cracking parameter in the analysis, if this has previously been shown to be comparable. Analyse the distributions of values for each parameter considered. Apply appropriate thresholds (RIS1 or proposed RIS2 metrics, RCI). Steps required to compare data - What calculations would need to be undertaken on the data? Total: 12 hours (£1,481) if Cracking included in analysis, **10 hours (£1,234)** otherwise. Time required and cost to perform comparison ## Wales Country: Wales (Welsh Government) Data Type of data collected/held SCANNER data (i.e. Rutting, Ride Quality (LPV), Texture, Edge Deterioration, Texture Variability); SCRIM Skid Resistance data (SFC); Deflection data (Deflectograph). Form, structure and level of detail of data SCANNER, Deflectograph and Skid Resistance surveys are commissioned by the Welsh Road authority's (part of the Welsh Government (WG)). As with Scotland, the survey contractors deliver processed data over 10m reporting lengths and this is stored in the Welsh pavement management system (PMS). WG do not store the raw data themselves but may be able to request this from the contractor, in special circumstances. Welsh Government (WG) have given their permission to use their data to investigate the feasibility of the comparison and would like to see the results. Would the road authority be willing to engage? Common steps required to compare data Obtain latest SCANNER and SCRIM data, (including SCRIM categories), at 10m reporting intervals. As SCANNER auditor, TRL has access to this data but SCRIM data would need to be obtained from WG or directly from the survey contractor. Inform WG that we plan to use their pavement condition data for benchmarking purposes and confirm that they are still happy for this. - Obtain latest SCANNER data: 12 hours (£1,481). - Obtain latest SCRIM data, plus SCRIM categories: 16 hours (£1,975). - Inform WG of data use and confirm participation: 0.5 hours (£62). Total: 28.5 hours (£3,518) Time required and cost to collate/clean/prepare data for potential comparison ## Feasibility To Use The Country'S Data To Obtain A Metric Equivalent To Highways England'S Ris Pavement Metric What factors regarding the data used by the road authority may hinder direct comparability The measurement and calculation of Rutting used in Wales is very similar to that carried out by Highways England. Similarly, the measurement of Skid Resistance is identical and thus these parameters can be used directly in the calculation of the RIS1, or proposed RIS2, metric. The measurement of Roughness used for assessment (LPV) is different but eLPV data is also calculated from SCANNER data, thus should be available for Wales. SCANNER surveys only collect 3m and 10m eLPV, whereas 30m eLPV is also used to calculate the RIS1, or proposed RIS2, metric. Thus, a modified metric, excluding 30m eLPV would need to be calculated for both Welsh and Highways England data. It should be possible to calculate a modified RIS1, or proposed RIS2, metric (excluding 30m eLPV) for Welsh motorways and trunk roads. Likelihood of success - How possible is the comparison? Steps required to compare data - What calculations would need to be undertaken on the data? Calculate RIS1 metric excluding 30m eLPV for both Highways England and Welsh data. To enable comparison using proposed RIS2 metric, will need to: Obtain Welsh data at 100m reporting lengths (calculate average); Calculate the proposed RIS2 metric, excluding extra steps for Skid Resistance data and excluding 30m eLPV. - Calculate RIS1 metric excluding 30m eLPV: 4 hours (£494). - Obtain WG data at 100m reporting lengths, then calculate proposed RIS2 metric: 6 hours Time required and cost to perform comparison (£741). ## Country: Wales (Welsh Government) Total: 10 hours (£1,234) ## Feasibility To Use The Country'S Data To Obtain A Metric Equivalent To Netherlands Metric What factors regarding the data used the road authority may hinder direct comparability The Rutting data collected by Welsh Government is very similar to that collected by the Dutch. Thus, it would be appropriate to apply the Dutch threshold to Welsh data (i.e. 17mm). The Roughness data collected by Welsh Government is different but an approximation for IRI can be calculated using eLPV data (assuming this is available). Thus, it would be appropriate to apply the Dutch threshold to IRI calculated from Welsh data (3.5 m/km). The Skid Resistance values collected in the Netherlands are likely to be 4-8% higher than UK ones, due to the different equipment and test tyre used. Also, the values are reported for a speed of 80km/h, not 50km/h and they do not apply the 0.78 adjustment factor used in the UK. Therefore, it would not be appropriate to apply the Dutch threshold to UK data: It is proposed that a reduced value is used 0.53*0.78*1.083/1.06 = 0.42. The Dutch Cracking measurements and parameters are very different from that reported by Welsh Government. Also, Fretting is not a parameter collected at a network level by Welsh Government. Thus, it is not appropriate to try to include these parameters in the metric. Likelihood of success - How possible is the comparison? A comparison of a modified metric calculated using only Rutting, Ride Quality and Skid Resistance should be possible. TRL as auditor has access to Welsh SCANNER data, but Skid Resistance (SCRIM) data would need to be obtained from WG or directly from the SCRIM survey contractor. Steps required to compare data - What calculations would need to be undertaken on the data? Calculate estimated IRI values using eLPV. Apply thresholds to Rutting, IRI and Skid Resistance values and calculate the percentage of the network where none of these parameters exceed the thresholds. Recalculate Netherlands metric using only Rutting, IRI and Skid Resistance from Dutch data. - Obtain TS data at 100m reporting lengths: 4 hours (£494) (may have already been done as part of the proposed RIS2 metric calculation). Time required and cost to perform comparison - Calculate estimated IRI values using eLPV: 4 hours (£494). - Calculate metric: 5 hours (£617). - Recalculate modified Netherlands metric using Dutch data: 0 hours (will have already been done for Highways England comparison). Total: 13 hours (£1,605) ## Feasibility To Use The Country'S Data To Obtain A Metric Equivalent To Local Authority Metrics Welsh Government commissions surveys that are very similar to the SCANNER surveys used on local roads. Thus, all parameters used to calculate the RCI are available in Wales and similar to those for the local authorities. What factors regarding the data used by the road authority may hinder direct comparability Calculating the RCI should be possible, thus enabling comparison of the Red Length metric with Highways England. Similarly, for the Amber length metric. Likelihood of success - How possible is the comparison? Calculate the RCI. Calculate the percentage of 10m lengths where RCI ≥100 and where 100>RCI ≥40. Steps required to compare data - What calculations would need to be undertaken on the data? ## Country: Wales (Welsh Government) - Calculate the RCI: 5 hours (£617). - Calculate the percentage of 10m lengths where RCI ≥100 and 100>RCI ≥40: 1 hour Time required and cost to perform comparison (£123). Total: 6 hours (£741) ## Feasibility To Use The Country'S Parameter Data To Compare With Highways England Data What factors regarding the data used by the road authority may hinder direct comparability Most of the main parameters, collected on the Welsh road network, are similar to those collected on the SRN (Rutting, Roughness (eLPV or LPV), Texture (SMTD), Skid Resistance (SCRIM)). Cracking is slightly different, but it may still be possible to compare values. Data from Deflectograph surveys is not generally comparable to that from the TSD. Likelihood of success - How possible is the comparison? A comparison of Rutting, Roughness, Texture and Skid Resistance parameter data should be possible. A comparison of Cracking data may be possible. A brief investigation will be needed (using TRACS and SCANNER Accreditation data) in order to determine comparability. Determine how comparable the Cracking data is (use data from SCANNER and Accreditation tests for this work). Analyse the distributions of values. Apply appropriate thresholds (RIS1, or proposed RIS2, metric, RCI). Steps required to compare data - What calculations would need to be undertaken on the data? Total: 12 hours (£1,481) if Cracking included in analysis, **10 hours (£1,234)** otherwise. Time required and cost to perform comparison ## Local Authorities Uk Local Authorities (Dft) Data Type of data collected/held SCANNER data (i.e. Rutting, Ride Quality (LPV), Texture, Edge Deterioration, Texture Variability); Skid Resistance data (SFC, SCRIM); Deflection (Deflectograph). Form, structure and level of detail of data SCANNER surveys are carried out by all English local authorities. The survey contractors either deliver HMDIF files, which contain processed data and can be loaded into the pavement management system (UKPMS) by the authority, or the contractors load processed data straight into the pavement management database. The data is provided over 10m reporting lengths. The authorities may be able to request raw data from the contractors, but this would be a special request and the raw data is not generally stored by the local authorities. Skid Resistance (SCRIM) surveys also deliver data reported over 10m lengths and the data stored in UKPMS. Raw data is not generally stored by the local authorities. Would the road authority be willing to engage? DfT publishes the Red Length metric calculated for each local authority in the UK. Should comparison of other metrics or parameters be required, several local authorities would need to be approached to request permission to use their data. Common steps required to compare data Download the published results from https://assets.publishing.service.gov.uk/government/uploads/system/uploads/attachment_d ata/file/775446/rdc0120.ods Should comparison of other metrics or parameters be required, and local authorities give permission to use their data, there would be a need to obtain the most recent SCANNER and SCRIM data, at 10m reporting intervals. As SCANNER auditor, TRL has access to this data but SCRIM data would need to be obtained from the local authority or directly from the survey contractor. - Download published results: 0.5 hours (£62). - Obtain permission for data use from local authorities: 4 hours (£494). - Collate SCANNER and SCRIM data: 24 hours (£2,963) Total: 0.5 hours to 28.5 hours (£62 - £3,518) Time required and cost to collate/clean/prepare data for potential comparison ## Feasibility To Use The Country'S Data To Obtain A Metric Equivalent To Highways England'S Ris Pavement Metric What factors regarding the data used by the road authority may hinder direct comparability The measurement and calculation of Rutting used in LAs road networks is very similar to that carried out by Highways England. Similarly, the measurement of Skid Resistance is identical and thus these parameters can be used directly in the calculation of the RIS1, or proposed RIS2, metric. However, SCRIM surveys are usually only carried out on selected lengths of the network, not the whole network and thus there may be a limited amount of this data, which could be misleading if it only represents arbitrary perceived problem points on the network. The measurement of Roughness used for assessment (LPV) is different but eLPV data is also calculated from SCANNER data, thus should be available for a LA. SCANNER surveys only collect 3m and 10m eLPV, whereas 30m eLPV is also used to calculate the RIS1, or proposed RIS2, metric. Thus, a modified metric, excluding 30m eLPV would need to be calculated. Likelihood of success - How possible is the comparison? To provide robust data from such a comparison, several LAs should be considered and this would require permission to be sought from these LAs, in order to use their data. To obtain a sufficient amount of SCRIM data would require a large amount of effort. This may not be outweighed by the benefit of performing such a comparison, given the lack of ## Uk Local Authorities (Dft) similarity between the SRN and the local road network. Thus, this comparison would not be recommended. Steps required to compare data - What calculations would need to be undertaken on the data? Request permission from several Local Authorities to use their data for RIS1, or proposed RIS2, metric calculation, benchmarking and publishing the results. Identify LAs that have SCRIM data. Obtain SCANNER data (TRL have access to this) and SCRIM data (this will need to be either from the individual Local Authorities or the survey contractor). Calculate a modified RIS1 metric (excluding 30m eLPV). To enable comparison using the proposed RIS2 metric, will need to: Obtain data at 100m reporting lengths (calculate average); Obtain data at 100m reporting lengths, then calculate modified proposed RIS2 metric, excluding extra steps for Skid Resistance data and excluding 30m eLPV. Time required and cost to perform comparison - Obtain permission for data use: 8 hours (£988) - Identify LAs that have SCRIM data: 4 hours (£494) - Obtain SCANNER data: 8 hours (£988) - Obtain SCRIM data: 12 hours (£1,481) - Calculate a modified RIS1 metric (excluding 30m eLPV): 4 hours (£494). - Obtain data at 100m reporting lengths, then calculate a modified proposed RIS2 metric: 6 hours (£741) Total: 42 hours (£5,184) ## Feasibility To Use The Country'S Data To Obtain A Metric Equivalent To Netherlands Metric What factors regarding the data used the road authority may hinder direct comparability The Rutting data collected by LAs is very similar to that collected by the Dutch. Thus, it would be appropriate to apply the Dutch threshold to LAs data (i.e. 17mm). The Roughness data collected by LAs is different but an approximation for IRI can either be calculated using eLPV data (assuming this is available). Thus, it would be appropriate to apply the Dutch threshold to IRI calculated from LAs data (3.5 m/km). The Skid Resistance values collected in the Netherlands are likely to be 4-8% higher than UK ones, due to the different equipment and test tyre used. Also, the values are reported for a speed of 80km/h, not 50km/h and they do not apply the 0.78 adjustment factor used in the UK. Therefore, it would not be appropriate to apply the Dutch threshold to UK data. It is proposed that a reduced value is used: 0.53*0.78*1.083/1.06 = 0.42. The Dutch Cracking measurements and parameters are very different from that reported by LAs. Also, Fretting is not a parameter collected at a network level by LAs. Thus, it is not appropriate to try to include these parameters in the metric. Likelihood of success - How possible is the comparison? To provide robust data from such a comparison, several LAs should be considered and this would require permission to be sought from these LAs, in order to use their data. To obtain a sufficient amount of SCRIM data would require a large amount of effort. As for the RIS1, or proposed RIS2, metric, the effort required for this might outweigh any benefit obtained. Thus, this comparison would not be recommended. Steps required to compare data - What calculations would need to be undertaken on the data? Request permissions from LAs to allow using their pavement condition data for benchmarking purposes. Identify LAs commissioning SCRIM surveys and obtain this Skid Resistance data (either from LAs or survey contractor). Calculate IRI values - use estimate based on eLPV values. Apply thresholds to Rutting, IRI and Skid Resistance values and calculate the percentage of the network where none of these parameters exceed the thresholds. Recalculate Netherlands metric using only Rutting, IRI and Skid Resistance from Dutch data. ## Uk Local Authorities (Dft) Time required and cost to perform comparison - Obtain LA data at 100m reporting lengths: 4 hours (£494). - Calculate estimated IRI values using eLPV: 2 hours (£247). - Calculate metric: 5 hours (£617). - Recalculate modified Netherlands metric using Dutch data: 0 hours (will have already been done for Highways England comparison). The following steps are only needed, if comparison of the RIS1, or proposed RIS2, metric values has not been performed: - Obtain permission for data use: 8 hours (£988) - Identify LAs that have SCRIM data: 4 hours (£494) - Obtain SCANNER data: 8 hours (£988) - Obtain SCRIM data: 12 hours (£1,481). Total: 11 hours (£1,358) if RIS1, or proposed RIS2, metric comparison already performed or **43 hours (£5,308)** otherwise. ## Comparison Of Local Authority Metrics Likelihood of success - How possible is the comparison? The Red Length metric for each English Local Authority is published annually by the DfT (https://assets.publishing.service.gov.uk/government/uploads/system/uploads/attachment_d ata/file/775446/rdc0120.ods). Thus, comparison with these published results is possible. Whilst the Amber Length metric is not published, it may be possible to obtain this statistic from some of the LAs in the CQC. Access the data provided by the DfT. If a comparison with Amber lengths is required, request this data from several LAs in the CQC. Steps required to compare data - What calculations would need to be undertaken on the data? Time required and cost to perform comparison - Access the data provided by the DfT: 0.5 hours (£62). - If a comparison with Amber lengths is required: 4 hours (£494). Total: 0.5 to 4.5 hours (£62 to £555) ## Feasibility To Use The Country'S Parameter Data To Compare With Highways England Data What factors regarding the data used by the road authority may hinder direct comparability Most of the main parameters, collected on the LAs major roads network, are similar to those collected on the SRN (Rutting, Roughness (eLPV or LPV), Texture (SMTD), Skid Resistance (SCRIM)). Cracking is slightly different, but it may still be possible to compare values. Data from Deflectograph surveys is not generally comparable to that from the TSD. Likelihood of success - How possible is the comparison? A comparison of Rutting, Roughness, Texture and Skid Resistance parameter data should be possible. A comparison of Cracking data may be possible. A brief investigation will be needed (using TRACS and SCANNER Accreditation data) in order to determine comparability. Several LAs would need to be approached to use their data for this comparison. As for the RIS1, or proposed RIS2, metric, the effort required for this might outweigh any benefit obtained. Request permissions from several LAs to allow using their pavement condition data for benchmarking purposes. Obtain SCANNER data (TRL have access to this) and SCRIM data (this will need to be either from LAs or the survey contractor). Steps required to compare data - What calculations would need to be undertaken on the data? ## Uk Local Authorities (Dft) Determine how comparable the Cracking data is (use data from SCANNER and Accreditation tests for this work). Analyse the distributions of values. Apply appropriate thresholds (the RIS1, or proposed RIS2, metric, RCI). Time required and cost to perform comparison Analysis of parameter data: 12 hours (£1,481) if Cracking included in analysis, 10 hours (£1,234) otherwise. The following steps are only needed, if comparison of RIS1, or proposed RIS2, metric values has not been performed: - Obtain permission for data use: 8 hours (£988) - Identify LAs that have SCRIM data: 4 hours (£494) - Obtain SCANNER data: 8 hours (£988) - Obtain SCRIM data: 12 hours (£1,481). Total: 10-12 hours (£1,234 to £1,481) or 42-44 hours (£5,184 to £5,431) ## The Netherlands Country: The Netherlands (Rijkswaterstaat) Data Type of data collected/held Surface condition data (Rutting, Ride Quality (IRI), Cracking (longitudinal and transversal), Ravelling); Skid Resistance data (sideway-force coefficient values below intervention limit) Calculated residual life span for each of the defects (rut depth, IRI, Skid Resistance, Cracking, Ravelling). Form, structure and level of detail of data Processed (parameter) data for 100m section lengths is stored in the Rijkswaterstaat (RWS) database, along with the residual life span for the 5 years ahead. Raw data is stored separately but is not readily accessible for most people. Would the road authority be willing to engage? Yes - RWS have provided data from all of the highways managed by them to enable comparison of Highways England and Dutch data. They would like to see the results of the comparison. Calculate the Dutch metric excluding Fretting and Cracking. Common steps required to compare data 3 hours (£370) Total: 3 hours (£370) Time required and cost to collate/clean/prepare data for potential comparison ## Feasibility To Use The Country'S Data To Obtain A Metric Equivalent To Highways England'S Ris Pavement Metric What factors regarding the data used by the road authority may hinder direct comparability Reporting length: Dutch data is reported over 100m lengths, whilst the RIS1, or proposed RIS2, metric is calculated for every 10m length of the network. Rutting: The Rutting data collected by RWS is very similar to that collected by Highways England. Roughness: The Netherlands use IRI as a single Roughness parameter, whilst the RIS1, or proposed RIS2, metric includes 3 parameters - 3m, 10m and 30m eLPV. IRI is related to both 3m and 10m eLPV (TRL CPR 1553) but is not correlated with either individual parameter. Additionally, there is no relationship between IRI and 30m eLPV. So, to include Dutch Roughness measurements in this comparison would require new thresholds to be determined for IRI and also for a modified version of the RIS1, or proposed RIS2, metric to be calculated for the SRN using IRI values, not eLPV. It is possible to use the estimate of IRI from eLPV (TRL CPR 1553) to calculate equivalent thresholds that could be applied to IRI in order to calculate a modified RIS1, or proposed RIS2, metric. A 100m length is considered in "good" condition if the value of both 3m eLPV and 10m eLPV are below the Category 3.5 threshold. Thus, the threshold for IRI has been calculated as the smallest value for which 3m or 10m eLPV might exceed their respective thresholds: IRI m/km Motorways and rural dual carriageways 3.3 Urban dual carriageways 3.6 Rural single carriageways 3.6 Urban single carriageways 4.7 ## Country: The Netherlands (Rijkswaterstaat) Skid Resistance: The measurement of Skid Resistance is similar but different devices and test tyres are used for the measurement. These give Skid Resistance values that are 4-8% higher than the tyres used in the UK. Also, for historical reasons, an adjustment factor of 0.78 is applied to UK data. Additionally, Dutch data is reported for a speed of 80km/h, whereas UK data is reported for 50km/h. An equation for correction to a speed of 50km/h is given in the DMRB (HD28/15): SR(50) = SR(v)*(-0.0152*v${}^{2}$ + 4.77*v + 799)/1000 So, for Skid Resistance measured at a survey speed of 80km/h, the correction factor to obtain Skid Resistance at 50km/h would be 1.083. Thus, any threshold(s) applied to UK data would need to be suitably increased before being applied to the Dutch data, using the following correction factor: 1.06/(0.78*1.083). Different investigatory levels are defined in the DMRB (HD28/15) for Skid Resistance depending on the site category e.g. a carriageway with two-way traffic will normally have a higher Skid Resistance requirement than a carriageway with one-way traffic. The RIS1, or proposed RIS2, metric is calculated by applying a threshold of the investigatory level - 0.05 to the measured Skid Resistance for each 100m length. Since the Dutch apply only a single threshold to their skid data, they do not store site category information and thus it would not be possible to apply different thresholds for different sites. It is suggested that the threshold applied to non-event carriageways with two-way traffic in the UK (0.40) be applied. As discussed above, this would need to be adjusted for speed, differences due to test tyres and the correction factor, before being applied to the Dutch data i.e. using a threshold of 40*1.06/(0.78*1.083) = 0.50 would be suggested. In the Netherlands, Skid Resistance values for 100m lengths are calculated by subtracting the intervention limit from the weighted average value of the last two years, whilst the RIS1, or proposed RIS2, metric uses measured Skid Resistance data of one year only. Only road sections that are below the intervention limit have a value reported in the database, therefore Skid Resistance thresholds that are lower than the Dutch thresholds could not be applied to the full Dutch dataset. Since the threshold suggested above (0.5) is lower than the Dutch thresholds (0.51 and 0.53), it would be possible to use Dutch data for RIS1, or proposed RIS2, metric calculation. Comparison of a modified RIS1, or proposed RIS2, metric should be possible. Likelihood of success - How possible is the comparison? Steps required to compare data - What calculations would need to be undertaken on the data? Calculate modified RIS1, or proposed RIS2, metric using Dutch data, applying the thresholds suggested above. Obtain IRI values (100m lengths) from Highways England data (either estimate using eLPV or calculate from raw data). Calculate the same modified RIS1, or proposed RIS2, metric as for the Dutch data: Consider 100m reporting lengths, apply a single threshold of 0.4 to SCRIM data and the thresholds suggested above to IRI. - Calculate modified RIS1, or proposed RIS2, metric using Dutch data: 4 hours (£494) - Obtain IRI values (100m lengths) from Highways England data: 1 hour (£123) (assuming Time required and cost to perform comparison that IRI has already been calculated for previous comparisons). - Calculate modified RIS1, or proposed RIS2, metric for Highways England data: 5 hours (£617). Total: 10 hours (£1,234) ## Comparison Of Netherlands Metric Steps required to compare data - What calculations would need to be undertaken on the data? Other authorities either do not collect Fretting, or do not measure this parameter in the same way. Similarly, Cracking is not measured in the same way in the UK. Thus, the parameters are unlikely to be comparable. Therefore, no comparison can be performed with the Dutch metric including either of these parameters. Thus, there is a need to calculate the Dutch metric excluding these parameters. ## Country: The Netherlands (Rijkswaterstaat) Calculation of the Dutch metric for 2018 found that the percentage of the network falling below the threshold for individual parameters was: Defect Percentage below intervention limit Rut Depth 0.02 % IRI 0.21 % Skid Resistance 0.52 % Cracking 0.11 % Ravelling 0.65 % Calculate modified Dutch metric: 4 hours (£494) Time required and cost Total: 4 hours (£494) ## Feasibility To Use The Country'S Data To Obtain A Metric Equivalent To Local Authority Metrics What factors regarding the data used by the road authority may hinder direct comparability Dutch pavement condition data is available at 100m reporting lengths but 10m lengths are needed to calculate Red and Amber length of RCI. Also, the contribution of Roughness to the SCANNER RCI is calculated as follows: Roughness contribution = maximum (3m LPV contribution, 10m LPV contribution). The measure of Roughness in Netherlands is the IRI. This cannot be split out into similar measures to 3m and 10m LPV and thus the above calculation would not be possible. Similarly, the measurement of Cracking is fundamentally different to both Netherlands and the local authorities, and Texture is not routinely delivered. Given the reporting length and lack of comparable parameters, a meaningful calculation of the RCI and therefore either the Red or Amber length, is not possible. Likelihood of success - How possible is the comparison? N/A Steps required to compare data - What calculations would need to be undertaken on the data? N/A Time required and cost to perform comparison ## Feasibility To Use The Country'S Parameter Data To Compare With Highways England Data What factors regarding the data used by the road authority may hinder direct comparability Whilst the measurement of Skid Resistance is similar (sideway-force coefficient measurement), only sections below the Skid Resistance intervention limit are reported in the database. Therefore, a comparison of Skid Resistance data would be very limited and would be unlikely to be helpful. Thus, it would not be recommended that such a comparison is performed. The Netherlands use IRI as a single Ride Quality parameter. If IRI is estimated from eLPV values or calculated from raw Highways England data, it would be possible to compare IRI from the two networks. The Dutch Cracking and Ravelling (Fretting) measurements and parameters are very different from those reported by Highways England. Thus, it is not appropriate to try to include these parameters in the metric. A comparison between Highways England and Dutch Rutting and IRI data should be possible. Likelihood of success - How possible is the comparison? ## Country: The Netherlands (Rijkswaterstaat) Calculate IRI values using Highways England data - either use estimate based on eLPV values or recalculate from raw profile data. Analyse the distributions of values. Apply appropriate thresholds (RIS1, or proposed RIS2 metric, RCI, Dutch metric). Steps required to compare data - What calculations would need to be undertaken on the data? - Calculation of IRI parameter from Highways England (likely to have already been done for other comparisons): Time required and cost to perform comparison o Estimating from eLPV values - 8 hours (£988); or o Calculating from raw data - 24 hours (£2,962). - Analysis of parameter data: 12 hours (£1,481) if Cracking included in analysis, 10 hours (£1,234) otherwise. Total: 10-36 hours (£1,234 - £4,444) or **16-32 hours (£1,975 - 3,950)** if IRI needs to be calculated from Highways England data as part of this task ## Sweden Country: Sweden (Trafikverket) Data Type of data collected/held Surface condition data (IRI, Edge Deterioration, Texture (MPD), Rutting); 5 years forecast data (IRI, Rutting, Edge Deterioration). Level of detail within data Processed data for 20m lengths of all the roads managed by the Swedish Transport Administration (Trafikverket) are stored in the PMSv3 pavement management system, which is free and open to public, research asset management and commercial use (https://pmsv3.trafikverket.se/). Forecasted individual parameter data for the each of the next 5 years are calculated and provided for 100m lengths. Form and structure of data Swedish pavement condition data is available to the public online (https://pmsv3.trafikverket.se/). Rutting, Roughness (IRI), Texture (MPD), and Edge Deterioration data is reported over 20m reporting lengths. The survey contractor delivers processed data to Trafikverket but VTI (the Swedish equivalent of TRL) also store the raw data. This is only available to those with permission. Yes - the data is publicly available. Would the road authority be willing to engage? Access https://pmsv3.trafikverket.se/ and download the data for Swedish motorways. Calculate data for 100m reporting lengths Common steps required to compare data - Download data and extract motorway sections: 12 hours (£1,481) - Calculate data over 100m reporting lengths: 2 hours (£247). Total: 14 hours (£1,728) Time required and cost to collate/clean/prepare data for potential comparison ## Feasibility To Use The Country'S Data To Obtain A Metric Equivalent To Highways England'S Ris Pavement Metric What factors regarding the data used by the road authority may hinder direct comparability Swedish data is reported for every 20m length, whereas the RIS1, or proposed RIS2, metric requires reporting lengths of 10m lengths. Sweden does not collect any Skid Resistance data. Sweden use IRI as a single Ride Quality metric. This could be incorporated into a modified version of the RIS1, or proposed RIS2, metric, as for the Dutch data. Likelihood of success - How possible is the comparison? Comparison is possible but only using two individual parameters (Rutting and Roughness) to calculate a modified RIS1, or proposed RIS2, metric. A lot of effort would be required to make this comparison and may not provide benefit over just comparing the individual parameters directly. Obtain Highways England Rutting data over 20m reporting lengths (average 10m lengths). Obtain Highways England IRI data for 20m reporting lengths. Calculate a modified version of the RIS1, or proposed RIS2, metric including only Rutting and IRI from Swedish and then Highways England data. Steps required to compare data - What calculations would need to be undertaken on the data? - Highways England Rutting data over 20m reporting lengths: 1 hour (£123) - Highways England IRI data for 20m reporting lengths: 1 hour (£123) in addition to Time required and cost to perform comparison calculating IRI values (see previous) - Calculate a modified version of the RIS1, or proposed RIS2, metric including only Rutting and IRI from Swedish and then Highways England data: 8 hours (£988). ## Country: Sweden (Trafikverket) Total: 10 hours (£1,234) ## Feasibility To Use The Country'S Data To Obtain A Metric Equivalent To Netherlands Metric Swedish data is processed and reported over 20m lengths while the Dutch data is over 100m lengths. Sweden does not collect Skid Resistance, Cracking and Ravelling data which is used to calculate the Dutch metric. What factors regarding the data used the road authority may hinder direct comparability Likelihood of success - How possible is the comparison? Comparison is possible but only using two individual parameters (Rutting and Roughness) to calculate a modified Netherlands metric. A lot of effort would be required to make this comparison and may not provide benefit over just comparing the individual parameters directly. Hence a comparison would not be recommended. Obtain Swedish data over 100m reporting lengths (average 20m lengths). Calculate a modified version of Netherlands metric including only Rutting and IRI from Swedish, Dutch and also, Highways England data. Steps required to compare data - What calculations would need to be undertaken on the data? Time required and cost to perform comparison - 100m reporting lengths: 2 hours (£247). - Calculate a modified version of Netherlands metric using Swedish data: 4 hours (£494) - Calculate a modified version of Netherlands metric using Highways England data: 4 hours (£494) - Calculate a modified version of Netherlands metric using Dutch data: 4 hours (£494) Total: 14 hours (£1,728) ## Feasibility To Use The Country'S Data To Obtain A Metric Equivalent To Local Authority Metrics Swedish pavement condition data is available at 20m reporting lengths, Cracking data is not measured, and the Roughness parameter used is IRI. Thus, it would only be possible to calculate the RCI based on Rutting and Texture data. What factors regarding the data used by the road authority may hinder direct comparability Given the reporting length and lack of comparable parameters, a meaningful calculation of the RCI and therefore either the Red or Amber length, is not possible. Likelihood of success - How possible is the comparison? N/A Steps required to compare data N/A Time required and cost to perform comparison ## Feasibility To Use The Country'S Parameter Data To Compare With Highways England Data What factors regarding the data used by the road authority may hinder direct comparability Swedish data reporting length is 20m while Highways England's data reporting length is 10m or 100m. Sweden does not routinely measure Skid Resistance on their road network, instead measuring Texture (MPD). If MPD is lower than 0.5 on a length, this means that further investigation of the Skid Resistance is needed. Highways England also measures Texture on their network and the SMTD and MPD parameters are reported. Whilst it would be possible to compare MPD values, this may not be a fair comparison, as acceptable Texture values can vary depending on the pavement surfacing used. Cracking and Fretting are not measured in Sweden. ## Country: Sweden (Trafikverket) Sweden use a single Ride Quality parameter IRI, which cannot be directly compared to eLPV. Likelihood of success - How possible is the comparison? A comparison between Rutting and IRI on the Swedish and Highways England networks should be possible. A comparison of MPD values would also be possible but may be difficult to interpret, due to lack of information of surfacing type on the Swedish network. Steps required to compare data - What calculations would need to be undertaken on the data? Resample Swedish data to 100m reporting lengths. Calculate IRI values from Highways England data - either use estimate based on eLPV values or recalculate from raw profile data. Analyse the distributions of values. Apply appropriate thresholds (RIS1, or proposed RIS2, metric, RCI, Dutch metric). - Resample Swedish data to 100m reporting lengths: 2 hours (£247). - Calculation of IRI parameter from Highways England (likely to have already been done for Time required and cost to perform comparison other comparisons): o Estimating from eLPV values - 8 hours (£988); or o Calculating from raw data - 24 hours (£2,963). o Likely to have already been done for other comparisons, so no additional cost - Analysis - 6 hours (£741). Total: 8 hours (£988) or **16-32 hours (£1,975 - £3,950)** if IRI needs to be calculated from Highways England data as part of this task. ## Reflections On The Use Of Road Condition Data For Benchmarking This Appendix has been prepared by Dr Phill Wheat of the University of Leeds Institute for Transport Studies, drawing on his experiences of implementing road benchmarking through the CQC Efficiency Network. This report provides a comprehensive description and analysis of the extent to which the measurements between road condition measures across different organisations can be compared. In this Appendix, reflections are provided on the use of the road condition measures in benchmarking and the implications for the collection of the road condition survey data underpinning them. Benchmarking requires relating two or more metrics to each other in a meaningful way. Obvious candidates are cost (opex and/or capex) and asset quality (captured here as road condition). The interest is whether there are trade-offs between various benchmarking metrics and whether some infrastructure managers are able to achieve better cost and quality outcomes than others. This requires comparisons across infrastructure managers and across time. To facilitate meaningful, and therefore robust comparisons, there needs to be alignment between data in (at least) two key dimensions: - Geographical coverage - cost and quality should cover the same assets - Temporal coverage - cost and quality should cover the same time period and, as importantly, be resampled at the same rate The following potential issues emerge, particularly when comparing Highways England data to LAs. ## Geographical Coverage An immediate concern is comparing SCRIM type data when this is not collected network wide, for example for LAs. This presents substantial challenges in monitoring changes in Skid Resistance over time in these cases, as a relatively small part of the network is sampled per year. This presents a risk that the sample may not be representative of the road condition of the LA networks in any given year. A lesser issue from a geographical perspective (but see temporal discussion below) is that not all A roads are sampled each year. This is less of issue assuming that roads are being sampled in a systematic method unrelated to their underlying condition, at least within road class. ## Temporal Coverage Most surveys are annual and occur at similar time in the year, or in a worst case, where different infrastructure managers' survey at different time of the year, for each infrastructure manager the time of the year is the same. This means comparisons in road condition and cost should be valid over time and, perhaps with adjustments to systematic road condition reflecting sampling at different times of year, valid between infrastructure managers. More fundamentally, there is an important interaction between temporal coverage and geographical coverage. Where the network is not sampled in entirety, there is a challenge in capturing changes in road condition which is potentially exacerbated by different data base management processes between infrastructure managers. This issue emerged with specific work undertaken by the CQC Efficiency Network for LAs, highlighting the limitation of relying on road condition data based on partial surveys of the network. What is sought is data on road condition which tracks variations in expenditure from year to year. This is essential for robust benchmarking as there is a clear trade-off between increased expenditure and *improvements* in road condition, followed by improved road condition and thus lower ongoing expenditure. Any benchmarking framework needs to recognise the upfront cost and longer-term cost gains from investments; capturing this subtle but important impact is very important in assessing performance. DfT8 outline that the RDC0120 measures in the single data list are based on rolling averages of two years of survey data. A minimum of 45% of the A road network is surveyed each year with no less than 90% of the network required to be included within the metric. The spreading of the computation over two years presents an ambiguity as to how long it takes for improvements in road condition to filter through to the measure of road condition. This in turn presents challenges for relating measured changes in road condition to changes in expenditure. The limit for A roads is two years, but there is some uncertainty as to whether to expect a random relationship between improvement work and roads sampled in a year (implying 50% adjustment in Yr1 and the remainder in Yr2) or something more structured. Indeed, limited interview work undertaken as part of the CQC Efficiency Network has highlighted that practice does differ between LAs in terms of how the road network condition of the roads not surveyed in the latest year are treated. Some LAs simply roll over the previous year's survey data, as would seem to be implied by the DfT guidance. Clearly this introduces the lags in response of the road condition measure as described in the previous paragraph. Other LAs implement a policy of manually adjusting their PMS system to reflect when they have undertaken improvement work on a road section flagged in the last survey as in need of repair. This essentially gets around the problem of a lag in the response of the road condition variable, as improving road condition in a given year immediately impacts on the road condition metric. A similar approach has been proposed for Highways England in RIS2: "All lengths of pavement that were renewed since the previous survey are automatically marked as being in 'good' condition." One limitation of this approach is that it is asymmetric: improvements in road condition are captured in the year that they arise, but deteriorations may take two years to feed through. As such, one solution could be to select those LAs for comparison that manually over-write their road condition databases when improvement works are undertaken, mirroring the proposal by Highways England. This problem is more acute when B, C and (particularly) U roads are considered, as these are surveyed at a lower annual rate. Given the purpose of collecting road condition data will be to inform robust regulatory analysis regarding the SRN, the issue is valid for the A road case only.

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## # Operational Selection Policy Osp46 Records Relating To Military Law And Courts-Martial 10 January 2008. ## Contents Section Content Page 1 Authority 3 2 Scope 4 3 Origins of the Offices of the Judge Advocate General and the Judge Advocate of the Fleet 5 4 Significant statutes in military law since 1955 6 5 Ministry of Defence military law functions 6 6 Army and Royal Air Force courts martial 9 7 Royal Navy courts martial 11 8 Ministry of Justice and predecessor bodies' military law functions 13 9 Jurisdiction of courts martial 14 16 10 Procedures in courts martial from 1990 to the present 16 11 The National Archives current / past selection policy and practice 18 12 Proposals for the future preservation at the National Archives of public records relating to military law and courts martial 13 Implementation 23 Appendix Appendix 1 - Records relating to Military Law and Courts Martial selected by the National Archives to April 2007 ## 1 Authority 1.1 The National Archives' Acquisition And Disposition Policy Statements (February 2000) Announced The Intention Of Developing, In Consultation With Departments, Operational Selection Policies Across Government. These Policies Would Apply The Collection Themes Described In The Policy To The Records Of Individual Departments And Agencies. 1.2 Operational selection policies are intended to be working tools for those involved in the selection of public records. This policy may, therefore, be reviewed and revised in the light of comments received from the users of the records or from archive professionals, the department's experience of using the policy, or as a result of newly discovered information. There is no formal cycle of review but we would welcome comments at any time. The extent of any review and revision exercise will be determined according to the nature of the comments received. 1.3 If you have any comments upon this policy, please email recordsmanagement@nationalarchives.gov.uk Or write to: Acquisition and Disposition Policy Manager Records Management Department The National Archives Kew Richmond Surrey TW9 4DU 2. Scope. 2.1. Military law is the body of law governing the rights and duties of armed services personnel. The courts martial justice system is separate from the civil courts service, applying the principles of military law to ensure that justice and discipline within the armed services is maintained. 2.2. This operational selection policy covers the public records of the Ministry of Defence that generates most of the policy and legislation relating to military law. These include those public records relating to high-level policy relating to discipline and justice in the main military services: Army, Royal Air Force and Royal Navy. 2.3. The Office of the Judge Advocate General and the Judge Advocate of the Fleet created records relating to the administration of the military justice system. These bodies are supposed to have been independent from the Ministry of Defence in order to reach impartial decisions on courts martial cases1. As well as case records some operational policy and legal advice records are likely to be generated. 2.4. Records relating to civil indictable criminal proceedings are covered by a separate operational selection policy (OSP40) - see, http://www.nationalarchives.gov.uk/documents/osp40final.pdf. 3. Origins of the Offices of the Judge Advocate General and the Judge Advocate of the Fleet - Through a statute of Edward I in 1279 it was enacted that, by virtue of the royal prerogative, the sovereign of England had the right to command all the military forces of the English nation. The royal prerogative also accorded the Crown the power to regulate and discipline the army. Crown jurisdiction over military offences was exclusive but its jurisdiction over military offences committed by soldiers was coordinated with the civil courts in early medieval times. The appointment of a special officer to conduct courts martial during war campaigns can be traced back at least to the reign of Elizabeth I when a Judge Martial (or Marshal) accompanied the Earl of Leicester's army to the Low Countries in 1587-1588. It had previously been thought that the Chivalry Court of the Lord High Constable and the Earl Marshal, who were Commander and second-in-command of the king's armies respectively, had regulated the conduct of English soldiers. However, recent research suggests that the Judge Martial was independently responsible for military discipline.2 A list of Rules and Ordnances of War was issued by the king usually on the advice of the Judge Martial at the start of every campaign of war that eventually became the basis of a code of military law. 3.1. An Advocate of the Army served with the Army of Charles I in 1639 and Advocates of the Army (or Judge Advocates) served on both sides during the English Civil War (1642-1649). After the standing army had been brought into being during the English Civil War and the Interregnum period (1649-1659) the office of Judge Advocate General was created to supervise 'courts martial' for the new army. The Judge Advocate General is not a General of the army; the word "general" signifies broad oversight, as in the terms 'Secretary- General' and 'Attorney General'. 3.2. It was the Mutiny Act of 1689 that first formally recognised the legality of the military courts and gave parliamentary approval to the exercise of their jurisdiction. Successive Mutiny Acts passed between 1689 and 1878 strengthened the authority of these courts in dispensing military justice. The Army Act of 1881 replaced the principle provisions of the Mutiny Acts and has been renewed every five years since this date. 3.3. Early origins of the Judge Advocate of the Fleet are found in the role of the Lord High Admiral who became a permanent officer of state in the fifteenth century. This officer performed at sea the functions, which on foreign land and in military installations the Judge Martial discharged - referred to above. One of the Lord High Admiral's roles was to pronounce and apply the laws of war at sea. Therefore, the origins of the 'articles of war' and courtsmartial at sea derive from his role. From 1660, the Judge Advocate of the Fleet took over this role. 4. Significant Statutes in Military Law since 1955 4.1. Military law is the body of law governing the rights and duties of soldiers. All serving personnel are subject to it. There have been three significant Acts that have shaped and provided the foundations for military law for the three main armed services of the United Kingdom over the past 50 years.3 These are: - Army Act 1955 - Air Force Act 1955 - Naval Discipline Act 1957 4.2. The above acts are collectively known as the 'Service Discipline Acts'. They have provided a comprehensive system of law for the services since their introduction. They incorporate offences that reflect the civilian criminal offences and establish offences that are unique to the Armed Forces, such as 'desertion'. A range of rules and regulations has followed the passing of these statutes that practically articulate the principles they set out. These Acts are reviewed approximately every five years and amendments are made to reflect changes in civil law and the requirements of the Armed Services. 4.3. A Strategic Defence Review of 1998 argued that advantages would be gained from combining the three Service Discipline Acts into a single Act. Subject to Parliamentary approval, it is planned to carry out this complex rewriting of legislation by the end of 2008. 5. Ministry of Defence military law functions. 5.1. In 1963, the three independent service ministries (Admiralty, War Office and Air Ministry) were merged to form the present Ministry of Defence (MoD). The UK MoD is the government department that is responsible for all defence related aspects of national policy. 5.2. This large organisation is controlled by the Secretary of State for Defence and his deputies. The Minister is supported by a Permanent Under Secretary of State (PUS) who is responsible for policy, finance and administration in the Ministry of Defence. Under the PUS, the Chief of Defence Staff acts as the professional head of the Armed Forces and he is the principal military adviser to the Secretary of State and to the government. He represents the Chiefs of Staff for all three armed services with the help of the Vice Chief of the Defence Staff4. 3 The Armed Forces Acts 1996 and 2000 radically amended these Acts to accommodate the 5.3. The Ministry of Defence is responsible for creating military law (as comprised in the above Service Discipline Acts and their successive soon to be enforced Armed Forces Act 2006) amending existing legislation, creating codes of conduct and for providing the legal basis for military operations. For the Army, policy on discipline is developed by the Adjutant General's Department, Directorate of Personal Services (Army), PS2(A) branch. Their role is as follows. - Discipline. To develop policy for standards of conduct and the maintenance of discipline in the Army. Anticipate the demands of future legislation in developing discipline policy. Expedite proper resolution of disciplinary casework. Conduct a vigorous and effective campaign to deter substance misuse in the Army, in order to sustain and strengthen the disciplinary fabric of the Army to underpin its operational effectiveness. 5.4. The fruits of these objectives are captured in the various publications available at http://www.army.mod.uk/servingsoldier/termsofserv/discmillaw/ref/index.html that comprise the Ministry of Defence Discipline and Military Law Reference Library. 5.5. The Defence Council is the senior Ministry of Defence committee that provides the legal basis for the conduct and administration of defence. The Secretary of State for Defence chairs this council. In the course of its duties, this Council will occasionally validate the policies of the Adjutant General's Directorate and other service directorates responsible for discipline. ## 5.6. The Military Court Service (Mcs). The Defence Council Made provisions for the Military Court Service as an independent organisation and appoints its Director who is a civil servant. It is a tri-service and consists of a headquarters at Upavon (Wiltshire) and seven staffed Military Court Centres at: Bulford (Wiltshire); Catterick (Yorkshire); Colchester (Essex); Portsmouth (Hampshire); Aldergrove (Northern Ireland); Osnabruck and Hohne (Germany).While the three service justice systems have remained distinct, up to the introduction of the Armed Forces Act 2006, the Military Court Service has enabled some sensible integration since its inception in the 1990s. This includes the administrative requirements for court martial hearings; providing administrative support and provision of the appropriate environment for the trial to be heard. Before the introduction of the Military Court Service in 1997 the provision of facilities for courts martial were far more likely to be ad-hoc, with some trials taking place in local barracks and defence facilities. 5.7. The main elements of the military criminal justice system are: 5.7.1. Court-martial. Serious matters, including both offences against the civilian criminal law and specifically military offences, may be tried by Courtmartial. A Judge Advocate controls the court, his directions being final in all matters of law, practice and procedure. The Lay Members of the court are known as a board and consists of officers, warrant officers, who are appointed to perform their duties independently and impartially in accordance with the evidence and the law. Each board consists of 3 members (District Court Martial) or 5 members (General Court Martial) one of whom is nominated as a President, whose role is not dissimilar to that of a foreman of a jury. Having listened to the Judge Advocate's directions on the law and summary of the evidence; the board are responsible for finding defendants guilty or not guilty. Following a finding or plea of guilty, the board and the Judge Advocate decide on sentence. A Court-martial has the same sentencing powers in relation to imprisonment as a Crown Court, including life imprisonment. 5.7.2. Summary Dealing by a Commanding Officer. Minor disciplinary and criminal matters are deal with summarily by the Commanding Officer of the serviceman or servicewoman accused. This is similar to a magistrates' court hearing before lay magistrates. The great majority of matters are disposed of in this way, which forms one of the foundations of the disciplinary system of the armed forces. A Commanding Officer has powers of punishment up to 60 days detention (Army or RAF) or 90 days detention (RN). An accused person may opt for trial by Court-martial rather than to appear before their Commanding Officer, or may appeal to a Summary Appeal Court in all cases. 5.7.3. Summary Appeal Court. A Summary Appeal court which is conducted by a a Judge Advocate and two service members , who can be two officers or one officer and one warrant officer. An accused has a right of appeal to the Summary Appeal Court, which is conducted by a Judge Advocate. Appeals take the form of a re-hearing and may be against finding and/or punishment. Thus, where the appeal is against finding and punishment, the Summary Appeal Court will hear the evidence afresh before deciding whether to confirm or quash the finding. If it confirms the finding, the Summary Appeal Court will decide what the punishment should be on the basis of the evidence it has heard. If the appeal is against punishment only, the respondent (prosecuting officer) will inform the Summary Appeal Court of the facts of the case. The Court will consider any mitigating factors and determine or amend punishment accordingly. 5.7.4. Review. To 2006, after every court-martial where there has been a guilty plea or a finding of guilt, the verdict and sentence are automatically reviewed by a higher military authority, following the legal advice provided by the Judge Advocate General (and prior to 2004 by the Judge Advocate of the Fleet). There may also be a petition from the convicted defendant. The review may set aside the conviction, or may reduce (but not increase) the sentence. The Armed Forces Act 2006 is due to abolish the review process when it comes in to force in 2009. 5.7.5. Court-Martial Appeal Court. The avenue of appeal for a convicted defendant, subject to obtaining permission to appeal, is to the Court-Martial Appeal Court (as the Court of Criminal Appeal is named when dealing with military cases), and ultimately to the House of Lords. 5.7.6. Standing Civilian Court. Civilians who are officials attached to the Services overseas, or dependants of Service personnel resident overseas (for example in Germany or Cyprus) may be tried for minor offences by the Standing Civilian Court (which consists of a Judge Advocate sitting alone), or for more serious matters by a Court-martial. 5.8. Please also refer to British Army: Courts Martial, 17th-20th Centuries - Military Records Information 22 available on the National Archives web site at http://www.nationalarchives.gov.uk/catalogue/RdLeaflet.asp?sLeafletID=28 . 6. Army and Royal Air Force courts martial 6.1. As stated above, the Office of the **Judge Advocate General** has early modern historical origins but in its modern form is contemporaneous with the origins of the standing army in the 17th century. From 1666, during the Restoration period, the separate offices were placed on the permanent establishment of the Army. Since 1682, these officers were appointed by letters patent and have continued to be to the present day. 6.2. Originally, the office holder was a lawyer whose functions were - To advise on the charges and evidence in cases of difficulty before the court martial was convened. - The making of arrangements for courts martial. - The prosecution of military offenders before them. His duties as a prosecutor ended in 1860 but his responsibility for advising on charges and evidence continued. - To act as legal adviser to the courts martial. - The recording of their proceedings. - Advising the sovereign and Commander in Chief on the exercise of the prerogative of mercy with regard to the sentences of courts martial. - To the early nineteenth century, he also acted as secretary and legal adviser to the Board of General Officers, one of whose functions was to hear complaints against officers and soldiers (usually in times of war). 6.3. His channels of communication with the sovereign were successively the Secretary at War (from 1706), the Commander in Chief (from 1806) and the Secretary of State for War (from 1905). From 1793 to 1904 he was legal adviser to the Commander in Chief and, thereafter to the Secretary of State for War. 6.4. By 1892 the Judge Advocate was a Privy Councillor, a junior minister in the government, usually a Member of Parliament and a spokesman for the Commander in Chief in Parliament and he had direct access to the Sovereign on matters pertaining to his office. The appointment was regarded as a political office. In 1893 he ceased to be a minister, and from that date his office was wholly judicial and advisory in character. By 1905, it was decided that the office should in future be filled by a person with suitable legal attainments, subject to the orders of the Secretary of State for War. Initially the President of the Probate, Divorce and Admiralty Division of the High Court held the post but he was unpaid and acted mainly through deputies whom he was empowered to appoint. 6.5. From 1918 Judge Advocate General became legal adviser also to the Secretary of State for Air and had responsibility for courts martial of Royal Air Force personnel. In 1923 a Military and Air Force Department of the War Office was formed to undertake prosecutions, thus separating the office's prosecuting and judicial functions. 6.6. In 1938 the Army and Air Force Courts Martial Committee under Rowland Oliver KC had recommended "that the Judge Advocate General should be appointed on the recommendation of, and be responsible to, some Minister other than the Secretary of State for War or Air". The Committee made this recommendation to ensure that any impression that the Judge Advocate General, whose duties include the review of all convictions of courts martial and advice to the Secretary of State for War and Air on questions of law arising from such review, was in any sense a subordinate official of the War Office or Air Ministry. The issue of ensuring and promoting the legal independence of the Judge Advocate General was considered to be critical. The Cabinet approved the proposal in 1939 but the War intervened and nothing was done about this until 1946, when a Committee under Mr Justice Lewis was appointed to review the structure of the Courts Martial procedure and kindred matters with particular reference to the recommendations of the Oliver Committee. They endorsed the recommendations of their predecessor committee regarding the appointment of the Judge Advocate General. The Cabinet approved a complete separation of prosecuting and judicial functions and this was put into effect on 1 October 19485. Advisory roles of the Judge Advocate General's Department (Lord Chancellor's Office) and Legal Services Department (War Office) from 1948. 6.7. In 1946 the Judge Advocate General's Office comprised three departments: a Judicial Department; a Military Department; and an Air Force Department. The last two departments were responsible for the giving of pretrial legal advice and the conduct of prosecutions within the Army and the Air Force respectively. The Judicial Department's function was to provide independent judge advocates to sit at courts martial and review proceedings of trials. 6.8. From 1948, the judges serving under the Office of the Judge Advocate General retained their judicial functions but were now appointed by the Lord Chancellor instead of the Secretaries of State for War and Air. The Judge Advocate General himself continued to be appointed by royal decree (under the advice of the Lord Chancellor) under letters patent. The old Judge Advocate General Office Military Department responsibilities for the prosecution function passed to new directorates of Legal Services in the War Office (Adjutant General) and Air Ministry respectively and were separately constituted for both Army and Royal Air Force as uniformed legal services. 6.9 Directions for trial **and prosecution**. To 2006, three distinct prosecution authorities have existed in the UK armed services. These were the Army Prosecution Authority, Royal Navy Prosecuting Authority and the Royal Air Force Prosecuting Authority. These authorities may have had different titles in the past: e.g. the Army Prosecution Authority in recent years was known as Army Legal Services. Since 1997, each authority was to be independent of the chain of command, and their role has been to determine whether cases referred to them by the chain of command should be directed for trial. Where the cases were directed for trial, the prosecution authorities would have prosecuted the cases before military courts. They essentially carry out the role that in civilian life is carried out by the Crown Prosecution Service. Further, the prosecution authorities have provided advice to police forces on matters concerning the prosecution of offences and have represented the Crown as respondent to appeals before Summary Appeal Courts and the Courts-Martial Appeal Court. The separate prosecution authorities that have existed since 1997 are to be reformed into a single tri-service by the Armed Forces Act 2006. 6.10. To provide for appeals against convictions from courts martial a Courts Martial Appeal Court was established under the Courts Martial (Appeals) Act 1951. This Act also made provisions for appointments to the Judge Advocate General's Office. 6.11. Standing Civilian Courts were established for the trial of overseas civilians working for the Ministry of Defence under the Standing Civilian Courts and Standing Civilian Courts (Areas) Orders 1977. These courts also fell under the jurisdiction of the Judge Advocate General. 7. Royal Navy courts martial. Structure of the Naval Disciplinary Administration to 2000. 7.1. From 1661 the office of **Judge Advocate of the Fleet** has existed to supervise the Royal Navy courts martial system, separately from the Judge Advocate General. During the 20th century the Judge Advocate of the Fleet has been a civilian barrister appointed by the monarch on the advice of the Lord Chancellor to whom all questions of law arising out of the Naval Discipline Act must be referred. For much of the twentieth century, the post has been part-time appointment. His functions were: - To advise when required on any important questions respecting the administration of justice under the Naval Discipline Act 1957 - To examine all proceedings of courts martial and disciplinary courts except when the accused pleads guilty and no evidence is taken (other than evidence as to character) and to advise generally and in detail on the proceedings of the Court; to call attention to any irregularities or illegalities that may have occurred in the course of the proceedings and to propose such action as the legal requirements of the case may necessitate. - To advise on all questions which may arise out of, and subsequent to, a court martial or disciplinary court 7.2. To the mid-1990's, the Chief Judge Advocate (known as the Deputy Judge Advocate in 1960) was traditionally a serving Captain or Commodore in the Royal Navy. In recent times the Director of Naval Legal Services carried out this role. The office was traditionally based at Greenwich. His main functions were: - Superintending the legal training and studies of selected Supply and Secretariat Officers - Providing guidance to those Officers already trained - Officiating at important courts martial th 7.3. The Royal Navy had no legal branch unlike the Army and the Royal Air Force. The Royal Navy had approximately 25 legally trained Supply and Secretariat Officers (who were usually barristers) and rarely worked full time on legal matters. They were distributed throughout the fleet in general service appointments where they were available to advise on disciplinary problems and to officiate as judge advocates at courts martial. They also acted as prosecution and defence lawyers in naval courts martial. Since 2004, their role as naval judge advocates has been abolished but their other legal duties have continued.6 In recent times the title of these naval legal officers has changed to 'Logistics Officers'. 7.4. The War Office Naval Law Division was created in the 19 century and was continued under the Ministry of Defence from 1963 under the title Naval Legal Services Division . It originally comprised two branches. - The Discipline Branch comprised a small team dealing with all disciplinary matters concerning the Fleet and responsible for the Naval Discipline Act 1957, including the review of courts martial, complaints and scrutiny of punishment warrants. This Branch was in regular communication with the Judge Advocate of the Fleet and the Chief Naval Judge Advocate Also, Findlay v United Kingdom [1997] 24 EHRR 221, established that the absence of independent authority acting in the pivotal role of Acting Judge Advocate in any court martial deprived the defendants of their rights under Article 6 of the Human Rights Act 1998. The European Court of Human Rights decision was that members of the court martial were to be sufficiently independent of the convening officer of the trial to ensure a fair trial. Consequently, the Armed Forces Act 1996 was amended and the functions of the convening officer and Boards, prosecution and defence counsels were separated. The Armed Services Act 2006 is to introduce a tri-service prosecution authority and the Office of the Judge Advocate General (staffed by civilians) will coordinate all tri-service courts martial. - The General Branch dealt with other legal matters concerning the Navy Department. Their role was to seek legal advice from the Treasury Solicitor. They normally had no dealings with the Judge Advocate of the Fleet and the Chief Naval Judge Advocate. 7.5. In 2004 Courts Martial in the Royal Navy began to be heard in a similar way to Army and Royal Air Force cases under a single independent authority and by the same civilian judges, rather than uniformed naval officers. The functions of the Judge Advocate of the Fleet were transferred to the Judge Advocate General by delegation in 2007 and will be finally transferred by statute in 2008. 7.6. On board ship, policing and disciplinary matters were traditionally the responsibility of the Executive Department and specifically by the Master at Arms and his Ship's Service Police Team (usually comprising of three men who are experts in seamanship). The Master at Arms reports directly to the Executive Officer - a First Lieutenant and second in command - who is assisted by the Executive Warrant Officer - the most senior noncommissioned officer aboard ship. These officers will report any crimes and misdemeanours to the Ship's Captain, who decides whether the offence can be dealt with summarily or whether it should proceed to a courts martial7. 8. Ministry of Justice and predecessor bodies' military law functions. 8.1. As stated above, since 1948 the Office of the Judge Advocate General has been a component unit of the Lord Chancellor's Department and its successor bodies (e.g. the Ministry of Justice (MoJ) to preserve an independent and impartial Head of the Military Justice system. The entire Office is comprised of civilian civil servants that provide administrative support to the Judge Advocate General, Vice Judge Advocate General and the cadre of Assistant Judge Advocates General. The office has also provided advice to Ministers within the Ministry of Justice concerning its interests in military justice matters. 8.2. MoD is the lead department for all policy on military matters including the legal framework for military justice: it proposes to parliament statutes and statutory instruments - e.g. rules. However, the MoD purview on military law is tempered by the need for it to comply with international and specifically European law and by the rulings and judgements of the British superior courts: i.e. the Supreme Court of Judicature.8 8 A new United Kingdom Supreme Court is due to open in October 2009 as provided for in the Constitutional Reform Act 2005 that will replace the role of the House of Lords as the highest court of appeal and the Supreme Court of Judicature appeal courts. It will provide 9. Jurisdiction of Courts-Martial 9.1. Courts martial historically have no jurisdiction over criminal offences committed by civilians on mainland UK, which are referred to the magistrates' and crown courts. For offences allegedly committed by service personnel where the victims are civilians or service personnel the trial will usually take place at a courts martial. However, serious offences (murder, manslaughter, rape) may be tried at Crown Court. The current sentencing policy advocated by the Judge Advocate General is available on their web site10. 9.2. Where the offence was committed abroad by armed service personnel the issue of jurisdiction becomes more complicated. The Status of Forces Agreement (SOFA) has defined the legal position of a visiting military force deployed in the territory of a friendly state. Agreements delineating the status of visiting military forces may be bilateral or multilateral. Provisions pertaining to the status of visiting forces may be set forth in a separate agreement, or they may form a part of a more comprehensive agreement. These provisions describe how the authorities of a visiting force may control members of that force and the amenability of the force or its members to the local law or to the authority of local officials. To the extent that agreements delineate matters affecting the relations between a military force and civilian authorities and population, they may be considered as civil affairs agreements. 9.3. **Sovereign Base Areas (SBAs)**. Two Sovereign Base Areas currently exist for British forces colonies at Episkopi and Dhekelia in the Republic of Cyprus that was agreed with the national government in 1960. These SBAs have administration, independent judiciary, courts and police force completely separate from the United Kingdom. The Court administers the laws of the Sovereign Base Areas. These comprise the laws of the Colony of Cyprus as at August 1960, as amended by Ordinances enacted subsequently. The Laws of the Sovereign Base Areas are kept as far as possible the same laws of the republic of Cyprus. The Court of the Sovereign Base Area is concerned with non-military offences greater clarity to constitutional arrangements by further separating the judiciary from the legislature and the executive. It will: - act as the final court of appeal in England, Wales and Northern Ireland; - hear appeals on arguable points of law of general public importance; - hear appeals from civil cases in England, Wales, Northern Ireland and Scotland; and - hear appeals from criminal cases in England, Wales and Northern Ireland. The current Law Lords will be the first justices of the 12-member Supreme Court and will remain members of the House of Lords once the court is created. New judges appointed to the Supreme Court after its creation will not be members of the House of Lords; they will become Justices of the Supreme Court. committed by any person within the Sovereign Base Areas. That includes offences committed by British servicemen, by the families of servicemen, by Cypriots, and others such as tourists, of whom some 2 million per year transit the Sovereign Base Areas. A Resident Judge, who hears cases at the two SBA courts and is reinforced, as necessary, by senior judges brought out from the UK. The Court administers the laws of the Sovereign Base Areas. These comprise the laws of the Colony of Cyprus as at August 1960, as amended by Ordinances enacted subsequently. The Laws of the Sovereign Base Areas are kept as far as possible the same laws of the Republic of Cyprus. Military law offences committed by UK service personnel on active service continue to be subject to British courts martial procedure.11 9.4. Where the offence is committed abroad and the local judiciary are content to allow the crime to be tried by the UK military, the case would be subject to courts martial jurisdiction within that country. 9.5. The Armed Forces Act 1976 introduced the Standing Civilian Court for the trial of civilians working for or accompanying the Army outside the UK. Offences committed by civilians would also be subject to the Status of Forces Agreement. 10. Procedures in courts martial from 1990 to the present. 10.1. Procedures for Army, Royal Navy and Royal Air Force courts martial in recent times have been continually subject to regular amendment according to the requirements of the law; procedures may have applied in 1995 may have been removed or replaced by 2005. Researchers interested in courts martial procedure for respective armed services prior to 2006 are advised to search for statutory instruments relating to Army, Royal Navy and Royal Air Force at the website for the Office of Public Sector Information12. 10.2. For modern tri-service courts martial procedure dating from 2006, researchers are directed to the website of the Office of the Judge Advocate General.13 11. The National Archives' current / past selection policy and practice. 11.1. The records that have been selected in the past by the National Archives are detailed in Appendix 1. Those selected records that are still potentially accruing are detailed below. 11.2. **War crimes records** - The Hague Conventions were international treaties negotiated at the First and Second Peace Conferences at The Hague, Netherlands in 1899 and 1907, respectively, and were (along with the Geneva Conventions of 1925 and 1928) among the first formal statements of the laws of war and war crimes in the nascent body of secular international law. War crimes under international law were firmly established by the Nuremberg Principles, a document that was created as a result of the Nuremberg Trials of leading Nazis from 20 November 1945 to 1 October 1946 at the International Military Tribunal. These principles are based at the level of international law. The National Archives has selected all war crimes policy and case materials created by the British contingent of the Tribunal or by the Judge Advocate General's Office on behalf of the Tribunal for the Second World War (1939- 1945). 11.3. The Nuremberg Trials were the first of their type whereby the allied powers convened an International Military Tribunal specifically to try and sentence leading Nazis. Great Britain, the United States, the Soviet Union, and France were all given places on the Tribunal. The records created by the British contingent to the Tribunal are contained in record series: WO 235; WO 238; WO 309; WO 310; WO 311; WO 325; WO 331; WO 353; WO 354; WO 355; WO 356 and WO 357. Some 200 German constituting the main war crimes defendants were eventually tried at Nuremberg and 1600 others were tried under the traditional channels of military justice: courts-martial in other German towns. 11.4. **Modern War Crimes**. The Rome Statute of the International Criminal Court (or 'Rome Statute') 1998 is the treaty, which established the International Criminal Court (ICC). It sets out the Court's jurisdiction, structure and functions. It entered into force on 1 July 2000. Any perpetrator of a crime within the jurisdiction of the Court committed after this date is liable to prosecution. 11.4.1. The Statute provides for the ICC to have jurisdiction over three main classes of offence: genocide, crimes against humanity and war crimes. The treaty establishing the court gives a special definition of genocide in Article 6. a list of crimes against humanity in Article 7 and a lengthy and detailed list of war crimes in Article 8. 11.4.2. The International Criminal Court Act 2001 was adopted in the UK on 11 May 200114. The Act implements into the law of England, Wales and Northern Ireland the Rome Statute of the International Criminal Court. 11.4.3. The principle aims of the Act are: - To incorporate into domestic law the offences contained in the Rome Statute relating to genocide, crimes against humanity and war crimes - To fulfil the UK's obligations under the Statute, particularly in relation to the arrest and surrender of persons wanted by the International Criminal Court (ICC) and the provisions of assistance with respect to ICC investigations; and - To create a legal framework so that persons convicted by the ICC can serve prison sentences in the UK. 11.5. **Army case records** - The main series of courts-martial case records are contained in WO 71. In the past, the National Archives has selected a few records for each year that mainly comprises the more serious offences - murders, sexual offences with a few routine offences included as representative selections. These selections have seldom exceeded 10 files per annum selected from the Judge Advocate General's Office. Most of the remaining Army courts-martial WO series records listed in Appendix 1 have been superseded and are discontinued. 11.6. **Royal Air Force records** - The main series of courts-martial records are contained in AIR 18 (case files), AIR 21 (Registers). Selection of case files seems to have proceeded on a file-by-file review basis with no set criteria for selection other than what appealed to the reviewer. The records mainly comprise the more serious offences - usually murders, sexual offences with a few routine offences included as representative selections. The records contained in AIR 43, AIR 44 and AIR 71 described in Appendix 1 are no longer created. 11.7. **Royal Navy records**– The main series of recent historical courts-martial records are contained in ADM 156 (case records). The files only cover 1890 to 1965: files up to 1976 are still awaiting historical review by the Ministry of Defence. These files comprise cases extracted from ADM 1, ADM 116, and ADM 167 that were transferred into this record series. They contain cases relating to the Royal Navy, Royal Marines and the Naval Reserve and Auxiliary Forces. 11.8. Peculiarly, ADM 178 also contains some case records that overlap with the dates of ADM 156: beyond this there is no indication of how these file series differ. 11.9. **Standing Civilian Courts records** - These records comprise the case files of civilians working for the Ministry of Defence who committed felonies within British Armed Service facilities outside of the UK under the Standing Civilian Courts and Standing Civilian Courts (Areas) Orders 1977. They are contained in record series ER 1 and currently date from 1977 to 1986. Very few files are created annually and to date only a few files have been selected to 1986. 11.10. **Courts-Martial Appeal Court** - The main series of case records are contained in J 135. They cover all British armed services appeals on courtsmartial court decisions. The Supreme Court of Judicature has ultimate jurisdiction over all courts-martial appeals. The selection of these records has followed the decision made in the *Report of the Committee on Legal Records* (Cmnd. 3084, August 1966) where it was decided that all records relating to courts martial appeals were to be preserved permanently. 11.11. **Judge Advocate General's Office case tracking records** - These comprise datasets of summary information concerning the totality of cases that have been processed by the Judge Advocate General for courts-martial. They are contained in LCO 60 (or National Digital Archive of Datasets reference CRDA/23). From 2003 they include summary case details relating to the Royal Navy. 11.12. **Ministry of Defence records relating to policy** - The main series for policy records are held in WO 32. 11.13. **Judge Advocate General's Office records relating to policy** - The main series for policy records are held in LCO 53. 11.14. **Judge Advocate of the Fleet's Office records relating to policy** - There is no discrete record series for the policy files of the Judge Advocate of the Fleet for records selected by the National Archives. The policy records are mixed with a number of other Admiralty policy records located in record series ADM 1. Few have been selected over the years. All Royal Naval courts martial policy files dating from 2004 and selected for preservation are to be preserved in LCO 53 as, from this date, the Judge Advocate General's Office took over the responsibility for naval courts-martial proceedings. 11.15. Ministry of Defence (MoD) records disposal relating to courtsmartial - At the time of writing, no record disposal schedules were available at the Ministry of Defence web site. 12. Proposals for the future preservation at the National Archives of public records relating to military law and courts martial. 12.1. **Policy records** - Much of the policy records for military law and courts martial will have been generated by the Ministry of Defence but will also include some operational policy advice from the Judge Advocate General and the Judge Advocate of the Fleet. The following subjects are likely to be worthy of preservation by the National Archives. 12.1.1. All Defence Council (Ministry of Defence) records relating to the Military Justice System. These will be, by definition, high level policy discussions. 12.1.2. Ministry of Defence Strategic Defence Review work on military law and courts martial practices: e.g. working group papers. 12.1.3. Chief of Defence Staff and Chief of Staffs reviews of policy relating to military law and courts martial. 12.1.4. Policy papers of the Executive Committees of the respective Armed Services that discuss military law and courts martial practices. 12.1.5. All policy discussions of amendments to the Service Discipline Acts with notes on clauses. These may include Ministry of Defence working party and sub-committee records. 12.1.6. Policy discussions to combine the three Service Discipline Acts into a single Armed Services Discipline Act. Legal advice on drafting, notes on clauses and departmental consultation responses are to be preserved. 12.1.7. Policy discussions relating to the legal independence and impartiality of the Judge Advocate General and Judge Advocate of the Fleet and their respective staffs prior to 1996. 12.1.8. Policy on the separation of sentencing and disciplinary functions from the military chain of command to legally authorised independent bodies as a consequence of the Human Rights Act 1996 and any other legislation. 12.1.9. Policy discussions on suspensions of Army and Royal Air Force courts martial enacted by European Court of Human Rights rulings15. 12.1.10. Policy on reorganisation of the Military Justice System engendered by UK and European Union legislation or other legislation and events. In particular, policy on organisational changes to the Military Justice System introduced by the Armed Forces Act 1996 that were brought into force on the 1 April 1997 with the creation of an independent prosecuting authorities. 12.1.11. Policy discussions on the European Court of Human Rights decision to suspend and subsequently terminate all Royal Navy courts martial from December 2003 and to pass them over to the Judge Advocate General's Office from this date. Discussions relate to the ability of the directed the charges and, post-trial, became the confirming officer was not an independent one. The ECHR upheld his complaint and found that the system had the appearance of being unfair. However, the court did not go so far as to state that the system was, in fact, unfair. Nevertheless, the case did form the catalyst for some fairly radical changes. Judge Advocate of the Fleet to ensure independent and impartial trials whilst operating a uniformed Judge Advocates staff for the Royal Navy. 12.1.12. Policy discussions on the validity of Royal Navy courts martial decisions dating from 1996 in consideration of Human Rights legislation. 12.1.13. Policy discussions on the interaction of the Service Discipline Acts and the Human Rights Act 1996 and discussions of amendments to service administrative instructions required to comply with this legislation. 12.1.14. Policy on Sovereign Base Areas. 12.1.15. Policy discussions on Prosecutors and Defendants rights of appeal. 13.1.16. Any policy discussions or high-level consultations between the Ministry of Defence, the Judge Advocate General, the Judge Advocate of the Fleet, the Attorney General and the Crown Prosecution Service and the Ministry of Justice concerning military law and courts martial. 12.1.17. Judge Advocate General and Judge Advocate of the Fleet advice on points of law to the armed services legal branches and chains of command. 12.1.18. Policy on Martial Law - military government involving the suspension of ordinary local laws - in the theatre of war. This may include the first and second Iraq Wars (1991 to 1992 and 2003 to present respectively) and the War in the former Yugoslavia (1992 to 2001). Martial law may have been imposed by the United Nations but United Kingdom operational policy may be preserved where it exists. 12.1.19. Policy on sexual orientation in the armed services relating to disciplinary proceedings: especially relating to cases of dismissal that have been challenged under the European Court of Human Rights rulings. 12.1.20. Policy on the eventual revocation of the ban on the recruitment of homosexuals into the armed services in 2000 as a result of the European Court of Human Rights rulings: breach of articles 8 and 13 of the European Convention of Human Rights16. This includes any discussions from the late 1960's onwards on the decriminalisation of homosexuality in civilian life under the Sexual Offences Act 1967 and the legal contradictions posed by the continuing ban in the armed services. 12.1.21. Policy on Status of Forces Agreements (SOFA) that defines the legal position and jurisdiction of visiting military forces deployed overseas whether bilateral or multilateral. This will include the agreements themselves. 12.2. Most of the Ministry of Defence records matching the above criteria will be preserved in TNA record series WO 32 (War Office and successors: Registered Files (General Series)). Most of the Judge Advocate General's Office policy records will be captured in LCO 53 (War Office and Lord Chancellor's Office: Judge Advocate General's Office: Administration Files)17. To 2004, the policy records of the Judge Advocate of the Fleet will be preserved in ADM 1(Admiralty, and Ministry of Defence, Navy Department: Correspondence and Papers). Records dating from January 2004 will be preserved in LCO 53. 12.3. **Register case records** - These comprise summary records of cases created by the Judge Advocate General's Office and the Judge Advocate of the Fleet. Future selection of case files will be as follows. Judge Advocate General's Office case index system. | LCO 60 | Preserve permanently. Datasets to | |--------------------------------------|--------------------------------------| | be annually transferred to the | | | National Digital Archive of Datasets | | | | | | General | Courts | | Abroad (Army) registers. | | | WO 90 | Preserve | | discontinued. | | | | | | | | | General | Courts | | Home (Army) registers. | | | WO 92 | Preserve | | discontinued. | | | | | | District | Courts | | (Army) case records. | | | | | | WO 86 | Preserve | | discontinued. | | | | | | Royal Air Force General | | | and District Courts Martial | | | registers | | | AIR 21 | Preserve | | discontinued. | | | | | | | | | | | | | | | Standing | Civilian | | registers | | | ER 2 | Preserve | | discontinued. | | | | | | J 152 | Preserve permanently. | | Courts-martial Appeal | | | Court: Registers of Appeals | | | | | | | | | | | WO 71 12.4. **Case records** - The case records for courts martial created by the Judge Advocate General's Office and the Judge Advocate of the Fleet. Future selection of case files will be as follows. General Courts Martial (Army) case records Case files covering the following subjects are to be selected. WO 71 District Courts Martial (Army) case records AIR 18 - Murder and manslaughter: including those high profile cases committed on active service from Northern Ireland, the war in the former Yugoslavia and the first and second Iraqi wars. General Courts Martial (Royal Air Force) case records AIR 18 - Treason, sedition and riot. - Any trial where a custodial sentence of five years or more is imposed. District Courts Martial (Royal Air Force) case records ADM 156 Royal Navy Courts martial case records - Mutiny where a sentence of two years or more is imposed.18 Sovereign Base Area case records No series at present - Terrorist activities by armed forces personnel - usually against its own side - see treason. - Disciplinary action relating to the sexual orientation of a defendant. - Any case files where there were subsequently the hearings of appeals by the Courts Martial Appeal Court. - Cases relating to genocide, war crimes and crimes against humanity under the terms of the International Criminal Court Act 2001. Field General Courts Martial case records No series at present Representative selection of courts martial cases in the theatre of war to be preserved. Standing Civilian Court case files ER 1 Files to be selected must be an example of an offence brought before the court for the first time or be of national historical interest. J 135 Preserve permanently and ensure the original JAG case files are preserved Courts-Martial Appeal Court: Case Files 12.5. **Publications** - All publications from the Ministry of Defence 'Discipline and Military Law Reference Library' are to be preserved according to OSP36 on Publications and Grey Literature. A list of these publications is available at http://www.army.mod.uk/servingsoldier/termsofserv/discmillaw/ref/index.html . As the Ministry of Defence web site is permanently preserved, the above link and contained publications should also be preserved at the National Archives. 13. Implementation. The Ministry of Defence and HM Court Service (MoJ) - including the Office of the Judge Advocate General - historical review teams will carry out the implementation of this policy. All records disposal schedules created by the above bodies which refer to military law and courts martial administration will need to be amended according to this policy.

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Assessment of NSA activities in the Office of Rail Regulation Audit final report ## Version Control | Document issued by | : | |------------------------------------------------------------|--------------------| | Released by: | | | (the lead auditor) | | | Leif Funch | | | Authors: | | | (the audit team) | | | Antanas Dubikaitis, Adam Owsianik, Eleni Douvi, Leif Funch | | | Version: | 2.0 | | Date: | 26.11.2012 | | Type of document: | Report | | Status of document: | Audit final report | ## Amendment Records | Version | Date | Issuer | Distribution | |------------|------------|------------|--------------------| | 0.1 | 23.10.2012 | Leif Funch | Antanas Dubikaitis | | 1.0 | 29.10.2012 | Leif Funch | ORR | | 1.0 | 26.11.2012 | Leif Funch | Public | | | | | | ## References | N° | Description | Version | |---------------------------------------|--------------------------------------|----------------------------------------------| | Version 0.7 | | | | | | | | /1/ | NSA Cross-Audit Programme, Programme | | | manual, Pilot Audit Cycle (2011-2013) | | | | /2/ | | | | Audit protocols | | | | Version 13 | | | | Version 12 | /3/ | NSA Cross-audit protocols, Test phase 2011 - | | 2013, Guidance | | | | | | | | | | | ## 2 Executive Summary This Document Is The Audit Final Report From The Conduct Of The Audit To The Office Of Rail Regulation, Within The Framework Of The Nsa Cross-Audit Programme. According To The Cross-Audit Manual, The Audit Scope Covered The Following 3 Processes: - Safety certification/ safety authorisation; - Supervision of safety performance; - Authorisation for placing subsystems into service. For the conduct of the audit the following documents were followed: - The Audit Charter, version 1.1; - the cross-audit manual, version 07; - the audit protocols, version 13; - the guidance to the protocols, version 12. ## 2.1 Overall Summary Of The Conclusions Orr Appears Prepared To: - process applications regarding safety certification/ safety authorisation - process applications regarding authorisation for placing subsystems into service - perform supervision of safety performance. ORR has established procedures and extensive guidance for 1. Safety certification/safety authorization 2. Supervision of safety performance 3. Authorisation for placing subsystems in service This guidance is available both internal and for the applicants/industry. The implementation of procedures for all three activities was audited at ORR offices in London, York and Manchester. There was evidence that the procedures apply throughout the ORR organisation. ## 2.2 Main Observations 2.2.1 All Three Processes ORR has identified and described procedures to deliver all three activities and related tasks in a structured way. Relevant guidance on how to perform tasks is available for all relevant staff. The implementation of procedures for all three activities was audited at ORR offices in London, York and Manchester. There was evidence that the procedures are transparent and consistently applied throughout the organisation. Furthermore necessary resources, deadlines and milestones to deliver all three activities are in place and internal control is performed on whether these are respected. For performance of the activities experienced staff are used and the necessary competences to deliver tasks are identified and staff are trained. Strengths - ORR has produced (in conjunction with the industry) good and easily accessible guidance documents for both applicants and ORR staff dealing with the different processes. They provide detailed information of the requirements and the way the application will be subject to assessment. - ORR co-operates well with applicants working with them to find new ways of doing things and keeping them informed on future developments - ORR encourage stakeholders to adopt best practice - The processes are consistently applied throughout the organisation - ORR has performed several evaluations involving stakeholders - ORR has very detailed competence requirements for inspectors carrying out inspections and an SMS audit/inspection. Inspectors are trained on inspection and audit techniques and also on what constitutes an effective SMS. - ORR has developed a CMS that partially covers ORR staff undertaking SCA/SP. ORR could consider developing specific competency requirements for the different roles within the SCA/ SP/APS processes. This should include engineers involved in these processes. - ORR should consider having a consistent method of hand over when the account holder changes. The audit team said that there were 2 different cases of hand over: in one case there is overlapping of 4 months, whereas in another case there was no overlapping at all. The new account holder who assessed the application for the safety certificate renewal was not informed about the remedial actions the RU has done after an accident which took place some months before the application of the certificate renewal. ## 2.2.2 Safety Certification And Safety Authorisation Strengths - ORR has written procedures which applies in its organisation; - ORR has detailed manuals detailing what is expected of applicants and inspectors - ORR has published their internal assessment procedure on their website - The use of templates during the assessment process helps ORR to keep track of key decisions - The use of the "ROGS assessment check list" & "the assessment plan calculator" help the Assessment Managers to easy monitor deadlines and take immediate action when required and ORR should consider making these forms mandatory - Procedures are not up to date after the restructuring of ORR & change of IT systems, although there is a project running at the moment to review procedures ## 2.2.3 Supervision Strengths - ORR performs planned supervision and encouraging excellence by applying the Railway Management Maturity Model (RM3 model). This model is used to assess an organisation's ability to achieve excellence by controlling its safety risks. - ORR should consider clarifying and explaining in their manual how the results from the supervision activity are taken into account during the reassessment of a safety certificate/ safety authorisation - ORR has a system interface risk team as part of its planning team to ensure the interface risks are covered across the Network Rail and Transport Undertaking teams. ORR should review this process to see if it is adequately dealing with system safety issues. ORR has a System Interface risk team. That team's role is to look at risk at all interfaces, a key priority is looking at Level Crossing risk, but it does cover other interface risk areas. However ORR should consider evaluating whether, separating Network Rail and Transport undertakings work into discrete units, poses risks to supervising system safety issues and consider improving working arrangements on system safety issues between the different units in a systematic way. ## 2.2.4 Authorisation For Placing In Service Strengths - ORR expects industry to comply with a common format developed through amendment to the NB Rail RFU on the structure of the technical file which is a pan-European requirement. - ORR has developed a checklist to ensure that all the required documentation for On-board GSM- R authorizations has been submitted. - ORR should consider introducing procedures and decision making criteria for identifying a substantial risk in case of APIS for a non TSI conforming vehicle. - ORR should consider having a documented process to ensure continuous improvement of the APIS activities. - There is no process securing a link between post APS and Supervision activities, e.g. how to incorporate supervision of projects that have been awarded an authorization for placing in service. ORR commented here that the CSM SP is a key issue. Audits from engineering point of view and from SMS point of view should be part of their strategy. ## 3 Cross-Audit Process 3.1 Cross-Audit Process & Resources The procedures of the Cross-audit Programme manual have been followed during the whole audit process. The duration of the audit is October 2011 - November 2012. The key steps of the procedure are given here: - The request for establishment of communication was sent on 13/01/2012; - The NSA appointed the contact person on 18/01/2012; - The confirmation letter to conduct the audit was sent on 19/10/2011; - The request for submission of documents was made on 29/11/2011; - Documents were submitted on 19/12/2011; The Kick-off meeting took place on 21/05/2012. The on-site audit lasted 4 days: 18/06/2012 - 21/06/2012. The on-site audit activities included conduct of interviews, review of selected process documentation and cases related to scope of the audit. Additional meetings with the auditee and internal audit meetings were carried out. Meetings with the auditee included entry and closing meeting as well as ad hoc meetings for briefing of the auditee about the progress of the audit. During the 4 days of the on-site audit audits was carried out in the following departments: - Railway Safety - Railway Planning & Performance and at the following locations: - ORR Head Office, London - ORR Office, Manchester - ORR Office, York All interviews but one took place as planned. One interview planed at the ORR office in Manchester was cancelled due to absence of the person planned to be interviewed. Conducted interviews are listed in annex IV. For the entry meeting and closing meeting the following documents were created: - Agenda for the entry meeting; - Agenda for the closing meeting; - Minutes for the entry meeting; - Minutes for the closing meeting; ## 3.2 Cross-Audit Scope & Objectives The audit took place within the pilot audit cycle of the NSA Cross-audit Programme. The objectives of the audit, as described in the Cross-audit Charter is to: - evaluate delivery by NSAs of their duties and responsibilities set out in Directives 2004/49/EC and 2008/57/EC; - exchange knowledge and good practice on NSA processes to facilitate the harmonisation of decision-making criteria as foreseen by Article 17.4 of Directive 2004/49/EC; - identify issues faced by the NSA when applying the requirements of the EU legislation, and possible solutions to keep meeting the requirements of Directive 2004/49/EC. ## The Scope Of The Audit Is To Assess 3 Processes Against The Audit Protocols: - Safety certification/ safety authorisation; - Supervision of safety performance; - Authorisation for placing subsystems in service. The audit protocols were used to assess the three processes. The protocols are divided into the three audited activities. Each activity is split into a number of stages, which cover the process from start to finish. The protocols have three key elements: - The requirement identifiers which are the individual requirements for each activity; - A status for each requirement identifier, which indicates at which degree there is sufficient evidence that the requirement identifier is fulfilled; - A comment for each requirement identifier which is a short summary of key information to support its status. Each set of protocols is split in 5 levels: - Purpose achieved (the desired output is delivered without having identify desired inputs/ outputs, resource requirements, etc); - Performance managed (requirements of inputs/ outputs are identified and reviewed, activities are planned and performance is monitored, responsibilities are defined, resources are identified and are made available); - Process established (a standard process is defined and implemented, the required competencies are identified, personnel performing process is competent, process efficiency is monitored); - Process controlled (measurement results are used to ensure that process performance supports defined business goals); - Process improved (process improvement opportunities are identified based on innovation and good practice). ## 4 Result Of The Cross Audit 4.1 Safety Certification And Safety Authorisation ORR's procedure for safety certification/safety authorization is in line with the steps described in the safety certification/safety authorization protocol. ORR: - has a system to receive applications for safety certification and safety authorisation; - undertakes the first screen of applications and checks if all the required information is included in the application; - undertakes the initial assessment to determine whether they are deficiencies in the content of the application serious enough for it, not to be worth spending further time on; - undertakes the formal assessment to determine compliance against the assessment criteria; - records and confirms its final decision. The objectives of the assessment are: a) to determine whether the SMS meets the requirements of the national legislation and demonstrates the applicant's organizational capability to operate safely; b) to identify points for later inspection after issue of the safety certificate/ safety authorization, during the supervision. Receive application for safety certification or safety authorisation and first screen of application ORR provides guidance to the applicants to understand the requirements for a safety certification/safety authorization application in many ways e.g.: - a number of documents are available on the web site: o the relevant legislation and guidance to the requirements of the legislation "A guide to ROGS"; o the "assessment criteria for safety certificate and authorization applications for mainline railways". This manual describes each criterion and a summary with a list of evidence the applicant is expected to cover; o the "HM Railway Inspectorate safety certificate and authorization assessment manual" is available which provides detailed information on the assessment process. - the Account Holder informs the applicant on what is expected from the application before the submission of the application. In the cases of a certificate/ authorisation renewal there was evidence that Account Holders had explained to the applicant the changes in the assessment criteria since the previous application. - during the assessment in case of identified deficiencies the applicant is informed as soon as possible: the lead assessor documents to the applicant what information is required, by making reference to the relevant assessment criterion. - after the formal assessment a meeting is organized with the applicant where ORR specifies with the applicant what is required by him, agrees with the applicant on what further actions are required and specifies the timeframe for the compliance. All decisions are recorded in COIN/Mosaic. The ORR procedure for safety certification/safety authorization assessment sets deadlines for the intermediate steps of the assessment process. The ORR manual foresees "the assessment plan calculator" and the "assessment checklist", which both help the lead assessor and the Assessment Manager (Account Manager) to monitor the progress of the assessment. ORR could not provide evidence that both of these practices are continuously followed in all cases; the "assessment checklist" according to the manual is not mandatory. There are other means with which the lead assessor informs the Account Manager on the progress of the applications: the monthly meetings. In addition, the audit team was informed that the lead assessor regularly briefs the Account Manager on the progress of an assessment during informal discussions. ORR should consider making the use of the template "assessment checklist" obligatory. This will enable the Account Manager and ORR organisation better to follow the assessment process of safety certificates/safety authorisations. At the time of the audit some roles and responsibilities which are mentioned in the assessment manual do not correspond to the current ORR organogram (e.g. Head of Inspection). When updating the manual ORR should ensure that it reflects the actual structure of the organisation. This will define clear roles and responsibilities and avoid confusions during the implementation of the manual. Initial assessment of the application for deciding on the sufficiency of the application Currently ORR uses the 3rd version of the "HM Railway Inspectorate safety certificate and authorization assessment manual", the first version was published in 2006. ORR's assessment criteria are in line with Regulations 1158/2010 & 1169/2010. ORR revised the assessment criteria after these regulations came into force in 2011. The Account Manager is responsible for managing the application. The Account Manager knows the date of an application by monitoring the expiry dates of the safety certificates/ safety authorisations and by information from the Account Holder during his/her inspections and his/her routine contacts with the RU/IMs. When an application is submitted the Account Manager appoints the lead assessor who will undertake the assessment. The lead assessor is responsible for managing all the steps of the assessment. The role of the lead assessor is usually combined with the role of the Account Holder for the specific RU or IM. The ORR assessment manual makes distinction between major and minor deficiencies, although in the cases which were reviewed there was no such distinction. Formal assessment of the application ORR is independent in its decisions of RU/IM/ affected parties. ORR provides the opportunity to the affected parties to make representation to ORR after the submission of an application. The lead assessor collects all the points raised by the affected parties and takes them into account for the assessment. ORR applications for safety certificates part A and B are in line with Regulation 653/2007. Part A and Part B are assessed and issued together. The assessment of applications for part B certificates is limited to annex III of Commission Regulation 1158/2010. ORR liaises with the NSA Channel Tunnel for part B safety certificates cases. The interviewees who undertake safety certification/safety authorization assessment have a wide experience in Safety Management Systems, Occupational Health and Safety, auditing experience. Furthermore, in some cases ORR assigns experts who undertake the formal assessment of particular topics of the SMS: for example risk assessment expert, issues related to interoperability, level crossings (this was the case in the renewal of Network Rail safety authorization). The lead assessors who were interviewed knew the latest version of the assessment procedure, have used the templates during the assessment and have participated in a training session in June 2011, after the latest changes of the assessment criteria. ORR performs quality checks at the end of the assessment. ORR very much relies on the detailed assessment manual, the guidance with the assessment criteria and the competence of the staff undertaking assessment of safety certification/safety authorization applications. The final check includes a review of the entire application, the quality check of the decisions taken in each step and a check if the process has been followed. In one case, a safety certificate which was the first assessment for the lead assessor, there was evidence of quality checks undertaken by the Account Manager at the end of each step of the assessment. Although the national legislation gives the possibility for ORR to reset the 4 months period after the receipt of supplementary information, it is ORR's policy to meet the four-month deadline (from the end of the period allowed for representations) without resetting the clock. In the cases which were reviewed by the audit team ORR's final decision was within 4 months of receipt of the application. Recording and confirmation of final decision All decisions taken by ORR at the end of each step of the assessment are recorded in COIN/Mosaic (templates: F1S1, F1S2, F2). Furthermore, these templates are also available inside the folder of the application in hard copy. ORR justifies its decisions based on factual evidence from the information included in the application. The lead assessor links each decision to the relevant assessment criterion to ensure applicants understand the reasons for decisions, providing clear reasons why it is not fulfilled and explaining to the applicant what additional information is required. ORR assessment is undertaken at management system level, taking into account the risks, the character and the extent of the operation. ORR issues safety certificates using the format of the Commission Regulation (EC) No 653/2007. The validity of the safety certificates do not exceed 5 years, the type and extend of operation is clearly mentioned and a unique EU Identification Number is given. The safety certificates are notified to ERADIS database and the safety authorisations to ERA Safety Unit. ORR has replaced all safety certificates which were issued according to Directive 2001/14/EC. As part of the formal assessment the lead assessor specifies the areas for follow up inspection after issue of the safety certificate/ safety authorisation. These issues are taken into account for the implementation of the supervision plan. ORR decisions are subject to judicial review. There is a process for appeals on ORR decisions which is made available to the applicants. ORR is going to act as certification body for the ECM certificates. For that, some preparation has already been made: - A number of documents are available on its web site: o The updated guidance to ROGS, o A summary guide for applicants, o The assessment criteria and guidance manual, o The engineering plans for ECM certificates, o The application form. - The "consultation group for entities in charge of maintenance" workshop has been organized with the sector, - A trial assessment has been organised, - At the moment the management of ORR is working to ensure that ORR will have the required resources. A training programme will be organised for the relevant staff. ORR has an internal auditable procedure related to safety certification/safety authorization with clear steps, the "HM Railway Inspectorate safety certificate and authorization assessment manual" (first published version was in 2006). The procedure covers the ORR policy and principles for assessing an application for: - Issuing/ amending/ renew/ revoke a safety certificate/ safety authorisation, - the quality monitoring and improvement arrangements of the assessment process, - the performance standards, the roles/ responsibilities, - the assessment process in detail, - the process assurance and the final decision, - the notification of the final decision, - rules for exceptions, - the procedure for appeals of ORR decisions ## 4.2 Supervision Setting up the supervision activity ORR has developed a strategy (ORR business plan) and plan (annual work plan) for taking forward the supervision activities for checking the safety certificate/authorisation, that the sub-systems are operated and maintained in accordance with the essential requirements including monitoring, promoting, enforcing and developing the regulatory framework. ORR business plan and annual work plan shows how ORR manages its supervision activities. ORR aim to achieve excellence in safety culture and management because it is an essential element of their strategy as they seek to ensure a zero tolerance to industrycaused passenger, workforce and public fatalities, with an ever decreasing overall safety risk. There is also an increased emphasis on occupational health management to ensure the industry's approach demonstrates good practice and also contributes to increased efficiency. As a key driver of the supervision strategy ORR analyses risks across the GB Railways and set down areas of priority risk in ORR's strategy for health and safety risks [http://www.rail-reg.gov.uk/upload/pdf/orr-safetyrisk-strategy.pdf]. The supervision strategy and plan also takes into account existing information from inspection/audit/certification/authorisation and supervising the interoperability systems and other sources such as incidents and accidents investigations, NIB (Rail Accident Investigation Branch (RAIB)) recommendations, Rail Safety and Standards Board (RSSB) recommendations and the outcomes of their risk model and complaints from the duty holders. The supervision plan is mainly driven through the elements of the SMS i.e. over 5 years ORR plans to inspect all SMS elements. ORR plans its activities using information collected from the safety certification/authorisation assessment process, but not from the authorisation to place into service processes. ORR should consider incorporating supervision of projects that have been awarded an authorisation for placing in service. ORR has sufficient resources and allocated staff to undertake the supervision tasks and activities. Usually, there are about 2 - 4 inspections/audits of each duty holder per year. There is a significant resource difference between inspections and audits. ORR supervision activities are prioritised using 3 priority levels (low, medium, high). These levels are established using a risk based approach. ORR also has established internal procedures for agreement within ORR for the supervision plan. ORR has discussed and agreed the priorities with staff involved in the safety certification/authorization assessment, authorisation to place into service and supervision activities to ensure that all key information has been taken into account. ORR has a method (annual work plan and internal procedures) for deciding how the supervision activity will be developed, including the estimation of required resources. ORR uses its limited resources effectively, so it takes into account the risks of the operators on the network against the available staff, their time and budget. Usually every ORR inspector has about 100 days for supervision activities. There is a time management system, when the supervision plan is planned. Thus, every audit/inspection is defined for a time period and how many working days inspector needs to do the audit/inspection. Inspectors use rolling stock, infrastructure and etc. experts from other ORR departments. Mostly, one inspector is responsible for 2 - 4 duty holders. During the inspection/audit normally there are 1-2 inspectors. ORR ensures that the supervision plan includes the identification of key risk activities (9 steps program in business plan). ORR has information from the inspections/audits of the RUs/IMs safety management systems (RM3 model, inspection/audit reports and annual strength & weakness reports) which highlights whether they have any concerns on how they are managing the safety risks. ORR ensures that the supervision activity sets out how the overview of the effectiveness of the regulatory framework will be delivered (business plan). ORR: - monitors through inspections/audits, - promotes through guidance/manuals/workshops, - enforces through prohibitions notices/improvement notices/prosecutions and - develops the Regulatory framework through reviews and recommendations to the Member State (Department for Transport) on how the regulatory framework can be reviewed. ORR has an internal method which sets out an estimate of the number of supervision activities in the supervision plan. ORR identifies the numbers of activities and what they relate to (e.g. inspections/audits/NIB recommendations/enforcement/follow up checks). ORR also relates each supervision activity to their key risk activities. ORR has plans to co-ordinate with other competent authorities such as RSSB and RAIB, the UK National Investigation Body. However, ORR has not developed their co-operation arrangements with other NSAs (except for Channel Tunnel Safety Authority). This cooperation could relate to discussing Part B safety certificates with an NSA who issued a Part A safety certificates and understanding any concerns/issues that have been identified by that NSA (e.g. Eurostar, DB Schenker). ORR ensures feedback for reviewing the supervision plan. ORR review the supervision plan and take into account any changes that may arise following their supervision activities (e.g. complaints/investigations). Every year ORR looks at RU/IM SMS, ORR business plan, all information regarding particular RU/IM and decides what to audit/inspect during the annual year. ORR has developed a structured and auditable process for the setting up and agreeing the plan and priorities. ORR has a clear and structured set of processes applied by all the staff. The decision making is consistent, transparent and targeted. The process should be consistently applied throughout the organisation. The assessment process should be periodically internally reviewed to ensure its continued effectiveness and efficiency. This should also cover whether the process can be followed and ORR undertakes checks to ensure that staff are following it. However, so far the supervision process has not been periodically internally reviewed. Only a line management quality check is done to ensure that staff are following the assessment process. Thus, ORR should consider introducing a formal procedure for reviewing the supervision activities. This notwithstanding ORR is currently developing a quality control programme for supervision activities in their Network Rail unit. Communicating and delivering the plan ORR delivers the supervision activity according to the plan. ORR has internal monitoring procedures for ensuring that the supervision activities identified are implemented. There could be changes in the supervision plan because of limited time caused by other responsibilities: investigation, complaint etc. If the supervision activity is not implemented, it is postponed to the next year's supervision plan with higher priority. ORR does actually take the action it said it will do, particularly in ensuring that the safety performance of the railway system is maintained. Mostly the supervision plan is delivered as planned. ORR is independent in its organisation, legal structure and decision making from the RU, IM and procurement entity. ORR is free to carry out all its tasks and is granted access to all necessary documents, premises, installations and equipment of RUs/IMs (Health & Safety at Work etc Act 1974). Every ORR inspector has a warrant. ORR decisions are subject to judicial review (The Employment Tribunals, Courts). ORR has allocated staff and resources to undertake the supervision task. ORR undertakes enforcement activity with clear justifiable reasons. ORR has a system (Enforcement Management Model) which determines the decision to take any enforcement action such as enforcement notice and/or prosecutions (ranging from the provision of advice to enforcement notices). Generally if there is an issue, there is dialogue with the duty holder. Mostly inspectors issues improvement notices. Inspectors issue improvement notices regarding compliance with the law provisions (e.g. ROGS). Improvement notices or other enforcement notice usually expire after 3 months. ORR has decision making criteria explaining how it deals with non-compliances which are publicly available. ORR has information made available to both RUs/IMs on what they can expect following findings of noncompliances and what the time frame should be. ORR expectations and non-compliances are discussed with the duty holder. The inspector decides the time frame for remedial actions, which is a minimum of 3 weeks, maximum - unlimited. Inspector can extend the improvement notice, if there are justified reasons. If the duty holder fails to comply, then the inspector has to prosecute. Details of non-compliances are written in improvement notices. ORR undertakes enforcement activity in line with published decision making criteria, including transparency criteria. ORR has a system for making decisions to take any enforcement action, including transparent criteria. In particular any proposed enforcement action is proportionate to the risk. Stakeholders are clear of what is required of them and what they can expect from ORR. ORR has published and made freely available clear and transparent information on what a RU and IM need to do in relation to an identified risks or safety concern. ORR also keeps records of their advice and requirements to RUs/IMs. ORR has a structured system for recording and reviewing the supervision activities, how these relate to the risks of the operation and ensuring that safety performance is maintained. ORR has a document management system where they record the supervision activities (Coin, Mosaic). ORR records communications, meetings, reviews and corrective actions. ORR keeps records of how it communicated with the RUs/IMs (on Coin, Mosaic). In particular, how ORR communicated any necessary and specific corrective action to the RU/IM. ORR has regular 3 - 4 liaison meetings per year with each duty holder. The quality of ORR action is monitored and reviewed. There is a line management form of quality check of the work/decisions undertaken. This is structured but relates to checking only the intermediate outputs instead of monitoring the process as such. Also there was a quality check (peer review) of issued improvement notices by inspectors to duty holders. There are means for applicants to appeal against any decision made by ORR and this is communicated to the RU/IM. ORR appeals process is a national legal requirement. ORR informs the RU/IM what subsequent action is taken in relation to the appeal and this is communicated. ORR uses competent staff. The tasks are undertaken by suitably competent persons with the necessary skills, experience, knowledge and training. The quality of the outputs & decisions are monitored at key stages. There is a line management form of quality check of the supervision activity and this is followed through from identification of the safety risk/concern through to the necessary action undertaken. There is guidance for staff on the delivery of the plan. ORR demonstrated that guidance and/or work instructions have been provided to all staff undertaking the supervision activities of what is required of them. ORR promotes and explains the regulatory framework. ORR has their system for promoting the regulatory framework in cooperation with the Department for Transport. ORR provides communication to stakeholders on the wider objectives of supervision. ORR communicates the objectives of their supervision activity to RUs/IMs i.e. what they are trying to achieve and how. ORR does not undertake Assessment Body for CSM on risk assessment or DeBo (assessing NNTRs for Interoperability). Thus, there is no potential for a conflict of interest. However, ORR undertakes other activity which is not part of the Safety Directive - ORR is the Regulatory body, but decisions within ORR are made separately. Outcomes of the supervision plan ORR shares results with the RU/IM (verbally or in writing) regarding the effectiveness of their SMS. ORR informs RUs/IMs of its review of their SMS. ORR is encouraging RUs/IMS to adopt best practice and achieve excellence by applying the RM3 model (management maturity model, good practice). ORR could also consider indicating SMS criteria requirements in ORR RM3 inspection/audit reports to duty holders in order to clarify cross reference between RM3 and SMS. Sufficient resources are available and used. ORR has allocated staff to undertake the task and this is part of their job description. ORR deals with areas of non-compliance using its decision making criteria after the RU/IM has developed and implemented action plans to remedy non-compliances. ORR also monitors the corrective actions that the RU/IM has undertaken. In particular, any necessary changes to the RUs/IMs SMS (RM3 audit/inspection). ORR also does follow up inspections after RU/IM implement action plans to remedy noncompliances. Duty holders are informed that they complied with the requirements of improvement notices. All non-compliances of RU/IM SMS are addressed immediately in the particular SMS audit. ORR has an overview of overall safety performance in the Member State. ORR monitors the overall safety performance of the rail network. The quality of the outputs & decisions are monitored at key stages. There is a line management form of quality check of the supervision activity and this includes ensuring that identification of a safety risk/concern is followed through to checking that necessary action is undertaken. Reviewing supervision activities ORR assesses the suitability and sufficiency of the supervision activities. ORR reviews and revises their supervision activities in particular to ensure that action is targeted at the areas which create the most risks. Sufficient resources are available and used. ORR has allocated staff to undertake the task and this is part of their job. ORR also has sufficient resources to undertake the tasks. ORR has a system for checking the outcomes of each of the activities i.e. whether the activities have had the desired result in maintaining the safety performance. There is an internal process for making changes based on the results. The outcomes of each of the supervision activities are reported in the audit/inspection reports and in the annual strength & weakness reports of supervision activities of particular RU/IM. There is a process for ORR to make any necessary recommendations to the Member State to overcome any deficiencies in the regulatory framework. ORR communicates to the MS any problems that they have found with the current regulatory framework and what improvements, if any, should be made. The Department for Transport is responsible for drafting national legislation, but ORR is always involved in consultation processes. Information shared between NSAs should be taken into account. ORR could not provide evidence of how they systematically take into account any information from other NSAs, in their supervision activities including revising the types of activities if risks have increased. There is a means by which relevant information is taken on from stakeholders. ORR systematically takes into account any complaint from RUs/IMs or any risks/problems identified by them if they can adversely affect the safety performance of the rail system. Stakeholders concerns are addressed during the supervision. Also there is an Advisory group established between ORR and the stakeholders which meets twice per year. The quality of ORR action is monitored and reviewed. There is a line management form of quality check of the process review and this includes ensuring that identification of a concern is followed through to checking that necessary action is undertaken. Review should be undertaken of all supervision activities, including both planned and unplanned to assess whether resources are correctly allocated. ORR has a clear and structured process for how it undertakes the review of all its activities, including taking into account any risks identified during the supervision activity. ORR also provided evidence of how they allocate resources if there are additional areas which require effort. Recommendations and/or lessons learned from accidents are taken into account and implemented in the revised supervision plan. ORR takes into account recommendations and lessons learned from accidents both from recommendations from NIB and notifications from RUs/IMs. Linking supervision plan to the reassessment The results from the supervision activity should be linked to the reassessment of safety certificates/ the issuing of authorisations and the prioritisation of those activities. ORR does not take into account any information on the safety performance of the RUs/IMs into any amendment or replacement of safety certificates/authorisations. ORR does the reassessment only by checking the SMS through the assessment criteria (EU regulation 1158/2010 and 1169/2010). All results from the supervision activities are dealt at that time of the audit i.e. then the reassessment is done, SMS is completely checked in supervision and all necessary changes in the SMS are implemented during audit of SMS. There is a means of communication between the staff responsible for supervision and those for assessment. ORR staff involved in the different activities share key information which could affect the decisions in the activities. In most cases, the same person is responsible for assessment of SCA and taking the SP activities. However, ORR should consider having a consistent method of hand over when the account holder changes. There were 2 different cases of hand over observed: in one case there was overlapping of 4 months, whereas in another case there was no overlapping at all. The new account holder who assessed the application for the safety certificate renewal was not informed by previous account holder about the remedial actions the RU has done after an accident which took place some months before the application of the certificate renewal. There is a process for recording communications, meetings, reviews and corrective actions. ORR has records of how it managed communications with the RUs/IMs. In particular, how ORR communicated any necessary and specific corrective action. Corrective actions are agreed and closed out. ORR ensures that the corrective actions that the RU/IM has been asked to undertake have been closed out. ORR should co-operate and co-ordinate with other NSAs, where appropriate. ORR is participating at the NSAs Network meetings, ERA working groups and ILGGRI (informal cooperation of NSAs).However, ORR should consider developing co-operation arrangements with other NSAs in terms of supervision activities. This should cover discussing Part B certificates with the relevant Part A-issuing NSA and understanding any concerns/issues that have been identified by that NSA. It should also cover issues where there are breaches of safety requirements and how any action will be co-ordinated across a number of NSAs or other competent authorities (i.e. those responsible for the health and safety of those who work in the rail sector). The quality of ORR action is monitored and reviewed. There is a quality check of how successfully supervision activity is linked to reassessment. , although this could be better explained in the ORR manual. There is a process for applicants appealing against any decision made by ORR and this is communicated to the RU/IM. ORR has an appeal process which is a national legal requirement. ORR informs the RU/IM, what subsequent action was taken in relation to the appeal and how each step is communicated. ## 4.3 Authorisation For Placing Subsystems In Service The Department for Transport (Department for Transport) is the policy lead for interoperability in the UK. The Interoperability and Standards Team parallels this role for ORR. Authorisation for placing in service is regulated in the UK by the Railways (Interoperability) Regulations 2011 No. 3066 (Department for Transport 00416) (RIR). In the case of major upgrades and renewals it is the role of Department for Transport to decide if and when an authorisation is needed, Department for Transport can consult ORR in this process. Due to different reasons the number of application for authorisation for both infrastructure subsystems and for vehicles are relatively low. ORR has been given the powers to enforce the RIR and it is Railway Planning and Performance engineers - working with assessing applications for authorisation. The audit did not include activities outside ORR, thus activities under the responsibility of Department for Transport have not been assessed and is not included in this report. ORR published the draft of National Legal Framework to facilitate applicants to know about the rules in UK ORR takes part in BeNeFLuCh Geographical Interest Group works whose task is categorization of the national technical rules applicable in APS process. Receive complete application from the applicant for an authorisation to place into service ORR has a policy for early involvement in project for authorisation to place into service, this is to avoid surprises and delays caused by the approval process. In the cases reviewed during the audit there was extensive evidence of communication with both the applicant and the notified body (NoBo) in question prior to the actual application. ORR provides guidance for the applicants in published guidance and in direct communication in the early stages of the project. The persons involved in the assessment of the applications have had internal training and extensive guidance is available. Screen of application for authorisation As a tool to secure a full and uniform level of screening of the applications ORR has developed a checklist for the entire process (Recommendation pro forma for authorisation for placing in service (APIS)). To support this one of the interviewees had developed a checklist to ensure that all the required documentation for On-board GSM-R authorizations has been submitted. The different authorisation possibilities are defined in RIR, but only a few have been in use until now. All documentation and decisions are registered (COIN/Mosaic). In the reviewed cases, ORR had been involved at an early stage, securing the application was complete at the time of applying. This, in fact, also provided a very smooth and fast assessment of the applications. Authorisation to place into service ORR is independent in its decision making from the contracting entity. This is supported both in the legal status of ORR and the organisation of the authorisation process. Due to the early involvement the contacting entity is readily informed if further information is needed. In all the cases reviewed, the decisions taken by ORR were well-argued and proportional. The time frame for assessment counted from the time of receiving the application to the time for granting the authorisation for placing in service was from 1 day to 4 weeks in the reviewed cases. Generally it only takes a few days, indicating that even though the assessors were busy the allocated resources for this task seemed sufficient. In all the cases reviewed there was evidence of applying the rules from TSI's and NNTR using the pro forma. There were not, in any of the reviewed cases, signs of demands outside these rules. ORR does not act as an assessment body for CSM on risk assessment or designated body for assessing notified national technical rules (NNTR). To facilitate the application and authorisation process ORR has, in association with the industry, encouraged the development of the use of generic technical files through NB Rail and the RFU process. Additional authorisations to place vehicles into service RIR contains rules applicable for additional authorisation, but there were not any examples of an application for this. ORR could not demonstrate that criteria defining a substantial safety risk has been identified. Recording and confirmation to the applicant of the final decision on authorisation to place into service The process for finalizing the authorisation for placing in service is documented and followed as intended in all the reviewed cases. This includes the notification to the National Vehicle Register, which is performed by the administrative staff. Issues that are relevant for supervision activities are identified, but there was no evidence of process or examples that this actually takes place. The quality of the output and decisions are monitored, but the process of authorisation for placing in service is not assessed and evaluated in a systematic way. ## 4.4 Conclusions On The Business Level ORR has established a Competence Management System (CMS). The CMS includes required competences for SCA/SP activities, but not for APS. The competence criteria are taken into account for the selection and recruitment of the ORR staff. There are training plans in place for all staff and internal training is established e.g. RM3, SMS criteria. The CMS includes annual self-assessment review for all staff. ORR has an IT system for self-assessment questionnaire (good practice). ORR has very detailed competence requirements for inspectors carrying out inspections. So far, there is not a process for the ORR to verify the effectiveness of the CMS. ORR has established project activities together with the industry e.g. staff from Network Rail come to the ORR for 5 months. When they have accomplished the project, they go back to Network rail. This works also the other way around. The ORR does not undertake Assessment Body for CSM on risk assessment or DeBo (assessing NNTRs for Interoperability). Thus, there is no potential for a conflict of interest. However, the ORR undertakes other activity which is not part of the Safety Directive - the ORR is the Regulatory body, but decisions within the ORR are made separately. In matters concerning regulation ORR Interoperability and Standards Team has a close cooperation with Department for Transport, who represent the Member State regarding interoperability. This cooperation ensuresthat if any non-compliance with essential requirements should be revealed the Commission would be notified. The three processes should be periodically internally reviewed to ensure their continued effectiveness and efficiency. This should also cover whether the process can be followed and that ORR undertakes checks to ensure that staff are following it. However, so far the processes have not been periodically internally reviewed. Nevertheless, ORR has taken measures to ensure that the 3 processes are applied consistently within its organisation: Line management quality checks are undertaken to ensure that staff are following the assessment process. There have been peer reviews conducted, but there is no formal written procedure for internal audit or other form of high level evaluation of these three processes. This notwithstanding the ORR is currently developing a quality control programme for supervision activities in their Network Rail unit. ORR is working closely with Department for Transport. The Department for Transport drafts laws, but ORR is consulted. ORR does reviews of the regulatory framework to remove unnecessary administrative burdens. ORR has consultations with the stakeholders to secure that the legal requirements are reasonable and necessary. Mostly impact assessment is done and there should be justified reasons whether legal requirements are necessary. An advisory group has been established and meets twice per year (ORR and stakeholders). Supervision regularly discussed within the ORR e.g. RM3 findings are reported to the ORR board. Also, there is a Safety regulatory committee. ORR has a long term vision settled in the strategy that nobody gets killed and health problems and injuries are continuously reduced within the railway. ORR wants industry to be excellent in the management of safety risks and the management of business. For this purpose ORR has developed the RM3 model to assess management capability in the industry. The model is used to evaluate the performance of a company compared to a set of criteria tailored specifically for the railways. ## 5 Final Conclusion Based On Factual Evidence Which Was Made Available During The On-Site Audit The Audit Team Reaches The Following Conclusion: Orr Is Carrying Out Its Tasks Required By The Article 16.2 Of The Safety Directive In An Open, Nondiscriminatory And Transparent Way. In Particular Orr Has A Range Of Procedures And Guidance In Place To Deliver The Tasks Of A Nsa Set Out In Article 16.2 Of The Safety Directive. This Audit Report Does Not Provide A Maturity Level Of Each Audited Process As Requested In The Cross-Audit Manual Version 07. The Audit Team Believes That A Cross-Audit Is A Learning Process For Both The Auditee And The Audit Team And What Is Most Important Is To Highlight The Strengths Of The Audited Nsa And The Scope For Improvement Items, Which Will Be Used By The Auditee For Further Improvement Of Its Processes. 6 Confidentiality Statement The intermediate audit report has been developed for the purpose of the audit of ORR. All the included information should remain confidential within the audit team and the recipients of the report. For this reason, after its revision by the APM, the intermediate audit report is disclosed to the audited contact person. Then, the audited contact person shall submit the report to the recipients of the distribution list, provided by the audited NSA [annex VI]. ## Table Of Annexes | Number | Description of the Annexes | |-----------|-----------------------------------------------------------------------------| | I | List of attendants in the kick-off meeting, entry meeting & closing meeting | | II | Audit plan | | III | Completed cross-audit protocols | | IV | List of conducted interviews | | V | Communication of the audit interim report | | VI | Table with abbreviations | | | | ## Annex I: List Of Attendants The attendants at the Kick-off meeting are listed here [KOM] The attendants at the Entry meeting are listed here [Entry] The attendants at the closing meeting are listed here [Closing] The audit team members are listed here [Audit team] ## Annex Ii: Audit Plan You can see the audit plan here [**Audit plan**] ## Annex Iv: List Of Conducted Interviews | Item | Location | Interviewee | Audit team | Date | |--------------------------------------------------|-------------|----------------|---------------|------------| | Safety certification/authorisation, processes | London | ORR 1 | A | 18/06/2012 | | Authorisation for placing in service, processes | London | ORR 2 | A1 | 18/06/2012 | | Case: Safety authorisation, Infrastructure | | | | | | manager | | | | | | London | ORR 3 | A2 | 18/06/2012 | | | Case: Safety certification, railway undertaking, | | | | | | freight | | | | | | York | ORR 4 | A1 | 19/06/2012 | | | Case: Supervision, Infrastructure manager | York | ORR 5 | A1 | 19/06/2012 | | Case: Authorisation for placing in service | York | ORR 6 | A1 | 19/06/2012 | | Case: Authorisation for placing in service | York | ORR 7 | A1 | 19/06/2012 | | Case: Safety certification and supervision, | | | | | | railway undertaking | | | | | | Manchest | | | | | | er | | | | | | ORR 8 | A2 | 19/06/2012 | | | | Competencies | London | ORR 9 | A | 20/06/2012 | | Case: Safety certification and supervision, | | | | | | railway undertaking | | | | | | London | ORR 10 | A2 | 20/06/2012 | | | Case: Safety certification and supervision, | | | | | | railway undertaking | | | | | | London | ORR 11 | A2 | 20/06/2012 | | | Case: Supervision, Infrastructure manager | London | ORR 12 | A1 | 20/06/2012 | | Case: Supervision, Infrastructure manager | London | ORR 13 | A1 | 20/06/2012 | | Legal frame work | London | ORR 14 (& 12) | A | 21/06/2012 | A: Adam Owsianik, Antanas Dubikaitis, Eleni Douvi, Leif Funch A1: Adam Owsianik, Leif Funch A2: Antanas Dubikaitis, Eleni Douvi Persons interviewed [Interviewee] ## Annex Vi: Terms/ Abbreviations | Abbreviation | Meaning | |-----------------|-----------------------------------------------| | CSM | Common Safety Method(s) | | CST | Common Safety Targets | | EC | European Community | | ERA | European Railway Agency | | IM | Infrastructure Manager(s) | | IOPD | Interoperability Directive | | ISA | Independent Safety Authority | | NoBo | Notified Body | | DeBo | Designated Body | | NSA | National Safety Authority | | RU | Railway Undertaking(s) | | SD | Railway Safety Directive | | SU | Safety Unit of the European Railway Agency | | TSI | Technical Specifications for Interoperability |

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| Department Family | Entity | Date Paid | Expense Type | Expense Area | Supplier | Transaction Reference | |---------------------------------------|---------------------------------------|------------------------------------|-------------------------------|--------------------------------------------|------------|-------------------------| | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 23/03/2018 BALANCE SHEET | IT ADDITIONS | AMICA TECHNOLOGY LTD | 1150239 | 26,534.14 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 14/03/2018 BALANCE SHEET | STOCKS FINISHED GOODS | BAYER PLC | 1144008 | 104,880.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 27/03/2018 BALANCE SHEET | STOCKS FINISHED GOODS | BAYER PLC | 1151252 | 104,880.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 23/03/2018 BALANCE SHEET | NONRES BLDG ADDS PURCHASED | BCS ELECTRICS LTD | 1144943 | 36,000.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 23/03/2018 BALANCE SHEET | NONRES BLDG ADDS PURCHASED | CLASSIC LIFTS | 1144950 | 32,200.56 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 27/03/2018 PFI ACCOUNTING | UNITARY PAYMENT | CONSORT HEALTHCARE (MID YORKSHIRE) LTD | 1147055 | 3,983,496.20 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 07/03/2018 DDH UTILITIES & RATES | GAS | CORONA ENERGY RETAIL 4 LTD | 1142610 | 1,330.40 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 07/03/2018 DDH UTILITIES & RATES | GAS | CORONA ENERGY RETAIL 4 LTD | 1142610 | 40,248.21 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 07/03/2018 DDH UTILITIES & RATES | GAS | CORONA ENERGY RETAIL 4 LTD | 1142610 | 63.35 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 23/03/2018 DDH UTILITIES & RATES | GAS | CORONA ENERGY RETAIL 4 LTD | 1147501 | (1,330.40) | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 23/03/2018 DDH UTILITIES & RATES | GAS | CORONA ENERGY RETAIL 4 LTD | 1147501 | (40,311.56) | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 23/03/2018 DDH UTILITIES & RATES | GAS | CORONA ENERGY RETAIL 4 LTD | 1147502 | 1,325.63 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 23/03/2018 DDH UTILITIES & RATES | GAS | CORONA ENERGY RETAIL 4 LTD | 1147502 | 40,165.99 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 23/03/2018 DDH UTILITIES & RATES | GAS | CORONA ENERGY RETAIL 4 LTD | 1147520 | 1,284.78 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 23/03/2018 DDH UTILITIES & RATES | GAS | CORONA ENERGY RETAIL 4 LTD | 1147520 | 38,812.38 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 23/03/2018 BALANCE SHEET | IT ADDITIONS | DAISY COMMUNICATIONS LTD | 1146809 | 5,316.48 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 23/03/2018 BALANCE SHEET | SOFTWARE ADDITIONS PURCHASED | DAISY COMMUNICATIONS LTD | 1146809 | 29,901.88 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 23/03/2018 BALANCE SHEET | IT ADDITIONS | DELL CORPORATION LTD | 1145833 | 28,984.08 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 23/03/2018 DDH UTILITIES & RATES | ELECTRICITY | EDF ENERGY LTD | 1132339 | 1,777.14 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 23/03/2018 DDH UTILITIES & RATES | ELECTRICITY | EDF ENERGY LTD | 1132339 | 69,663.29 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 23/03/2018 DDH UTILITIES & RATES | ELECTRICITY | EDF ENERGY LTD | 1132339 | 795.85 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 23/03/2018 DDH UTILITIES & RATES | ELECTRICITY | EDF ENERGY LTD | 1140582 | 1,801.89 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 23/03/2018 DDH UTILITIES & RATES | ELECTRICITY | EDF ENERGY LTD | 1140582 | 70,617.07 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 23/03/2018 DDH UTILITIES & RATES | ELECTRICITY | EDF ENERGY LTD | 1140582 | 661.66 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 23/03/2018 BALANCE SHEET | IT ADDITIONS | EPATON LTD | 1144223 | 90,000.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 14/03/2018 INFORMATION TECHNOLOGY | EXTERNAL CONSULTANCY FEES | GARTNER UK LTD | 1142159 | 33,780.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 05/03/2018 AGENCY HOLDING CODE | AGENCY OTHER MEDICAL | HCL DOCTORS | 1142837 | 10,819.20 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 05/03/2018 AGENCY HOLDING CODE | AGENCY OTHER MEDICAL | HCL DOCTORS | 1142837 | 105,625.43 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 05/03/2018 AGENCY HOLDING CODE | AGENCY OTHER MEDICAL | HCL DOCTORS | 1144667 | 11,152.90 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 05/03/2018 AGENCY HOLDING CODE | AGENCY OTHER MEDICAL | HCL DOCTORS | 1144667 | 89,849.46 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 14/03/2018 AGENCY HOLDING CODE | AGENCY OTHER MEDICAL | HCL DOCTORS | 1146332 | 12,718.75 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 14/03/2018 AGENCY HOLDING CODE | AGENCY OTHER MEDICAL | HCL DOCTORS | 1146332 | 86,265.47 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 19/03/2018 AGENCY HOLDING CODE | AGENCY OTHER MEDICAL | HCL DOCTORS | 1148255 | 9,791.90 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 19/03/2018 AGENCY HOLDING CODE | AGENCY OTHER MEDICAL | HCL DOCTORS | 1148255 | 56,019.53 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 23/03/2018 AGENCY HOLDING CODE | AGENCY OTHER MEDICAL | HCL DOCTORS | 1149968 | 7,431.25 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 23/03/2018 AGENCY HOLDING CODE | AGENCY OTHER MEDICAL | HCL DOCTORS | 1149968 | 54,939.55 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 14/03/2018 BALANCE SHEET | STOCKS FINISHED GOODS | HEALTHCARE AT HOME LTD | 1143579 | 108,480.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 23/03/2018 BALANCE SHEET | AUC ADDITIONS | H E BARNES ELECTRICAL LTD | 1148069 | 192,690.86 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 23/03/2018 BALANCE SHEET | STOCKS FINISHED GOODS | HUGH STEEPER LTD | 1145254 | 74,547.96 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 23/03/2018 BALANCE SHEET | STOCKS FINISHED GOODS | HUGH STEEPER LTD | 1145254 | 6,262.18 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 27/03/2018 INFORMATION TECHNOLOGY | COMPUTER MAINTENANCE | INHEALTHCARE | 1143671 | 24,000.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 23/03/2018 MYH TELECOMS | DATA LINES | KCOM | 1147912 | 27,348.73 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 27/03/2018 DDH UTILITIES & RATES | BUSINESS RATES | KIRKLEES COUNCIL | 1151391 | 72,964.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 19/03/2018 GRAPHIC DESIGN | CONTR PHOTOCOPIER RENTAL | KONICA MINOLTA BUSINESS SOLUTIONS EAST LTD | 1133382 | 25,992.20 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 14/03/2018 MYHT FINANCE TEAM | AUDIT FEES: STATUTORY | KPMG LLP | 1147880 | 42,643.20 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 12/03/2018 BALANCE SHEET | STOCKS FINISHED GOODS | LLOYDS PHARMACY LTD | 1141156 | 557,826.64 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 27/03/2018 BALANCE SHEET | STOCKS FINISHED GOODS | LLOYDS PHARMACY LTD | 1146839 | 493,789.45 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 27/03/2018 SITE ESTATES MANAGEMENT | ENGINEERING CONTRACTS | MICAD SYSTEMS UK LTD | 1148065 | 31,177.44 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 23/03/2018 BALANCE SHEET | MEDICAL EQUIP ADDITIONS PURCH | MINDRAY (UK) LTD | 1144209 | 35,640.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 23/03/2018 BALANCE SHEET | MEDICAL EQUIP ADDITIONS PURCH | MINDRAY (UK) LTD | 1144564 | 104,564.40 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 23/03/2018 GENERAL OFFICE PGH | POSTAGE & CARRIAGE | NEOPOST LTD | 1151526 | 35,000.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 14/03/2018 BLOOD SERVICE TRUSTWIDE | BLOOD PRODUCTS | NHS BLOOD AND TRANSPLANT | 46357 | 125,927.58 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 14/03/2018 BLOOD SERVICE TRUSTWIDE | BLOOD PRODUCTS | NHS BLOOD AND TRANSPLANT | 46358 | 40,305.83 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 21/03/2018 BALANCE SHEET | ERET PROVN STAFF UTILISN >1YR | NHS BUSINESS SERVICES AUTHORITY | 45935 | 202,041.14 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 22/03/2018 BALANCE SHEET | ERET PROVN STAFF UTILISN >1YR | NHS BUSINESS SERVICES AUTHORITY | 45935 | 101,020.57 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 05/03/2018 NHSP HOLDING ACCOUNT | NHSP BANK CONTROL | NHS PROFESSIONALS LTD | 1142133 | 106,342.90 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 05/03/2018 NHSP HOLDING ACCOUNT | NHSP BANK CONTROL | NHS PROFESSIONALS LTD | 1142133 | 3,144.25 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 07/03/2018 NHSP HOLDING ACCOUNT | NHSP AGENCY CONTROL | NHS PROFESSIONALS LTD | 1142839 | 150,550.97 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 12/03/2018 NHSP HOLDING ACCOUNT | NHSP AGENCY CONTROL | NHS PROFESSIONALS LTD | 1144664 | 46,666.67 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 14/03/2018 NHSP HOLDING ACCOUNT | NHSP BANK CONTROL | NHS PROFESSIONALS LTD | 1144816 | 124,025.15 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 14/03/2018 NHSP HOLDING ACCOUNT | NHSP BANK CONTROL | NHS PROFESSIONALS LTD | 1144816 | 3,767.36 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 14/03/2018 NHSP HOLDING ACCOUNT | NHSP AGENCY CONTROL | NHS PROFESSIONALS LTD | 1144821 | 189,123.60 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 19/03/2018 NHSP HOLDING ACCOUNT | NHSP AGENCY CONTROL | NHS PROFESSIONALS LTD | 1145746 | 71,759.78 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 21/03/2018 NHSP HOLDING ACCOUNT | NHSP FIXED FEE CONTROL | NHS PROFESSIONALS LTD | 1146333 | 45,000.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 23/03/2018 NHSP HOLDING ACCOUNT | NHSP BANK CONTROL | NHS PROFESSIONALS LTD | 1147533 | 158,646.86 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 23/03/2018 NHSP HOLDING ACCOUNT | NHSP AGENCY CONTROL | NHS PROFESSIONALS LTD | 1148256 | 172,077.65 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 23/03/2018 NHSP HOLDING ACCOUNT | NHSP AGENCY CONTROL | NHS PROFESSIONALS LTD | 1149970 | 222,431.97 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 07/03/2018 BALANCE SHEET | NONNHS TRADE CR < 1 YR | NHS SUPPLY CHAIN | 46114 | 40,109.14 | |-----------------------------------------|-----------------------------------------|--------------------------------------------------------------------|----------------------------------------|----------------------------------------|-----------|-------------| | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 07/03/2018 BALANCE SHEET | NONNHS TRADE CR < 1 YR | NHS SUPPLY CHAIN | 46115 | 147,371.11 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 14/03/2018 BALANCE SHEET | NONNHS TRADE CR < 1 YR | NHS SUPPLY CHAIN | 46204 | 30,167.61 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 14/03/2018 BALANCE SHEET | NONNHS TRADE CR < 1 YR | NHS SUPPLY CHAIN | 46207 | 164,231.41 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 21/03/2018 BALANCE SHEET | NONNHS TRADE CR < 1 YR | NHS SUPPLY CHAIN | 46297 | 39,673.97 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 21/03/2018 BALANCE SHEET | NONNHS TRADE CR < 1 YR | NHS SUPPLY CHAIN | 46298 | 165,160.93 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 21/03/2018 BALANCE SHEET | NONNHS TRADE CR < 1 YR | NHS SUPPLY CHAIN | 46384 | 35,835.80 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 21/03/2018 BALANCE SHEET | NONNHS TRADE CR < 1 YR | NHS SUPPLY CHAIN | 46385 | 168,186.84 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 21/03/2018 BALANCE SHEET | NONNHS TRADE CR < 1 YR | NHS SUPPLY CHAIN | 46447 | 32,956.31 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 21/03/2018 BALANCE SHEET | NONNHS TRADE CR < 1 YR | NHS SUPPLY CHAIN | 46452 | 164,942.19 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 21/03/2018 BALANCE SHEET | MEDICAL EQUIP ADDITIONS PURCH | NHS SUPPLY CHAIN | 46487 | 31,637.52 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 21/03/2018 TRUST MEDICAL PHYSICS | X-RAY EQUIP MAINT/REPAIR | NHS SUPPLY CHAIN | 46504 | 54,134.66 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 21/03/2018 TRUST MEDICAL PHYSICS | X-RAY EQUIP MAINT/REPAIR | NHS SUPPLY CHAIN | 46504 | 3,258.39 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 22/03/2018 BALANCE SHEET | NONNHS TRADE CR < 1 YR | NHS SUPPLY CHAIN | 46544 | 34,468.18 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 22/03/2018 BALANCE SHEET | NONNHS TRADE CR < 1 YR | NHS SUPPLY CHAIN | 46548 | 173,464.99 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 22/03/2018 BALANCE SHEET | NONNHS TRADE CR < 1 YR | NHS SUPPLY CHAIN | 46631 | 37,295.08 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 22/03/2018 BALANCE SHEET | NONNHS TRADE CR < 1 YR | NHS SUPPLY CHAIN | 46632 | 166,348.96 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 12/03/2018 PROGRAMME MANAGEMENT OFFICE | COURSE FEES | NORTH EAST TRANSFORMATION SYSTEM LTD | 1142589 | 25,008.72 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 27/03/2018 A&E PGH & PGI | AGENCY OTHER MEDICAL | NORTHERN HEALTH LTD | 1148288 | 46,500.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 14/03/2018 BALANCE SHEET | STOCKS FINISHED GOODS | NOVARTIS PHARMACEUTICALS UK LTD | 1139350 | 80,234.88 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 23/03/2018 BALANCE SHEET | STOCKS FINISHED GOODS | NOVARTIS PHARMACEUTICALS UK LTD | 1141490 | 81,557.26 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 23/03/2018 BALANCE SHEET | STOCKS FINISHED GOODS | NOVARTIS PHARMACEUTICALS UK LTD | 1145280 | 106,848.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 27/03/2018 BALANCE SHEET | STOCKS FINISHED GOODS | NOVARTIS PHARMACEUTICALS UK LTD | 1151199 | 117,165.02 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 21/03/2018 BALANCE SHEET | MEDICAL EQUIP ADDITIONS PURCH | OPTIMA MEDICAL LTD | 1140823 | 101,857.50 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 05/03/2018 SLEEP SERVICE | MED & SURG EQUIP | PHILIPS RESPIRONICS | 1139521 | 30,240.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 12/03/2018 SLEEP SERVICE | MED & SURG EQUIP | PHILIPS RESPIRONICS | 1139523 | 33,502.99 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 07/03/2018 SLEEP SERVICE | MED & SURG EQUIP | PHILIPS RESPIRONICS | 1140310 | 35,100.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 14/03/2018 SLEEP SERVICE | MED & SURG EQUIP | PHILIPS RESPIRONICS | 1142404 | 30,002.16 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 07/03/2018 AGENCY HOLDING CODE | AGENCY OTHER MEDICAL | QX LIMITED | 1147372 | 115,812.43 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 14/03/2018 AGENCY HOLDING CODE | AGENCY OTHER MEDICAL | QX LIMITED | 1149327 | 143,941.25 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 22/03/2018 AGENCY HOLDING CODE | AGENCY OTHER MEDICAL | QX LIMITED | 1150790 | 183,782.97 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 28/03/2018 AGENCY HOLDING CODE | AGENCY OTHER MEDICAL | QX LIMITED | 1153297 | 165,282.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 14/03/2018 ANTI COAGULATION TRUSTWIDE | LABORATORY REAGENTS | ROCHE DIAGNOSTICS LTD | 1138442 | 36,392.30 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 21/03/2018 ANTI COAGULATION TRUSTWIDE | LABORATORY REAGENTS | ROCHE DIAGNOSTICS LTD | 1140429 | 38,173.51 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 14/03/2018 ANTI COAGULATION TRUSTWIDE | LABORATORY REAGENTS | ROCHE DIAGNOSTICS LTD | 1140801 | (36,392.30) | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 23/03/2018 BALANCE SHEET | STOCKS FINISHED GOODS | ROCHE PRODUCTS LTD | 1141182 | 29,144.57 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 23/03/2018 BALANCE SHEET | STOCKS FINISHED GOODS | ROCHE PRODUCTS LTD | 1141921 | 49,279.20 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 23/03/2018 BALANCE SHEET | STOCKS FINISHED GOODS | ROCHE PRODUCTS LTD | 1142646 | 36,045.96 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 21/03/2018 INFORMATION TECHNOLOGY | COMPUTER MAINTENANCE | SOFTCAT LTD | 1139866 | 22,201.18 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 22/03/2018 BALANCE SHEET | PREPAYMENT < 1 YEAR | SOUTH WEST YORKSHIRE PARTNERSHIP | 45700 | 47,353.34 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 22/03/2018 BALANCE SHEET | PREPAYMENT < 1 YEAR | SOUTH WEST YORKSHIRE PARTNERSHIP | 47086 | 34,483.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 14/03/2018 UROLOGY PGH | MED & SURG MAINT CONTRACT | STORZ MEDICAL UK LTD | 1140023 | 24,000.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 14/03/2018 FACILITIES DDH | EXT CONTR LAUNDRY | SYNERGY HEALTH (UK) LTD | 1138877 | 30,306.81 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 23/03/2018 FACILITIES DDH | EXT CONTR LAUNDRY | SYNERGY HEALTH (UK) LTD | 1145913 | 23,110.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 07/03/2018 BLOOD SCIENCES NON PAY | LABORATORY REAGENTS | SYSMEX UK LTD | 1138665 | 176,419.09 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 29/03/2018 BLOOD SCIENCES NON PAY | LABORATORY REAGENTS | SYSMEX UK LTD | 1146085 | 195,600.84 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 05/03/2018 RADIOLOGY MEDICAL STAFFING | OTHER PUBLIC SECTOR | TELEMEDICINE CLINIC LTD | 1142253 | 43,940.30 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 22/03/2018 ONCOLOGY TRUSTWIDE | CONSULTANT | THE LEEDS TEACHING HOSPITALS NHS TRUST | 43990 | 38,919.75 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 22/03/2018 PATHOLOGY MANAGEMENT TRUSTWIDELABORATORY EXTERNAL TESTS | THE LEEDS TEACHING HOSPITALS NHS TRUST | 44649 | 40,598.49 | | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 22/03/2018 PATHOLOGY MANAGEMENT TRUSTWIDELABORATORY EXTERNAL TESTS | THE LEEDS TEACHING HOSPITALS NHS TRUST | 45759 | 41,981.07 | | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 22/03/2018 RADIOLOGY MEDICAL STAFFING | SPECIALIST REGISTRAR | THE LEEDS TEACHING HOSPITALS NHS TRUST | 45835 | 25,531.61 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 22/03/2018 ONCOLOGY TRUSTWIDE | CONSULTANT | THE LEEDS TEACHING HOSPITALS NHS TRUST | 45860 | 32,178.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 22/03/2018 PATHOLOGY MANAGEMENT TRUSTWIDELABORATORY EXTERNAL TESTS | THE LEEDS TEACHING HOSPITALS NHS TRUST | 46160 | 34,668.03 | | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 22/03/2018 NUCLEAR MEDICINE RECHARGES | LABORATORY EXTERNAL TESTS | THE LEEDS TEACHING HOSPITALS NHS TRUST | 46164 | 30,026.03 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 22/03/2018 RADIOLOGY MEDICAL STAFFING | SPECIALIST REGISTRAR | THE LEEDS TEACHING HOSPITALS NHS TRUST | 46268 | 25,861.39 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 22/03/2018 ONCOLOGY TRUSTWIDE | CONSULTANT | THE LEEDS TEACHING HOSPITALS NHS TRUST | 46287 | 32,178.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 22/03/2018 NUCLEAR MEDICINE RECHARGES | LABORATORY EXTERNAL TESTS | THE LEEDS TEACHING HOSPITALS NHS TRUST | 46481 | 30,956.43 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 22/03/2018 RADIOLOGY MEDICAL STAFFING | SPECIALIST REGISTRAR | THE LEEDS TEACHING HOSPITALS NHS TRUST | 46536 | 30,606.22 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 12/03/2018 RADIOLOGY MEDICAL STAFFING | SPECIALIST REGISTRAR | THE LEEDS TEACHING HOSPITALS NHS TRUST | 46537 | 45,000.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 06/03/2018 BALANCE SHEET | MEDICAL EQUIP ADDITIONS PURCH | THERMO FISHER DIAGNOSTICS LTD | 1128275 | 34,800.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 06/03/2018 BALANCE SHEET | MEDICAL EQUIP ADDITIONS PURCH | THERMO FISHER DIAGNOSTICS LTD | 1143627 | (34,800.00) | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 27/03/2018 BALANCE SHEET | PAYROLL DED'NS N/S <1YR | UNISON | 45187 | 62,078.35 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 05/03/2018 MOTIVAR - STUDY | OTHER GEN SUPPLIES & SRV | UNIVERSITY OF BRADFORD | 1132201 | 62,211.33 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 21/03/2018 PGH UTILITIES & RATES | BUSINESS RATES | WAKEFIELD COUNCIL | 1148900 | 180,375.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 14/03/2018 PGI UTILITIES & RATES | BUSINESS RATES | WAKEFIELD COUNCIL | 1148945 | 32,054.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 27/03/2018 BALANCE SHEET | AUC ADDITIONS | WALTER WEST BUILDERS LTD | 1147878 | 33,670.93 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 21/03/2018 PATIENT TRANSPORT SERVICES | SRV REC NONHCARE NHSTS | YORKSHIRE AMBULANCE SERVICE NHS TRUST | 46336 | 25,440.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 21/03/2018 PATIENT TRANSPORT SERVICES | SRV REC NONHCARE NHSTS | YORKSHIRE AMBULANCE SERVICE NHS TRUST | 46338 | 76,318.95 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 19/03/2018 ORTHOPAEDIC LLP | COMMERCIAL SECTOR | YORKSHIRE ORTHOPAEDIC ASSOCIATES | 1147531 | 55,778.96 | |-----------------------------------------|-----------------------------------------|----------------------------------|--------------------------|------------------------------------|-----------|-------------| | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 05/03/2018 DDH UTILITIES & RATES | WATER | YORKSHIRE WATER SERVICES LTD | 1141655 | 25,681.64 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 07/03/2018 PGH UTILITIES & RATES | WATER | YORKSHIRE WATER SERVICES LTD | 1143142 | 30,539.19 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 26/03/2018 BALANCE SHEET | PAYROLL DED'NS N/S < 1YR | EDEN RED | 67377 | 44,870.28 |

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## Non-Disclosure Agreement This Nondisclosure Agreement (the "Agreement") is entered into by and between The National Archives, (the "Disclosing Party"), and _______________________, located at __________________ _________________________________________________ (the "Receiving Party"), for the purpose of preventing the unauthorised disclosure of Sensitive Information as defined below, in line with HMG's Security Policy Framework. The parties agree to enter into a confidential relationship with respect to the disclosure of certain sensitive, proprietary or protected information ("Sensitive Information"). 1. Definition of Sensitive Information. For purposes of this Agreement, "Sensitive Information" shall include all information or material that  has or could have commercial value or other utility in the business in which Disclosing Party is engaged  might lead to the security of the Disclosing Party's physical or information assets or the safety of its staff and customers being compromised. If Sensitive Information is in a physical or electronic form, the Disclosing Party shall label or stamp the materials with the words OFFICIAL-SENSITIVE, or some similar warning, in line with HMG's protective marking scheme. If Sensitive Information is transmitted orally, the Disclosing Party shall promptly provide a writing indicating that such oral communication constituted Sensitive Information. 2. Exclusions from Sensitive Information. Receiving Party's obligations under this Agreement do not extend to information that is: (a) publicly known at the time of disclosure or subsequently becomes publicly known through no fault of the Receiving Party; (b) discovered or created by the Receiving Party before disclosure by Disclosing Party; (c) learned by the Receiving Party through legitimate means other than from the Disclosing Party or Disclosing Party's representatives; (d) is disclosed by Receiving Party with Disclosing Party's prior written approval; or (e) independently developed by the Receiving Party outside the scope of this agreement. 3. Obligations of Receiving Party. Receiving Party shall hold and maintain the Sensitive Information in strictest confidence for the sole and exclusive benefit of the Disclosing Party. Receiving Party shall carefully restrict access to Sensitive Information to employees, contractors and third parties as is reasonably required and shall require those persons to sign nondisclosure restrictions at least as protective as those in this Agreement. Receiving Party shall put in place effective governance controls to monitor compliance and respond to (and report) any security breach incidents. Receiving Party shall not, without prior written approval of Disclosing Party, use for Receiving Party's own benefit, publish, copy, or otherwise disclose to others, or permit the use by others for their benefit or to the detriment of Disclosing Party, any Sensitive Information. Receiving Party shall return to Disclosing Party any and all records, notes, and other written, printed, or tangible materials in its possession pertaining to Sensitive Information within a reasonable time period if Disclosing Party requests it in writing. 4. Time Periods. The non-disclosure provisions of this Agreement shall survive the termination of this Agreement and Receiving Party's duty to hold Sensitive Information in confidence shall remain in effect until the Sensitive Information no longer qualifies as a trade secret or otherwise needing protection until Disclosing Party sends Receiving Party written notice releasing Receiving Party from this Agreement, whichever occurs first. 5. Relationships. Nothing contained in this Agreement shall be deemed to constitute either party a partner, joint venture or employee of the other party for any purpose. 6. Severability. If a court finds any provision of this Agreement invalid or unenforceable, the remainder of this Agreement shall be interpreted so as best to effect the intent of the parties. 7. Integration. This Agreement expresses the complete understanding of the parties with respect to the subject matter and supersedes all prior proposals, agreements, representations and understandings. This Agreement may not be amended except in writing signed by both parties. 8. Waiver. The failure to exercise any right provided in this Agreement shall not be a waiver of prior or subsequent rights. This Agreement and each party's obligations shall be binding on the representatives, assigns and successors of such party. Each party has signed this Agreement through its authorised representative. __________________________________________________________________________ (Signature, on behalf of Disclosing Party) Date: _______________ __________________________________________________________________________ (Signature, on behalf of Receiving Party) Date: _______________

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## # Ordering And Creditor Payments 2016-17 City Of York Council Internal Audit Report ## Summary And Overall Conclusions Introduction Ordering and creditor payment systems are audited regularly because of their importance to the council's operations, the value of transactions and the potential for fraud. Creditor payments is a key service within the council, processing over £200m worth of payments and nearly 50,000 invoices between September 2015 and October 2016. Completion of purchase orders is a key part of the council's financial regulations and since December 2012 the council has had a 'no purchase order, no payment' policy. Purchase orders are vital in controlling council expenditure, achieving best value and realising efficiencies in the 'purchase to pay' system. The creditor payments service is also responsible for ensuring that invoices are appropriately authorised before payment and that they are paid promptly according to council targets and supplier requirements. ## Objectives And Scope Of The Audit The purpose of this audit was to provide assurance to management that procedures and controls within the system will ensure that: - ordering and creditor procedures comply with the council's financial regulations, relevant legislation and best practice; - the ordering process is robust and the official system is used for purchasing goods and recording when these have been received; - payment systems are secure, payments are only made for valid invoices and for the correct amount; - invoice processing systems are efficient and timely and there are appropriate performance management arrangements in place; - non-standard (i.e. without an order or invoice) creditor transactions are correctly accounted for by the creditors system and related accounting records. ## Key Findings The proportion of invoices with accompanying purchase orders (CRIPO), against sundry invoices (CRINV) remains high at 84% and deliberate changes to creditor processes for manual payments would need to be made to increase performance. The scheme of delegation has been reviewed as part of a new annual exercise and new authorisation levels have been set for every user profile on the purchasing system. It is intended that a review of the scheme of delegation will be undertaken every year to ensure that authorisation levels are appropriate and the next Ordering and Creditor Payments audit will observe whether this is taking place. There is an appropriate segregation of duties in the requisitioning, authorising and goods receipting processes of CRIPO payments and orders are approved within delegated authority limits. Goods/services ordered via the official purchasing system are receipted on delivery and the invoices sampled agreed to the items ordered on the purchasing system. CRINV invoices (invoices without corresponding POs) are approved for payment by managers with the appropriate delegated authority. Pro formas are completed for payment requisitions (CRREQ) transactions and contain a separation of duties in the requisitioning and authorising process. CRREQ payments are also appropriately authorised before submission for payment. CRINV/CRIPO and payment performance reports are still generated on a regular basis from the FMS system and emailed to relevant staff members. A performance dashboard has recently been developed which will allow the Finance team to monitor and respond to trends in the data. The next audit will observe how effectively this tool is used. Currently, approx. 90% of invoices are paid within the set target of 30 days from the recorded date of receipt of the invoice. There is an acceptable segregation of duties in the payments run process, with control totals and potential duplicate payments checked by the Creditors team and BACS files processed by the IT Operations officer. In the majority of cases, requests for new supplier records are appropriately authorised by budget holders and the procurement team. In some cases documentation has not been retained, resulting in some records of authorisations being absent. It should be ensured that these records are retained. The Creditors team maintain procedure notes for higher risk processes e.g. pay runs, authorisation of various types of payments, processing of file interfaces, etc. In the majority of cases they are up to date, though still quote the personal names of individuals that have left council employment. The council may wish to review and update these documents to ensure their relevancy. The number and age of items in the dispatcher at the time of audit testing indicates that payment officers attempt to resolve vouchers in dispute in a timely fashion. The voucher register is regularly checked and cleared to ensure that discrepancies are resolved. Whilst sufficient controls are in operation in the majority of cases, there are a few issues which require attention from management and these are detailed below. Access levels for Creditors staff require review and adjustment, to ensure that they do not have the permissions to both process and authorise invoice transactions in the FMS software. Evidence is not always available to show that there is an appropriate segregation of duties in the requisitioning process for manual payments (CRINM). Evidence is not always available that the Creditors team are performing the requisite identity checks on individuals requesting a change to creditor bank account details. ## Overall Conclusions The arrangements for managing risk were good with few weaknesses identified. An effective control environment is in operation, but there is scope for further improvement in the areas identified. Our overall opinion of the controls within the system at the time of the audit was that they provided Substantial Assurance. ## 1 Fms Software Access Levels Issue/Control Weakness Risk FMS software access levels currently allow the Creditors team to both process and authorise CRINV (sundry invoice) and CRIPO (invoice with corresponding purchase order) transactions. Transaction details may be inappropriately adjusted before they are submitted to the pay run, potentially resulting in payments of incorrect value or payments made to incorrect creditors. ## Findings When an invoice is received by the Creditors team, they validate, process and authorise the invoice on the FMS software before submission to the pay run. Whilst audit testing demonstrated that there is an appropriate segregation of duties in the requisitioning, authorising and goods receipting processes before the invoice is entered onto FMS, testing also identified that members of the Creditors team are capable of processing, amending and authorising invoice transactions on FMS. Instances of this occurring were not identified during audit testing, however, this is a fundamental segregation of duties which should be mandated by the system. Access levels for Creditors staff require review and adjustment, to ensure that they do not have the permissions to both process and authorise CRINV and CRIPO transactions. This is particularly essential for CRIPOs, as they have the capability to adjust all transaction details before submitting them for payment. ## Management Response The separation of duties procedure ensures that the same person does not process and authorise a transaction and no instances of this ever occurring have been identified. The test system does not allow this to happen and whilst the audit identified it was technically possible within the live system, no payment was made. It is also important to note that Creditors are required to amend some transaction details in terms of correcting VAT codes and adjusting for minor variations but that there are strict procedures in place to ensure that whenever a member of staff needs to make an amendment, this is subsequently verified by another member of the team. ## Agreed Action 1.1 The FMS access levels of the Creditors team will continue to be tested and adjusted as necessary to ensure that they can not both process and authorise CRINV (sundry invoice) and CRIPO (invoice with corresponding purchase order) transactions. ## 2 Crinm Payments Issue/Control Weakness Risk There is an increased risk that inappropriate or inaccurate payments could be made. It is difficult to conclude whether there is an acceptable separation of duties in the authorisation process for CRINM (manual creditor) payments or whether they are always authorised within delegated limits. ## Findings Manual creditor payments are submitted to the Creditors team via a template pro forma with separate fields for the requesting and authorising officers. These payments total approx. £91 million in the audit period tested, mainly comprising of large value payments to other authorities and government bodies. It was not always possible to judge whether the sample of pro formas tested had been appropriately authorised, as they were only signed with two letter initials. These initials were not always legible. In a couple of cases, the 'authoriser' field was blank. As CRINM transactions are almost exclusively routine payments made to other local authorities and government bodies, the risk of the payments being inaccurate or irretrievable is lower than those paid to suppliers or private individuals. Evidence of inappropriate payments was not identified during audit testing, however, the process for authorisation of CRINM payments requires review and the pro forma could potentially be adjusted to ensure that employees are required to clearly state their identity. ## Management Response These are almost exclusively routine payments made to other local authorities and government bodies, and therefore there is limited possibility of any inaccuracies. In the unlikely event of errors, the impact would be minor. In terms of both frequency and impact, there is a only very small risk. In addition, no evidence has been found during testing to suggest that any inappropriate payments have been made. In terms of both frequency and impact, there is a only very small risk. ## Agreed Action 2.1 Pro formas for both CRINM (manual creditor) and CRREQ (requisition) payments will be reviewed and adjusted to ensure that requisitioners and authorisers must state their identity. Instructions on the intranet will also be adjusted to specify that the pro formas must be sent from the authoriser's email address. A reminder will be issued to the scanning team to always scan both the batch processing form and the pro forma for each transaction. ## 3 Changes To Bank Supplier Details Issue/Control Weakness Risk Successful bank mandate fraud resulting in financial loss to the council. Evidence is not always available to confirm that the Creditors team are undertaking the correct identity checks when they receive a request to change bank account details. ## Findings Bank mandate fraud can occur when an individual purporting to be a representative of an organisation's creditor contacts that organisation and requests that the bank account details on the creditor account are adjusted. Payments due to the legitimate creditor are then diverted to the fraudster's bank account. The council's policy document states that the Creditors team must confirm the identity of the individual submitting the request by a.) checking that the request has been made via the creditor's contact details held on their FMS record and, b.) by asking the individual to quote the creditor's old bank account details. These details can also then be verified by comparison with the FMS record. A sample of requests was reviewed to ascertain whether these verification steps are followed. In the vast majority of cases, evidence was available to confirm that the team requested the creditor's old bank account details. However, there was no confirmation that they had also ensured the request had been made via the contact details/creditor representatives held on record. It should also be noted that there are more sophisticated forms of bank mandate fraud; involving an individual requesting that creditor contact details are adjusted first, then requesting that bank account details be adjusted at a later date. It is recommended that the procedure for changes to creditor contact details ensure that similar identity checks are undertaken before adjustments are made to the FMS record. ## Management Response All changes to supplier bank details are checked and verified, however, the Creditors team will be reminded to retain the relevant evidence. ## Agreed Action 3.1 A reminder will be issued to the Creditors team asking that they attach evidence of the creditor verification they have undertaken to FMS when changes to bank details have been requested. The policy document for changes to supplier bank details will also be adjusted so that the same verification steps will be undertaken when changes are requested to supplier contact details. ## Annex 1 Audit Opinions And Priorities For Actions Audit Opinions Audit work is based on sampling transactions to test the operation of systems. It cannot guarantee the elimination of fraud or error. Our opinion is based on the risks we identify at the time of the audit. Our overall audit opinion is based on 5 grades of opinion, as set out below. Opinion Assessment of internal control | High Assurance | |--------------------------------------------------------------------------------------------------------------| | | | Substantial | | Assurance | | Overall, good management of risk with few weaknesses identified. An effective control environment is in | | operation but there is scope for further improvement in the areas identified. | | | | Reasonable | | Assurance | | Overall, satisfactory management of risk with a number of weaknesses identified. An acceptable control | | environment is in operation but there are a number of improvements that could be made. | | Limited Assurance | | Overall, poor management of risk with significant control weaknesses in key areas and major | | improvements required before an effective control environment will be in operation. | | No Assurance | | Overall, there is a fundamental failure in control and risks are not being effectively managed. A number of | | key areas require substantial improvement to protect the system from error and abuse. | | | ## Priorities For Actions Priority 1 A fundamental system weakness, which presents unacceptable risk to the system objectives and requires urgent attention by management. Priority 2 A significant system weakness, whose impact or frequency presents risks to the system objectives, which needs to be addressed by management. Priority 3 The system objectives are not exposed to significant risk, but the issue merits attention by management. Where information resulting from audit work is made public or is provided to a third party by the client or by Veritau then this must be done on the understanding that any third party will rely on the information at its own risk. Veritau will not owe a duty of care or assume any responsibility towards anyone other than the client in relation to the information supplied. Equally, no third party may assert any rights or bring any claims against Veritau in connection with the information. Where information is provided to a named third party, the third party will keep the information confidential.

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## Hm Revenue & Customs Hospitality Register 1st October 2011 - 31st December 2011 Dame Lesley Strathie, Chief Executive & Permanent Secretary * Lesley stepped down as Chief Executive in November 2011 Date Organisation Type of Hospitality Received NIL RETURN Dave Hartnett, Permanent Secretary for Tax Date Organisation Type of Hospitality Received 13/10/11 Lexis Nexis Breakfast 29/11/11 Institute of Chartered Accountants England and Wales Dinner Stephen Banyard, Acting Director General, Personal Tax Date Organisation Type of Hospitality Received 18/10/11 Business Application Software Developers Association Dinner Steve Lamey, Director General, Benefits & Credits Date Organisation Type of Hospitality Received NIL RETURN Mike Norgove, Acting Director General, Business Tax Date Organisation Mike Eland, Director General Enforcement & Compliance Organisation Type of Hospitality Received NIL Simon Bowles, Chief Finance Officer Date Organisation Type of Hospitality Received 12/10/11 Building Public Trust Event Dinner 20/10/11 CIMA President's Event Dinner 01/11/11 Odgers CFO Event Dinner 22/11/11 Curzon Partnership Light refreshments Mike Falvey, Chief People Officer Date Organisation Type of Hospitality Received 28/11/11 Price WaterhouseCooper Dinner Anthony Inglese, General Counsel and Solicitor Date Organisation Type of Hospitality Received 26/10/11 Ernst & Young Buffet lunch 11/11/11 The Whitehall and Industry Group Drinks 30/11/11 Hogan Lovells Drinks Phil Pavitt, Chief Information Officer Date Organisation Type of Hospitality Received 07/11/11 Gartner Dinner 08/11/11 VMWare Dinner 09/11/11 Gartner Breakfast 10/11/11 ATOS Dinner Mike Clasper, Non-Executive Chairman Organisation Type of Hospitality Received 03/11/11 North East Chamber of Commerce Dinner 09/11/11 The Inzito Partnership Lunch 23/11/11 Korn Ferry Dinner John Spence, Non-Executive Director Date Organisation Type of Hospitality Received NIL RETURN Phil Hodkinson, Non-Executive Director Date Organisation Type of Hospitality Received NIL RETURN Colin Cobain, Non-Executive Director Date Organisation Type of Hospitality Received NIL RETURN Philippa Hird, Non-Executive Director Date Organisation

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# Waste Disposal Contract 2016-17 City Of York Council ## Internal Audit Report ## Summary And Overall Conclusions Introduction City of York Council (CYC) and North Yorkshire County Council (NYCC) are engaged in a joint project to build a waste recovery plant at a cost of £1.4bn. The project is split 79:21 between NYCC and CYC, with the latter having a 21% stake. The plant will divert waste from landfill sites into a more environmentally friendly treatment. When operational, it will reduce the amount of waste being sent to landfill to less than 10% of that collected, enabling NYCC and CYC to exceed their targets of recycling 50% of waste by 2020. It is designed to save the councils approximately £250m on household waste treatment costs over the 25-year life of the contract. The construction and operations of the plant have been contracted out to AmeyCespa, with a target date to become operational in December 2017. The plant has been built on the site that was formally Allerton Quarry, off the A1 near Knaresborough. ## Objectives And Scope Of The Audit The project will be moving from the initial construction phase into the commissioning phase once the commissioning plan has been agreed. Therefore, the purpose of this report is to highlight areas that need to be addressed in the commissioning phase, ahead of the operational phase of the project. The focus of this audit was to assess the partnership arrangements currently in place, and analyse their adequacy for the project in future stages. This audit aimed to highlight areas where arrangements could be improved, and these have been issued as findings. ## Key Findings It was found that the current arrangements were adequate for the project up to this point in time whilst the waste recovery plant was constructed, as well as the operational phase of the project once the plant opens. However, the council now needs to become more actively involved with the project as the construction phase is completed to ensure that the commissioning phase is managed effectively to ensure the plant can start operating at its full capacity on 1st February 2018. As part of this, the cost, payment, and usage arrangements for the transitional phase should be reviewed and confirmed as adequate. In addition, there should be a formal review process to take lessons learned from the transitional phase into the operational phase of the project. There are some additional findings that are less urgent, but should be addressed before the operational phase of the project commences to ensure that the arrangements for the plant during its operational period are satisfactory. ## Overall Conclusions The arrangements for managing risk were good with few weaknesses identified. An effective control environment is in operation, but there is scope for further improvement in the areas identified. Our overall opinion of the controls within the system at the time of the audit was that they provided Substantial Assurance. ## 1 Project Involvement Issue/Control Weakness Risk Moving into the commissioning phase of the project, CYC need to be more proactive in their involvement. CYC would not be able to make the necessary arrangements should the project go over budget or is delayed. As the project moves into the commissioning phase, CYC need to establish a more pro-active level of involvement in the project. There are two elements to this: project co-ordination and information sharing. 1) Project co-ordination - it has been agreed that there will be regular meetings between NYCC and CYC representatives; however more formality would be beneficial. It would be prudent to outline the purpose of the meetings, the role of the representatives, timescales for meetings, and what authority the representatives have. Some agreement should also be reached between CYC and NYCC on a formal, transparent, and fair decision making process. 2) Information sharing - CYC need to ensure they are getting all the information they need in order to be aware of, and mitigate, risks. CYC need to identify the level of information necessary to develop appropriate systems to meet the demands of the project. The Council has now arranged to be involved in a number of meetings with NYCC / Amey Cespa: AWRP Board meeting (6 monthly) This is the board meeting for the project. In attendance are NYCC, CYC, the contractors (Amey Cespa SPV), the sub contractors (Amey Cespa ODC) and the investors. For CYC the attendees are James Gilchrist (AD for Transport, Highways and Environment) and Dave Atkinson (Programme Manager and CYC lead for the Allerton Park project). AWRP Project team meeting (monthly) This is a team meeting to discuss all aspects of the project in detail. In attendance are NYCC, CYC, the contractors (Amey Cespa SPV), the sub contractors (Amey Cespa ODC). In attendance for CYC is Dave Atkinson (Programme Manager and CYC lead for the Allerton Park project). NYCC/CYC AWRP meeting (monthly) This is a meeting to drive forward the joint working between NYCC and CYC on the AWRP project. In attendance are NYCC and CYC. In attendance for CYC are Dave Atkinson (Programme Manager and CYC lead for the Allerton Park project) and Patrick Looker (Finance Manager). ## 2 Cost, Payment, And Usage Arrangements Issue/Control Weakness Risk Cost, payment and usage arrangements may not be up to date, and may not be applicable to the commissioning phase. CYC may not be adequately prepared for the transitional phase which could result in paying more than necessary for waste disposal during this period. The original principles that mediate such elements as payment, cost, and usage arrangements were established during the tender process and give direction on how these processes should work. At the time, there was a focus on the operational phase of the project, and there was not enough consideration given to the particular circumstances of the transitional / commissioning phase. Once the commissioning plan has been agreed, CYC and NYCC need to agree how the transition arrangements will be arranged to meet these requirements. A plan should be drawn up to ensure that disposal lorries are dispatched to the correct site and that payment is not being made for the disposal of waste from one lorry at both sites. There also should be some formal agreement on the process by which any of these arrangements are to be modified should they be found to be unsuitable. The monthly meetings referred to in action 1.1 (NYCC/CYC AWRP meeting) are the primary focus for agreeing the principles for the commissioning phase in terms of logistics, usage arrangements, and payments. Management information requirements for the operational phase will also be agreed. Dummy runs with the contractor will be arranged to ensure performance measurements are included in the invoicing. Reimbursement for commissioning is also being agreed as part of these discussions. This will also need agreement with Yorwaste, to ensure waste is properly identified, as more CYC waste will be delivered into Harewood Whin and then bulked up with other waste. ## 3 Review Process Issue/Control Weakness Risk There is a lack of formal review process in place, particularly for the commissioning phase, which will identify and rectify issues in advance of the operational phase of the project. There should be a robust review process during the commissioning phase of the project. Currently, there doesn't seem to be a process to analyse and implement necessary operational changes that become apparent during the commissioning phase. In this phase, there may be issues that need to be addressed before the operational phase begins. Issues identified within Commissioning will be addressed as part of the arrangements referred to in action 1.1 (see above.) Issues that arise during the commissioning phase are not identified and rectified ahead of the operational phase. ## 4 Partnership Agreement Issue/Control Weakness Risk The Partnership agreement between the two authorities needs to be reviewed and updated. The partnership agreement between the two authorities was agreed in 2011 before the contract to build the waste recovery plant was tendered and should be reviewed to confirm it is still suitable once the plant becomes operational. It has been agreed between NYCC and CYC that there will be a revision of the Joint Waste Management Agreement. The intention is that the revised document will be in place this calendar year with it being taken to the Executive at CYC in the Autumn. This work is currently being led by Ian Fielding (Assistant Director, Transport, Waste and Countryside Services for NYCC) and Dave Atkinson (Programme Manager and CYC lead for the Allerton Park project) with support from the authorities' legal teams. Disputes occur between the two authorities because the partnership agreement is out of date. ## 5 Risk Management Issue/Control Weakness Risk Currently, the two authorities do not have a co-ordinated approach to risk management. Whilst there has been good risk management on the contractual element of the project, there needs to be a co-ordinated and cooperative consideration of risk management between the two parties. There should be a shared risk appetite, as well as a unified approach to the identification of overall project risks, individual authority risks, and potential benefits. Risk management is most important for the operational phase, and does not need to be completed ahead of the commissioning phase. However, the commissioning phase offers a good period to consider risks and so some thought should be given to this before the operational phase commences. Recently, as there has been an increase in engagement between NYCC and CYC, there has been more sharing and joint development of items. As part of the council's Major project reporting commitments, and the inclusion of the Allerton Park project in that report, there has been a necessity to form a consolidated risk register. That is now in development and will be in place by September 2017. CYC are not in agreement with North NYCC about the identification, classification or mitigation of risks, and therefore risks and opportunities are not managed adequately. ## 6 Public Engagement Issue/Control Weakness Risk Consideration should be given to developing effective public engagement, as the project is a large investment and a positive strategy in waste management. There should be some consideration given to how the positive elements of the project can be expressed effectively to the general public, who may not have the technical knowledge to appreciate the significance of the benefits. Identification of key performance metrics, and how these can be presented in a digestible way, is important. Another element to consider is maximising the benefits provided by the visitor centre, and also how these benefits should be apportioned. There has been a consistent and controlled campaign of public engagement, both in terms of consultation with residents in the vicinity and more general communications over the lifecycle of the project. This has been led by Amey Cespa and supported by NYCC and CYC. NYCC and CYC have recently agreed to combine efforts on a number of Waste prevention, reduction type issues and will also work together with Amey Cespa on more communications and public engagement relating to the Allerton Park project and facility as it goes through commissioning (July 2017 to January 2018) into full operation (February 2018 and beyond).6 Benefits of the project are not appreciated by the general public. ## 7 Ownership Arrangements Issue/Control Weakness Risk Currently, there are no detailed arrangements to govern issues surrounding ownership prior to decommission of the plant. Although not an immediate concern, some agreement should be reached on how the ownership arrangements will work once it no longer under the ownership of AMEY, as this has not been addressed in the current partnership agreement. There is an agreement in place that there will be a minimum of five years of operational life remaining when Amey hand over ownership. The details of the handover need to be agreed between NYCC and CYC, in regards to who will own the plant or how ownership will be split, who will be responsible for the operation of the plant, and how the waste partnership will change. As part of the discussion around the JWMA, there will be discussion around ownership prior to the decommissioning of the plant. Lack of clarity over ownership arrangements could lead to disagreements between authorities once AMEY cease to own the plant. Responsible Officer Programme Manager Timescale 31st December 2017 ## Annex 1 Audit Opinions And Priorities For Actions Audit Opinions Audit work is based on sampling transactions to test the operation of systems. It cannot guarantee the elimination of fraud or error. Our opinion is based on the risks we identify at the time of the audit. Our overall audit opinion is based on 5 grades of opinion, as set out below. Opinion Assessment of internal control | High Assurance | |--------------------------------------------------------------------------------------------------------------| | | | Substantial | | Assurance | | Overall, good management of risk with few weaknesses identified. An effective control environment is in | | operation but there is scope for further improvement in the areas identified. | | | | Reasonable | | Assurance | | Overall, satisfactory management of risk with a number of weaknesses identified. An acceptable control | | environment is in operation but there are a number of improvements that could be made. | | Limited Assurance | | Overall, poor management of risk with significant control weaknesses in key areas and major | | improvements required before an effective control environment will be in operation. | | No Assurance | | Overall, there is a fundamental failure in control and risks are not being effectively managed. A number of | | key areas require substantial improvement to protect the system from error and abuse. | | | ## Priorities For Actions Priority 1 A fundamental system weakness, which presents unacceptable risk to the system objectives and requires urgent attention by management. Priority 2 A significant system weakness, whose impact or frequency presents risks to the system objectives, which needs to be addressed by management. Priority 3 The system objectives are not exposed to significant risk, but the issue merits attention by management. Where information resulting from audit work is made public or is provided to a third party by the client or by Veritau then this must be done on the understanding that any third party will rely on the information at its own risk. Veritau will not owe a duty of care or assume any responsibility towards anyone other than the client in relation to the information supplied. Equally, no third party may assert any rights or bring any claims against Veritau in connection with the information. Where information is provided to a named third party, the third party will keep the information confidential.

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## The National Archives' Data Protection Policy Statement 1 The Scope Of This Policy Statement This policy statement sets out how The National Archives implements the Data Protection Act 2018 and the EU General Data Protection Regulation (GDPR), together referred to as the Data Protection Legislation, which came into force in May 2018. The National Archives collects and uses information about the people with whom it has dealings. The National Archives also acquires information about others in the course of those dealings. These people - collectively called 'data subjects' - include its own staff, researchers and other users of its services, staff in other government departments and in a wide range of organisations and institutions, as well as contractors and suppliers of various kinds. The information can be factual information, such as name and address, or expressions of opinion about or intentions towards individuals. It can occur in any form or format: WORD documents; IT systems of various kinds - including websites, emails, CCTV; index cards; paper files. The National Archives also acquires responsibility for personal information in its archival holdings which, in some circumstances, are subject to parts of the Data Protection Legislation (see section 4). This policy statement applies to all personal data acquired, held and used by all constituent parts of The National Archives, Note that this includes personal data for which the Queen's Printer for Scotland is responsible and personal data managed by third parties/contractors on behalf of The National Archives. 2 The National Archives' commitment to data protection The National Archives is committed to whole-hearted compliance with the Data Protection Legislation. The National Archives regards responsible handling of personal information as a fundamental obligation and one that is in keeping with its role as a leader in the information, records and archives community. To this end it endorses and adheres to the Data Protection Principles set out below. Staff of the National Archives are expected to do whatever is necessary to ensure compliance with the Data Protection Legislation, and in particular to follow our Data Protection Procedures. 3 The Data Protection Legislation ## The 2018 Data Protection Act came into force on 23 May 2018. It superseded and extended the provisions of the Data Protection Act 1984 and the Data Protection Act 1998. The 2018 Act also supplements the EU General Data Protection Regulations of 2016 and has two aims:  to protect individuals' fundamental rights and freedoms, in an increasingly data driven world, in respect of personal data processing.  to enable organisations to process personal information, with due regard for the rights and freedoms of individuals, in the course of their legitimate business The Act and Regulations apply to any processing of personal information that could identify living individuals. Processing is the term used for virtually anything that can be done with or to recorded information, including acquisition, storage and destruction as well as active use. The National Archives must have a legal basis for any processing of personal data that it undertakes. The National Archives will provide privacy information in the form of a Privacy Notice to individuals at the time we collect their personal data from them. Individuals have the following rights: The right, upon request and with proof of identity: o to be informed whether information about them is being processed; o to be given a description of the information the legal basis for and the purpose of our processing; o to whom it may be disclosed; o how long it will be kept for o and to be provided with the information electronically in intelligible form free of charge. The requested information will be provided at the latest within one month of receipt of proof of identity and any necessary clarifications as to the information required. The right to request have inaccurate personal data rectified, or completed if it is incomplete. The right to have their personal data erased in certain circumstances The right to request the restriction or suppression of their personal data in certain circumstances. The right, based on the individual's particular situation, to object to certain kinds of processing. The National Archives will consider requests to have personal data erased, or to restrict or suppress personal data in accordance with its Takedown and Reclosure Policy The National Archives processes personal data in accordance with the Data Protection principles, similar to those of the of the 1998 Act, unless the personal data is exempt. These Principles (which are set out in Article 5 of the GDPR) require that personal information is handled as follows: (1) Personal data shall be: a) processed lawfully, fairly and in a transparent manner in relation to the data subject ('lawfulness, fairness and transparency'); b) collected for specified, explicit and legitimate purposes and not further processed in a manner that is incompatible with those purposes; further processing for archiving purposes in the public interest, scientific or historical research purposes or statistical purposes shall, in accordance with Article 89(1), not be considered to be incompatible with the initial purposes ('purpose limitation'); c) adequate, relevant and limited to what is necessary in relation to the purposes for which they are processed ('data minimisation'); d) accurate and, where necessary, kept up to date; every reasonable step must be taken to ensure that personal data that are inaccurate, having regard to the purposes for which they are processed, are erased or rectified without delay ('accuracy'); e) kept in a form which permits identification of data subjects for no longer than is necessary for the purposes for which the personal data are processed; personal data may be stored for longer periods insofar as the personal data will be processed solely for archiving purposes in the public interest, scientific or historical research purposes or statistical purposes in accordance with Article 89(1) subject to implementation of the appropriate technical and organisational measures required by this Regulation in order to safeguard the rights and freedoms of the data subject ('storage limitation'); f) processed in a manner that ensures appropriate security of the personal data, including protection against unauthorised or unlawful processing and against accidental loss, destruction or damage, using appropriate technical or organisational measures ('integrity and confidentiality'). Article 5 also requires that the controller [The National Archives] shall be responsible for, and be able to demonstrate compliance with, paragraph 1 ('accountability'). As can be seen, these principles apply only in part to the archival holdings but for all other personal information, they must be adhered to. There are sanctions to ensure compliance: the Information Commissioner has powers to enter premises where an offence under the Act is suspected of having been committed and to inspect or seize material. The Information Commissioner also has the right to prosecute offenders, including any third party processors of personal data, and compensation or fines may be payable. All breaches of security leading to the accidental or unlawful destruction, loss, alteration, unauthorised disclosure of, or access to, personal data that present a likely risk to people's rights and freedoms will be reported to the Information Commissioner within 72 hours of discovery. 4 Data protection and the archival holdings The Data Protection Legislation permits the processing personal data for permanent preservation (including the special categories of personal data) without consent, where necessary for "archiving purposes in the public interest" subject to appropriate safeguards for the rights and freedoms of data subjects. However, it applies only in part to personal information in records that are not sufficiently structured for specific information about specific individuals to be readily accessible. Where personal information in archives is being processed solely for the purposes of archival preservation, and is not accessible to the public, the National Archives can claim exemption, in accordance with Part 2 sections 19 and 25, and Schedule 2 Part 6 paragraph 28 of the Data Protection Act 2018 from most of the Data Protection Principles, and to some extent from the rights of individuals including the obligation to respond to access requests from data subjects. However, as a matter of policy, we will respond to access requests when an individual's rights or entitlements seem to be at stake, in recognition of the National Archives' role as a public body. The National Archives will consider requests to restrict or suppress personal data, that is in the archive, in accordance with its Takedown and Reclosure Policy. 5 Data Protection Officer The National Archives has a Data Protection Officer, whose duty it is under the GDPR to assist the National Archives to monitor internal compliance, inform and advise on data protection obligations, provide advice regarding Data Protection Impact Assessments (DPIAs) and act as a contact point for data subjects and the Information Commissioner. The Data Protection Officer must be consulted at all stages of processing personal data. The Data Protection Officer is assisted by two deputies: for general data protection and information management matters; and for data security matters. Jeff James CHIEF EXECUTIVE AND KEEPER 25 April 2018

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## London Heads Of Procurement Network Draft Minutes Date**:** 20 June 2013 **Time****:** 10.00 am - 12.30 pm Venue: London Councils 59½ Southwark Street London SE1 0AL Please ask for Fabian Ashun Jr at reception. Contact**:** Ned Mussen **Email:** **** ned.mussen@camden.gov.uk Attendees: | | | | | |------------------------|---------------------|-----------|-------------------| | Borough / Entity | Head of Procurement | Attending | Alternate (if not | | (Y/N) | attending) | | | | | | | | | Barnet | | | | | Lesley Meeks | | | | | N | Susan Lowe | | | | | | | | | Kevin Bates | | | | | N | - | | | | Barking and Dagenham | | | | | Martin Storrs | | | | | N | | | | | Bexley | | | | | Mick Sullivan | | | | | Y | | | | | | | | | | Brent | | | | | Paul Davies | | | | | Y | | | | | Bromley | | | | | Dave Starling | | | | | N | Wendy Norman | | | | Camden | | | | | Terry Brewer | | | | | Y | | | | | | | | | | Ned Mussen | | | | | Y | | | | | City of London | | | | | Gary Dowding | | | | | N | | | | | Croydon | | | | | Steve Peddie | | | | | N | - | | | | Ealing | | | | | Kate Graefe | | | | | N | Tim Smith | | | | Enfield | | | | | David Levy (WF too) | | | | | Y | | | | | Greenwich | | | | | Peter Norman | | | | | Y | | | | | Hackney | | | | | Mike Robson | | | | | N | | | | | Hammersmith and Fulham | | | | | Francis Murphy | | | | | Y | | | | | Haringey | | | | | Michael Wood | | | | | N | Kim Sanford | | | | Janet Siman | | | | | Harrow | | | | | Robin Edwards | | | | | N | | | | | | | | | |--------------------------|---------------------|-----------|-------------------| | Borough / Entity | Head of Procurement | Attending | Alternate (if not | | (Y/N) | attending) | | | | | | | | | Havering | | | | | Hassan Iqbal | | | | | Y | | | | | Hillingdon | | | | | Perry Scott | | | | | N | | | | | - | | | | | Y | | | | | Hounslow | | | | | Brian Pinnell | | | | | | | | | | | | | | | Mark Pearson | | | | | Y | | | | | Islington | | | | | Peter Horlock | | | | | Y | | | | | | | | | | Kensington and Chelsea | | | | | Andrew Lee | | | | | Y | | | | | Kingston upon Thames | | | | | Chris Morgan | | | | | N | Justine Dennis | | | | Lambeth | | | | | Eugene McLaughlin | | | | | Y | | | | | | | | | | Keith Marshall | | | | | Y | | | | | Lewisham | | | | | Andy Murray | | | | | Y | | | | | Newham | | | | | David Pridmore | | | | | Y | | | | | Merton | | | | | Peter Stone | | | | | N | Divine Ihekwoaba | | | | Redbridge | | | | | Dave Wood | | | | | N | | | | | Richmond upon Thames | | | | | Nick Richmond Smith | | | | | | | | | | N | - | | | | Southwark | | | | | Tania Dyos | | | | | N | John Darby | | | | Sutton | | | | | Mark Brewer | | | | | Y | | | | | Tower Hamlets | | | | | Zamil Ahmed | | | | | Y | | | | | Waltham Forest | | | | | David Levy (Enfield too) | | | | | Y | | | | | Wandsworth | | | | | Mark Glaister | | | | | N | | | | | N | | | | | - | | | | | Kylie Bourke | | | | | Snowia Hussain | | | | | Westminster | | | | | Anthony Oliver | | | | | Mandy Gado | | | | | Richard Hampson | | | | | Maria Benbow | | | | | London Councils | | | | | Hugh Grover | | | | | N | Jon Rowney | | | | | | | | | Fabian Ashun Jnr | | | | | Y | | | | | LCSG | | | | | Caroline Heckscher | | | | | Y | | | | | WLA | | | | | Paul Higgins | | | | | Y | | | | | | | | | ## Apologies For Absence Refer Above ## 1 Introductions (Est. 10.00 Am) Minutes Of Last Meeting The Minutes Of Last Meeting (Provided In Agenda Papers) Were Reviewed And The Following Points Noted:  The 2013 SOPO conference will be in November this year  The second LPSB newsletter is about to be distributed ## 2 Presentation By Tri-Borough Team On Outcomes Of Tfm Contract (Est. 10.15 Am) Presenter: Glenn Woodhead, Westminster Glenn provided a presentation on the outcomes of TFM contract. The presentation is attached to these minutes. Key outcome was that Amey has been awarded the 10 year contract after a CD process. Savings estimated at 34%. Model doesn't necessarily directly 'tick the SME box'. Following the presentation, there was a Q&A session in which attendees asked a number of questions. To that end, it was agreed that Glenn check back in relation to LLW application. It was also put forward by Glenn that boroughs would benefit from a longer introduction to the contract. ## Action TB undertook to organise this workshop which would include invitations to Corporate Property colleagues. ## 3 Compete4 Presentation & Discussion On Proposal To Switch From Supply4 London As Pan-London Portal (Est. 10.45 Am) Presenter: Patrick Codd, TFL Patrick provided an overview of Compete4. The presentation is attached to these minutes. Key recent development is that BIP (current provider) has been awarded concession contract to continue to operate the system. 90% of packages are private sector to private sector, so SME friendly. Advertising and short-listing tool that then links to relevant e-tendering tool. In April 2012, function was transferred to TFL. After the presentation, discussions moved to the proposal to switch from Supply4 London as pan-London portal. Decision There was agreement to move to CompeteFor and close down Supply4London. ## 4 A Pan-London Commercial Proposal For Dynamic Purchasing Systems (Est. 11.15 Am) Presenter: Andy Weston, Matrix Andy set out a pan-London commercial proposal for Dynamic Purchasing Systems. The proposal is attached to these minutes. The proposal is based from a direct call off from Pro 5 National Contract 312 - DPS. Action TB to organise a demonstration into the training pilot DPS run by Matrix at Camden in in July 2013. TB HoPs are encouraged to review the proposal presented by Matrix and feedback to TB or DP. All ## 5 Expenditure Analysis (Discussion On Proposal To Use Bravo) (Est. 11.45 Am) In the absence of Hugh Grover, the Chair led discussion on the proposal to use Bravo. The proposal would be for a quality spend analytics service, paid for by London Councils and therefor free to boroughs. A data sharing agreement is in place between LC and GPS. Action All Boroughs are encouraged to speak with DoF in order to facilitate signing up to the data sharing agreement. ## 6 Pan-London E-Tendering Strategy (Est. 12 Noon) Discussion centred on the issues which were raised in the paper which was provided as part of the final agenda and supporting papers. The results of the discussions that followed were that there is a three track approach to E-Tendering, based on the following solutions:  Due North boroughs (18)  Bravo boroughs (Tri-Borough) (3)  Oracle boroughs (6) | | |--------------| | Agenda Items | | | | Actions | | | ## 7 Outcomes From Sub-Group Investigating Category Mapping For London Borough Of Camden (Est. 12.10 Pm) Ned Mussen presented the outcomes of the LHOPN sub-group which proposed a number of recommendations which were set out in the paper which was provided as part of the final agenda and supporting papers. Action All HoPs are encouraged to provide feedback on the 3 aims set out in the paper, which are:  Aim 1 - Provide a sourcing guide for London Local Authorities to consider what they should be procuring locally, sub regionally, regionally and nationally (refer Excel worksheet 2)  Aim 2 - Identify where there are gaps in the above sourcing guide (e.g. where there a recommended regional approach and there is no appropriate mechanism in place) and identify resources to undertake pieces of work to fill the gaps (refer Excel worksheet 3)  Aim 3 - Provide a continuously updated list of frameworks for London Local Authorities that are open for London boroughs (or groups of London boroughs) to call off  ## 8 Closure Report On The Category Management Projects (For Submission To Capital Ambition) (Est. 12.20 Pm) Terry Brewer presented the draft of the closure report. Discussion centred on the issues which were raised in the paper which was provided as part of the final agenda and supporting papers. All Action HoPs are encouraged to provide feedback on the draft paper, from category leads in particular. ## 9 Aob (Est. 12.25 Pm) (1) PQQ Update Discussion centred on the latest draft of the PQQ which was provided as part of the final agenda and supporting papers. Action All HoPs are encouraged to provide feedback on the latest draft, to Kim Sanford or Janet Siman, of Haringey. ## (Ii) Lcsg Update Caroline Heckscher gave an update on the LCSG: - AGM held on Monday - Website redevelopment to begin - Planning for conference has commenced - Office Supplies to be worked through with GPS / ESPO as mini tender- boroughs need to align approval processes. Actions All Ideas sought from HoPs in relation to CIPS training ## 10 Future Work Programme And Forward Agenda September 2013 Sub-regional report for South West London Procurement Partnership Childrens Category Update November 2013 Sub-regional report for WLA ## Meetings Will Be Held At London Councils Remaining 2013 LHOPN Dates Please ensure that these dates are in your diaries Date & Time Place Friday 20th September 2013 at 10am London Councils Monday 18th November 2013 at 10am London Councils

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## Balance Of Payments St Quarter 2010 1 Date: 12 July 2010 Coverage: United Kingdom **Theme:** The Economy The current account recorded a deficit of £9.6 billion in the first quarter of 2010, equating to -2.7 per cent of GDP. This compares with a revised surplus of £0.5 billion in the fourth quarter of 2009 (0.1 per cent of GDP). This was the first current account surplus since the third quarter of 1998. A deficit of £8.8 billion was recorded with the EU compared with a deficit of £3.9 billion in the previous quarter. £ billion Current balance Compared with the fourth quarter of 2009, the switch back to a deficit was mainly due to a lower surplus on income. This was compounded by a higher deficit on current transfers and trade in goods together with a lower surplus on trade in services. The surplus on income decreased by £8.1 billion to £3.8 billion. The deficit on current transfers increased by £1.0 billion to £4.3 billion, while the deficit on trade in goods increased by £0.5 billion to £21.7 billion. The surplus on trade in services fell by £0.6 billion to £12.5 billion. Data in this release have been revised from the first quarter of 2006. ## Current Account (Balances) | | | |--------------------------------|-----| | Trade in | | | goods | | | | | | Trade in | | | services | | | | | | Income | | | | | | Transfers | | | | | | Current | | | Balance | | | | | | Current balance | | | as per cent of | | | GDP | | | | | | seasonally adjusted: £ billion | | | | | | % | | | | | | 2008 | Q1 | | -0.6 | | | | Q2 | | -1.8 | | | | Q3 | | -2.1 | | | | Q4 | | -2.2 | | | | | | | | | 2009 | Q1 | | -1.0 | | | | Q2 | | -2.8 | | | | Q3 | | -0.8 | | | | Q4 | | 0.1 | | | | | | | | | 2010 | Q1 | | -2.7 | | ## Current Account Balance As Percentage Of Gdp Current account Trade in goods & services Income The current account balance equates to -2.7 per cent of GDP at current market prices in the first quarter of 2010, compared with 0.1 per cent in the previous quarter. The deficit on trade in goods and services is equivalent to -2.5 per cent of GDP in the latest quarter, compared with -2.3 per cent in the fourth quarter of 2009, while the surplus on income is 1.1 per cent of GDP in the latest quarter, compared with 3.4 per cent in the previous quarter. Current account with EU and non-EU countries (Table C) EU/non EU current account ## EU countries A deficit of £8.8 billion was recorded with the EU in the first quarter of 2010, compared with a deficit of £3.9 billion in the previous quarter. This increase was due to a fall in the surplus on income and a rise in the deficit on current transfers, partly offset by a fall in the deficit on trade in goods and an increase in the surplus on trade in services. The current account with non- EU countries showed a deficit of £0.9 billion in the latest quarter, compared to a surplus in the fourth quarter of 2009 of £4.4 billion. This switch was due to a reduction in the surplus of income and trade in services and an increase in the deficit on trade in goods, partly offset by a decrease in the deficit on current transfers. ## Trade In Goods (Table E) The deficit on trade in goods in the first quarter of 2010 was £21.7 billion, compared with £21.1 billion in the previous quarter. Exports rose by £1.6 billion, and imports rose by £2.2 billion. The deficit for trade in semi-manufactured goods widened by £0.8 billion to £1.6 billion, and the deficit for finished manufactured goods widened by £0.2 billion to £13.5 billion. The deficit for trade in oil narrowed by £0.4 billion to £0.3 billion, while the deficit for food, beverages and tobacco narrowed by £0.3 billion to £4.2 billion. ## Trade In Services (Table F) Trade In Services Balance 0 2 4 6 8 10 12 14 16 18 2008 Q3 2008 Q4 2009 Q1 2009 Q2 2009 Q3 2009 Q4 2010 Q1 £ billion The trade in services surplus was £12.5 billion in the first quarter of 2010, £0.6 billion lower than in the previous quarter. Exports fell by £0.7 billion to £39.1 billion, mainly reflecting a decrease in financial services (£0.4 billion), royalties and license fees (£0.3 billion) and construction services (£0.2 billion). Imports fell by £0.2 billion to £26.6 billion, reflecting decreases in government (£0.3 billion) and construction services (£0.2 billion), partially offset by an increase in financial services (£0.3 billion). Income (Table G) Income balance £ billion 14 12 10 8 6 4 2 0 2007 Q4 2008 Q1 2008 Q2 2008 Q3 2008 Q4 2009 Q1 2009 Q2 2009 Q3 2009 Q4 2010 Q1 The surplus on **income** in the first quarter of 2010 fell to £3.8 billion, from £11.9 billion in the previous quarter. Income credits were £41.5 billion in the first quarter of 2010, £0.1 billion higher than in the previous quarter. The rise was due to an increase of earnings from the previous quarter of £1.1 billion on direct investment abroad partially offset by a £0.9 billion reduction in earnings on other investment abroad. Income debits increased by £8.2 billion in the latest quarter to £37.6 billion. The rise was mainly driven by an increase in earnings from the previous quarter of £7.7 billion on direct investment in the UK. Earnings on portfolio investment in the UK increased by £1.0 billion in the latest quarter. These gains were slightly offset by a decrease in earnings on other investment in the UK of £0.5 billion. The deficit on compensation of employees was £0.2 billion in the first quarter of 2010, little changed from the previous quarter. The surplus on direct investment income was £10.0 billion in the first quarter of 2010, down £6.6 billion on the previous quarter. Earnings on direct investment abroad were £22.0 billion in the latest period, up from £20.9 billion in the fourth quarter of 2009. The increase was mainly driven by a switch to profits from losses in the previous quarter by monetary financial institutions and an increase in earnings by other financial intermediaries, partially offset by a decrease in earnings by private non-financial corporations and insurance companies. Foreign earnings on direct investment in the UK rose by £7.7 ## billion in the latest quarter to £11.9 billion. The rise was mainly due to a switch from losses to profits by monetary financial institutions in the UK. Portfolio investment income recorded a deficit of £3.4 billion in the first quarter of 2010, following a deficit of £2.4 billion in the previous quarter. UK earnings on portfolio investment abroad fell by £0.1 billion in the first quarter of 2010 to £11.6 billion. This was due to a reduction in dividend receipts on equity securities. Foreign earnings on portfolio investment in the UK rose by £1.0 billion in the latest quarter to £15.1 billion. The rise was due to higher earnings on UK equity securities and long- term debt. ## The deficit on earnings from **other investment** increased by £0.4 billion to £2.8 billion in the latest period. Earnings on other investment abroad were £7.5 billion, a decrease of £0.9 billion on the previous quarter. Earnings on other investment in the UK were £10.2 billion, a fall of £0.5 billion from the previous quarter. Income on reserve assets was £0.2 billion in the first quarter of 2010, little changed from the income earned in the previous quarter. Current Transfers (Table H) £ billion The deficit on current transfers increased by £1.0 billion in the first quarter of 2010 to £4.3 billion. This was mainly as a result of an increase in the UK's payments to EU institutions. It should be noted that the quarterly path of net contributions to EU institutions can be erratic. Capital Account (Table I) The capital account recorded a surplus of £1.2 billion in the first quarter of 2010, a rise of £0.3 billion from the fourth quarter of 2009. ## Financial Account (Table J) Financial Account UK investment abroad Investment in the UK The financial account showed a net inflow (i.e. inward investment) of £1.0 billion in the first quarter of 2010, compared with a net inflow of £6.1 billion in the previous quarter. There was net investment abroad of £101.2 billion in the latest quarter, following net disinvestment of £29.8 billion in the fourth quarter of 2009. There was net investment in the UK of £102.2 billion in the first quarter of 2010, following net disinvestment of £23.7 billion in the previous quarter. Direct investment recorded net inward investment of £14.8 billion in the latest quarter compared with net outward investment of £3.8 billion in the previous quarter. Direct Investment abroad showed net investment of £11.0 billion in the first quarter of 2010, compared to net investment of £17.2 billion in the previous quarter. The reduction in the net investment is due to a switch to net disinvestment in other capital transactions outweighing the increased investment in reinvested earnings and the switch to net investment in equity capital. Transactions in equity capital switched from disinvestment of £0.7 billion in the fourth quarter of 2009 to investment of £1.5 billion in the latest period, reinvested earnings increased by £6.4 billion to £11.7 billion, while other capital transactions switched from net investment of £12.7 billion in the previous quarter to net disinvestment of £2.2 billion in the first quarter of 2010. Other financial intermediaries' investment switched from an outflow of £0.5 billion in the fourth quarter of 2009 to a net inflow of £4.3 billion in the latest quarter, while net investment by monetary financial institutions fell from £6.0 billion in the previous quarter to £2.7 billion in the first quarter of 2010. Net investment by private non-financial corporations fell from £10.8 billion in the fourth quarter of 2009 to £9.9 billion in the latest quarter. These falls in investment were partially offset by a switch by insurance companies from net disinvestment in the fourth quarter of 2009 to net investment in the latest quarter. Direct investment into the UK showed net investment of £25.9 billion in the first quarter of 2010, £12.4 billion higher than in the fourth quarter of 2009, mainly due to a switch to investment in other capital transactions. Net investment in other capital increased to £8.5 billion in the latest quarter, switching from Statistical Bulletin: Balance of Payments, 1st quarter 2010 | Page 6 disinvestment of £3.1 billion in the fourth quarter of 2009, reinvested earnings increased by £0.9 billion to £3.6 billion, while investment in equity securities fell to £13.8 billion in the first quarter of 2010, from £13.9 billion in the previous quarter. Investment in private non-financial corporations switched from net disinvestment of £4.4 billion in the fourth quarter of 2009 to net investment of £18.7 billion in the latest quarter, while investment in other financial intermediaries (excluding securities dealers) increased by £4.0 billion in the latest quarter to £6.2 billion. These gains were partially offset by a reduction in investment in securities dealers and monetary financial institutions, and a switch from net investment to net disinvestment in insurance companies. Portfolio investment in the first quarter of 2010 switched to a net inflow of £18.0 billion compared with a net outflow of £5.3 billion in the previous quarter. Portfolio investment £ billion 200 UK investment abroad Investment in the UK 150 100 50 0 -50 -100 -150 2009 Q3 2009 Q4 2010 Q1 Portfolio investment abroad showed net investment of £12.7 billion in the first quarter of 2010, following net investment of £20.1 billion in the fourth quarter of 2009. Net investment in debt securities increased from £12.4 billion in the fourth quarter of 2009, to £25.9 billion in the latest quarter. Net investment in equity securities switched from a net outflow of £7.7 billion in the previous quarter, to a net inflow of £13.2 billion in the latest quarter. In the latest quarter, investment by other financial intermediaries decreased by £8.4 billion to £17.4 billion, mainly driven by a switch to net disinvestment in equity securities. Insurance companies and pension funds switched from net investment of £6.5 billion to net disinvestment of £1.2 billion, driven mainly by an increase in disinvestment in equity securities. These falls were partially offset as both monetary financial institutions and private non-financial corporations reduced their level of net disinvestment. Portfolio investment in the UK showed net investment of £30.7 billion in the first quarter of 2010, compared with net investment of £14.8 billion in the fourth quarter of 2009. There was net investment in debt securities of £37.9 billion in the latest quarter, an increase of £32.7 billion on the previous quarter. Net investment in equity securities switched to net disinvestment of £7.2 billion in the first quarter of 2010, following net investment of £9.6 billion in the fourth quarter of 2009. Investment in central government securities increased by £16.9 billion to £30.1 billion, mainly driven by a switch to net Statistical Bulletin: Balance of Payments, 1st quarter 2010 | Page 7 investment in treasury bills. Disinvestment in securities issued by monetary financial institutions fell to £1.7 billion in the first quarter of 2010 from disinvestment of £6.6 billion in the previous quarter. Investment in other sectors fell in the first quarter of 2010 driven by a switch from net investment to net disinvestment in equity securities. There was net investment in long-term debt of £35.2 billion in the latest quarter, while there was a switch from net disinvestment in short-term debt of £12.9 billion in the previous quarter to net investment of £2.7 billion in the latest quarter. Financial derivatives showed net settlement payments of £21.1 billion in the first quarter of 2010, following net settlement payments of £23.5 billion in the previous quarter. Other investment in the latest quarter recorded net outward investment of £51.6 billion compared with net outward investment of £8.7 billion in the previous quarter. ## Other Investment Other investment abroad switched to net investment of £97.3 billion in the first quarter of 2010, following net disinvestment of £43.3 billion in the fourth quarter of 2009. The investment in the latest quarter was mainly due to a switch to net deposits abroad by UK residents of £75.6 billion. Other investment in the UK switched to net investment of £45.7 billion in the first quarter of 2010, compared with net disinvestment of £52.0 billion in the fourth quarter of 2009. There was a switch with UK monetary financial institutions from net withdrawals of £23.8 billion in the previous quarter to net deposits of £46.0 billion in the latest quarter, while UK securities dealers made reduced net short-term loan repayments of £8.2 billion, down from £52.7 billion in the previous quarter. Reserve assets showed net investment of £1.3 billion in the first quarter of 2010, compared with net disinvestment of £0.5 billion in the previous quarter. ## International Investment Position (Net) International Investment Position (Table K) £ billion The international investment position showed net external liabilities (i.e. liabilities exceed assets) of £218.2 billion at the end of the first quarter of 2010 compared with net external liabilities of £275.0 billion at the end of the previous quarter. UK assets abroad increased by £587.7 billion from the end of the fourth quarter of 2009 to a level of £9287.7 billion at the end of the first quarter of 2010. UK liabilities increased by £530.8 billion over the same period to a level of £9505.8 billion. The increase in the level of both UK assets and UK liabilities in the first quarter of 2010 mainly reflects a combination of the increase in investment flows and revaluation effects due to exchange rate movements and price changes. Revisions since last Balance of Payments Statistical Bulletin (Table R) Data in this release have been revised from the first quarter of 2006. Overall changes to the current account in the latest periods, by current balance component, are as follows: £ billion 08q1 08q2 08q3 08q4 09q1 09q2 09q3 09q4 Trade in goods - - - 0.2 0.1 -0.1 - -0.1 Trade in services - -0.1 0.1 0.2 - -0.1 -0.1 0.7 Income -0.8 -0.4 0.4 -1.4 0.6 -2.8 3.2 1.6 Current transfers - -0.1 -0.1 0.2 - - -0.1 - Current balance -0.8 -0.5 0.4 -0.9 0.6 -2.9 3.0 2.2 Notes: columns may not sum due to rounding; - means nil or less than £50 million. Trade in goods - The revisions to trade in goods from the first quarter of 2008 onwards reflect revised data from Her Majesty's Revenue and Customs and other data suppliers, revised estimates of trading associated with VAT MTIC fraud, later survey data on trade prices, and a re- assessment of seasonal factors. The revisions are consistent with the UK Trade data released on 9th June 2010. Trade data released on 9th July 2010 were subject to additional small revisions and are therefore not fully consistent with the trade in goods data in this statistical bulletin. Trade in Services - Revisions in 2009 are due to the inclusion of provisional annual data from the International Trade in Services survey, Bank of England, Chamber of Shipping, Insurance inquiry and other survey sources. Revisions for 2006 to 2008 are due to supply use balancing and small revisions reflect a reassessment of data following the receipt of the provisional annual 2009 ITIS data. Current Transfers - Revisions to current transfers in 2009 are attributable to revised source data for transfers involving the UK government and the use of the latest data for various ONS surveys. Capital Account - Revisions to 2009 reflect annual data from the International Trade in Services survey for purchases of non-produced non- financial assets. Statistical Bulletin: Balance of Payments, 1st quarter 2010 | Page 10 Investment income, financial account and international investment position - Revisions from the first quarter 2006 are mainly due to: new methodology for estimating UK banks net transactions in financial derivatives with non-residents, together with the introduction into the accounts of the associated asset and liability levels; the take on of annual benchmark data for foreign direct investment by, and in, UK banks; revisions to coverage adjustments in the estimates for UK non-banks deposits with, and loans from, non-residents; and improved information for UK monetary financial institutions' receipts and payments of interest on loans and deposits. Revisions from the first quarter of 2007 reflect the incorporation of revised annual data for foreign direct investment by, and in, UK non-banks. Revisions to recent periods reflect the receipt of new or revised survey data and a reassessment of seasonal factors. Revisions in the latest period also reflect amended data from quarterly inquiries and new estimates from the Bank for International Settlements. BACKGROUND NOTES This quarter 1. This release includes data available up to 14 June 2010 and is consistent with the dataset to be published in this year's *UK Balance of Payments Pink Book* and UK National Accounts Blue Book. The 2010 *Blue Book* and *Pink Book* dataset will be published electronically on the Office for National Statistics website on 30 July 2010 and the paper versions will be published on 27 August 2010. ## Basic Quality Information For Bop Statistical Bulletin Summary Quality Report 2. A Summary Quality Report For This Statistical Bulletin Is Available On The National Statistics Website At: http://www.statistics.gov.uk/cci/article.asp?ID=1453 ## Key Quality Issues 3. *Common pitfalls in interpreting series:* Expectations of accuracy and reliability in early estimates are often too high. Revisions are an inevitable consequence of the trade off between timeliness and accuracy. Early estimates are based on incomplete data. Very few statistical revisions arise as a result of 'errors' in the popular sense of the word. All estimates, by definition, are subject to statistical 'error'; but in this context the word refers to the uncertainty inherent in any process or calculation that uses sampling, estimation or modelling. Most revisions reflect either the adoption of new statistical techniques, or the incorporation of new information which allows the statistical error of previous estimates to be reduced. Only rarely are there avoidable 'errors' such as human or system failures, and such mistakes are made quite clear when they do occur. ## Reliability 4. The Data In This Statistical Bulletin Are Subject To Revisions Following The Ons National Accounts Revision Policy. The Policy Can Be Found At: http://www.statistics.gov.uk/cci/article.asp?ID=1187&Pos=1&ColRank=2&Rank=224 Estimates for the most recent quarters are provisional and, as usual, are subject to revision in light of updated source information. ONS has recently started to provide an analysis of past revisions in the BoP and other Statistical Bulletins which present time series. Details can be found at: http://www.statistics.gov.uk/cci/article.asp?ID=793 Spreadsheets giving revisions triangles (real time databases) of estimates from 1996 to date and the calculations behind the averages in the table are available on the National Statistics website at: http://www.statistics.gov.uk/StatBase/Product.asp?vlnk=1118 5. Revisions to data provide one indication of the reliability of key indicators. The table below shows summary information on the size and direction of the revisions which have been made to the data covering a five year period. A statistical test has been applied to the average revision to find out if it is statistically significantly different from zero. An asterisk (*) shows that the test is significant. The table covers estimates from the balance of payments first published from June 2002 (2002q1) to March 2007 (2006q4). | Current account (seasonally adjusted) | £million | |----------------------------------------------|-----------------------------------------| | | Revisions between first publication and | | estimates three years later | | | Average over the | | | last five years | | | without regard to | | | sign (average | | | absolute revision) | | | Value in latest | | | period | | | Average over the | | | last five years | | | Credits (HBON) | 146388 | | Debits (HBOO) | 156016 | | Net (HBOP) | -9628 | An article analysing balance of payments current account revisions was published in the May 2007 edition of *Economic & Labour Market Review*. It is available on the National Statistics website at: http://www.statistics.gov.uk/elmr/05_07/downloads/ELMR_May07.pdf Status of figures and planned future revisions 6. In this issue of the Balance of Payments Statistical Bulletin (and in the forthcoming 2010 edition of the Balance of Payments Pink Book), ONS have for the first time introduced data on financial derivatives business of UK banks into the main aggregates of the international investment position. Data for securities dealers and insurance and pension funds will continue to be excluded from the UK's international investment position whilst the data continues to be validated and estimates improved. The financial derivatives balance sheet for all sectors will be published separately in table FD of the Pink Book. 7. ONS and the Bank of England intend to review the measurement of banks' earnings on Foreign Direct Investment (FDI). The current estimates of banks' earnings on FDI are shown on an all inclusive basis, including holding gains and losses but FDI earnings can also be presented on a current operating performance basis, which excludes holding gains and losses. International standards currently allow presentation on either basis but this is also under review by the international organisations as part of the regular update of international guidelines. 8. Import figures for Trade in Goods include adjustments to allow for the impact of trade associated with VAT Missing Trader Intra-Community (MTIC) fraud. The adjustments were introduced for the first time in the UK Trade May 2003 First Release published on 9 July 2003. The adjustments are added to the EU import estimates derived from Intrastat returns. An article explaining the fraud and the impact on the trade figures was published on 9 July 2003. A follow-up report was published on 17 February 2005 which summarises the work carried out since July 2003 to review the estimates of the impact on the trade figures. The articles can be found at: http://www.statistics.gov.uk/cci/article.asp?ID=402 http://www.statistics.gov.uk/cci/article.asp?ID=1066 Changes to the pattern of trading associated with MTIC fraud can make it difficult to analyse trade by commodity group and by country as changes in the impact of activity associated with this fraud affect both imports and exports. Originally, most carousel chains only involved EU member states. From 2004 in particular, some carousel chains included non-EU countries, e.g. Dubai and Switzerland. However, the MTIC trade adjustments are added to the EU import estimates derived from Intrastat returns as it is this part of the chain that is not generally recorded. In particular, adjustments affect trade in capital goods and intermediate goods - these categories include mobile phones and computer components, which are still the most widely affected goods. 9. Figures for total exports and imports less adjustments for trade associated with VAT MTIC fraud are given in the monthly UK Trade Statistical Bulletin, which can be found at: http://www.statistics.gov.uk/StatBase/Product.asp?vlnk=1119 10. Figures for the most recent periods are provisional and subject to revision in light of: (a) late and corrected responses to surveys; (b) revisions to seasonal adjustment factors which are reestimated annually. 11. ONS delivered Q1 2010 current account estimates at the end of May to Eurostat solely for them to estimate aggregate euro-indicators. The same approach is followed for each quarterly delivery. 12. In order to comply with Regulation (EC) No 184/2005, ONS will supply Eurostat and the European Central Bank with current account data for trade in services and investment income unadjusted for FISIM e.g. FISIM will not be included in trade in services but will remain in investment income. Additionally, a detailed geographical and product breakdown of trade in services will be supplied to Eurostat to comply with the same regulation. Both deliveries are scheduled to take place on 12 July 2010. General notes 13. Table C provides an EU/non-EU breakdown of the current account. Data in this release are presented on an EU27 basis, reflecting the expansion of EU membership on 1 January 2007. A quarterly geographic breakdown of the UK's current account with the Euro area, the USA, Japan, Canada, Switzerland, Brazil, China, Hong Kong, India and Russia is also available and is published in *United Kingdom Economic Accounts* (UKEA). 14. Current and capital accounts are seasonally adjusted. Financial account and international investment position data are not seasonally adjusted. 15. When compiling the geographic breakdown of income, current transfers and trade in services, the EU countries are seasonally adjusted. The non-EU seasonally adjusted figure is calculated by subtracting the seasonally adjusted EU total from the seasonally adjusted world total. Both EU and non-EU data are seasonally adjusted for trade in goods; these are aggregated to form the world total. 16. International investment position statistics are based on recording direct investments at book values and other assets and liabilities at estimated market values and are likely in some respects to be deficient in scope and coverage. Quarterly estimates tend to be less reliable because they are largely based on cumulated flows and not reported levels. 17. In theory, every credit entry should be matched by a corresponding debit so that total current, capital and financial account credits should be equal to, and therefore offset by, total debits. In practice there is a discrepancy termed net errors and omissions. The net errors and omissions are shown on Table A. ## Further Information 18. The United Nations Statistics Commission And The Imf Board Of Directors Have Approved The Comprehensive And Parallel Updating Of The Following National Accounts Manuals, In Order To Ensure Their Consistency And Achieve Greater Harmonisation: 1993 System of National Accounts, 1993 (SNA93); Balance of Payments Manual, 5th edition (BPM5); Government Finance Statistics Manual, 2001 (GFSM2001). ONS has developed the following webpage to inform users of progress and to invite their input: http://www.statistics.gov.uk/about/Consultations/NA/default.asp 19. Further Balance of Payments data is available online in the quarterly ONS publication United Kingdom Economic Accounts at: http://www.statistics.gov.uk/StatBase/Product.asp?vlnk=1904&Pos=&ColRank=1&Rank=256 20. Free access to National Statistics data is available online at: http://www.statistics.gov.uk 21. Details of the policy governing the release of new data are available from the Media Office. Also available is a list of the names of those given pre-publication access to the contents of this bulletin. Exceptional pre-publication access was granted for Friday 9 July due to the publication being released on a Monday. 22. **National Statistics** are produced to high professional standards set out in the Code of Practice for Official Statistics. They undergo regular quality assurance reviews to ensure that they meet customer needs. They are produced free from any political interference. © Crown Copyright 2010. ................................................................................................................................................................ Next publication: 28 September 2010 Issued by: Office for National Statistics, Government Buildings, Cardiff Road, Newport NP10 8XG ## Media Contact: Tel Media Relations Office 0845 6041858 Emergency on-call 07867 906553 Email press.office@ons.gsi.gov.uk ## Statistical Contact: Tel Damian Whittard 01633 455497 Email bop@ons.gov.uk ## Website: www.statistics.gov.uk ## Index To Tables A Summary of balance of payments B Current account C Current account transactions with the EU and with non-EU countries D Summary of International investment position, financial account and investment income E Trade in goods F Trade in services G Income H Current transfers I Capital transfers J Financial account K International investment position R1 Summary of revisions since last Balance of Payments Statistical Bulletin R2 Current account revisions since last Balance of Payments Statistical Bulletin R3 Revisions to international investment since last Balance of Payments Statistical Bulletin ## A Summar Y Of Balance Of Payments Balances (Net Transactions) £ million 2008 2009 2008 2008 2008 2008 2009 2009 2009 2009 2010 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Seasonally adjusted Current account Tr ade in goods and services Tr ade in goods BOKI −93 116 −81 875 −23 481 −23 655 −23 830 −22 150 −20 978 −19 968 −19 821 −21 108 −21 657 Tr ade in services IKBD 55 356 49 852 12 169 13 513 13 022 16 652 13 134 11 606 12 031 13 081 12 524 Total trade IKBJ −37 760 −32 023 −11 312 −10 142 −10 808 −5 498 −7 844 −8 362 −7 790 −8 027 −9 133 Income Compensation of employees IJAJ −715 −688 −135 −202 −158 −220 −134 −153 −184 −217 −163 Investment income HBOM 28 750 31 970 13 446 7 506 7 085 713 8 186 2 974 8 691 12 119 4 005 Total income HBOJ 28 035 31 282 13 311 7 304 6 927 493 8 052 2 821 8 507 11 902 3 842 Current transfers Central government FNSV −9 074 −11 186 −2 723 −2 301 −2 319 −1 731 −2 295 −3 337 −2 552 −3 002 −3 316 Other sectors FNTC −4 977 −3 579 −1 380 −1 309 −1 262 −1 026 −1 486 −659 −1 082 −352 −1 021 Total current transfers IKBP −14 051 −14 765 −4 103 −3 610 −3 581 −2 757 −3 781 −3 996 −3 634 −3 354 −4 337 Current balance HBOP −23 776 −15 506 −2 104 −6 448 −7 462 −7 762 −3 573 −9 537 −2 917 521 −9 628 Capital balance FNVQ 3 241 3 219 980 943 571 747 760 870 746 843 1 183 Not seasonally adjusted Current account Tr ade in goods and services Tr ade in goods LQCT −93 116 −81 875 −23 437 −24 260 −23 900 −21 519 −21 506 −20 031 −20 081 −20 257 −22 260 Tr ade in services KTMS 55 356 49 852 12 874 13 692 11 141 17 649 13 512 11 730 10 687 13 923 12 692 Total trade KTMY −37 760 −32 023 −10 563 −10 568 −12 759 −3 870 −7 994 −8 301 −9 394 −6 334 −9 568 Income Compensation of employees KTMP −715 −688 −140 −187 −181 −207 −133 −142 −204 −209 −159 Investment income HMBM 28 750 31 970 14 224 6 569 8 256 −299 8 412 2 874 9 608 11 076 3 988 Total income HMBP 28 035 31 282 14 084 6 382 8 075 −506 8 279 2 732 9 404 10 867 3 829 Current transfers Central government FJUQ −9 074 −11 186 −3 424 −1 965 −2 018 −1 667 −2 976 −3 033 −2 378 −2 799 −4 560 Other sectors FJUR −4 977 −3 579 −1 700 −1 132 −1 251 −894 −1 781 −496 −1 006 −296 −1 250 Total current transfers KTNF −14 051 −14 765 −5 124 −3 097 −3 269 −2 561 −4 757 −3 529 −3 384 −3 095 −5 810 Current balance HBOG −23 776 −15 506 −1 603 −7 283 −7 953 −6 937 −4 472 −9 098 −3 374 1 438 −11 549 Capital balance FKMJ 3 241 3 219 927 981 585 748 704 912 765 838 1 127 Financial account Direct investment HJYV −37 841 −15 357 5 696 −13 954 −20 763 −8 820 −15 996 749 3 680 −3 790 14 827 Portfolio investment HHZD 324 076 34 835 66 258 108 727 29 821 119 270 63 400 3 084 −26 334 −5 315 17 970 Financial derivatives (net) ZPNN −121 684 29 104 −63 328 −18 293 14 144 −54 207 −9 688 5 648 9 666 23 478 21 135 Other investment HHYR −140 078 −37 222 −14 308 −71 443 −14 427 −39 900 −45 377 −4 396 21 262 −8 711 −51 604 Reser ve assets LTCV 1 338 −5 763 931 −108 2 132 −1 617 1 877 −1 304 −6 787 451 −1 323 Net financial transactions HBNT 25 811 5 597 −4 751 4 929 10 907 14 726 −5 784 3 781 1 487 6 113 1 005 Net errors and omissions1 HHDH −5 276 6 690 5 427 1 373 −3 539 −8 537 9 552 4 405 1 122 −8 389 9 417 1 This series represents net errors and omissions in the balance of payments accounts. It is the converse of the current and capital balances (HBOG and and FKMJ) and net financial account transactions (HBNT) and is required to balance these three accounts, not seasonally adjusted. £ million 2008 2009 2008 2008 2008 2008 2009 2009 2009 2009 2010 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Credits Expor ts of goods and services Expor ts of goods BOKG 252 086 227 537 60 769 65 037 66 015 60 265 55 795 54 632 56 436 60 674 62 287 Expor ts of services IKBB 170 819 159 111 40 831 42 209 41 963 45 816 41 463 39 120 38 701 39 827 39 106 Total expor ts of goods and services IKBH 422 905 386 648 101 600 107 246 107 978 106 081 97 258 93 752 95 137 100 501 101 393 Income Compensation of employees IJAH 1 046 916 266 264 262 254 253 233 217 213 228 Investment income HBOK 260 967 173 128 74 126 70 541 65 079 51 221 48 702 39 411 43 881 41 134 41 247 Total income HBOH 262 013 174 044 74 392 70 805 65 341 51 475 48 955 39 644 44 098 41 347 41 475 Current transfers Central government FHDM 5 652 6 158 1 262 1 188 884 2 318 1 752 1 996 1 393 1 017 1 042 Other sectors FHIB 10 669 10 465 2 766 2 624 2 475 2 804 2 504 2 458 2 869 2 634 2 478 Total current transfers IKBN 16 321 16 623 4 028 3 812 3 359 5 122 4 256 4 454 4 262 3 651 3 520 Total HBON 701 239 577 315 180 020 181 863 176 678 162 678 150 469 137 850 143 497 145 499 146 388 Debits Impor ts of goods and services Impor ts of goods BOKH 345 202 309 412 84 250 88 692 89 845 82 415 76 773 74 600 76 257 81 782 83 944 Impor ts of services IKBC 115 463 109 259 28 662 28 696 28 941 29 164 28 329 27 514 26 670 26 746 26 582 Total imports of goods and services IKBI 460 665 418 671 112 912 117 388 118 786 111 579 105 102 102 114 102 927 108 528 110 526 Income Compensation of employees IJAI 1 761 1 604 401 466 420 474 387 386 401 430 391 Investment income HBOL 232 217 141 158 60 680 63 035 57 994 50 508 40 516 36 437 35 190 29 015 37 242 Total income HBOI 233 978 142 762 61 081 63 501 58 414 50 982 40 903 36 823 35 591 29 445 37 633 Current transfers Central government FLUD 14 726 17 344 3 985 3 489 3 203 4 049 4 047 5 333 3 945 4 019 4 358 Other sectors FLUZ 15 646 14 044 4 146 3 933 3 737 3 830 3 990 3 117 3 951 2 986 3 499 Total current transfers IKBO 30 372 31 388 8 131 7 422 6 940 7 879 8 037 8 450 7 896 7 005 7 857 Total HBOO 725 015 592 821 182 124 188 311 184 140 170 440 154 042 147 387 146 414 144 978 156 016 Balances Tr ade in goods and services Tr ade in goods BOKI −93 116 −81 875 −23 481 −23 655 −23 830 −22 150 −20 978 −19 968 −19 821 −21 108 −21 657 Tr ade in services IKBD 55 356 49 852 12 169 13 513 13 022 16 652 13 134 11 606 12 031 13 081 12 524 Total trade in goods and services IKBJ −37 760 −32 023 −11 312 −10 142 −10 808 −5 498 −7 844 −8 362 −7 790 −8 027 −9 133 Income Compensation of employees IJAJ −715 −688 −135 −202 −158 −220 −134 −153 −184 −217 −163 Investment income HBOM 28 750 31 970 13 446 7 506 7 085 713 8 186 2 974 8 691 12 119 4 005 Total income HBOJ 28 035 31 282 13 311 7 304 6 927 493 8 052 2 821 8 507 11 902 3 842 Current transfers Central government FNSV −9 074 −11 186 −2 723 −2 301 −2 319 −1 731 −2 295 −3 337 −2 552 −3 002 −3 316 Other sectors FNTC −4 977 −3 579 −1 380 −1 309 −1 262 −1 026 −1 486 −659 −1 082 −352 −1 021 Total current transfers IKBP −14 051 −14 765 −4 103 −3 610 −3 581 −2 757 −3 781 −3 996 −3 634 −3 354 −4 337 Current balance HBOP −23 776 −15 506 −2 104 −6 448 −7 462 −7 762 −3 573 −9 537 −2 917 521 −9 628 Balances as a percentage of GDP1 Tr ade in goods and services Tr ade in goods D28J −6.4 −5.9 −6.5 −6.5 −6.6 −6.2 −6.0 −5.8 −5.7 −6.0 −6.0 Tr ade in services D28K 3.8 3.6 3.4 3.7 3.6 4.6 3.8 3.4 3.5 3.7 3.5 Total trade in goods and services D28L −2.6 −2.3 −3.1 −2.8 −3.0 −1.5 −2.3 −2.4 −2.2 −2.3 −2.5 Total income D28M 1.9 2.2 3.7 2.0 1.9 0.1 2.3 0.8 2.4 3.4 1.1 Total current transfers D28N −1.0 −1.1 −1.1 −1.0 −1.0 −0.8 −1.1 −1.2 −1.0 −1.0 −1.2 Current balance as percentage of GDP AA6H −1.6 −1.1 −0.6 −1.8 −2.1 −2.2 −1.0 −2.8 −0.8 0.1 −2.7 1 Using series YBHA: GDP at current market prices ## C Current Account: Transactions With The European Union (Eu) And With Non-Eu Countries Seasonally Adjusted £ Million 2008 2009 2008 2008 2008 2008 2009 2009 2009 2009 2010 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Transactions with the European Union 1 2 Credits Expor ts of goods LGCK 141 831 124 334 34 732 36 928 37 084 33 087 30 845 29 411 31 002 33 076 33 890 Expor ts of services GD7B 69 233 63 978 16 569 17 222 17 398 18 044 16 488 16 218 15 960 15 312 15 230 Total expor ts of goods and services GD7A 211 064 188 312 51 301 54 150 54 482 51 131 47 333 45 629 46 962 48 388 49 120 Income G97T 120 064 77 130 31 942 31 911 30 237 25 974 22 506 19 224 18 872 16 528 15 941 Current transfers GD76 10 873 11 572 2 777 2 348 2 027 3 721 3 214 3 199 2 659 2 500 2 449 Total G97N 342 001 277 014 86 020 88 409 86 746 80 826 73 053 68 052 68 493 67 416 67 510 Debits Impor ts of goods LGDC 181 070 161 496 46 120 47 339 46 109 41 502 39 281 38 492 39 919 43 804 43 352 Impor ts of services GD7T 58 576 54 773 14 795 14 531 14 535 14 715 14 978 13 561 12 723 13 511 12 200 Total imports of goods and services GD7S 239 646 216 269 60 915 61 870 60 644 56 217 54 259 52 053 52 642 57 315 55 552 Income G97K 91 733 57 619 25 183 25 921 21 516 19 113 16 915 15 277 14 669 10 758 15 876 Current transfers GD7O 16 152 17 498 4 946 3 979 3 360 3 867 5 138 5 086 4 051 3 223 4 833 Total G97E 347 531 291 386 91 044 91 770 85 520 79 197 76 312 72 416 71 362 71 296 76 261 Balances Tr ade in goods LGCG −39 239 −37 162 −11 388 −10 411 −9 025 −8 415 −8 436 −9 081 −8 917 −10 728 −9 462 Tr ade in services GD7Y 10 657 9 205 1 774 2 691 2 863 3 329 1 510 2 657 3 237 1 801 3 030 Total trade in goods and services GD7X −28 582 −27 957 −9 614 −7 720 −6 162 −5 086 −6 926 −6 424 −5 680 −8 927 −6 432 Income G97C 28 331 19 511 6 759 5 990 8 721 6 861 5 591 3 947 4 203 5 770 65 Current transfers GD7V −5 279 −5 926 −2 169 −1 631 −1 333 −146 −1 924 −1 887 −1 392 −723 −2 384 Total G976 −5 530 −14 372 −5 024 −3 361 1 226 1 629 −3 259 −4 364 −2 869 −3 880 −8 751 ## Transactions With Non-Eu Countries 3 Credits Expor ts of goods LGDY 110 255 103 203 26 037 28 109 28 931 27 178 24 950 25 221 25 434 27 598 28 397 Expor ts of services GEK9 101 586 95 133 24 262 24 987 24 565 27 772 24 975 22 902 22 741 24 515 23 876 Total expor ts of goods and services GEK8 211 841 198 336 50 299 53 096 53 496 54 950 49 925 48 123 48 175 52 113 52 273 Income G98L 141 949 96 914 42 450 38 894 35 104 25 501 26 449 20 420 25 226 24 819 25 534 Current transfers GEK6 5 448 5 051 1 251 1 464 1 332 1 401 1 042 1 255 1 603 1 151 1 071 Total G98E 359 238 300 301 94 000 93 454 89 932 81 852 77 416 69 798 75 004 78 083 78 878 Debits Impor ts of goods LGER 164 132 147 916 38 130 41 353 43 736 40 913 37 492 36 108 36 338 37 978 40 592 Impor ts of services GEM9 56 887 54 486 13 867 14 165 14 406 14 449 13 351 13 953 13 947 13 235 14 382 Total imports of goods and services GEM8 221 019 202 402 51 997 55 518 58 142 55 362 50 843 50 061 50 285 51 213 54 974 Income G98C 142 245 85 140 35 898 37 580 36 898 31 869 23 987 21 545 20 921 18 687 21 757 Current transfers GEM6 14 220 13 890 3 185 3 443 3 580 4 012 2 899 3 364 3 845 3 782 3 024 Total G985 377 484 301 432 91 080 96 541 98 620 91 243 77 729 74 970 75 051 73 682 79 755 Balances Tr ade in goods LGDT −53 877 −44 713 −12 093 −13 244 −14 805 −13 735 −12 542 −10 887 −10 904 −10 380 −12 195 Tr ade in services GEN6 44 699 40 647 10 395 10 822 10 159 13 323 11 624 8 949 8 794 11 280 9 494 Total trade in goods and services GEN5 −9 178 −4 066 −1 698 −2 422 −4 646 −412 −918 −1 938 −2 110 900 −2 701 Income G983 −296 11 774 6 552 1 314 −1 794 −6 368 2 462 −1 125 4 305 6 132 3 777 Current transfers GEN3 −8 772 −8 839 −1 934 −1 979 −2 248 −2 611 −1 857 −2 109 −2 242 −2 631 −1 953 Total G97V −18 246 −1 131 2 920 −3 087 −8 688 −9 391 −313 −5 172 −47 4 401 −877 1 EU presented on an EU27 basis. 2 Includes transactions with European Union institutions. 3 Includes transactions with international organisations other than European Union institutions. ## D Summar Y Of International Investment Position, Financial Account And Investment Income Not Seasonally Adjusted £Billion 2008 2009 2008 2008 2008 2008 2009 2009 2009 2009 2010 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Investment abroad Inter national Investment Position Direct investment HBWD 1 046.1 1 024.4 896.8 935.3 967.1 1 046.1 1 054.5 995.8 1 004.8 1 024.4 1 041.6 Portfolio investment HHZZ 1 664.3 1 889.2 1 643.0 1 589.7 1 591.1 1 664.3 1 648.8 1 646.3 1 863.0 1 889.2 2 012.4 Financial derivatives JX96 4 040.2 2 201.5 2 070.9 2 063.7 2 176.0 4 040.2 3 908.1 2 581.7 2 606.1 2 201.5 2 415.1 Other investment HLXV 4 193.6 3 544.7 4 160.2 3 736.6 3 947.5 4 193.6 3 947.2 3 549.1 3 640.6 3 544.7 3 775.2 Reser ve assets LTEB 36.3 40.1 28.2 27.6 27.0 36.3 34.2 31.7 40.9 40.1 43.3 Total HBQA 10 980.5 8 700.0 8 799.1 8 352.8 8 708.7 10 980.5 10 592.7 8 804.5 9 155.5 8 700.0 9 287.7 Financial Account transactions Direct investment -HJYP 87.6 30.1 22.2 27.7 16.4 21.3 14.2 −3.9 2.6 17.2 11.0 Portfolio investment -HHZC −123.5 154.1 −18.9 1.7 2.7 −108.9 40.8 38.5 54.7 20.1 12.7 Financial derivatives (net) -ZPNN 121.7 −29.1 63.3 18.3 −14.1 54.2 9.7 −5.6 −9.7 −23.5 −21.1 Other investment -XBMM −599.1 −331.0 256.4 −387.6 21.1 −489.0 −168.0 −53.1 −66.6 −43.3 97.3 Reser ve assets -LTCV −1.3 5.8 −0.9 0.1 −2.1 1.6 −1.9 1.3 6.8 −0.5 1.3 Total -HBNR −514.7 −170.1 322.1 −339.9 23.9 −520.8 −105.3 −22.8 −12.2 −29.8 101.2 Investment income earnings Direct investment HJYW 67.3 73.1 21.0 25.0 18.8 2.5 15.3 14.4 23.5 20.0 20.4 Portfolio investment HLYX 67.6 54.5 16.5 17.3 16.5 17.2 15.5 15.6 12.3 11.2 11.6 Other investment AIOP 125.3 44.7 34.8 30.4 30.2 29.8 16.1 11.4 8.8 8.4 7.5 Reser ve assets HHCB 0.8 0.8 0.2 0.2 0.2 0.2 0.2 0.2 0.2 0.2 0.2 Total HMBN 261.0 173.1 72.6 72.8 65.8 49.8 47.2 41.6 44.7 39.7 39.7 Investment in the UK Inter national Investment Position Direct investment HBWI 668.5 671.8 639.8 651.8 648.9 668.5 664.0 659.3 666.6 671.8 697.2 Portfolio investment HLXW 1 978.2 2 376.9 1 930.8 1 980.5 1 953.0 1 978.2 2 001.4 2 101.5 2 345.1 2 376.9 2 462.1 Financial derivatives JX97 3 915.3 2 121.9 2 014.8 1 993.8 2 109.1 3 915.3 3 770.0 2 462.0 2 500.5 2 121.9 2 353.0 Other investment HLYD 4 520.1 3 804.4 4 540.8 4 052.5 4 254.6 4 520.1 4 227.9 3 809.4 3 921.7 3 804.4 3 993.7 Total HBQB 11 082.0 8 975.0 9 126.2 8 678.5 8 965.7 11 082.0 10 663.2 9 032.2 9 434.0 8 975.0 9 505.8 Financial Account transactions Direct investment HJYU 49.8 14.8 27.9 13.7 −4.4 12.5 −1.8 −3.1 6.3 13.4 25.9 Portfolio investment HHZF 200.5 189.0 47.3 110.4 32.5 10.3 104.2 41.6 28.4 14.8 30.7 Other investment XBMN −739.2 −368.2 242.1 −459.1 6.7 −528.9 −213.4 −57.5 −45.4 −52.0 45.7 Total HBNS −488.9 −164.5 317.3 −335.0 34.8 −506.1 −111.1 −19.0 −10.7 −23.7 102.2 Investment income Direct investment HJYX 5.6 19.4 1.5 5.9 1.4 −3.2 1.2 4.5 8.9 4.8 11.4 Portfolio investment HLZC 74.5 60.2 16.2 21.6 19.2 17.5 16.4 16.9 13.7 13.2 14.4 Other investment HLZN 152.1 61.6 40.6 38.8 37.0 35.7 21.1 17.4 12.5 10.6 9.9 Total HMBO 232.2 141.2 58.4 66.3 57.5 50.0 38.7 38.7 35.1 28.6 35.7 Net investment Inter national Investment Position Direct investment HBWQ 377.6 352.7 257.0 283.5 318.2 377.6 390.5 336.5 338.2 352.7 344.4 Portfolio investment CGNH −313.8 −487.7 −287.7 −390.8 −361.9 −313.8 −352.6 −455.3 −482.1 −487.7 −449.6 Financial derivatives JX98 124.9 79.6 56.1 69.9 66.9 124.9 138.1 119.7 105.6 79.6 62.2 Other investment CGNG −326.5 −259.7 −380.5 −315.9 −307.1 −326.5 −280.7 −260.3 −281.1 −259.7 −218.4 Reser ve assets LTEB 36.3 40.1 28.2 27.6 27.0 36.3 34.2 31.7 40.9 40.1 43.3 Net investment HBQC −101.5 −275.0 −327.0 −325.7 −257.0 −101.5 −70.5 −227.7 −278.4 −275.0 −218.2 Financial Accounts transactions Direct investment HJYV −37.8 −15.4 5.7 −14.0 −20.8 −8.8 −16.0 0.7 3.7 −3.8 14.8 Portfolio investment HHZD 324.1 34.8 66.3 108.7 29.8 119.3 63.4 3.1 −26.3 −5.3 18.0 Financial derivatives ZPNN −121.7 29.1 −63.3 −18.3 14.1 −54.2 −9.7 5.6 9.7 23.5 21.1 Other investment HHYR −140.1 −37.2 −14.3 −71.4 −14.4 −39.9 −45.4 −4.4 21.3 −8.7 −51.6 Reser ve assets LTCV 1.3 −5.8 0.9 −0.1 2.1 −1.6 1.9 −1.3 −6.8 0.5 −1.3 Net transactions HBNT 25.8 5.6 −4.8 4.9 10.9 14.7 −5.8 3.8 1.5 6.1 1.0 Investment income earnings Direct investment HJYE 61.7 53.7 19.5 19.1 17.5 5.7 14.1 9.9 14.6 15.1 9.1 Portfolio investment HLZX −6.9 −5.7 0.3 −4.3 −2.7 −0.3 −0.9 −1.3 −1.5 −2.0 −2.8 Other investment CGNA −26.8 −16.9 −5.8 −8.4 −6.7 −5.9 −5.0 −5.9 −3.7 −2.3 −2.5 Reser ve assets HHCB 0.8 0.8 0.2 0.2 0.2 0.2 0.2 0.2 0.2 0.2 0.2 Net earnings HMBM 28.8 32.0 14.2 6.6 8.3 −0.3 8.4 2.9 9.6 11.1 4.0 £ million 2008 2009 2008 2008 2008 2008 2009 2009 2009 2009 2010 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Expor ts Food, beverages and tobacco BOPL 13 738 14 477 3 304 3 364 3 577 3 493 3 568 3 618 3 556 3 735 3 767 Basic materials BOPM 6 637 5 207 1 557 1 940 1 846 1 294 1 170 1 232 1 307 1 498 1 646 Oil ELBL 32 212 24 624 7 155 9 169 9 021 6 867 5 454 5 872 6 107 7 191 7 715 Other fuels BOQI 3 550 2 364 612 943 1 015 980 793 614 420 537 704 Semi-manufactured goods BOPO 76 317 71 492 18 445 19 436 19 935 18 501 17 712 16 993 18 062 18 725 19 200 Finished manufactured goods BOPP 117 840 107 351 29 336 29 764 30 099 28 641 26 642 25 859 26 479 28 371 28 763 Unspecified goods BOQL 1 791 2 022 360 421 522 488 456 444 505 617 492 Total BOKG 252 086 227 537 60 769 65 037 66 015 60 265 55 795 54 632 56 436 60 674 62 287 Impor ts Food, beverages and tobacco BQAR 31 141 32 250 7 407 7 799 7 894 8 041 8 091 8 122 7 796 8 241 7 977 Basic materials BQAS 10 998 7 601 2 806 2 873 2 914 2 405 1 906 1 816 1 879 2 000 2 280 Oil ENXO 38 021 27 760 8 530 10 711 11 040 7 740 6 238 6 203 7 440 7 879 7 980 Other fuels BPBI 10 568 7 432 2 244 2 335 2 843 3 146 2 648 1 671 1 473 1 640 1 950 Semi-manufactured goods BQAU 79 889 74 620 19 502 20 395 20 858 19 134 18 580 18 464 18 028 19 548 20 801 Finished manufactured goods BQAV 172 018 157 025 43 138 43 984 43 751 41 145 38 702 37 694 38 967 41 662 42 240 Unspecified goods BQAW 2 567 2 724 623 595 545 804 608 630 674 812 716 Total BOKH 345 202 309 412 84 250 88 692 89 845 82 415 76 773 74 600 76 257 81 782 83 944 Balances Food, beverages and tobacco ELBE −17 403 −17 773 −4 103 −4 435 −4 317 −4 548 −4 523 −4 504 −4 240 −4 506 −4 210 Basic materials ELBF −4 361 −2 394 −1 249 −933 −1 068 −1 111 −736 −584 −572 −502 −634 Oil ENXQ −5 809 −3 136 −1 375 −1 542 −2 019 −873 −784 −331 −1 333 −688 −265 Other fuels ENIW −7 018 −5 068 −1 632 −1 392 −1 828 −2 166 −1 855 −1 057 −1 053 −1 103 −1 246 Semi-manufactured goods ELBH −3 572 −3 128 −1 057 −959 −923 −633 −868 −1 471 34 −823 −1 601 Finished manufactured goods ELBI −54 178 −49 674 −13 802 −14 220 −13 652 −12 504 −12 060 −11 835 −12 488 −13 291 −13 477 Unspecified goods BQKX −776 −702 −263 −174 −23 −316 −152 −186 −169 −195 −224 Total BOKI −93 116 −81 875 −23 481 −23 655 −23 830 −22 150 −20 978 −19 968 −19 821 −21 108 −21 657 ## Trade In Services Seasonally Adjusted £ Million 2008 2009 2008 2008 2008 2008 2009 2009 2009 2009 2010 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Expor ts Tr anspor tation FKOA 20 884 20 708 4 917 5 089 5 349 5 529 5 297 4 999 4 967 5 445 5 313 Tr avel FAPO 19 598 19 282 5 009 5 025 4 824 4 740 4 868 4 822 4 810 4 782 4 647 Communications FDQP 4 262 4 485 1 027 965 1 150 1 120 1 191 1 129 970 1 195 1 099 Constr uction FDSG 1 246 1 625 271 269 334 372 370 403 365 487 263 Insurance FDTF 7 604 8 333 1 919 1 526 1 784 2 375 2 032 2 251 2 190 1 860 1 966 Financial FDYI 52 821 43 852 12 730 13 121 12 012 14 958 11 983 10 574 10 484 10 811 10 456 Computer and infor mation FDYQ 7 258 6 902 1 619 1 895 1 917 1 827 1 936 1 891 1 629 1 446 1 796 Royalties and license fees FEBA 7 987 7 610 1 883 1 904 2 043 2 157 1 953 1 892 1 880 1 885 1 560 Other business FEHH 44 727 42 243 10 368 11 330 11 476 11 553 10 870 10 213 10 350 10 810 11 079 Personal, cultural and recreational FGXJ 2 274 1 951 553 564 576 581 419 442 547 543 400 Government FGZA 2 158 2 120 535 521 498 604 544 504 509 563 527 Total IKBB 170 819 159 111 40 831 42 209 41 963 45 816 41 463 39 120 38 701 39 827 39 106 Impor ts Tr anspor tation FHME 19 175 17 707 4 808 4 830 4 939 4 598 4 528 4 468 4 363 4 348 4 368 Tr avel APQL 37 256 32 297 9 712 9 344 9 356 8 844 8 504 8 125 7 963 7 705 7 682 Communications FIND 4 346 4 041 1 036 1 027 1 066 1 217 1 071 997 984 989 983 Constr uction FIOU 1 095 1 433 193 215 273 414 320 350 320 443 254 Insurance FIPT 1 108 1 006 280 304 277 247 259 254 243 250 299 Financial FITY 13 146 10 933 3 159 3 407 3 183 3 397 3 043 2 488 2 737 2 665 2 948 Computer and infor mation FIUG 3 391 3 818 988 678 873 852 813 1 005 977 1 023 1 030 Royalties and license fees FIVX 5 750 5 814 1 375 1 377 1 424 1 574 1 474 1 447 1 441 1 452 1 425 Other business FIWF 25 218 27 750 5 908 6 291 6 410 6 609 7 039 7 187 6 754 6 770 6 798 Personal, cultural and recreational FLQJ 1 094 667 270 287 263 274 167 188 150 162 165 Government FLSA 3 884 3 793 933 936 877 1 138 1 111 1 005 738 939 630 Total IKBC 115 463 109 259 28 662 28 696 28 941 29 164 28 329 27 514 26 670 26 746 26 582 Balances Tr anspor tation FLYS 1 709 3 001 109 259 410 931 769 531 604 1 097 945 Tr avel FNGY −17 658 −13 015 −4 703 −4 319 −4 532 −4 104 −3 636 −3 303 −3 153 −2 923 −3 035 Communications FNIT −84 444 −9 −62 84 −97 120 132 −14 206 116 Constr uction FNJM 151 192 78 54 61 −42 50 53 45 44 9 Insurance FNKF 6 496 7 327 1 639 1 222 1 507 2 128 1 773 1 997 1 947 1 610 1 667 Financial FNLQ 39 675 32 919 9 571 9 714 8 829 11 561 8 940 8 086 7 747 8 146 7 508 Computer and infor mation FNLY 3 867 3 084 631 1 217 1 044 975 1 123 886 652 423 766 Royalties and license fees FNMR 2 237 1 796 508 527 619 583 479 445 439 433 135 Other business FNMZ 19 509 14 493 4 460 5 039 5 066 4 944 3 831 3 026 3 596 4 040 4 281 Personal, cultural and recreational FNRB 1 180 1 284 283 277 313 307 252 254 397 381 235 Government FNRU −1 726 −1 673 −398 −415 −379 −534 −567 −501 −229 −376 −103 Total IKBD 55 356 49 852 12 169 13 513 13 022 16 652 13 134 11 606 12 031 13 081 12 524 £ million 2008 2009 2008 2008 2008 2008 2009 2009 2009 2009 2010 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Credits Compensation of employees IJAH 1 046 916 266 264 262 254 253 233 217 213 228 Investment income Ear nings on direct investment abroad CNZQ 67 323 73 127 22 477 23 761 17 789 3 296 16 775 13 070 22 395 20 887 21 961 Ear nings on portfolio investment abroad Ear nings on equity securities CGDT 20 085 17 060 5 013 4 801 5 321 4 950 4 963 4 130 4 015 3 952 3 820 Ear nings on debt securities CGDU 47 472 37 453 11 602 11 407 11 532 12 931 10 633 10 592 8 497 7 731 7 808 Total portfolio investment CGDV 67 557 54 513 16 615 16 208 16 853 17 881 15 596 14 722 12 512 11 683 11 628 Ear nings on other investment abroad CGDW 125 310 44 705 34 847 30 386 30 246 29 831 16 121 11 428 8 784 8 372 7 486 Ear nings on reserve assets HHCC 777 783 187 186 191 213 210 191 190 192 172 Total investment income HBOK 260 967 173 128 74 126 70 541 65 079 51 221 48 702 39 411 43 881 41 134 41 247 Total HBOH 262 013 174 044 74 392 70 805 65 341 51 475 48 955 39 644 44 098 41 347 41 475 Debits Compensation of employees IJAI 1 761 1 604 401 466 420 474 387 386 401 430 391 Investment income Foreign earnings on direct investment in the UK CNZR 5 623 19 389 2 077 5 952 1 370 −3 776 1 750 4 505 8 881 4 253 11 942 Foreign earnings on portfolio investment in the UK Ear nings on equity securities HGOT 26 326 21 959 6 059 6 756 6 959 6 552 5 981 4 306 6 123 5 549 6 085 Ear nings on debt securities CGDX 48 153 38 217 11 383 12 157 12 619 11 994 11 308 10 853 7 545 8 511 8 977 Total portfolio investment CGDZ 74 479 60 176 17 442 18 913 19 578 18 546 17 289 15 159 13 668 14 060 15 062 Ear nings on other investment in the UK CGEB 152 115 61 593 41 161 38 170 37 046 35 738 21 477 16 773 12 641 10 702 10 238 Total investment income HBOL 232 217 141 158 60 680 63 035 57 994 50 508 40 516 36 437 35 190 29 015 37 242 Total HBOI 233 978 142 762 61 081 63 501 58 414 50 982 40 903 36 823 35 591 29 445 37 633 Balances Compensation of employees IJAJ −715 −688 −135 −202 −158 −220 −134 −153 −184 −217 −163 Investment income Direct investment CVWX 61 700 53 738 20 400 17 809 16 419 7 072 15 025 8 565 13 514 16 634 10 019 Portfolio investment Ear nings on equity securities CGEC −6 241 −4 899 −1 046 −1 955 −1 638 −1 602 −1 018 −176 −2 108 −1 597 −2 265 Ear nings on debt securities CGED −681 −764 219 −750 −1 087 937 −675 −261 952 −780 −1 169 Total portfolio investment CGEE −6 922 −5 663 −827 −2 705 −2 725 −665 −1 693 −437 −1 156 −2 377 −3 434 Other investment CGFF −26 805 −16 888 −6 314 −7 784 −6 800 −5 907 −5 356 −5 345 −3 857 −2 330 −2 752 Reser ve assets HHCC 777 783 187 186 191 213 210 191 190 192 172 Total investment income HBOM 28 750 31 970 13 446 7 506 7 085 713 8 186 2 974 8 691 12 119 4 005 Total HBOJ 28 035 31 282 13 311 7 304 6 927 493 8 052 2 821 8 507 11 902 3 842 £ million 2008 2009 2008 2008 2008 2008 2009 2009 2009 2009 2010 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Credits General government Receipts from EU Institutions: Abatement FKKM 4 862 5 392 1 091 981 720 2 070 1 582 1 818 1 222 770 886 Other EU receipts GTTA 134 136 19 37 9 69 9 19 7 101 3 Other receipts CGDN 656 630 152 170 155 179 161 159 164 146 153 Total general government FHDM 5 652 6 158 1 262 1 188 884 2 318 1 752 1 996 1 393 1 017 1 042 Other sectors Receipts from EU Institutions: Social fund1 H5U3 504 499 131 46 − 327 54 84 55 306 18 Agricultural guarantee fund ZXIA 3 049 3 387 720 776 776 777 777 870 870 870 870 ECSC Grant FHHS − − − − − − − − − − − Other receipts CGDO 7 116 6 579 1 915 1 802 1 699 1 700 1 673 1 504 1 944 1 458 1 590 Total other sectors FHIB 10 669 10 465 2 766 2 624 2 475 2 804 2 504 2 458 2 869 2 634 2 478 Total IKBN 16 321 16 623 4 028 3 812 3 359 5 122 4 256 4 454 4 262 3 651 3 520 Debits General government Pa yments to EU institutions GNP:4th resource HCSP 8 628 10 692 2 436 2 149 1 623 2 420 2 553 3 784 2 171 2 184 2 575 GNP adjustments HCSN −205 −137 − − − −205 − − − −137 − Other FLMT 5 −14 4 − − 1 − − − −14 − Other payments CGDP 6 298 6 803 1 545 1 340 1 580 1 833 1 494 1 549 1 774 1 986 1 783 Total general government FLUD 14 726 17 344 3 985 3 489 3 203 4 049 4 047 5 333 3 945 4 019 4 358 Other sectors Pa yments to EU institutions CGDR 4 906 4 238 1 348 1 252 1 138 1 168 1 526 834 1 191 687 1 062 Other payments CGDS 10 740 9 806 2 798 2 681 2 599 2 662 2 464 2 283 2 760 2 299 2 437 Total other sectors FLUZ 15 646 14 044 4 146 3 933 3 737 3 830 3 990 3 117 3 951 2 986 3 499 Total IKBO 30 372 31 388 8 131 7 422 6 940 7 879 8 037 8 450 7 896 7 005 7 857 Balances General government FNSV −9 074 −11 186 −2 723 −2 301 −2 319 −1 731 −2 295 −3 337 −2 552 −3 002 −3 316 Other sectors FNTC −4 977 −3 579 −1 380 −1 309 −1 262 −1 026 −1 486 −659 −1 082 −352 −1 021 Total IKBP −14 051 −14 765 −4 103 −3 610 −3 581 −2 757 −3 781 −3 996 −3 634 −3 354 −4 337 Of which: EU institutions GTTB −4 785 −5 365 −1 827 −1 561 −1 256 −141 −1 657 −1 827 −1 208 −673 −1 860 ## I Capital Account Seasonally Adjusted £ Million 2008 2009 2008 2008 2008 2008 2009 2009 2009 2009 2010 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Credits Capital transfers Central government Debt forgiveness FHIV − − − − − − − − − − − Other capital transfers FHJA − − − − − − − − − − − Total central government FHIU − − − − − − − − − − − Other sectors Migrants' transfers FHJC 3 200 3 467 773 787 802 838 848 859 872 888 901 Debt forgiveness FHJD − − − − − − − − − − − EU Institutions: Regional development fund GTTX 972 640 466 277 44 185 151 164 152 173 431 Agricultural fund for regional development FHJF 417 144 124 167 54 72 7 87 50 − 102 Other capital transfers EBGO − − − − − − − − − − − Total EU institutions GTTY 1 389 784 590 444 98 257 158 251 202 173 533 Total other sectors FHJB 4 589 4 251 1 363 1 231 900 1 095 1 006 1 110 1 074 1 061 1 434 Total capital transfers FHIT 4 589 4 251 1 363 1 231 900 1 095 1 006 1 110 1 074 1 061 1 434 Sales of non-produced, non-financial assets FHJL 1 074 1 281 287 288 210 289 331 334 289 327 353 Total FHLD 5 663 5 532 1 650 1 519 1 110 1 384 1 337 1 444 1 363 1 388 1 787 Debits Capital transfers Central government Debt forgiveness FLWD 73 49 54 1 3 15 44 1 1 3 46 Other capital transfers (project grants) FLWH 491 545 117 110 109 155 128 118 145 154 128 Total central government FLWB 564 594 171 111 112 170 172 119 146 157 174 Other sectors Migrants' transfers FLWJ 744 745 195 184 182 183 208 184 177 176 203 Debt Forgiveness Monetar y financial institutions FLWL − − − − − − − − − − − Public corporations HMLY − − − − − − − − − − − Total debt forgiveness JCWM − − − − − − − − − − − Other capital transfers FLWQ − − − − − − − − − − − Total other sectors FLWI 744 745 195 184 182 183 208 184 177 176 203 Total capital transfers FLWA 1 308 1 339 366 295 294 353 380 303 323 333 377 Purchases of non-produced, non-financial assets FLWT 1 114 974 304 281 245 284 197 271 294 212 227 Total FLYL 2 422 2 313 670 576 539 637 577 574 617 545 604 Balances Capital transfers Central government Debt forgiveness FNTM −73 −49 −54 −1 −3 −15 −44 −1 −1 −3 −46 Other capital transfers FNTN −491 −545 −117 −110 −109 −155 −128 −118 −145 −154 −128 Total central government FNTL −564 −594 −171 −111 −112 −170 −172 −119 −146 −157 −174 Other sectors Migrants' transfers FNTP 2 456 2 722 578 603 620 655 640 675 695 712 698 Debt forgiveness FNTQ − − − − − − − − − − − Other capital transfers FNTR 1 389 784 590 444 98 257 158 251 202 173 533 Total other sectors FNTO 3 845 3 506 1 168 1 047 718 912 798 926 897 885 1 231 Total capital transfers FNTK 3 281 2 912 997 936 606 742 626 807 751 728 1 057 Non-produced, non-financial assets FNTS −40 307 −17 7 −35 5 134 63 −5 115 126 Total FNVQ 3 241 3 219 980 943 571 747 760 870 746 843 1 183 ## J Financial Account Not Seasonally Adjusted £ Million 2008 2009 2008 2008 2008 2008 2009 2009 2009 2009 2010 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 UK investment abroad (net debits) Direct investment abroad Equity capital -HJYM 43 842 14 628 12 728 8 461 4 509 18 144 4 922 2 543 7 845 −682 1 530 Reinvested earnings -HDNY 34 903 25 843 17 252 15 281 14 878 −12 508 6 390 6 704 7 489 5 260 11 663 Other capital transactions -HMAB 8 863 −10 355 −7 743 3 913 −2 982 15 675 2 850 −13 104 −12 757 12 656 −2 151 Total direct investment abroad -HJYP 87 608 30 116 22 237 27 655 16 405 21 311 14 162 −3 857 2 577 17 234 11 042 Portfolio investment abroad Equity securities -HBVI −60 010 11 561 −24 026 −18 073 3 475 −21 386 −7 756 2 942 8 632 7 743 −13 180 Debt securities -XBMW −63 535 142 584 5 085 19 752 −825 −87 547 48 534 35 581 46 078 12 391 25 896 Total portfolio investment abroad -HHZC −123 545 154 145 −18 941 1 679 2 650 −108 933 40 778 38 523 54 710 20 134 12 716 Financial derivatives (net) -ZPNN 121 684 −29 104 63 328 18 293 −14 144 54 207 9 688 −5 648 −9 666 −23 478 −21 135 Other investment abroad -XBMM −599 133 −330 996 256 358 −387 637 21 148 −489 002 −168 033 −53 078 −66 620 −43 265 97 295 Reser ve assets -LTCV −1 338 5 763 −931 108 −2 132 1 617 −1 877 1 304 6 787 −451 1 323 Total -HBNR −514 724 −170 076 322 051 −339 902 23 927 −520 800 −105 282 −22 756 −12 212 −29 826 101 241 Investment in the UK (net credits) Direct investment in the UK Equity capital HJYR 51 996 22 266 27 656 11 321 1 892 11 127 4 149 2 023 2 190 13 904 13 770 Reinvested earnings CYFV 4 739 9 280 2 554 5 454 −1 201 −2 068 1 238 −356 5 750 2 648 3 552 Other capital transactions HMAD −6 968 −16 787 −2 277 −3 074 −5 049 3 432 −7 221 −4 775 −1 683 −3 108 8 547 Total direct investment in the UK HJYU 49 767 14 759 27 933 13 701 −4 358 12 491 −1 834 −3 108 6 257 13 444 25 869 Portfolio investment in the UK Equity securities XBLW 37 538 51 829 5 907 25 111 −1 337 7 857 34 037 13 076 −4 926 9 642 −7 166 Debt securities XBLX 162 993 137 151 41 410 85 295 33 808 2 480 70 141 28 531 33 302 5 177 37 852 Total portfolio investment in the UK HHZF 200 531 188 980 47 317 110 406 32 471 10 337 104 178 41 607 28 376 14 819 30 686 Other investment in the UK XBMN −739 211 −368 218 242 050 −459 080 6 721 −528 902 −213 410 −57 474 −45 358 −51 976 45 691 Total HBNS −488 913 −164 479 317 300 −334 973 34 834 −506 074 −111 066 −18 975 −10 725 −23 713 102 246 Net transactions (net credits *less* net debits) Direct investment Equity capital HBWN 8 154 7 638 14 928 2 860 −2 617 −7 017 −773 −520 −5 655 14 586 12 240 Reinvested earnings HBWT −30 164 −16 563 −14 698 −9 827 −16 079 10 440 −5 152 −7 060 −1 739 −2 612 −8 111 Other capital transactions HBWU −15 831 −6 432 5 466 −6 987 −2 067 −12 243 −10 071 8 329 11 074 −15 764 10 698 Total net direct investment HJYV −37 841 −15 357 5 696 −13 954 −20 763 −8 820 −15 996 749 3 680 −3 790 14 827 Portfolio investment Equity securities HBWV 97 548 40 268 29 933 43 184 −4 812 29 243 41 793 10 134 −13 558 1 899 6 014 Debt securities HBWX 226 528 −5 433 36 325 65 543 34 633 90 027 21 607 −7 050 −12 776 −7 214 11 956 Total net portfolio investment HHZD 324 076 34 835 66 258 108 727 29 821 119 270 63 400 3 084 −26 334 −5 315 17 970 Financial derivatives ZPNN −121 684 29 104 −63 328 −18 293 14 144 −54 207 −9 688 5 648 9 666 23 478 21 135 Other investment HHYR −140 078 −37 222 −14 308 −71 443 −14 427 −39 900 −45 377 −4 396 21 262 −8 711 −51 604 Reser ve assets LTCV 1 338 −5 763 931 −108 2 132 −1 617 1 877 −1 304 −6 787 451 −1 323 Total HBNT 25 811 5 597 −4 751 4 929 10 907 14 726 −5 784 3 781 1 487 6 113 1 005 ## K International Investment Position Balance Sheets Valued At End Of Period: Not Seasonally Adjusted £Billion 2008 2009 2008 2008 2008 2008 2009 2009 2009 2009 2010 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 UK Assets Direct investment abroad Equity capital and reinvested earnings CGMO 1 013.5 999.2 881.8 916.0 950.3 1 013.5 1 017.0 971.6 992.5 999.2 1 017.7 Other capital assets HBUW 32.7 25.2 15.1 19.3 16.8 32.7 37.5 24.2 12.4 25.2 23.9 Total direct investment abroad HBWD 1 046.1 1 024.4 896.8 935.3 967.1 1 046.1 1 054.5 995.8 1 004.8 1 024.4 1 041.6 Portfolio investment abroad Equity securities HEPX 565.2 685.4 684.5 653.4 607.6 565.2 504.0 552.1 647.3 685.4 711.2 Debt securities HHZX 1 099.1 1 203.8 958.5 936.3 983.5 1 099.1 1 144.8 1 094.1 1 215.7 1 203.8 1 301.2 Total portfolio investment abroad HHZZ 1 664.3 1 889.2 1 643.0 1 589.7 1 591.1 1 664.3 1 648.8 1 646.3 1 863.0 1 889.2 2 012.4 Financial derivatives JX96 4 040.2 2 201.5 2 070.9 2 063.7 2 176.0 4 040.2 3 908.1 2 581.7 2 606.1 2 201.5 2 415.1 Other investment abroad HLXV 4 193.6 3 544.7 4 160.2 3 736.6 3 947.5 4 193.6 3 947.2 3 549.1 3 640.6 3 544.7 3 775.2 Reser ve assets LTEB 36.3 40.1 28.2 27.6 27.0 36.3 34.2 31.7 40.9 40.1 43.3 Total HBQA 10 980.5 8 700.0 8 799.1 8 352.8 8 708.7 10 980.5 10 592.7 8 804.5 9 155.5 8 700.0 9 287.7 UK Liabilities Direct investment in the UK Equity capital and reinvested earnings HBUY 537.5 560.2 506.6 521.3 522.5 537.5 540.6 541.0 552.1 560.2 577.2 Other capital liabilities HBVC 131.0 111.6 133.2 130.5 126.4 131.0 123.4 118.3 114.6 111.6 119.9 Total direct investment in the UK HBWI 668.5 671.8 639.8 651.8 648.9 668.5 664.0 659.3 666.6 671.8 697.2 Portfolio investment in the UK Equity securities HLXX 603.2 830.4 756.2 743.4 667.4 603.2 584.7 660.3 793.8 830.4 869.0 Debt securities HLXY 1 375.0 1 546.6 1 174.5 1 237.1 1 285.6 1 375.0 1 416.6 1 441.2 1 551.3 1 546.6 1 593.0 Total portfolio investment in the UK HLXW 1 978.2 2 376.9 1 930.8 1 980.5 1 953.0 1 978.2 2 001.4 2 101.5 2 345.1 2 376.9 2 462.1 Financial derivatives JX97 3 915.3 2 121.9 2 014.8 1 993.8 2 109.1 3 915.3 3 770.0 2 462.0 2 500.5 2 121.9 2 353.0 Other investment in the UK HLYD 4 520.1 3 804.4 4 540.8 4 052.5 4 254.6 4 520.1 4 227.9 3 809.4 3 921.7 3 804.4 3 993.7 Total HBQB 11 082.0 8 975.0 9 126.2 8 678.5 8 965.7 11 082.0 10 663.2 9 032.2 9 434.0 8 975.0 9 505.8 Net International Investment Position Direct investment Equity capital and reinvested earnings HBSH 476.0 439.0 375.2 394.7 427.8 476.0 476.4 430.6 440.4 439.0 440.4 Other capital CGKF −98.4 −86.4 −118.2 −111.2 −109.6 −98.4 −85.9 −94.1 −102.2 −86.4 −96.0 Total net direct investment HBWQ 377.6 352.7 257.0 283.5 318.2 377.6 390.5 336.5 338.2 352.7 344.4 Portfolio investment Equity securities CGNE −37.9 −145.0 −71.8 −90.0 −59.8 −37.9 −80.8 −108.2 −146.5 −145.0 −157.8 Debt securities CGNF −275.9 −342.8 −216.0 −300.8 −302.2 −275.9 −271.8 −347.1 −335.6 −342.8 −291.8 Total net portfolio investment CGNH −313.8 −487.7 −287.7 −390.8 −361.9 −313.8 −352.6 −455.3 −482.1 −487.7 −449.6 Financial derivatives JX98 124.9 79.6 56.1 69.9 66.9 124.9 138.1 119.7 105.6 79.6 62.2 Other investment CGNG −326.5 −259.7 −380.5 −315.9 −307.1 −326.5 −280.7 −260.3 −281.1 −259.7 −218.4 Reser ve assets LTEB 36.3 40.1 28.2 27.6 27.0 36.3 34.2 31.7 40.9 40.1 43.3 Total HBQC −101.5 −275.0 −327.0 −325.7 −257.0 −101.5 −70.5 −227.7 −278.4 −275.0 −218.2 ## R1 Summar Y Of Revisions Since Last Balance Of Payments Statistical Bulletin Balances (Net Transactions) £ million 2008 2009 2007 2008 2008 2008 2008 2009 2009 2009 2009 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Seasonally adjusted Current account Tr ade in goods and services Tr ade in goods BOKI 265 −85 − 45 31 29 160 102 −121 −5 −61 Tr ade in services IKBD 214 539 445 −16 −75 97 208 −20 −70 −64 693 Total trade IKBJ 479 454 445 29 −44 126 368 82 −191 −69 632 Income Compensation of employees IJAJ −1 − 2 −12 −2 11 2 −3 − 2 1 Investment income HBOM −2 257 2 626 386 −800 −387 379 −1 449 568 −2 764 3 206 1 616 Total income HBOJ −2 258 2 626 388 −812 −389 390 −1 447 565 −2 764 3 208 1 617 Current transfers Central government FNSV 19 4 84 −54 −138 −122 333 21 41 −42 −16 Other sectors FNTC −41 −155 −74 42 35 −1 −117 −32 7 −102 −28 Total current transfers IKBP −22 −151 10 −12 −103 −123 216 −11 48 −144 −44 Current balance HBOP −1 801 2 929 843 −795 −536 393 −863 636 −2 907 2 995 2 205 Capital balance FNVQ − −410 1 −3 −1 −2 6 −131 −38 −111 −130 Not seasonally adjusted Current account Tr ade in goods and services Tr ade in goods LQCT 265 −85 − 48 48 52 117 41 −79 −25 −22 Tr ade in services KTMS 214 539 358 1 82 −17 148 136 −163 −349 915 Total trade KTMY 479 454 358 49 130 35 265 177 −242 −374 893 Income Compensation of employees KTMP −1 − 1 −1 − − − − − − − Investment income HMBM −2 257 2 626 −446 −1 154 −818 −301 16 248 −3 393 3 371 2 400 Total income HMBP −2 258 2 626 −445 −1 155 −818 −301 16 248 −3 393 3 371 2 400 Current transfers Central government FJUQ 19 4 1 8 5 35 −29 − −1 2 3 Other sectors FJUR −41 −155 −8 − −14 −44 17 − −39 −61 −55 Total current transfers KTNF −22 −151 −7 8 −9 −9 −12 − −40 −59 −52 Current balance HBOG −1 801 2 929 −94 −1 098 −697 −275 269 425 −3 675 2 938 3 241 Capital balance FKMJ − −410 − − − − − −128 −38 −110 −134 Financial account Direct investment HJYV 1 −32 825 612 1 − − − −10 414 6 904 −7 173 −22 142 Portfolio investment HHZD 14 723 932 1 942 −2 195 1 711 7 531 7 676 4 769 −1 951 −4 976 3 090 Financial derivatives ZPNN −86 175 14 654 5 581 −33 949 −29 234 2 769 −25 761 −11 825 3 777 4 557 18 145 Other investment HHYR 82 080 12 611 −5 306 28 941 31 201 2 503 19 435 6 016 −4 757 10 481 871 Reser ve assets LTCV − − − − − − − − − − − Net financial transactions HBNT 10 629 −4 628 2 829 −7 202 3 678 12 803 1 350 −11 454 3 973 2 889 −36 Net errors and omissions1 HHDH −8 828 2 109 −2 735 8 300 −2 981 −12 528 −1 619 11 157 −260 −5 717 −3 071 1 This series represents net errors and omissions in the balance of payments accounts. It is the converse of the not seasonally adjusted current and capital balances (HBOG and FKMJ) and net financial account transactions (HB- NT) and is required to balance these three accounts. £ million 2008 2009 2007 2008 2008 2008 2008 2009 2009 2009 2009 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Credits Expor ts of goods and services Expor ts of goods BOKG 443 −133 − 133 57 71 182 19 −44 10 −118 Expor ts of services IKBB 61 −2 057 598 −145 −38 1 243 −783 −750 −485 −39 Total expor ts of goods and services IKBH 504 −2 190 598 −12 19 72 425 −764 −794 −475 −157 Income Compensation of employees IJAH 1 − 2 −11 −2 11 3 −3 − 2 1 Investment income HBOK 945 −1 527 1 167 −637 289 1 721 −428 724 −1 223 3 076 −4 104 Total income HBOH 946 −1 527 1 169 −648 287 1 732 −425 721 −1 223 3 078 −4 103 Current transfers Central government FHDM 31 − 112 −81 −104 −116 332 19 1 −7 −13 Other sectors FHIB −42 −375 9 75 −50 −74 7 12 −5 −125 −257 Total current transfers IKBN −11 −375 121 −6 −154 −190 339 31 −4 −132 −270 Total HBON 1 439 −4 092 1 888 −666 152 1 614 339 −12 −2 021 2 471 −4 530 Debits Impor ts of goods and services Impor ts of goods BOKH 178 −48 − 88 26 42 22 −83 77 15 −57 Impor ts of services IKBC −153 −2 596 153 −129 37 −96 35 −763 −680 −421 −732 Total imports of goods and services IKBI 25 −2 644 153 −41 63 −54 57 −846 −603 −406 −789 Income Compensation of employees IJAI 2 − − 1 − − 1 − − − − Investment income HBOL 3 202 −4 153 781 163 676 1 342 1 021 156 1 541 −130 −5 720 Total income HBOI 3 204 −4 153 781 164 676 1 342 1 022 156 1 541 −130 −5 720 Current transfers Central government FLUD 12 −4 28 −27 34 6 −1 −2 −40 35 3 Other sectors FLUZ −1 −220 83 33 −85 −73 124 44 −12 −23 −229 Total current transfers IKBO 11 −224 111 6 −51 −67 123 42 −52 12 −226 Total HBOO 3 240 −7 021 1 045 129 688 1 221 1 202 −648 886 −524 −6 735 Balances Tr ade in goods and services Tr ade in goods BOKI 265 −85 − 45 31 29 160 102 −121 −5 −61 Tr ade in services IKBD 214 539 445 −16 −75 97 208 −20 −70 −64 693 Total trade in goods and services IKBJ 479 454 445 29 −44 126 368 82 −191 −69 632 Income Compensation of employees IJAJ −1 − 2 −12 −2 11 2 −3 − 2 1 Investment income HBOM −2 257 2 626 386 −800 −387 379 −1 449 568 −2 764 3 206 1 616 Total income HBOJ −2 258 2 626 388 −812 −389 390 −1 447 565 −2 764 3 208 1 617 Current transfers Central government FNSV 19 4 84 −54 −138 −122 333 21 41 −42 −16 Other sectors FNTC −41 −155 −74 42 35 −1 −117 −32 7 −102 −28 Total current transfers IKBP −22 −151 10 −12 −103 −123 216 −11 48 −144 −44 Current balance HBOP −1 801 2 929 843 −795 −536 393 −863 636 −2 907 2 995 2 205 Balances as a percentage of GDP1 Tr ade in goods and services Tr ade in goods D28J − − 0.1 − − − − 0.1 −0.1 − − Tr ade in services D28K − 0.1 0.1 − − − − − − − 0.2 Total trade in goods and services D28L − − 0.2 − − − 0.1 − − − 0.2 Total income D28M −0.2 0.1 − −0.2 −0.1 0.1 −0.4 0.2 −0.8 0.9 0.5 Total current transfers D28N − −0.1 0.1 − − − − − − − −0.1 Current balance as percentage of GDP AA6H −0.1 0.2 0.3 −0.2 −0.2 0.1 −0.3 0.2 −0.9 0.9 0.6 1 Using series YBHA: GDP at current market prices ## Revisions To International Investment Since Last Balance Of Payments Statistical Bulletin Not Seasonally Adjusted £Billion 2008 2009 2007 2008 2008 2008 2008 2009 2009 2009 2009 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Investment abroad Inter national Investment Position Direct investment HBWD −4.2 4.5 −14.1 −9.1 −7.5 −5.9 −4.2 5.7 −4.2 − 4.5 Portfolio investment HHZZ − 11.1 3.5 − − − − −0.5 0.5 6.1 11.1 Financial derivatives JX96 4 040.2 2 201.5 1 378.1 2 070.9 2 063.7 2 176.0 4 040.2 3 908.1 2 581.7 2 606.1 2 201.5 Other investment HLXV −23.0 −31.6 −5.7 −22.7 −22.4 −22.4 −23.0 −20.4 −21.4 −35.9 −31.6 Reser ve assets LTEB − − − − − − − − − − − Total HBQA 4 013.0 2 185.5 1 361.8 2 039.1 2 033.7 2 147.7 4 013.0 3 893.0 2 556.5 2 576.4 2 185.5 Financial Account transactions Direct investment -HJYP − 18.2 −1.2 − − − − 2.1 −5.7 7.5 14.4 Portfolio investment -HHZC − −0.3 − − − − − 0.1 1.2 1.1 −2.8 Financial derivatives (net) -ZPNN 86.2 −14.7 −5.6 33.9 29.2 −2.7 25.8 11.8 −3.7 −4.6 −18.2 Other investment -XBMM 13.3 −0.8 −3.4 −6.1 0.2 −0.1 19.3 4.9 2.8 −0.9 −7.7 Reser ve assets -LTCV − − − − − − − − − − − Total -HBNR 99.5 2.5 −10.2 27.9 29.4 −2.9 45.0 18.8 −5.4 3.1 −14.0 Investment income earnings Direct investment HJYW − −4.4 0.3 − − − − −0.1 −2.5 2.4 −4.1 Portfolio investment HLYX 0.1 −0.1 − − − − − − 0.1 0.1 −0.1 Other investment AIOP 0.9 2.9 −0.2 −0.9 −0.1 0.7 1.1 0.6 0.9 0.8 0.7 Reser ve assets HHCB − − − − − − − − − − − Total HMBN 1.0 −1.6 0.2 −0.8 −0.1 0.8 1.1 0.6 −1.6 3.1 −3.6 Investment in the UK Inter national Investment Position Direct investment HBWI −3.8 −22.9 −16.4 −5.9 −5.1 −4.5 −3.8 −11.8 −11.2 −13.3 −22.9 Portfolio investment HLXW 32.8 48.4 28.4 10.7 12.8 20.7 32.8 39.0 40.8 38.7 48.4 Financial derivatives JX97 3 915.3 2 121.9 1 392.2 2 014.8 1 993.8 2 109.1 3 915.3 3 770.0 2 462.0 2 500.5 2 121.9 Other investment HLYD 111.0 130.6 −1.8 35.4 66.9 69.3 111.0 129.5 126.7 136.8 130.6 Total HBQB 4 055.3 2 277.9 1 402.4 2 055.1 2 068.2 2 194.7 4 055.3 3 926.6 2 618.2 2 662.7 2 277.9 Financial Account transactions Direct investment HJYU − −14.5 −0.6 − − − − −8.3 1.3 0.3 −7.7 Portfolio investment HHZF 14.7 0.7 1.9 −2.2 1.7 7.6 7.6 4.9 −0.7 −3.8 0.3 Other investment XBMN 95.4 11.8 −8.7 22.9 31.4 2.4 38.7 10.9 −2.0 9.5 −6.8 Total HBNS 110.1 −2.1 −7.4 20.6 33.1 9.9 46.4 7.4 −1.4 6.0 −14.1 Investment income Direct investment HJYX − −6.7 0.2 − − 0.1 − −0.4 1.0 −0.7 −6.5 Portfolio investment HLZC 0.4 0.7 0.2 0.1 0.1 0.1 0.1 0.2 0.2 0.1 0.2 Other investment HLZN 2.7 1.9 0.4 0.2 0.7 1.0 0.9 0.5 0.7 0.4 0.3 Total HMBO 3.2 −4.1 0.6 0.4 0.8 1.0 1.0 0.3 1.8 −0.2 −6.0 Net investment Inter national Investment Position Direct investment HBWQ −0.5 27.5 2.1 −3.2 −2.4 −1.4 −0.5 17.6 7.0 13.4 27.5 Portfolio investment CGNH −32.7 −37.3 −24.9 −10.6 −12.7 −20.6 −32.7 −39.5 −40.3 −32.6 −37.3 Financial derivatives JX98 124.9 79.6 −14.1 56.1 69.9 66.9 124.9 138.1 119.7 105.6 79.6 Other investment CGNG −134.0 −162.2 −3.8 −58.0 −89.3 −91.7 −134.0 −149.9 −148.1 −172.7 −162.2 Reser ve assets LTEB − − − − − − − − − − − Net investment HBQC −42.3 −92.4 −40.7 −15.9 −34.4 −46.9 −42.3 −33.7 −61.7 −86.2 −92.4 Financial Accounts transactions Direct investment HJYV − −32.9 0.6 − − − − −10.4 6.9 −7.2 −22.2 Portfolio investment HHZD 14.7 0.9 1.9 −2.2 1.7 7.5 7.7 4.8 −1.9 −4.9 3.1 Financial derivatives ZPNN −86.2 14.7 5.6 −33.9 −29.2 2.7 −25.8 −11.8 3.7 4.6 18.2 Other investment HHYR 82.1 12.6 −5.3 28.9 31.2 2.5 19.4 6.0 −4.8 10.5 0.9 Reser ve assets LTCV − − − − − − − − − − − Net transactions HBNT 10.6 −4.6 2.8 −7.3 3.6 12.8 1.3 −11.5 4.0 2.9 − Investment income earnings Direct investment HJYE −0.1 2.3 0.2 − − − − 0.4 −3.5 3.1 2.3 Portfolio investment HLZX −0.3 −0.8 −0.1 −0.1 −0.1 −0.1 −0.2 −0.2 −0.1 −0.1 −0.3 Other investment CGNA −1.8 1.0 −0.5 −1.1 −0.7 −0.2 0.2 0.1 0.3 0.4 0.3 Reser ve assets HHCB − − − − − − − − − − − Net earnings HMBM −2.2 2.7 −0.4 −1.2 −0.8 −0.3 − 0.2 −3.4 3.4 2.4 ................................................................................................................................................................ Next publication: 28 September 2010 Issued by: Office for National Statistics, Government Buildings, Cardiff Road, Newport NP10 8XG ## Media Contact: Tel Media Relations Office 0845 6041858 Emergency on-call 07867 906553 Email press.office@ons.gsi.gov.uk ## Statistical Contact: Tel Damian Whittard 01633 455497 Email bop@ons.gov.uk ## Website: www.statistics.gov.uk

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Mortgage and Landlord Possession Statistics Quarterly, England and Wales April to June 2015 Ministry of Justice Statistics bulletin Published: 13 August 2015 ## Contents | Introduction | 3 | |-----------------------------------------|-------------------------------| | | | | Court Caseload | 3 | | | | | Case progression | 4 | | | | | Seasonal Adjustment | 4 | | | | | Key Findings | 6 | | | | | Section 1 - Mortgage possession actions | 7 | | | | | Section 2 - Landlord possession actions | 2 | | | | | 1 | | | 1 | Annex A - Further information | | | | | 1 | | | Annex B: Policy changes | 7 | | | | | 1 | | | Annex C: Maps | 9 | | | | | 2 | | | Annex D: Explanatory notes | 0 | | | | | 2 | | | Contact points for further information | 2 | | | | ## Introduction This quarterly bulletin presents statistics on mortgage and landlord possession actions in the county courts of England and Wales in April to June 2015. The statistics provide summary figures on the volume and progression of cases that follow the court process of possessing a property. The statistics published here report on total county court caseloads that are used to assist the planning of court resources both nationally and locally. For previous publications of Mortgage and Landlords Possession Statistics, please see: www.gov.uk/government/collections/mortgage-and-landlord-possessionstatistics ## Court Caseload A mortgage or landlord possession action starts when a mortgage lender or landlord completes and submits a claim to the courts to repossess a property. The most common reason for repossession is arrears of mortgage or rent. The court process of possessing a property broadly follows four stages: 1. A claim for a mortgage or landlord possession being issued by a mortgage lender or a landlord; 2. An order being made by the county court. This can either be an outright order that the property is to be recovered by a specific date, or a suspended order that is suspended as long as the defendant complies with conditions specified in the order; 3. If the defendant fails to leave the property by the date given in the order or does not meet the terms of a suspended order, the order may be enforced by a warrant of possession. This authorises the county court bailiff to evict the defendant from the property. The bailiff then arranges a date to execute the eviction; and 4. Repossession by a county court bailiff. Repossessions may occur without county court bailiffs, through less formal procedures, so the actual number of repossessions is usually greater than the number carried out by county court bailiffs. This report also includes UK wide total mortgage repossession figures from the Council of Mortgage Lenders (CML).These are not directly comparable to the other figures in this report, which cover England and Wales only. Figures for each of these four processes are presented in the Excel tables and CSV files that accompany this publication. The next publication of Mortgage and Landlord Possession Statistics Quarterly, England and Wales is scheduled to be published on 12 November 2015, covering the period July to September 2015. ## Case Progression This bulletin includes estimates of the percentage of claims issued in a specific quarter or year that will progress to an order, warrant or repossession when the full amount of time has been allowed to pass for those claims to progress through the county court system. These figures are different from the court caseload figures described above which show the total number of orders, warrants or repossessions by county court bailiffs in that quarter, irrespective of when the claim was issued. The estimated percentages include upper and lower estimates around them (a confidence interval) reflecting the uncertainty inherent in any estimation of the future. Claims from more recent periods will inherently have had less time for the case to be processed so there is more uncertainty around the final estimate, resulting in a wider confidence interval (Please see A Guide to Civil and Administrative Justice Statistics1 for more information on how these figures are calculated). As supplementary information, we also provide the percentage of claims issued in a quarter or year that have actually progressed to an order being made, a warrant being issued, or a repossession being carried out. Caution should be exercised when interpreting these figures for recent quarters and/or years: the information contained in the bulletin is based on the data available at the point when the database was extracted; consequently a proportion of claims made in more recent quarters are still awaiting progression to the next stage of court action. Claims from earlier periods will have had longer for the case to be processed than those from more recent periods so a lower proportion of these earlier claims are likely to be still awaiting an order, warrant or repossession. Following last quarter's publication of the paper requesting user feedback on our proposed changes to how case progression is measured and presented, we are now collating the responses and will publish the results in September. ## Seasonal Adjustment This publication reintroduces seasonally adjusted series for all mortgage and landlord possession actions. Seasonal adjustment aims to remove regular seasonal patterns in a time series to show how it changes from quarter to quarter and give a clearer picture of the longer term trends. Possession actions tend to vary due to seasonal effects- since these seasonal effects follow a regular annual pattern, their impact on the series can be removed by seasonally adjusting the data. Please see A Guide to Civil and Administrative Justice Statistics2 for more information on how these figure are calculated ## Key Findings This report presents key statistics on mortgage and landlord possession claims in county courts in England and Wales for the second quarter of 2015 (April to June). It includes summary figures of volume and progression of cases that follow the court process of possessing a property. All figures for the current quarter are provisional. ## Mortgage Possession  In April to June 2015, 4,849 mortgage possession claims in county courts were recorded, down 55% on the number of mortgage possession claims issued in the same quarter last year and the lowest quarterly figure since records began (in their current form) in 1999. This follows the overall downward trend seen since 2008.  There were 3,429 orders for possession, 5,644 warrants of possession and 1,358 repossessions by county court bailiffs in April to June 2015; down 57%, 49% and 55% respectively compared to the same quarter last year. These figures represent the lowest quarterly number of mortgage possession orders, warrants and repossessions since records began (in their current form) in 1999 for orders and 2000 for warrants and repossessions - these also follow the overall downward trend seen since 2008. ## Landlord Possession  In April to June 2015, 36,212 landlord possession claims in county courts were recorded, down 6% from the same quarter in 2014. This is the lowest number of claims observed in a quarter since April to June 2012.  The profile of types of landlord possession claim (e.g. social landlord, private landlord and accelerated claims) has changed over time. In April to June 2015, the majority of landlord possession claims (58%) were social landlord claims although this proportion has fallen from 83% in 1999 to 64% in 2014 - in contrast, more than a quarter of claims made in April to June 2015 (28%) were accelerated claims and this proportion has risen from 7% in 1999 to 22% in 2014,  There were 29,390 orders for possession and 18,267 warrants of possession in April to June 2015; down 9% and 3% respectively; there were 10,361 repossessions by county court bailiffs in the same period, up 4% on the same quarter last year. ## Section 1 - Mortgage Possession Actions The number of mortgage possession actions3 in court has increased since 2002, peaked in 2008, and decreased since then (Figure 1 and Table 1). The total number of properties repossessed4 has followed a similar trend. The fall in the number of mortgage possession actions since 2008 coincides with lower interest rates5, a proactive approach from lenders in managing consumers in financial difficulties and other interventions from the government, such as the Mortgage Rescue Scheme. Other factors that may have contributed to the rapid fall in the number of mortgage possession claims and orders since 2008 include the introduction of the Mortgage Pre- Action Protocol (see Annex B on policy changes for more information). Additionally, the downward trend in recent years coincides with a decrease in the proportion of owner-occupiers6. The estimated proportion of claims progressing to an order, warrant or repossession by county court bailiffs also increased between 2002 and 2010 but has been falling since. From 2010 to 2014, estimated proportions of claims leading to orders, warrants and repossessions have shown a steady decrease. ## Claims issued: A possession claim is created when a claimant begins a legal action for an order for possession of property by making a claim that is then issued in a county court. There were 4,849 mortgage possession claims issued in April to June 2015, down 55% on the same quarter in 2014. After seasonal adjustment, the number of claims was 5,045, down 9% on the previous quarter (table 8). The number of mortgage claims per 100,000 households by local authority ranged from zero (City of London, Eden and Cambridge) to 53 (Rossendale). There were five other areas with more than 40 mortgage possession claims per 100,000 households (Knowsley, Bolton, Burnley, Bury and Blackpool). Orders9: The court may grant an order following a judicial hearing which can be either for immediate possession (outright order) or suspended. There were a total of 3,429 orders in April to June 2015, down 57% on the number of orders in the same period in 2014. Seasonally adjusted figures show a 17% decrease compared to the number of orders made in January to March 2015 (from 4,246 to 3,520). Of mortgage possession orders made in April to June 2015, 43% were suspended. Between 46% and 50% of orders are suspended each year - this proportion has remained generally stable since 2006. Based on the fact that 25% of claims lodged this quarter have reached the order stage, it is estimated that 66% of claims issued in April to June 2015 will progress to an order being made in time although this figure could range between 59% and 74%10. Warrants of possession6: Having received an order, or if the terms of a suspended order are broken, the claimant can apply for a warrant of possession. There were 5,644 warrants of possession in April to June 2015, almost half the number seen in the same period in 2014 (11,121). Seasonally adjusted figures show a 12% decrease in the number of warrants on the previous quarter from 6,375 to 5,637. Based on the fact that 3% of claims lodged this quarter have reached the warrant stage, it is estimated that 40% of claims issued in April to June 2015 will progress to a warrant being issued, however this figure may range between 34% and 46%. Repossessions in England and Wales by county court bailiffs: Once a warrant has been issued, county court bailiffs can repossess the property on behalf of the claimant. There were 1,358 repossessions by county court bailiffs in April to June 2015, down 55% on the same quarter in 2014. Seasonally adjusted figures show a 15% decrease on the previous quarter from 1,607 to 1,370. It is estimated that 20% of the claims issued in April to June 2015 will lead to repossessions; however this figure may range between 15% and 26%. So far to date, only 20 of those 4,849 claims made in April to June 2015 have progressed to repossession by county court bailiffs. ## Map 2: Mortgage Repossessions By County Court Bailiff In England & Wales By Local Authority, 2015 Q211,12 Sixty-one local authorities show no repossessions by county court bailiffs in April to June 2015 whilst the highest number of repossessions per 100,000 households was 27 (Rossendale). There were three other areas with more than 20 mortgage possession repossessions by county court bailiffs (Fenland, Hyndburn and Blackpool). All repossessions in the UK13: UK-wide, there were 3,100 repossessions in total in January to March 2015. This figure includes repossessions carried out by county court bailiffs and also other types of repossessions. ## Section 2 - Landlord Possession Actions Annually, landlord possession claims decreased between 2002 and 2010 and subsequently increased until 2013. However in 2014, this figure fell (Figure 2 and Table 3). Claims issued: A possession claim is created when a claimant begins a legal action for an order for possession of property by making a claim that is then issued in a county court. There were 36,212 landlord possession claims issued in April to June 2015, down 6% on the same quarter in 2014. After seasonal adjustment, the number of claims was 39,243 in April to June 2015, relatively unchanged from the previous quarter (39,202). Within landlord possession claims, there are three types of claim: social landlord, private landlord and accelerated claims. Accelerated claims can be used by both private and social landlords under certain circumstances and are usually quicker than normal evictions. In April to June 2015, the majority of landlord possession claims (21,160 or 58%) were social landlord claims, whilst 5,038 (14%) were private landlord claims and 10,014 (28%) were accelerated claims. The proportion of claims made using the accelerated procedure has increased from 7% in 1999 to 22% in 2014, whereas the proportion of claims from social landlords has fallen from 83% in 1999 to 64% in 2014. The proportion of claims made by private landlords increased from 9% in 1999 to 17% in 2010, before falling to 14% in 2014. When observing landlord claims (accelerated, social and private) by local authority, Pendle show the lowest number (21) per 100,000 households Whilst the London borough of Newham shows the highest (552 per 100,000 households). London boroughs account for all but one of the 20 local authorities with the highest proportion of landlord claims (Luton being the only exception). Orders: The court may grant an order following a judicial hearing which can be either for immediate possession (outright order) or suspended. There were a total of 29,390 landlord possession orders made in April to June 2015, down 9% on the number of orders in the same period in 2014. Seasonally adjusted figures show a 1% decrease (from 30,515 to 30,161). In April to June 2015, 40% of landlord possession orders being made were suspended. The proportion of suspended orders in 2014 was 43%, maintaining the flat trend seen since 2010. It is estimated that 72% of claims issued in April to June 2015 will lead to an order being made in time, although this figure could range between 69% and 75%. Warrants of possession: Having received an order, or if the terms of a suspended order are broken, the claimant can apply for a warrant of possession. There were 18,267 warrants of possession in April to June 2015, a decrease of 3% on the same period in 2014.Seasonally adjusted figures show a 2% decrease compared to the last quarter, from 19,762 to 19,268. It is estimated that 40% of claims issued in April to June 2015 will lead to a warrant, although the final figure could range between 35% and 44%. Repossessions by county court bailiffs: Once a warrant has been issued county court bailiffs can repossess the property on behalf of the claimant. There were 10,361 landlord repossessions by county court bailiffs in April to June 2015, up 4% on the same period in 2014. Seasonally adjusted figures show a 1% decrease compared to last quarter, from 10,892 to 10,788. It is estimated that 21% of claims made in April to June 2015 will lead to repossessions by county court bailiffs, although this figure could range between 18% and 25%. The trend in repossessions by county court bailiffs appears to be in contradiction to that seen in claims, orders and warrants - this can be attributed to the time it takes for claims to be processed through to the repossession stage. The number of landlord possession claims peaked in January to March 2014 - as a result, the continuing increasing trend in repossessions as shown in Figure 2 is most likely due to those claims working their way through the system. ## Map 4: Landlord Repossessions By County Court Bailiff In England & Wales By Local Authority, 2015 Q216,17 There were no landlord (social, private and accelerated) repossessions by county court bailiffs in Ryedale, Hart, City of London and Purbeck local authorities. The London borough of Newham had the highest number (274 per 100,000 households in the area) and London local authorities account for all but three of the 20 boroughs with the highest proportion of landlord repossessions (Thanet, Slough and Luton being the only exceptions). ## Annex A - Further Information Supplementary tables and CSV datasets are available alongside this bulletin, allowing users to analyse the data themselves. The following tables are available, showing data for county courts in England and Wales:  Table 1: Mortgage possession workload in the county courts of England and Wales, 1987 - 2015 Q2  Table 2: Mortgage possession claims that lead to orders, warrants, and repossessions in the county courts of England and Wales, 1999 - 2015 Q2  Table 3: Landlord possession workload in the county courts of England and Wales, 1990 - 2015 Q2  Table 4: Landlord possession claims that lead to orders, warrants, and repossessions in the county courts of England and Wales, 1999 - 2015 Q2  Table 5: Landlord possession claims in the county courts of England and Wales by type of procedure and landlord, 1999 - 2015 Q2  Table 6: Mortgage and Landlord possession workload in the county courts of England by type of procedure and landlord, 1999 - 2015 Q2  Table 7: Mortgage and Landlord possession workload in the county courts of Wales by type of procedure and landlord, 1999 - 2015 Q2  Table 8: Seasonally adjusted possession actions in the county courts of England and Wales, 2009 - 2015 Q2 The CSV datasets contain local authority and court-level breakdowns of claims, orders, warrants and county court bailiff repossessions for England and Wales, for the full amount of time that data are available. Where the value is between 1 and 5, the value is suppressed and shown as "-" to protect the confidentiality of those involved in the claim, order, warrant or repossession. For this reason, the national total number of claims, orders etc. from these datasets will not match the published totals provided in the Excel tables, although the differences are generally small. For more information, please refer to the separately downloadable Guide to local authority and court-level information, which can be found in the CSV zip folder, which accompanies this publication. ## Annex B: Policy Changes New Bailiff Laws New laws came into effect on 6 April 2014 to bring an end to bad and aggressive bailiff behaviour, while making sure businesses, local authorities and others can still fairly enforce debts owed to them. These reforms are part of a wider package under changes to the Tribunals, Courts & Enforcement Act 2007. With roughly 4 million debts collected each year, in future only bailiffs who have been trained and received certification will be allowed to practise. Bailiffs will be banned from entering homes at night and from using physical force against debtors. The changes will also prevent bailiffs from entering properties where only children are at home and includes further measures to protect vulnerable people. Bailiffs will be prevented from taking vital household essentials from debtor's property, such as a cooker, microwave, refrigerator or washing machines. A new set of fixed fees for debtors has also been introduced, to end the previous situation where bailiffs were setting their own fees - sometimes at very high levels - and adding these to the amount people in debt had to pay. ## Introduction Of Mortgage Pre-Action Protocol A Mortgage Pre-Action Protocol (MPAP), approved by the Master of the Rolls, for possession claims relating to mortgage or home purchase plan arrears came into effect on 19 November 2008. The protocol applies to mortgage arrears on:  First charge residential mortgages and home purchase plans regulated by the Financial Service Authority under the Financial Services and Market Act 2000;  Third charge mortgages for residential property and other secured loans regulated under the Consumer Credit Act 1974 on residential property; and,  Unregulated residential mortgages. The Protocol gives clear guidance on what the courts expect lenders and borrowers to have done prior to a claim being issued. The main aims of it were to ensure that the parties act fairly and reasonably with each other in any matters concerning the mortgage arrears, to encourage more pre action contact between lender and borrower and to enable efficient use of the court's time and resources. The introduction of the MPAP coincided with a fall of around 50% in the daily and weekly numbers of new mortgage repossession claims being issued in the courts as evidenced from administrative records. As orders are typically made (when deemed necessary by a judge) around 7 weeks (using 2011 data) after claims are issued, the downward impact on the number of mortgage possession orders being made was seen in the first quarter of 2009. It has not been possible to adequately quantify the long term impact of the MPAP. This reflects the lack of a good comparator (although the MPAP was not introduced in Scotland, the big lenders in Scotland also operate south of the border and so lender behaviour is likely to be the same as in England and Wales), and the existence of other factors such as changing economic conditions, other measures introduced shortly after the MPAP, and lenders desire to minimise their losses. More details about the protocol can be viewed using the link: www.justice.gov.uk/guidance/courts-and-tribunals/courts/procedurerules/civil/contents/protocols/prot_mha.htm ## Annex C: Maps The household projections used to produce the maps are based off the Department for Communities and Local Government 2012-based projections (which cover all local authorities in England) www.gov.uk/government/collections/household-projections and StatsWales' 2011-based projections (which cover all local authorities within Wales) https://statswales.wales.gov.uk/Catalogue/Housing/Households/Projections/ Local-Authority/2011-Based . Both are the latest datasets available for the areas they cover. In addition to this, the boundary lines were drawn using the Great Britain local authority districts (LADs) from the ONS Geoportal (https://geoportal.statistics.gov.uk/geoportal/catalog/main/home.page) which contains the digital vector boundaries for LADs in Great Britain as of December 2014. Therefore, the maps created may not reflect any boundary changes that may have occurred in 2015. ## Annex D: Explanatory Notes The United Kingdom Statistics Authority has designated these statistics as National Statistics, in accordance with the Statistics and Registration Service Act 2007 and signifying compliance with the Code of Practice for Official Statistics. Designation can be broadly interpreted to mean that the statistics:  meet identified user needs;  are well explained and readily accessible;  are produced according to sound methods, and  are managed impartially and objectively in the public interest. Once statistics have been designated as National Statistics, it is a statutory requirement that the Code of Practice shall continue to be observed. The statistics in this bulletin relate to cases in the county courts in England and Wales. Calendar year statistics are also provided. ## Revisions The statistics in the latest quarter are provisional, and are therefore liable to revision to take account of any late amendments to the administrative databases from which these statistics are sourced. The standard process for revising the published statistics to account for these late amendments is as follows: An initial revision to the statistics for the latest quarter may be made when the next edition of this bulletin is published. Further revisions may be made when the figures are reconciled at the end of the year. If revisions are needed in the subsequent year, these will be clearly annotated in the tables. Slight errors (of less than 5 cases) from the January to March issue of this publication have been corrected. These figures include: mortgage warrants for 2014 Q4 (and subsequently the annual total), landlord warrants for 2014 Q4 (and subsequently the annual total) and landlord possessions for 2014 Q4 (and subsequently the annual total). ## For more information please see the Guide to Civil and Administrative Justice Statistics. ## Symbols And Conventions The following symbols have been used throughout the tables in this bulletin: .. = no data available - = Between one and five. Low numbers are suppressed to prevent individuals being identified (r) = Revised data (p) = Provisional data ## Contact Points For Further Information Current and previous editions of this publication are available for download at: www.gov.uk/government/collections/mortgage-and-landlord-possessionstatistics Press enquiries should be directed to the Ministry of Justice press office: Hugo Biggs Tel: 0203 334 3514 Email: hugo.biggs@justice.gsi.gov.uk Queries on the wider policy implications of these statistics should be directed to the Department for Communities and Local Government's press office: Rhodri Jones Email: Rhodri.Jones@communities.gsi.gov.uk Queries on statistics shown for 'Properties taken into possession' and other related statistics should be directed to the Council of Mortgage Lenders' press office on 020 7438 8922. Other enquiries about these statistics should be directed to: ## Justice Statistics Analytical Services Alison Colquhoun Ministry of Justice 7th Floor 102 Petty France London SW1H 9AJ Email: statistics.enquires@justice.gsi.gov.uk Other National Statistics publications, and general information about the official statistics system of the UK, are available from http://statisticsauthority.gov.uk/about-the-authority/uk-statistical-system Alternative formats are available on request from statistics.enquiries@justice.gsi.gov.uk

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## Uk Trade & Investment Performance & Impact Monitoring Surveys (Pims) 2013 Non-User Survey Main Report September 2013 Jn: 4361 ## Contents | 1. | Executive Summary 1 | |---------------------------------------|---------------------------------| | 1.1 Business Profile & Growth 1 | | | 1.2 Benefits of Exporting | 3 | | 1.3 Barriers to Overseas Trade | 3 | | 1.4 Awareness of UKTI | 4 | | 1.5 Demand for Export Support 4 | | | 1.6 Key Measures | 5 | | 1.7 Conclusions 6 | | | 2. | Background & Objectives 7 | | 3. | Methodology | | 3.1 Questionnaire & Piloting 8 | | | 3.2 Sampling Approach 8 | | | 3.3 Comparative Analysis 9 | | | 3.4 Statistical Significance 10 | | | 3.5 Weighting | 10 | | 3.6 Rounding 10 | | | 4. | Business Profile | | 4.1 Age 11 | | | 4.2 Size (Employees) | 14 | | 4.3 Turnover & Profitability | 16 | | 4.4 Industry Sector | 21 | | 4.5 Company Status & Ownership | 23 | | 4.6 Innovation 27 | | | 4.7 Growth 41 | | | 4.8 Business Planning 46 | | | 4.9 Degree-Level Senior Management 48 | | | 4.10 Membership of Business Bodies 49 | | | 5. | Export Experience & Strategy 50 | | 5.1 Length of Time Exporting | 50 | | 5.2 Export Turnover 52 | | | 5.3 Number of Markets 57 | | | 5.4 Changes in Overseas Strategy 61 | | | 6. | Benefits of Exporting 63 | |-----------------------------------------------------------------------|-------------------------------------| | 6.1 Summary 63 | | | 6.2 Individual Benefits | 66 | | 7. | Barriers to Overseas Trade 71 | | 7.1 Summary 71 | | | 7.2 Individual Barriers 75 | | | 8. | Awareness of UKTI 77 | | 8.1 Awareness of UKTI Name 77 | | | 8.2 Awareness of UKTI Role | 80 | | 8.3 Awareness & Interest in UKTI Services 81 | | | 9. | Awareness & Use of Non-UKTI Support | | 9.1 Use of Non-UKTI Support 87 | | | 9.2 Type of Non-UKTI Support Received (Supported Non-Users) | 90 | | 9.3 Awareness & Interest in Export Support (Unsupported Non-Users) 92 | | | 10. Support Quality & Satisfaction | 97 | | 10.1 Quality Rating - Measure A09 97 | | | 10.2 Individual Quality Ratings | 99 | | 10.3 Overall Satisfaction - Measure B10 104 | | | 11. Additionality 107 | | | 12. Impacts & Outcomes 108 | | | 12.1 Increased Skills - Measure A81 | 108 | | 12.2 Changed Behaviour - Measure A83 112 | | | 12.3 Increased Innovation - Measure A04 | 118 | | 12.4 Increased R&D - Measure AR&D 120 | | | 12.5 Barriers to Market Access Overcome - Measure A92 | 122 | | 12.6 Increased Sales/Orders | 127 | | 12.7 Significant Business Benefit - Measure A06 | 129 | | 12.8 'Light Touch' Support 131 | | | 13. Economic Climate 132 | | | 13.1 Sustained Economic Growth or Increasing Demand Overseas | 132 | | 13.2 Export Credit Insurance | 134 | | Annex A - Questionnaire 135 | | | | | | | | ## 1. Executive Summary UKTI's Performance & Impact Monitoring Survey (PIMS) measures the impact and effectiveness of UKTI support, and the PIMS programme includes an annual telephone survey of exporting firms that have not used UKTI services. The broad aims of this nonuser survey are to understand the extent and quality of any alternatives to UKTI support, explore the barriers faced by exporting businesses that may give rise to a need for such services, and measure interest in accessing export support and the factors that influence this. The 2013 PIMS Non-User survey involved 829 interviews with UK firms that have exported (or attempted to export) in the last 2 years. This includes firms that have obtained exportrelated assistance from other, non-UKTI sources (supported non-users) and those that have not accessed any export-related support (unsupported non-users). Where available, comparisons have been made with firms that have received support through UKTI, with data primarily drawn from the main PIMS survey of UKTI clients. Throughout this report, any differences referred to in the commentary are statistically significant at the 95% level of confidence unless otherwise stated. ## 1.1 Business Profile & Growth Business Profile Non-Users UKTI Users Base 829 3823 0-5 years 17% 24% The age profile of UKTI users and non-users is broadly similar, although the UKTI client base includes a higher proportion at both ends of the age spectrum (i.e. firms established in the last 5 years and over 20 years ago). 6-10 years 23% 16% Age 11-20 years 28% 21% Over 20 years 32% 40% 0-9 employees 65% 41% 10-99 employees 29% 37% Size (employees) 100-249 employees 3% 9% 250+ employees 2% 10% Up to £500k 50% 31% £500k - £2m 20% 20% Size (turnover) £2m - £10m 10% 20% Over £10m 5% 19% Two-thirds of non-users are micro SMEs with fewer than 10 employees, and half have an annual turnover of under £500k. UKTI clients tend to be larger than non-user firms in both employee and turnover terms, although it is still the case that the vast majority of UKTI users are SMEs (i.e. 0-249 employees). Supported non-users (i.e. those accessing some form of non-UKTI export assistance) tend to be larger than unsupported non-users, and are therefore slightly closer in profile to UKTI clients. For both users and non-users of UKTI, the majority of firms operate in the services sector. However, UKTI users are comparatively more likely to be in the production sector. UKTI clients are more likely to be classed as 'innovative' and are also more likely to hold patents, trademarks or other legal protection for their products/services and hence be classified as 'IP active'. ## Export Experience | Non-Users | UKTI Users | |-----------------|--------------| | Base | | | 829 | 3823 | | 0-2 years | 17% | | 2-10 years | 44% | | Years Exporting | | | Over 10 years | 37% | | Up to 10% | 59% | There is generally little difference between users and non-users of UKTI when it comes to the length of time they have been operating overseas. However, UKTI clients are slightly more likely to be either very recent exporters (under 2 years experience) or very long-term exporters (over 20 years experience). | 11-25% | 9% | 14% | |-----------------------------|------|-------| | Export Sales | | | | (as proportion of turnover) | | | | 26-50% | 11% | 17% | | Over 50% | 14% | 29% | | None | 11% | 17% | | 1-5 | 52% | 31% | | Number of Markets | | | | 6-20 | 31% | 33% | | Over 20 | 6% | 19% | Overseas sales are significantly more important to UKTI users than non-users, in the sense that they make a greater contribution to their total turnover. Overall, 59% of non-users report that exports contribute no more than 10% of their total turnover, compared to just 35% of users. ## Growth & Strategy Non-user businesses are also typically doing business in fewer overseas markets than users. UKTI clients are notably more dynamic than non-users; they are more likely to have grown substantially in the past 5 years and to anticipate further substantial growth in the next 5 years. Non-Users UKTI Users Firms accessing UKTI support also tend to have a more positive outlook when it comes to the development of their overseas business. Almost three-quarters of UKTI clients expect the number of markets they do business in and their export sales to increase in the next three years, compared to less than half of all non-users. UKTI users are also more likely to have recently entered new markets and to be focussing more on overseas markets than they were a year ago. ## Business Growth - Over Time There is also evidence that UKTI clients are more strategic in their approach than nonusers. Not only are they more inclined to have a formal business plan, but they are also more likely to indicate that this plan contains specific targets relating to revenues from overseas sales. Overall, there has been little change in the growth aspirations of non-user firms over the last 4 years. ## 1.2 Benefits Of Exporting Exporting clearly benefits internationalising firms in a number of different ways, and not simply through enabling them to achieve a level of growth otherwise not possible. At the total level the most widespread benefit of exporting is that it improves firms' profile or credibility. UKTI users are significantly more likely to report each of the benefits tested, suggesting that accessing support from UKTI puts firms in a better position to take advantage of the potential positive impacts of exporting. ## 1.3 Barriers To Overseas Trade Approaching half of all non-user firms have experienced one or more significant barriers to the development of their overseas business, suggesting that many would benefit from the type of support that UKTI can provide. The most widespread issues encountered relate to legal and regulatory issues and establishing/developing contacts. Relatively few firms reported language or cultural barriers. However, although firms do not believe they have been directly affected by a lack of language skills, this could potentially be a factor behind some of the other barriers experienced (e.g. difficulty complying with regulatory standards, problems building relationships with overseas contacts, etc). Those non-user firms that had accessed (non- UKTI) export support are more likely to report barriers than unsupported firms. This suggests that coming up against difficulties can act as a catalyst for seeking external support, and is consistent with UKTI's Internationalisation Survey which found that UKTI clients report more barriers than non-users. It is important to note that all of these barriers can, to at least some extent, be addressed by the existing range of UKTI export support services. The table on the right matches each barrier to relevant impacts reported by UKTI clients in the main PIMS surveys (along with the proportion of UKTI users benefiting to a significant extent from each one). ## Barriers To Doing Business Overseas How Ukti Support Can Address Barriers Barrier Corresponding Benefit Of Ukti Support • Overcome problem or difficulty with a legal or regulatory issue or quality standards (12%) Legal & Regulatory • Introduced new products/services or improved existing ones (21%) • Made improvements to new product development strategy (22%) Customs • Improved way do business in an overseas market (32%) • Gained access to prospective customers/business partners (40%) Contacts • Improved overseas marketing strategy (30%) Information • Gained access to information otherwise unable to come by (39%) Resource • Gained confidence to enter new market/expand in existing one (36%) • Gained access to information otherwise unable to come by (39%) • Improved way do business in an overseas market (32%) Language & Cultural • Improved overseas marketing strategy (30%) • Improved profile or credibility (36%) Bias • Improved knowledge of competitive environment in overseas market (35%) ## 1.4 Awareness Of Ukti Awareness of the UKTI name among exporters that have not used UKTI services stands at just 45%. Furthermore, only a third of firms knew that UKTI provides assistance to help UK firms do business overseas (i.e. were aware of UKTI's role). Less than a fifth of non-users had heard of the OMIS service and the support available through UKTI's ITA network, although awareness increased a little for 'Meet the Buyer' events. Base: Non-Users (829) Interest in using these services is highest for ITAs and Meet the Buyer events. For all three services, interest levels were highest among very inexperienced exporters, yet this group tended to have the lowest awareness levels. Interest in these services was also particularly high among firms that were planning to grow, suggesting that dynamic firms can often seek external support to help them realise their growth ambitions. Overall, awareness of the UKTI name among non-user firms has risen over the past 3 years (particularly for unsupported non-users). ## 1.5 Demand For Export Support Use Of External (Non-Ukti) Support Just 12% of non-user firms have obtained export support from a non-UKTI source in the previous two years, and are therefore classed as 'supported' non-users. A variety of different providers were used by these firms, but the most common was the Chamber of Commerce, followed by HMRC. Info on how to do business in an overseas market 46% Info about entering a new market 24% Support Providers Used Certificates of Origin 23% Base: All Non-Users 829 Chamber of Commerce 6% Info about business opportunities in an overseas market 23% HMRC 4% Help with developing overseas business strategy 21% Bank 3% Help identifying contacts overseas 19% Consultant 2% The most widespread type of support accessed by non-users related to information on how to do business in an overseas market, with almost half of all supported non-users obtaining this in the previous 2 years. | Help accessing finance or funding | 19% | |-------------------------------------|-------| | Trade Association | | | 2% | | | Online info service (paid for) | | | 1% | | | Help doing market research | | | overseas | | | 18% | | | Other | 36% | | Market research agency | | | 1% | | Approaching a quarter had received information or advice about entering a specific market and help identifying business opportunities overseas, and a similar proportion had obtained Certificates of Origin (from the Chamber of Commerce). ## Need For Support Of the non-user firms that had not received support, 43% felt they *would* have benefitted from some type of export related assistance. 22% Have our own/existing contacts 16% Have a niche market/product In most cases the reason why firms have not accessed any export support (even though they feel it would be beneficial) is because they are *unaware* of any providers of this type of assistance, with 72% indicating that this is the case. This clearly suggests that, if awareness is increased, there is potential for UKTI to help significantly more firms. 8% Customers contact us/we respond to orders/enquiries 7% Base: Unsupported non-Users (727) ## Most Useful Country To Receive Support About Individual Markets (3%+ mentions) Market Area USA 12% Europe 21% China 8% Asia Pacific 16% Germany 6% North America 13% Among the unsupported non-users who thought they would not benefit from any external support, the main reason given was that they had sufficient experience or capabilities in-house. However, a significant minority believed that no one would be able to help them in this way and/or that their business was too niche for external support to be beneficial. France 6% Middle East / Africa 11% Latin America 2% United Arab Emirates 4% Spain 3% Australia 3% Market Type India 3% High Growth 19% Established 19% None/not interested in external support 44% Other 23% Don't know 3% When asked which country it would be most useful to receive support about, the most common response was the USA. Overall, demand for support is greatest in relation to European markets. Base: Non-Users (829) ## 1.6 Key Measures There is clear evidence that the export support provided by UKTI is more effective than that delivered by non-UKTI sources. UKTI users are significantly more likely to score against all of the key impact measures, with the exception of Increased R&D. The perceived quality of the UKTI support is also considerably higher than that seen for other support providers, although there is little difference in overall satisfaction levels. It is also notable that over a third of those firms receiving non-UKTI export support judged this to have been 'non-additional' (i.e. they would have achieved similar results anyway even if they had not obtained the support). In contrast, just 21% of UKTI users classified the assistance as 'non-additional'. ## 1.7 Conclusions - UKTI users and non-users display some notable differences in business profile. UKTI clients tend to be a little larger than non-users (although the vast majority are still SMEs) and display significantly greater innovation levels. They are also more export intensive than non-users in terms of the number of overseas markets they operate in and the share of turnover accounted for by overseas sales (despite having a similar profile when it comes to the length of time they have been doing business overseas). - UKTI clients are significantly more dynamic than non-users, both in terms of their overall business growth and their overseas development. They are also more strategic in their approach. That said, there are still significant proportions of non-users firms that are on an upward growth trajectory, are innovating and adopt a strategic approach to their business development and would therefore represent very good additions to UKTI's client base. - Notwithstanding their less ambitious approach to exporting, almost half of all non-user firms have still experienced significant barriers to the development of their overseas business. The most widespread of these are legal and regulatory barriers and contacts barriers, all of which could potentially be addressed (or at least reduced) by existing UKTI services. - Non-users lack awareness of UKTI. This applies to recognition of the UKTI name (45%), understanding of UKTI's role (31%) and awareness of specific services (OMIS 18%, ITAs 19%, meet the buyer events 29%). - However, awareness of UKTI has risen over the last few years (up from 38% in 2010), and there is also clear interest in the types of service that UKTI provides (with this particularly true of less experienced exporters, who conversely display the lowest awareness of these services). - Even though many non-user firms feel that external export support would be beneficial to them, just 12% have accessed assistance from a non-UKTI source in the past 2 years. The primary reason for not obtaining support is that firms are unaware of anyone that could provide it. - UKTI support generates significantly greater business impacts than export support provided by other sources. UKTI assistance is also associated with much higher levels of additionality; firms accessing non-UKTI support are significantly more likely to feel that they would have achieved the same outcomes anyway even if had they not received the support. ## 2. Background & Objectives UKTI's Performance & Impact Monitoring Survey (PIMS) measures the impact and effectiveness of UKTI support, and the PIMS programme includes an annual survey of exporting firms that have not used UKTI services. This report details the findings of the 2013 PIMS Non-User Survey. The broad aim of the PIMS Non-User Surveys is to help shed light on the economic rationale for UKTI trade development services, and investigate the following issues: - The extent of existence of private sector alternatives of comparable scope and quality to UKTI; - The extent to which businesses encounter barriers which give rise to the need for such services, and how these may vary across business groups; - The extent to which businesses may have differential access to existing alternatives and why (e.g. differential access to key networks, service providers catering for specific groups such as larger firms, etc); - The level of business interest in using export support services, and the factors which influence the demand side of the market for such services. While much of the survey content is consistent across waves, to allow comparison over time, some elements are varied each year to enable the survey to provide new evidence on evolving policy issues. It was therefore decided that the 2013 PIMS Non-User Survey would focus on addressing the following specific objectives: - Gather evidence on use of non-UKTI support services, including the impact and effectiveness of these programmes (in a consistent and comparable form to the ongoing PIMS user data); - Assess the extent to which businesses encounter barriers which give rise to a need for such services; - Explore attitudes towards support services amongst those non-user firms not accessing any forms of external support; - Measure awareness of, and interest in, certain key UKTI services; - Examine the benefits arising from doing business overseas; - Explore any impact of the current economic climate; - Collect non-user profile data, including data on innovation, growth and export strategy. ## 3. Methodology This survey of UKTI non-users employed a telephone methodology, with interviews conducted using CATI (Computer Assisted Telephone Interviewing). A total of 829 interviews were completed, lasting an average of 20 minutes. ## 3.1 Questionnaire & Piloting The questionnaire was fully piloted prior to the start of main fieldwork to check the flow, clarity, relevance and length of the questionnaire as well as the content. Where appropriate, the questions included in the non-user survey replicated those asked in the main PIMS user surveys to ensure comparability of results. A copy of the final questionnaire is appended to this report. The research was positioned as being on behalf of UK Trade & Investment and the Department for Business, Innovation & Skills, and respondents were informed that it would cover their current export activities and the impact that exporting has had on their business. Interviewers initially asked to speak to either the owner or the person responsible for the firm's strategy in relation to business development and then further clarification was sought as to whether the respondent was the person best qualified to talk about their company's export activities, with referrals taken as necessary. ## 3.2 Sampling Approach To ensure that the research covered a representative sample of exporters, the sample frame was built from a random sample of UK businesses which was then screened to identify those engaged in overseas business. The sample was stratified by age of firm (those established up to 5 years, 6-10 years and over 10 years) in order to achieve a robust number of interviews with each of these groups. The final data was then weighted back to the age profile of all UK exporters using Annual Small Business Survey data. In order that the incidence within the sample frame of firms eligible for interview (i.e. engaging in international business activity) was kept to within sensible limits, a small number of industry sectors where export propensity is very low were excluded from the initial sample frame. The exclusions were made on the basis of analysis of data from the Community Innovation Survey (CIS) on the incidence of exporting for individual industry sectors by age group1. The initial sample was 'de-duplicated' against known users of UKTI (using a list compiled from all records of supported firms provided for the main PIMS user surveys), to ensure that any firms that had received assistance from UKTI were removed from the sample frame. As a further precaution, 'screening' questions were included at the start of the questionnaire and the interview was terminated if the firm had not sold any goods or services to overseas customers in the last 2 years (and hadn't seriously considered doing so) or revealed that they had used UKTI services in relation to trade development in the last 5 years. In 2013, the Non-User survey was expanded to enable it to measure recall of a separate UKTI marketing campaign being conducted in the north of England. The survey therefore consisted of three different elements, as follows: - *Core survey:* 301 interviews with a UK-wide sample of firms - *Pre-campaign boost:* 264 interviews with firms in the north of England - *Post-campaign boost:* 264 interviews with firms in the north of England Throughout the bulk of this report, the analysis is based on all 3 of the above elements. However, in key areas (such as awareness of UKTI) the analysis excludes the 'boost' interviews to ensure direct comparability with previous waves of the Non- User survey. Due to the need to cover the pre and post campaign periods, fieldwork took place over a 4 month period (April-July 2013). The following table summarises the number of sample records selected for CATI, the approximate number of records lost due to screening-out or incorrect contact details, and the response and refusal rates. CATI SCREENING Selection for CATI 18,526 Unusable - do not export 13,704 Unusable - Other reason (e.g. incorrect contact details, UKTI user, public sector organisation, etc) 1,521 ACHIEVED INTERVIEWS / RESPONSE RATES Total useable sample 3,301 Interviews achieved 829 Response rate (%) 25% Refusal rate (%) 36% ## 3.3 Comparative Analysis Throughout this report, comparative data has also been shown (where available) for users of UKTI services, from the following sources: - *Main PIMS Surveys:* Users of UKTI's trade development services interviewed in the main PIMS research. - *PIMS Follow-Up Surveys:* Users of UKTI's trade development services interviewed in the PIMS follow-up surveys (conducted c.1 year after the initial PIMS survey). Wherever possible the 'user' data has been taken from the main PIMS surveys, which involve a larger sample, but in some cases the relevant questions were only included in the PIMS Follow-Up surveys. In line with the standard PIMS reporting conventions, firms only receiving very light-touch assistance2 have been excluded from the UKTI user analysis. For the non-user data, as well as providing a breakdown by age of firm, analysis has also been provided by 'supported' and 'unsupported' non-users. The definitions of these two non-user sub-groups are as follows: - *Supported Non-Users:* Exporting firms that have received some form of export-related support from external (non-UKTI) sources in the last 2 years - *Unsupported Non-Users:* Exporting firms that have not received any external export-related support in the last 2 years Please note that when the analysis of supported/unsupported non-users is further split by age of firm, the base sizes are very low for some groups (particularly supported non-user aged 0-5 years and 6-10 years). As a result, all findings for these sub-groups should be treated as indicative only. ## 3.4 Statistical Significance Throughout this report, any differences referred to in the commentary are statistically significant at the 95% level of confidence unless otherwise stated. Confidence intervals (calculated at the 95% level) have been shown for all of the key survey measures. ## 3.5 Weighting All the data from this survey has been weighted to reflect the true age profile of UK exporters, and more details of the weighting approach can be found in Section 4.1. Throughout this report all the results show the weighted figures. However, the bases displayed in each chart/table are unweighted. ## 3.6 Rounding Throughout this report results are typically presented to the nearest whole number (e.g. 24.7% will be rounded up and displayed as 25%). For this reason there can be apparent discrepancies between the charts/tables and the commentary when several figures are combined. For example, values of 8.4% and 15.3% would be shown as 8% and 15% respectively in a chart, but the combined value if referred to in the commentary would be 23.7% and hence displayed as 24%. ## 4. Business Profile 4.1 Age The sample for this survey was stratified by age of firm. The primary reason for this is that young firms are an important group for UKTI and it is therefore important that sufficiently robust data of collected for this group to enable a good understanding of their profile, barriers experienced, benefits of exporting, etc. Furthermore, stratifying the sample by age of firm also provides a unique insight into how exporting businesses develop over time. The sample was stratified into 3 age groups (0-5 years old, 6-10 years old and over 10 years old). To account for this disproportionate sampling approach, the final nonuser data has been weighted back to the true age profile of internationalising firms (using data from the Annual Small Business Survey). The table below provides details of the actual (unweighted) age distribution of sampled firms, the age profile of all UK exporters, and the weighted proportion of firms in the final sample. % of True profile % of No. of interviews of exporters interviews interviews (unweighted) (ASBS data) (Weighted) 0% Not yet trading 1 0% 17% Within the last 2 years 55 7% 5% 2-5 years ago 97 12% 11% 6-10 years ago 225 27% 23% 23% 11-20 years ago 211 25% 60% 28% More than 20 years ago 240 29% 32% Total 829 100% 100% 100% As detailed above, younger firms (under 11 years) are very slightly over-represented in the sample for this survey and as a result have been down-weighted, whilst older firms are up-weighted slightly. Please note that all results shown in the remainder of this report have been weighted. The chart below shows the weighted profile of the non-user businesses interviewed in terms of the number of years they have been established. Comparative data has also been provided for users of UKTI support (from the main PIMS survey). As detailed earlier, the overall sample frame for the non-user survey was stratified by age to ensure robust coverage of firms established 0-5 years, 6-10 years and over 10 years. The data was then weighted to the known profile of internationalising firms (based on data taken from the Annual Small Business Survey), and the overall profile of firms reflects this. The age profile of UKTI users and non-users is broadly similar. However, the UKTI client base includes a higher proportion at both ends of the age spectrum (i.e. young firms established in the last 5 years and firms that have been trading for more than 20 years). The following table provides a further breakdown of the non-user age profile by those firms that have received some form of export-related support from non-UKTI sources ('supported non-users') and those that have not ('unsupported non-users'). Details of the type of non-UKTI support received and the providers used can be found in Section 9 of this report. - Non-Users by Whether Supported Total Up to 5 years 6-10 years Over 10 years Supp- Unsupp Supp- Unsupp Supp- Unsupp Supp- Unsupp orted -orted orted -orted orted -orted orted -orted Base 102 727 14 139 20 205 68 383 Less than 2 years 2% 6% 22% 34% - - - - 2-5 years 9% 12% 78% 66% - - - - 6-10 years 17% 24% - - 100% 100% - - 11-20 years 37% 27% - - - - 51% 46% Over 20 years 35% 31% - - - - 49% 54% Supported non-users have an older profile than their unsupported counterparts, with 72% of the former established for over 10 years compared to 58% of the latter. ## 4.2 Size (Employees) The chart below shows the profile of the non-user businesses interviewed in terms of the number of employees they have within the UK. Comparative data has also been provided for users of UKTI support. Base: All respondents (Base, Don't know/Refused, Not yet trading) Non-Users - Total (829, 0%, 1%), Up to 5 years old (153, 0%, 0%), 6-10 years old (225, 0%, 0%), Over 10 years old (451, 1%, 0%) Users - Total (3823, 1%, 2%), Up to 5 years old (888, 0%, 8%), 6-10 years old (593, 0%, 0%), Over 10 years old (2340, 1%, 0%) Two-thirds (65%) of non-user firms are micro SMEs with fewer than 10 employees. Even among firms that have been trading for over 10 years, the majority still have less than 10 employees. Whilst they are still primarily SMEs, UKTI clients tend to be significantly larger than non-user firms, with the majority (56%) having 10 or more employees. Around a quarter (28%) of UKTI users have 50 or more employees, compared to just 9% of non-user firms. This difference in the size profile of users and non-users is most evident when it comes to firms that have been trading for more than 10 years. Supported non-users tend to be slightly larger than unsupported ones, although on average they still have significantly fewer staff than UKTI clients. - Non-Users by Whether Supported Total Up to 5 years 6-10 years Over 10 years Supp- Unsupp Supp- Unsupp Supp- Unsupp Supp- Unsupp orted -orted orted -orted orted -orted orted -orted Base 102 727 14 139 20 205 68 383 0 3% 3% 0% 5% 11% 4% 1% 2% 1-9 52% 64% 88% 79% 54% 66% 46% 59% 10-19 15% 13% 12% 9% 15% 13% 15% 15% 20-49 16% 10% 0% 4% 10% 2% 20% 11% 50-99 3% 4% 0% 2% 0% 2% 4% 6% 100-249 5% 3% 0% 0% 0% 1% 7% 4% 250+ 6% 1% 0% 0% 10% 0% 6% 2% Don't know 0% 1% 0% 0% 0% 0% 0% 1% Not yet trading 0% 0% 0% 1% 0% 0% 0% 0% ## 4.3 Turnover & Profitability 4.3.1 Turnover The chart below shows the profile of non-user businesses in terms of their current annual turnover. Comparative data has also been provided for users of UKTI support. Base: All respondents (Base, Don't know/Refused, Not yet trading) Non-Users - Total (829, 15%, 0%), Up to 5 years old (153, 10%, 0%), 6-10 years old (225, 16%, 0%), Over 10 years old (451, 17%, 0%) Users - Total (3823, 8%, 2%), Up to 5 years old (888, 6%, 8%), 6-10 years old (593, 7%, 0%), Over 10 years old (2340, 9%, 0%) Reflecting their smaller size in terms of employee numbers, non-user businesses also tend to have lower annual turnovers than UKTI clients, with half reporting sales of no more than £500,000 per year (compared to 31% of UKTI users). Amongst UKTI users there is a clear correlation between the length of time firms have been established and their annual turnovers, with the proportion of firms reporting sales of £500,000 or less falling significantly amongst older businesses. However, this relationship is less pronounced among non-users, with a similar proportion of firms aged 6-10 years and over 10 years reporting a turnover of £500,000 or less. The table below provides a comparison of the turnovers of supported and unsupported non-user firms. - Non-Users by Whether Supported Total Up to 5 years 6-10 years Over 10 years Supp- Unsupp Supp- Unsupp Supp- Unsupp Supp- Unsupp orted -orted orted -orted orted -orted orted -orted Base 102 727 14 139 20 205 68 383 Up to £500k 48% 50% 70% 66% 45% 50% 46% 45% £500k-£2m 17% 20% 24% 16% 25% 20% 13% 22% £2m-£10m 17% 9% 6% 5% 15% 11% 19% 10% £10m-£25m 2% 3% 0% 1% 0% 2% 3% 3% £25m - £500m 6% 2% 0% 0% 5% 1% 7% 2% Over £500m 0% 0% 0% 0% 0% 0% 0% 0% Don't know/refused 10% 16% 0% 11% 10% 16% 11% 18% Not yet trading 0% 0% 0% 1% 0% 0% 0% 0% As seen above, those non-users that have accessed some form of (non-UKTI) assistance report slightly higher sales than those that have not used export-related support, and are therefore somewhat closer in profile to UKTI users in this respect. Supported non-users are significantly more likely to have a turnover in excess of £2 million. ## 4.3.2 Profitability The chart below shows the profile of non-user businesses in terms of whether they are making an annual profit or loss. Comparative data has also been provided for users of UKTI support. Base: All respondents (Base, Don't know/Refused) Three-quarters (77%) of non-user firms indicated that they were making a profit, with firms that have been trading for between 6-10 years most likely to indicate that this is the case. At the total level, a similar proportion of UKTI clients are making a profit (78%). However, in the two younger age bands UKTI clients are in fact less likely to be profitable than non-user firms, but in the oldest age bands UKTI clients are significantly more likely to be profitable than non-users. The table below provides a comparison of the profitability of supported and unsupported non-user firms. - Non-Users by Whether Supported Total Up to 5 years 6-10 years Over 10 years Supp- Unsupp Supp- Unsupp Supp- Unsupp Supp- Unsupp orted -orted orted -orted orted -orted orted -orted Base 102 727 14 139 20 205 68 383 Profit 80% 76% 68% 70% 85% 83% 80% 75% Breaking even 7% 7% 16% 8% 5% 5% 6% 7% Loss 6% 8% 6% 15% 0% 6% 8% 6% Don't know/refused 7% 9% 10% 7% 10% 5% 6% 13% Although supported non-users appear slightly more likely to report a profit than unsupported firms, these differences are not statistically significant. ## 4.3.3 Profit Margin Firms were also asked to give details of the proportion of their turnover accounted for by bottom line profits (i.e. their profit margin). Please note that firms making a loss or breaking even have been treated as 0% profit for the purposes of calculating the mean. Base: All respondents (Base) The mean profit margin amongst non-user firms is actually slightly higher than that reported by UKTI clients (18% vs. 15% respectively), and this difference is apparent for all age bands. The table below provides a comparison of the profitability of supported and unsupported non-user firms. - Non-Users by Whether Supported Total Up to 5 years 6-10 years Over 10 years Supp- Unsupp Supp- Unsupp Supp- Unsupp Supp- Unsupp orted -orted orted -orted orted -orted orted -orted Base 102 727 14 139 20 205 68 383 Zero 13% 15% 22% 24% 5% 12% 14% 13% 1%-10% 16% 18% 6% 16% 10% 24% 20% 16% 11%-25% 50% 53% 40% 45% 56% 49% 51% 57% 26%-50% 15% 10% 26% 11% 15% 9% 13% 11% 51%-75% 3% 3% 6% 3% 10% 6% 2% 2% More than 75% 2% 1% 0% 2% 5% 1% 1% 0% Mean 20% 17% 24% 16% 27% 19% 17% 17% As seen above, supported non-users have a slightly higher average profit margin than unsupported firms. However, due to the low base sizes for supported non-users these differences are not statistically significant. ## 4.4 Industry Sector The chart below shows the profile of the non-user businesses interviewed in terms of their broad industry sector. Comparative data has also been provided for users of UKTI support. For both users and non-users of UKTI, the majority of firms operate in the services sector. However, UKTI users are comparatively more likely to be in the production sector, with this particularly true of older firms that have been established for more than 10 years. At the overall level, there is no difference in the sector profile of supported and unsupported non-users. Total Up to 5 years 6-10 years Over 10 years Supp- Unsupp Supp- Unsupp Supp- Unsupp Supp- Unsupp orted -orted orted -orted orted -orted orted -orted Base 102 727 14 139 20 205 68 383 Primary 0% 0% 0% 0% 0% 0% 0% 0% Production 28% 30% 12% 22% 20% 27% 33% 34% Construction 0% 0% 0% 0% 0% 0% 0% 0% Services 72% 70% 88% 78% 80% 73% 67% 66% ## 4.5 Company Status & Ownership 4.5.1 Company Status The company status of the non-user businesses interviewed is shown below, along with comparative data for users of UKTI support. Base: All respondents (Base, Don't know/Refused, Not yet trading) Non-Users - Total (829, 0%, 0%) Up to 5 years old (153, 0%, 0%), 6-10 years old (225, 0%, 0%), Over 10 years old (451, 0%, 0%) Users - Total (3823, 1%, 2%), Up to 5 years old (888, 0%, 8%), 6-10 years old (593, 1%, 0%), Over 10 years old (2340, 1%, 0%) Users of UKTI's services are significantly more likely to either have their own subsidiaries or be a subsidiary of a larger firm. However, for both users and nonusers the majority are still independent firms with no subsidiaries. As seen below, supported non-users are comparatively more likely to be subsidiaries of larger firms or have their own subsidiary, and are therefore a little closer in profile to UKTI users. This difference is most apparent amongst non-user firms that have been established for over 10 years. - Non-Users by Whether Supported Total Up to 5 years 6-10 years Over 10 years Supp- Unsupp Supp- Unsupp Supp- Unsupp Supp- Unsupp orted -orted orted -orted orted -orted orted -orted Base 102 727 14 139 20 205 68 383 Independent, no subsidiaries 81% 88% 94% 92% 90% 89% 77% 86% Business with subsidiaries 9% 5% 0% 4% 5% 5% 12% 5% Subsidiary of another firm 10% 7% 6% 3% 5% 8% 12% 7% Not for profit 0% 0% 0% 0% 0% 0% 0% 0% Other 0% 0% 0% 0% 0% 0% 0% 1% Don't know 0% 0% 0% 1% 0% 0% 0% 0% Not yet trading 0% 0% 0% 1% 0% 0% 0% 0% ## 4.5.2 Company Ownership The chart below shows data on the ownership of non-user businesses, along with comparative data for users of UKTI support. Reflecting the fact that they tend to be independent firms rather than subsidiaries, the vast majority of non-user businesses are UK-owned. This is also true of UKTI users, although this latter group are comparatively more likely to be either solely or jointly foreign owned (13% vs. 7% of non-users). There is some indication that supported non-users are more likely than their unsupported counterparts to be foreign-owned, although this difference is not statistically significant. - Non-Users by Whether Supported Total Up to 5 years 6-10 years Over 10 years Supp- Unsupp Supp- Unsupp Supp- Unsupp Supp- Unsupp orted -orted orted -orted orted -orted orted -orted Base 102 727 14 139 20 205 68 383 UK-owned 88% 92% 94% 94% 95% 92% 85% 92% Foreign-owned 9% 6% 0% 3% 0% 7% 12% 6% Joint UK & foreign-owned 3% 1% 6% 2% 5% 1% 1% 0% Not for profit/ other business type 0% 1% 0% 0% 0% 0% 0% 1% Don't know 0% 0% 0% 1% 0% 0% 0% 0% Not yet trading 0% 0% 0% 1% 0% 0% 0% 0% ## 4.6 Innovation 4.6.1 Innovative Firms The chart below shows the proportions of supported businesses that are classified as being 'innovative'. Comparative data has also been provided for users of UKTI support (from PIMS). Innovation levels differ significantly between non-users and users, with 62% of the former classified as being innovative, compared with 84% of UKTI clients. It appears that supported non-user firms are slightly closer in profile to UKTI users and are more likely to be innovative, although this difference is not statistically significant. | | | | | Total | Up to 5 years | 6-10 years | Over 10 years | |------------|--------|-------|--------|----------|------------------|---------------|------------------| | Supp- | Unsupp | Supp- | Unsupp | Supp- | Unsupp | Supp- | Unsupp | | orted | -orted | orted | -orted | orted | -orted | orted | -orted | | Base | 102 | 727 | 14 | 139 | 20 | 205 | 68 | | Innovative | 67% | 61% | 60% | 58% | 71% | 68% | 68% | The panel below provides details of how 'innovative' firms have been defined for the purposes of this analysis. ## Innovative Firms In the PIMS non-user survey and the PIMS user surveys, firms are classified as being 'innovative' if… - They have more than one employee engaged either wholly or partly in R&D activity and have more than one employee engaged either wholly or partly in new product or service development - Or, they have employed someone external to the business to conduct new product or service development in the last year - Or, have introduced new products or services in the last 3 years except firms established in the last 2 years As detailed above, the 'introduced new products or services in the last 3 years' element is not used as an indicator of innovation for recently established firms (on the basis that all products/services sold by newly established firms would theoretically be classed as 'new'). However, it should be noted that the omission of this element for new firms is pulling down the innovation results for the youngest age group. The table below compares results for all firms established in the last 5 years with results for firms established 2-5 years (i.e. excluding those not asked the new products/services element of the innovation measure). Non-Users (PIMS 2013) Users (PIMS 28-31) 0-5 years old 2-5 years old 0-5 years old 2-5 years old Base 153 97 888 549 Innovative 58% 68% 68% 87% When the innovation definition is recalculated to exclude firms established in the last 2 years, the proportion of innovative firms increases for both users and non-users. ## 4.6.2 Innovative Firms (Alternative, Tighter Definition) The chart below shows the proportions of supported businesses that have been classified as being 'innovative' using the alternative, tighter definition. Comparative data has also been provided for users of UKTI support. When the alternative definition of innovation is employed, the difference between users and non-users of UKTI is even more apparent, with almost two-thirds of the former classified as innovative compared to just a third of the latter. There is no difference between supported and unsupported non-users in this respect. | | | | | Total | Up to 5 years | 6-10 years | Over 10 years | |--------------------------|--------|-------|--------|----------|------------------|---------------|------------------| | Supp- | Unsupp | Supp- | Unsupp | Supp- | Unsupp | Supp- | Unsupp | | orted | -orted | orted | -orted | orted | -orted | orted | -orted | | Base | | | | | | | | | | | | | | | | | | 102 | 727 | 14 | 139 | 20 | 205 | 68 | 383 | | Innovative (alternative) | 35% | 33% | 34% | 32% | 51% | 35% | 32% | The panel below provides details of how 'innovative' firms have been defined for the purposes of this analysis. ## Innovative Firms (Alternative) In the PIMS non-user survey and the PIMS user surveys, firms are classified as being 'innovative' under this alternative definition if… - They have more than one employee engaged either wholly or partly in R&D activity and have more than one employee engaged either wholly or partly in new product or service development and at least some employees are engaged in the development of scientific or technical knowledge not commonly available - Or, they have employed someone external to the business to conduct new product or service development in the last year - Or, have introduced new products or services in the last 3 years except firms established in the last 2 years and these are 'new to the world' or 'new to the sector' ## 4.6.3 Employees Engaged In R&D Activity Non-user businesses were asked to indicate the number of their employees involved either wholly or partly in Research and Development activity. Comparative data has also been provided for users of UKTI support. Non-Users - Total (829, 5%, 0%), Up to 5 years old (153, 3%, 0%), 6-10 years old (225, 2%, 0%), Over 10 years old (451, 6%, 0%), UKTI users are significantly more likely to have staff engaged in R&D, with 68% having at least one employee involved in these activities compared to only 44% of non-users. The table below suggests that supported non-users tend to have slightly greater numbers of staff involved in R&D than unsupported ones, although due to the low base sizes for supported non-users these differences are not significant. Base 102 727 14 139 20 205 68 383 Zero 50% 51% 66% 48% 50% 49% 47% 53% 1 16% 18% 18% 22% 0% 22% 19% 15% 2-9 27% 24% 16% 24% 47% 25% 24% 23% 10-49 3% 2% 0% 2% 0% 1% 5% 3% 50+ 1% 0% 0% 0% 0% 0% 1% 0% Don't know 3% 5% 0% 3% 5% 2% 3% 7% Not yet trading 0% 0% 0% 1% 0% 0% 0% 0% The chart below gives the same results, but displaying the number of R&D employees as a *proportion* of the firm's total employees. In addition to being more likely to have any staff engaged in R&D, UKTI users also have a higher mean proportion of their employees involved in these activities than non-users (25% and 21% respectively). For UKTI users, although younger firms are generally less likely to have any staff engaged in R&D, when they do this tends to account for a greater proportion of their total workforce. For non-users, it is also true that for younger firms engaged in R&D activity this tends to account for a greater proportion of their workforce. As seen below, there is little variation between unsupported and supported non-users in terms of the proportion of staff employed in R&D, and where any variation does exist the base sizes of the supported users are too low to make statistically sound comparisons. - Non-Users by Whether Supported Total Up to 5 years 6-10 years Over 10 years Supp- Unsupp Supp- Unsupp Supp- Unsupp Supp- Unsupp orted -orted orted -orted orted -orted orted -orted Base 102 727 14 139 20 205 68 383 Zero 50% 51% 66% 48% 50% 49% 47% 53% Up to 10% 14% 7% 0% 1% 15% 7% 16% 10% 11-20% 6% 8% 0% 5% 5% 10% 8% 7% 21-50% 13% 15% 24% 20% 5% 16% 13% 13% More than 50% 14% 14% 10% 23% 20% 17% 14% 11% Don't know/refused 3% 5% 0% 3% 5% 2% 3% 7% Not yet trading 0% 0% 0% 1% 0% 0% 0% 0% Mean 20% 22% 16% 32% 21% 24% 20% 18% ## 4.6.4 Development Of Scientific/Technical Knowledge Not Commonly Available Non-user businesses were asked to indicate whether any of their R&D employees were involved in activities that could be described as 'the development of scientific or technical knowledge that isn't commonly available'. Comparative data has also been provided for users of UKTI support. Only 12% of non-user businesses indicated that they have staff involved in 'the development of scientific or technical knowledge that isn't commonly available', compared to a third of UKTI users. There is little difference between supported and unsupported non-users in this respect. | | | | | | | Supp- | Unsupp | |------------------|--------|-------|--------|-------|--------|---------|----------| | orted | -orted | orted | -orted | orted | -orted | orted | -orted | | Base | | | | | | | | | | | | | | | | | | 102 | 727 | 14 | 139 | 20 | 205 | 68 | 383 | | Yes | | | | | | | | | 12% | | | | | | | | | 12% | 16% | 12% | 24% | 8% | 9% | 13% | | | No | | | | | | | | | 34% | 32% | 18% | 36% | 20% | 40% | 40% | 27% | | No R&D employees | | | | | | | | | 50% | | | | | | | | | 51% | 66% | 48% | 50% | 49% | 47% | 53% | | | Don't know | | | | | | | | | 3% | | | | | | | | | 5% | 0% | 3% | 5% | 2% | 3% | 7% | | | Not yet trading | 0% | 0% | 0% | 1% | 0% | 0% | 0% | | | | | | | | | | ## 4.6.5 Employees Engaged In New Product Or Service Development Non-user businesses were asked to indicate the number of their employees involved either wholly or partly in new product or service development. Comparative data has also been provided for users of UKTI support. Base: All respondents (Base, Don't know/Refused, Not yet trading) Non-Users - Total (829, 4%, 0%), Up to 5 years old (153, 3%, 0%), 6-10 years old (225, 2%, 0%), Over 10 years old (451, 5%, 0%) Users - Total (2010, 3%, 2%), Up to 5 years old (481, 1%, 7%), 6-10 years old (329, 1%, 0%), Over 10 years old (1199, 4%, 0%) Half of non-user firms have at least one employee engaged in new product or service development, compared to three quarters of UKTI clients. The table below demonstrates that there is little difference in the number of employees engaged in new product or service development in supported and unsupported firms. | Total | Up to 5 years | 6-10 years | Over 10 years | |-----------------|------------------|---------------|------------------| | | | | | | Supp- | Unsupp | Supp- | Unsupp | | orted | -orted | orted | -orted | | Base | | | | | | | | | | 102 | | | | | | | | | | 727 | | | | | | | | | | 14 | | | | | | | | | | 139 | | | | | | | | | | 20 | | | | | | | | | | 205 | | | | | | | | | | 68 | | | | | | | | | | 383 | | | | | | | | | | Zero | | | | | 44% | | | | | 45% | 66% | 46% | 75% | | 1 | 22% | 22% | 28% | | 2-9 | | | | | 24% | | | | | 25% | 6% | 25% | 24% | | 10-49 | | | | | 5% | | | | | 3% | 0% | 2% | 0% | | 50+ | 2% | 0% | 0% | | Don't know | | | | | 3% | | | | | 4% | 0% | 3% | 0% | | Not yet trading | 0% | 0% | 0% | | | | | | The chart below gives the same results, but displaying the number of employees engaged in product/service development as a *proportion* of all employees at the firm. Base: All respondents (Base, Don't know/Refused, Not Yet Trading) As was seen for R&D employees, as well as being more likely than non-users to have any staff engaged in new product or service development, UKTI users also have a slightly higher proportion of their employees involved in these activities. On average, UKTI users have 28% of their staff engaged wholly or partly in product/service development compared to 24% for non-users. Although UKTI clients established for over 10 years are more likely to have any staff involved in new product development, this tends to involve a lower proportion of their total workforce. For non-user firms, age has little bearing on whether they have any staff engaged in NPD but younger firms tend to have a higher proportion of their total workforce engaged in these activities. There is no overall difference between supported and unsupported firms when it comes to the proportion of employees engaged in NPD. Development - Non-Users by Whether Supported Total Up to 5 years 6-10 years Over 10 years Supp- Unsupp Supp- Unsupp Supp- Unsupp Supp- Unsupp orted -orted orted -orted orted -orted orted -orted Base 102 727 14 139 20 205 68 383 Zero 44% 45% 66% 46% 75% 43% 34% 46% Up to 10% 15% 10% 0% 2% 15% 9% 18% 13% 11-20% 7% 8% 6% 7% 10% 12% 6% 7% 21-50% 16% 15% 18% 16% 0% 15% 19% 14% More than 50% 15% 17% 10% 25% 0% 20% 19% 14% Don't know 3% 4% 0% 3% 0% 2% 4% 6% Not yet trading 0% 0% 0% 1% 0% 0% 0% 0% Mean 22% 24% 18% 33% 2% 27% 28% 21% ## 4.6.6 External R&D Or Product/Service Development Non-user businesses were also asked whether they had commissioned anyone external to their business to conduct any R&D or new product/service development for them in the last year. Comparative data has also been provided for users of UKTI support. Base: All respondents (Base, Don't know/Refused, Not Yet Trading) Non-Users - Total (829, 2%, 0%), Up to 5 years old (153, 3%, 0%), 6-10 years old (225, 0%, 0%), Over 10 years old (451, 2%, 0%) Users - Total (3823, 3%, 2%), Up to 5 years old (888, 1%, 8%), 6-10 years old (593, 1%, 0%), Over 10 years old (2340, 4%, 0%) In comparison to non-users, UKTI clients are considerably more likely to have outsourced R&D or new product/service development in the past year. As seen below, there is no difference between supported and unsupported non-users in their use of external R&D or NPD. | Total | Up to 5 years | 6-10 years | Over 10 years | |-----------------|------------------|---------------|------------------| | | | | | | Supp- | Unsupp | Supp- | Unsupp | | orted | -orted | orted | -orted | | Base | | | | | | | | | | 102 | 727 | 14 | 139 | | Yes | | | | | 14% | 13% | 6% | 20% | | No | | | | | 85% | 85% | 94% | 76% | | Don't know | | | | | 1% | | | | | 2% | 0% | 3% | 0% | | Not yet trading | 0% | 0% | 0% | | | | | | | | | | | ## 4.6.7 New Products & Services Non-user firms were asked whether they had introduced any new products or services over the last 3 years and, if so, whether these were just new to their business, new to their industry/sector or completely new to the world. The table summarises these results, along with comparative data for users of UKTI support. Non-Users (PIMS 2013) Users (PIMS 28-31) 6-10 >10 6-10 >10 Total 0-5 years years years Total 0-5 years years years Base: All est. 2 yrs or more 773 97 225 451 3484 549 593 2340 Yes 56% 59% 62% 54% 80% 78% 78% 80% - New to the business 32% 37% 38% 28% 34% 33% 29% 35% - New to the sector 11% 9% 11% 11% 18% 17% 19% 18% - New to the world 6% 6% 7% 5% 16% 20% 19% 14% - Some new to world, some just new to business 7% 7% 6% 8% 11% 7% 10% 12% No 43% 40% 38% 45% 20% 21% 22% 19% Don't know 1% 1% 0% 1% 1% 1% 0% 1% UKTI users are more likely to have introduced new products or services over the last 3 years (80% vs. 56% of non-users). Furthermore, 27% of users indicated that at least some of these products were completely 'new to the world', compared to just 13% of non-users. For both users and non-users there is relatively little difference in the proportion of firms introducing new products/services by age of firms. As detailed below, those non-user firms that have accessed some form of exportrelated support appear more likely to be dealing with new products/services than unsupported non-users. However, it should be noted that this apparent difference is not statistically significant. - Non-Users by Whether Supported Total Up to 5 years 6-10 years Over 10 years Supp- Unsupp Supp- Unsupp Supp- Unsupp Supp- Unsupp orted -orted orted -orted orted -orted orted -orted Base: All est. 2 yrs or more 99 674 11 86 20 205 68 383 Yes 63% 55% 77% 57% 60% 62% 62% 52% - New to the business 34% 31% 33% 37% 35% 38% 34% 27% - New to the sector 13% 11% 16% 8% 16% 10% 12% 11% - New to the world 7% 6% 16% 5% 0% 8% 7% 5% - Some new to world, some just new to business 9% 7% 13% 7% 10% 5% 9% 7% No 36% 44% 23% 42% 40% 38% 37% 47% Don't know 1% 1% 0% 1% 0% 0% 1% 1% ## 4.6.8 Ip Protection Non-user firms were asked whether they had applied for or obtained any patents, trademarks or other legal protection (either in the UK or overseas) for any of their products/services. If so, they have been classified as 'IP active'. Equivalent data has also been provided for UKTI users. Base: All respondents (Base, Don't know) Reflecting their generally lower involvement in innovation activities (as seen throughout this section of the report), non-users are much less likely than users to hold any IP protection. There are no differences between supported and unsupported non-user firms when it comes to the likelihood of holding IP protection. - Non-Users by Whether Supported Total Up to 5 years 6-10 years Over 10 years Supp- Unsupp Supp- Unsupp Supp- Unsupp Supp- Unsupp orted -orted orted -orted orted -orted orted -orted Base 102 727 14 139 20 205 68 383 Yes 17% 15% 18% 14% 16% 16% 18% 16% No 76% 82% 82% 82% 80% 82% 75% 81% Don't know 6% 3% 0% 3% 5% 2% 7% 3% ## 4.7 Growth 4.7.1 Recent Growth The following chart shows the growth of non-user firms over the last 5 years, along with comparative data for users of UKTI support. Please note that firms established for 1 year or less were not asked this question and have been excluded from the analysis. UKTI users have experienced more dynamic growth than non-users, with 72% of the former indicating that they have grown over the past 5 years compared to 59% of non-users. In particular, users are more likely to have experienced 'substantial growth', suggesting that UKTI support can have a positive impact on the growth performance of UK exporters. This difference between UKTI users and non-users is evident across all age bands, but particularly evident in firms established over 10 years ago. As detailed below, it does appear that supported non-user firms are slightly more likely to report past growth, although this difference is not statistically significant. - Non-Users by Whether Supported Total Up to 5 years 6-10 years Over 10 years Supp- Unsupp Supp- Unsupp Supp- Unsupp Supp- Unsupp orted -orted orted -orted orted -orted orted -orted Base: All est. >1 year 101 712 13 124 20 205 68 383 Grown substantially 18% 15% 7% 20% 15% 22% 21% 11% Grown moderately 47% 42% 55% 50% 66% 49% 41% 38% Remained same 23% 27% 27% 21% 10% 21% 25% 32% Become smaller 10% 13% 11% 5% 10% 7% 10% 17% Don't know/refused 2% 2% 0% 4% 0% 0% 3% 2% ## 4.7.2 Future Growth Non-user businesses were also asked to indicate the growth objectives for their business over the next five years. Comparative data has also been provided for users of UKTI support. Base: All respondents (Base, Don't know/Refused) Non-Users - Total (829, 6%), Up to 5 years old (153, 4%), 6-10 years old (225, 2%), Over 10 years old (451, 7%) Users - Total (3823, 2%), Up to 5 years old (888, 1%), 6-10 years old (593, 1%), Over 10 years old (2340, 2%) In addition to being less likely to have experienced growth over the last 5 years, nonuser businesses are also less optimistic about their growth prospects for the next five years. Although the majority expect some level of growth, they are much less likely than UKTI users to be anticipating 'substantial' growth and this is true irrespective of the length of time firms have been established. There appears to be little difference in the future growth objectives of supported and unsupported non-users, as seen in the table below. | Total | Up to 5 years | 6-10 years | Over 10 years | |--------------------|------------------|---------------|------------------| | | | | | | Supp- | Unsupp | Supp- | | | orted | -orted | orted | | | Base | | | | | | | | | | 102 | 727 | 14 | 139 | | Grow substantially | 18% | 21% | 34% | | Grow moderately | | | | | 58% | | | | | 51% | 60% | 51% | 80% | | Remain same | | | | | 17% | | | | | 19% | 6% | 9% | 15% | | Become smaller | 3% | 4% | 0% | | Don't know | | | | | 3% | | | | | 6% | 0% | 4% | 0% | | | | | | | Unsupp | Supp- | Unsupp | Supp- | Unsupp | |----------|---------|----------|---------|----------| | -orted | orted | -orted | orted | -orted | ## 4.7.3 Innovative High Growth Firms The chart below shows the proportions of non-user businesses that are classified as being 'innovative high growth' (as per the definition in the panel overleaf). Comparative data has also been provided for users of UKTI support from the main PIMS surveys. UKTI appears to support a disproportionally high number of innovative high growth firms, with users twice as likely as non-users to be classified in this way. However, there are clearly still significant numbers of innovative high growth firms that UKTI do not reach, with 17% of non-users meeting this definition. Although non-user firms that have not accessed any external support appear more likely to be classed as innovative high growth than supported non-users, this difference is not statistically significant. | Total | Up to 5 years | 6-10 years | Over 10 years | |------------------------|------------------|---------------|------------------| | | | | | | Supp- | Unsupp | Supp- | | | orted | -orted | orted | | | Base | | | | | | | | | | 102 | 727 | 14 | 139 | | Innovative high growth | | | | | 12% | | | | | 18% | 22% | 29% | 5% | | Innovative other | | | | | 56% | | | | | 43% | 38% | 29% | 66% | | Non-innovative | | | | | 33% | | | | | 39% | 40% | 42% | 29% | | Unsupp | Supp- | Unsupp | Supp- | Unsupp | |----------|---------|----------|---------|----------| | -orted | orted | -orted | orted | -orted | The panel below provides details of how 'innovative high growth' firms have been defined for the purposes of this analysis. ## Innovative High Growth Firms 'Innovative high growth' firms are those that… - Are defined as being 'innovative' (using the standard definition) - And, expect to grow substantially over the next 5 years ## 4.8 Business Planning Non-user businesses were asked whether they had a current, written business plan and, if so, whether this plan contained any targets that specifically related to overseas sales. These results are shown in the following table, along with comparable results for users of UKTI support. Non-Users (PIMS 2013) Users (PIMS 28-31) 6-10 >10 6-10 >10 Total Up to 5 years years years Total Up to 5 years years years Base 829 153 225 451 3823 888 593 2340 Do you have a current business plan? Yes 40% 45% 48% 36% 70% 70% 66% 71% In progress/being written 3% 5% 3% 2% 2% 3% 2% 1% No 49% 45% 42% 52% 25% 26% 29% 23% Don't know 8% 4% 7% 9% 4% 1% 2% 5% Does this plan contain any targets relating to overseas sales? Yes 22% 24% 24% 20% 55% 52% 54% 56% No 19% 25% 26% 15% 15% 19% 13% 13% Don't know 3% 1% 0% 4% 2% 1% 1% 3% No business plan 49% 45% 42% 52% 25% 26% 29% 23% Don't know if have business plan 8% 4% 7% 9% 4% 1% 2% 5% Business planning appears to be much more prevalent amongst users of UKTI trade development services than non-users, with 70% of users having a business plan compared to just 40% of non-users. Furthermore, less than a quarter of non-users have a plan that contains targets relating to overseas sales, whereas over half of UKTI clients indicated that this was the case. With respect to differences between supported and unsupported non-user firms, the former are more likely to have a current written business plan and to detail targets for overseas sales within this plan (although still less likely than UKTI users). - Non-Users by Whether Supported Total Up to 5 years 6-10 years Over 10 years Supp- Unsupp Supp- Unsupp Supp- Unsupp Supp- Unsupp orted -orted orted -orted orted -orted orted -orted Base 102 727 14 139 20 205 68 383 Do you have a current business plan? Yes 50% 39% 50% 45% 65% 46% 47% 34% In progress/being written 4% 3% 10% 4% 0% 3% 4% 2% No 35% 51% 40% 46% 30% 44% 35% 55% Don't know 10% 7% 0% 5% 5% 7% 13% 8% Does this plan contain any targets relating to overseas sales? Yes 30% 21% 24% 24% 36% 23% 29% 19% No 23% 19% 35% 24% 30% 26% 19% 14% Don't know 2% 3% 0% 1% 0% 0% 3% 4% No business plan 35% 51% 40% 46% 30% 44% 35% 55% Don't know if have business plan 10% 7% 0% 5% 5% 7% 13% 8% ## 4.9 Degree-Level Senior Management The chart below shows the proportions of non-user businesses interviewed that have at least one owner, partner or director with degree level (or equivalent) qualifications. Comparative data has also been provided for users of UKTI support. Base: All respondents (Base) The majority of non-user firms have at least one owner, partner or director with degree level qualifications. However, UKTI users are considerably more likely to have at least one highly-qualified member of the senior management team. As seen below, there is little difference in this respect between supported and unsupported non-users. | | | | | Total | Up to 5 years | 6-10 years | Over 10 years | |-----------------|--------|-------|--------|----------|------------------|---------------|------------------| | Supp- | Unsupp | Supp- | Unsupp | Supp- | Unsupp | Supp- | Unsupp | | orted | -orted | orted | -orted | orted | -orted | orted | -orted | | Base | | | | | | | | | | | | | | | | | | 102 | 727 | 14 | 139 | 20 | 205 | 68 | 383 | | Yes | | | | | | | | | 54% | | | | | | | | | 57% | 44% | 60% | 71% | 62% | 51% | 54% | | | No | | | | | | | | | 43% | | | | | | | | | 40% | 56% | 38% | 24% | 35% | 46% | 43% | | | Don't know | 3% | 3% | 0% | 1% | 5% | 3% | 3% | | Not yet trading | | | | | | | | | 0% | | | | | | | | | 0% | 0% | 1% | 0% | 0% | 0% | 0% | | | | | | | | | | | | | | | | | | | | ## 4.10 Membership Of Business Bodies All firms were asked if they belonged to the Chamber of Commerce, any Trade Associations or sector bodies, or any other organisations representing business (e.g. the CBI, FSB, etc). Comparative data has also been provided for users of UKTI support. Non-Users (PIMS 2013) Users (PIMS 29-31 only) 6-10 >10 6-10 >10 Total Up to 5 years years years Total Up to 5 years years years Base 829 153 225 451 2740 633 400 1705 Chamber of Commerce 16% 8% 15% 19% 31% 17% 24% 38% Trade associations or sector bodies 24% 15% 19% 29% 55% 35% 46% 65% Other organisations representing business 20% 16% 24% 19% 22% 11% 20% 26% None of these 53% 67% 56% 47% 30% 52% 39% 20% Don't know 3% 4% 1% 3% 3% 1% 2% 5% Member of at least one 45% 29% 43% 50% 66% 47% 59% 76% UKTI users are significantly more likely than non-users to belong to the Chamber of Commerce and trade associations/sector bodies. Those non-user firms that had obtained some form of export-related support (from a non-UKTI source) are more likely to be members of each of these organisations than unsupported non-users. - Non-Users by Whether Supported Total Up to 5 years 6-10 years Over 10 years Supp- Unsupp Supp- Unsupp Supp- Unsupp Supp- Unsupp orted -orted orted -orted orted -orted orted -orted Base 102 727 14 139 20 205 68 383 Chamber of Commerce 33% 14% 10% 7% 35% 13% 37% 16% Trade associations or sector bodies 34% 23% 18% 15% 40% 17% 35% 28% Other organisations representing business 28% 19% 16% 16% 35% 23% 28% 18% None of these 41% 54% 72% 67% 30% 58% 39% 49% Don't know 1% 3% 0% 5% 0% 2% 1% 3% Member of at least one 58% 43% 28% 29% 70% 40% 59% 48% ## 5. Export Experience & Strategy 5.1 Length Of Time Exporting The chart below provides details of the length of time that non-user businesses have been doing business overseas. Comparative data has also been provided for users of UKTI support. There is generally little difference between users and non-users of UKTI, although the former are slightly more likely to be either very recent exporters (less than 2 years experience) or very long-term exporters (over 20 years experience). Supported non-users are slightly more experienced overseas than unsupported nonusers, being more likely to have been exporting for more than 10 years and less likely to have not yet started doing business overseas. - Non-Users by Whether Supported Total Up to 5 years 6-10 years Over 10 years Supp- Unsupp Supp- Unsupp Supp- Unsupp Supp- Unsupp orted -orted orted -orted orted -orted orted -orted Base 102 727 14 139 20 205 68 383 Not exporting 2% 7% 6% 15% 0% 8% 1% 5% Less than 2 years 5% 12% 22% 43% 5% 8% 3% 4% 2-5 years 15% 20% 72% 41% 10% 27% 7% 11% 6-10 years 24% 25% 0% 0% 85% 55% 13% 20% 11-20 years 32% 18% 0% 0% 0% 0% 45% 31% Over 20 years 22% 17% 0% 0% 0% 0% 30% 29% Don't know 0% 1% 0% 1% 0% 2% 0% 1% Firms that were not yet exporting were eligible for the Non-User survey as long as they has attempted or seriously considered doing business overseas in the previous 2 years. Overall, this group accounted for 7% of the non-user sample. These firms were also asked whether they expected to start doing business overseas in the next 3 years. Comparative results have also been shown for UKTI users. (Not Yet Exporting Firms) Firms Not Yet Exporting Non-Users (2013) Users (PIMS 28-31) Base: All not yet exporting 58 359 Yes 86% 87% - In next year 22% 45% - In next 1-2 years 9% 29% - In next 2-3 years 55% 13% - Don't know when 0% 0% No 8% 9% Don't know 6% 4% The majority of non-user firms that were not currently exporting expected to start in the next 3 years, although over half thought it would take at least 2 years to reach this point. Within the equivalent group of UKTI clients, a similar proportion of firms were expecting to start doing business overseas in the next 3 years, but typically expected this to happen sooner. ## 5.2 Export Turnover 5.2.1 Current Export Turnover The chart below shows the profile of the non-user businesses interviewed in terms of the proportion of their turnover that is accounted for by overseas sales. Comparative data has also been provided for users of UKTI support. Overseas sales appear to be more important to UKTI users than non-users, in the sense that the former indicate that exports account for a greater proportion of their overall sales. Overall, 59% of non-users report that exports contribute no more than 10% of their total turnover, compared to just 35% of users. It is also interesting to note that amongst non-users there is relatively little difference in export turnover by age of firm, particularly when comparing firms established for 6- 10 years and those that have been trading for more than 10 years. However, among UKTI clients there is a more linear relationship between the importance of overseas sales (in terms of their contribution to total turnover) and age of business. As seen below, supported non-users tend to be more engaged exporters, with overseas sales generally accounting for a greater proportion of their turnover than is the case for unsupported firms. However, exports are still less important to these businesses than is the case for UKTI users. - Non-Users by Whether Supported Total Up to 5 years 6-10 years Over 10 years Supp- Unsupp Supp- Unsupp Supp- Unsupp Supp- Unsupp orted -orted orted -orted orted -orted orted -orted Base 102 727 14 139 20 205 68 383 Not exporting 2% 7% 6% 15% 0% 8% 1% 5% Up to 10% 42% 54% 45% 55% 44% 52% 39% 55% 11-15% 6% 3% 6% 1% 5% 3% 6% 4% 16-25% 8% 6% 0% 5% 0% 6% 11% 5% 26-50% 16% 10% 26% 7% 20% 10% 13% 10% 51-75% 7% 5% 0% 4% 5% 3% 9% 6% Over 75% 12% 9% 12% 8% 15% 11% 12% 8% Don't know 7% 6% 0% 5% 10% 6% 7% 7% ## 5.2.2 Anticipated Change In Export Turnover In addition to providing their current export turnover, non-user firms were also asked whether they expected that the percentage of their turnover accounted for by overseas sales would be higher, lower or the about the same in 3 years time. Base: All respondents (Base, Don't know/Refused) Non-users of UKTI appear to be considerably less optimistic and/or ambitious when it comes to overseas growth, with only 44% expecting overseas sales to account for a greater proportion of their turnover in 3 years time compared to 72% of users. This difference is apparent irrespective of age of firm, although it is interesting to note that younger non-users are more likely to be expecting overseas growth than older firms. In contrast, the proportion of UKTI users expecting to see an increase in their export sales is similar irrespective of the age of the firm. Although it is not statistically significant, there is some indication that supported nonusers are more likely to anticipate an increase in the proportion of their turnover accounted for by overseas sales. | Total | Up to 5 years | 6-10 years | Over 10 years | |----------------|------------------|---------------|------------------| | | | | | | Supp- | Unsupp | Supp- | Unsupp | | orted | -orted | orted | -orted | | Base | | | | | | | | | | 102 | | | | | | | | | | 727 | | | | | | | | | | 14 | | | | | | | | | | 139 | | | | | | | | | | 20 | | | | | | | | | | 205 | | | | | | | | | | 68 | | | | | | | | | | 383 | | | | | | | | | | Higher | | | | | 50% | | | | | 43% | 76% | 54% | 36% | | About the same | | | | | 37% | | | | | 45% | 24% | 37% | 60% | | Lower | 8% | 6% | 0% | | Don't know | | | | | 4% | | | | | 6% | 0% | 5% | 0% | The chart below tracks how responses to this question have changed over time. Please note that comparable data is available for the last 5 years of the non-user survey, but only the last 4 years of the main PIMS user survey. Non-users' predictions for their overseas turnover are more positive than they were at the height of the economic downturn in 2009, but there has been little change over the last 4 years. For users of UKTI, there has been a gradual upward trend in the proportion of firms expecting an increase in the contribution of overseas sales to their total turnover. Those firms that were expecting their export turnover to increase over the next 3 years were asked whether they would achieve this through entering new markets or by expanding in markets in which they were already operating. Non-Users (PIMS 2013) 6-10 >10 Total Up to 5 years years years Base 829 153 225 451 Entering new markets 11% 19% 16% 8% Expanding in existing markets 11% 11% 8% 12% Both 20% 24% 21% 18% Don't know 1% 2% 1% 1% Not expecting growth in export turnover 56% 44% 54% 61% Among firms expecting an increase in export turnover, an equal proportion believe that this will come about through entering new overseas markets as expect it to occur through expanding in existing markets. In almost half of cases firms believe it will be a combination of these two factors. It is clear from the analysis below that supported non-users are considerably more likely to increase their overseas turnover by expanding in existing markets than is the case for unsupported firms (41% vs. 29%). - Non-Users by Whether Supported Total Up to 5 years 6-10 years Over 10 years Supp- Unsupp Supp- Unsupp Supp- Unsupp Supp- Unsupp orted -orted orted -orted orted -orted orted -orted Base 102 727 14 139 20 205 68 383 Entering new markets 7% 12% 6% 20% 5% 17% 8% 8% Expanding in existing markets 19% 10% 26% 10% 16% 7% 19% 11% Both 22% 19% 44% 22% 15% 22% 21% 17% Don't know 2% 1% 0% 2% 0% 1% 3% 1% Not expecting growth in export turnover 50% 57% 24% 46% 64% 53% 50% 63% ## 5.3 Number Of Markets 5.3.1 Current Number Of Markets The chart below shows the number of overseas markets that non-user firms have done business in over the last year. Comparative data has also been provided for users of UKTI support (from the PIMS Follow-Up surveys). Overall, non-user businesses are generally doing business in fewer overseas markets than UKTI clients. This difference is particularly evident amongst firms established for more than 10 years. As seen below, supported non-users are generally active in a greater number of markets than unsupported firms, and therefore have more similarities with UKTI users in this respect. - Non-Users by Whether Supported Total Up to 5 years 6-10 years Over 10 years Supp- Unsupp Supp- Unsupp Supp- Unsupp Supp- Unsupp orted -orted orted -orted orted -orted orted -orted Base 102 727 14 139 20 205 68 383 None 4% 12% 6% 22% 5% 12% 3% 9% 1-5 46% 52% 68% 58% 50% 52% 42% 51% 6-10 22% 19% 16% 13% 25% 21% 23% 20% 11-20 13% 11% 10% 5% 15% 11% 13% 13% 21-50 14% 4% 0% 1% 5% 3% 18% 5% More than 50 1% 1% 0% 0% 0% 1% 1% 1% Don't know 0% 1% 0% 1% 0% 1% 0% 1% ## 5.3.2 Anticipated Change In Number Of Markets In addition to providing data on their current number of markets, non-user firms were also asked to estimate whether this number would increase, decrease or remain the same over the next 3 years. Base: All respondents (Base, Don't know/Refused) Non-Users - Total (829, 5%), Up to 5 years old (153, 3%), 6-10 years old (225, 4%), Over 10 years old (451, 7%), Nearly half of non-users expect to increase the number of overseas markets in which they do business over the next 3 years. In comparison, almost three quarters of UKTI users expect to expand into more markets over this period, which is consistent with the fact that users have more ambitious growth aspirations for their business as a whole (see Section 4.7.2). There is some evidence that older firms are less likely to anticipate expanding into new overseas markets, particularly amongst non-users. There are no statistically significant differences between supported and unsupported non-users when it comes to the proportion anticipating an increase in their overseas operations. orted 102 727 14 139 20 205 68 383 More markets 51% 45% 82% 57% 55% 50% 46% 39% The same 42% 42% 18% 30% 35% 40% 47% 47% Less markets 5% 7% 0% 9% 5% 6% 6% 7% Don't know 2% 6% 0% 4% 5% 4% 1% 8% ## 5.3.3 New Markets Entered In Last 2 Years Non-user businesses were also asked whether they had successfully entered or begun trading in any new countries in the previous 2 years and, if so, which ones. The chart below summarises these results and also provides comparative data for users of UKTI support (from the PIMS Follow-Up surveys). | | | Non-Users (PIMS 2013) | Users (PIMS 24-27 Follow-Up) | |-------------------------|-------|--------------------------|---------------------------------| | 6-10 | >10 | 6-10 | >10 | | Total | | | | | Up to 5 | | | | | years | years | years | | | Total | | | | | Up to 5 | | | | | years | years | years | | | Base | | | | | | | | | | 829 | | | | | | | | | | 153 | | | | | | | | | | 225 | | | | | | | | | | 451 | | | | | | | | | | 401 | | | | | | | | | | 111 | | | | | | | | | | 78 | | | | | | | | | | 212 | | | | | | | | | | Yes | 41% | 40% | 43% | | - Europe | | | | | 20% | | | | | | | | | | 22% | | | | | | | | | | 23% | | | | | | | | | | 19% | | | | | | | | | | 27% | | | | | | | | | | 25% | | | | | | | | | | 27% | | | | | | | | | | 28% | | | | | | | | | | - Middle East & Africa | | | | | 7% | | | | | | | | | | 9% | | | | | | | | | | 6% | | | | | | | | | | 8% | | | | | | | | | | 15% | | | | | | | | | | 12% | | | | | | | | | | 14% | | | | | | | | | | 16% | | | | | | | | | | - North America | 6% | | | | | | | | | 10% | | | | | | | | | | 7% | | | | | | | | | | 5% | | | | | | | | | | 11% | | | | | | | | | | 19% | | | | | | | | | | 8% | | | | | | | | | | 8% | | | | | | | | | | - South & Latin America | | | | | 4% | | | | | | | | | | 3% | | | | | | | | | | 1% | | | | | | | | | | 6% | | | | | | | | | | 7% | | | | | | | | | | 6% | | | | | | | | | | 4% | | | | | | | | | | 9% | | | | | | | | | | - Asia Pacific | | | | | 12% | | | | | | | | | | 12% | | | | | | | | | | 13% | | | | | | | | | | 11% | | | | | | | | | | 29% | | | | | | | | | | 32% | | | | | | | | | | 31% | | | | | | | | | | 26% | | | | | | | | | | No | 52% | 45% | 48% | | Don't know | | | | | 1% | | | | | 0% | 2% | 1% | 0% | | Not yet exporting | | | | | 7% | | | | | 15% | 7% | 4% | 14% | Once again, non-users seem to be less dynamic in their overseas development than UKTI users, with 41% and 57% respectively having entered new markets in the last 2 years. This suggests that those firms actively pursuing export growth (and perhaps encountering problems along the way) are more inclined to seek out UKTI's assistance. As seen for many of the areas relating to firm characteristics and export behaviour, supported non-users are closer in profile to UKTI users, with 54% having entered new markets in the last 2 years (compared to 39% of unsupported non-users). - Non-Users by Whether Supported Total Up to 5 years 6-10 years Over 10 years Supp- Unsupp Supp- Unsupp Supp- Unsupp Supp- Unsupp orted -orted orted -orted orted -orted orted -orted Base 102 727 14 139 20 205 68 383 Yes 54% 39% 63% 38% 45% 43% 55% 37% - Europe 19% 20% 32% 21% 20% 23% 16% 19% - Middle East/Africa 19% 6% 16% 8% 10% 5% 21% 5% - North America 7% 6% 6% 10% 5% 7% 7% 5% - South/Latin America 5% 4% 0% 3% 0% 1% 8% 5% - Asia Pacific 18% 11% 22% 11% 15% 12% 18% 10% No 44% 53% 30% 46% 55% 47% 44% 57% Don't know 0% 1% 0% 0% 0% 2% 0% 1% Not yet exporting 2% 7% 6% 15% 0% 8% 1% 5% ## 5.4 Changes In Overseas Strategy Non-user firms were asked whether, compared with a year ago, they were now focussing more or less on overseas markets. Results are shown below, along with comparative data for users of UKTI support (from the PIMS Follow-Up surveys). The majority of non-user businesses have not changed their overseas focus in the last year, although nearly a quarter are now focussing more on overseas markets. In contrast, UKTI users are twice as likely to have increased their focus on overseas markets in the past year. This suggests that UKTI support may be encouraging firms to concentrate more on export opportunities, although of course it may be that firms that are targeting overseas growth are more likely to then seek out UKTI assistance to help them do so. As seen below, supported non-users are significantly more likely than unsupported firms to have increased their focus on overseas markets in the past year . | Total | Up to 5 years | 6-10 years | Over 10 years | |-------------------|------------------|---------------|------------------| | | | | | | Supp- | Unsupp | Supp- | Unsupp | | orted | -orted | orted | -orted | | Base | | | | | | | | | | 102 | | | | | | | | | | 727 | | | | | | | | | | 14 | | | | | | | | | | 139 | | | | | | | | | | 20 | | | | | | | | | | 205 | | | | | | | | | | 68 | | | | | | | | | | 383 | | | | | | | | | | Focussing more on | | | | | overseas markets | | | | | 32% | | | | | 21% | 28% | 27% | 25% | | Focussing less on | | | | | overseas markets | | | | | 6% | | | | | 8% | 0% | 11% | 5% | | No change | | | | | 62% | | | | | 70% | 72% | 62% | 70% | | Don't know | 0% | 1% | 0% | The chart below tracks how responses to this question have changed over time. The proportion of non-user firms changing their strategy to focus more on export opportunities has gradually fallen over the last 3 years. Whilst there was a slight increase in this respect for UKTI users a year ago, in the most recent year the proportion fell back to the levels seen in prior to this. ## 6. Benefits Of Exporting 6.1 Summary Non-user businesses were read out a list of possible benefits of doing business overseas and asked to indicate the extent that they agreed with each one, using a 5- point scale where 5 meant 'agree strongly' and 1 meant 'disagree strongly'. The following table summarises the proportion of firms agreeing (i.e. scoring 4-5 on the 5-point scale) that each is a benefit by age of firm. | | | | | Non-Users (PIMS 2013) | Users (PIMS 30-31 only) | |----------------------------|-------|-------|---------|--------------------------|----------------------------| | Up to 5 | 6-10 | >10 | Up to 5 | 6-10 | >10 | | Total | Total | | | | | | years | years | years | years | years | years | | Proportion agreeing (4- | | | | | | | 5 out of 5) that reasons | | | | | | | are benefits of | | | | | | | exporting... | | | | | | | old | old | old | old | old | old | | Base | | | | | | | | | | | | | | 829 | | | | | | | | | | | | | | 153 | | | | | | | | | | | | | | 225 | | | | | | | | | | | | | | 451 | | | | | | | | | | | | | | 1813 | | | | | | | | | | | | | | 407 | | | | | | | | | | | | | | 264 | | | | | | | | | | | | | | 1141 | | | | | | | | | | | | | | 57% | 56% | 61% | 56% | 86% | 87% | | Enables you to achieve a | | | | | | | level of growth otherwise | | | | | | | not possible | | | | | | | Allows you to more fully | | | | | | | utilise existing capacity | | | | | | | 56% | 53% | 62% | 54% | 79% | 75% | | Exposes you to new | | | | | | | ideas | | | | | | | 50% | 59% | 55% | 45% | 78% | 77% | | 46% | 50% | 49% | 43% | 74% | 78% | | Increases the commercial | | | | | | | life span of your products | | | | | | | or services | | | | | | | Improves your firm's | | | | | | | profile or credibility | | | | | | | 65% | 66% | 66% | 65% | 87% | 88% | Exporting clearly benefits internationalising firms in a number of different ways, and not just through enabling firms are able to achieve a level of growth otherwise not possible. Among both non-users and users, the most widely experienced benefit of exporting is that it improves firms' profile or credibility. Over half of all non-users firms also agree that exporting benefits their firm because it enables them to achieve a level of growth that would otherwise not be possible and because it allows them to more fully utilise their existing capacity. Users are significantly more likely to report each of the benefits tested, suggesting that accessing support from UKTI puts firms in a better position to take advantage of the potential positive impacts of exporting. For both users and non-users of UKTI, there are few clear or consistent differences in benefits of exporting by age of firm. However, younger non-user firms are more likely to cite exposure to new ideas as a benefit of exporting. The following table summarises the proportion of firms agreeing (i.e. scoring 4-5 on the 5-point scale) that each is a benefit by number of years exporting. | Non-Users (PIMS 2013) | Users (PIMS 30-31 only) | |----------------------------|----------------------------| | Years exporting... | Years exporting... | | Total | Total | | Less | Less | | Proportion agreeing (4- | | | 5 out of 5) that reasons | | | are benefits of | | | exporting... | | | 2-10 | >10 | | than 2 | than 2 | | years | years | | years | years | | Base | | | | | | 829 | | | | | | 157 | | | | | | 382 | | | | | | 281 | | | | | | 1813 | 409 | | 57% | | | 57% | 55% | | | | | 81% | | | | | | 85% | | | | | | 88% | | | | | | Enables you to achieve a | | | level of growth otherwise | | | not possible | | | Allows you to more fully | | | utilise existing capacity | | | 56% | | | 56% | 55% | | | | | 71% | | | | | | 80% | | | | | | 82% | | | | | | Exposes you to new | | | ideas | | | 50% | | | 59% | 48% | | | | | 76% | | | | | | 79% | | | | | | 78% | | | | | | 46% | | | 49% | 45% | | | | | 75% | | | | | | 73% | | | | | | 74% | | | | | | Increases the commercial | | | life span of your products | | | or services | | | Improves your firm's | | | profile or credibility | | | 65% | | | 64% | 66% | | | | | 85% | | | | | | 90% | | | | | | 86% | | | | | Generally there are few consistent differences by export experience when it comes to the benefits of exporting. However, amongst non-users, those that are fairly new to exporting are more likely to agree that exposure to new ideas is a benefit of exporting. Among users of UKTI services, more experienced exporters are more likely to feel that exporting enables them to achieve a level of growth otherwise not possible and to more fully utilise their existing capacity. The following table provides a more detailed analysis of the benefits of exporting of supported and unsupported non-users. - Non-Users by Whether Supported Total Up to 5 years 6-10 years Over 10 years Supp- Unsupp Supp- Unsupp Supp- Unsupp Supp- Unsupp orted -orted orted -orted orted -orted orted -orted Proportion agreeing (4-5 out of 5) that reasons are benefits of exporting... Base 102 727 14 139 20 205 68 383 75% 55% 88% 53% 70% 60% 74% 53% Enables you to achieve a level of growth otherwise not possible Allows you to more fully utilise existing capacity 72% 54% 66% 52% 70% 62% 73% 51% Exposes you to new ideas 62% 48% 72% 58% 70% 53% 59% 42% 56% 44% 70% 48% 46% 50% 57% 41% Increases the commercial life span of your products or services Improves your firm's profile or credibility 69% 65% 84% 64% 71% 65% 67% 65% Non-user firms that have received some type of export-related support tend to highlight a wider range of export benefits and are more likely to agree to each of the individual factors than unsupported non-users, making their responses more in line with UKTI users. ## 6.2 Individual Benefits 6.2.1 Growth The chart below shows the extent to which the non-user firms interviewed agree that selling overseas enables them to achieve a level of growth otherwise not possible. Comparative data has been provided for users of UKTI support. Over four-fifths (86%) of UKTI users agree (i.e. score 4-5 out of 5) that doing business overseas benefits them in terms of the potential for growth that it offers, compared to only around three-fifths (57%) of non-user firms. There are no clear or consistent differences by age of firm, although younger nonusers are more likely to 'agree strongly' that this is a benefit. ## 6.2.2 Utilisation Of Capacity The chart below shows the extent to which the non-user firms interviewed agree that doing business overseas allows them to more fully utilise their existing capacity. Comparative data has been provided for users of UKTI support. UKTI users are more likely to agree that exporting enables them to more fully utilise their existing capacity, with 79% agreeing that this is a benefit of doing business overseas compared to 56% of non-users. There is little difference by age of firm in this respect. 6.2.3 Exposure to New Ideas The chart below shows the extent to which the non-user firms interviewed agree that doing business overseas exposes them to new ideas. Comparative data has been provided for users of UKTI support. Half of the non-users firms interviewed agree that exposure to new ideas is a benefit of doing business overseas. In contrast, over three-quarters (78%) of UKTI clients cite this as benefit. Amongst non-users, younger firms are more likely to feel that this is a benefit, but there is no evidence of a similar pattern among users of UKTI support. 6.2.4 Product Lifespan The chart below shows the extent to which the non-user firms interviewed agree that doing business overseas allows them to increase the commercial lifespan of their products or services. Comparative data has been provided for users of UKTI support. Almost three-quarters (74%) of UKTI users agree that exporting increases the commercial life span of their products or services. However, less than half (46%) of non-user firms view this as a benefit of exporting. 6.2.5 Profile & Credibility The chart below shows the extent to which the non-user firms interviewed agree that doing business overseas improves their firm's profile or credibility. Comparative data has been provided for users of UKTI support. The vast majority of UKTI clients (87%) agree that exporting improves their firm's profile or credibility. Non-users are much less likely to experience this benefit, although it still applies to two-thirds of these firms (65%). Amongst both users and non-users, more established firms that have been trading for over 10 years are least likely to 'agree strongly' that exporting improves their firm's profile or credibility. ## 7. Barriers To Overseas Trade 7.1 Summary One of the key purposes of the PIMS Non-User Survey is to help understand what non-user businesses need in terms of export support services. In response to this, non-user firms were read out a list of issues that they may have had to tackle when trying to develop the overseas side of their business and asked whether or not they had ever experienced any difficulties with them. For each one that had been a difficulty they were then asked the extent, using a 5-point scale where 5 meant it had been 'extremely difficult' and 1 meant it had 'not been at all difficult'. These results are summarised in the following table, with the proportion of firms encountering each of these difficulties to a 'significant' extent shown (i.e. the proportion giving a score of either 4 or 5 on the 5-point scale). Non-Users (PIMS 2013) Proportion experiencing significant difficulties (4-5 out of 5) Total Up to 5 years 6-10 years >10 years Base 829 153 225 451 Finding the necessary management time to devote to doing business in an overseas country 16% 17% 17% 15% Dealing with legal or tax regulations and standards overseas 15% 21% 18% 12% Obtaining information about the potential business opportunities in an overseas market 14% 15% 19% 12% Dealing with customs procedures or paperwork 13% 11% 17% 12% Identifying who to make contact with in the first instance 13% 17% 14% 11% Ensuring you get paid and enforcing contracts 12% 14% 13% 10% Establishing an initial dialogue with prospective customers or business partners 11% 14% 13% 10% Overseas customers preferring to do business with firms from their own country 11% 13% 11% 11% Building relationships with influencers or decision makers 9% 14% 13% 7% Language barriers 8% 4% 12% 8% Protecting your intellectual property 6% 8% 9% 5% Cultural differences 4% 5% 5% 3% The most widespread barrier reported by non-user firms relates to difficulty finding sufficient management time to devote to doing business overseas. Problems in dealing with legal or tax regulations and obtaining information about overseas business opportunities were the next most commonly mentioned individual barriers. Interestingly, relatively few firms reported language or cultural barriers. However, it could be that although firms do not believe they have been affected by a lack of language skills, this could be a factor behind some of the other barriers experienced (e.g. difficulty complying with legal and regulatory standards, problems building relationships, etc). It is clear that barriers affect firms of all ages. However, there is some evidence that older firms that have been established for 10 years or more are less likely to encounter difficulties with legal or tax regulations, identifying who to make contact with in the first instance and building relationships with potential customers or partners. These barriers have been summarised through a grouping of the individual issues and difficulties tested into seven themes, as detailed below. Firms have been classified as encountering significant difficulties with 'legal & regulatory barriers' if they scored '4' or '5' on a 5-point scale for… - Dealing with legal or tax regulations and standards overseas - Or, Protecting your intellectual property - Or, Ensuring you get paid and enforcing contracts Firms have been classified as encountering significant difficulties with 'customs barriers' if they scored '4' or '5' on a 5-point scale for… - Dealing with customs procedures or paperwork Firms have been classified as encountering significant difficulties with 'contact barriers' if they scored '4' or '5' on a 5-point scale for… - Identifying who to make contact with in the first instance - Or, Establishing an initial dialogue with prospective customers or business partners - Or, Building relationships with key influencers or decision-makers Firms have been classified as encountering significant difficulties with 'information barriers' if they scored '4' or '5' on a 5-point scale for… - Obtaining information about the potential business opportunities in an overseas market Firms have been classified as encountering significant difficulties with 'resource barriers' if they scored '4' or '5' on a 5-point scale for… - Finding the necessary management time to devote to doing business in an overseas country Firms have been classified as encountering significant difficulties with 'language and cultural barriers' if they scored '4' or '5' on a 5-point scale for… - Language barriers - Or, Cultural differences Firms have been classified as encountering significant difficulties with **'bias barriers'** if they scored '4' or '5' on a 5-point scale for… - Overseas customers preferring to do business with firms from their own country The table below summarises the barriers to overseas trade experienced by non-user firms. Non-Users (PIMS 2013) Proportion experiencing significant difficulties (4-5 out of 5) Total Up to 5 years 6-10 years >10 years Base 829 153 225 451 At least 1 sig. barrier 47% 47% 52% 46% - Legal & regulatory 25% 30% 28% 22% - Customs 13% 11% 17% 12% - Contacts 19% 23% 20% 17% - Information 14% 15% 19% 12% - Resource 16% 17% 17% 15% - Language & cultural 10% 8% 15% 9% - Bias 11% 13% 11% 11% No sig. barriers 53% 53% 48% 54% Almost half of all non-user firms (47%) have experienced one or more significant barriers to the development of their overseas business, suggesting that many would benefit from the type of support that UKTI can provide. The most widespread barriers relate to legal and regulatory issues and establishing/developing contacts. It is also important to note that all of the barriers tested can, to at least some extent, be addressed by the existing range of UKTI export support services. The table below matches each barrier to relevant impacts reported by UKTI clients in the main PIMS surveys (with the figures in brackets giving the proportion of UKTI users benefiting to a significant extent from each outcome). Barrier Corresponding Benefit of UKTI Support (PIMS 28-31) - Overcome problem or difficulty with a legal or regulatory issue or quality standards (14%)3 Legal & regulatory - Introduced new products/services or improved existing ones (21%) - Made improvements to new product development strategy (22%) Customs - Improved way do business in an overseas market (32%) Contacts - Gained access to prospective customers or business partners (40%) - Improved overseas marketing strategy (30%) Information - Gained access to information otherwise unable to come by (39%) Resource - Gained confidence to enter new market/expand in existing one (36%) Language & cultural - Gained access to information otherwise unable to come by (39%) - Improved way do business in an overseas market (32%) - Improved overseas marketing strategy (30%) Bias - Improved profile or credibility (36%) - Improved knowledge of competitive environment in overseas market (35%) 3 OMIS, Posts Significant Assists and Posts Events only The table below provides further analysis by supported and unsupported non-users. - Non-Users by Whether Supported Total Up to 5 years 6-10 years Over 10 years Supp- Unsupp Supp- Unsupp Supp- Unsupp Supp- Unsupp orted -orted orted -orted orted -orted orted -orted Proportion experiencing significant difficulties Base 102 727 14 139 20 205 68 383 At least 1 sig. barrier 56% 46% 60% 46% 66% 51% 53% 44% - Legal & regulatory 27% 24% 48% 29% 40% 27% 21% 22% - Customs 12% 13% 6% 11% 31% 16% 9% 13% - Contacts 28% 17% 34% 22% 30% 19% 26% 15% - Information 19% 13% 22% 14% 31% 18% 16% 11% - Resource 21% 15% 22% 16% 20% 17% 21% 14% - Language & cultural 16% 10% 16% 7% 20% 14% 15% 8% - Bias 12% 11% 12% 13% 5% 11% 13% 11% No sig. barriers 44% 54% 40% 54% 34% 49% 47% 56% Those non-user firms that have accessed some form of (non-UKTI) export support are more likely to have encountered barriers to overseas trade than unsupported non-users. This suggests that coming up against difficulties can act as a catalyst for seeking out external support. Barriers to overseas trade are also explored in UKTI's Internationalisation Survey, which covers both users and non-users of UKTI. It is not possible to make direct comparisons with the PIMS Non-User Survey data due to a different questioning approach. However, one key finding of the Internationalisation Survey is that UKTI clients are much more likely to encounter significant barriers than non-users (73% vs. 59%4). This is consistent with the above finding that supported non-users are more likely to report barriers, and again suggests that firms are prompted to access support as a result of encountering difficulties overseas. The lower incidence of barriers amongst non-user firms (and particularly unsupported non-users) is also likely to be linked to the fact that they are typically less 'involved' exporters than UKTI users. As seen in Section 5 of this report, non-users tend to operate in fewer markets than UKTI clients and overseas sales account for a lower proportion of their total turnover. As a result of these factors, it is likely that non-user firms have been exposed to fewer barriers due to their more limited engagement in overseas business. ## 7.2 Individual Barriers The table below shows a more detailed analysis of the individual barriers tested, showing the full distribution of responses on the 1-5 scale. | Dealing with legal | Protecting your | |--------------------------|--------------------| | or tax regulations & | intellectual | | Extent of difficulty | | | standards | | | | | | property | | | | | | Base | | | | | | 829 | 829 | | 5 - Extremely difficult | 8% | | 4 | 7% | | 3 | 10% | | 2 | 4% | | 1 - Not at all difficult | 70% | | Don't know/refused | 1% | | Net: 4-5 out of 5 | | | 15 | | | % | | | | | | 6 | | | % | | | | 12 | | % | | | | 13 | | % | | | | | | Establishing an | | | Identifying who to | | | initial dialogue with | | | make contact with | prospective | | Extent of difficulty | | | in the first instance | | | | | | customers or | | | partners | | | | | | Base | | | | | | 829 | 829 | | 5 - Extremely difficult | 5% | | 4 | 7% | | 3 | 7% | | 2 | 2% | | 1 - Not at all difficult | 78% | | Don't know/refused | 1% | | Net: 4-5 out of 5 | | | 13 | | | % | | | | | | 11 | | | % | | | | 9 | | % | | | | 14 | | % | | | | | | Finding the | | | necessary | | | Language barriers | | | | | | Cultural | | | Extent of difficulty | | | management time | | | to devote to doing | | | business overseas | | | | | | Base | | | | | | 829 | 829 | | 5 - Extremely difficult | 6% | | 4 | 9% | | 3 | 11% | | 2 | 3% | | 1 - Not at all difficult | 69% | | Don't know/refused | 1% | | Net: 4-5 out of 5 | | | 16 | | | % | | | | | | 8 | | | % | | | | 4 | | % | | | | 11 | | % | | | | | | | | | Ensuring you get | Dealing with customs | |---------------------|-------------------------| | paid and enforcing | procedures or | | contracts | | | | | | paperwork | | | | | | Building | Obtaining information | | relationships with | about potential | | influencers/ | opportunities in an | | decision makers | | | | | | overseas market | | | | | | Overseas customers | | | preferring to do | | | business with firms | | | differences | | | | | | from their own | | | country | | Those non-user firms that reported no or very minimal difficulties (i.e. 1-2 out of 5) with establishing an initial dialogue with prospective customers or partners were asked why this had not been a problem for them. As detailed below, in most cases this is because these customers/partners initiated the contact. Non-Users (PIMS 2013) 6-10 >10 years Total Up to 5 years old years old old Base 829 153 225 451 Already had contacts 34% 35% 33% 34% Customers/partners initiated the contact 52% 50% 52% 52% Don't know 3% 4% 2% 3% Initial dialogue was a barrier (3-5 out of 5) 20% 20% 24% 19% Firms that reported no or very minimal difficulties with language barriers were also asked why this had not been a problem. As seen below, in most cases this was because firms had been able to use English when dealing with overseas contacts. Non-Users (PIMS 2013) 6-10 >10 years Total Up to 5 years old years old old Base 829 153 225 451 Always been able to use English 71% 73% 69% 72% Have staff with necessary language skills 16% 17% 14% 15% Other reason 3% 4% 4% 3% Don't know 1% 3% 0% 1% Language was a barrier (3-5 out of 5) 17% 12% 20% 17% Similarly, those firms that had experienced no or very minimal difficulties with cultural differences were asked why this had not been a problem. In most cases this is because firms have not come across any (major) cultural differences, although a quarter have avoided them through employing staff that are familiar with the culture in the overseas markets in which they do business. Non-Users (PIMS 2013) 6-10 >10 years Total Up to 5 years old years old old Base 829 153 225 451 Not come across cultural differences 65% 64% 68% 65% Have staff familiar with the culture 25% 23% 23% 26% Other reason 4% 4% 4% 4% Don't know 1% 3% 0% 1% Cultural differences were a barrier (3-5 out of 5) 10% 13% 15% 8% ## 8. Awareness Of Ukti As detailed earlier in this report (Section 3), the 2013 Non-User survey over-sampled firms in the north of England in order to measure recall of a UKTI marketing campaign taking place in that region. Although the analysis contained in the rest of this report includes these additional interviews, this section on awareness of UKTI is based just on the national sample of non-users firms to ensure that results are directly comparable with previous waves of this survey. 8.1 Awareness of UKTI Name All non-user firms were asked whether, prior to the interview, they had heard of UK Trade & Investment or UKTI. 45% of non-users firms are aware of UKTI, and there are no statistically significant differences in awareness levels across the different age groups. The table below compares awareness between supported and unsupported nonusers. Although it appears that supported non-users are more likely to be aware of UKTI than those that have not accessed any form of export-related support, it should be noted that this difference is not statistically significant (due to the low base of supported non-users). Please note that analysis has only been provided at the total level as base sizes are too low to provide robust sub analysis by age band within the supported/unsupported non-user categories. Total Supported Unsupported Base 30 271 Yes 59% 44% No 41% 56% Don't know 0% 1% The chart below tracks how awareness of the UKTI name has changed over time among non-user firms. Base: All respondents (Base, Don't know/Refused) Supported - 2010 (81), 2011 (61), 2012 (56), 2013 (30) / Unsupported - 2010 (221), 2011 (239), 2012 (243), 2013 (271) / All - 2010 (302), 2011 (300), 2012 (300), 2013 (301) At the total level, there has been a statistically significant increase in the proportion of non-users aware of UKTI over the last 3 years. There has also been an uplift in awareness among unsupported non-users. However, results for supported non-users are erratic due to the low base sizes, and there are no statistically significant changes over tie for this group. The table below provides further analysis of awareness levels by firm size and export experience. Please be aware of the very low base size from 100+ employee firms when interpreting these results. - Non-Users by Size & Export Experience Size (Employees) Years Exporting > 10 0-9 10-99 100+ < 2 years 2-10 years years Base 197 92 11 64 134 100 Yes 47% 42% 43% 37% 50% 44% No 53% 56% 57% 61% 50% 55% Don't know 0% 1% 0% 1% 0% 1% There are no statistically significant differences in firms' awareness of UKTI by size or export experience. The following analysis provides details of awareness levels by the extent of firms' growth ambitions for the next 5 years and whether or not they are classified as being innovative. - Non-Users by Growth Objectives & Innovation Growth Objectives Innovation Innovative Substantial Moderate No Innovative high growth growth growth (alternative) Innovative Noninnovative growth Base 76 149 62 102 191 110 58 Yes 52% 46% 38% 49% 49% 39% 54% No 48% 54% 60% 51% 51% 60% 46% Don't know 0% 0% 2% 0% 0% 1% 0% Although it appears that firms with more ambitious growth objectives are more likely to recognise the UKTI name, this apparent difference is not statistically significant. There are also no significant differences in awareness levels between innovative and non-innovative firms. ## 8.2 Awareness Of Ukti Role Those firms that had heard of UKTI were also asked whether they were aware that the organisation provides assistance to help UK firms do business overseas. The majority of those non-user firms that had heard of UKTI also knew that the organisation provides assistance to help UK firms do business overseas. However, this still only equates to 31% of all non-user firms being aware of UKTI's role. There appears to have been a small increase in awareness of UKTI's role over the past year (from 25% to 31%) but this is not statistically significant. Please note a longer time series analysis is not available as this question was first asked in 2012. Although supported non-users appear more likely to be aware of UKTI's role than unsupported non-users, this difference is not statistically significant. Total Supported Unsupported Base 30 271 Yes 41% 30% No 18% 14% Not aware of UKTI 41% 56% ## 8.3 Awareness & Interest In Ukti Services 8.3.1 OMIS Businesses were read out the following description of OMIS and asked if they had heard of this service and whether they would be interested in using it. "The Overseas Market Introduction Service, or OMIS, is a charged service delivered by UK embassies and consulates overseas. It can include a report about an overseas market, or help identifying and contacting possible customers or business partners". Non-Users 6-10 Over 10 Total Up to 5 years old years old years old Base 301 73 77 151 Have you heard of this service before? Yes 18% 11% 19% 20% No 82% 89% 81% 80% Don't know 0% 0% 0% 0% Would you be interested in using this service? Yes 20% 32% 23% 16% Maybe 7% 8% 8% 6% No 72% 60% 66% 78% Don't know 1% 0% 3% 0% Only 18% of non-user firms had heard of the OMIS service. However, based on the brief description that respondents were given about OMIS, a fifth felt that they would be interested in using it (with a further 7% indicating they may be interested). Although there are no significant differences in awareness of the OMIS service by age of firm, younger firms expressed greater interest in using it. The table below provides further analysis by firm size and export experience, and shows that there are no significant differences by size of firm (and the very low base for larger firms should be taken into account when interpreting this data). However, it is evident that very recent exporters show significantly more interest in using the OMIS service (when read a description of what it involves), yet are least likely to be aware of it. - Non-Users by Size & Export Experience Size (Employees) Years Exporting > 10 0-9 10-99 100+ < 2 years 2-10 years years Base 197 92 11 64 134 100 Have you heard of this service before? Yes 20% 17% 7% 13% 17% 22% No 80% 83% 93% 87% 83% 78% Would you be interested in using this service? Yes 21% 18% 19% 36% 21% 12% Maybe 7% 7% 0% 11% 6% 6% No 70% 75% 81% 53% 71% 82% Don't know 1% 0% 0% 0% 1% 0% As seen below, awareness of the OMIS service is fairly similar irrespective of firms' growth ambitions. However, those firms that are aiming for growth (and particularly substantial growth) are considerably more interested in the service. This demonstrates that there are a significant number of dynamic firms that would potentially benefit from OMIS but have not considered using it simply because they are unaware of its existence. - Non-Users by Growth Objectives & Innovation Growth Objectives Innovation Innovative Substantial Moderate No Innovative high growth growth growth (alternative) Innovative Noninnovative growth Base 76 149 62 102 191 110 58 Have you heard of this service before? Yes 17% 20% 20% 22% 23% 10% 18% No 83% 80% 80% 78% 77% 90% 82% Don't know 0% 0% 0% 0% 0% 0% 0% Would you be interested in using this service? Yes 28% 19% 13% 26% 22% 17% 32% Maybe 11% 6% 3% 6% 7% 6% 6% No 61% 74% 85% 68% 70% 77% 63% Don't know 0% 1% 0% 0% 0% 1% 0% 8.3.2 International Trade Advisors Businesses were read out the following description of UKTI's International Trade Advisors and asked if they had heard of this service before and whether they would be interested in using it. "UK Trade & Investment employ a number of International Trade Advisors who are based in the UK and provide one-to-one advice to help firms develop their overseas business. They can also provide referrals to other support or specialist advice". Non-Users 6-10 Over 10 Total Up to 5 years old years old years old Base 301 73 77 151 Have you heard of this service before? Yes 19% 16% 13% 22% No 81% 84% 87% 78% Don't know 0% 0% 0% 0% Would you be interested in using this service? Yes 38% 55% 42% 32% Maybe 5% 8% 6% 4% No 56% 37% 49% 64% Don't know 1% 0% 3% 0% Awareness of the ITAs is very similar than that seen for OMIS (19% vs. 18%). However, based on the brief descriptions firms were given, this service seems to have more appeal than OMIS, with over a third of firms expressing an interest in using the ITAs (compared to 20% for OMIS). There is some indication that older firms that have been trading for more than 10 years are more likely to be aware of the ITA service, but this apparent difference is not statistically significant. However, younger firms are most interested in accessing this type of support. There are no statistically significant differences in awareness of the services provided by UKTI's international trade advisors by firms' size or export overseas experience. However, smaller firms and particularly those with very little overseas experience are most interested in accessing this type of support. - Non-Users by Size & Export Experience Size (Employees) Years Exporting > 10 0-9 10-99 100+ < 2 years 2-10 years years Base 197 92 11 64 134 100 Have you heard of this service before? Yes 19% 18% 24% 15% 16% 24% No 81% 82% 76% 85% 84% 76% Don't know 0% 0% 0% 0% 0% 0% Would you be interested in using this service? Yes 43% 33% 0% 60% 41% 27% Maybe 5% 5% 9% 11% 5% 3% No 50% 62% 91% 30% 53% 70% Don't know 1% 0% 0% 0% 1% 0% There are no significant differences in awareness levels by firms' growth objectives, but those firms planning to grow over the next 5 years are considerably more interested in accessing this type of support. Innovative firms are more likely to have heard of the ITAs than their non-innovative counterparts, although there is no difference when it comes to interest in using the service. - Non-Users by Growth Objectives & Innovation Growth Objectives Innovation Innovative Substantial Moderate No Innovative high growth growth growth (alternative) Innovative Noninnovative growth Base 76 149 62 102 191 110 58 Have you heard of this service before? Yes 16% 23% 18% 26% 24% 9% 18% No 84% 77% 82% 74% 76% 91% 82% Don't know 0% 0% 0% 0% 0% 0% 0% Would you be interested in using this service? Yes 46% 44% 21% 48% 39% 36% 46% Maybe 4% 5% 7% 5% 5% 6% 1% No 49% 50% 72% 47% 55% 58% 52% Don't know 1% 1% 0% 0% 1% 0% 2% 8.3.3 Meet the Buyer Events Businesses were read out the following description of UKTI 'Meet the Buyer' events and were asked whether they had heard of these events before and whether they would be interested in attending. "UK Trade & Investment put on events in the UK that enable attendees to have oneto-one meetings with relevant high-profile overseas businesses, and also offer wider networking opportunities. These events are facilitated by experts with knowledge of both the overseas market and the industry." Non-Users 6-10 Over 10 Total Up to 5 years old years old years old Base 301 73 77 151 Have you heard of this type of event before? Yes 29% 22% 30% 30% No 71% 78% 70% 69% Don't know 0% 0% 0% 1% Would you be interested in attending this type of event? Yes 37% 55% 49% 28% Maybe 5% 5% 4% 6% No 57% 40% 47% 66% Don't know 0% 0% 0% 0% Awareness of UKTI 'Meet the Buyer' events is higher than was seen for either OMIS or the ITAs, at 29%. There is also considerable interest in this type of event, with over a third of non-users indicating that they would be interested in attending and a further 5% stating that they may be interested. There are no statistically significant differences in awareness levels by age of firm, although firms established for more than 10 years appear least interested in attending 'Meet the Buyer' events. There are no differences by size of firm when it comes to awareness of UKTI 'Meet the Buyer' events, but micro SMEs were most likely to express an interest in attending this type of event. Interest is also significantly higher amongst inexperienced exporters, yet this group is least likely to have heard of these events. | Size (Employees) | Years Exporting | |------------------------------------------------|--------------------| | | | | > 10 | | | 0-9 | 10-99 | | 2-10 | | | years | years | | Base | | | | | | 197 | 92 | | Have you heard of this service before? | | | Yes | 27% | | No | | | 72% | | | 68% | 66% | | Don't know | | | 1% | | | 0% | 0% | | Would you be interested in using this service? | | | Yes | | | 42% | | | 33% | 9% | | Maybe | | | 6% | | | 4% | 0% | | No | 52% | | Don't know | | | 0% | | | 0% | 0% | Although there is no difference in awareness levels by firms' growth objectives, firms that were planning to grow over the next 5 years were considerably more interested in attending this type of event (with this particularly true of those aiming for substantial growth). A similar picture was seen for OMIS and ITAs, and together this suggests that firms seeking growth are often looking to access external export support to help them realise these ambitions. In addition, innovative firms display higher awareness of these events, and are more interested in attending them. - Non-Users by Growth Objectives & Innovation Growth Objectives Innovation Innovative Substantial Moderate No Innovative high growth growth growth (alternative) Innovative Noninnovative growth Base 76 149 62 102 191 110 58 Have you heard of this service before? Yes 25% 35% 23% 35% 35% 18% 27% No 73% 65% 77% 65% 64% 82% 71% Don't know 2% 0% 0% 0% 1% 0% 2% Would you be interested in using this service? Yes 52% 38% 23% 53% 43% 28% 55% Maybe 2% 8% 3% 4% 5% 6% 43% No 46% 54% 74% 43% 52% 66% 2% Don't know 0% 0% 0% 0% 0% 0% 0% ## 9. Awareness & Use Of Non-Ukti Support 9.1 Use Of Non-Ukti Support The chart below shows the proportion of non-user firms that have received any external (non-UKTI) information, advice or support in relation to doing business overseas in the last two years. Just 12% of non-users had received export support from a non-UKTI source in the previous two years, and are therefore classed as 'supported' non-users. This is a significant drop from the 20% seen in 2012. The proportion of firms accessing export support increases significantly among older firms. Firms were asked to identify all external sources from which they had obtained export-related support. Those firms that had obtained support from more than one provider were also asked to identify which of these sources had been *most important* to them in relation to doing business overseas (please note that if firms had only obtained support from a single provider this has been included as the 'most important' source in the analysis below). ## - Non-Users Non-Users | 6-10 years | Over 10 | |---------------------------------------|------------| | Total | | | | | | Up to 5 | | | years old | old | | Base: All non-users | | | | | | 829 | | | | | | 153 | | | | | | 225 | | | | | | 451 | | | | | | All providers used | | | Chamber of Commerce | | | 6% | 0% | | HM Revenue and Customs | | | 4% | 3% | | Bank | 3% | | Consultant | | | 2% | 1% | | Trade Association | | | 2% | 1% | | Online information service (paid for) | 1% | | Market research agency | | | 1% | 0% | | British Council | | | 0% | 0% | | Other | 1% | | No support received | | | | | | 86% | | | | | | 91% | | | | | | 90% | | | | | | 83% | | | | | | Don't know if received support | | | | | | 2% | | | | | | 1% | | | | | | 1% | | | | | | 2% | | | | | | Most important provider used | | | Chamber of Commerce | | | 5% | 0% | | HM Revenue and Customs | | | 2% | 3% | | Bank | 2% | | Consultant | | | 1% | 0% | | Trade Association | 1% | | Online information service (paid for) | | | 1% | 0% | | Market research agency | | | 0% | 0% | | British Council | 0% | | Other | | | 1% | 0% | | No support received | | | | | | 86% | | | | | | 91% | | | | | | 90% | | | | | | 83% | | | | | | Don't know if received support | | | | | | 2% | | | | | | 1% | | | | | | 1% | | | | | | 2% | | | | | A variety of different providers were used by non-user firms, but the most common source was the Chamber of Commerce, followed by HMRC. Please note that for all the subsequent questions about the type, quality and impact of the export support received, respondents were asked to focus just on the most important provider they had used. Those firms that received assistance from the Chamber of Commerce were asked whether the Chamber in question was based in the UK or overseas. Total Base: All using Chamber of Commerce 50 Based in the UK 96% Located overseas 2% - British Chamber of Commerce overseas 0% - Local Chamber of Commerce overseas 2% Don't know 0% The vast majority of firms accessing support through the Chamber of Commerce indicated that this was from a Chamber of Commerce in the UK. Just 2% received assistance from an overseas Chamber of Commerce, and all of these indicated that this was a local rather than British Chamber of Commerce. ## 9.2 Type Of Non-Ukti Support Received (Supported Non-Users) 9.2.1 Focus of Support The table below provides details of the specific type of assistance received by supported non-users. Please note that the results by age of firm, and particularly those for firms established in the last 5 years, should be treated with caution due to the low base sizes. - Supported Non-Users Supported Non-Users 6-10 years Over 10 Total Up to 5 years old old years old Base: Supported non-users 102 14 20 68 Info or advice about how to do business in an overseas market 46% 54% 65% 40% Info or advice about entering a new market 24% 6% 46% 22% Info or advice about business opportunities in an overseas market 23% 12% 31% 22% Certificates of Origin 23% 0% 15% 29% Help with developing overseas business strategy 21% 24% 25% 19% Help identifying or accessing business contacts overseas 19% 12% 30% 18% Help accessing finance or funding opportunities 19% 22% 35% 14% Help with doing marketing research overseas 18% 24% 31% 13% Other 36% 24% 36% 38% Don't know 4% 0% 5% 4% The most widespread type of support accessed by non-users related to information on how to do business in an overseas market, with almost half of all supported nonusers obtaining this in the previous 2 years. Approaching a quarter had received information or advice about entering a specific market and help identifying business opportunities overseas, and a similar proportion had obtained Certificates of Origin (from the Chamber of Commerce). 9.2.2 Paid-For Support Supported non-users were also asked whether they had paid for any of the support they had received, and as detailed below, two-fifths had done so. It appears that young firms are least inclined to pay for support, perhaps due to the greater financial constraints on many of these firms, although it should be noted that this difference is not statistically significant due to the low base sizes. ## - Supported Non-Users Supported Non-Users 6-10 years Over 10 Total Up to 5 years old old years old Base: Supported non-users 102 14 20 68 Yes 40% 18% 50% 42% No 58% 82% 45% 57% Don't know 2% 0% 5% 1% ## 9.2.3 Time Spent Supported Non-Users Were Also Asked To Estimate How Much Time The Support Provider Had Spent Assisting Them. - Supported Non-Users Supported Non-Users 6-10 years Over 10 Total Up to 5 years old old Years old Base: Supported non-users 102 14 20 68 More than a week 17% 6% 30% 16% 3-5 day's work 9% 0% 5% 12% 1-2 day's work 12% 12% 16% 11% Less than a day 29% 50% 15% 29% Less than an hour 27% 32% 29% 26% Don't know 2% 0% 5% 1% Most firms receiving external export support indicated that this had been relatively light in terms of time, with just 17% feeling that they had received more than a week's worth of assistance and over a quarter (27%) believing it was less than an hour. However, it should be noted that this relates to firms' perceptions of the time spent by the support provider. ## 9.3 Awareness & Interest In Export Support (Unsupported Non-Users) 9.3.1 Perceived Benefit of Export Support All non-user businesses that had not received any support were asked whether they thought they would have benefited from such support to help overcome any difficulties they had encountered when developing the export side of their business. As seen below, 43% believed that they *would* have benefited from this type of assistance (with a further 6% indicating that they might have done so). Older firms are least inclined to feel that they could have benefited from external assistance. - Unsupported Non-Users Unsupported Non-Users 6-10 years Over 10 Total Up to 5 years old old years old Base: Unsupported non-users 727 139 205 383 Yes 43% 56% 50% 36% Maybe 6% 5% 5% 7% No 50% 39% 44% 55% Don't know 1% 1% 0% 2% Those firms that felt they would have benefited from some type of export-related assistance were asked to specify what particular types of advice or support would have helped. As seen below, the most widely required types of assistance relate to general advice on how to export or enter new markets (28%) and help with export regulations, rules and taxes (24%). - Unsupported Non-Users Unsupported Non-Users Top Mentions (1%+) 6-10 Over 10 Total Up to 5 years old years old years old Base: Unsupported non-users 727 139 205 383 General info & advice on how to export/enter new markets 28% 39% 29% 24% Info & advice on export regulations/rules/taxes 24% 34% 28% 20% Info about specific countries/market intelligence 16% 22% 19% 12% Help with overseas marketing strategy 8% 15% 9% 6% Help with accessing business contacts 8% 12% 12% 6% Info & advice about securing payment/enforcing contracts 7% 10% 10% 4% Finance/grants/subsidies 6% 11% 6% 5% Don't know 2% 1% 1% 2% Would not have benefited from support 50% 39% 44% 55% Don't know if would have benefited 1% 1% 0% 2% It should be noted that UKTI currently provides all of the types of assistance/support listed in the above table. This does include financial support, as although the organisation now provides very limited direct financial support/grants, most UKTI services are still heavily subsidised. This clearly indicates that the main issue is a lack of awareness of UKTI and what it offers, rather than a lack of availability of the desired types of export support. 9.3.2 Awareness of Potential Support Providers Those unsupported non-user firms indicating that export support would have been beneficial to them were asked whether they were aware of anyone who could provide this type of support, with the results detailed below. - Unsupported Non-Users Unsupported Non-Users 6-10 years Over 10 Total Up to 5 years old old years old Base: All unsupported non-users indicating would benefit from support 362 83 113 166 Yes 28% 18% 34% 30% - UKTI 8% 6% 5% 11% - Chamber of Commerce 7% 4% 9% 7% - Consultant 4% 4% 4% 4% - Trade Association 4% 1% 5% 4% - Friend, colleagues, business associates 3% 1% 2% 4% - HM Revenue and Customs 2% 0% 5% 1% - Bank 1% 1% 1% 1% - Internet search 1% 1% 1% 1% - Business Link 1% 0% 2% 2% - BIS 1% 0% 1% 1% - Embassies 1% 0% 1% 1% - Other 2% 0% 3% 2% No, not aware of any support providers 70% 81% 64% 69% Don't know 1% 1% 2% 1% In most cases the reason why firms have not accessed any export support (even though they feel it would have been beneficial) is because they are unaware of any providers of this type of assistance, with 70% of firms indicating that this is the case. This clearly suggests that, if awareness of UKTI is increased, there is potential for the organisation to reach and help a significantly greater number of firms. Amongst those firms that were aware of potential support providers, a wide range of sources were mentioned covering government bodies, business membership organisations, private sector suppliers and less formal assistance from friends or business associates. However, only 8% of firms suggested UKTI as a potential source of export support. 9.3.3 Reasons for Not Needing Export Support Unsupported non-users who felt that they would not have benefitted from any external export-related advice or support were asked why this was. - Unsupported Non-Users Unsupported Non-Users Top Mentions (1%+) 6-10 years Over 10 Total Up to 5 years old old years old Base: All unsupported non-users indicating would not benefit from support 356 55 91 210 Already have experience/expertise within the company 40% 33% 45% 40% Easy/straightforward/don't need help/no problems 30% 31% 37% 27% Manage fine as we are/do it ourselves 22% 22% 22% 22% Have our own/existing contacts 16% 16% 14% 16% Have a niche market/product 11% 8% 11% 11% No one could provide relevant help/information 8% 0% 10% 9% Customers contact us/we respond to orders/enquiries 7% 11% 7% 7% Limited application e.g. one off requirement 2% 5% 2% 1% As detailed above, the main reason for not requiring support was that firms already had sufficient expertise in-house. Significant proportions also simply felt that doing business overseas was easy or straightforward and/or that they were managing fine without any external assistance. However, it is interesting to note that 8% of firms believed that no one would be able to help them in this way, and a further 11% highlighted the niche nature of their business (with the implication that it is too specialised for any external support to be beneficial). While this may be true, it is certainly possible that an organisation such as UKTI would be able to provide meaningful support even in fairly niche areas (e.g. through its team of sector specialists). ## 9.3.4 Key Markets For Export Support All Non-User Firms Were Asked The Country Or Countries That It Would Be Most Useful To Get Some Form Of External Supported About. As Seen Below, The Most Widely Mentioned Market Was The Usa, Followed By China, Germany And France. Individual Markets (2%+ mentions) All Non-Users Base 829 USA 12% China 8% Germany 6% France 6% United Arab Emirates 4% Spain 3% Australia 3% India 3% Russia 2% Netherlands 2% South Africa 2% Ireland 2% Sweden 2% Italy 2% None/not interested in external support 44% Don't know 3% The table below provides further analysis, with individual markets grouped into broad geographic areas. Demand is greatest for support about European markets (reflecting the fact that it is the most common export destination), but significant proportions of firms also identified markets in Asia Pacific, North America and the Middle East/Africa. Individual Markets (2%+ mentions) All Non-Users Base 829 Europe 21% Asia Pacific 16% North America 13% Middle East & Africa 11% Latin America 2% None/not interested in external support 44% Don't know 3% The table below provides similar analysis but this time by whether markets are high growth, established or neither. It is clear from this analysis that there is similar demand for support relating to all three of these types of market. Individual Markets (2%+ mentions) All Non-Users Base 829 High Growth 19% Established 19% Other 23% None/not interested in external support 44% Don't know 3% ## 10. Support Quality & Satisfaction 10.1 Quality Rating - Measure A09 Supported non-user businesses were asked to rate a number of aspects of the (non- UKTI) export support they received, as follows: - The quality & relevance of the information provided - The quality and relevance of any contacts it allowed the firm to make - The attitude & professionalism of the support provider - The provider's objectivity and acting in the firm's best interests These ratings have been used to create a mean quality rating, calculated as the average proportion of firms providing a rating of 4 or 5 out of 5 across these service aspects. This analysis replicates as closely as possible one of the PIMS key survey measures, namely 'Measure A09 Quality Rating'. It should be noted that these questions were of course only asked to non user firms that had received export related support (non-UKTI) in the last two years. As such the subsequent results and analysis are based only on the 12% of non-users that had received external support therefore for some sub-analysis caution needs to be taken with lower base sizes. Supported Non-Users 6-10 years Over 10 Total 1-5 years old old years old Base: Supported non-users 102 14 20 68 Average proportion providing a rating of '4' or '5' 67% 73% 69% 66% 95% confidence interval ± 9% ± 23% ± 20% ± 11% ## A09 - Quality Rating The average proportion of firms scoring '4' or '5' on a 5-point scale for… - The quality & relevance of the information provided (70%) - The quality and relevance of any contacts it allowed you to make (50%) - Their attitude & professionalism (80%) - Their objectivity and acting in your best interests (72%) As the table above illustrates, the mean quality rating for non-UKTI support is 67%, and there are no statistically significant differences by age of firm in this respect. The panel below provides further details of how Measure A09 has been calculated for this survey, and demonstrates that the key strength of non-UKTI support is the attitude and professionalism of those delivering it, but the primary weakness is the contacts provided (with only 50% giving a score of 4-5 out of 5 for this element). Throughout this section, comparative quality data has also been provided for users of UKTI support (from the main PIMS survey). Please note that for UKTI users, the individual elements of the quality rating differ depending on the specific type of support received. However, unless otherwise stated, the results relate to the mean quality rating across all UKTI services. The following chart provides a comparison with the quality ratings for UKTI support. Overall, UKTI support is perceived to be of significantly higher quality than that provided by alternative providers, with mean quality ratings of 79% and 67% respectively. This difference is evident across all business age groups, but is only statistically significant for those established over 10 years ago. ## 10.2 Individual Quality Ratings 10.2.1 Quality & Relevance of Information The chart below shows the ratings given by supported non-user firms for the quality and relevance of the information provided (by non-UKTI sources). Base: All supported non-users (Base, Don't know/Refused) Non-Users - Total (102, 1%), Up to 5 years old (14, 0%), 6-10 years old (20, 5%), Over 10 years old (68, 0%) The quality and relevance of the information obtained from external (non-UKTI) providers is generally well regarded, with over two-thirds of supported non-users giving high ratings (i.e. 4-5 out of 5) and only 5% giving a poor score of 1-2 out of 5. ## 10.2.2 Quality & Relevance Of Contacts The chart below shows the ratings given by supported non-user firms for the quality and relevance of any contacts the (non-UKTI) support allowed them to make. Base: All supported non-users (Base, Don't know/Refused) Non-Users - Total (102, 1%), Up to 5 years old (14, 0%), 6-10 years old (20, 5%), Over 10 years old (68, 0%) Half of supported non-users gave a high rating for the quality and relevance of the contacts they were provided with by the support provider. Whilst this is partly because a fifth indicated that this was not relevant, presumably because the export support had not involved the provision of contacts, it is still the case that 9% gave a poor score of just 1-2 out of 5. ## 10.2.3 Attitude & Professionalism The chart below shows the ratings given by supported non-user firms for the attitude and professionalism of the (non-UKTI) support providers used. Base: All supported non-users except those using online information services (Base, Don't know/Refused) Non-Users - Total (97, 1%), Up to 5 years old (13, 0%), 6-10 years old (18, 5%), Over 10 years old (66, 0%) The attitude and professionalism of the personnel delivering the assistance is a major strength of these external support providers, with more than three-quarters of supported non-users (80%) scoring 4-5 out of 5 for this element and only 2% giving 'poor' ratings (i.e. 1-2 out of 5). ## 10.2.4 Objectivity & Acting In Best Interests The chart below shows the ratings given by supported non-user firms for the (non- UKTI) support providers used being objective and acting in the firm's best interests. Base: All supported non-users except those using online information services (Base, Don't know/Refused) Non-Users - Total (97, 2%), Up to 5 years old (13, 0%), 6-10 years old (18, 5%), Over 10 years old (66, 1%) The majority of non-users were also positive about the impartiality of the support provider they used, with almost three-quarters (72%) scoring 4-5 out of 5 for this element. That said, a significant minority (9%) gave a poor rating of only 1-2 out of 5 for this. ## 10.2.5 Comparison With Ukti Users For UKTI users the individual elements of the quality rating differ depending on the specific service. For comparative purposes, the table below provides user data for relevant UKTI services, as follows: - Passport to Export, Gateway to Global Growth (GGG) & English Regions Trade Advisors' Significant Assists (ERTA) - These are the advisory services delivered by International Trade Advisors in the English regions. - Overseas Market Introduction Service (OMIS) - This is the charged service delivered by the overseas posts. UKTI Users (PIMS 28-31) Supported Non-Users (PIMS 2013) Passport, GGG & ERTA OMIS Proportion scoring 4-5 out of 5 6-10 >10 6-10 >10 6-10 >10 Total > 5 yrs yrs yrs Total > 5 yrs yrs yrs Total > 5 yrs yrs yrs Base 102 14 20 68 841 221 163 457 527 84 64 379 Quality Rating (A09) 67% 73% 69% 66% 88% 87% 87% 89% 76% 79% 77% 75% - Quality & relevance of info and advice 70% 78% 60% 71% 79% 80% 72% 80% 72% 80% 73% 70% - Quality & relevance of contacts 50% 38% 56% 50% - - - - 66% 73% 66% 65% - Attitude & professionalism 80% 83% 78% 80% 94% 94% 93% 94% 90% 90% 95% 90% - Objectivity & acting in best interests 72% 90% 89% 66% - - - - 81% 80% 87% 80% As seen above, the various UKTI services consistently outperform the alternative support sources for each of the elements tested. The difference in the quality of contact facilitation is the most apparent, with OMIS users significantly more likely to give a good rating for the contacts they were provided with. That said, it should be recognised that OMIS is specifically designed to provide access to contacts, whereas some non-user firms may not have been seeking this from their support provider (as demonstrated by the fact that 24% indicated that this was not relevant when asked to rate this service element). ## 10.3 Overall Satisfaction - Measure B10 Supported non-user businesses were also asked to rate their overall satisfaction with the (non-UKTI) export support they received. A key survey measure, namely 'Measure B10 - Overall Satisfaction', is calculated from this question by taking the proportion of firms providing a rating of 4 or 5 out of 5 i.e. 'fairly' or 'very satisfied' overall with the support they have received. Supported Non-Users 6-10 years Over 10 Total 1-5 years old old years old Base: Supported non-users 102 14 20 68 Proportion of firms providing a rating of '4' or '5' 74% 90% 75% 71% 95% confidence interval ± 9% ± 16% ± 19% ± 11% ## B10 - Overall Satisfaction Firms scoring '4' or '5' on a 5-point scale for… - Thinking about your total experience of the support, how would you rate your satisfaction overall? (74%) As the table above illustrates, the overall satisfaction rating for non-UKTI support is 74%, and there are no statistically significant differences by age of firm in this respect. The panel below shows the detail of how Measure B10 has been calculated for this survey. The following chart provides comparison with the overall satisfaction measure for UKTI support (from PIMS). Base: All supported firms (Base) Non-Users - Total (102), Up to 5 years old (14), 6-10 years old (20), Over 10 years old (68), Users - Total (3823), Up to 5 years old (888), 6-10 years old (593), Over 10 years old (2340) The overall satisfaction ratings given by supported non-users and UKTI users are similar, with the small difference in ratings not statistically significant. The chart below shows a more detailed distribution of responses for overall satisfaction. Comparative data has also been provided for users of UKTI support (from PIMS). As the chart shows, supported non-users are generally satisfied with the support they have received, with 74% satisfied or very satisfied, and only a minority dissatisfied. The overall satisfaction ratings given by non-users and UKTI users are similar. Base sizes are too low to draw any robust conclusions by age of firm, although it does appear that younger non-users tend to be more satisfied with the support they have received (but this is not statistically significant). ## 11. Additionality Supported non-users were asked the extent to which they would have achieved similar results anyway had they not received the (non-UKTI) support. Comparative data has also been provided for users of UKTI support. Please note that supported non-users receiving very 'light touch' support (i.e. only received Certificates of Origin or support lasting for less than one hour) were not asked the full range of impact questions and are excluded from this analysis. The rationale for this was partly to reduce respondent burden by not asking a series of detailed questions about very minimal support, but also to provide a more valid comparison with the generally more substantial support provided by UKTI. There is clear evidence to suggest that support provided by UK Trade & Investment has a higher level of additionality than that provided by alternative sources. Almost two-fifths (38%) of all supported non-users judged the assistance they received to be non-additional (i.e. they feel that they would have achieved similar results anyway), compared to just 21% of UKTI users. Furthermore, non-UKTI export support is only classified as fully additional in 13% of cases (i.e. they probably or definitely would not have achieved similar results without the support), compared to 27% for UKTI services. Amongst non-users it appears that firms established 6-10 years display higher levels of additionality, with similar results to the equivalent group of UKTI users. However, it should be noted base sizes are very low for supported non-users when breaking down results by age band, so it is difficult to draw any definite conclusions in this respect. ## 12. Impacts & Outcomes The following section reports on the impacts and outcomes of the (non-UKTI) export support received by non-user firms. Please note that only impacts and outcomes judged to be additional are referred to (i.e. non-additional interventions do not score against the key measures). Non-additional interventions are defined as those where the firm indicated that they 'would have achieved similar results anyway' without the support. It should also be noted that those supported non-users that received very 'light touch' support (i.e. only received Certificates of Origin or support lasting for less than one hour) were not asked the full range of impact questions and are therefore excluded from this analysis. The base sizes for supported non-users are low, particularly when looking at individual sub-groups (e.g. age band) so caution should be taken when interpreting these results. 12.1 Increased Skills - Measure A81 ## 12.1.1 Summary The table below shows the proportion of supported non-user businesses classified as benefiting from the (non-UKTI) support received in terms of increasing their skills. This analysis forms one of the key survey measures, namely 'Measure A81 Increased skills'. Supported Non-Users 6-10 years Over 10 Total 1-5 years old old years old Base 70 10 14 46 25% 9% 37% 24% Proportion displaying at least one 'increased skill', net of nonadditionality 95% confidence interval ± 10% ± 18% ± 25% ± 12% Overall, just 25% of supported non-users are judged to have significantly increased their skills as a result of the assistance they received. Younger firms that have been trading for less than five years are least likely to experience this benefit from the non- UKTI support (although this difference is not statistically significant due to the low base sizes). ## A81 - Increased Skills Firms are classified as indicating increased skills if they feel that they have or will benefit 'to a significant extent' (i.e. score '4' or '5') from… - Improving their knowledge of the competitive environment in an overseas market (C7i) - 18% - Or, improving their overseas marketing strategy (C7o) - 21% In each case, net of non-additionality, with non-additionality in this context taken to be firms indicating that they feel that they 'could have got similar support elsewhere' (C9). The panel below provides further details of how Measure A81 has been calculated. The chart below includes comparative data for users of UKTI support (from PIMS) scoring against Measure A815. In comparison to firms accessing non-UKTI export support, UKTI clients are almost twice as likely to increase their skills as a result of the support. ## 12.1.2 Knowledge Of Competitive Environment The chart below shows the extent to which, as a direct result of the (non-UKTI) support they received, businesses have either benefited or anticipate benefiting through improving their knowledge of the competitive environment in an overseas market. Comparative data has also been provided for users of UKTI support. There is clear evidence that UKTI support is more effective at increasing firms' knowledge of the competitive environment in overseas markets than is the case for export support delivered by non-UKTI providers. Overall, 36% of users indicate that this has been a significant benefit of the support (i.e. scored 4-5 out of 5), compared to just 18% of supported non-users. ## 12.1.3 Improved Overseas Marketing Strategy The chart below shows the extent to which, as a direct result of the (non-UKTI) support they received, businesses have either benefited or anticipate benefiting from making improvements to their overseas marketing strategy. Comparative data has also been provided for users of UKTI support. Base: All supported firms excluding non-users just receiving Certificates of Origin or <1 hour of support (Base, Don't know) Support delivered by UKTI also appears more likely to result in improved overseas marketing strategies among assisted firms, with 30% of UKTI clients reporting a significant impact in this respect compared to 21% of firms accessing non-UKTI support. However, this difference is not statistically significant (although the difference in the proportion scoring 3-5 is significant). ## 12.2 Changed Behaviour - Measure A83 12.2.1 Summary The table below shows the proportion of supported non-user businesses classified as benefiting from the (non-UKTI) support received in terms of changing their behaviour. This analysis forms one of the key survey measures, namely 'Measure A83 - Changed behaviour'. Supported Non-Users 6-10 years Over 10 Total 1-5 years old old years old Base 70 10 14 46 39% 50% 65% 31% Proportion displaying at least one 'change in behaviour', net of nonadditionality 95% confidence interval ± 11% ± 31% ± 25% ± 13% ## A83 - Changed Behaviour Firms Are Classified As Having Changed Their Behaviour If They Feel That They Have Or Will Benefit 'To A Significant Extent' (I.E. Score '4' Or '5') From… - Introducing any new products or services, or improving any existing ones (C7l) - 9% - Or, making improvements to their new product or service development strategy (C7t) - 15% - Or, improving the way they do business in overseas markets (C7n) - 22% - Or, gaining the confidence to either explore a new market or expand in an existing one (C7h) - 27% - Or, improving their overseas marketing strategy (C7o) - 21% In each case, net of non-additionality, with non-additionality in this context taken to be firms indicating that they feel that they 'could have got similar support elsewhere' (C9). Almost two-fifths of supported non-user firms score against this measure, although this drops to around a third of older firms that have been trading for over 10 years. The panel below provides further details of how A83 has been calculated for this survey. The chart below includes comparative data for users of UKTI support (from PIMS) scoring against Measure A83. Base: All supported firms excluding non-users just receiving Certificates of Origin or <1 hour of support (Base) Over half of UKTI users score against this measure, compared to around two-fifths of firms accessing non-UKTI export support. For both supported non-users and UKTI clients, older firms (over 10 years old) are significantly less likely to score against this measure. 12.2.2 Introduced or Improved Products or Services The chart below shows the extent to which, as a direct result of the (non-UKTI) support they received, businesses have either benefited or anticipate benefiting from introducing any new products/services or improving existing ones. Comparative data has also been provided for users of UKTI support. UKTI clients are significantly more likely than users of alternative export support to have introduced new products/services or improved existing products/services as a result of the assistance received (21% vs. 10%). 12.2.3 Improved New Product Development Strategy The chart below shows the extent to which, as a direct result of the (non-UKTI) support they received, businesses have either benefited or anticipate benefiting from improving their new product/service development strategy. Comparative data has also been provided for users of UKTI support. There are no statistically significant differences between UKTI users and supported non-users in regards to whether they have improved their new product/service development strategy as a result of this support. There are also no significant differences in this respect by age of firm for non-users. However, among UKTI users firms aged over 10 years are less likely than younger firms to have benefitted in this way. 12.2.4 Improved Way of Doing Business Overseas The chart below shows the extent to which, as a direct result of the (non-UKTI) support they received, businesses have either benefited or anticipate benefiting from improving the way they do business in overseas markets. Comparative data has also been provided for users of UKTI support. Base: All supported firms excluding non-users just receiving Certificates of Origin or <1 hour of support (Base, Don't know) There is also no statistically significant difference between UKTI clients and firms accessing non-UKTI export assistance in terms of the percentage of firms significantly improving the way they do business in overseas markets (i.e. scoring 4-5 out of 5). However, when looking at the proportion scoring 3-5 out of 5 then the difference between users and non-users is significant. ## 12.2.5 Gained Confidence The chart below shows the extent to which, as a direct result of the (non-UKTI) support they received, businesses have either benefited or anticipate benefiting from gaining the confidence to either explore a new market or expand in an existing one. Comparative data has also been provided for users of UKTI support. Base: All supported firms excluding non-users just receiving Certificates of Origin or <1 hour of support (Base, Don't know) There are no statistically significant differences between UKTI users and supported non-users in the likelihood of benefitting from gaining the confidence to expand their overseas operations. ## 12.3 Increased Innovation - Measure A04 The table below shows the proportion of supported non-user businesses classified as benefiting from the (non-UKTI) support received in terms of increased innovation. This analysis forms one of the key survey measures, namely 'Measure A04 - Increased Innovation'. Supported Non-Users 6-10 years Over 10 Total 1-5 years old old years old Base 70 10 14 46 18% 18% 29% 15% Proportion displaying at least one 'increase in innovation', net of nonadditionality 95% confidence interval ± 9% ± 24% ± 24% ± 10% ## A04 - Increased Innovation Firms are classified as having increased innovation if they feel that they have or will benefit 'to a significant extent' (i.e. score '4' or '5') from… - Introducing any new products or services, or improved any existing ones (C7l) - 9% - Or, making improvements to their new product or service development strategy (C7t) - 15% Overall, just under a fifth of supported non-users score against this measure of increased innovation. There are no statistically significant differences in this respect by age of firm. The panel below provides further details of how Measure A04 has been calculated for this survey. In each case, net of non-additionality, with non-additionality in this context taken to be firms indicating that they feel that they 'could have got similar support elsewhere' (C9). The chart below includes comparative data for users of UKTI support (from PIMS) scoring against Measure A04. Base: All supported firms excluding non-users just receiving Certificates of Origin or <1 hour of support & users receiving Special Reports (Base) Non-Users - Total (70), Up to 5 years old (10), 6-10 years old (14), Over 10 years old (46), UKTI support leads to increased innovation activity in just under a third of all cases, whereas only 18% of supported non-user firms score against this measure. For nonusers, there are no statistically significant differences by age of firm due to the low base sizes involved. However, among UKTI users there is a clear association between increased innovation and age, with this impact more likely to be reported by younger firms. Please note that this measure is a subset of the Changed Behaviour measure, and results for the individual elements of this measure have already been reported in Section 12.2 of this report. ## 12.4 Increased R&D - Measure Ar&D The table below shows the proportion of supported non-user businesses classified as benefiting from the (non-UKTI) support received in terms of increased R&D. This analysis forms one of the key survey measures, namely 'Measure AR&D - Increased R&D'. Supported Non-Users 6-10 years Over 10 Total 1-5 years old old years old Base 70 10 14 46 Proportion increase their R&D activity, net of non-additionality 8% 9% 14% 7% 95% confidence interval ± 6% ± 18% ± 18% ± 7% ## Ar&D - Increased R&D Firms Are Classified As Having Increased R&D If They Have Or Expect To… Overall, a relatively small minority (8%) of supported non-users score against this measure of increased R&D. The panel below provides further details of how AR&D has been calculated for this survey. - Increase the number of people engaged in, or the amount of time spent on R&D or NPD (F24a) - And, increase the amount they spend on R&D or NPD (F24b) Net of non-additionality, with non-additionality in this context taken to be firms indicating that they feel that they 'could have got similar support elsewhere' (C9). The chart below includes comparative data for users of UKTI support (from PIMS) scoring against Measure AR&D. Base: All supported firms excluding non-users just receiving Certificates of Origin or <1 hour of support (Base) Non-Users - Total (70), Up to 5 years old (10), 6-10 years old (14), Over 10 years old (46), UKTI users appear more likely to report additional R&D activity as a result of the support, but due to the low base of supported non-uses this difference is not statistically significant. Interestingly, for both users and non-users there is some suggestion that firms established for between 6-10 years are most likely to experience R&D impacts from export support (although the difference is not statistically significant for non-users). ## 12.5 Barriers To Market Access Overcome - Measure A92 12.5.1 Summary The table below shows the proportion of supported non-user businesses classified as benefiting from the (non-UKTI) support received in terms of overcoming barriers to market access. This analysis forms one of the key survey measures, namely 'Measure A92 - Barriers Overcome'. - Supported Non-Users Supported Non-Users 6-10 years Over 10 Total 1-5 years old old years old Base 70 10 14 46 41% 50% 50% 37% Proportion displaying at least one 'barrier overcome', net of nonadditionality 95% confidence interval ± 12% ± 31% ± 26% ± 14% ## A92 - Barriers To Market Access Overcome Firms are classified as indicating barriers to market access overcome if they feel that they have or will benefited 'to a significant extent' (i.e. score '4' or '5') from… - Gaining access to prospective customers, business partners or other people they would otherwise have been unable to meet (C7a) - 21% - Or, gaining access to information that they would otherwise have been unable to come by (C7e) - 33% - Or, improving their company's profile or credibility (C7c) - 24% In each case, net of non-additionality, with non-additionality in this context taken to be firms indicating that they feel that they 'could have got similar support elsewhere' (C9). Two-fifths of all supported non-users have experienced significant benefits in terms of overcoming barriers to market access. The panel below provides further details of how this measure has been calculated. The chart below includes comparative data for users of UKTI support (from PIMS) scoring against Measure A926. Base: All supported firms excluding non-users just receiving Certificates of Origin or <1 hour of support (Base) Non-Users - Total (70), Up to 5 years old (10), 6-10 years old (14), Over 10 years old (46), Users of UKTI services are significantly more likely to have overcome barriers to market access than is the case for firms accessing non-UKTI export support. Base sizes amongst supported non-users are too low to draw firm conclusions of differing impacts by age of firm, but it does appear firms established for more than 10 years are least likely to score against this measure. ## 12.5.2 Access To Contacts The chart below shows the extent to which, as a direct result of the (non-UKTI) support they received, businesses have either benefited or anticipate benefiting from gaining access to prospective customers, business partners or other people they would otherwise have been unable to meet. Comparative data has also been provided for users of UKTI support. Contact provision appears to be a major strength of the UKTI support, and differentiates it from the alternative sources of export assistance that are available to firms. Overall, 42% of UKTI users have benefited significantly from gaining access to contacts, compared to just 21% of supported non-users. This aspect of export support is particularly critical given that 'contacts barriers' emerged as one of the major problems faced by internationalising firms, with 19% of non-users reporting significant difficulties with this issue when looking to develop their overseas business (as detailed in Section 7 of this report). ## 12.5.3 Access To Information The chart below shows the extent to which, as a direct result of the (non-UKTI) support they received, businesses have either benefited or anticipate benefiting from gaining access to information they would otherwise have been unable to come by. Comparative data has also been provided for users of UKTI support. Base: All supported firms excluding non-users just receiving Certificates of Origin or <1 hour of support (Base, Don't know) Similar proportions of UKTI users and supported non-users have benefitted through the support filling knowledge gaps, with 39% of the former and 33% of the latter benefiting significantly from access to information they would otherwise have been unable to come by. ## 12.5.4 Improved Profile Or Credibility The chart below shows the extent to which, as a direct result of the (non-UKTI) support they received, businesses have either benefited or anticipate benefiting from improving their company's profile or credibility. Comparative data has also been provided for users of UKTI support. Base: All supported firms excluding non-users just receiving Certificates of Origin or <1 hour of support (Base, Don't know) Non-Users - Total (70, 3%), Up to 5 years old (10, 0%), 6-10 years old (14, 0%), Over 10 years old (46, 4%) Users - Total (3823, 1%), Up to 5 years old (888, 1%), 6-10 years old (593, 1%), Over 10 years old (2340, 1%) Overall 38% of UKTI users have significantly improved their profile or credibility as a result of the support they received, which is encouraging given that this is perceived to be a key benefit of doing business overseas (with 87% of users and 65% of nonusers highlighting this as one of the significant impacts of exporting). In contrast, just 24% of firms accessing export support from non-UKTI providers experienced this benefit to a significant extent. ## 12.6 Increased Sales/Orders The table below shows the proportion of supported non-user businesses classified as benefiting from the (non-UKTI) support received in terms of increasing sales or winning new orders. This analysis forms one of the key survey measures, namely 'Increased Sales/Orders'. Supported Non-Users 6-10 years Over 10 Total 1-5 years old old years old Base 70 10 14 46 40% 41% 65% 33% Proportion increasing sales or winning new orders, net of nonadditionality 95% confidence interval ± 11% ± 30% ± 25% ± 14% ## Increased Sales/Orders Firms are classified as benefiting from increased sales/orders if they have or expect to… - Increase their sales or win new orders (C12) - 40% Net of non-additionality, with non-additionality in this context taken to be firms indicating that they feel that they 'could have got similar support elsewhere' (C9). Two-fifths of supported non-users scored against this measure, although the confidence interval is relatively large (+/-11%) due to the low base size. The panel below provides further details of how this measure has been calculated. The chart below includes comparative data for users of UKTI support (from PIMS) scoring against the Increased Sales/Orders measure. Base: All supported firms excluding non-users just receiving Certificates of Origin or <1 hour of support (Base) UKTI support is significantly more likely to result in increased sales for participating businesses than is the case for support provided by alternative providers. Although the base size is low, non-user firms aged 6-10 years were significantly more likely to score against this measure than older firms. ## 12.7 Significant Business Benefit - Measure A06 The table below shows the summarised proportions of supported non-user businesses that are classified as experiencing one or more significant business benefits as a result of the support. This analysis forms one of the key survey measures, namely 'Measure A06 - Significant Business Benefit'. Supported Non-Users 6-10 years Over 10 Total 1-5 years old old years old Base 70 10 14 46 49% 59% 72% 42% Proportion displaying at least one improvement in 'productivity and competitiveness', net of nonadditionality 95% confidence interval ± 12% ± 30% ± 24% ± 14% ## A06 - Significant Business Benefit Firms are classified as experiencing significant business benefit if they score against… - Measure A81 Increased Skills - 25% - Or, Measure A83 Changed Behaviour - 39% - Or, Measure A92 Barriers to Market Access Overcome - 41% In each case, net of non-additionality, with non-additionality in this context taken to be firms indicating that they feel that they 'could have got similar support elsewhere' (C9). Around half of supported non-user firms report one or more significant business benefits and therefore score against this measure. The panel below provides further details of how Measure A06 has been calculated for this survey. The chart below includes comparative data for users of UKTI support (from PIMS) scoring against Measure A067. Base: All supported firms excluding non-users just receiving Certificates of Origin or <1 hour of support (Base) Over two-thirds of UKTI users are classified as experiencing significant business benefits as a result of the assistance received, compared to just under half of supported non-users. In both cases, older firms that have been trading for over 10 years are least likely to report significant benefits from the support. ## 12.8 'Light Touch' Support A small number of non-user firms (32) had received export-related assistance but indicated that this only consisted of Certificates of Origin (from the Chamber of Commerce) or support that lasted for less than 1 hour. Due to the minimal nature of this assistance, these firms were not asked the full range of impact questions but instead were simply asked whether it had any positive impact on the performance of their firm. The table below shows these results (net of non-additionality). All receiving 'light touch' support Base: 'Light touch' supported firms 32 Yes 32% No 19% Don't know 4% Non-additional 45% Reflecting the less intensive nature of the support received, just a third of these firms felt that it had a positive impact on their business performance and almost half judged it to be non-additional (i.e. they would have achieved similar results anyway). ## 13. Economic Climate 13.1 Sustained Economic Growth Or Increasing Demand Overseas Those non-user firms that were currently exporting were asked whether their business had benefited from sustained economic growth or increasing demand in any overseas countries in the previous year. Comparative data has also been provided for users of UKTI support. There is some evidence that UKTI clients are better placed than non-users to benefit from economic growth or increasing demand overseas. Over two-thirds (70%) of the former have benefited in this way over the past year, compared to just 38% of nonusers. In particular, UKTI users were more likely to have benefited from growth/demand arising from outside of the EU. The difference between users and non-users in this respect is likely to be partly due to the former being more 'involved' exporters (i.e. active in more markets, overseas sales account for a greater proportion of turnover, etc). However, it may also be that the support provided by UKTI puts firms in a better position to benefit from any positive changes in overseas economies. The chart below tracks how responses to this question have changed over the last four years. For both users and non-users, there had been a steady rise in the proportion of firms benefiting from economic growth or increased demand overseas but this has levelled off in this most recent year. ## 13.2 Export Credit Insurance Those firms that were currently exporting were asked whether they used export credit insurance and, if so, whether they had had any difficulties in accessing it over the previous 6 months. | Non-Users (PIMS 2013) | Users (PIMS 28-31) | |--------------------------|-----------------------| | | | | 6-10 | >10 | | Total | | | Up to 5 | | | years | years | | Total | | | Up to 5 | | | years | years | | Base: All exporters | | | | | | 771 | | | | | | 131 | | | | | | 208 | | | | | | 432 | | | | | | 3464 | | | | | | 679 | | | | | | 544 | | | | | | 2239 | | | | | | Yes | | | 1% | | | 1% | 1% | | No | | | 6% | | | 3% | 5% | | Don't know | 0% | | Do not use export credit | | | insurance | | | 85% | | | 92% | 87% | | Don't know if use export | | | credit insurance | | | 8% | | | 4% | 7% | Only a small proportion of internationalising firms use export credit insurance, although usage is higher among UKTI users than among non-users (13% and 8% respectively). Only 1% of the non-user firms and 3% of UKTI users reported any difficulty in accessing this type of insurance. Whilst these are only small proportions, this does equate to a significant number of those actually using export credit insurance (particularly for UKTI clients). Results are similar in this respect to those seen in 2012. ## Annex A - Questionnaire Ukti Pims Non-User Survey 2013 Omb Research Ltd TARGET QUOTAS: - 75 interviews businesses 0-5 years old (codes 1-5 or 9 at S1c) - 75 interviews with businesses 6-10 years old (code 6 at S1c) - 150 interviews with businesses more than 10 years old (codes 7-8 at S1c) ## Intro & Screeners Ask All Could I Please Speak To Either The Owner Or Someone Responsible For Your Firm'S Strategy In Relation To Exporting Or Overseas Sales? INTERVIEWER NOTE - IF THERE IS A NAMED CONTACT ON SAMPLE YOU CAN ASK FOR THIS PERSON, BUT THEY MAY NOT BE THE BEST PERSON TO SPEAK TO. - YOU MAY TAKE REFERRALS TO ANOTHER SITE WITHIN THE UK. Good morning/afternoon, my name is … and I am calling on behalf of OMB Research, an independent market research agency. We have been commissioned by UK Trade & Investment and the Department for Business, Innovation and Skills (BIS) to conduct a survey of businesses on the topic of exporting and trading overseas. We're conducting an evaluation to measure the impact of overseas business and identify any issues or difficulties that businesses face when trying to do business overseas, particularly in the current economic climate. UK Trade & Investment will use this to improve the services they offer to help businesses export. The research will take around 15-20 minutes, depending on your answers. Is it convenient to speak to you now or would you prefer to make an appointment for another time? AS NECESSARY: It doesn't matter if you only sell overseas on a small scale, we're interested in speaking to ALL exporters. Even if you just make the occasional sale to overseas customers, we are still keen to talk to you. AS NECESSARY: A summary of the key findings from this evaluation will be made available on the UK Trade & Investment website, at www.ukti.gov.uk ADD IF NECESSARY  The research is being conducted under the Code of Practice of the Market Research Society, which means that all of the answers you give are strictly confidential and anonymous. Participation in this survey is voluntary.  The responses of all organisations taking part will be combined into a statistical report  Your organisation was selected at random from a list of UK businesses held by a commercial list broker  If you wish to check that OMB Research is a bona fide market research agency, you can contact the Market Research Society on 0500 396999, or call James Murray at OMB Research on 01732 220582 or Heather Booth di Giovanni at UK Trade & Investment on 020 7215 4989. ASK ALL S1a - Can I confirm that you are one of the people best qualified to talk about your company's overseas activities? INTERVIEWER NOTE: IF KNOW ALREADY THAT YOU ARE SPEAKING TO THE CORRECT PERSON THEN CODE YES AUTOMATICALLY REFERRALS CAN BE TAKEN TO ANY SITE WHEN THE CONTACT FEELS THAT THERE IS SOMEONE WITHIN THE COMPANY BETTER PLACED TO ANSWER QUESTIONS ON THE TOPIC AREAS OUTLINED | Yes | 1 | |------------------------------------------|------| | No - take referral and being transferred | 2 | | No - take referral and arrange call back | 3 | | No - refused referral | 4 | ASK ALL S2 - Over the last 2 years have you sold goods or services to any customers based overseas, either directly or via agents or distributors? AS NECESSARY: - This includes licensing agreements where you licence your products, services or intellectual property for use overseas. - This includes selling to either business or individuals overseas INTERVIEWER NOTE: SOUTHERN IRELAND COUNTS AS OVERSEAS | | Yes | 1 | |--------------|--------|------| | No | | 2 | | (Don't know) | 3 | | IF NOT EXPORTED (CODES 2-3 AT S2) S3a - Have you seriously considered selling goods or services overseas within the last two years? | | Yes | 1 | |--------------|--------|------| | No | | 2 | | (Don't know) | 3 | | IF NOT CONSIDERED EXPORTING (CODES 2-3 AT S3a) S3b - Have you actually attempted to win any overseas business within the last two years? | | Yes | 1 | |--------------|-----------|-----------| | No | | 2 - CLOSE | | (Don't know) | 3 - CLOSE | | IF CONSIDERED/ATTEMPTED EXPORTING (CODE 1 AT S3a OR CODE 1 AT S3b) S3c - Can I just check, do you anticipate doing business overseas at all over the next 3 years? IF YES, PROBE FOR WHEN LIKELY TO START DOING BUSINESS OVERSEAS | | Yes - within the next year | 1 | |-------------------------|-------------------------------|------| | Yes - in 1-2 years time | | 2 | | Yes - in 2-3 years time | | 3 | | No | | 4 | | (Don't know) | 5 | | ASK ALL S7a - In the last 5 years has your firm received any form of information, advice or support about doing business overseas from either UK Trade & Investment, a UK embassy or consulate based overseas, or a Regional Development Agency? READ OUT QUESTION IN FULL AS NECESSARY: This would include attending events put on by any of these organisations. | | Yes | 1 | |--------------|--------|-------| | No | | 2 | | (Don't know) | 3 | | IF RECEIVED UKTI SUPPORT (CODE 1 AT S7a) S7b - And can I just check, did this information or advice definitely relate to doing business overseas? | | Yes | 1 - CLOSE | |--------------|--------|--------------| | No | | 2 | | (Don't know) | 3 | | ASK ALL S10 - And can I confirm that your organisation is a business rather than a trade association or public sector body? READ OUT. SINGLE CODE | A business | | 1 | |---------------------------------------------------|-----|-----------| | A trade association | | 2 - CLOSE | | A public sector organisation such as a Government | | | | department, local council, etc | | 3 - CLOSE | | Other (SPECIFY) | | 4 | | (Don't know) | 5 | | ASK ALL S1c - How long ago was your business established? READ OUT AS NECESSARY. AS NECESSARY: - This means when the business started trading in its current form - If the business is a subsidiary this refers to the subsidiary in which you work | Within the last year | | 1 | |-----------------------------|------------|-------------------| | Over 1, up to 2 years ago | | 2 | | Over 2, up to 3 years ago | | 3 | | Over 3, up to 4 years ago | | 4 | | Over 4, up to 5 years ago | | 5 | | CHECK | | | | QUOTAS | | | | Over 5, up to 10 years ago | | 6 | | Over 10, up to 20 years ago | | 7 | | Over 20 years ago | | 8 | | (Not yet trading) | | 9 - CLOSE IF S2=1 | | (Don't know) | 10 - CLOSE | | | (Refused) | | 11 - CLOSE | ASK ALL S4 - Is your firm part of a multinational company or an international joint venture that has operations overseas? | | Yes | 1 | |--------------|--------|------| | No | | 2 | | (Don't know) | 3 | | IF PART OF MULTINATIONAL (CODE 1 AT S4) S5 - And <IF CODE 1 AT S2 **do you export to /** IF CODE 1 AT S3a OR S3b have you considered exporting to > any affiliated companies overseas? | | Yes | 1 | |--------------|--------|------| | No | | 2 | | (Don't know) | 3 | | IF EXPORT TO AFFILIATED COMPANIES (CODE 1 AT S5) S6 - And <IF CODE 1 AT S2 **do you export to /** IF CODE 1 AT S3a OR S3b have you considered exporting to > any overseas customers other than affiliated companies? | | Yes | 1 | |--------------|-----------|-----------| | No | | 2 - CLOSE | | (Don't know) | 3 - CLOSE | | Questions deleted from Section S - S1b, S1d, S9b1, S9b2 ## Section X: Usage Of Trade Development Services Ask All X1 - Over The Last 2 Years, Has Your Firm Received Any Information, Advice Or Support In Relation To Doing Business Overseas From Any Of The Following? Read Out - Code All That Apply - Randomise AS NECESSARY: We are only asking about support relating to overseas business. AS NECESSARY: This could include attending events organised by any of these organisations, if they focussed on overseas business. INTERVIEWER NOTE: If recording an 'Other specify' response please record this accurately and in good English as will be used in later text substitutions. | A bank (other than just setting up accounts, payments, etc.) | 1 | |-----------------------------------------------------------------|-------| | A consultant | 2 | | A market research company 3 | | | A Trade Association 4 | | | The Chamber of Commerce (UK or overseas) | 5 | | HM Revenue & Customs | 9 | | The British Council 10 | | | A paid-for online information service 12 | | | Anyone else? (SPECIFY) | 95 | | None of these 96 | | | (Don't know) 97 | | | | | IF CHAMBER OF COMMERCE (X1=5) X5b - And was the Chamber of Commerce based in the UK or located overseas? | Based in the UK | |--------------------| | Located overseas 2 | | (Don't know) 3 | | | IF OVERSEAS CHAMBER OF COMMERCE (X5b=2) X5c - And was this overseas Chamber of Commerce a British Chamber of Commerce or a local Chamber of Commerce? British Chamber of Commerce .................................................. 1 Local Chamber of Commerce .................................................... 2 (Don't know) .............................................................................. 3 IF MORE THAN ONE PROVIDER SELECTED AT X1 (I.E. MORE THAN ONE OF CODES 1, 2, 3, 4, 5, 9, 10, 12 OR 95 AT X1) X6 - Of all the sources of assistance you just mentioned, which did you find most important in relation to doing business overseas? READ OUT AS NECESSARY. SINGLE CODE INTERVIEWER NOTE: NEED TO PUSH RESPONDENT INTO ONE CODE AS FOLLOWING QUESTIONS ASK FOR COMPARISONS WITH THIS TYPE OF SUPPORT CATI TO ONLY SHOW CODES SELECTED AT X1 EXCEPT NONE OF THESE (CODE 96) AND DON'T KNOW (CODE 97). The bank (other than just setting up accounts, payments, etc.) 1 The consultant ........................................................................... 2 The market research company .................................................. 3 The Trade Association .............................................................. 4 The Chamber of Commerce ...................................................... 5 HM Revenue & Customs ........................................................... 9 The British Council .................................................................... 10 The paid-for online information service ..................................... 12 <INSERT OTHER SPECIFY TEXT FROM CODE 95 AT X1> .. 11 SUPPORT PROVIDER ALLOCATION & TEXT FOR SUBSEQUENT QUESTIONS - the bank ((IF X1=1 & X1=NOT 2, 3, 4, 5, 9, 10, 12 OR 95) OR IF X6=1) - the consultant ((IF X1=2 & X1=NOT 1, 3, 4, 5, 9, 10, 12 OR 95) OR IF X6=2) - the market research company ((IF X1=3 & X1=NOT 1, 2, 4, 5, 9, 10, 12 OR 95) OR IF X6=3) - the trade association ((IF X1=4 & X1=NOT 1, 2, 3, 5, 9, 10, 12 OR 95) OR IF X6=4) - the Chamber of Commerce ((IF X1=5 & X1=NOT 1, 2, 3, 4, 9, 10, 12 OR 95) OR IF X6=5) - HM Revenue & Customs ((IF X1=9 & X1=NOT 1, 2, 3, 4, 5, 10, 12 OR 95) OR IF X6=9) - the British Council ((IF X1=10 & X1=NOT 1, 2, 3, 4, 5, 9, 12 OR 95) OR IF X6=10) - the online information service ((IF X1=12 & X1=NOT 1, 2, 3, 4, 5, 9, 10 OR 95) OR IF X6=12) - <TEXT FROM CODE 95 AT X1> ((IF X1=95 & X1=NOT 1, 2, 3, 4, 5, 9 OR 10) OR IF X6=11) IF RECEIVED ANY SUPPORT (CODES 1-95 AT X1) X2a - Which of the following forms did the support you received from <SUPPORT PROVIDER> **take?** READ OUT - CODE ALL THAT APPLY - ROTATE ALWAYS ASK CODES 5, 6 & 8 IN ORDER & ALWAYS ASK CODES 3 & 4 IN ORDER | Help accessing finance or funding opportunities | | 1 | |---------------------------------------------------------------------------|-----|------| | Help identifying or accessing business contacts overseas (such as | | | | customers or business partners) | 2 | | | Help with doing marketing research overseas | 3 | | | Help with developing your overseas business strategy | | 4 | | Information or advice about how to do business in an overseas market | | | | (such as help dealing with either the regulatory or cultural environment) | 5 | | | Information or advice about entering a new market | 6 | | | Information or advice about business opportunities in an overseas | | | | market | | 8 | | ONLY SHOW IF SUPPORT PROVIDER IS CHAMBER OF | | | | COMMERCE: Certificates of Origin | | 11 | | Anything else? (SPECIFY) | 95 | | | (Don't know) | 97 | | | | | | IF RECEIVED ANY SUPPORT (CODES 1-95 AT X1) EXCEPT IF SUPPORT PROVIDER IS ONLINE INFO SERVICE X2b - And did you have to pay for any of the support provided by <SUPPORT PROVIDER>? SINGLE CODE Yes .................................................................................. 1 No ..................................................................................... 2 (Don't know) ..................................................................... 3 IF RECEIVED ANY SUPPORT (CODES 1-95 AT X1) X2c - Overall, how much time would you estimate that <IF SUPPORT PROVIDER NOT ONLINE INFO SERVICE: <SUPPORT PROVIDER> spent providing / IF SUPPORT PROVIDER IS ONLINE INFO SERVICE: you spent accessing> this information, advice or support? Would you say it was…? READ OUT | More than a week's work | | |----------------------------|-----| | 3-5 day's work | 2 | | 1-2 day's work | 3 | | Or, less than a day's work | 4 | | (Don't know) | 5 | | (Not applicable) | 6 | IF LESS THAN A DAY AT X2c (CODE 4) X2d - Would you say that it was more or less than an hour's work? READ OUT | More than an hour's work | | |-----------------------------|-----| | Less than an hour's work | 2 | | (Don't know) | 3 | | | | IF RECEIVED ANY SUPPORT (CODES 1-95 AT X1) X4 - I'm now going to read through a list of service aspects and I'd like you to rate your experience of each one on a scale of 1 to 5, where 1 is 'very poor' and 5 is 'very good'. Overall, how would you rate the quality of the support you have received from <SUPPORT PROVIDER> **in terms of…** READ OUT - RANDOMISE ASK A & C IF ANY SUPPORT (a) The quality & relevance of the information provided (c) The quality & relevance of any contacts it allowed you to make ASK D & E UNLESS SUPPORT PROVIDER IS ONLINE INFO SERVICE (d) Their attitude and professionalism (e) Their objectivity and acting in your best interests ASK F & G IF SUPPORT PROVIDER IS ONLINE INFO SERVICE (f) The clarity and ease of understanding of the information provided (g) The level of detail provided | 1 - Very poor | | |-------------------|-----| | 2 | 2 | | 3 | 3 | | 4 | 4 | | 5 - Very good | 5 | | Not relevant | 6 | | (Don't know) | 7 | IF RECEIVED ANY SUPPORT (CODES 1-95 AT X1) X7 - And thinking now about your TOTAL experience of the support you received from <SUPPORT PROVIDER>, how would you rate your satisfaction overall? Please give me a score between 1 and 5, where 5 means 'very satisfied' and 1 means 'very dissatisfied'. | | 1 - Very dissatisfied | 1 | |-----------------------------|--------------------------|------| | 2 - Fairly dissatisfied | | 2 | | 3 - Indifferent | 3 | | | 4 - Fairly satisfied | 4 | | | 5 - Very satisfied | | 5 | | (Don't know/Can't remember) | 6 | | Questions deleted from Section X ## - X3, X4B, X5A ## Section B: Export Strategy ASK ALL I'd now like to move on to talking a bit more about your current overseas business activity and your plans for the future. IF ALREADY EXPORTING (CODE 1 AT S2) B1 - How long ago did your firm start doing business overseas, and by that I mean selling goods or services to either businesses or individuals based abroad? READ OUT AS NECESSARY - CATI TO ONLY SHOW FEASIBLE CODES BASED ON ANSWER TO S1c AS NECESSARY: **This means the business in its current form** IF S4=1: AS NECESSARY: Please answer just for the UK part of your business AS NECESSARY: Please include any licensing deals with overseas companies | Within the last year | | 1 | |-----------------------------|-----|------| | Over 1, up to 2 years ago | | 2 | | Over 2, up to 3 years ago | | 3 | | Over 3, up to 4 years ago | | 4 | | Over 4, up to 5 years ago | | 5 | | Over 5, up to 10 years ago | | 6 | | Over 10, up to 20 years ago | | 7 | | Over 20 years ago | | 8 | | (Don't know) | 10 | | | (Refused) | | 11 | | | | | IF ALREADY EXPORTING (CODE 1 AT S2) B2a - In the last financial year, approximately what percentage of your turnover was accounted for by overseas sales? RECORD PERCENTAGE AS NECESSARY Please include any fees received from overseas companies or overseas licensing deals IF S4=1: AS NECESSARY Please answer just for the UK part of your business Write in (%) (Don't know) (Refused) IF DON'T KNOW AT B2a B2b - If you had to estimate this percentage, into which of the following bands would you put your business? READ OUT | Up to 5% | | 1 | |---------------|-----|------| | 6-10% | 2 | | | 11-15% | 3 | | | 16 - 25% | 4 | | | 26 - 50% | 5 | | | 51 - 75% | 6 | | | More than 75% | 7 | | | (Don't know) | 8 | | | (Refused) | | 9 | IF ALREADY EXPORTING (CODE 1 AT S2) B6c - And in 3 years time, do you think that you will be doing business in more, less or the same number of countries as you are now? | More countries than now | 1 | |----------------------------|------| | The same | 2 | | Less countries than now | | | (Don't know) | 4 | | (Refused) | | ASK ALL B31 - I'm going to read out some possible benefits of selling into overseas markets, and I'd like you to tell me the extent to which you agree with each one. Please give me a score of 1 to 5 where 5 means that you 'agree strongly' and 1 means that you 'disagree strongly'. <IF S2=2-3 OR S1c=9 OR B2a=0-5 OR B2b=1: If you have not yet made any overseas sales, or done very little overseas business, then please answer based on whether you would expect to benefit in these ways.> So firstly…? ORDER OF STATEMENTS TO BE RANDOMISED. (a) Selling overseas enables you to achieve a level of growth otherwise not possible (b) Selling overseas allows you to more fully utilise your existing capacity (d) Selling overseas exposes you to new ideas (e) Selling overseas increases the commercial life span of your products or services (f) Selling overseas improves your firm's profile or credibility ON EACH OF THE B31 SCREENS SHOW (AT BOTTOM): To what extent do you agree with that? Please answer on a 1-5 scale where 1 means you disagree strongly and 5 means you agree strongly. | 1 - Disagree strongly | 1 | |--------------------------|------| | 2 | 2 | | 3 | 3 | | 4 | 4 | | 5 - Agree strongly | 5 | | (Don't know) | 6 | IF ALREADY EXPORTING (CODE 1 AT S2) B25b - In the last year, has your business benefited from sustained economic growth or increasing demand in any overseas countries? SINGLE CODE. IF YES, PROBE: Does this relate to countries within the EU, outside the EU or both? | Yes, in countries within the EU | | |-------------------------------------|-----| | Yes, in countries outside of the EU | 2 | | Yes, both | 3 | | No | 4 | | (Don't know) | 5 | IF ALREADY EXPORTING (CODE 1 AT S2) B5a - In the last 2 years have you successfully started doing business in any NEW countries? CLARIFY AS NECESSARY: By that I mean have you started selling goods or services in a country that your business had not dealt with before? Yes ................................................................................... 1 No ..................................................................................... 2 (Don't know) ..................................................................... 3 IF ENTERED NEW COUNTRIES (CODE 1 AT B5a) B5b - Which new countries have you started doing business in over the last 2 years? PROBE AS NECESSARY Any others? CATI TO SHOW LIST OF MOST COMMON MARKETS, PLUS: Other (SPECIFY) .............................................................. (Don't know) ASK ALL B13 - I'm now going to read out a list of issues that you may have had to tackle when trying to develop the overseas side of your business. Thinking about all the overseas countries that you've < IF S2 = 1 **dealt with/** IF S2 = 2 or 3 considered doing business with>…? ROTATE LIST BUT ALWAYS ASK B, K & C IN THAT ORDER & ALWAYS ASK G THEN H. ON EACH OF THE B13 SCREENS ADD ABOVE EACH STATEMENT AS NECESSARY Have you ever had any difficulties with...? ON EACH OF THE B13 SCREENS ADD AFTER EACH STATEMENT AS NECESSARY **Please only answer about difficulties you have <**IF S2=1 experienced when doing business overseas / IF S2=2-3 already experienced when trying to do business overseas>.' (a) Obtaining information about the potential business opportunities in an overseas market (b) Identifying who to make contact with in the first instance (k) Establishing an initial dialogue with prospective customers or business partners (c) Building relationships with key influencers or decision-makers (d) Dealing with legal or tax regulations or standards overseas (g) Language barriers (h) Cultural differences (j) Overseas customers preferring to do business with firms from their own country (rather than with UK firms) (p) Finding the necessary management time to devote to doing business in an overseas country (q) Protecting your intellectual property (r) Ensuring you get paid and enforcing contracts (s) Dealing with customs procedures or paperwork | | Yes | 1 | |--------------|--------|------| | No | | 2 | | (Don't know) | 3 | | | | | | ASK FOR EACH OF A-S THAT RESPONDENT AGREES IS A DIFFICULTY THEY HAVE ENCOUNTERED. ASK B14 DIRECTLY AFTER B13 FOR EACH ONE B14 - And to what extent do you feel that this has been a difficulty, on a scale of 1 to 5 where 1 means it has 'not been at all difficult' and 5 means it has been 'extremely difficult'. 1 - Not at all difficult ......................................................... 1 2 ...................................................................................... 2 3 ...................................................................................... 3 4 ...................................................................................... 4 5 - Extremely difficult ...................................................... 5 (Don't know) ..................................................................... 6 IF NO (CODE 2) AT B13g OR CODES 1-2 AT B14g - TO FOLLOW DIRECTLY AFTER B13/14g B20g - Is the reason that you haven't had <IF CODE 2 AT B13g OR CODE 1 AT B14g **any /** IF CODE 2 AT B14g many> difficulties with language barriers because…? READ OUT BOTH OPTIONS BEFORE TAKING AN ANSWER | You've always been able to use English as a common language | | |-------------------------------------------------------------------|-----| | Or, because you or other staff have the necessary language skills | 2 | | (Other) | 95 | | (Don't know) | 97 | IF NO (CODE 2) AT B13h OR CODES 1-2 AT B14h - TO FOLLOW DIRECTLY AFTER B13/14h B20h - Is the reason that you haven't had <IF CODE 2 AT B13h OR CODE 1 AT B14h **any /** IF CODE 2 AT B14h many> difficulties with cultural differences because…? READ OUT BOTH OPTIONS BEFORE TAKING AN ANSWER | | You haven't come across any cultural differences | 2 | |--------------------------------------------------------------|-----------------------------------------------------|------| | Or, because you or other staff are familiar with the culture | | 3 | | (Other) | 95 | | | (Don't know) | 97 | | IF NO (CODE 2) AT B13k OR CODES 1-2 AT B14k - TO FOLLOW DIRECTLY AFTER B13/14k B20k - Is the reason that you haven't had <IF CODE 2 AT B13k OR CODE 1 AT B14k **any /** IF CODE 2 AT B14k many> difficulties establishing an initial dialogue because…? READ OUT ALL 3 OPTIONS CODES BEFORE TAKING AN ANSWER | You already had contacts | | |-----------------------------------------|-----| | Or, they initiated the contact with you | 2 | | (Other (SPECIFY)) | 95 | | | | | (Don't know) | 97 | ## Questions Deleted From Section B - B3a, B4, B7a, B7b, B7c, B7d, B7e, B7f, B9a, B9b, B10, B11, B11f, B12a, B12b, B12c, B12d, B13f, B13i, B13m, B13n, B13o, B15a, B15b, B16, B17a, B17b, B17c, B18a, B18b, B18c, B19a, B19b, B19c, B19d, B19e, B21, B22a, B22b, B23a, B23b, B24a, B24b, B24c, B24d, B25a, B26a, B26b, B26d, B27a, B27b, B27c, B28, B29, B30, B30a, C11 ## Section Y: Reasons For Not Seeking Support & Awareness IF HAVE NOT RECEIVED ANY SUPPORT (CODES 96 OR 97 AT X1) Y1 - Thinking about < IF AT LEAST ONE 'YES' AT B13 **these** IF ALL 'NO' AT B13 any > difficulties that you < IF ALL 'NO' AT B13 may > have had to tackle when < IF S2 = 1 **developing/** IF S2 = 2 or 3 trying to develop>the overseas side of your business, do you think you would have benefited from some kind of external advice or support to help you overcome any of these difficulties? | | Yes | 1 | |--------------|--------|------| | No | | 2 | | (Maybe) | 3 | | | (Don't know) | 4 | | IF YES OR MAYBE AT Y1 (CODES 1 OR 3) Y2 - What types of advice or support would have helped? DO NOT READ OUT BUT PROMPT TO CLARIFY. CODE ALL THAT APPLY General info/advice on how to export / enter new markets ......... 1 Info/advice on export regulations/rules/taxes .............................. 2 Info about specific countries / market intelligence ....................... 3 Help with overseas marketing strategy ....................................... 4 Help with accessing business contacts ....................................... 5 Info/advice about securing payment/enforcing contracts ............ 6 Finance/grants/subsidies ............................................................. 7 Other (Specify) ............................................................................ 95 (Don't know) ................................................................................ 97 IF YES OR MAYBE AT Y1 (CODES 1 OR 3) Y3 - Are you aware of anywhere or anyone who could provide this type of advice or support? ADD AS NECESSARY: Please include all sources of export support that you are aware of even if you wouldn't personally use them. | | Yes | 1 | |--------------|--------|------| | No | | 2 | | (Don't know) | 3 | | IF YES AT Y3 Y4 - Who could provide this? CODE ALL THAT APPLY - DO NOT PROMPT ADD AS NECESSARY: **Anyone else?** | | A bank | 1 | |------------------------------------------------------|-----------|------| | A consultant | | 2 | | Friends, colleagues or other business associates | | 3 | | A Trade Association | 4 | | | The Chamber of Commerce | | 5 | | UK Trade & Investment (UKTI) | 7 | | | Department for Business, Innovation and Skills (BIS) | | 8 | | Business Link | 9 | | | HM Revenue and Customs | 11 | | | A Market Research Company | 12 | | | Anyone else? (SPECIFY) | | 95 | | (No-one that I am aware of) | 96 | | | (Don't know) | 97 | | IF NO AT Y1 Y7 - Could you tell me why you think you would not have benefitted from any external advice or support? DO NOT READ OUT BUT PROMPT TO CLARIFY. CODE ALL THAT APPLY Already have experience / expertise within the company 1 Have our own/existing contacts ........................................ 2 Customers contact us / we respond to orders/enquiries .. 3 Have a niche market/product ........................................... 4 No one could provide relevant help/information ............... 5 Manage fine as we are / do it ourselves ........................... 6 Easy /straightforward / don't need help / no problems ..... 7 Other (Specify) ................................................................. 95 (Don't know) ..................................................................... 97 ASK ALL S8a - <IF X1=1-95 And moving on, > Before today had you heard of UK Trade & Investment or UKTI? | | Yes | 1 | |--------------|--------|------| | No | | 2 | | (Don't know) | 3 | | ASK IF HEARD OF UKTI (CODE 1 AT S8a) S8b - And were you aware that they provide assistance to help UK firms do business overseas? | | Yes | 1 | |--------------|--------|------| | No | | 2 | | (Don't know) | 3 | | ASK ALL S8c - Have you recently seen an advertisement with the message "Can you export? Make it a yes"? AS NECESSARY: This could have been in a national newspaper, trade press or online. AS NECESSARY: By recently I mean in the last month or two. | | Yes | 1 | |--------------|--------|------| | No | | 2 | | (Don't know) | 3 | | ASK ALL S9 - I'm now going to read out details of some services that are designed to help UK firms do business overseas. For each one, I'd like you to tell me whether you're aware of it, and whether you would be interested in using this type of service. Please note that this is just to measure interest in these services and your details will not be passed on to UKTI. If you would like to find out more about any of these services we can arrange to send you details at the end of the interview. So firstly… READ OUT DESCRIPTION FOLLOWED BY QUESTIONS FOR EACH OF S9a, S9c & S9d. RANDOMISE ORDER OF S9a, S9c & S9d OMIS The Overseas Market Introduction Service, or OMIS, is a charged service delivered by UK embassies and consulates overseas. It can include a report about an overseas market, or help identifying and contacting possible customers or business partners. S9a1 - Have you heard of this service before? | | Yes | 1 | |--------------|--------|------| | No | | 2 | | (Don't know) | 3 | | S9a2 - And would you be interested in using this service? | | Yes | 1 | |--------------|--------|------| | No | | 2 | | (Maybe) | 3 | | | (Don't know) | 6 | | ## Itas UK Trade & Investment employ a number of International Trade Advisors, who are based in the UK and provide one-to-one advice to help firms develop their overseas business. They can also provide referrals to other support or specialist advice. S9c1 - Have you heard of this service before? | | Yes | 1 | |--------------|--------|------| | No | | 2 | | (Don't know) | 3 | | S9c2 - And would you be interested in using this service? | | Yes | 1 | |--------------|--------|------| | No | | 2 | | (Maybe) | 3 | | | (Don't know) | 6 | | ## Meet The Buyer Event UK Trade & Investment put on events in the UK that enable attendees to have one-to-one meetings with relevant high-profile overseas businesses, and also offer wider networking opportunities. These events are facilitated by experts with knowledge of both the overseas market and the industry. S9d1 - Have you heard of this type of event before? | | Yes | 1 | |---------------------------------------------------------------------|--------|------| | No | | 2 | | (Don't know) | 3 | | | | | | | S9d2 - And would you be interested in attending this type of event? | | | | | | | | Yes | 1 | | | No | | 2 | | (Maybe) | 3 | | | (Don't know) | 6 | | ASK ALL Y8 - Thinking about your overseas business and plans, which country would it be most useful to get some form of external support about? AIM FOR SINGLE CODE BUT MULTICODE ALLOWED INTERVIEWER NOTE: IF RESPONDENT ISN'T SURE OR ISN'T INTERESTED IN SUPPORT THEN DO NOT PUSH - IT'S FINE TO USE THE 'DON'T KNOW' OR 'NONE' OPTIONS CATI TO SHOW LIST OF MOST COMMON MARKETS, PLUS: Other (SPECIFY) .............................................................. (None/not interested in external support) (Don't know) Questions deleted from Section Y - Y5, Y6 ## Section C: Impact & Outcomes IF RECEIVED ANY SUPPORT (CODES 1-95 AT X1) EXCEPT DO NOT ASK IF ONLY MENTIONED 'CERTIFICATE OF ORIGIN' (CODE 11 AT X2a) OR IF RECIEVED LESS THAN 1 HOUR OF SUPPORT (CODE 2 AT X2d) C7 - I'd now like to focus again on the assistance or support you have received from <SUPPORT PROVIDER> in the last 2 years in relation to doing business overseas. I'm going to read out a list of ways in which your business may benefit from this support and I would like you to tell me whether this is a benefit that you have experienced or expect to experience as a direct result. So, firstly… STATEMENTS TO BE RANDOMISED WITHIN GROUPS. ALWAYS ASK GROUP 1 FIRST, RANDOMISE ORDER OF GROUPS 2-3. GROUP 1 - BARRIERS TO MARKET ACCESS OVERCOME (a) Have you, or will you, gain access to prospective customers, business partners or other people that you would otherwise have been unable to meet (as a result of the assistance from <SUPPORT PROVIDER>) (c) Have you, or will you, improve your company's profile or credibility (as a result of the assistance from <SUPPORT PROVIDER>) (e) Have you, or will you, gain access to information that you would otherwise have been unable to come by (as a result of the assistance from <SUPPORT PROVIDER>) GROUP 2 - INCREASED SKILLS (h) Have you, or will you, gain the confidence to either explore a new market or expand in an existing market (as a result of the assistance from <SUPPORT PROVIDER>) (i) Have you, or will you, improve your knowledge of the competitive environment in an overseas market (as a result of the assistance from <SUPPORT PROVIDER>) GROUP 3 - CHANGED BEHAVIOUR (& MISCELLANEOUS) (l) Have you, or will you, introduce new products or services or improve any of your existing ones (as a result of the assistance from <SUPPORT PROVIDER>) AS NECESSARY By 'products and services' I mean everything that your business offers (t) Have you, or will you, make improvements to your new product or service development strategy (as a result of the assistance from <SUPPORT PROVIDER>) (n) Have you, or will you, improve the way you do business in overseas markets (as a result of the assistance from <SUPPORT PROVIDER>) (o) Have you, or will you, improve your overseas marketing strategy (as a result of the assistance from <SUPPORT PROVIDER>) | Yes | 1 | |--------------|------| | No | 2 | | (Don't know) | 3 | FOR EACH THAT RESPONDENT AGREES IS A BENEFIT (ASK C8 DIRECTLY AFTER C7) C8 - And to what extent do you feel that this has been, or will be, a benefit of the assistance you received? Please give me a score of 1 to 5, where 1 means 'to no extent' and 5 means 'to a critical extent'. READ OUT AS NECESSARY | 1 - To no extent | 1 | |-------------------------|------| | 2 | 2 | | 3 | 3 | | 4 | 4 | | 5 -To a critical extent | 5 | | (Don't know) | 6 | ASK IF RECEIVED ANY SUPPORT (CODES 1-95 AT X1) BUT DO NOT ASK IF ONLY MENTIONED 'CERTIFICATE OF ORIGIN' (CODE 11 AT X2a) OR IF RECIEVED LESS THAN 1 HOUR OF SUPPORT (CODE 2 AT X2d) OR IF NO (CODE 2) AT EVERY C7 STATEMENT C12 - And as a result of the assistance you have received from <SUPPORT PROVIDER>have you, or do you expect to, increase your sales or win any new orders? Yes ................................................................................... 1 No ................................................................................... 2 (Don't know) ..................................................................... 3 ASK IF ONLY MENTIONED CERTIFICATE OF ORIGIN (CODE 11 AT X2a) OR LESS THAN 1 HOUR (CODE 2 AT X2d) C10 - Thinking now specifically about the support you have received from <SUPPORT PROVIDER> in relation to doing business overseas. Do you think that this support will have any positive impact on the performance of your firm? Yes ................................................................................... 1 No ..................................................................................... 2 (Don't know) ..................................................................... 3 IF RECEIVED ANY SUPPORT (CODES 1-95 AT X1) BUT DO NOT ASK IF NO (CODE 2) AT EVERY C7 STATEMENT C9 - Thinking about all of the benefits you've just mentioned, which of the following best describes your view on the contribution the support you have received from <SUPPORT PROVIDER> has made to your firm, or is expected to make to your firm? READ OUT - SINGLE CODE | You would achieve similar results anyway | 1 | |-------------------------------------------------------|------| | You would achieve similar results, but not as quickly | 2 | | You would achieve some but not all of the results | 3 | | You probably would not achieve similar results | 4 | | You definitely would not achieve similar results | 5 | | (None of these) | | ## Questions Deleted From Section C - C1, C2, C3, C7f, C7k, C7m, C7q, C7r, C7s, C10a, C10b, C10c ## Section F: Profiling Ask All Finally, I'D Just Like To Ask You Some Questions About Your Business - These Are Just To Classify Your Answers For Analysis Purposes. ASK ALL EXCEPT 'NOT YET TRADING' (CODE 9 AT S1c) F1a- Which of these best describes the current status of your business? READ OUT - MULTICODE | An independent business with no subsidiaries | | 1 | |-------------------------------------------------|-----|------| | A business with subsidiaries | 2 | | | A subsidiary of another business | 3 | | | (A not for profit organisation) | | 4 | | (Other (SPECIFY)) | 95 | | | (Don't know) | 97 | | | (Refused) | | 98 | IF CODES 1-3 AT F1a F1b - Can I just check, is the business UK or foreign-owned? | UK-owned | | 1 | |------------------------------|-----|------| | Foreign-owned | 2 | | | (Joint UK and foreign-owned) | | 3 | | (Don't know) | 4 | | TEXT IF CODE 3 AT F1a From now on when I ask about your business I'd like you to answer just for the subsidiary in which you work. ASK ALL EXCEPT 'NOT YET TRADING' (CODE 9 AT S1c) F2a - How many people are currently employed by your business within the UK? AS NECESSARY: Please include both full and part-time staff. AS NECESSARY: Please only include UK-based staff INTERVIEWER NOTE - If the respondent owns the company and does not employ anyone else, please code as zero employees. Write in number (0+): (Refused) (Don't know) - PROMPT WITH RANGES SHOW IF ZERO ENTERED AT F2a INTERVIEWER NOTE - Please confirm that the firm has NO employees in the UK. If they are unsure or don't know please code accordingly rather than putting zero ASK IF DON'T KNOW AT F2a F2b - If you had to estimate, approximately how many people are employed by your business in the UK? READ OUT AS NECESSARY No employees .................................................................. 1 1-4 .................................................................................... 2 5-9 .................................................................................... 3 10-19 ................................................................................ 4 20-49 ................................................................................ 5 50-99 ................................................................................ 6 100-199 ............................................................................ 7 200-249 ............................................................................ 8 250-499 ............................................................................ 9 500 or more ...................................................................... 10 (Don't know) ..................................................................... 11 (Refused) .......................................................................... 12 IF F2a>250 OR IF F2b=9-10 F2c - So can I just confirm that you have <INSERT RESPONSE FROM F2a/b> employees based in the UK? Yes ................................................................................... 1 No ................................................................................... 2 IF NO, CATI TO ROUTE INTERVIEW BACK TO F2a & INTERVIEWER TO AMEND ASK ALL EXCEPT 'NOT YET TRADING' (CODE 9 AT S1c) F3a - <IF NOT ESTABLISHED IN LAST YEAR (S1c = NOT1 AND NOT9) Can I ask, what is the current annual turnover of your business / IF ESTABLISHED IN LAST YEAR (S1c =1 OR 9) What do you anticipate will be the turnover of your business in the first year of trading>? AS NECESSARY By this I mean your annual sales, income or receipts. IF SUBSIDIARY (CODE 3 AT F1a): AS NECESSARY Please just give me the turnover of the subsidiary in which you work IF HAS SUBSIDIARIES (CODE 2 AT F1a): AS NECESSARY Please give me the turnover for the UK part of your business, but including revenues from overseas sales made from the UK Write in amount in £ (£0+): (Refused) (Don't know) - PROMPT WITH RANGES CATI TO VALIDATE AMOUNT ENTERED USING RANGES IN F3b ASK IF YES AT F5a F5d - And are these new products or services…? READ OUT - SINGLE CODE ADD AS NECESSARY: By completely new I mean that, to the best of your knowledge, they have not been introduced by anyone before you | | Just new to your business | 7 | |-----|--------------------------------------------------------------------|-------| | | New to your industry or sector 8 | | | | Or are they completely new to the world | 9 | | | (Some are just new to the business and some are completely new) 10 | | | | (Don't know) 97 | | ASK ALL F5f –Have you either applied for or obtained any patents, trademarks or other legal protection, either in the UK or overseas, for any of your products or services? | | Yes | 1 | |--------------|--------|------| | No | | 2 | | (Don't know) | 3 | | IF RECEIVED ANY SUPPORT & INVOLVED IN NPD/R&D ((CODES 1-95 AT X1) & (CODE 1 AT C7i, C7l, C7t OR C12) & (F3c=2-6 OR F3d=2-6 OR F4=1)) BUT DO NOT ASK IF ONLY MENTIONED 'CERTIFICATE OF ORIGIN' (JUST CODE 11 AT X2a) OR IF LESS THAN 1 HOUR (CODE 2 AT X2d) OR IF NON-ADDITIONAL (CODE 1 AT C9) F24a –Thinking again about the assistance you have received from <SUPPORT PROVIDER> in relation to doing business overseas. As a result of this assistance, have you or will you increase the number of people engaged in, or the total time devoted to, R&D or new product or service development? | | Yes | 1 | |--------------|--------|------| | No | | 2 | | (Don't know) | 3 | | IF INCREASED R&D STAFF/TIME (CODE 1 AT F24a) F24b - And as a result of the assistance from <SUPPORT PROVIDER>, have you or will you increase the amount you spend on R&D or new product or service development? AS NECESSARY Please include expenditure on salaries, wages and staff time as well as equipment, and any expenditure on 'bought-in' product development services. Yes ................................................................................... 1 | No | | |--------------|-----| | (Don't know) | 3 | ASK IF BUSINESS OVER 1 YEAR OLD AT S1c (2-8 OR 10-11) F8 - <IF BUSINESS MORE THAN 5 YEARS OLD (CODES 6-8 OR 10-11 AT S1c) Thinking about your business as a whole, in the last FIVE years would you say that your business has…? / IF BUSINESS 1-5 YEARS OLD (CODES 2-5 AT S1c) Thinking about your business as a whole, since your business was established would you say that it has…?> READ OUT INTERVIEWER TO ADD AS NECESSARY This is just your overall impression of the growth of the business taking account of factors like size, number of employees, turnover and sales. | Remained the same size | | 1 | |---------------------------|-----|------| | Become smaller | | 2 | | Grown moderately | 3 | | | Or, grown substantially | | 4 | | (Don't know) | 5 | | | (Refused) | | 6 | ASK ALL F9 - And, what growth objectives do you have for the business over the next FIVE years? Do you plan to…? READ OUT | Remain the same size | | 1 | |-------------------------|-----|------| | Become smaller | | 2 | | Grow moderately | 3 | | | Or, grow substantially | | 4 | | (Don't know) | 5 | | | (Refused) | | 6 | ASK ALL F11 - Can I just check, do you have a current, written business plan? | Yes | 1 | |-----------------------------------------------|------| | No | 2 | | (In progress/currently writing business plan) | | | (Don't know) | 6 | | (Refused) | | IF HAVE PLAN OR IN PROGRESS (CODES 1 OR 5 AT F11) F12 - <IF F11=1 **Does** / IF F11=5 Will> the plan contain any targets relating to revenues from overseas sales? | Yes | 1 | |--------------|------| | No | 2 | | (Don't know) | 3 | | (Refused) | | ASK ALL CURRENTLY EXPORTING (CODE 1 AT S2) F21a - Can I just check, does your firm use export credit insurance? SINGLE CODE INTERVIEWER NOTE: IF RESPONDENT DOES NOT KNOW WHAT EXPORT CREDIT INSURANCE IS THEN CODE AS 'NO' | | Yes | 1 | |--------------|--------|------| | No | | 2 | | (Don't know) | 3 | | IF USE EXPORT CREDIT INSURANCE (CODE 1) AT F21a F21b - And over the last 6 months, have you had any difficulties in accessing export credit insurance? SINGLE CODE INTERVIEWER NOTE: IF THE RESPONDENT SAYS THEIR EXPORT CREDIT INSURANCE HAS BEEN REDUCED, THEN CODE AS 'YES' | | Yes | 1 | |--------------|--------|------| | No | | 2 | | (Don't know) | 3 | | | (Refused) | | 4 | ASK ALL EXCEPT 'NOT YET TRADING' (CODE 9 AT S1c) F14 - How many owners, partners or directors are there in day-to-day control of the business? (at this site) PROBE FOR BEST ESTIMATE Enter number (Don't know) (Refused) IF ANY NUMBER GIVEN AT F14 (1+) F15 - < IF 2+ AT F14 **How many of these owners, partners, or directors /** IF 1 AT F14 Does this person > **have degree level or equivalent qualifications?** PROBE FOR BEST ESTIMATE INTERVIEWER NOTE: IF THERE IS JUST 1 PERSON ENTER 1 IF YES Enter number (ALLOW FOR ZERO) (Don't know) (Refused) ASK ALL F26 - Finally, does your firm belong to any of the following? READ OUT. CODE ALL THAT APPLY. | The Chamber of Commerce | | 1 | |----------------------------------------------------|-----|------| | Any trade associations or sector bodies | | 2 | | Any other organisations representing business such | | | | as the CBI or the Federation of Small Businesses | | 3 | | None of these | 4 | | | (Don't know) | 5 | | ASK ALL F17 - That's the end of the interview, thank you very much for taking part. Would you be willing to take part in any future research on this topic conducted on behalf of UK Trade & Investment or the Department for Business, Innovation & Skills (BIS)? Yes ................................................................................... 1 | No | | |--------------|-----| | (Don't know) | 3 | IF CODE 1 AT S9A2 OR S9C2 OR S9D2 F20 - You mentioned earlier that you may be interested in some of the services offered by UKTI. Would you like to be emailed some more information on these services? IF YES, RECORD EMAIL ACCURATELY & READ IT BACK LETTER BY LETTER TO CONFIRM. | | Yes (RECORD EMAIL ADDRESS) | 1 | |----|-------------------------------|------| | No | | 2 | IF CODE 1 AT F20, THEN CATI TO AUTOMATICALLY SEND OUT EMAIL WITH INFO ON UKTI SERVICES AT THIS POINT ASK ALL F18 - Finally as proof of this interview please could I just confirm your business postcode? CATI TO DISPLAY POSTCODE IF AVAILABLE - AMEND IF MISSING OR INCORRECT ASK ALL F19 - And may I take a note of your name? WRITE IN…………………………………………… ## Standard Thank & Close Questions deleted from Section F - F1c, F1d, F5b, F5c, F5e, F5g, F5h, F5i, F10a, F10b, F10c, F13, F16, F20a, F20b, F20c, F20d, F22a, F22b, F23a, F23b, F23c, F25a, F25b, F25c

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## The Networks For Change Fund Frequently Asked Questions About Collaborate And Innovate What Is The Collaborate And Innovate Fund? The Collaborate and Innovate funding programme is funded by The National Archives. The programme is focused on both empowering archives to use creativity and innovation to develop ideas and solutions, and on encouraging the work of networks, leading to outcomes that will make a positive change to archives in the UK. Collaborate and Innovate supports a drive towards collaborative approaches to problem solving, innovative practice and the development and testing of original ideas. This will be delivered through two funding streams: the Networks for Change Fund and the Archive Testbed Fund. ## What Are The Aims And Outcomes Of Collaborate And Innovate? Aims 1. To empower archives to use creativity and innovation to develop ideas and solutions, especially for the key themes of digital capacity, impact and resilience 2. To enable grantees to undertake pilot projects which might not 'succeed' in the traditional fashion and to share the learning outcomes of all projects funded 3. To increase resilience, efficiencies and collaboration through the development of strong archive service networks 4. To help archives build fundraising skills and confidence through the application process. 5. To manage the fund in an objective and transparent manner. ## Outcomes 1. Innovative, creative approaches will be piloted and tested. 2. The learning outcomes of pilot projects will be made freely accessible to the entire archive sector. 3. New networks will be created where they are most needed and beneficial to the sector. 4. Existing networks will be strengthened, developing robust and sustainable bodies capable of delivering shared interest projects. ## 5. Archivists and sector professionals will have the confidence to advocate for innovative projects and secure new funding to further support such projects. ## How Much Funding Is Available Via The Innovate & Collaborate Programme? In year one £80,000 is available, which will be split between the two funds: £60,000 is available via the Networks for Change Fund £20,000 is available via the Archive Testbed fund Since both of the streams are rolling programmes, this funding will be allocated throughout the year evenly: Networks for Change will fund 4 grants at a maximum value of £15,000 each Archive Testbed Fund will fund 4 grants at a maximum value of £5,000 ## Who Is Administering The Fund? The Collaborate and Innovate funding programme will be administered by Beth Astridge and Lucy Davis, both of whom currently administer the Archives Revealed funding programme. Our contact email address is: candi@nationalarchives.gov.uk. ## How Is Collaborate And Innovate Different From Archives Revealed? The Archives Revealed programme is a partnership programme with the Pilgrim Trust with funding contributed from other trusts and foundations, including the Wolfson Foundation. Archives Revealed consists of two funding schemes focused on opening up collections and making them more accessible - Cataloguing Grants and Scoping Grants. The Collaborate and Innovate programme is currently funded exclusively by The National Archives. The focus of Collaborate and Innovate is in encouraging a collaborative, sustainable and innovative archive sector that can utilise existing sector skills to embrace challenges, and work together to achieve positive change by developing creative and innovative ideas and solutions. There is a key difference in geographical coverage between these funds as Archives Revealed covers archives across the UK, whereas Collaborate and Innovate can only fund archives based in England, reflecting The National Archives' remit. ## Can I Apply To Archives Revealed Programmes Or The Archives Testbed Fund If I Have Received Funding From Networks For Change? (Or Vice Versa) Yes - you can apply to the Archives Revealed programme if you have made a successful or unsuccessful application to the Collaborate and Innovate programme. If you are part of a network that has made an application to the Networks for Change Fund, and your archive service also wishes to make an application to the Archive Testbed Fund, this is also permissible. If you are in receipt of an Archive Testbed Grant and your organisation is part of network that would like to apply to Networks for Change Fund, which is fine too. ## Can I Apply To The Collaborate And Innovate Funds Again If My First Application Is Not Successful? Yes - you can apply to the Collaborate and Innovate fund again if you are unsuccessful the first time. You must have a feedback call with the Sector Grants and Development team if you wish to do so. If your application is not successful on the second attempt, we do not advise that you apply to the scheme again for the same project. ## Can I Get Feedback On My Innovate And Collaborate Application? Yes - we will provide every applicant, whether successful or unsuccessful to the fund, with application feedback. Feedback will usually be delivered during a prearranged telephone call. ## About Networks For Change What Is The Networks For Change Fund? The Networks for Change scheme is one of two streams within The National Archives' Collaborate and Innovate funding programme. The Networks for Change scheme provides grants of up to £15,000 to encourage the development of collaborative networks of archive services as part of a strategic approach to support the ongoing delivery of services, resilience and management of collections. The National Archives wishes to encourage collaboration amongst archive services by providing funding that leads to strong archive service networks. These networks will deliver beneficial solutions, models and approaches, which contribute to an efficient, resilient and capable archive sector. ## How Much Money Is Available For Applicants? Applicants can apply for grants of up to £15,000. The programme has a modest total fund each year and will be able to fund 4 to 6 different projects. ## What Is Funded By The Networks For Change Scheme? The Networks for Change scheme provides grants to support collaboration in active networks of archive services. The scheme has been designed to provide support at various stages in the development and operation of a network. This includes assisting with the establishment of the network in its early stages through to supporting development projects undertaken by robust and stable networks. ## Who Can Apply Am I Eligible To Apply To Networks For Change? Applications to the Networks for Change Fund can come from all parts of the archive sector including local authority, university, charity, and business archives, as long as the following eligibility criteria can be met:  Network members must hold and manage an archive collection  Network members must make their collections accessible to people outside their organisation  Network members must have access to professional archive expertise  The majority of participating organisations must have the potential to be an accredited archive service, if they are not already  New networks must provide evidence that participating archives have the support of senior management in their parent organisations ##  The application must include provision for 50% match funding from other sources in cash or in-kind support (which can be spread over two years)  Nominated member with ability to receive and manage the grant and match funds, and to meet auditing and reporting requirements  Nominated member with ability to procure and contract expert facilitators and consultants  Nominated member to provide administrative duties for the network, for example including preparation of meeting papers and organisation of meetings.  This fund can only make awards to organisations based in England. Archive services in Wales, Scotland and Northern Ireland are not currently eligible for the Collaborate and Innovate programme ## I Am A Not-For-Profit Organisation But I Am Not A Registered Charity - Can I Still Apply To Networks For Change? We advise applicants who are a not-for-profit but are not a registered charity to talk to us in advance of their application to discuss the eligibility of their organisational governance and operating structure. Please contact us on: candi@nationalarchives.gov.uk. ## I Would Like To Start A New Network Of Archive Services, But I Have Not Yet Found Any Participants For My Network. Can You Help With This? We expect that applicants will already have developed relationships with potential members of a new network before making an application for a grant. Potential network members must also demonstrate commitment to participation in the network for the application to be successful. If you have a good idea for a new network, but do not have the agreement of archive services to participate in the network, please contact the Regions and Networks Team to discuss this further. However, please be aware that you will need to have established the participants in the network before an application can be made. ## What Is A Collaborative Network Of Archive Services? A collaborative network of archive services consists of multiple archive services who share a common vision, goals and purpose, using pooled resources, knowledge and expertise to effect positive change and improvement to collective leadership, service delivery, and collections management. Active participation in archive networks can have a positive impact on network members in the following ways: ## A successful collaborative network encourages the sharing of information, advocacy, learning experiences, expertise, equipment and approaches to common problems, leading to projects and initiatives designed to benefit all in the network rather than a single archive service. The benefits of participating in the network can include more efficient use of resources, raising standards, increased strength and resilience and the development of innovative ideas. Network collaboration can increase the impact of archive service activities and lead to the delivery of effective products and services that demonstrate clear outcomes and increased value for money. While there is no standard structure for a collaborative archive network, we expect that a network will have the following key features:  Consist of multiple archive services - usually more than two  Members of the network share a common vision, goals and purpose - we expect that, when a network is asking for funding to become established, the first activities will centre on working with members, senior managers and stakeholders to define the strategic objectives that will be achieved by the network.  Have a defined management and governance structure - networks can be structured in different ways depending on what works best for that individual network.  Work together to develop business plans and actions plans that enable the network to initiate mutually beneficial projects that lead to positive change for the network and the individual archive service members. ## I Am Part Of A Network Of Archives, And I Have An Idea For A Great Project, But This Project Will Only Affect Me And My Archives Service. Can I Apply For A Development Project Through Networks For Change? No. Development projects that are eligible as part of the Networks for Change scheme should be collaborative projects across a network of archive services - involving a number of archive services. If your project will only involve you or your individual archive service then this will not be eligible for Networks for Change funding. You may wish to look at the Archives Testbed Fund as an alternative funding scheme if your project meets the criteria. ## The Application Process When Will The Scheme Be Open To Applications? The Networks for Change scheme is an open scheme with a rolling deadline. This means applications can be submitted at any time. ## Is There A Deadline For Applications? No, the scheme is always open and therefore applications can be submitted at any time. The panel meet to assess applications 3 times per year and therefore there will be three cut off dates when applications will be sent to the panel for assessment. These dates are advertised on our website. ## How Do I Make An Application? All applications need to be made online. The link to our online application software can be found on the Collaborate and Innovate webpages. ## There Are Various Members Of The Network - Which Member Should Make The Application? A nominated member of the network should make the application on behalf of the network using our online application system. You may want to select a nominated member with the ability to:  receive and manage the grant and match funds, and to meet auditing and reporting requirements  procure and contract expert facilitators and consultants  provide administrative duties for the network, for example including preparation of meeting papers and organisation of meetings. ## Where Can I Find Out More Information About Making An Application? Full guidance on how to make an application is available on our website. Please read the guidance fully before making an application. The assessment criteria which the panel work to is based on the guidance, therefore we strongly advise that you refer to the guidance when writing your application. ## I Am Not Sure That The Project I Have In Mind Will Be Appropriate For A Networks For Change Application? How Can I Find Out More? You can read through the application guidance which is available at www.nationalarchives.gov.uk/finding-funding/collaborate-and-innovate/help-withyour-application. You can also give us a call to talk through your project and find out whether it is suitable for a Networks for Change application. Please contact us at candi@nationalarchives.gov.uk. You can also contact the relevant Sector Development Manager for your region to discuss a project idea before submitting your application to Networks for Change. ## My Network Has An Idea For A New Project But It Will Cost More Than The Upper Limit For Applications? What Should We Do? Networks for Change is happy to provide funding as part of a larger project when this is appropriate for the archive network and the project you are proposing. Networks are expected to provide 50% match funding from other sources or from in-kind support. You would need to provide evidence of the other sources of funding received as part of your application. However, we are unable to pledge funding to a project that has no confirmed funding from elsewhere. Please give us a call to discuss your project and application if you think you need funding from elsewhere. ## My Network Needs Some Assistance With Improving Our Management Structure, But We Are Not Sure How To Approach This In Relation To An Application? How Do We Do This? If you require assistance or advice in how to develop the management structure of your network, please contact the Regions and Network Team. The Sector Development Managers in this team can provide early leadership and strategic development support in establishing a new project or network and will be able to provide advice to applicants. ## Can I Speak To Anyone About My Application? We would be happy to talk to you about your project and your application. Please contact us at candi@nationalarchives.gov.uk. ## Assessment How Will Applications Be Assessed? Applications will be assessed by an internal panel of staff from across The National Archives. Questions will be scored according to set criteria, and these scores will be used as guidelines in panel discussions. ## Who Will Be On The Assessment Panel? The assessment panel consists of four panel members from different departments across The National Archives. In addition a guest panel member will be invited to assess each round, based on the type and subject matter of the applications received. This approach will ensure we have sufficient expertise to enable appropriate and successful assessment in each round, especially if a specialist topic is involved. As we develop a better idea of the type and range of applications that we receive, we widen our assessment panel to include external representation. ## When Will I Hear About The Outcome Of My Application? The panel meets three times a year to consider applications, and there will be a cutoff date in each round when applications will be sent to the panel for assessment. These dates will be advertised on our website: www.nationalarchives.gov.uk/findingfunding/collaborate-and-innovate/networks-for-change-fund/deadlines-and-key-dates It will usually be around 6 weeks after each cut-off date before awards are announced. ## Monitoring And Evaluation What Sort Of Monitoring And Evaluation Will Networks For Change Undertake With Successful Projects? Successful applicants will be asked to complete short reporting and monitoring forms demonstrating the outcomes and learning experiences gained from undertaking the funded project. You will be encouraged to share your learning outcomes and experiences with the rest of the archive sector. The National Archives may organise events and activities to promote the programme and celebrate its impact, and you may be invited to participate in those events and activities. The National Archives may also publish information about projects undertaken with Networks for Change funding to share the learning outcomes with the rest of the archive sector.

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Information guide: adolescent to parent violence and abuse (APVA) ## Contents Page Introduction 3 What is APVA? 4 Prevalence 5 Reporting/Disclosing APVA 5 Explanations of APVA 6 Challenges of APVA Responding to cases 7 General advice for practitioners How to respond: Healthcare 10 14 How to respond: Education 15 How to respond: Social Care 18 How to respond: Housing 22 How to respond: Police 24 How to respond: Youth Justice Services 27 Useful resources 29 Acknowledgements 34 ## 1. Information Guide: Adolescent To Parent Violence And Abuse (Apva) What Is Adolescent To Parent Violence And Abuse? 1.1. Adolescent to parent violence and abuse (APVA) may be referred to as 'adolescent to parent violence (APV)' 'adolescent violence in the home (AVITH)', 'parent abuse', 'child to parent abuse', 'child to parent violence (CPV)', or 'battered parent syndrome'. 1.2. The cross-Government definition of domestic violence and abuse is any incident or pattern of incidents of controlling, coercive or threatening behaviour, violence or abuse between those aged 16 or over who are or have been intimate partners or family members regardless of gender or sexuality. This can encompass, but is not limited to psychological, physical, sexual, financial and emotional abuse. While this definition applies to those aged 16 or above, APVA can equally involve children under 16, and the advice in this document reflects this. 1.3. There is currently no legal definition of adolescent to parent violence and abuse. However, it is increasingly recognised as a form of domestic violence and abuse1 and, depending on the age of the child, it may fall under the government's official definition of domestic violence and abuse2. 1.4. It is important to recognise that APVA is likely to involve a *pattern of behaviour*. This can include physical violence from an adolescent towards a parent and a number of different types of abusive behaviours, including damage to property, emotional abuse, and economic/financial abuse. Violence and abuse can occur together or separately. Abusive behaviours can encompass, but are not limited to, humiliating language and threats, belittling a parent, damage to property and stealing from a parent and heightened sexualised behaviours. Patterns of coercive control are often seen in cases of APVA, but some families might experience episodes of explosive physical violence from their adolescent with fewer controlling, abusive behaviours3. Although practitioners may be required to respond to a single incident of APVA, it is important to gain an understanding of the pattern of behaviour behind an incident and the history of the relationship between the young person and the parent. 1.5. It is also important to understand the pattern of behaviour in the family unit; siblings may also be abused or be abusive. There may also be a history of domestic abuse, or current domestic abuse occurring between the parents of the young person. It is important to recognise the effects APVA may have on both the parent and the young person and to establish trust and support for both. 1.6. The first large scale study of adolescent to parent violence and abuse in the UK was conducted by the University of Oxford (see http://apv.crim.ox.ac.uk/) between 2010 and 20134. Practitioners and parents interviewed in this study described the abuse as often involving a pattern of aggressive, abusive and violent acts across a prolonged period of time. As well as physically assaulting their parents, those interviewed said their teenage children had smashed up property, kicked holes in doors, broken windows, had thrown things at their parents and made threats. Verbal abuse and other controlling behaviours were also commonly present. This pattern of behaviour creates an environment where a parent lives in fear of their child and often curtails their own behaviour in order to avoid conflict, contain or minimise violence. This study found that there was no single explanation for this problem. Families described a range of reasons which they saw to be the cause for APVA, including substance abuse, mental health problems, learning difficulties, or a family history of domestic violence or self-harm. Some families were at a loss to explain why their child was so aggressive towards them, having raised other children who did not display such behaviour5. ## Prevalence Of Apva 1.7. APVA is widely recognised by practitioners who work with families across a range of support services. However, it is only very recently that policy has begun to be developed to specifically address the problem. As a result, it is not usually officially documented and therefore does not currently appear in any public records or figures. Evidence of the extent of the problem is therefore piecemeal and developing incrementally. 1.8. The national charity *Family Lives* runs a helpline for parents, which receives substantial numbers of phone calls from parents experiencing violence from their children. In 2008 a survey revealed that 7 per cent of 30,000 calls to the helpline were about physical aggression from children to their parents6, mostly from adolescents aged 13-15 years and usually targeted at mothers. In 2010 it was reported that between June 2008 and June 2010, the helpline received 22,537 phone calls from parents reporting aggression from their children, 7,000 of which involved physical aggression7. 1.9. APVA is not specifically flagged on police or health and social care databases and so it is difficult to count the number of reported cases on a national level. A recent analysis of Metropolitan Police Service statistics on adolescent to parent violence provides an insight into the demographic characteristics of families experiencing adolescent to parent violence and abuse as well as the type of incidents reported to the police across London for a one year period8. 1.10. The analysis involved all cases of APVA reported to the Metropolitan Police Service over a one year period from April 2009 to March 2010. In this analysis, adolescent to parent violence was defined as 'any acts of violence, threats of violence and criminal damage in the home by an adolescent aged 13-19 years towards a parent or carer'. The study only counted incidents reported to the police in the Greater London area, defined as offences, and recorded. The figures are therefore likely to represent only a very small proportion of actual incidents of APVA in that year. In the absence of more in-depth UK research into APVA, it is not possible to gauge the extent of under-reporting; however, extensive research into other forms of family violence such as intimate partner violence and child abuse tells us that the 'dark figure' of hidden crime is particularly large for violence and abuse occurring in the domestic setting9. Police data are also known to be influenced by variations in recording practices10. Despite these caveats, this is the first systematic evidence of the problem of APVA in the UK and the first analysis of large-scale official data. 1.11. In a one year period, the study found 1,892 incidents of violence, threats of violence, or criminal damage in the home, perpetrated by a 13-19 year old towards their parent(s)/carer(s). Adolescents reported to the police for violence against their parents were overwhelmingly male (87.3 per cent) and parent victims reporting the violence were overwhelmingly female (77.5 per cent). The majority of reported cases of adolescent to parent violence involved a son-mother relationship (66.7 per cent). Son-father accounted for 20.6 per cent; daughter-mother 10.8 per cent; and daughter-father just 1.9 per cent of reported cases. This tallies with previous international research suggesting that adolescent to parent violence is predominantly a son-mother phenomenon, although it is important to recognise the possible reporting bias relating to gender and social norms. ## Reporting/Disclosing Apva 1.12. It is important to recognise that incidents of APVA reported to the police are likely to represent only a small percentage of actual incidents and actual levels are likely to be much higher. All forms of domestic violence and abuse are under-reported11 and parents are, understandably, particularly reluctant to disclose or report violence from their child12. Parents report feelings of isolation, guilt and shame surrounding their child's violence towards them, and fear that their parenting skills may be questioned and that they will be blamed or disbelieved by those to whom they disclose the violence. Many parents worry that their victimisation will not be taken seriously or, if they are taken seriously, that they will be held to account and that their child may be taken away from them and/or criminalised. 1.13. Parents who do decide to disclose their victimisation to support services or to the police find that appropriate help and support is not always available. Parents report mixed responses from the police, which often confirm their fears of being blamed, held to account or disbelieved. Examples show that when police do respond proactively, parents then face a difficult scenario whereby their child may be criminalised as a result of the parent's report and the child may be removed from the family home. This is often not what the parent wishes13. There are however situations where a criminal justice response may be appropriate in the interests of safety, and the parent(s) may support the removal of their child or even ask for it. It is worth noting that appropriate housing is not always available. In instances when this occurs, it is important that agencies ensure that adequate safeguarding is in place and that the right safety plans are put in place. 1.14. Adolescents may also choose not to disclose due to guilt or fear of the social care and justice system. Young people may not understand the impact of their actions and be concerned about the consequences so they may not seek help, allowing the situation to escalate to crisis. ## Explanations Of Apva 1.15. There is no single explanation for APVA and the pathways appear to be complex. Some families experiencing APVA have a history of domestic violence and abuse. In other cases the violence is contextualised with other behavioural problems, substance abuse, mental health problems, learning difficulties, or self-harm. In some cases there are no apparent explanations for the violence and some parents find it difficult to understand why one child is aggressive towards them when their other children do not display such behaviour14. 1.16. APVA also appears to affect all levels of society. Although many parents reporting this form of violence to the police are not in full-time employment and some are struggling with financial and housing problems; others are in professional jobs earning high incomes15. It may be the case that adolescent to parent violence is more likely to be identified in families who are already in contact with support services or the criminal justice system; and/or that such families find it more acceptable to report the problem and ask for help. ## Challenges Posed By Apva 1.17. The problem of APVA poses a number of challenges to the families experiencing it and practitioners who come across it in their work with families. Parents do not know where to go for help and often find that there is simply no appropriate support available in their area. Practitioners across a range of support services may be willing to support families but do not know how to meet their needs and struggle to find information about existing programmes and examples of best practice16. 1.18. A fundamental challenge underpinning these difficulties is the silence surrounding APVA17. The sense of isolation, stigma and shame felt by families experiencing this kind of violence is exacerbated by the lack of official recognition and policy, and also the lack of awareness of APVA the public. 1.19. APVA is a complex problem and the boundaries between 'victim' and 'perpetrator' can be unclear. The violence is often (although not always) contextualised within existing family problems and many 'perpetrators' of violence towards their parents are, or have been victims or secondary victims of domestic violence and abuse or child abuse. It is often difficult to observe or assign labels of 'perpetrator' and 'victim' and there are numerous concerns about criminalising a young person for their behaviour, and the negative impact that this may have on their future life chances. Professionals working with children and young people and parents should seek to identify risk factors early and work together with the family to provide early support to avoid crisis situations. 1.20. It is important that a young person takes responsibility for their behaviour. While the use of out of court disposals in the context of domestic violence and abuse need to be approached with caution, in the context of cases of APVA out of court disposals or a wraparound safeguarding response should be considered alongside a criminal justice response as most parents wish to build and maintain their parent-child relationship and do not want their child criminalised. This means that typical domestic violence and abuse responses holding perpetrators to account may not always be appropriate. Practitioners highlight the need for tailored responses to APVA rather than relying upon generic parenting programmes and also identify the need to move away from the emphasis on parental responsibility and blame18. 1.21. Before any intervention is attempted by practitioners, there needs to be a considered approach reflecting the whole family's dynamics - apparent within the "Troubled Families Report." In Wales, practitioners need to consider the 'Team Around the Family Approach' set out in 'Families First'19. If an intervention is undertaken which aims to halt the violence without reflecting on the wider family issues then the situation can be significantly exacerbated. Practitioners need to consider the family as a system and how its members operate together and consider the use of whole family approaches. Adolescent violence and abuse should not be seen as independent of these dynamics. 1.22. A key issue raised by parents and practitioners working with families experiencing APVA is the need to develop clear and specific policy on this form of family violence. This information guide represents a first stage in this process in the expectation that individual services will develop more detailed, specific guidance in the future. ## 2. How To Respond To Apva: General Advice For All Practitioners 2.1. It is important that children's services and domestic violence and abuse services develop protocols for joined-up working and that appropriate referral pathways are identified. ## Safeguarding 2.2. It is important that a young person using abusive behaviour against a parent receives a safeguarding response. The statutory guide to inter-agency working to safeguard and promote the welfare of children, 'Working Together to Safeguard Children' sets out what professionals and organisations need to do to safeguard children. Responders should also use their discretion and professional judgement when addressing cases of APVA.20 2.3. Local Safeguarding Children Boards (LSCBs) play an important role in challenging safeguarding practice and assessing the effectiveness of safeguarding services in their area. 2.4. Each local authority is required to set up an LSCB to bring key agencies such as police, probation, youth justice, heath, education and social care together to make sure local safeguarding of children is effective. In addition to coordinating and ensuring the effectiveness of what is done by each agency to safeguard and promote the welfare of children, LSCBs also have a number of key things they must do which are set out in legislation. 2.5. These include agreeing local safeguarding policies and procedures for how the different agencies work together, contributing to local plans, communicating to local organisations and the community, ensuring safeguarding training is provided, and monitoring what the LSCB members do and how effective local safeguarding is. ## Risk Assessment With Young People 2.6. There are specific factors to consider when working with young people who are involved in adolescent to parent abuse: ## Environmental Factors: - Is there a history of domestic abuse within the family unit? - Is the young person in an abusive intimate relationship? - Is there a need for adult services' involvement in the family? - Is the young person being coerced into abusive behaviours? - Is the young person displaying heightened sexualised behaviours? - Is the young person associating with peer groups who are involved in offending or older peers? - Are Children's Services currently involved with the family? - Should a risk assessment be conducted on the siblings to see if they are at risk of violence and/or contributing to the violence? - Is the young person isolated from people and services that could support them? - Is there a risk that the young person is being bullied? - Are there BAME issues that need to be considered or that may affect a victim's disclosure? ## Emotional Self-Regulation - Does the young person have difficulties in forming relationships? - Does the young person have mental health issues, self-harm or suicidal tendencies? - Is the young person disengaged from education? - Is the young person misusing substances? - Does the young person display an obsessive use of violent games or pornography? - Does the young person have poor coping skills or engage in risk taking behaviours? - Does the young person they identify their behaviour as abuse? 2.7. Young people may need support from a wide range of local agencies. Where a young person could benefit from coordinated support from more than one agency (e.g. education, health, social care, and police) there should be an inter-agency assessment. These early assessments (such as the use of the common assessment framework (CAF)) should identify what help the young person requires to prevent their needs and behaviour escalating to a point where intervention would be needed via a statutory assessment under the Children Act 1989. Things to consider: - Develop local Violence Against Women and Girls (VAWG) strategies with specific reference to young people and be clear who is taking the lead for this work; - Encourage close and effective joint working between Multi-agency Risk Assessment Conferences (MARAC) and services that safeguard children, such as the MASH (Multi Agency Safeguarding Hub) which now exist in many local authority areas; - Think about how you will prioritise support if there are multiple issues in the young person's life i.e. relationship abuse, gang involvement; - Explore how you can encourage joined up working and appropriate information sharing. Multi Agency Risk Assessment Conference (MARAC) 2.8. The MARAC is a multi-agency meeting that focuses on the safety of high-risk domestic violence and abuse victims. There are around 250 MARACs in operation across England and Wales. Existing research indicates that MARACs have the potential to improve adult victims' safety and reduce re-victimisation. The guidance for referrals to MARAC states that in cases involving 16-17 year olds professional judgement will be required to decide whether the MARAC or safeguarding route is more appropriate.21 ## Multi Agency Safeguarding Hubs (Mash) 2.9. Many local authorities have developed Multi Agency Safeguarding Hubs to ensure that any safeguarding referrals made to Social Care receive a swift, multi agency based response based upon the principles of information sharing, joint decision making and coordinated intervention. Young people using violence against parents may have safeguarding needs, and it is important that they receive a safeguarding response to meet these needs. Professionals will also need to consider whether there are siblings in the household where the abuse is taking place. If so, a referral to the MASH or initial referral team in the local authority would be necessary. Things to consider: - Dedicated health, social care and education staff working with vulnerable young people should be given on-going support and training to better understand how young people are using social media and the risks that it poses; - Develop a care pathway for referring teenagers to Local Safeguarding Children's Boards (LSCB), MARAC and the young people's service so all multiagency professionals can confidently support these young victims; - It is important that the care pathway has clearly identified points of safeguarding referral or input and that the LSCBs are working effectively with the MARAC; - Encourage youth workers and other key professionals to be part of local domestic violence and abuse forums; - Training for services working with young people as their needs, experiences and support networks may be different to adult victims. ## Safety Planning 2.10. Safety planning is a practical process that practitioners can use with anyone affected by domestic violence and abuse. It should be a core element of working in partnership with victims and other agencies, taking into account the outcomes of risk assessment and risk management. Safety planning involves more than assessing potential future risk; it can help create psychological safety, space to recover and freedom from fear. Other members of the household's responses to questions about what they do when there is violence or abuse should be considered in safety planning. Risk assessments can assist safety planning and should aim to:  help to understand the parent's fear and experiences as well as the fears of the young person;  use and build on existing positive coping strategies;  provide a safe physical space to recover;  link to the relevant assessment framework being used by the agency and provide a holistic approach to safety and well-being;  be part of a continuous process and ensure that safety planning links into the overall plan for the victim and is not completed as an isolated process;  ensure safety plans are tailored to the individual. A 'one size fits all' approach is ineffective and potentially dangerous. ## 3. How To Respond To Apva: Health Professionals 3.1. APVA has been recognised as a challenge facing Healthcare professionals by NICE (National Institute of Clinical Excellence). As such, it is crucial that staff fully understand this complex area of abuse. The impact of abuse on a parents' health 3.2. As with domestic violence and abuse from an ex/partner, abuse from a child or young person can also cause health and wellbeing issues such as anxiety, depression, stress, loss of sleep, physical injury - all of which may necessitate admission to hospital. It may result in parents self-medicating with drugs and alcohol as a coping mechanism. Those who experience APVA often suffer a great deal before seeking support. This is often linked to feelings of failure in the parenting role, and the shame and stigma of having an abusive child. 3.3. Research by Against Violence and Abuse (AVA) and Families, Drugs and Alcohol (ADFam) with parents who had experienced APVA clearly showed that GPs were a common first port-of-call for parents looking for help, and a Parentline Plus survey (2010) found that 57% of parents sought help from their GP. However, the research also identified four factors which can inhibit disclosure: shame, guilt, fear and the lack of a sufficiently trusting relationship with the service.22 23 3.4. General practice nurses may also pick up this issue as part of their regular health checks with patients as routine contact can help build a level of trust with the patient. 3.5. Stigma plays a key, paralysing role in stopping families from looking for help and must be recognised by health professionals. Health professionals who visit the family home, such as midwives or health visitors, or a school nurse (where there are older children in the family), should be alert to the signs of APVA and know how to respond. Identified cases of APVA should always be treated as a safeguarding issue. 3.6. APVA may also be picked up at other community settings such as children's centres. The checks undertaken by health visitors when children reach two and a half years old could provide an opportunity for engagement between the health visitor and a victim where a disclosure could be made or signs of abuse be identified. Things to consider: Encouraging disclosure from parents  Encouraging disclosure of APVA is essential. Parents affected by the issue may have taken a long time to come to acknowledge the problem they are facing, thus making the challenge of verbalising this behaviour to others even greater. Parents need to be encouraged to understand that the services they access are safe places where they can disclose APVA;  Avoid making assumptions (for instance assuming that because someone is a parent they always have control over their child's behaviour or that the behaviour is always a direct result of parenting style);  Make asking about APVA part of your routine screening. Bear in mind, though, that many parents will not conceptualise what they are going through as domestic violence and abuse. They may think about APVA in completely different terms and you might need to use different language when asking about it. ## Questions You Could Use Instead Might Include:  Does your child ever frighten you?  What happens when your child is angry? ## Responses For Different Health Practitioners 3.7. A Parentline Plus Survey (2010) Found That 57% Of Parents Experiencing Aggression From their child first sought support from GPs and 37% from CAMHS (Community and Mental Health Services). It is crucial that health practitioners know how to appropriately recognise and respond to APVA. ## Things To Consider: Healthcare Professional Responders Gps And Gpns  Display Posters In Waiting Areas That Explain This Is A Safe Place To Disclose Abuse of any kind;  Give patients the option of selecting which member of staff they would prefer to speak to;  Be mindful that a patient experiencing abuse may not disclose (especially when the abuse is from their own child). Understand how abuse from a child may impact on a person's psychological and mental well-being and look for indicators that this may be happening;  Make sure you see the patient on their own. Midwives  See the patient on their own.  All women must be asked about domestic abuse at least three times during the antenatal/postnatal period as a normal part of the health history at key times - first trimester of pregnancy, the third trimester and during the puerperium;  Act immediately on disclosure and respond to risks;  Consider the needs of the perpetrator as this can increase the safety of the victim;  Work to clear local protocols and be aware of local services and referral pathways;  All Midwives should be trained in identification of domestic abuse. This should include APVA;  Routine Enquiry is a means of supporting diagnosis and assessment of patients' needs to ensure they receive the most appropriate treatment and care. It does not matter whether there are any signs or indications of abuse but it is important to create a safe and supportive environment for patients to disclose their personal experience of abuse, if they choose to do so;  Increased detection will afford survivors the opportunity to access support and services, allowing for earlier intervention and improved health outcomes. Health Visitors  Carry out a risk assessment to make sure it is safe for you to enter the house (follow lone working procedures);  Look for warning signs in the home or during contacts that abuse may be happening; contacts are important as they may pick something up a children's centre session;  Speak to the parent on their own;  Refer any concerns to the relevant area. This may include: o Social care child at risk or siblings; o Child protection or Child in Need may be appropriate; o School nurse; o Common Assessment Framework; o May meet the criteria for troubled families; o Local Voluntary agencies such as the freedom programme if available; o Police.  Liaise with other Health Care Professionals whom the young person or parent may be receiving support from. ## School Nurses  Recognise Your Ideal Position And Opportunities To Notice Early Signs Or Symptoms of abuse/abusive behaviour;  Be aware of factors which may contribute to a young person becoming abusive;  Provide regular drop-in sessions and be a consistent point of contact for young people to speak to;  Work with the pastoral care team to deliver key messages through PSHE on respectful and healthy relationship skills, lessons and policies across the school;  It is important that all relevant school nursing team members are aware of APVA and can provide support to other school staff to assist them with safeguarding children from all forms of abuse in line with statutory guidance in Keeping Children Safe in Education. Over the coming years all appropriate staff in Wales will be trained to 'Ask and Act', an important model for any professional working with young people experiencing any form of abuse;  Consider using existing contacts established through the delivery of the healthy child programme and public health interventions as an opportunity to identify young people who may be involved in APVA;  Work with other health professionals, social care, education and police to provide support for the young person and the family involved in APVA - including safeguarding leads. CAMHS (Child and Adolescent Mental Health Services)  Understand the complex nature of dual diagnoses (mental health and substance misuse) and the intersections with abuse (not as an excuse but a vulnerability issue);  Address the needs of the young person and their family whilst simultaneously  addressing risk;  Engage with other relevant services (education, youth justice etc) and agree lead;  Evaluate child protection issues as well as acknowledging young person's use of abusive behaviour;  Use a strengths based empathic response;  Using diagnoses to explain parental abuse can be problematic as it allows adolescents and parents to use labels of disorders as justifications for violent behaviours (Hemphill 1996). ## Health Professionals  Making it easy for the victim to talk about their experiences;  Be supportive, reassuring and non-judgemental;  You should never assume that someone else will take care of domestic violence and abuse issues - you may be the victim's first and only contact;  Always be prepared to work in partnership with other organisations that have been set up to ensure a victim's safety;  Always adhere to your Trust's domestic abuse policy and implement what you learn in training. ## 4. How To Respond To Apva: Education 4.1. APVA may impact on all agencies working with children and young people. 4.2. In terms of safeguarding, education staff have a responsibility for their students, who may be the young person exhibiting such behaviours, or siblings or other young people in their institution who may be a target of associated behavioural issues. It should be also remembered that whilst young people may be presenting with problems with their own behaviour, often co-existing behaviours or outcomes from this may be exposing them to increased levels of risk of harm to themselves e.g. through truancy, association with negative peer groups, breakdown in family communication, substance misuse, retaliation, or self harm. 4.3. This issue is relevant to both primary and secondary education as the onset of patterns of APVA can be as early as eight or nine and continue through adolescence and sometimes into adulthood. ## Identification & Disclosure 4.4. Young people responsible for APVA may be identified within schools in a variety of ways, often through other issues, including problematic behaviours towards peers and / or school staff, non-attendance, non-engagement with school activity, unfinished assignments, substance misuse problems, bullying, depression etc. Many of these markers may also identify families where adult domestic violence and abuse and/or child abuse is on-going or has occurred in the past. 4.5. Disclosures within school may come in a variety of ways via the young person themselves, peers, siblings or parents. Parents may present as fearful, ashamed, guilty or intimidated by their child. A consideration of possible APVA should be included in any assessment when making parents accountable for child's behaviour i.e. absenteeism. Many parents will not wish to criminalise their child and will often minimise the seriousness of behaviours or be unwilling to discuss the issues for fear of a blaming response. It is important for practitioners to believe victims, whether young people or parents, take their concerns seriously and validate the impact on them. Initial safety concerns or basic safety planning should always be addressed. School nurses are often able to build trusting relationships with school children and their families, and so may be the first professional to become aware of a problem within the family. This should be addressed in the same way as they would any other safeguarding issue. 4.6. Within schools, pupil referral units etc, as with all other child protection concerns, in-school procedures should be adopted with referral to child protection leads and onward multiagency referrals /co-working as appropriate. ## Implications For Education 4.7. Schools should address APV as they would any other safeguarding issue, in line with the statutory guidance in *Keeping Children Safe in Education* (2014) ## 5. How To Respond To Apva: Social Care 5.1. Whether or not adolescent to parent violence and abuse is ultimately identified as the responsibility of Children's Services, the provision of an understanding, respectful and professional first response is vital in determining the future resolution of this family crisis. Parents say that one of the most important factors in their help is to be listened to and believed. 5.2. There may have been many years and incidences of abuse or violence before help is sought. Parents are known to hold off for reasons of shame, stigma and a fear that their other children will be removed as a response. Alternatively, families may have sought help from many other services without success and this is now seen as a last resort. 5.3. Parents seeking help may present as weak, desperate, frustrated, angry or completely composed. There is no "typical victim" with APVA as with any other type of abuse. The majority of families are seeking a long-term solution whereby they are able to remain together, even if the initial request for help is for the removal of the child to ensure safety and provide respite. In this respect, APVA differs from intimate partner violence. The restoration of healthy, respectful family relationships should be the ultimate goal. 5.4. As APVA often co-exists with a raft of other issues it is important to be clear what these are. Different issues will indicate possible routes of referral and may determine the most appropriate help. Many adoptive families are known to encounter issues because of the child's previous experience of trauma. A recent study found that violence and abuse was an issue in as many as 30% of adoptive families, and that in 3% of adoptive families this was serious enough to lead to adoption breakdown24. Other issues include poor mental health, involvement in violence outside the home, substance misuse, and learning or physical disabilities. By far the biggest single factor has been found to be experience of domestic violence and abuse. 5.5. Based on professionals' reported experiences, if interventions are not found, there is a high risk of family breakdown, serious injury, damage to property, poor mental health for all concerned, and long term risk to the safety and wellbeing of the young person, who may be made homeless, become marginalised in society and go on to perpetuate abuse against a partner in the future. ## Questions To Ask: Social Care Responders  Immediate safety: Are all family members safe in the current situation? How can their safety be maintained? Is there current domestic violence and abuse from an adult in the house? Are there other issues that must take priority to maintain safety?  What is it that the parent(s) are describing? Do you need to see the family home to get a full picture of the damage or threat?  Young people may minimise, blame or simply deny abuse when interviewed. A pattern of manipulative and controlling behaviour is a feature of APVA and this must be taken into account in assessing the situation. They may counter-charge parents with assault and may have physical injuries to support their case. What is the whole picture here?  What is it that the parent(s) want? What are they actually asking for? What help have they already sought or received?  If the family is requesting removal of the young person it is likely they are experiencing high levels of threat and risk. Can they be helped to find a respite solution within the wider family, or is care the only option?  If there is a history of domestic violence and abuse between the young person's parents, professionals should be alert to a possible long- term pattern of coercive control over the parent that was abused. Invite the view of the victim in the first instance and think carefully about the suitability of potential placements within the family.  Does the Local Authority have access to bespoke APV services? Is there access to a service which understands the issues and can accommodate them within their standard service provision? What can be offered to parents if the young person refuses to engage?  What can be done if there is no available service or knowledge locally? What training can be sought? Questions for Managers and Officers  What is the level of knowledge of APVA within the local authority?  Is staff training available?  Are there statistics available regarding the incidence of referral?  Where are referrals coming from?  Are there joint protocols between services?  Are there bespoke services available locally?  Are specialist fostering and adoption services fully trained in appropriate responses?  Is there a culture of moving families through services as quickly as possible, or is it possible for practitioners to spend time developing therapeutic support for individuals? ## Further Points Of Consideration: 5.6. This Is Not An Issue Of Poor Parenting. As Such, Referral To Non-Specialist Parenting Courses is an inappropriate and potentially damaging response. 5.7. Unnecessary criminalisation of the young person should be avoided, though it may be necessary for the police to be involved to maintain safety. This is in itself a controversial issue, particularly in localities where police and criminal justice protocols have not been agreed for APVA. However, if there have been acts of serious violence, prosecution may be appropriate. 5.8. APVA is a whole family issue. Nevertheless, if the young person does not initially engage, significant support can and should be provided to parents and siblings. 5.9. The absence of a defined Children's Services response can, but should not, lead to a sense that "this is someone else's problem". The issue of APVA falls neatly within the remit and responsibility of the local authority. 5.10. The involvement of adult services should also be considered, where required. ## 6. How To Respond To Apva: Housing 6.1. Domestic violence and abuse is notoriously difficult to identify when it occurs within the family home. This can become even harder if the abuse is adolescent to parent violence and abuse. However, housing providers have unique entry to the 'hidden' spaces occupied by individuals experiencing abuse, through regular contact with residents: carrying out repairs and community development activities. Therefore housing staff are trusted and accessible to tenants and so need to be aware of what they can do in these cases. 6.2. Below are some points to consider if housing staff come across this form of abuse: ## Things To Consider: Housing Responders  Firstly, if staff suspect this kind of abuse could be happening it should be reported back to the line manager/ safeguarding lead or specialist team/lead within the organisation:  If staff have immediate safety/ safeguarding concerns for any individuals, they should follow their responsibilities under the safeguarding policy/procedure. Ensure this is recorded and appropriate onward referrals are made to the relevant agencies i.e. Children Services. Furthermore, ensure this is reviewed periodically to ensure appropriate action is taken. The Social Care Institute for Excellence (SCIE) have produced guidance for housing staff for Adult Safeguarding which is useful in these cases: http://www.scie.org.uk/publications/guides/guide53/frontline-housing/index.asp  If staff are in a property and witness or suffer abuse themselves they must first report this to the police and then line management in order to safeguard the victim and also themselves. Staff should ensure this is recorded and reviewed by a manager or Safeguarding Lead within the organisation;  Most housing providers have an IT system which can flag/put a caution alert to advise staff/contractors that they must not visit this property alone. This will vary depending on what Health and Safety policies and procedures their organisation has in place but should ensure that steps are taken to protect staff and appropriate risk assessments are carried out;  Within housing these cases will ordinarily be dealt with by either a specialist Community Safety or Anti-Social Behaviour Team (ASB) or Neighbourhood Managers/Housing Officers. The cases need to be recorded and categorised on the case management systems as domestic abuse;  Staff should follow their domestic abuse policies and procedures and as with all cases the nature of the individual's circumstances and what the individual experiencing abuse wants needs to be taken in to account. The recommended risk assessment is the national Domestic Abuse, Stalking, Harassment and Honour Based Violence (DASH) Risk Identification Checklist so onward referral can be made to the appropriate support service, which may include the local Multi-Agency Risk Assessment Conference (MARAC).  Staff need to be aware that someone experiencing abuse from their child may be reluctant to take any action and be fearful of working with housing staff. They may be scared that their child could be removed from the home or that their tenancy itself could be at risk. Housing staff need to be sensitive and non-judgemental at all times in order to ensure the right outcome for tenants;  Staff need to attend domestic abuse training that covers APVA so they are confident in completing the appropriate risk assessment and working with partner agencies;  Housing staff need to recognise that the abuse may be reported by a concerned or disgruntled neighbour. They may report what is happening as ASB or noise nuisance and want staff to take action against the victim's tenancy. This needs to be managed delicately as the safety of the person experiencing abuse is paramount and needs to be managed effectively in order to try and resolve the situation rather than the focus be on enforcement or punitive actions;  Housing staff have a responsibility to the community as a whole so if a tenant is not engaging with services and failing to prevent visitors or household members causing nuisance and distress to others, staff need to consult with partner agencies (listed below) to raise the issue and agree what the next course of action should be. In the most extreme circumstances this could be enforcement action but this needs to be carefully considered before being pursued. In some cases enforcement action can be extremely influential in stopping the abusive behaviour as the child does not want to see their parent homeless but this is not always the case so this needs to be discussed on a case by case basis. Any decisions made need to be accurately recorded, in conjunction with partners and in line with the organisation's policies and procedures;  Staff also need to think about whether the young person is, or has been, a victim of abuse themselves. Staff should check if there are any previous ASB reports for the family or interaction with revenues or rent arrears. Staff should check if the young person has observed domestic abuse from their parent/ carer, and are now exhibiting similar behaviours. Staff should consider what support the young person might require. Onward referral to other agencies (such as those listed below) is essential;  Staff need to focus on family based intervention and mediation, where it is safe and appropriate to do so and understand that enforcement action of any type is a last resort. This includes injunctions, Notice of Seeking Possession (NoSP's) and ultimately possession. 6.3. In order to ensure appropriate family based interventions and mediation are accessed housing staff must work in partnership with other agencies and partnerships/forums including:  MARAC  ASB multi-agency meetings  Police  Children/ Adult services  Probation  YOT  Troubled Families Team/Team Around the Family (Wales)  Education  Health  Advocacy/support services  Drug/alcohol services  Community Mental Health Team (CMHT) 6.4. Housing providers may have housing stock in a number of boroughs/areas so it is imperative that they have these links within all the areas they work in. 6.5. Housing staff need to be aware of specialist support available in the area they are operating in. They must understand that typical domestic abuse/anger management programmes are not appropriate. As already stated, this is a complex area of abuse, where abusers are highly likely to have been victims, or indeed, still be victims. Specialist programmes are available and the websites for these are listed at the back of this document. Legal remedies 6.6. Civil Injunctions - Anti-social Behaviour, Crime and Policing Act (the Act received Royal Assent on 13/03/14 and injunction provisions are expected to come into force early in 2015 but all other provisions of the Act are now in force). If an injunction under this Act is sought either by the housing provider or an individual a copy needs to be provided to local police and other agencies that are involved so they are aware and can respond accordingly. It is vital that the police register the injunction on the Police National Computer so that any officer checking the system will have access to it. Positive requirements may also be attached to an injunction to assist rehabilitation of the abusive individual. The person suffering abuse needs to be encouraged to report breaches both to the police (where a power of arrest is granted) and to their Housing Provider. Housing staff must understand that there may be a reluctance to do so and therefore if staff become aware of a breach or it is reported by a neighbour ensure that this information is fed back to the police and other appropriate agencies. 6.7. Possession Action - via the County Court for tenants who have a secure, assured or assured short. 6.8. Hold tenancy of their home. However, as stated above, this will only be used as a last resort. Housing options 6.9. This will probably not be appropriate in most cases and an individual will want to maintain a relationship with their child but in the most extreme cases housing staff need to be aware of the following options: Homelessness (Part 7 of the Housing Act 1996) 6.10. The victim has the right to approach any local authority as a result of ceasing to occupy accommodation because of violence from another person or threats of violence from another person which are likely to be carried out. 6.11. They will be assessed in line with the following criteria:  Are they eligible for assistance?  Are they homeless?  Are they 'Priority Need'?  Are they intentionally homeless? 6.12. A local authority owes a clear duty to provide suitable accommodation to those vulnerable people who find themselves homeless as a result of fleeing domestic violence. Victims cannot be referred back to their 'home' authority if they would be at risk of violence. 6.13. A very comprehensive guide can be found on Shelters website: http://england.shelter.org.uk/__data/assets/pdf_file/0003/23358/ShelterGuide_HomelessR eadThis.pdf 6.14. You also need to ensure that the individual making the application makes an application for dual Housing Benefit to ensure rent is covered for both homes. A referral to your Welfare Benefits advisor or a local financial support agency is advisable. ## Management Transfers 6.15. Housing providers depending on their size will have either a policy and procedure on granting management transfer in high risk cases within their own stock or a senior manager will make this decision based on the circumstances Reciprocals 6.16. Housing providers can arrange reciprocals between themselves and can be decided on a case by case basis. In London there are the East London and West London Reciprocal agreement. For further information on these please see: http://www.lbbd.gov.uk/elhp/reciprocal-agreement.html http://www.westlondonhousing.org.uk/Homelessness.aspx Security 6.17. Housing providers may have a budget to improve/ enhance security and this should be considered on a case by case basis. 6.18. Housing providers are also able to access the support of local sanctuary schemes operated by the Local Authority/ Police. ## 7. How To Respond To Apva: Police Reluctance To Report To Police 7.1. As With Any Victim Of Domestic Abuse, Parental Victims Cannot Easily Sever Ties. They Are legally obliged to care for a child under 16 and cannot force them to leave home without making other arrangements. Even once the child is 16 or has left home, they are still parents biologically, legally and emotionally, which makes it difficult to report their own child. 7.2. They may not want to criminalise the child because of the potential impact on their future. A tendency for police and other agencies to see parents as responsible for their children's behaviour can also be a factor discouraging parents from reporting abuse. In many families, however, other children do not offend. In addition, parents who are being abused, particularly physically, may not be able to manage the child's behaviour, or ensure attendance at school, without putting themselves at risk of further harm. ## Police Action 7.3. It is important for officers to be aware that the young person may have complex needs, such as mental health issues and that there may be a requirement to work with health and social care professionals to support the young person. It is also important that officers recognise the seriousness of this type of abuse. It can be difficult to identify in families where there are other problems and violence is more generalised, but it is a distinct form of domestic abuse, which generally requires a different approach. 7.4. In some cases, arrest or temporary removal may be the appropriate response. In others, parents may want someone in authority to speak with the child, but not want them prosecuted or criminalised. They are more likely to engage with other services than the police, because contacting the police is often viewed as a punishment rather than a source of help. 7.5. Restorative justice may also be an option if considered appropriate to the particular case, but this should be carefully considered to ensure it does not increase risk to the victim. The main objective for officers should be to deal with the situation in a way which will not only stop the incident but also prevent repetition. Most families want to end the violence, but not the relationship. The key to this is signposting the appropriate services and putting in place any referrals required. This may include multi-agency referrals, particularly where parent abuse is part of a wider problem within a family. Checklist for officers dealing with an incident of adolescent to parent violence and abuse: DO:  Remember this is domestic abuse (and general domestic abuse considerations apply) ;  Show understanding;  Speak to both the parent and young person (and other family members such as siblings or grandparents) separately to understand what the appropriate response might be;  Signpost appropriate services e.g. health and social care;  Consider whether other referrals need to be made. For example to: o Public protection specialists or local policing staff: they may have existing knowledge; o Consider referrals to community and Neighbourhood staff, this may be the local beat officer, police community support officer or schools liaison officer or school nursing service. A risk assessment should be completed, and referral made to a MARAC where appropriate for further multi agency support/ inter o Are other children at risk in the house? If so, you will need to make a referral to Children's Services; o The young person using the violence will need a safeguarding response, so a referral to your local MASH/Safeguarding team is a must; o Notifying the Troubled Families/Team around the Family (Wales) or school nursing service. If the young person has behaviour or mental health issues, they may already be engaged with the school nursing service;. o Has the relevant Youth Offending Team been contacted? ## Don'T:  Assume that this is a parenting issue–the parent is the victim in this situation;  Joke or make light of the situation;  Underestimate how difficult it is for the parent to report the incident and for the young person to accept responsibility;  Wait until something more serious happens before taking action. ## 8. How To Respond To Apva: Youth Justice 8.1. For a long time, youth justice professionals have reported high occurrences of family violence, and in many cases adolescent to parent violence and abuse. As stated earlier in this document, this is an extremely complex area of work. Things to consider: Youth Justice responders  Firstly pay attention to short term crisis management - is a safety plan in place? If not, you should consult with your line manager about the most appropriate person to complete this with the family, and complete one as soon as possible. Are other children at risk in the house? If so, you will need to make a referral to Children's Services;  Has the young perpetrator been a victim of abuse themselves? Have they observed domestic abuse from their parent/ carer, and are now exhibiting similar behaviours?  The parent will be extremely nervous about reporting this abuse and discussing it with others. Condry and Miles' research (2012) indicates that this is because they do not want the child to be removed from the home. Therefore, you will need to focus on family based intervention and mediation, where it is safe and appropriate to do so;  There will be occasions where the violence is such that the situation is dangerous and the police must be called. This is the right thing to do and will need to be reiterated to the parent. It should also form part of a safety plan;  Research indicates that the most effective way of addressing this abuse is working with the family as a whole. This will mean that if the family has a YOT worker and separate Parenting worker, you will need to come together and work with the family. Where other professionals are involved, call a multi agency meeting and work out how you are going to work with the family as a coordinated plan to address this abuse;  What relevant programmes for young offenders are available in your area? Typical domestic abuse/anger management programmes may not be appropriate. As already stated, this is a complex area of abuse, where abusers may have been victims themselves, or still be victims. Specialist programmes are available with an emerging evidence base - see table at the end of the document. The Youth Justice Board has also put together a webpage which contains links to further programmes and support for adolescent to parent abuse. The materials are freely available, and include fully manualised programmes. The website is also listed at the back of this document.  Youth Offending Team (YOT) workers should collaborate closely with the YOT police officer to prevent the young person being arrested wherever possible. Police involvement may be necessary but arrest should be avoided and action should follow the principles of some LAC (Looked After Children) protocols which seek to minimise the criminalisation of young people.  A parenting order should NOT be used where this abuse is occurring. Condry and Miles' research (2013) found evidence that where a parent is subject to a parenting order and is experiencing abuse, the order can become a further form of control and lead to further abuse. In court where the young person is 16 or under the magistrate will need a good reason not to impose a parenting order. Detailed explanation of the issue in PSR's is essential. Close collaboration between parenting/family teams to ensure support must be provided and included in the Pre-Sentence Report (PSR). When a young person is arrested for violence against the parent: 8.2. If it is a minor assault/criminal damage, the YOT should liaise with the police to consider the use of a Conditional Caution. The condition could be to complete a programme of work with the young person to address the abusive behaviour. 8.3. Consider use of a Referral Order, and recommend that completion of an intervention programme and family based mediation work forms part of the contract. 8.4. Where a Community Order is the appropriate option, attach a Programme Requirement, and consider using a formal programme as described above. As already stated, do not recommend a Parenting Order. 8.5. For a Custodial Sentence, formal work can still be completed separately with the parent and young person. Then arrange family visits in custody where mediation could take place. Consider the use of ROTL (Release on Temporary Licence) to rebuild family relationships, where it is safe for the young person to return home. 8.6. Involve family/parenting support teams as soon as possible to work with the YP and the parents. Ensure the issue is fully explained in the PSR to prevent imposition of a Parenting Order and promote support for the family and YP. ## Considerations For Yot Heads Of Service, Secure Estate Directors/Managers/ Governors: 8.7. Does Your Local Authority/Secure Setting Offer An Appropriate Intervention To Address adolescent to parent abuse? If not, consideration should be given to approaching your LSCB and commissioning training staff in an intervention package. Further information on available programmes and training is available in the appendices of this information document. 8.8. Do you have a local protocol for the management of adolescent to parent violence and abuse with the police? There is strong evidence to indicate that police responses to adolescent to parent violence and abuse have been poor, meaning that parents are reluctant to report further incidents. A protocol should include how you want the police to respond to a call out (i.e. when to arrest/ is a safety plan in place). The YOT police officer should be fully informed of the overarching issue and should be involved before and at arrest. When an arrest is not made, the police should consider who to refer the family to for further support, and to ensure that they do not 'fall through the gaps'. 8.9. How to de-escalate a situation: the use of pre-Court disposals, and what you should set up with a YOT to formally manage this should be considered (ie having a programme/intervention locally available as part of a pre-court disposal). A tiered response similar to protocols for callouts to residential children's homes. 8.10. Does a police officer with a local lead for domestic abuse sit on your Health and Wellbeing Board? 8.11. Do you know how many cases within your YOT/ establishment are experiencing adolescent to parent abuse? Are your staff asking the question and recording it? Where are they recording it, and is it translating into supervision plans? 8.12. Establish a person within the YOT to lead on the issue where possible to provide specialist advice. ## 9. Responding To Apva: Examples Of Different Therapeutic Approaches In England And Wales Therapeutic approach Example of Programme Aims and Techniques Original programme schedule Solution-focused brief therapy Break4Change (Brighton & Hove) For parents: strategies to manage abuse and emotional response (to reduce guilt and stress) For young people: skill development (e.g. emotional literacy, behaviour strategies) and 'creative sessions' to reflect on issues Functional family therapy SAAIF (Colchester) For parents and young people: Uses roleplay and cognitive-behavioural strategies problem-solving and skills training (e.g. empathy development, listening and communication skills). Also features educational content (e.g. parenting styles, teenage sexual health, drug awareness) For parents: the development of a 'parent's toolbox' for use once programme is finished Non-violent Resistance (NVR) Partnership Projects (London & the south-east) For parents (& their support networks): promotes 'parental presence' through techniques of nonviolent resistance and use of reconciliation gestures Wish for a Brighter Future (Bristol) Attachment and trauma-based approach For young people and families: Aims to rebuild attached, caring child-parent relationship using a participatory approach. Techniques include identifying, listening to Evaluation evidence* 10 weekly sessions for parents + 10 weekly sessions for young people Most parents reported less *violence* and isolation, more assertiveness and a *wider range of strategies* to deal with their children's violent behaviour. Young people reported increased empathy, reduced physical violence and *increased satisfaction* at home; some re-engagement with school. (Munday, 2009) The majority of parents, young people and practitioners found the programme to be of assistance, with (a) the learning of new communication skills and (b) *coping strategies* to be of particular benefit (Priority Research, 2009). Day workshops (6 hours) for families OR 14 weekly sessions for parents + 14 weekly sessions for young people Weekly meetings with family over a 3-month period, although varies. Includes supporters meeting(s) and telephone support. May also be offered as a weekly parent group. Parents: A reduction in 'permissive parenting' and 'parental helplessness'; Reduction in parents' reports of *child aggressiveness* and increase in parental perceptions of social support (Weinblatt & Omer; 2008). See also Newman et al (2014) for England-based smallscale pilot study In-house research only - has reported positive effects including reduction in frequency and severity of violence and improved family wellbeing Up to 12 sessions of one-toone support for young people and, in some cases, with their families. and validating feelings, understanding the impact of trauma on the brain & learning non-punitive parental strategies. Conflict resolution and mediation Maidstone Mediation (Maidstone, Kent) For families: 'Talk & Mend' approach, to identify, listen to and share each family member's feelings and needs; visualisation techniques & developing a Future Plan; anger management, wellbeing and selfesteem techniques. Respect Young Peoples Programme (RYPP) (UK-wide) Multi-modal (inc narrative, conflict resolution, solution-focused, cognitivebehaviourism, NVR, anger management) For Young People: Increase self-esteem, motivation, empathy and self-regulation; Develop communication and conflict resolution skills; Learn alternative behaviour strategies; Improve family bonding (with parents) For Parents : Improve support, sense of efficacy; insight & self-reflection; Diminish parental shame; Develop communication, behaviour management, parenting strategies and conflict resolution skills. Up to 10 sessions of one-toone support with families. In-house research only - has reported positive effects including improved ability to reach family agreements, young person re-engaged in education, training or work; reduction in violence in young person both at home and school. 18 sessions - includes 2 family sessions, 7 parent/carer session & 9 young people sessions. Programme evaluation currently underway - initial findings suggest improved family communication, reduction in aggressive & abusive behaviours, improved family support & cohesion, improved attendance at school, association with more positive peer groups, improved parenting confidence and skills. ## 10. Useful Resources For Practitioners The directory below identifies some useful organisations from the private, statutory and voluntary sectors which offer further information and resources on APVA and how to respond to it. Organisations in England and Wales National Domestic Violence Helplines The Freephone 24 Hour National Domestic Violence Helpline run in partnership between Women's Aid and Refuge - 0808 2000 247 All Wales Domestic Abuse and Sexual Violence Helpline - **0808 80 10 800** Scottish Women's Aid Domestic Abuse Helpline - 0800 027 1234 Women's Aid Federation Northern Ireland 24 Hour Domestic and Sexual Violence Helpline - 0808 802 1414 NSPCC ChildLine Free, confidential service for young people up to the age of 19. Get help and advice about a wide range of issues, talk to a counsellor online, send ChildLine an email or post on the message boards. 0800 1111 and www.childline.org.uk NSPCC Helpline Free helpline service for anyone with concerns about a child's safety and wellbeing, even one in their own home. You can speak to a NSPCC counsellor 24 hours a day, 365 days a year. Advice and support is provided parents and carers and consultations with professionals are offered. We will listen to your concerns, offer advice and support and can take action on your behalf if a child is in danger. 0808 800 5000 and www.nspcc.org.uk/what-you-can-do/report-abuse/ Alternative Restoratives A practitioner-run resource which aims to raise awareness about parent abuse and highlight restorative approaches to intervention. Also organises UK-based training and events for practitioners. http://www.alternativerestoratives.co.uk/about.htm Holes in the Wall A blog run by a professional social worker which provides updates on research, practice and policymaking developments - also available on Twitter (@HelenBonnick) http://holesinthewall.co.uk/ Partnership Projects A practitioner-run resource providing information and training in NVR for practitioners who wish to work with families with adolescents who behaving aggressively. http://www.partnershipprojectsuk.com/ RESPECT A membership association for domestic violence and abuse prevention programmes and integrated support services. The Young Peoples Services is a sub-site of which offers regular conferences and training for practitioners who are working with young people who use violence in close relationships (including against parents) http://www.respect.uk.net/pages/young-peoples-services.html Tel: 020 7549 0578 Youth Justice Board Web-paged outlining useful information and resources about adolescent-to-parent abuse http://www.justice.gov.uk/youth-justice/reducing-re-offending/domestic-abuse See also information sheet: http://www.justice.gov.uk/downloads/youth-justice/yjb-toolkits/parenting/specialist-issues-childto-parent-violence.pdf Dedicated Welsh Services North Wales Area: North Wales (including: Wrexham, Flintshire, Denbighshire YOS, Save the Family, In2Change (substance misuse)) Provider: Protagoras Consultants Programmes: Changing Places (Healthy Relationships and alternatives to violence) Boundaries (Sexually Harmful Behaviour) This programme is designed specifically for YP age 13-19) who are at risk of or are engaging in abuse or violence within their close relationships. The programme includes specific scenarios and application to CPV/APV examples. It also includes tandem workshops for parents in order to start to develop better communication and non abusive ways to manage conflict for the whole family. Area: Conwy Provider: Relate Cymru (part of the families first project in Conwy). Programmes: Under development Area: Denbighshire Service: North Denbighshire Domestic Abuse Service Programme: One to one work with children and young people who acknowledge they are abusive to their parents or others in a close relationship. The model used to support the young people is the Respect toolkit. Area: Wrexham Service: Choose to Change (part of Relate Cymru) Programme: The Changing Places programme South Wales Area: Cardiff Service: Media Academy Cardiff Programme: The Parallel lives programme Website/email: www.mediaacademycardiff.org Summary of model of work used: Parallel Lives is a person centred programme that works with young people who have committed adolescent to parent violence and abuse and their family members in order to reduce the risk of further violence. Area: Gwent Service: Gwent Domestic Abuse Services Programme: Service offers support to young people that are beginning to show controlling behaviour in their intimate relationships. This incorporates their own intimate relationships as well adolescent to parent violence. International Organisations Step-up: a counselling programme for teens who are violent at home (US) Includes curriculum materials and resources for practitioners, and offers training for setting-up own 'Step-Up' programmes http://www.kingcounty.gov/courts/step-up.aspx Eddie Gallaghers Webpages (Aus) A comprehensive resource offering information for practitioners on training and workshops, advice and strategies for parents (including details of support services) and research papers and findings for researchers. http://www.eddiegallagher.id.au/ Queensland Centre for Domestic and Family Violence Research (Aus) A national organisation that offers a factsheet for parents on adolescent-to-parent abuse, featuring definitions, forms of abuse, experiences, strategies and advice, and further support numbers and weblinks. http://www.noviolence.com.au/index.html Walking on Eggshells Resources (Aus) An information booklet and fold up card offering support and advice to parents whose children are behaving violently and abusively. http://www.flinders.edu.au/ehl/law/law-resources/ Examples of local support services for parents and families Support services across England and Wales are emerging all the time. The list below is not exhaustive, but it offers a directory of some of those organisations which you may want to refer families on to if they are based in the relevant local area. Everybody Hurts Support group set up and run by a mother who experienced abusive behaviour from her son. Also offers one-to-one support (North Derbyshire). http://everybodyhurts.vpweb.co.uk/ Hertfordshire Practical Parenting Project Offers intensive one-to-one support for families, as well as telephone advice for parents experiencing adolescent-to-parent abuse (Hertfordshire). http://hertfordshireppp.co.uk/ Tel: 01992 638000 Parent Abuse and Reconciliation Service (PAARS) Aims to raise public and professional awareness and empower parents and carers and offers both a local support service and a national online support service for families living with abusive adolescents (Enfield, London) http://www.paars.co.uk/ Tel: 07720651633 Rosalie Ryrie Foundation Offers group or individual family sessions for families who are experiencing different forms of family violence, including 'Stepping Up' for families where adolescent-to-parent abuse is a feature (Wakefield) http://www.rosalieryriefoundation.org.uk/rosalieryriefoundationhelp.aspx Tel: 01924 315140 SAAIF (Stopping Aggression and Anti-social Behaviour in Families) Multi-agency project that offers programmes for parents and families experiencing parent-toadolescent abuse based on principles of functional family therapy (Colchester) http://www.theministryofparenting.com/ Tel: 01206 562626 SPOTT (Support for Parents of Troubled Teenagers) Parent-led monthly peer support group for parents experiencing problems with their teenager, including violence (Jersey) http://www.spottjersey.co.uk/ Wish for a Brighter Future Provides one-to-one support sessions for families experiencing parent-to-adolescent abuse: sessions available for both parents and young people. Also runs 13-week 'parent abuse' parenting support groups in collaboration with Single Person Action Network (SPAN) and Bristol City Council (Bristol). http://www.wishforabrighterfuture.org.uk Tel: 01179 038632 YUVA London-based domestic violence and abuse support organisation which has offers one-to-one support young people who are violent, and for parents whose children are abusive towards them. Also offers an information leaflet (Barnet, London) http://dvip.org/yuva-programme.htm Tel: **020 7928 2322** Finally, you may want to refer families to Family Lives, which has experience in this field: Family Lives Although not specialising in parent abuse, this national charity offers support and advice for families needing help for all kinds of family issues. Includes parent workshops for managing conflict and developing communication skills (UK-wide). http://familylives.org.uk Tel: 0800 800 2222 RYPP (Respect Young People's Programme) Providers - Contact Details for Referrers Women Centre Calderdale 01422 386501 cyp@womencentre.org.uk Area - Halifax & Calderdale Stronger Families 0151 443 4071 dcfsfamilyfirstduty@knowsley.gov.uk ## Area - Knowsley, Liverpool Impact Family Services 0191 567 8282 Enquiries@Impactfs.Co.Uk Area - Sunderland & South Tyneside Idas - Independent Domestic Abuse Services 03000 110 110 Info@Idas.Org.Uk Area - North Yorkshire Stockport Youth Offending Service 0161 476 2876 Youth.Justice@Stockport.Gcsx.Gov.Uk Acknowledgements The Home Office would like to thank the following individuals/organisations that have inputted into the development of this document: Helen Bonnick - Holes in the Wall Gudrun Burnet - Peabody Housing Dr. Rachel Condry - Oxford University Hannah Fisher- Welsh Assembly Government Anne-Marie Harris - Oxford University Dr. Amanda Holt, University of Roehampton Liz Hughes - Avon and Somerset Police Dr. Caroline Miles - University of Manchester Steven Jackson - College of Policing Jo Sharpen - AVA Julia Worms - Respect UK Dr. Paula Wilcox- University of Brighton. Christine Etheridge - SafeLives Pam Miller - NSPCC Jane Keeper - Refuge Rachel Reed - Women's Aid

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PLANNING COMMITTEE: 13th February 2018 DIRECTORATE: Regeneration, Enterprise and Planning HEAD OF PLANNING: Peter Baguley APPLICATION REF: N/2017/1097 Emmanuel Church Middle School, Birds Hill Walk LOCATION: | DESCRIPTION: | Erection of 81no dwellings including new vehicular access from | |--------------------|-------------------------------------------------------------------| | Billing Brook Road | | | WARD: | Brookside Ward | | APPLICANT: | Westleigh Partnerships Ltd | | AGENT: | rg+p Ltd | | REFERRED BY: | Head of Planning | | REASON: | Major application requiring S106 agreement | | | | | DEPARTURE: | Yes | _________________________________________________________________________ ## Application For Determination: 1. Recommendation 1.1 Approval In Principle Subject To S106 Agreement To Secure: 1.1.1 i) 35% on-site affordable housing; ii) Primary Education payment; iii) A scheme for the provision of construction worker training opportunities and a payment towards the operation of this programme; iv) A payment towards highway improvements; v) A payment towards the enhancement and/or maintenance of off-site open space; vi) That the on-site Public Open Space is maintained and made available for public access in perpetuity; and vii) The Council's monitoring fee, subject to the Head of Planning being satisfied the monitoring fee is necessary and of an appropriate scale. 1.1.2 The conditions as set out below and for the following reason: The proposed development, subject to conditions, represents an acceptable land use which would contribute towards the Council's five year housing supply and would have a neutral impact upon the character and appearance of the surrounding area, visual and neighbour amenity and the highway system. The development is therefore in conformity with the requirements of the National Planning Policy Framework, Policies S1, S3, S10, C2, H1, H2, BN2, BN3, BN7, INF1 and INF2 of the West Northamptonshire Joint Core Strategy and Policy E20 of the Northampton Local Plan. 1.2 It is also recommended that in the event of the Section 106 Legal Agreement not being completed within three calendar months of this Committee meeting, in addition to being able to grant planning permission as recommended above, the Head of Planning be given delegated authority to either refuse or finally dispose of the application (at his discretion) on account that the necessary mitigation measures have not been secured in order to make the proposal acceptable in line with the requirements of Policies INF1 and INF2 of the West Northamptonshire Joint Core Strategy and the National Planning Policy Framework. ## 2. The Proposal 2.1 The application seeks full planning permission for the erection of 81 dwellings comprising 24 one bedroom flats, 37 two bedroom houses and 20 three bedroom houses. The development proposes the provision of 138 car parking spaces. Access to the site will be from Billing Brook Road to the north with a further pedestrian access to Billing Brook Road to the west. The development also includes an area of public open space. ## 3. Site Description 3.1 The site is that of the former Emmanuel Middle School which is located on the east side of Billing Brook Road and to the north of Birds Hill Walk. It is situated within a mixed environment of commercial and residential buildings. The site is 2.15 hectares in area and comprises hardstanding, trees and overgrown vegetation. The school buildings on the site were demolished several years ago and since then the land has received minimal maintenance. 3.2 The site is a sloping site falling from south to north and from west to east. To the north east is an area of open space and a pond beyond which is residential housing. To the west of the site, beyond Billing Brook Road is a church, police station and office units. To the south is the former Lings Upper School site, with a terrace of 4 dwellings facing onto Birds Hill Walk. To the south east is the Northampton Academy, and to the south west is Weston Favell Centre with commercial and leisure facilities and public transport links. ## 4. Planning History 4.1 The site was the subject of outline planning permission for residential development (up to 109 dwellings). This was approved by West Northamptonshire Development Corporation in 2008 and was more recently approved by Northampton Borough Council in 2014 (N/2011/1263 refers). 4.2 It should also be noted that outline planning permission was recently granted for up to 60 dwellings on the nearby former Lings Upper School site (N/20115 0019 refers). ## 5. Planning Policy 5.1 Statutory Duty Section 38(6) of the Planning and Compulsory Purchase Act 2004 requires a planning application to be determined in accordance with the Development Plan unless material planning considerations indicate otherwise. The Development Plan for the purposes of this application comprises the adopted West Northamptonshire Joint Core Strategy (2014), Northampton Local Plan (1997) saved policies, and emerging Neighbourhood Development Plans where relevant. ## 5.2 National Policies The National Planning Policy Framework (NPPF) sets out the current aims and objectives for the planning system and how these should be applied. In delivering sustainable development, decisions should have regard to the mutually dependent social, economic and environmental roles of the planning system. The NPPF should be read as one complete document. However, the following sections are of particular relevance to this application: The NPPF has a presumption in favour of sustainable development. Paragraph 17 - objectives for the planning system Paragraph 32 - Requirements for Transport Statement or Assessment - promoting sustainable transport; providing safe and suitable access; refusing development on transport grounds where residual cumulative impacts are severe Paragraph 34 - minimising need to travel and maximising use of sustainable transport modes for developments generating significant movement Paragraph 35 states that, where practicable, developments should be designed with a safe and secure layout that reduced the potential for conflicts between pedestrians and traffic. Paragraph 47 - requires Local Planning Authorities to meet objectively assessed housing needs for their area and identify and update a supply of deliverable sites to provide 5-years' worth of housing. Paragraph 49 - presumption in favour of sustainable development for housing applications. Paragraph 50 - delivering a wide choice of high quality homes. Paragraph 56 - requiring good design. Paragraph 103 - minimising and mitigating flood risk. Paragraph 117 - conserving and enhancing biodiversity. Paragraph 205 - planning obligations and viability. ## 5.3 West Northamptonshire Joint Core Strategy (2014) The West Northamptonshire Joint Core Strategy (JCS) provides an up to date evidence base and considers the current Government requirements for plan making as it has been prepared in full conformity with the NPPF. Policies of particular relevance are: Policy SA - Presumption in Favour of Sustainable Development Policy S1 - Distribution of development Policy S3 - Scale and Distribution of Housing Development Policy S10 - Sustainable Development Principles Policy C2- New Developments Policy H1 - Housing Density and Mix and Type of Dwellings Policy H2 - Affordable Housing Policy BN2 - Biodiversity Policy BN3 - Woodland Enhancement and Creation Policy BN7 - Flood Risk Policy BN9 - Planning for Pollution Control Policy INF1 - Approach to infrastructure delivery Policy INF2 - Contributions to infrastructure requirements ## 5.4 Northampton Local Plan 1997 (Saved Policies) Due to the age of the plan, the amount of weight that can be attributed to the aims and objectives of this document are diminished, however, the following policies are material to this application: Policy E20 - New development Policy L2 - Community Use of existing schools and colleges Policy T12 - Development Requiring Servicing Policy H17 - Housing for People with Disabilities ## 5.5 Supplementary Planning Documents Northamptonshire Parking Standards (September 2016) Planning out Crime in Northamptonshire SPG 2004 Planning Obligations SPD (2013) ## 5.6 Other Material Considerations Growing Together Neighbourhood Plan The Growing Together Neighbourhood Plan (Covering Blackthorn, Goldings, Lings and Lumbertubs) was made in April 2017, and now forms part of the development plan for Northampton. The following policies are relevant to the determination of this proposal: DES1 - High quality design H1 - Housing mix CO2 - Loss of community facilities OS2 - Outdoor Amenity Space The Northampton Borough Council Brownfield Land Register 2017 confirms that this site is suitable and available for residential development. ## 6. Consultations/ Representations Comments received are summarised as follows: 6.1 Anglian Water - suggest a condition to deal with foul sewerage. 6.2 Arboricultural Officer (NBC) - no objections provided recommendations of the arboricultural implication assessment are fully implemented and adhered to. 6.3 NCC Archaeology - no objections. 6.4 Construction Futures - request a financial contribution for training and employment for new construction workers. 6.5 Development Management (NCC) - request financial contributions to fund improvements to early years and primary education provision; fire hydrants, libraries service and broadband services. 6.6 Public Protection (NBC) - suggest conditions to deal with contaminated land, air quality and a Construction Environmental Management Plan. Expect that the development should include electrical charging points for cars. 6.7 Environment Agency - no objections. 6.8 Highways England - no objections. 6.9 Highway Authority (NCC) - the internal layout has been agreed to our satisfaction and the agreement of the Travel Plan can be conditioned. Require a scheme to show junction improvements which could be secured by a S106 agreement. Request conditions to improve visibility splays at the site entrance. 6.10 Housing Strategy (NBC) - supports the proposed mix of affordable housing. 6.11 Northamptonshire Police Crime Prevention Design Advisor - has made a number of recommendations during the course of the application to reduce opportunities for crime and disorder and notes that amendments to the proposal provide for a better environment. With regard to the latest plans states that the rear boundaries facing onto Birds Hill Walk will be vulnerable. Makes suggestions for the hedging and fencing that should be installed to the rear of these and states that the grass buffer between the rear fence lines and Birds Hill Walk would be better planted rather than left to grass. 6.12 NCC Lead Local Flood Authority - following the receipt of additional information suggest conditions to ensure the impacts of surface water drainage are adequately assessed. 6.13 NCC Ecology - following the receipt of additional information is satisfied with the Site Mitigation Statement and recommends conditions relating to site preparation. 6.14 Growing Together Neighbourhood Forum - welcomes the proposal in principle as the site is designated in the Neighbourhood Plan as a priority development site and the proposal provides the kind of housing that is most needed in the area. Makes further comments as follows:  Supports concerns made by Northamptonshire Police.  Would support the retention of the perimeter fencing on the site.  State that the best drainage solution for the eastern end of the site should be sought.  Consideration should be given to safety surrounding the attenuation pond.  Public open space contribution should be used to create a wide range play area on the green space.  Imperative that the footpath around the site is maintained during the construction phase.  Would like to see improvement of the permanent footpath.  Believe the straight road through the site may encourage speeding.  Note that the former school playing field is not included in the site and consider spur road access should be included to allow for future development or other community use.  Believe that one parking space per flat is inadequate.  Concerned about fire safety of the flats.  Would like to see installation of energy microgeneration features. 6.15 Councillor Janice Duffy - initially expressed concern about the flats only having one door for access and egress. Following assurance that the building is subject to Building Regulation Approval and has to meet government standards they confirmed that their fears are allayed. 6.16 Wildlife Trust - initially state that very little ecological mitigation outlined for the effects on wildlife. No comments received following submission of the Updated Habitat Survey. 6.17 Northampton Academy - initially concerned that the 4 storey flats and house gardens will overlook their field and cause safeguarding concerns. Also expressed concerns about security and flooding of their site. State that in the future they intend to use the adjacent field and there could be noise issues for residents and light issues as they will require floodlights. State that there is the possibility that they will redevelop the site as additional school premises and residents need to be aware of this. Following consultation on revised plans state that they have since met with the developers and that they have answered their concerns. As such the school now supports the application. 6.18 Billing Brook School - state that they are in favour of the principle of developing the site for housing but have concerns about safeguarding with overlooking of their school from the four storey flats; concerned about location of site access impacting on safety of their pupils; consider additional traffic using Penistone Road will result in more traffic outside the school which will have safeguarding implications; hope that S106 monies could be used to develop a safe walking pathway on both sides of the road and would like to see support for developing a secure car park. Concerned about future security of the estate and that it could be used as a 'cut through'. Would like to see the fence maintained around the outside of the estate for security purposes. 6.19 One objection has been received from a resident in Crestwood Gardens stating that all the space in the NN3 area is being taken away and the area is being turned into a concrete jungle for no reason. Refers to housing being built in Crestwood Road, at Moulton and at the Round Spinney Roundabout. States that streets are not cleaned and trees are not trimmed and the area is deteriorating. ## 7. Appraisal Principle Of The Development 7.1 Whilst is accepted that the site has an allocation within the Local Plan as being a school site, it should be noted that the site has been vacant for a number of years. As a consequence of this, there is no realistic likelihood of the site being used for education or community uses within the foreseeable future. Furthermore, the site does not have any significant landscape value or facilities that could be used for sports or leisure uses. As a consequence of this, it is considered that the development of this site for residential purposes would not be in breach of Local Plan Policy L2. 7.2 Furthermore, it should be recognised that the Local Plan is exceedingly dated and as a consequence, more recent policy documents carry a significant amount of weight. Outline planning permission for residential development on this site has previously been approved. The site is allocated in the Northampton Borough Council Brownfield Land Register and in the Growing Together Neighbourhood Plan as land suitable for residential development. It is considered that the principle of residential development of the site is acceptable and well established, and complies with National Planning Policy and policies within the West Northamptonshire Joint Core Strategy. The site is in a sustainable location with good access to public transport and local facilities. The development of the site for residential use would contribute towards the Council's 5-year housing supply, and enable the re-development of a vacant, misused site which would enhance the character and appearance of the area. ## Design And Layout 7.3 The proposed residential development will consist of 2-storey dwellings and three blocks of 4- storey flats. The site will have one new vehicular access from Billing Brook Road to the north providing the main site road with a spur to the west. From these adoptable roads a number of private drives will extend to service further dwellings and the three blocks of flats. There will be an additional pedestrian access to Billing Brook Road on the west of the site. 7.4 The majority of existing trees on the west boundary are to be retained, as will trees to the north and north eastern boundaries. These will surround a proposed area of public open space which will include an area of Sustainable Urban Drainage (SUDS). 7.5 The 4-storey flats are positioned at the north-eastern corner of the site, at the lowest point adjacent to the proposed area of open space. The flats will overlook the open space and a parking area to the front, providing a good level of natural surveillance. The flats would not feature any private gardens which is considered appropriate given that such accommodation tends not be occupied as family housing. Areas of bin and cycle storage have been identified to serve the flats and a condition is recommended requiring further details of these to secure a good standard of development. 7.6 The proposed dwellings are a mixture of semi-detached properties and small terraces of three and four dwellings. The dwellings are all two storey and ridge heights are fairly similar throughout the site, although the change in ground levels would result in a varying streetscape. The design of the proposed dwellings has been derived from an assessment of the surroundings, but with a more modern style. The applicant has also submitted a proposed palette of materials which ensures that the development would be constructed from materials that are complimentary to the surrounding area. It is considered that the development would not have an adverse impact on the character and appearance of the area. A condition is recommended to secure the proposed materials. 7.7 The development has been designed to ensure that the future residents of the development have an appropriate level of light, outlook and privacy necessary to secure a good standard of accommodation, and in line with the requirements of national and local planning policies. The dwellings have garden spaces sufficient to secure a satisfactory amenity area. To comply with Police comments plans have been submitted detailing secure boundary treatments and including lockable gates for rear shared access paths. 7.8 The majority of car parking would be located within the curtilage of individual dwellings, or off small private drives overlooked by the dwellings. The location of the parking spaces are considered to be acceptable, and offer a secure form of development. ## Impact On Neighbours 7.9 The site is generally remote from any neighbouring residential occupiers, other than four existing houses situated on the opposite side of Birds Hill Walk. These houses are largely screened by trees. Due to this screening and the separation distance between the properties it is not considered that the occupiers of these dwellings will be unduly impacted by the proposal. 7.10 Objections were initially received from Northampton Academy who own a field to the east of the site. Following a meeting with the applicant these objections have since been withdrawn. Billing Brook School to the north of the site have also objected to the proposal with concerns about overlooking from the proposed flats, and also with regard to highway safety. The four storey flats will be located on the lowest part of the site and will be largely screened by highway trees outside the site. Billing Brook School is located on the opposite side of Birds Hill Road and some considerable distance from the application site. It is not considered that there will be any undue overlooking of the school from the application site. Concerns about additional traffic are matters that have been considered by the Highway Authority and are addressed in the following section. ## Highways 7.11 The development would be accessed via Billing Brook Road. A Transport Assessment was submitted with the application which has been reviewed by the Highway Authority. They have identified a need for highway improvements to mitigate the proposal on the southern approach to the junction. Further details of these will be submitted by the applicant and the works will secured by way of a Section 106 Legal agreement. 7.12 The Highway Authority has also raised concerns regarding forward visibility for vehicles turning right into the site. It is agreed that the matter can be dealt with by way of a condition requiring amended plans for the junction design and a condition is recommended to secure this. The Highway Authority also recommend a condition to remove low hanging branches from nearby trees which may affect visibility. These trees are within the highway verge and not within the application site. As such, it is not considered that this is a condition that is reasonable or enforceable. 7.13 The development proposes two off street parking spaces per dwelling, with one off street parking space per flat, with visitor parking proposed on street. The width of the adoptable roads are 5.5 metres to accommodate this. Given the sustainable location of the site, it is considered the scheme represents an appropriate level of car parking and the Highway Authority are satisfied with the level of provision proposed. 7.14 Various amendments have been made to the scheme during the course of the application to comply with Highway comments and recommendations. The original proposal for the development was for houses facing onto Birds Hill Road, providing an active frontage, with car parking spaces located at the rear. However, both the Highway Authority and Crime Prevention Design Advisor raised concerns regarding the security of parking at the rear of the site. The applicant has stated that the adopted highway terminates at the junction between Birds Hill Road and Billing Brook Road and as such parking spaces cannot be provided at the front of the dwellings as they could not be legally accessed. Subsequently, the layout has been amended turning the houses round so that they now back onto Birds Hill Walk. The Highway Authority has confirmed that they now consider the layout to be acceptable. The Crime and Design Officer requires rear boundary treatment to deter crime. This can be dealt with as part of the landscaping scheme. ## Travel Plan 7.15 As the development is located within a short distance from local shops, schools, amenities and public transport the site is in a highly sustainable location. A Travel Plan was submitted with the application however, further information is required to satisfy the Highway Authority's full requirement and a condition to that effect is recommended. ## Drainage 7.16 A flood risk assessment has been submitted with the application together with further information requested by the Lead Local Flood Authority. The Environment Agency and the Lead Local Flood Authority have raised no objections, subject to the imposition of planning conditions. ## Trees And Ecology 7.17 There are a number of trees on the site with the majority around the periphery of the site. The majority of trees on the west boundary are to be retained, maintaining an established buffer to the site and to Billing Brook Road. Several trees within the site and on the eastern and southern boundaries will have to be removed to accommodate the development with the exception of the south-east corner and north-east boundary. An Arboricultural Implication Assessment has been submitted which provides various assessments to show how the proposed development will impact the trees. The Council's Arboricultural Officer has been consulted and has no objections subject to the recommendations of the arboricultural assessment being complied with. A condition is therefore recommended to this effect and to protect the retained trees during development. 7.18 An Ecology and Phase 1 Habitat Survey has been submitted with the application. The Ecology Officer is satisfied that the potential impacts of the development have been satisfactorily addressed. It identifies that the site is not of significance for most species but that mitigation measures for birds and bats would be appropriate. Conditions relating to site clearance and mitigation are recommended. ## Air Quality 7.19 An Air Quality Assessment was submitted following comments received from Public Protection Officers. To comply with the requirements of the Councils Low Emission Strategy it is recommended that electrical vehicle charging points should be provided as mitigation for the impacts of the development. A condition is recommended to secure an appropriate scheme. ## Section 106 And Community Infrastructure Levy (Cil) 7.20 The development of the site would be CIL liable and subject to the requirements of Northampton Borough Council's CIL Regulation 123 List which includes the following:  Northampton Growth Management Strategy  Northampton North West Bypass Phase 2  Indoor sports facilities  Education (excluding primary schools) 7.21 By reason of the scale and type of the development, developer contributions are required to mitigate the relevant impacts, to be secured by way of a Section 106 Legal agreement. The Community Infrastructure Levy Regulations 2010 specify three key legal tests in ascertaining whether a particular obligation can be requested. These specify that obligations should be: i) Necessary to make the development acceptable in planning terms; ii) Directly related to the development; and iii) Fairly and reasonably related in scale and kind to the development. 7.22 In line with policy requirements, 35% of the development would be provided as affordable housing and secured as part of the S106 Legal agreement. The tenure and mix are to be agreed to ensure that an appropriate mix is achieved that addresses the needs of a wider number of people. Furthermore, the legal agreement would ensure that the affordable housing is representative of the overall composition of the development. 7.23 In addition to the highway works as referenced in paragraph 7.11 the Legal agreement would secure financial contributions for the provision of primary education (secondary education being covered by CIL). 7.24 The County Council has also requested financial contributions for fire and rescue, libraries and broadband. There is no policy basis for such payments and it is not clear how they would conform with the statutory tests set out in CIL Regulation 122. Such contributions are not therefore proposed to be requested. 7.25 Whilst an area of open space is provided on site, this is not sufficient to comply with the requirements of the Council's Supplementary Planning Document on Developer Contributions. As such it is recommended that a financial contribution is secured to facilitate enhancements to offsite areas of open space within the vicinity of the site. 7.26 The development will also make a payment and provide opportunities for the provision construction worker training, which would be secured by the legal agreement in accordance with adopted policy. ## 8. Conclusion 8.1 The principle of residential development has been established by the previous outline permission on the site. The detailed design and layout of the current proposal is considered to be acceptable and would make a positive contribution towards the Council's 5-year housing supply. The development would also be of an acceptable design and, subject to conditions would not adversely impact on highway conditions, drainage, ecology or trees, and would have a neutral impact upon the occupiers of neighbouring properties. Suitable mitigation would also be secured through the recommended conditions and the legal agreement. ## 9. Conditions 1. The development hereby permitted shall be begun before the expiration of three years from the date of this permission. Reason: To comply with Section 91 of the Town and Country Planning Act 1990. 2. The development hereby permitted shall be carried out in accordance with the above schedule of approved plans. Reason: For the avoidance of doubt and to accord with the terms of the planning application. 3. The development hereby permitted shall be carried out in accordance with the materials detailed on drawings 40947 032D, 409033A, 40947 035. Reason: In the interests of visual amenity and to ensure that the development will harmonise with its surroundings in accordance with Policy E20 of the Northampton Local Plan. 4. Prior to the commencement of construction works on site, details of the existing and proposed ground levels and finished floor levels of the development shall be submitted to and approved in writing by the Local Planning Authority. Thereafter the development shall be implemented in accordance with the approved details. Reason: In the interests of amenity and to secure a satisfactory standard of development in accordance with Policy E20 of the Northampton Local Plan. This condition is required in order to agree such details in a timely manner. 5. Full details of the method of the treatment of the boundary of the SUDS site within the area of public open space shall be submitted to and approved in writing by the Local Planning Authority, implemented prior to the first occupation of the buildings hereby permitted and retained thereafter. Reason: To ensure that the boundaries of the site are properly treated so as to secure a satisfactory standard of development in accordance with Policy E20 of the Northampton Local Plan. 6. Full details of facilities for the secure and covered parking of bicycles to serve the flats hereby permitted shall be submitted to and approved in writing by the Local Planning Authority. Development shall be carried out in accordance with the approved details and fully implemented prior to the flats being first brought into use and retained thereafter. Reason: To ensure the provision of adequate facilities in accordance with Policy S10 of the West Northamptonshire Joint Core Strategy. 7. Prior to construction work commencing on site an intrusive site investigation shall be carried out in accordance with the recommendations of the Geo-matters Consulting Engineers Report Ref:GML17186/1/1 dated July 2017 and the results shall be used to produce a remediation scheme which shall be submitted to the Local Planning Authority for approval. Construction work shall not commence on site until confirmation of the full implementation of the approved remediation scheme has been confirmed by means of a validation report that has been submitted to and approved by the Local Planning Authority. Reason: To ensure the effective investigation and remediation of contaminated land sites and in the interests of health and safety and the quality of the environment in accordance with Policy BN9 of the West Northamptonshire Joint Core Strategy. This condition is required in order to agree such details in a timely manner. 8. In the event that contamination is found at any time when carrying out the approved development that was not previously identified it must be reported in writing immediately to the Local Planning Authority. An investigation and risk assessment must be undertaken and where remediation is necessary a remediation scheme which is subject to the approval in writing of the Local Planning Authority. Following completion of measures identified in the approved remediation scheme a verification report must be prepared, which is subject to the approval in writing of the Local Planning Authority. Reason: To ensure the effective investigation and remediation of contaminated land sites and in the interests of health and safety and the quality of the environment in accordance with Policy BN9 of the West Northamptonshire Joint Core Strategy. 9. No development shall take place until there has been submitted to and approved in writing by the Local Planning Authority a detailed scheme of hard and soft landscaping for the site. The scheme shall include, where present, the location and species of any existing trees and hedgerows on the land and details of any to be retained. Reason: In the interests of amenity and to secure a satisfactory standard of development in accordance with Policy E20 of the Northampton Local Plan. This condition is required in order to agree such details in a timely manner. 10. All planting, seeding or turfing comprised in the approved details of landscaping shall be carried out in the first planting and seeding seasons following the occupation of the building or the completion of the development, whichever is the sooner, and which shall be maintained for a period of five years; such maintenance to include the replacement in the current or nearest planting season whichever is the sooner or shrubs that may die are removed or become seriously damaged or diseased with others of similar size and species. Reason: In the interests of amenity and to secure a satisfactory standard of development in accordance with Policy S10 of the West Northamptonshire Joint Core Strategy. 11. All trees shown to be retained in the approved plans shall be protected for the duration of the development by stout fences to be erected and maintained on alignments to be approved in writing by the Local Planning Authority before any development works take place. Within the fenced area no development works shall take place on, over or under the ground, no vehicles shall be driven, nor plant sited, no materials or waste shall be deposited, no bonfires shall be lit nor the ground level altered during the periods of development. Reason: In order to ensure adequate protection of existing trees on the site in the interests of achieving a satisfactory standard of development and maintaining the amenity of the locality in accordance with Policy BN3 of the West Northamptonshire Joint Core Strategy. This condition is required in order to agree such details in a timely manner. 12. Prior to the commencement of development a Construction Management Plan shall be submitted to and approved in writing by the Local Planning Authority. Development shall be carried out in accordance with the approved plan, which shall include: • The control of noise and dust during the development process; • Traffic management and signage during construction; • Enclosure of phase or sub-phase development sites; • Provision for all site operatives, visitors and construction vehicles loading, parking and turning within the site during the construction period; • Arrangements during the construction period to minimise the deposit of mud and other debris on to the adjacent highway; • The safe means of access of construction traffic to the site; • Routing agreement for construction traffic; and • The hours in which deliveries and construction works would take place. Reason: In the interests of securing a satisfactory impact upon the highways system and neighbour amenity in accordance with the requirements of the National Planning Policy Framework and Policy BN9 of the West Northamptonshire Joint Core Strategy. This condition is required pre-commencement to ensure that such details are agreed in a timely manner. 13. Details of the provision for the storage of refuse and materials for recycling to serve the flats and apartments shall be submitted to and approved in writing by the Local Planning Authority prior to the occupation of the development, implemented prior to the occupation or bringing into use of the buildings and thereafter retained. Reason: In the interests of amenity and to secure a satisfactory standard of development in accordance with Policies H1 and S10 of the West Northamptonshire Joint Core Strategy. 14. The development hereby permitted shall be carried out in accordance with the boundary plan detailed on drawing number 40947 028D. Reason: In the interests of securing a satisfactory form of development in accordance with the requirements of the National Planning Policy Framework. 15. Full details of the security measures to be incorporated into the development shall be submitted to and approved in writing by the Local Planning Authority. The development shall carried out in accordance with the approved measures, which shall be in place before the occupation of the residential accommodation. Reason: To ensure a satisfactory standard of accommodation is provided in the interests of the amenity of occupants in accordance with Policy S10 of the West Northamptonshire Joint Core Strategy. 16. No development shall commence until a foul water strategy has been submitted to and approved in writing by the Local Planning Authority. No dwellings shall be occupied until the works have been carried out in accordance with the foul water strategy so approved unless otherwise approved in writing by the Local Planning Authority. Reason: To prevent environmental and amenity problems arising from flooding in accordance with the requirements of the National Planning Policy Framework. This condition is required in order to agree such details in a timely manner. 17. No development shall commence until a detailed surface water drainage scheme for the site based on sustainable drainage principles and an assessment of the hydrological and hydro geological context of the development should be submitted and approved in writing by the Local Planning Authority. The scheme shall subsequently be implemented in accordance with the approved details before the development is first occupied and shall be retained thereafter. Reason: To prevent the increased risk of flooding, both on and off site in accordance with the requirements of the National Planning Policy Framework and Policy BN7 of the West Northamptonshire Joint Core Strategy. This condition is required in order to ensure the agreement of such details in a timely manner. 18. No development shall take place until a detailed scheme for the ownership and maintenance for every element of the surface water drainage system proposed on the site has been submitted to and approved in writing by the Local Planning Authority and the maintenance plan shall be carried in full thereafter. Reason: To ensure the future maintenance of drainage systems associated with the development in accordance with the requirements of the National Planning Policy Framework. This condition is required in order to ensure the agreement of such details in a timely manner. 19. Notwithstanding the provisions of the Town and Country Planning (General Permitted Development) (England) Order 2015 (or any order revoking and re-enacting that Order with or without modification), no extensions or other form of enlargement to the residential development hereby permitted, shall take place without the prior written consent of the Local Planning Authority. Reason: In the interests of maintaining a satisfactory standard of development and in the interests of residential amenity in accordance with Policies H1 and S10 of the West Northamptonshire Joint Core Strategy. 20. Notwithstanding the provisions of the Town and Country Planning (General Permitted Development) (England) Order 2015 (or any order revoking and re-enacting that Order with or without modification), no gates, fences, walls or any means of enclosure or similar structures other than approved under this consent shall be erected or constructed in front of the main wall of any dwelling or of any other principal building of the estate nor in front of the line of any flank wall of any dwelling where the flank boundary of the curtilage abuts a highway. Reason: To ensure that the open character of this residential development is maintained in the interests of visual amenity in accordance with Policy H1 of the West Northamptonshire Joint Core Strategy. 21. Prior to the first occupation of any unit of the proposed development the applicant shall provide a Travel Plan for written agreement by the Local Planning Authority. The measures identified shall thereafter be carried out in accordance with a timetable to be included in the full Travel Plan. Reason: In the interests of promoting more sustainable means of travel in accordance with the National Planning Policy Framework. 22. Site clearance should only be undertaken in accordance with the Site Preparation Mitigation Statement prepared by Urban Wildlife Ltd. (Mit1/WP/BB/NN3) dated 16 November 2017. Reason: In the interests of wildlife and nature conservation and promote biodiversity in accordance with Policy BN2 of the West Northamptonshire Joint Core Strategy 23. Prior to the commencement of any work other than site preparation a strategy which provides full details of measures for mitigation of the ecological impacts of the development shall be submitted to and approved in writing by the Local Planning Authority. The development shall be implemented in accordance with the approved details. Reason: In the interests of wildlife and nature conservation and promote biodiversity in accordance with Policy BN2 of the West Northamptonshire Joint Core Strategy. 24. Notwithstanding the details submitted, prior to commencement of development full details of pedestrian and vehicular visibility splays into and out of the development shall be submitted and agreed by the by the Local Planning Authority. Thereafter the development shall be implemented in accordance with the approved details prior to occupation of the development hereby permitted. Reason: In the interests of securing a satisfactory standard of development in in terms of highway safety, in accordance with the requirements of the National Planning Policy Framework. This condition is required in order to agree such details in a timely manner 25. All vehicle parking spaces, access roads, circulation space and footways shall be fully implemented prior to the first use of the residential development hereby permitted and retained for their designated use thereafter. Reason: In the interests of securing a satisfactory standard of development in terms of highway safety, in accordance with the requirements of the National Planning Policy Framework. 26. Prior to occupation of the development hereby permitted, a scheme for the installation of electric vehicle charging points within the site shall be submitted to and approved in writing by the Local Planning Authority. The development shall be carried out in accordance with the approved details. Reason: In the interest of reducing carbon emissions and securing a sustainable development in accordance with Policy S11 of the West Northamptonshire Joint Core Strategy. ## 10. Background Papers 10.1 N/2011/1263 ## 11. Legal Implications 11.1 The development is CIL liable. ## 12. Summary And Links To Corporate Plan 12.1 In reaching the attached recommendations regard has been given to securing the objectives, visions and priorities outlined in the Corporate Plan together with those of associated Frameworks and Strategies.

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## London'S Political Climate Tony Travers LSE ## Mayoral Election: 1St Preference Votes - 2000, 2004, 2008 And 2012 | | | | | | |-------------------------------------------|-----|-----|-----|----------------| | 2000 2004 2008 2012 | | | | | | | | | | | | Livingstone | | | 39 | 37 | | | | | | | | Norris/Johnson | | 27 | 29 | 43 | | | | | | | | Kramer/Hughes/Paddick | 12 | 15 | 10 | 4 | | | | | | | | Greens | | | | 2.2 | | UKIP | | | | 1.0 | | BNP | | | | 2.0 | | Sioban Benita | | | | | # Gla Elections: Assembly Seats Won - 2000, 2004, 2008 And 2012 2000 2004 2008 | Con | 9 | | 9 | 11 | | 9 | |---------|------|-----|------|---------------|-----|------| | Lab | 9 | | 7 | | 8 | 12 | | LD | | 4 | | 5 | | 3 | | Green | 3 | | 2 | | 2 | | | UKIP | 0 | | 2 | | 0 | | | BNP | 0 | | 0 | | 1 | | ## Gla Elections: Assembly 'List' Vote Share - 2000, 2004, 2008 And 2012 | | | | | | | 2000 2004 2008 | 2012 | |----------|-----|-----|-----|-----|-----|------------------------------------------------------------------------------|------------------------| | Con | 29 | | 29 | | 35 | | 32 | | Lab | 30 | | 25 | | 28 | | 41 | | LD | 15 | | 17 | | 11 | | 6.8 | | | | | | | | | | | Green 11 | | 8.6 | | 8.4 | | 8.5 | | | UKIP | 2.1 | | 8.4 | | 1.9 | | 4.5 | | BNP | 2.9 | | 4.8 | | 5.4 | | 2.1 | | Oth | 10 | | 7 | | 10 | | 4.9 | | | | | | | | | | ## Johnson/Livingstone Vs Con/Lab - Vote Share 2008 And 2012 | | | | | | % | % | |--------------------|-----|-----|-----|-----|------|-------| | Johnson | | | | 43 | 44 | +1 | | Conservatives | | | 35 | 32 | -3 | | | Johnson 'lead' | | | 8 | 12 | +4 | | | | | | | | | | | | | | | | | | | Livingstone | | | 37 | 40 | +3 | | | Labour | | | | 28 | 41 | +13 | | Livingstone 'lead' | | 9 | -1 | -10 | | | | | | | | | | | ## 'Swing' Con To Lab - 2008 To 2012 Mayoral: 1% Assembly: 8% England: 14% 'Ken' effect, or Labour doing worse in London? ## Vote Share - Assembly List And Borough 2002 2004 2006 2008 2010 2012 Max Min LB Ass LB Ass LB Ass Con 34 31 35 37 32 32 60 31 (1968) (2004) Lab 34 25 28 28 33 41 53 25 (1971) (2004) LD 20 18 20 14 22 7 25 4 (1982) (1971) Conservative vote is resilient over time Labour vote is also resilient over time Lib Dem vote in 2012 was its worst-ever in any LB or Assembly elections ## London: "A Labour City"? Conservatives - General Election Vote Share (%) | | | |-------------------------------------------------------------------------------------------|-----| | London UK London 'lead' | | | | | | 1979 | | | | | | 1983 | | | | | | 1987 | | | | | | 1992 | | | | | | 1997 | | | | | | 2001 | | | | | | 2005 | | | | | | 2010 | | | | | | | | ## London: "A Labour City"? Labour - General Election Vote Share (%) | | | |-------------------------------------------------------------------------------------------|-----| | London UK London 'lead' | | | | | | 1979 | | | | | | 1983 | | | | | | 1987 | | | | | | 1992 | | | | | | 1997 | | | | | | 2001 | | | | | | 2005 | | | | | | 2010 | | | | | | | | ## Greater London Council/Greater London Authority Elections GLC/Mayor winner Following General Election winner | 1964 | Lab | | | Lab | |----------|-----------|-----|-----|----------------| | 1967 | Con | | | Con | | 1970 | Con | | | Con | | 1973 | Lab | | | Lab | | 1977 | Con | | | Con | | 1981 | Lab | | | Con | | 2000 | Ind (Lab) | | Lab | | | 2004 | Lab | | | Lab | | 2008 | Con | | | Con (minority) | | 2012 | Con | | | ? | | | | | | | ## London'S Political Climate Tony Travers LSE

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## # Review Of Impact And Effectiveness Of Transparency and Accountability Initiatives: ## Annex 1 Service Delivery Prepared for the Transparency and Accountability Initiative Workshop October 14 - 15, 2010 Anuradha Joshi A.Joshi@ids.ac.uk Institute of Development Studies October 2010 # Impact And Effectiveness Of Transparency And Accountability And Initiatives1 A Review Of The Evidence To Date ## Service Delivery Anuradha Joshi, October 2010 0. Introduction The impact of transparency and accountability on service delivery has always been an underlying motif in the literature on service delivery. Accountability as a central theme of the debates on service delivery however, only took root after the World Development Report of 2004 which identified failures in service delivery squarely as failures in accountability relationships (World Bank 2004). By showing how the 'long route' of accountability (via elected politicians and public officials through to providers) was failing the poor, the WDR argued in favour of strengthening the 'short route'—direct accountability between users and providers. The WDR sparked off a spate of work that examined ways of strengthening the short route: from amplifying voice, increasing transparency and enhancing accountability (Sirker and Cosic 2007; McNeil and Mumvuma 2006). By now, accountability is widely accepted as key to service delivery improvements. What is interesting is that the importance of accountability (and related transparency) comes from two quite different ideological streams. On the one hand, New Public Management (NPM), which emerged in the 1990s, emphasised the use of market mechanisms within the public sector to make managers and providers more responsive and accountable (Batley 1999). While many of the NPM reforms for accountability were focussed on vertical accountability within organizations, e.g. performance based pay; a sub set related to downward accountability to citizens, e.g. citizen charters and complaint hotlines. In keeping with the intellectual traditions from which the NPM approach emerged, most of these downward accountability mechanisms were oriented to users as individual consumers who could choose to use these mechanisms or, alternatively, exit in favour of other providers. On the other hand, and at the same time, the failure of democratic institutions to deliver for the poor also resulted in calls for deepening democracy through the direct participation of citizens in governance (Fox 2007). Innovative institutions such as governance councils in Brazil or village assemblies in India were viewed as embodying this spirit (Cornwall and Coelho 2006, Manor 2004). In parallel, social movements were arguing that governments had an obligation to protect and provide basic services as 'rights' that were protected under constitutions rather than 'needs' which were at the discretion of officials to interpret and fulfil. Advocates of rightsbased approaches to basic services identified ways in which rights could be legislated and progressively achieved, for example in the right to education or the right to health. The rights based, direct democracy approaches were distinct from NPM in that they emphasized the collective and public good dimensions of accountability. While this double-branched provenance was timely in uniting practitioners and scholars in the importance of understanding and enhancing of transparency and accountability, it has simultaneously led to some looseness in what different people mean by the core concepts. Consequently, in the service delivery subsector, the literature which can be classified as, 'efforts to improve service delivery, increase citizen engagement, voice and accountability,' is vast. In order to bound the material for this Review and establish criteria for including or excluding specific initiatives, the first step has been to clarify the conceptual terrain and define what we mean by accountability and transparency initiatives. Transparency initiatives in service delivery are relatively easy to define: any attempts (by states or citizens) to place information or processes that were previously opaque in the public domain, accessible for use by citizen groups, providers or policy makers can be defined as transparency initiatives. Initiatives for transparency can be pro-active or reactive disclosure by government. Although freedom of information laws often play an important part in state or citizen-led transparency initiatives, this Report does not deal with attempts to legislate Freedom of Information or the overall impacts of such a law as it is covered by a separate report. We only focus on instances where freedom of information might have been central to improvements in public services, particularly health and education. Accountability initiatives in service delivery are more difficult to define. What counts as an accountability initiative? The clearest and most basic exposition of the concept of accountability is provided by Schedler (1999) in which public accountability comprises of a relationship between the power holder (account-provider) and delegator (account-demander). There are four elements to this accountability relationship—setting standards, getting information about actions, making judgements about appropriateness and sanctioning unsatisfactory performance. If one takes this conceptualization as a benchmark, then an accountability initiative ought to combine attempts to agree standards, gain information, elicit justification, render judgement and impose sanctions. Yet in the literature on accountability, there is considerable ambiguity about which of these elements are essential for a particular initiative to be considered robust. . Often some, but not all of these four components can be found and have an impact on public services. Moreover, accountability for service delivery can be demanded from a range of stakeholders: of politicians (e.g. not adopting appropriate policies); or of public officials (not delivering according to rules or entitlements, not monitoring providers for appropriate service levels); or of providers (not maintaining service levels in terms of access and quality). Further, initiatives to hold these multiple actors to account can be state-led or citizen-led. In this review, we have chosen to highlight initiatives that are largely citizen-led and fall into the realm of 'social accountability.' This is partly because the recent literature on service delivery has highlighted the failures of traditional accountability mechanisms and placed greater faith in demand-led accountability initiatives from below. The range of such 'social accountability' initiatives is also relatively new and has not been examined closely for evidence of impact. In fact, the emerging literature on social accountability also has tended to use the term quite loosely (Joshi 2008). Some limit the term social accountability to citizen groups monitoring the use of public authority (Peruzzotti and Smulovitz 2006). Others include participation in policy making, policy advocacy and deliberation as part of the social accountability terrain (Arroyo 2004, Malena et al. 2004). Some scholars treat the question as an empirical one: asking whether particular institutional spaces are used for certain kinds of engagement, inclusion and accountability (Cornwall and Coelho 2006). Further, at the outset, we faced the question of whether to include initiatives meant to reform policies or establish new entitlements (e.g. collective action for a right to education law). If one takes a broad view of accountability, particularly accountability to citizens on the part of elected legislators (promising to pass policies that they were expected to deliver), then such attempts to change policy from below would fall within the purview of accountability initiatives. We have many examples of social movements mobilizing and succeeding in reforming laws (Gaventa and McGee 2010). However, for the purposes of this Review, we have left these out because such cases are part of complex political processes in which citizen action forms only a part of the story. Fortuitous political circumstances, leadership by particular individuals and other contextual factors are often critical parts of successes in non predictable ways. While process tracing can show how citizen action contributed to particular outcomes we cannot treat them as pure accountability initiatives in the strict sense (in the sense of passing judgement on the conduct of public officials who had been delegated powers). They fall within the remit of normal politics. Our focus then, is to examine initiatives that are explicitly oriented towards monitoring and demanding accountability for performance in services that are widely accepted as entitlements (either 'hard' entitlements through laws or 'soft' ones through government rules or widely accepted norms). In doing so, we need to differentiate what we call accountability initiatives (which involve monitoring and sometimes sanctions) from the broader literature on participation and citizen engagement. While participatory approaches might be part of accountability initiatives or accompany them, they go beyond accountability work. Further, the literature often discusses both 'voice' and accountability initiatives together—raising the issue that 'voice' could be raised in the interest of participation as well as accountability (Rocha Menocal and Sharma 2008; Green 2008). We do this by explicitly excluding attempts by citizen groups to link users with government services (e.g. encouraging women to go to public hospitals for child deliveries) or attempts by providers to engage citizens in the delivery of services or participate in decision-making (e.g. involving households in spreading messages about hygiene and sanitation, or participatory planning). We also exclude examples where citizen groups are mobilizing and self providing services, or helping access government services (e.g. community health insurance groups for paying for access to public health care). On the one hand narrowing down our focus in this fashion makes the evidence to be reviewed more manageable. On the other hand, however, the problem of attribution remains: in many cases, accountability initiatives are one part of a package of strategies that citizen groups use to gain better services—mobilization, political advocacy, intermediation, self provisioning, participation etc. For example, HakiElimu in Tanzania appears to have made some impact on the education system (e.g. improved teacher pupil ratios, through a strategy of budget analysis, research, media dissemination, policy analysis, monitoring and advocacy (IBP 2008). This makes the task of isolating the impact of accountability initiatives difficult; and harder because a large part of the evidence comes from case studies involving narrative descriptions of the impact of citizen-led initiatives that do not separate out the contribution of different strategies. It also raises the important question that further research needs to examine: what is the relationship between transparency, accountability and participation in improving public services? Finally, the remit of this sector paper—to review the impact of transparency and accountability initiatives in the health and education sectors—poses some challenges. First, the evidence on the impact of many accountability initiatives in the service delivery subsector is oriented around the tools of accountability such as PETS, citizen report cards, social audits, community monitoring etc. Evidence of the impact of these is not confined to the health and education sectors. In order to capture the learning from these broader experiences with the specific accountability tools, we have included literature from other sectors that seems relevant. Second, there is an issue that is of relevance to health and education specifically: that of uptake by the poor. When public health or education services are poor, the poor often choose to go elsewhere—either to private practitioners of uncertain quality (e.g. health care) or to opt out (e.g. not send their children to school). Thus accountability initiatives targeting health and education are often attempting to both improve the quality of services, but also increase uptake so that accountability mechanisms can come into play. Separating out the impact of these different strategies can be difficult as we shall see in the cases reviewed. Finally, it should be clarified that this review is not exhaustive, but illustrative. We have excluded from this report the literature that deals with accountability initiatives related to budgets and freedom of information (unless they deal specifically with health and education) because these are the focus of separate sub-sector papers. With these preliminary boundary setting parameters in place, the next section reviews the expected impacts of accountability and transparency initiatives and the theories of change that underpin them. Section III forms the bulk of the paper and presents the evidence on impact. The methodologies used in assessing evidence are discussed in Section IV and the key factors that seem to be common to successful initiatives briefly outlined in Section V. In the concluding Section (VI) we point to some of the main gaps in the literature on impact where research efforts need to be focussed. I. Assumptions and Expected Impacts The links between transparency and accountability and their impact and effectiveness in the service delivery arena are often largely assumed rather than explicitly articulated. Most generally, the assumed link leads from awareness (through transparency and information) to empowerment and articulating voice (through formal and informal institutions) and ultimately accountability (changing the incentives of providers so that change their behaviour and respond in fear of sanctions). Yet, this chain of causation is seldom explicitly examined. In fact, many initiatives are focussed at increasing transparency and amplifying voice, without examining the link of these with accountability and ultimately responsiveness. There is also lack of clarity in what the expected impacts actually are—for example, some studies look at the strengthening of the media as expected impacts (COMGAP 2007) while others consider an active and independent media to be a factor in other impacts such as improved responsiveness. This confusion arises partly because studies of impact rarely look at the impact of accountability and transparency alone—they often look at the impact of a range of governance interventions. Moreover, different studies identify a wide range of expected impacts—from improving the quality of governance (Malena et al 2004) to increased empowerment of citizens (Gaventa and Barrett 2010). Examining this diverse literature however, one can classify expected impacts into three broad categories. The first, and often strongest set of claims in relation to service delivery, is that accountability and transparency initiatives expose corruption. Transparency, in particular is expected to help in exposing corruption through highlighting discrepancies in public accounts and triggering more formal accountability mechanisms such as audits and investigations. In this narrative of the role of transparency however, there is an underlying assumption: that the information made public through transparency initiatives will have to be used by concerned citizens through exercising voice and expressing outrage at misconduct. And there is an assumed relationship between increased voice and improved accountability—as Fox (2007) puts it, transparency will not always lead to accountability. Even when citizens protest against misconduct, there needs to be a pressure for public authorities to respond and sanction those responsible. Certain transparency and accountability mechanisms, especially when supported by the threat of credible sanctions, are expected to shift the incentives of public officials by increasing the probability of exposure and the cost of being found guilty. The second, related set of claims is that transparency and accountability lead to increased responsiveness on the part of providers; improved access and quality of services; and consequently better developmental outcomes. These claims are based on a number of changes at intermediate levels including, improved policy, practice, behaviour and power relations (Rocha Menocal and Sharma 2008). Underlying this claim are a number of assumptions--that the exposure of poor performance will lead to greater responsiveness; that failures in service delivery are due to poor motivation on the part of public officials and not lack of resources or capacities; or that the existence of accountability and transparency mechanisms will have a deterrent effect on errant officials and make them behave better. Yet, there is no clear reason why all of these assumptions will hold true in specific cases: public providers may be immune to exposure of poor performance, increased citizen voice may be met with backlash and reprisals, lack of resources may constrain public officials' capacity to respond, and accountability mechanisms may not be enough of a deterrent. In addition, there is an assumption that the outputs of public services (e.g. increased enrolment), will lead to improved developmental outcomes in health and education. Outcomes may be contingent on other factors unrelated to quality or access, and might need complementary interventions. Finally, a related, often unstated assumption is that effective institutions are transparent and accountable—in other words 'all good things go together.' Yet, we know that there is a tension between effectiveness and accountability and need to tease out the conditions under which the two move in parallel (Mainwaring 2003). Thus the claim of better accountability and transparency systems leading to improved outcomes in service delivery is based on a series of step by step assumptions that are subject to question in specific cases. The final set of claims is that transparency and accountability initiatives lead to greater empowerment of poor people, greater awareness of rights by users and greater engagement in service delivery through the practice of citizenship. The logical chain linking transparency to empowerment is clear: information is power. When better information about rights and processes is disseminated, awareness about entitlements is likely to increase. In the case of accountability initiatives however the logic is less straightforward: does the active practice of holding public providers to account lead to citizens getting empowered and more likely to engage with other processes related to citizenship? The causal relationship might be the other way around, it is citizens who are mobilized and already participating in other ways (advocacy, self provisioning) who are more likely to engage in accountability activities. We simply do not know much about when do citizen groups engage in social accountability activities. To the extent that accountability initiatives are collective and aggregate citizen voice, they can be empowering of the poor, whose strength lies in numbers. The various transparency and accountability initiatives reviewed for this Report have different underlying theories of change about impact. For example, citizen report cards and community score cards are based on the assumption that providers care about their rankings either because of their reputation or potential loss of users. Community monitoring implies more of a watchdog role that can pitch community members in an adversarial relationship vis-à-vis providers. Public Expenditure Tracking Surveys (PETS) are largely meant to expose blocks in fund flows and expose corruption and improve provider behaviour due to fear of exposure. Thus, not all accountability initiatives are expected to deliver on all three categories of impact, and the actual evidence reviewed suggests that their impacts vary on the three dimensions. II. The Evidence of Impact The evidence on impact of transparency and accountability initiatives in the service delivery subsector range from the highly quantitative, e.g. assessing the impact of narrowly defined interventions through RCT's to the largely qualitative case studies and narratives that allude to the impact of citizen groups on improving services rather than being the focus of the research. There are relatively few quantitative studies that examine the impact of transparency accountability initiatives through ex-post evaluations. Moreover, and quite importantly, the quality of the evidence varies considerably—while RCT's and similar evaluations are fairly robust and some qualitative case studies are detailed and carefully explored, other case material is descriptive than analytical and require extracting evidence on impact, rather than being impactfocussed. Given the limited of evidence, of varying quality, there is a growing interest in this area and there are several projects underway which are attempting to explicitly evaluate the impacts. For example, Global Integrity along with the World Bank is developing indicators to assess the impact of access to information in health and education services (Global Integrity 2010). The DFID-funded Governance and Transparency Fund (GTF) projects have institutionalized baseline data collection and are developing indicators in order to assess impact of their work in the future—it is too early to comment on the impact of the projects based on preliminary reports. From the existing assessments, there are no attempts to compare the impacts of different mechanisms or reach broader conclusions about the factors that contribute to success in specific strategies. The overall evidence suggests that transparency and accountability initiatives score higher on *effectiveness* (in that they are often well implemented and reach first order goals—complaint mechanisms are used, or corruption is exposed) than on *impact* (in improving responsiveness of providers, or improving services themselves), The evidence also suggests mixed impacts on the three sets of expectations outlined earlier. Rocha Menocal and Sharma (2008), evaluating the impact of five donor-led voice and accountability initiatives conclude that donor expectations of such initiatives in terms of poverty alleviation goals or the achievement of the MDG's is too high. None of the interventions studied could clearly demonstrate impact towards the MDGs. Rather, they conclude that the contribution of these initiatives was in terms of more intermediate changes such as changes in behaviour and practice of public officials and some changes in policy. The interventions studied in their evaluation however, do not explicitly focus on health or education services. In general, there appears to be limited evidence of impact on broader developmental outcomes. They find that when voice and accountability interventions are targeted directly to women and marginalized groups, there is some impact on empowerment (however, it is not clear what indicators of empowerment being used in these studies). In a report evaluating 100 case studies that mapped the outcomes of citizen engagement, Gaventa and Barrett (2010) find over 30 cases in which significant impacts were made in service delivery including in the health and education sectors. For example, in Brazil, the new participatory governance councils have been significant in improving access and quality of health care services. In Bangladesh, parents of girls in schools mobilized to monitor teacher attendance and discourage absenteeism. While the methodology used to synthesize comparative findings advances the ways in which qualitative case material can be analysed; the cases cover all forms of citizen engagement (not isolating transparency and accountability initiatives). There are a few examples of studies examining whether top-down accountability initiatives work better than bottom-up initiatives and the evidence seems mixed. In an interesting examination of whether top down or bottom up accountability mechanisms work better, Nguyen and Lassibille (2008) report on a random experiment in which different approaches were compared in schools in Madagascar. The findings showed that demand-led interventions led to significantly improved teacher behaviour, improved school attendance and test scores compared to the top-down interventions which seemed to have minimal effects. It appears that although managers had better tools to hold lower level staff accountable, they were unlikely to do so without greater incentives. Similarly another random experiment in Kenya found that hiring contract teachers along with community monitoring along had significant impacts on student achievements. In contrast, a widely cited study on citizen monitoring of road projects in Indonesia found that citizen monitoring had little average impact compared to increasing government audits (Olken 2007). What emerges is that there are few comparative studies that look explicitly at impact of accountability initiatives. In the absence of comparative literature on impact, particularly on health and education, the rest of this section is organized around the new mechanisms of accountability and transparency focussing on social accountability. We start with simpler efforts to increase transparency and end with more complex initiatives meant to improve accountability. A. Information dissemination There have been a number of recent studies attempting to assess the impact of transparency and information on citizen engagement and service provision and the evidence seems mixed. An RCT examination of the impact of a community-based information campaign on school performance in three states in India found that the intervention had an overall positive impact (Pandey et al 2009). The greatest effect was on teacher presence and effort whereas the impact on pupil learning was more modest. By contrast, in another RCT study of the impact of information on the ability of communities to engage in accountability mechanisms and subsequent impacts on quality of services in India, Banerjee et al (2009) show that providing information (about the education programme as well as the level of child achievement in literacy and numeracy) had little impact on engaging with the school system or demanding accountability. Rather, when community volunteers were trained to carry out remedial classes outside the classroom, it had a greater impact on children's literacy and numeracy skills. The paper concludes that communities face serious constraints in engaging to improve the public school system even when they have information and a desire to improve education. As Khemani (2008) points out in her comparative paper of the Indian and Ugandan cases, two different studies of community engagement with information came to two strikingly different conclusions. B. Public Expenditure Tracking Surveys Public Expenditure Tracking Surveys (PETS) have been used in many countries to highlight leakages and gaps in the delivery of funds to the local level. In a survey of PETS in Africa Gauthier (2006) notes that in almost all cases, they have highlighted the leakage of resources reaching facility levels. Reinikka and Svensson's (2005) pioneering examination of education expenditures in Uganda using PET surveys showed that on average only 13 percent of the actual expenditure meant for schools actually reached them. When this information was made public through an experimental information campaign, the funds reaching schools increased substantially up to 90 percent. The Ugandan government has made resource information at each tier of facilities public. Although this widely cited case has been questioned by subsequent research (see Hubbard 2007), however the broad findings of the study still stand. In Malawi, the Civil Society Coalition for quality in Basic Education has used PETS three times to achieve impact, improving its methodology each time (IBP 2008). PETS survey information was used to successfully resist the closure of teacher training colleges, get teacher salaries paid on time, and make budget allocations for students with special needs. In 2004, the government started conducting its own tracking survey following CSCQBE's success. Early indications of PETS in Tanzania for health and education spending carried out over two periods (1999 and 2001) suggest that corruption has reduced considerably (Gauthier 2006). These cases however are exceptions. Despite their success in identifying leakages and publicizing them, however, the evidence suggests that PETS have led to reforms in only a few countries, mainly due to lack of political will (Gauthier 2006). C. Complaints Mechanisms Another popular measure for increasing accountability of providers comes from variations on the complaint mechanisms including complaint hotlines and complaint management systems. In combination with citizen charters which lay out service delivery norms for basic services, these are intended to bring problems quickly to the attention of relevant personnel and set up standards for addressing complaints, which are monitored by senior managers. For the most part, such technology-based mechanisms are usually limited to urban areas. Complaint mechanisms have been initiated both by citizen groups as well as public organizations. In Hyderabad, Metro water started a complaint hotline which offered a formal accountability mechanism for citizens. By using this direct link with citizens, managers were able to hold frontline providers accountable. The findings of this evaluation suggested that the performance of frontline workers improved and corruption was considerably reduced (Caseley 2003). In Mumbai, India, a citizen group initiated the Online Complaint Management System (OCMS) which streamlined all complaints on urban public services into an online database which could be used to compile data on time taken to address complaints compared to set norms. An early World Bank study found that the system was successful in putting pressure on public officials to deal with complaints on time. In another initiative, Lok Satta, a citizen group in Andhra Pradesh, worked with municipal authorities to publicise citizen charters for forty common public services in one hundred municipalities in the state combined with efficient complaint mechanisms. The charters were combined with the training of citizens to monitor services and a compensation clause that pays citizens Rs. 50 per day of delay in public services. A review of this experience suggests that the charters have worked better in urban areas than in rural areas because of greater awareness. It was also found that the compensation clause to be recovered from the salary of the employee at fault has been 'properly implemented' (Sirker and Cosic 2007). There is other research showing that citizen dissatisfaction with services at the local level often take the form of individuals complaining loudly publicly about their treatment by frontline providers what Hossain (2009) calls 'rude accountability.' Such naming and shaming might be the only option for very marginalized groups and seems to work particularly well for women; however the broader impact and potential for scaling up such a strategy remains to be researched. D. Citizen Report Cards Citizen Report Cards follow the practice of consumer satisfaction surveys in the private sector. Citizen report card surveys can be carried out by citizen groups or independent bodies. The expectation is that public exposure of comparative poor performance will spur lagging public agencies to perform better. The distinguishing characteristic of citizen report cards is that they are individual opinion-based and usually done at the macro level. The evidence of impact of such Citizen Report Cards has been mixed. A positive review of the Citizen Report Cards in Bangalore (where they were first pioneered by a citizen group called the Public Affairs Centre) by Ravindra (2004) shows that they have had considerable impact on improving public services. As a UN report indicated, not only did public satisfaction with services improve, but the incidence of corruption appears to have declined (UN 2007:87-88). Further, the evaluation identified that citizen mobilization and awareness had increased as a result of the report cards, and more interestingly, public agencies had become more transparent and willing to share information with citizen groups. Two factors seem to be critical in influencing the impact of report cards as identified by this assessment—a) the presence of a active and independent media and civil society organizations that are willing to use information to press for accountability and reforms and b) the presence of public officials who are catalysed by the poor performance of their agencies and willing to reform. A more mixed assessment of provider based report cards is provided by McNamara (2006) who has assessed their use in the health sector in the United States. She finds that the impacts depend to a large extent on the indicators that are actually used in evaluating providers. In some cases, providers have improved services in response; in others, providers have worked towards improving rankings by using strategies that might undermine services. What is interesting is that uniformly, it appears, publicly generated performance data has not influenced citizens' choice of facilities. In the developing world, Uganda has used report cards to rank hospitals (Uganda DISH, 2004). Although no systematic studies of their impact on services have been done, it appears that the average score of providers climbed substantially in the two report card periods. Yet the findings of impacts on service delivery based on report card type initiatives have to be interpreted cautiously. As Deichmann and Lall (2007) show, citizen satisfaction is in part determined by factors unrelated to actual service quality experienced by the households. More recent efforts to use Citizen Report Cards are moving away from satisfaction surveys to more objective indicators of the actual quality of services received as is evidenced by the Delivering Services Indicators proposed for education and health services in Africa (Bold et al 2010). E. Community Score Cards Several groups are now using Community Score Cards to assess the performance of local public services. Community Score Cards are a hybrid of citizen report cards, community monitoring and social audits. Besides assessing levels of service satisfaction by users, the Community Scorecard process involves community meetings in which performance of public services is discussed among providers, users and other stakeholders and includes self-evaluation of their own performance by providers as well as formulating an action plan based on scorecard outputs. A key feature distinguishing Community Scorecards is the collective engagement of both providers and users, in designing, implementing and use of the Cards. Analysis of the use of community score cards in primary health care services in Andhra Pradesh, India found that there were stark discrepancies between the self-evaluation of providers and the evaluation of communities (Misra 2007). Subsequent discussion of these different perceptions resulted in an action plan in which providers agreed to undergo training to improve their interactions with users, to change timings of the health centre to better meet community needs, to institutionalize a better grievance redressal system and to display medicine stocks publicly. Overall the process resulted in increased user satisfaction levels and better understanding of the constraints providers face. In Madagascar, assessing services using the Local Governance Barometer (LGB) (a process that involved local officials and communities) found that there were very low levels of perception of accountability by citizens (Dufils 2010). The resultant action plan had several positive impacts: effective channels of collaboration and communication were developed; complaint processes were improved; and recruitment procedures for municipal staff were improved, with more women being hired at senior levels. Hakikazi, an initiative in Tanzania is using a hybrid of community score cards and citizen report cards to assess the progress of their Poverty Reduction Strategy (Sundet 2004). The cards, called PIMA cards are individually administered but set in the context of group discussion. However, the initiative is quite new and too early for evaluating impact. F. Community Monitoring Community monitoring is a slightly different from the Community Scorecards in that the idea is to monitor ongoing activities of public agencies (rather than rate outcomes). Often community monitoring is used as a way of ensuring that ongoing performance is as per norms—and is focussed on observable features, for example, teacher or doctor attendance, quality of construction in facilities or ensuring appropriate procedures are followed. In particular, community monitoring has been useful in bringing to light instances of corruption or diversion of public resources. In Uganda, community monitoring by the Uganda Debt Network has been successful in improving facilities at the local level. Monitoring by trained community workers led to the identification of 'shoddy work' by contractors in the construction of classrooms and health posts (Renzio et al. 2006). In several cases community monitoring reported some of the equipment allocated to a health post as missing, and official investigation led to recovery of the missing material. Community monitoring can improve the quality of services. In an experiment Bjorkman and Svensson (2009) found that when local NGOs encouraged communities to engage with local health services, they were more likely to monitor providers. As a result, provider absenteeism declined and responsiveness increased in terms of shorter waiting times, greater efforts to respond to community needs. Usage of public health services also increased, and was reflected in better health outcomes such as reduced child mortality. These findings reflect a vicious cycle in some public services (e.g. poor quality, lack of uptake and interest, resulting in further worsening of quality and lack of accountability). When uptake increases, then accountability demands are also likely to increase: as a corollary, when accountability exists, uptake will increase. Duflo et al (2008) found that improving incentives for teachers combined with strong accountability mechanisms improved teacher attendance rates in schools in India. In the randomized controlled trial, cameras were given to schools to take pictures (digitally dated) of teachers at the beginning and end of each day. Teachers were guaranteed a base pay with additional increments linked to attendance rates. Absence rates in treated schools dropped to 21 percent (compared to a little over forty at baseline and in comparison schools) and stayed low even after fourteen months of the program. This study illustrates that accountability mechanisms alone may not be sufficient to result in provider responsiveness and subsequently better services. Greater capacity (and incentives) on the part of providers may be necessary accompaniments to accountability. G. Public Hearings and Social Audits In India, the MKSS pioneered the strategy of using public hearings (jan sunvais) to hold public officials accountable for local level implementation of programmes. Jan sunvais operate by first gathering information about the budgets and expenditure in public programmes and presenting and verifying these in a public gathering in which all relevant stakeholders—public officials, elected leaders, private contractors and workers—are present. These early public hearings had significant impact in exposing corruption in public works programmes, and in some instances even getting public officials to return the money that they had appropriated. Apart from the work of MKSS which has been widely publicised, Parivartan, a grassroots organization in Delhi held public hearings on the implementation of the Public Distribution System (PDS)—a large food subsidy programme intended for the poor. The depth of corruption exposed through the process led to improvements in the operation of PDS as well as institutionalization of a system of monthly 'opening of the books' for public scrutiny (Pande 2008). Public hearings have also been held by the Right to Health movement in India in an attempt to expose the poor access to healthcare for the poor and provide an evidence base for advocating reforms. There has been no clear study of their impact (Duggal 2005). While initially such public hearings were informally organized, due to their success and widespread credibility, they have been institutionalized in some national programmes, most prominently the National Rural Employment Guarantee Act (NREGA) in the form of social audits. A study of social audits in the state of Andhra Pradesh where the state has taken a lead in institutionalizing them, found that social audits have led to a statistically significant increase in employment generated, as well as an increase in the exposure of corruption within the programme—with a significant amount of programme funds being recovered (Singh and Vutukuru 2010). To summarize, there is a sufficient mass of evidence now suggesting that the new accountability mechanisms have been effective in their immediate goals—citizen report cards have been implemented and publicized, community monitoring has been carried out and information has been publicised. There is strong evidence of impact on public services in an array of cases. Mechanisms helping to expose corruption (e.g. public expenditure tracking or community monitoring of infrastructure) have had the clearest impact in terms of bringing to light discrepancies between official accounts and the reality of practice (e.g. absenteeism). Initiatives have also been quite successful in increasing awareness of entitlements, empowering people to demand accountability and claim rights as well as increase the practice of active citizenship. Where the evidence is more mixed however is the impact on actual quality and accessibility of services themselves. Despite demands for accountability and exposure of corruption, experience suggests that the kinds of direct social accountability mechanisms discussed above, have little traction unless they are able to trigger traditional accountability (e.g. investigations into corruption) and impose formal sanctions (fines for delays in provision of services). Factors such as these that impact the success of social accountability are taken up in section Five. III. Methods In the past decade, there has been a lively debate in the field about the best methods of evaluating accountability and transparency initiatives (Foresti et al 2007, O'Neil et al 2007, Holland and Thirkell 2009). The studies examined for this paper use a variety of approaches ranging from the strictly quantitative to the highly qualitative and from external, ex-post evaluations to participatory, practitioner assessments of impact. Underpinning most approaches are implicit theories of change that lead to different kinds of outcomes being evaluated. For example, Foresti et al (2007) use a theory based results chain to understand the impact of voice and accountability interventions comprising of a) opportunities and entry points; b) institutional and organizational capabilities; c) voice and accountability channels and actors; d) changes in policy, practice and behaviour, and e) broader development outcomes. Yet, the methodologies available in the literature often do not seek to evaluate or measure intermediate steps in the causal chain. For the most part the evidence reviewed here consists of four types: a) Case study material: This often largely qualitative material dominates the literature and is often more descriptive than analytical. For example, several stocktaking initiatives of social accountability initiatives undertaken through the World Bank as well as practitioners provide narratives of initiatives and attribute impact, without clarity as to how these judgements of impact were arrived at (Claasen and Alpin-Lardies 2010, Novikova 2007, McNeil and Mumvuma 2006, Sirker and Cosic 2007). Many of these cases are recorded by practitioners involved in the initiatives themselves and tend to be reports about successful cases. While this enriches cases with detailed narratives of strategies, timeframes, actor perspectives and intermediate setbacks, they are often less strong in separating out the contribution of social action from other contextual factors. There are fewer 'objective' studies, especially of failures with analysis of the reasons for disappointing results. Many of the studies are reviews of the outcomes of specific initiatives without any attempt to draw broader conclusions about the effectiveness of specific interventions under particular contexts. b) Quantitative survey material: There are very few cases of independent ex-post evaluations of accountability and transparency initiatives which attempt to evaluate the three categories of impact described earlier. An exception is the study of the Citizen Report Cards in Bangalore which used a two track methodology—of surveying citizens on perceived improvements in services, reduction of corruption and increased empowerment and qualitative interviews with public service officials to understand the impact that the Report Cards had on their work (Ravindra 2004). Another exception is the work done by Caseley (2003) evaluating the impact of accountability reforms in Metro Water which assessed performance in terms of accessibility of accountability mechanisms, reduction of corruption and increased responsiveness. But more work is needed explicitly comparing similar initiatives in different contexts to more closely isolate the factors that matter. c) Randomized Control Trials: There is a growing use of Randomised Control Trials to evaluate the impact of specific interventions on well defined outcomes and the methodology is increasingly preferred as a means of demonstrating impact (Duflo, Hanna and Ryan 2008, Bjorkman and Svensson 2009, Banerjee et al 2010, Olken 2007, Pandey et al 2009). The JPAL based at MIT has been the main pioneer of this methodology. While the methodology is rigorous and comparative, the interventions that are assessed tend to be quite narrow and the results have to be supplemented by qualitative work that can unearth processes through which the impacts are actually achieved. d) Participatory Evaluations: In several of the case studies, participatory evaluations and surveys have been the basis of judging impact. User involvement in assessing outcomes has been especially prevalent where in community score card initiatives in which there is a collective discussion of the state of public services and the development of an action plan in combination with public providers. Assessment of the changes that result is a natural extension of the evaluation methodology. Such methods are valuable because they focus on indicators that matter to users. IV. Key Factors The main finding of this review is that the wide range and diversity of initiatives in the service delivery sector make it very difficult to establish conclusions about key factors that matter in achieving impact, even within similar initiatives. The initiatives themselves vary widely even within the same broad subtype—for example within community monitoring of services. Caution is advised, as not all initiatives will result in the same kind of impact (Khemani 2008). In fact, most studies conclude that there is an urgent need to examine why certain transparency and accountability initiatives succeed and what factors seem to matter. The overarching lesson seems to be, not surprisingly, that the context matters. Political economy factors, the nature and strength of civil society movements, the relative political strength of service providers (e.g. teacher unions), the ability of cross-cutting coalitions to push reforms, the legal context, and an active media all appear to have contributed in varying degrees to the successful cases. Despite these constraints, some general themes that are common across several cases can be drawn from the existing review. First, several studies highlight that citizen-led initiatives have impact when there is willingness from the public sector to support attempts to improve accountability. This could be in the form of combined top-down and bottom-up approaches (Nguyen and Lassibille 2008) or in the form of sympathetic reformists within government (Pande 2008). In some cases, successful demands for accountability from below were accompanied by changing the incentives of public providers through carrots (Duflo et al 2008) or sanctions (Sirker and Cosic 2008). Second, most available evidence of impact is based on collective action rather than individual action. This could be because collective accountability mechanisms are better suited to use by the poor and vulnerable and are more likely to result in improved *public* good benefits as opposed to the *private* benefits that can be the outcomes of individual action (Joshi 2008). In particular collective accountability is more likely to result in reduced corruption and increased empowerment of people as citizens. It is possible that this conclusion arises from a bias in the literature itself, that has privileged collective action over individual voice and accountability measures. A research question that remains is whether individual action is effective and impactful beyond the individual benefit derived e.g. from personally getting better attention from the doctor or accessing ones entitlement to school textbooks. Third, accountability or transparency mechanisms that have the potential to trigger strong sanctions are more likely to be used and be effective in improving responsiveness by providers. Without the threat of effective sanctions (and resulting impacts), citizen mobilization is difficult to sustain in the long run. When repeated exposure of corruption is met with inaction, continued use of public exposure as an accountability strategy will likely die. Social accountability mechanisms have impact when they can trigger traditional accountability mechanisms such as investigations, inspections and audits. Fourth, information and transparency are a necessary but not sufficient condition for desired outcomes to be realised. An active and independent media seems to be a critical part of several of the successful cases. However, other contextual factors shape whether information will be used by citizen groups to demand accountability. Finally, and most importantly, accountability and transparency initiatives without corresponding support for increasing the capacity to respond can lead to inaction and frustration on the part of providers (Gaventa and Barrett 2010). Often successful initiatives have constructive engagement and dialogue between providers and users about potential reforms as part of the process of demanding accountability (Bjorkman and Svensson 2009, Fung 2001, George 2003). The community score cards approach seems to encapsulate the best of this strategy, by attempting to surface discrepancies between provider and user perceptions of service quality and working towards solutions through collective discussion and debate. The evidence to date suggests that there is a balancing of tension between demanding accountability and engaging with providers to understand the constraints they face. Information, dialogue, negotiation and compromise are key elements of such engagement. What this points to is that conceptual we need to understand the impact of accountability on its own, but also tease out its links with other forms of participation. V. Gaps This review finds that there are serious gaps in our understanding of the impacts and effectiveness of transparency and accountability initiatives in service delivery. The gaps are both conceptual as well as empirical. The conceptual gaps are critical, because they make comparability of the available evidence difficult. Although there seems to be a consensus about the importance of social accountability in improving service delivery, there is little consensus about what it exactly means. Some scholars seem to take a wide definition that encompasses almost all citizen engagement, e.g. Malena et al 2004. Others limit the use of social accountability to the monitoring of the exercise of public authority (Peruzzotti and Smulovitz 2006). There are important trade-offs in terms of analytical traction in using one set of definitions over another, but we do not actually know what they are. The question that needs to be asked is: what kinds of definitions are useful for which purposes? Moreover, as discussed earlier, while definitions of accountability usually include four elements (standards, information, justification and sanctions) there is some vagueness as to which of these form a core part of social accountability. Without a clarification of the conceptual terrain, assessing the evidence systematically remains a challenge. The empirical gaps add to the conceptual ones. As discussed earlier, there are few studies that look explicitly at impact or effectiveness—evidence has to be culled from existing accounts that are not oriented to evaluating impacts. In parallel, there is little in the form of theories of change that underpin descriptions of accountability and transparency initiatives. Because the assumptions behind specific initiatives are not made explicit, it becomes difficult to judge the extent to which initiatives were successful in the intermediate steps. There are many normative assumptions about impact and confusion about means and ends. There needs to be more explicit investigation of impact on outcomes of services rather than simply outputs. What are the kinds of interventions that are likely to improve quality of education and learning outcomes rather than simply deal with teacher absenteeism? Another problem is that the case material reported here tends to take a snapshot view of social accountability initiatives: often limiting analysis to a specific intervention and its subsequent unfolding of outcomes. Part of the reason for this is many of these initiatives are externally driven and circumscribed by project cycles (or research timeframes in the case of RCT's). Thus most studies do not examine a longer trajectory of citizen-state relationships or civil society networks that underpin the outcomes in specific social accountability initiatives, neither do they examine the influence of citizen-led activities outside the narrow scope of the initiative. Other research has shown that the history and trajectory of citizen-state interaction and informal relationships between societal groups and state actors matters in understanding outcomes .2 This lack of attention to histories and patterns of citizen-state relationships hides a more substantial gap: we do not have robust understandings of the origins of social accountability initiatives. We simply do not have systematic evidence or propositions for why citizen groups engage in social accountability in some settings and not others, over some issues and not others or at some points of time and not others. The answers to these questions is important because it enables us to understand the triggers of social accountability activities and the likelihood that institutions created to encourage social accountability will be occupied. For example, emerging research suggests that participation of citizen groups policy reform processes 'upstream,' will increase the likelihood of their engagement in social accountability activities 'downstream' (Houtzager, Joshi and Lavalle 2008). Another substantial gap in the service delivery area arises from the narrow 'object' of citizen-led accountability activities—the state. Most of the evidence on social accountability comes from citizen led action that targets the state or state providers. As a first cut, this state-focus is useful. However, we know that increasingly the state is only one of an array of legitimate actors who exercise public authority and provide services. Privatization, decentralization and varieties of co-production increase the disjuncture between traditional accountability mechanisms and the new forms of pluralistic governance. We have unfortunately little understanding of how social accountability initiatives fare when they target a diverse set of non-state actors. Further, despite the growing literature on the wide range of social accountability initiatives reported in this paper there is little attempt to analyse these comparatively. How do specific contexts influence the potential for success of particular types of initiatives? For example, are citizen report cards more likely to succeed in contexts where there is perceived competition among public agencies? Is the community scorecard methodology more appropriate to places where democracy has not established roots? Neither are they assessed comparatively for their durability or scalability.3 Are the kinds of initiatives that encourage constructive engagement between citizens and public agents more likely to be sustainable in the long run compared to those that take a more confrontational stance? Are certain kinds of initiatives more amenable to scaling up than others? Comparative evidence on the alternatives to particular interventions in various contexts and various service sectors along different dimensions of success seems to be essential in order to build a body of knowledge that will be useful for donors, practitioners and public agencies. ## References And Sources Arroyo. D. 2004. Stocktaking Of Social Accountability Initiatives In The Asia And Pacific Region. World Bank Institute Working Papers. Washington DC: The World Bank. 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Eds Mario Claasen and Carmen Alpin-Lardies. IDASA. Duflo, E., Hanna, R. and Ryan, S.P. 2008. Incentives Work: Getting Teachers to come to School. JPAL Duggal, R. 2005. "Public hearings and litigations: the new medicine for policy reform." Express Healthcare Management. January 1- 15. Foresti, M., O'Neil, T. and Hudson, A. 2007. "Evaluation of Citizen' Voice and Accountability: Evaluation Framework." London: Overseas Development Institute. Fox, J. 2007. "The Uncertain Relationship between Transparency and Accountability" Development in Practice. 17 (4) 663-71. Fung, A. 2001. "Accountable autonomy: toward empowered deliberation in Chicago schools and policing." Politics and Society, 29(1), 73–103. Gauthier, B., 2006. "PETS –QSDS in Sub-Saharan Africa: A Stocktaking Study", Washington, DC: The World Bank/HEC Montreal Gaventa, J. and G. Barrett, G. (forthcoming). "So What Difference Does it Make? Mapping the Outcomes of Citizen Engagement." Draft IDS Working Paper. Gaventa, J. and R. McGee,R. 2010. Citizen Action and National Policy Reform. Making Change Happen. London: Zed Books. George, A., 2003. "Using Accountability to Improve Reproductive Health Care." Reproductive Health Matters. Vol. 11 No. 21. 161-170 Global Integrity. 2010. Access to Information in Health and Education Project—Terms of Reference. http://commons.wikispaces.com/Access+to+Information+in+Health+and+Education+Ser vice+Delivery, accessed 30 June 2010. Green, C., 2008, 'Strengthening Voice and Accountability in the Health Sector', Produced on Behalf of the DFID-funded Partnership for Transforming Health Systems Programme, London Holland, J. and Thirkell, A. 2009, " Measuring Change and Results in Voice and Accountabiltiy Work, " Working Paper 34, London: DFID. Hossain, N. 2009, "Rude Accountability in the Unreformed State: informal Pressures on Frontline Bureaucrats in Bangladesh." IDS Working Paper 319. Houtzager, P., Joshi, A. and Gurza-Lavalle,A. 2008. State Reforms and Social Accountability. IDS Bulletin. 38 (6). Hubbard, P. 2007. "Putting the Power of Transparency in Context: information's Role in Reudcing Corruption in Uganda's Education Sector." Centre for Global Development Working Paper Number 136 http://www.cgdev.org/content/publications/detail/15050/ IBP. 2008. "Our Money, Our Responsibility: A Citizen's guide to Monitoring Government Expenditures." Joshi, A., 2008, 'Producing Social Accountability? The Impact of Service Delivery Reforms,' IDS Bulletin, Vol. 38. No. 6. Khemani, S., 2008, 'Does Community Monitoring Improve Public Services? Diverging Evidence from Uganda and India', Research Brief, September 16, 2008. Human Development and Public Services Research, World Bank. Washington D.C. Mainwaring, S. 2003. "Introduction: Democratic Accountability in Latin America." In S. Mainwaring and C. Welna eds. Democratic Accountability in Latin America. Oxford: Oxford University Press. Malena, C. , Forster, R., and Singh, J., 2004. "Social Accountability: An Introduction to the Concept and emerging Practice." Social Development Paper 76. Washington DC: The World Bank. McNamara, B. 2006. Provider-specific report cards: a tool for health sector accountability in developing countries. Health Policy and Planning. Vol. 21, No. 2 McNeil, M. and Mumvuma, T., 2006. Demanding Good Governance: A Stocktaking of Social Accountability Initiatives by Civil Society in Anglophone Africa. World Bank Institute. Washington, DC: The World Bank. Meade, B. and Gershberg, A.I., 2008. Making Education Reform Work for the Poor— Accountability and Decentralization in Latin America. Journal of Education Policy. 1464-5106. Vol, 23, No. 3 pp. 299-322. Misra, V. 2007. 'Pilot Study 1, Andhra Pradesh, India: Improving Health Services through Community Scorecards.' Learning Notes, Social Accountability Series. Washington, DC: The World Bank. Murty, J., Agarwal, S., and Shah, P., 2007, 'Maharashtra, India: Improving Panchayat Service Delivery through Community Score Cards', World Bank Social Accountability Series, World Bank, Washington D.C. Nguyen, T. and Lassibille, G. 2008. "Improving Management in Education: Evidence from a Randomized Experiment in Madagascar." Draft paper from JPAL website. Novikova, I. 2007. Stocktaking of Social Accountability Initiatives in Europe and Central Asia. ECSSD/WBI/SDV. Olken, B. 2007. "Measuring Corruption: Evidence from a Field Experiment in Indonesia." Journal of Political Economy O'Neil, T. , Foresti, M., and Hudson, A., 2007. "Evaluation of Citizens' Voice and Accountability: Review of the Literature and Donor Approaches." London: Overseas Development Institute. Pande, S., 2008, "The Right to Information and Societal Accountabilty: The Case of the Delhi PDS Campaign," IDS Bulletin. Vol, 38 No. 6. Pandey, P., Goyal, S. and Sundararaman, V., 2009, 'Community Participation in Public Schools: Impact of Information Campaigns in three Indian states', Education Economics, 17: 3 Peruzzotti, E. and Smulovitz, C., 2006. "Social Accountability: An Introduction." In E. Peruzzotti and C. Smulovitz eds. Enforcing the Rule of Law: Social Accountability in the New Latin American Democracies. Pittsburgh: University of Pittsburgh Press. Ravindra, A., 2004, 'An Assessment of the Impact of Bangalore Citizen Report Cards on the Performance of Public Agencies', Evaluation Capacity Development Working Paper no.12, Operations Evaluation Department, World Bank, Washington Reinikka, R. and Svensson. J., 2005. Fighting Corruption to Improve Schooling: Evidence from a Newspaper Campaign in Uganda. Journal of the European Economic Association. Vol. 3, No. 2-3. Renzio, P. de, Azeem, V. and Ramkumar, V. 2006. 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## First Release Provisional Woodland Statistics 2019 Edition Release Date: 13 June 2019 Coverage: United Kingdom Geographical Breakdown: Country Issued by: Forest Research, 231 Corstorphine Road, Edinburgh, EH12 7AT Enquiries: Robert Stagg 0300 067 5238 statistics@forestresearch.gov.uk Statistician: Sheila Ward 0300 067 5236 Website: www.forestresearch.gov.uk/statistics ## Contents National Statistics status 2 Introduction 3 Key findings 4 Area of woodland 5 Area of certified woodland 8 New planting 10 Publicly funded restocking 12 Woodland Carbon Code data at March 2019 15 Annex 17 ## National Statistics Status National Statistics status means that our statistics meet the highest standards of trustworthiness, quality and public value, and it is our responsibility to maintain compliance with these standards. The continued designation of these statistics as National Statistics was confirmed in March 2012 following an assessment by the UK Statistics Authority (now the Office for Statistics Regulation) against the Code of Practice for Statistics. Since the latest assessment of these statistics in 2012, we have made improvements including: - Adding charts, to illustrate how the statistics have changed over time. - Expanding the release to include Woodland Carbon Code Statistics and renaming the release to better reflect its content. - Expanding the Annex to provide more detailed information on the data used in the release. ## Introduction This release contains provisional statistics for the year to March 2019 on: - UK woodland area; - certified woodland area; - areas of new planting and publicly funded restocking; and - projects registered under the Woodland Carbon Code1. These statistics were previously released in 2 separate releases: - Woodland Area, Planting and Publicly Funded Restocking; and - Woodland Carbon Code Statistics (previously released on a quarterly basis). These provisional statistics will be superseded on 26 September 2019 with the publication of final and more detailed results in *Forestry Statistics 2019*. Estimates for England, Wales, Scotland and Northern Ireland are included in addition to UK totals. Figures at March 2019 and for the period 2018-19 are published for the first time in this release. Some figures for earlier years have been revised from those previously released. For further details, see the Revisions section of the Annex. Please refer to the Annex for a glossary of terms used in this release. In Scotland, forestry was fully devolved to Scottish Ministers on 1 April 2019. Two new agencies of the Scottish Government were created: Scottish Forestry to support the delivery of the Scottish Government's priorities for Scotland's forests through guidance, advice, incentives and regulations, and by advising ministers on forest policy; and Forestry and Land Scotland to manage national forests and land on behalf of Scottish Ministers. ## Key Findings - The area of woodland in the UK at 31 March 2019 is estimated to be 3.19 million hectares. This represents 13% of the total land area in the UK, 10% in England, 15% in Wales, 19% in Scotland and 8% in Northern Ireland. - Of the total UK woodland area, 0.86 million hectares is owned or managed by the Forestry Commission2 (in England), Forestry and Land Scotland, Natural Resources Wales or the Forest Service (in Northern Ireland). - The total certified woodland area in the UK at 31 March 2019 is 1.40 million hectares, including all Forestry Commission/Forestry and Land Scotland/Natural Resources Wales/Forest Service woodland. Overall, 44% of the UK woodland area is certified. - Thirteen thousand hectares of newly created woodland were reported in the UK in 2018-19. - Fifteen thousand hectares of publicly-funded woodland restocking were reported in the UK in 2018-19. - Woodland Carbon Code projects in the UK that were validated (including those that were also verified) were predicted to sequester a total of 3.4 million tonnes of carbon dioxide over their lifetime of up to 100 years3. This represents 2.5 million tonnes in Scotland, 838 thousand tonnes in England, 118 thousand tonnes in Wales and 11 thousand tonnes in Northern Ireland ## Area Of Woodland Woodland is defined in UK forestry statistics as land under stands of trees with a minimum area of 0.5 hectares and a canopy cover of at least 20% (25% in Northern Ireland), or having the potential to achieve this. The definition relates to land use, rather than land cover, so integral open space and felled areas that are awaiting restocking are included as woodland. Further information, including how this UK definition compares with the international definition of woodland, is provided in the Annex. Statistics on woodland area are used to inform government policy and resource allocation, to provide context to UK forestry and land management issues and are reported to international organisations. They are also used in the compilation of natural capital accounts. Increases in woodland area result from the creation of new woodland. This can be achieved through new planting or by natural colonisation of trees. Further information is available in the section on New planting. Decreases in woodland area result from the conversion of woodland to other land uses. Regulatory approval is usually required before trees can be felled. Felling approval will normally require the area to be restocked, but there are some cases in which trees may be permanently removed, generally for environmental reasons. The permanent removal of trees may also be authorised under planning regulations, to enable development. Most public sector woodland is owned and managed by the Forestry Commission4 (FC) in England, Forestry and Land Scotland, Natural Resources Wales (NRW) in Wales and the Forest Service (FS) in Northern Ireland. Other public sector woodland (e.g. owned by local authorities) is included with privately owned woodland as "private sector" in this release. The Natural Resources Wales woodland areas shown in this release relate to areas previously owned or managed by Forestry Commission Wales. They exclude any areas previously owned or managed by other parts of Natural Resources Wales, such as the former Environment Agency in Wales and the former Countryside Council for Wales. The area of woodland in the UK at 31 March 2019 is estimated to be 3.19 million hectares (Table 1). This represents 13% of the total land area in the UK, 10% in England, 15% in Wales, 19% in Scotland and 8% in Northern Ireland. 0.86 million hectares of woodland in the UK (27%) is owned or managed by the Forestry Commission (in England), Forestry and Land Scotland, Natural Resources Wales or the Forest Service (in Northern Ireland). Conifers account for around one half (51%) of the UK woodland area, although this proportion varies from 26% in England to 74% in Scotland. thousands of hectares England Wales Scotland Northern Ireland UK FC/FLS/NRW/FS1 Conifers 151 98 428 56 732 Broadleaves 64 19 41 7 131 Total 215 117 469 62 863 Private sector2 Conifers 189 54 645 11 899 Broadleaves 904 138 343 40 1,426 Total 1,093 192 988 51 2,325 Total Woodland Conifers 340 152 1,072 67 1,631 Broadleaves 968 158 385 46 1,557 Total 1,308 309 1,457 113 3,187 Source: Forestry Commission, Forestry and Land Scotland, Scottish Forestry, Natural Resources Wales, Forest Service, National Forest Inventory. Note: 1. FC: Forestry Commission (England), FLS (Forestry and Land Scotland), NRW: Natural Resources Wales, FS: Forest Service (Northern Ireland). NRW estimates only relate to woodland formerly owned/managed by FC Wales. 2. Private sector: all other woodland. Includes woodland previously owned/managed by the Countryside Council for Wales and the Environment Agency in Wales, other publicly owned woodland (e.g. owned by local authorities) and privately-owned woodland. 3. Areas as at 31 March 2019. Figures are provisional. 4. Figures for England, Wales and Scotland are based on data obtained from the National Forest Inventory and adjusted for new planting, but at present no adjustment is made for woodland recently converted to another land use. Further information on how the figures have been estimated is available in the Annex. 5. Figures for Northern Ireland are obtained from the Northern Ireland Woodland Register. 6. Broadleaves include coppice and coppice with standards. Figure 1 shows woodland area by country since 1998. Woodland area has risen by around 270 thousand hectares since 1998, an increase of 9% over the period. Source: Forestry Commission, Forestry and Land Scotland, Scottish Forestry, Natural Resources Wales, Forest Service, National Forest Inventory. Note: 1. Woodland areas for England, Wales and Scotland shown in this figure are based on data from the National Forest Inventory. The trends shown take account of areas of new planting and identifiable permanent woodland loss. Areas of woodland loss that are not yet identifiable (e.g. conversion of woodland for the restoration of open habitats) are not accounted for. Further information on the National Forest Inventory is available at www.forestresearch.gov.uk/tools-and-resources/national-forestinventory/. ## Area Of Certified Woodland Certified woodland in the UK has been independently audited against the UK Woodland Assurance Standard. Forestry certification schemes are owned by international nongovernmental organisations and exist to promote good forest practice. They offer product labels to demonstrate that wood or wood products come from well-managed forests. Figures for certified woodland areas are often used as an indicator of sustainable forest management. However, it should be noted that woodland that is not certified may also be managed sustainably. Most changes to the certified woodland area figures over time are a result of new areas being certified or certificates not being renewed upon expiry. Temporary changes can also occur if there is a time lag between expiry and renewal. Table 2 shows the area of certified woodland. The total area of certified woodland in the UK at 31 March 2019 is 1.40 million hectares. This represents 44% of the total UK woodland area, 25% of the woodland area in England, 47% in Wales, 59% in Scotland and 58% in Northern Ireland. thousands of hectares Ireland UK England Wales Scotland Northern FC/FLS/NRW/FS1 215 117 469 62 863 Private sector2 110 29 395 3 538 Total 325 146 864 66 1,400 % of woodland area 25% 47% 59% 58% 44% Source: Forest Stewardship Council, Forestry Commission, Forestry and Land Scotland, Natural Resources Wales, Forest Service. Note: 1. FC: Forestry Commission (England), FLS (Forestry and Land Scotland), NRW: Natural Resources Wales, FS: Forest Service (Northern Ireland). NRW estimates only relate to woodland formerly owned/managed by FC Wales. 2. Private sector: all other woodland. Includes woodland previously owned/managed by the Countryside Council for Wales and the Environment Agency in Wales, other publicly owned woodland (e.g. owned by local authorities) and privately owned woodland. 3. Areas as at 31 March 2019. 4. All certified woodland in 2019 is certified under the Forest Stewardship Council (FSC) scheme. Some of these woodlands are also certified under the Programme for the Endorsement of Forest Certification (PEFC) scheme. 5. The estimates are based on UK data published by FSC, supplemented by data from individual certificates and other sources. Where possible, figures are for the woodland area certified, rather than the land area certified. 6. All Forestry Commission/Forestry and Land Scotland/Natural Resources Wales (formerly owned/managed by FC Wales)/Forest Service woodland is certified. The Forestry Commission/Forestry and Land Scotland/Natural Resources Wales/Forest Service areas are the latest areas, as shown in Table 1, rather than the areas shown on certificates. Figure 2 presents certified woodland area by country since December 2001, with figures for earlier years revised for consistency with results from the National Forest Inventory. This shows an increase in certified woodland area of around 340 thousand hectares (32%) since December 2001. The 1.40 million hectares of certified woodland at March 2019 represents a 2% increase on the previous year. Most of this increase occurred in Scotland. Note: 1. All certified woodland is certified under the Forest Stewardship Council (FSC) scheme. Some of these woodlands are also certified under the Programme for the Endorsement of Forest Certification (PEFC) scheme. 2. The estimates are based on UK data published by FSC, supplemented by data from individual certificates and other sources. Where possible, figures are for the woodland area certified, rather than the land area certified. ## New Planting New planting is the creation of new areas of woodland by planting trees on land that was not previously woodland. The statistics presented here also include new woodland that is created by natural colonisation of trees (where known). Statistics on new planting are used to inform government policy and resource allocation and are used in producing annual estimates of woodland area. Table 3 shows the area of new woodland that was created in the year to 31 March 2019. The total area of new planting in the UK in 2018-19 was 13.4 thousand hectares. Conifers accounted for 60% of the total area of new planting. Most new planting (92%) took place on private sector land. 84% of the total new planting area took place in Scotland, 11% in England, 4% in Wales and the remaining 2% in Northern Ireland. thousands of hectares England Wales Scotland Northern Ireland UK New planting by forest type Conifers 0.42 0.25 7.27 0.10 8.05 Broadleaves 1.00 0.27 3.94 0.14 5.35 All new planting 1.42 0.52 11.21 0.24 13.40 New planting by ownership FC/FLS/NRW/FS1 0.03 0.00 1.03 0.00 1.06 Private sector2 1.39 0.52 10.19 0.24 12.34 All new planting 1.42 0.52 11.21 0.24 13.40 Source: Forestry Commission, Scottish Forestry, Forestry and Land Scotland, Natural Resources Wales, Forest Service, grant schemes. Note: 1. FC: Forestry Commission (England), FLS: Forestry and Land Scotland, NRW: Natural Resources Wales, FS: Forest Service (Northern Ireland). 2. Private sector: all other woodland. Includes other publicly owned woodland (e.g. owned by local authorities) and privately owned woodland. 3. Figures for grant-aided planting relate to areas for which grants were paid during the year. 4. Estimates for areas planted without grant aid are believed to be under-reported and, as a result, the reported figures are likely to under-estimate the true level of planting activity. For England, woodland planting funded by sources other than the Countryside Stewardship Woodland Creation Grant include planting supported by the Woodland Trust, by the Environment Agency, by Natural England and land acquired by the National Forest Company. For Scotland, a small amount of new planting without grant aid was included. 5. The planting season lies both sides of 31 March, and the weather can cause planting to be advanced or delayed. 6. Includes woodland formed by natural colonisation (where known). 7. Figures are provisional. Figure 3 shows areas of new planting by country since the year ending March 1976. Trends in new planting rates have been influenced by changes to the incentives available to land owners (in the form of grants and regulations). In recent years, areas of new planting in the UK have dropped to lows of under 6 thousand hectares in 2009-10 and in 2015-16 and have risen to highs of around 13 thousand hectares in 2011-12, 2013-14 and 2018-19. These fluctuations are likely to have been influenced by changes in grant schemes across the UK. At 13.4 thousand hectares in 2018-19, the current level of new planting represents a 47% increase from the 9.1 thousand hectares achieved in the previous year and continues the increase from 2015-16. This increase was largely in Scotland and was likely to have been influenced by the availability of grant funding and increased confidence in forestry arising from strong timber values. Source: Forestry Commission, Scottish Forestry, Forestry and Land Scotland, Natural Resources Wales, Forest Service, grant schemes. Note: 1. Private sector figures are based on grant-supported new planting and (where possible) with estimates for areas planted without grant aid. 2. Figures for grant-aided planting relate to areas for which grants were paid during the year. 3. Estimates for areas planted without grant aid are believed to be under-reported and, as a result, the reported figures are likely to under-estimate the true level of planting activity. For England, woodland planting funded by sources other than the Countryside Stewardship Woodland Creation Grant include planting supported by the Woodland Trust, by the Environment Agency, by Natural England and land acquired by the National Forest Company. For Scotland, a small amount of new planting without grant aid was included for 2016-17 and 2018-19. 4. The planting season lies both sides of 31 March, and the weather can cause planting to be advanced or delayed. 5. Includes woodland formed by natural colonisation (where known). 6. Figures are provisional. ## Publicly Funded Restocking Restocking is the replacement of trees on areas of woodland that have been felled; this can be done either through replanting or natural regeneration. The statistics presented here include felled areas that have been restocked by both natural regeneration and replanting. As restocking takes place on woodland that has been previously harvested and it is a condition of most felling licences that the area is restocked, restocking rates are mainly driven by harvesting levels (with a time lag, often of around 2 years, between harvesting and restocking). Economic factors, including grant rates, may have some effect on the species choice at restocking. In addition, the precise timing of restocking may be affected by weather conditions. This release only covers publicly funded restocking, that is: - restocking of Forestry Commission/ Forestry and Land Scotland/ Natural Resources Wales/ Forest Service Woodland and - grant aided restocking of private sector woodland. Grant support for restocking in Scotland has been limited since 2008. The Forestry Grant Scheme was launched in Scotland in March 2015 and does include support for restocking in in most but not all circumstances. As a result, granted aided restocking does not represent all private sector restocking in Scotland. It is therefore likely that conifer restocking in Scotland in recent years is under-reported in this release and other statistics. Grant support in England is now provided by the Countryside Stewardship scheme, which opened for applications in early 2016. Funding for restocking under Countryside Stewardship is only available under limited circumstances (through the tree health grant). The restoration (and restocking with native species) of PAWS (plantations on ancient woodland sites) is also supported by the HS2 Woodland Fund. No estimate has been made for restocking in England that is no longer supported by grants and therefore restocking in England in recent years is under-reported in this release and other statistics. Table 4 shows the reported area of publicly funded restocking that took place in the year to 31 March 2019. As private sector figures are based on areas receiving grants for restocking, and restocking is not supported (or only supported in limited circumstances) by some grant schemes, these figures under-estimate the true level of restocking in the UK. In 2018-19, a total 15.1 thousand hectares of restocking was publicly funded. Conifers accounted for around four fifths (79%) of the total area of restocking. Most reported restocking (71%) took place on FC/NRW/FS land. Around three quarters of all publicly funded restocking (74%) took place in Scotland, 11% in England, 10% in Wales and the remaining 5% in Northern Ireland. thousands of hectares Ireland UK England Wales Scotland Northern Restocking by forest type Conifers 1.26 0.90 9.12 0.72 12.00 Broadleaves 0.39 0.54 2.07 0.11 3.11 All restocking 1.65 1.44 11.19 0.83 15.12 Restocking by ownership FC/FLS/NRW/FS1 1.57 1.22 7.15 0.79 10.72 Private sector2 0.08 0.23 4.05 0.04 4.40 All restocking 1.65 1.44 11.19 0.83 15.12 Source: Forestry Commission, Scottish Forestry, Forestry and Land Scotland, Natural Resources Wales, Forest Service, grant schemes. Note: 1. FC: Forestry Commission (England), FLS: Forestry and Land Scotland, NRW: Natural Resources Wales, FS: Forest Service (Northern Ireland). 2. Private sector: all other woodland. Includes other publicly owned woodland (e.g. owned by local authorities) and privately-owned woodland. 3. Private sector figures are based on areas for which grants were paid during the year. No estimate of areas planted without grant aid was included. 4. The planting season lies both sides of 31 March, and the weather can cause planting to be advanced or delayed. 5. Includes woodland restocked by natural regeneration. 6. Restocking by natural regeneration in non-clearfell areas may be under-represented in the above table. 7. Figures are provisional. Figure 4 shows reported areas of restocking by country since the year ending March 1976. It indicates an overall increase in restocking rates during the period. Over the same period, there has been a general increase in UK wood production (see www.forestresearch.gov.uk/tools-and-resources/statistics/statistics-by-topic/timberstatistics/uk-wood-production-and-trade-provisional-figures/). The reported area of restocking fell significantly after a peak of 19 thousand hectares in 2006-07. This followed changes to grant support for restocking in Scotland, that resulted in some non-grant aided Sitka spruce restocking being excluded from the estimates. Results from the Forestry Commission's Nursery Survey (an annual survey of the main forest nurseries in Great Britain) indicate that, despite a dip in the 2009/10 planting year, sales of Sitka spruce plants to Scotland have been relatively stable in recent years. The chart shows a dip in the area of restocking in 2015-16, following changes to grant schemes across the UK. Reported restocking has continued to fall in England, where grant aid is now only available in very limited circumstances. The reported area of publicly funded restocking in the UK in 2018-19 represents a 5% increase from the previous year, but remains below the level reported for 2016-17. For further information, see the Data Sources and Methodology section of the Annex. Source: Forestry Commission, Scottish Forestry, Forestry and Land Scotland, Natural Resources Wales, Forest Service, grant schemes. Note: 1. Private sector figures are based on areas for which grants were paid during the year. 2. Estimates of areas planted without grant aid are also included (where possible) up to 2009-10, but no estimates are available since then. As a result, the reported figures are likely to under-estimate the true level of planting activity. 3. The planting season lies both sides of 31 March, and the weather can cause planting to be advanced or delayed. 4. Includes woodland restocked by natural regeneration. 5. Restocking by natural regeneration in non-clearfell areas may be under-represented. 6. Figures are provisional. ## Woodland Carbon Code A total of 187 projects across the UK were validated at 31 March 2019 and are projected to sequester 3.4 million tonnes of carbon dioxide over their lifetime of up to 100 years (Table 5). This represents 2.5 million tonnes of carbon dioxide in Scotland, 838 thousand tonnes of carbon dioxide in England, 118 thousand tonnes in Wales and 11 thousand tonnes in Northern Ireland. A total of 266 projects were registered under the Woodland Carbon Code by the end of March 2019, covering around 17,400 hectares of woodland and projected to sequester 6.2 million tonnes of carbon dioxide over their lifetime. | | England | Wales | Scotland | |------------------------------------------------|------------|----------|-------------| | Northern | | | | | Ireland | | | | | UK | | | | | Number of projects | | | | | 1 | | | | | | | | | | Awaiting validation | 18 | 33 | 28 | | Validated only | 51 | 9 | 55 | | Verified | 27 | 3 | 40 | | Total validated | 78 | 12 | 95 | | All projects | 96 | 45 | 123 | | Area of woodland | (hectares) | | | | | | | | | | | | | | | | | | | Awaiting validation | 313 | 300 | 8,520 | | Validated only | 1,207 | 128 | 4,498 | | Verified | 286 | 52 | 2,066 | | Total validated | 1,494 | 180 | 6,564 | | All projects | 1,807 | 480 | 15,085 | | Projected carbon sequestration | | | | | 2 | | | | | | | | | | (thousand tonnes of carbon dioxide equivalent) | | | | | Awaiting validation | 153 | 106 | 2,501 | | Validated only | 672 | 85 | 1,563 | | Verified | 165 | 33 | 895 | | Total validated | 838 | 118 | 2,458 | | All projects | 991 | 224 | 4,959 | Source: Forestry Commission. Note: 1. Projects can be validated/verified individually or as part of a group. The statistics presented here show the number of projects validated or verified whether they were administered individually or as part of a group. 2. Figures for carbon sequestration indicate the total projected sequestration of the projects over their lifetime of up to 100 years and include the amount claimable by a project plus the amount allocated to a shared "buffer" in case of unanticipated losses. 3. *Awaiting validation*: is when a project or group is undergoing assessment by a certification body. 4. *Validated*: is the initial evaluation of a project or group against the requirements of the Woodland Carbon Code. Upon completion a project/group will receive a 'Validation Opinion Statement'. The project/group will then be certified for a period of up to 5 years. 5. *Verified:* Verification is the evaluation of a project as it progresses to confirm the amount of CO2 sequestered to date as well as that it continues to meet the requirements of the Code. Figure 5 shows projected carbon sequestration for all projects in the UK since March 2012. The data presented here represent net changes in projects (i.e. additions less deletions). Projects can be removed from the register if they do not meet the Code's standards, planned woodland creation projects do not go ahead, or the landowner no longer wishes to claim the carbon benefit of the project. There has been a 37% increase in projected carbon sequestration for validated projects (including those verified) in the latest year, from March 2018 to March 2019. Total projected carbon sequestration for all projects registered (including those awaiting validation) also increased by 7% in the year to March 2019 following a 3% decrease recorded between March 2017 and March 2018. projects in the UK1 Note: 1. Figures for carbon sequestration indicate the total projected sequestration of the projects over their lifetime of up to 100 years and include the amount claimable by a project plus the amount allocated to a shared "buffer" in case of unanticipated losses. 2. *Awaiting validation*: is when a project or group is undergoing assessment by a certification body. 3. *Validated*: is the initial evaluation of a project or group against the requirements of the Woodland Carbon Code. Upon completion a project/group will receive a 'Validation Opinion Statement'. The project/group will then be certified for a period of up to 5 years. 4. *Verified:* Verification is the evaluation of a project as it progresses to confirm the amount of CO2 sequestered to date as well as that it continues to meet the requirements of the Code. 5. Additional data, including quarterly estimates to March 2018, are available in the accompanying data tables. ## Annex Introduction This annex provides background information on the woodland area, planting, publicly funded restocking and woodland carbon code statistics presented in this release. It covers the data sources and methodology used to produce the statistics, information on quality measures and on any revisions to historic data and links to further information. ## Glossary Awaiting validation When a Woodland Carbon Code project or group is undergoing assessment by a certification body. Broadleaves Trees that do not have needles or cones, such as oak, birch and beech. A few, such as alder, have cone-like structures for their seeds which are not true cones. Clearfell areas Sites where all trees have been felled at once. In non-clearfell areas, only some of the trees are felled at any one time. Conifers Trees with needles and cones, such as spruce, pine and larch. Coppice Trees that are cut near ground level (or sometimes higher, in which case they are called pollards), causing them to produce many small shoots. These shoots are harvested every few years at a relatively early age for products such as staves, fencing, fuel and charcoal. "Coppice with standards" includes scattered trees that are left to grow as normal ("standards"). Establishment The first five to ten years or formative period that ends once young trees are of sufficient size that, given adequate protection, they are likely to survive at the required stocking. Forest In the United Kingdom, there is no formal definition of "forest"; the term is often used for large woodland areas (especially conifers) or for old Royal hunting preserves such as the New Forest or the Forest of Dean. Forest Service (FS) The agency of the Northern Ireland Department of Agriculture, Environment and Rural Affairs responsible for forestry matters in Northern Ireland. Forestry and Land Scotland (FLS) The Scottish Government agency responsible for managing the national forests and lands in Scotland. Prior to April 2019 it was managed by the Forestry Commission. Forestry Commission (FC) The government department responsible for forestry matters in England, Scotland (until March 2019) and Wales (until March 2013). The Forestry Commission's functions in Wales transferred to the Welsh Government and to Natural Resources Wales on 1 April 2013. The Forestry Commission's functions in Scotland transferred to Scottish Forestry and to Forestry and Land Scotland on 1 April 2019. FSC Forest Stewardship Council. Great Britain (GB) England, Wales and Scotland. Hectare (ha) unit of area defined as 10,000 square metres (100 m by 100 m), approximately equivalent to 2.47 acres. Natural colonisation The creation of new woodland by natural means, i.e. without sowing or planting. Natural regeneration The regeneration of existing woodland by natural means, i.e. without sowing or planting. Natural Resources Wales (NRW) The organisation responsible for advising the Welsh Government on the environment, created on 1 April 2013. New planting Establishing woodland on ground that was not woodland in the recent past. NFI National Forest Inventory. NIWT 1995-99 National Inventory of Woodland and Trees. Restocking The replacement of trees on areas of woodland that have been felled; this can be done either through replanting or natural regeneration. Scottish Forestry The Scottish Government agency responsible for forestry policy, support and regulations, created on 1 April 2019. Scottish Forestry also has responsibility for managing the UK Woodland Carbon Code on behalf of the Forestry Commission in England, the Welsh Government and the Northern Ireland Forest Service. Prior to April 2019 it was managed by the Forestry Commission. Tonne of carbon dioxide equivalent (tCO2e) Emissions and sequestration can be presented as tonnes carbon or tonnes carbon dioxide (CO2) equivalent. To convert from tonnes CO2 to tonnes carbon multiply by 12/44. United Kingdom (UK) Great Britain and Northern Ireland. Validated The initial evaluation of a Woodland Carbon Code project or group against the requirements of the Woodland Carbon Code. Upon completion a project/group will receive a 'Validation Opinion Statement'. The project/group will then be certified for a period of up to 5 years. Verified Verification is the evaluation of a Woodland Carbon Code project as it progresses to confirm the amount of CO2 sequestered to date as well as that it continues to meet the requirements of the Woodland Carbon Code. Woodland Land under stands of trees with a minimum size of 0.5 hectares and a canopy cover of at least 20% (25% in Northern Ireland), or having the potential to achieve this, including integral open space, and including felled areas that are awaiting restocking. ## Data Sources And Methodology Area Of Woodland The woodland areas in Great Britain at March 2018 provided in this release (see Figure 1) are based on the *NFI provisional woodland area map of Great Britain at March 2018*. The map is overlaid with a map of Forestry Commission land (including land formerly owned/managed by Forestry Commission Wales), to enable a breakdown by ownership type to be estimated, and the figures derived from these maps are then updated to March 2019 by adding areas of new planting in 2018-19. Initial estimates of conifer stocked area and broadleaved stocked area at March 2012, derived from NFI interim field survey results, were used to estimate the breakdown by type of woodland. More information can be found on the Methodology and Outputs web page at www.forestresearch.gov.uk/tools-and-resources/statistics/about-ourstatistics/methodology-and-outputs/. The provisional 2018 woodland map differs by around 14 thousand hectares (<1%) from the figures for woodland area provided in the NFI report on Tree cover outside woodland in Great Britain, that were based on the NFI 2013 map and the National Tree MapTM (NTMTM), the latter in combination with samples of visual aerial photograph interpretation and field sampling outside of areas on the NFI map. The estimates in the tree cover report are higher because they include estimates of woodland area outside the NFI map derived from the other sources. It is intended to publish revised woodland area estimates that will bring these two figures into line by reporting an updated, calibrated NFI woodland area that incorporates these additional areas and uses analysis of the main NFI fieldwork survey to exclude currently mapped areas that are not woodland. Further information on the methodology used by the National Forest Inventory and comparisons of results from the NFI and previous woodland area estimates is available at www.forestresearch.gov.uk/tools-and-resources/national-forest-inventory/. In the time series presented in Figure 1, woodland area estimates for years before 2011 have been revised for consistency with results from the National Forest Inventory, to enable comparisons over time. The figures shown for Natural Resources Wales in this release only relate to woodland that was previously owned/managed by Forestry Commission Wales, and do not currently include estimates for other Natural Resources Wales woodland (previously owned/managed by the Countryside Council for Wales or the Environment Agency in Wales). Figures for Northern Ireland (Forest Service and non-Forest Service woodland) are provided by the Northern Ireland Forest Service. County breakdowns are available from the Forest Service Woodland Register at www.daera-ni.gov.uk/articles/forest-servicewoodland-register. ## Certified Area Data on certified woodland areas are obtained from the Forest Stewardship Council (FSC), and contact with individual land owners and managers. Some of the certified woodland has dual certification, i.e. it is certified under both the FSC scheme and the Programme for the Endorsement of Forest Certification (PEFC) scheme. The data collected from FSC are the areas that are certified for each certificate holder. Follow-up enquiries are then made with larger certificate holders to check the certified areas and to provide a country breakdown. As all Forestry Commission/Forestry and Land Scotland/Natural Resources Wales (formerly owned/managed by FC Wales)/Forest Service woodland is certified, the areas used are those provided in Table 1, rather than the areas shown on the certificates. ## New Planting And Restocking New planting is the creation of new areas of woodland. Restocking is the replanting of existing areas of woodland that have been felled. New planting can use planting/seeding or natural colonisation. Restocking can also use planting/seeding or natural regeneration. Information about Forestry Commission, Forestry and Land Scotland, Natural Resources Wales and Forest Service new planting and restocking comes from administrative systems. For new planting and restocking by Forestry and Land Scotland (previously Forest Enterprise Scotland) and by Natural Resources Wales, the figures obtained relate to net areas (i.e. excluding integral open space). These are converted to estimates of gross areas (i.e. including integral open space) for consistency with other planting and woodland area data, by using an assumption of 15% open space. Information about other woodland has come principally from grant schemes, including Countryside Stewardship in England, the English Woodland Grant Scheme (EWGS), Glastir in Wales, Better Woodlands for Wales (BWW), Forestry Grant Scheme in Scotland, Rural Development Contracts in Scotland, Scottish Forestry Grant Scheme (SFGS) and Woodland Grant Scheme (WGS). Areas receiving grant are allocated to years by date of payment. For natural colonisation and regeneration, the areas are generally those for which the second instalment of grant has been paid during the year. The second instalment is approved when woodland reaches a certain stage and density of growth, so this information corresponds approximately to the amount of new and restocked woodland created. The coverage and level of grant support differ across schemes, so that figures on grantaided planting are not directly comparable between countries or over time. Grant support for restocking of conifers changed with the introduction of Rural Development Contracts in Scotland in 2008 and again with the introduction of the Forestry Grant Scheme in 2015. This will have led to a reduction in the proportion of private sector restocking that is grant aided and therefore reported for Scotland. New planting estimates for England also include areas supported by the Woodland Trust and areas funded by Natural England (Higher Level Stewardship / Countryside Stewardship). From 2016-17, the estimated area of new planting includes new woodland creation supported by the Woodland Trust under the MOREwoods and Partnerships England projects. From 2017-18, the estimated area of new planting also includes new woodland creation supported by the Environment Agency. Areas of land acquired by the National Forest Company for new planting have been included from 2015-16. To avoid potential double counting, areas of new planting by the National Forest Company that are believed to be supported by grant aid or by the Woodland Trust (and have therefore already been included in the figures reported for these other sources) have been excluded. Local estimates for private sector areas of planting and restocking which are not grantaided were included for England, Wales and Scotland up to 2009-10, where possible. Estimates of non-grant-aided planting and restocking were relatively small (less than one thousand hectares annually), and it has been assumed that all of this area is broadleaves. A small estimate for broadleaved new planting without grant aid in Scotland in 2016-17 and in 2018-19 was also included. No estimates have been included for restocking with Sitka spruce in Scotland, or for restocking in England, that are no longer supported by grants. It is assumed that there is no non-FS non-grant aided new planting and restocking in Northern Ireland. The use of natural regeneration in non-clearfell systems may be increasing - particularly for broadleaves in England. These systems are not satisfactorily represented by measuring restocking area within any given year, and so broadleaf regeneration may be under-reported in this release and other statistics. Figures for Northern Ireland (Forest Service and private sector woodland) are provided by the Forest Service (www.daera-ni.gov.uk/topics/forestry). Further information on administrative sources can be found at: www.forestresearch.gov.uk/tools-and-resources/statistics/about-our-statistics/code-ofpractice/administrative-sources/. The methodology and outputs relevant to UK woodland area, planting and restocking were reviewed in 2014. The review report is available at www.forestresearch.gov.uk/documents/4425/mrwapr.pdf. ## Woodland Carbon Code Data Information about Woodland Carbon Code projects comes from the UK Woodland Carbon Registry, housed on the Markit Environmental Registry (www.markit.com/product/registry). The register is a live database and summary data are extracted on a quarterly basis. Further information on administrative sources can be found at: www.forestresearch.gov.uk/tools-and-resources/statistics/about-our-statistics/code-ofpractice/administrative-sources/ ## Quality The statistics on woodland area presented here refer to woodland as a land use rather than a land cover, so felled areas and newly planted areas are included within the definition of woodland. Some statistics on woodland area as a land cover are available from other sources (e.g. Countryside Survey 2007, www.countrysidesurvey.org.uk, and associated Land Cover Map; a more recent Land Cover Map 2015 is also available). Detailed information on the quality of the statistics presented in this publication is available in the *Quality Report: Woodland Area, Planting and Restocking* at: www.forestresearch.gov.uk/documents/3182/qrwapr.pdf Further quality information on FC Official Statistics is available at: www.forestresearch.gov.uk/tools-and-resources/statistics/about-our-statistics/code-ofpractice/quality-of-official-statistics/. ## Revisions Figures at March 2019 and for 2018-19 are provisional and published for the first time in this release. Woodland area figures at March 2017 and at March 2018 have been revised from those provided in Forestry Statistics 2018 to take account of updates to the NFI woodland area map. This resulted in very small revisions to the woodland area estimates in England, Wales and Scotland (<0.3%) for each of these years. Revised woodland areas at March 2017 (obtained from the NFI final revised woodland area map of Great Britain at March 2017) and at March 2018 (obtained from the NFI provisional woodland area map of Great Britain at March 2018),are provided in the Excel tables accompanying this release. Other figures have not been revised from those previously published in Forestry Statistics 2018 and in Woodland Carbon Code Statistics: data to March 2018. The Forestry Commission's revisions policy sets out how revisions and errors to these statistics are dealt with, and can be found at: www.forestresearch.gov.uk/tools-and-resources/statistics/about-our-statistics/code-ofpractice/quality-of-official-statistics/ ## Further Information Accompanying tables to this release, available at www.forestresearch.gov.uk/tools-andresources/statistics/statistics-by-topic/woodland-statistics/, provide longer time series data by country for new planting and publicly funded restocking and for certified woodland. Further information on the National Forest Inventory is available at www.forestresearch.gov.uk/tools-and-resources/national-forest-inventory/. Additional woodland area statistics are available in *Forestry Statistics 2018* (published September 2018) and *Forestry Facts & Figures 2018* (published September 2018), and can be found at www.forestresearch.gov.uk/tools-and-resources/statistics/forestrystatistics/ . Figures in tables have been independently rounded, so may not add to the totals shown. Figures for woodland area in the UK are provided to international organisations; the Food and Agriculture Organisation of the United Nations (FAO) for the 5-yearly Global Forest Resources Assessment (www.fao.org/forestry/fra/en), and Forest Europe for the 4-yearly State of Europe's Forests (www.foresteurope.org/reporting_SFM). The Global Forest Resources Assessment 2015 was released in September 2015 and State of Europe's Forests 2015 was released in October 2015. Both publications used UK data submitted in 2014. Figures for woodland area and new planting are also used to compile the UK's Greenhouse Gas Inventory for the Land Use, Land Use Change and Forestry (LULUCF) sector, submitted to the United Nations Framework Convention on Climate Change (UNFCCC, unfccc.int/national_reports/annex_i_ghg_inventories/national_inventories_submissions/it ems/8108.php). Statistics on UK greenhouse gas emissions are published by the Department of Business, Energy and Industrial Strategy (BEIS) at www.gov.uk/government/collections/uk-greenhouse-gas-emissions-statistics. The international definition of forests differs slightly from the UK definition of woodland in terms of the minimum canopy cover threshold. For the UK, there is a requirement for canopy cover of at least 20%, whilst the international definition specifies a minimum of 10% canopy cover. Supplementary data are available in the accompanying spreadsheet at: www.forestresearch.gov.uk/tools-and-resources/statistics/statistics-by-topic/woodlandstatistics/. Further information on the Woodland Carbon Code is available at: www.woodlandcarboncode.org.uk/. More statistics on UK forests and climate change can be found in Forestry Statistics 2018: www.forestresearch.gov.uk/tools-and-resources/statistics/forestry-statistics/. ## Release Schedule Final results for (the year to) March 2019 will be published on 26 September 2019 in Forestry Statistics 2019 and *Forestry Facts & Figures 2019*. Provisional figures for (the year to) March 2020 will be published on 11 June 2020 in the 2020 Edition of this release.

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| UID | Every contract is assigned a unique identification number (UID). Where a contract | |-------------------------------------------------------------------------------------|---------------------------------------------------------------------------------------| | has more than one supplier, you will find that the UID is repeated multiple times, | | | one line for each supplier. The main contract will be listed first, with associated | | | supplier details listed on individual lines directly below | | | | | | Client | The Council that has made the contract with the supplier(s) | | | | | ProClass | ProClass is a procurement category classification system used to help identify | | potential areas for collaboration | | | | | | Contract Title | Title of the contract/ what the contract is for | | Route to Market | How the contract was obtained: | | | | | 1. | | | | | | Call Off (External) | | | Contract is a called-off from an external framework (e.g. YPO/ESPO/AGMA) | | | 2. | | | | | | Call Off (Internal) | | | Contract is a called-off from an internal framework (established by one of the | | | STAR Councils) | | | 3. | | | | | | Exemption | | | Contract established following approval of an Exemption from the STAR Council's | | | Contract Procedure Rules (e.g. emergency; to permit co-termination of other | | | contracts for collaborative procurement) | | | 4. | | | | | | Local Services | | | Related primarily to health provision of services that can only be sourced locally | | | (e.g. pharmacy services and other public health provisions such as 'smoking | | | cessation campaigns, sexual health services) where the support provision is be | | | local to the community | | | 5. | | | | | | Mini Competition (External) | | | Mini competition held to call-off from an externally-established framework | | | 6. | | | | | | Mini Competition (Internal) | | | Mini competition held to call off from an internally-established framework | | | 7. | | | | | | OJEU Tender | | | Invitation to tender, where the opportunity was advertised in the Official Journal | | | of the European Union | | | 8. | | | | | | OJEU Tender (Light Touch) | | | Invitation to tender, where the opportunity was caught by the Light Touch | | | Regime (Public Contracts Regulations 2015) for certain services such as health, | | | social care, legal and catering | | | 9. | | | | | | Procured by Other | | | STAR Procurement had no involvement in tendering the Contract which is | | | included for Transparency Code declaration) | | | 10. | | | | | | Quote | | | Contract awarded following a Request for Quotation in accordance with STAR | | | Council former Contract Procedure Rules | | | | | ## 11. **RBS - Low - Quick Quote** Contract awarded following a Request for Quotation in accordance with STAR Council Contract Procedure Rules 12. **RBS - Low/Med - Simple (RFQ)** Contract awarded following a Request for Quotation in accordance with STAR Council Contract Procedure Rules 13. RBS - Med/High - Advanced (Open) or **(Restricted)** Contract awarded following an Invitation to Tender in accordance with STAR Council Contract Procedure Rules 14. **Price Only** Contract obtained solely on request for price Agreement Type Type of contract made: 1. **Concession** Contract typically generating income for the STAR Council 2. **Contract** Formal contract entered into 3. **Dynamic Purchasing System (DPS)** An electronic system procured using the Restricted Procedure for the purchase of commonly used Supplies, Services or Works which are generally available on the market. All bidders who meet the requirements of the selection criteria must be admitted throughout the entire period of the DPS 4. **Flexible Purchasing System (FPS)** An electronic system procured using the Restricted Procedure for the purchase of commonly used Supplies, Services or Works which are generally available on the market. All bidders who meet the requirements of the selection criteria can be admitted at regular intervals throughout the entire period of the FPS 5. **Framework Agreement** An arrangement where the terms of purchase for Supplies, Services or Works are agreed between parties, ready for when a purchase is required; such purchase being made via a Call-off Contract or through Mini-Competition Date the contract started Contract Start Date Current end date of the contract Contract End Date Potential maximum end date of the contract Maximum Extend Date Review Date When the contract is next due to be reviewed | Estimated/ average annual value of the contract | Estimated Annual | |---------------------------------------------------------------------------------|-----------------------------------------------------| | Value | | | Estimated total value of the contract (including any extensions) | Estimated Total | | Value | | | Supplier Name | Name of company providing supplies/ services/ works | | Supplier Type | Type of supplier: | | | | | 1. | | | | | | Sole Trader | | | 2. | | | | | | VCSE (Voluntary, Community or Social Enterprise) | | | 3. | | | | | | Micro (1-20 Employees) | | | 4. | | | | | | SME (20 to 250 Employees) | | | 5. | | | | | | Large (251+) | | | 6. | | | | | | NHS Provider | | | | | | Supplier registered company number (if they have one) or the registered charity | | | number | | | Registered | | | Company/Charity | | | Number | | | | | | Supplier's postcode | Postcode | | | | | Council Directorate responsible for obtaining the Contract | Council | | Directorate | | | | |

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## ਤਿਆਰੀ ਅਤੇ ਸੈੱਟ ਅੱਪ ਕਰੋ ਹਿਦਾਇਤਾਂ ਸ਼ੁਰੂ ਕਰਨ ਤੋਂ ਪਹਿਲਾਂ, ਇਹ ਯਕੀਨੀ ਬਣਾਓ ਕਿ ਤੁਸੀਂ... ਇਨ੍ਹਾਂ ਹਦਾਇਤਾਂ ਨੂੰ ਪੂਰੀ ਤਰ੍ਹਾਂ ਪੜ੍ਹੋ ਸਾਡੀ ਹਿਦਾਇਤਾਂ ਵਾਲੀ ਵੀਡੀਓ ਦੇਖੋ www.gov.uk/taking-antibody-blood-sample ਇਹ ਦੇਖਦੇ ਹੋ ਕਿ ਆਪਣਾ ਟੈਸਟ ਕਿਵੇਂ ਕਰਨਾ ਹੈ www.gov.uk/taking-antibody-blood-sample ਤੇ ਜਾਓ ## ਤੁਹਾਡੀ ਕਿੱਟ ਵਿੱਚ ਕੀ ਹੈ? ਖੂਬ ਸਾਰਾ ਪਾਣੀ ਪੀਓ ਹਾਈਡ੍ਰੇਟ ਹੋਣਾ ਤੁਹਾਡੇ ਵੱਲੋਂ ਕੀਤੇ ਜਾ ਸਕਣ ਵਾਲਾ ਸਰਵੋਤਮ ਕੰਮ ਹੈ ਤਿਆਰੀ ਲਈ - ਆਪਣੇ ਟੈਸਟ ਤੋਂ ਘੱਟੋ-ਘੱਟ 30 ਮਿੰਟ ਪਹਿਲਾਂ ਪਾਣੀ ਦੇ 2 ਗਿਲਾਸ ਪੀਓ। ## ਅਲਕੋਹਲ ਵਾਈਪ ਕਲੈਕਸ਼ਨ ਟਿਊਬ ਪਲਾਸਟਰ X2 ਸ਼ਨੀਵਾਰ ਨੂੰ ਆਪਣਾ ਟੈਸਟ ਨਾ ਕਰੋ ਜਾਂ ਇਸ ਦਿਨ ਪੋਸਟ ਨਾ ਕਰੋ - ਇਹ ਡਾਕ ਵਿੱਚ ਕਾਫੀ ਦੇਰ ਤੱਕ ਰਹਿ ਸਕਦਾ ਹੈ। ਕੋਈ ਹੋਰ ਦਿਨ ਠੀਕ ਹੈ। ## ਸਫ਼ਾਈ ਵਾਲਾ ਲੈਨਸੈੱਟ X3 ਵਾਲਾ ਲਿਫ਼ਾਫ਼ਾ ਵਾਈਪ 1. ਤਿਆਰੀ ਕਰੋ ## ਵਾਪਸੀ ਫਾਰਮ ਤੇ ਪਾਰਦਰਸ਼ੀ ਗੱਤੇ ਦਾ ਬੱਕਸਾ ਟਿਊਬ ਲੇਬਲ ਪਲਾਸਟਿਕ ਬੈਗ 1. ਸ਼ੁਰੂ ਕਰਨ ਤੋਂ ਪਹਿਲਾਂ ਪਤਾ ਕਰੋ ਕਿ ਕਿੱਟ ਤੁਹਾਡੇ ਨਾਮ ਸੰਬੋਧਤ ਹੈ। 2. ਆਪਣੀ ਕਿੱਟ ਨੂੰ ਨੀਵੇਂ ਮੇਜ ਉੱਤੇ ਰੱਖ ਦਿਓ। ਤੁਸੀਂ ਸ਼ੁਰੂ ਕਰਨ ਤੋਂ ਪਹਿਲਾਂ ਨਿੱਘੇ ਪਾਣੀ ਦਾ ਇੱਕ ਕਟੋਰਾ ਅਤੇ ਸਾਫ ਟਿਸ਼ੂ ਲਵੋ 3. ਸਾਫ਼ ਟਿਸ਼ੂ ਅਤੇ ਗਰਮ ਪਾਣੀ ਦਾ ਕਟੋਰਾ ਪਕੜੋ। ਵਾਪਸੀ ਫਾਰਮ 4. 20 ਸਕਿੰਟਾਂ ਲਈ ਆਪਣੇ ਹੱਥ ਸਾਬਣ ਨਾਲ ਧੋਵੋ ਅਤੇ ਸਾਫ਼ ਤੌਲੀਏ ਨਾਲ ਸੁਕਾਓ। ਕਿਸੇ ਹੋਰ ਭਾਸ਼ਾ ਵਿੱਚ ਪ੍ਰਸ਼ਨਾਂ ਅਤੇ ਹਿਦਾਇਤਾਂ ਲਈ ਇੱਥੇ ਜਾਓ www.gov.uk/taking-antibody-blood-sample ਲੋੜੀਂਦਾ ਸਮਾਂ ਕੱਢ ਕੇ ਰੱਖੋ ਤਿਆਰੀ ਲਈ, ਸੈੱਟ ਅੱਪ ਲਈ, ਅਤੇ ਆਪਣਾ ਨਮੂਨਾ ਇਕੱਤਰ ਕਰਨ ਲਈ ਆਪਣੇ ਆਪ ਨੂੰ ਲਗਭਗ 30 ਮਿੰਟ ਦਿਓ - ਖਾਸ ਤੌਰ ਤੇ ਜੇ ਇਹ ਤੁਹਾਡੀ ਪਹਿਲੀ ਵਾਰੀ ਹੈ। ਕੁਝ ਹਲਕੀਆਂ ਕਸਰਤਾਂ ਕਰੋ ਬਾਹਵਾਂ ਫੈਲਾ ਕੇ ਕੁੱਦੋ, ਜਾਂ ਆਪਣੀਆਂ ਬਾਹਵਾਂ ਹਿਲਾਓ ਅਤੇ ਇੱਕ ਮਿੰਟ ਲਈ ਆਪਣੀ ਮੁੱਠੀ ਬੰਦ ਕਰੋ (ਜੇ ਅਜਿਹਾ ਕਰਨਾ ਤੁਹਾਡੇ ਲਈ ਸੁਰੱਖਿਅਤ ਹੈ) - ਇਸ ਨਾਲ ਤੁਹਾਡੇ ਖੂਨ ਦੀ ਹਰਕਤ ਵਿੱਚ ਮਦਦ ਮਿਲਦੀ ਹੈ। 2. ਸੈੱਟ ਅੱਪ ਕਰੋ 3. ਖੂਨ ਦੇ ਪ੍ਰਵਾਹ ਨੂੰ ਚੱਲਦਾ ਰੱਖੋ 1. ਟਿਊਬ ਤੋਂ ਢੱਕਣ ਲਾਹ ਦਿਓ। 1. 2 ਮਿੰਟਾਂ ਲਈ ਆਪਣੇ ਸਮੁੱਚੇ ਹੱਥ ਨੂੰ ਕੋਸੇ 2. ਗੱਤੇ ਵਾਲੇ ਬੱਕਸੇ ਦੇ ਉੱਪਰਲੇ ਹਿੱਸੇ ਵਿੱਚ ਪਾਣੀ (ਨਹਾਉਣ ਦੇ ਪਾਣੀ ਦੇ ਤਾਪਮਾਨ ਤੇ) ਦੇ ਕਟੋਰੇ ਵਿੱਚ ਪਾਓ। ਫਿਰ ਸਾਫ਼ ਟਿਸ਼ੂ ਨਾਲ ਆਪਣੇ ਹੱਥ ਸੁਕਾਓ। ਮੋਰੀ ਦੀ ਵਰਤੋਂ ਕਰਦੇ ਹੋਏ ਟਿਊਬ ਸਿੱਧੀ ਖੜ੍ਹੀ ਕਰੋ। 2. ਪੂਰੀ ਪ੍ਰਕਿਰਿਆ ਲਈ ਖੜ੍ਹੇ ਰਹੇ (ਪਰ 3. ਪਲਾਸਟਰ ਤਿਆਰ ਕਰੋ ਤਾਂ ਜੋ ਇਹ ਤੁਹਾਡੀ ਉਂਗਲੀ ਵਿੱਚ ਲਗਾਉਣ ਲਈ ਤਿਆਰ ਹੋਵੇ। ਜੇ ਤੁਹਾਨੂੰ ਚੱਕਰ ਆਉਂਦੇ ਹਨ, ਤਾਂ ਬੈਠ ਜਾਓ - ਅਤੇ ਜੇ ਤੁਸੀਂ ਕਿਸੇ ਨਾਲ ਰਹਿੰਦੇ ਹੋ, ਤਾਂ ਉਨ੍ਹਾਂ ਦੀ ਮਦਦ ਲਈ ਕਹੋ)। ਖੂਨ ਦੇ ਪ੍ਰਵਾਹ ਨੂੰ ਜਾਰੀ ਰੱਖਣ ਲਈ ਤੁਹਾਡਾ ਹੱਥ ਲਾਜ਼ਮੀ ਤੌਰ ਤੇ ਤੁਹਾਡੇ ਕੂਹਣੀ ਤੋਂ ਹੇਠਾਂ ਹੋਣਾ ਚਾਹੀਦਾ ਹੈ। ## ਆਪਣਾ ਨਮੂਨਾ ਇਕੱਤਰ ਕਰੋ ਬਟਨ ਦਬਾਓ x 1.ਲੈਨਸੈੱਟ ਦੀ ਵਰਤੋਂ ਕਰੋ 3. ਟਿਊਬ ਨੂੰ ਰਲਾਓ 2. ਟਿਊਬ ਨੂੰ ਭਰੋ 1. ਅਲਕੋਹਲ ਵਾਈਪ ਨਾਲ ਆਪਣੀ ਉਂਗਲੀ ਪੂੰਝੋ 1. ਖੂਨ ਦੀ ਪਹਿਲੀ ਬੂੰਦ ਨੂੰ ਸਾਫ ਟਿਸ਼ੂ ਨਾਲ ਪੂੰਝ ਕੇ ਪਰ੍ਹਾਂ ਰੱਖ ਦਿਓ। 2. ਹਰੇਕ 3 ਤੋਂ 4 ਸਕਿੰਟਾਂ ਬਾਅਦ ਆਪਣੇ ਹੱਥ - ਅਸੀਂ ਤੁਹਾਨੂੰ ਤੁਹਾਡੇ ਘੱਟ ਕੰਮ ਕਰਨ ਵਾਲੇ ਹੱਥ ਤੇ ਆਪਣੀ ਰਿੰਗ ਫਿੰਗਰ ਦੀ ਵਰਤੋਂ ਕਰਨ ਦੀ ਸਿਫਾਰਸ਼ ਕਰਦੇ ਹਾਂ। 2. ਲੈਨਸਟ ਦੇ ਹੇਠਲੇ ਹਿੱਸੇ ਤੇ ਸੁਰੱਖਿਆਤਮਕ ਸਿਰੇ ਟਿਊਬ ਨੂੰ **600 ਲਾਈਨ** ਤੱਕ ਭਰੋ। ਜੇ ਤੁਸੀਂ ਸਿਰਫ 400 ਲਾਈਨ ਤੱਕ ਭਰਦੇ ਹੋ ਤਾਂ ਇਹ ਠੀਕ ਹੈ। ਟਿਊਬ ਉੱਤੇ ਢੱਕਣ ਲਗਾ ਦਿਓ। ਜਦੋਂ ਤੱਕ ਇਹ ਕਲਿੱਕ ਦੀ ਆਵਾਜ਼ ਨਹੀਂ ਕਰਦਾ ਇਸ ਨੂੰ ਧੱਕੋ। 1. ਘੱਟੋ-ਘੱਟ 10 ਵਾਰੀ ਟਿਊਬ ਨੂੰ ਉੱਪਰ ਹੇਠਾਂ ਕਰੋ। ਯਕੀਨੀ ਬਣਾਓ ਕਿ ਖੂਨ ਟਿਊਬ ਦੇ ਪਾਸਿਆਂ ਨਾਲ ਛੂੰਹਦਾ ਹੈ। ਨੂੰ ਉਤਾਰਨ ਲਈ: ਸਿਰੇ ਨੂੰ ਮੋੜੋ (ਇੱਕ ਵਾਰੀ ਪੂਰੀ ਤਰ੍ਹਾਂ ਨਾਲ) ਅਤੇ ਫੇਰ ਇਸ ਨੁੰ ਪੂਰੀ ਤਰ੍ਹਾਂ ਖਿੱਚ ਲਵੋ। | ਨੂੰ | ਹੇਠਾਂ ਵੱਲ | |-----------------------------|--------------------------| | ਹਥੇਲੀ ਤੋਂ ਸ਼ੁਰੂ ਕਰੋ ਅਤੇ ਆਪਣੀ ਉਂਗਲੀ ਤੱਕ | | | ਹੇਠਾਂ ਇਹ ਕਰੋ। | ਪਰ ਵਿੰਨ੍ਹੀ ਹੋਈ ਥਾਂ ਨੂੰ ਘੁੱਟੋ | | ਨਾ | ਨਹੀਂ ਤਾਂ ਇਹ ਤੁਹਾਡੇ ਨਮੂਨੇ ਨੂੰ ਖਰਾਬ ਕਰ | | ਦੇਵੇਗੀ। | | | 2. | | | ਖੂਨ ਰਲਣ ਸਮੇਂ ਜੇ ਇਹ ਜੰਮ ਜਾਂਦਾ ਹੈ ਤਾਂ ਚਿੰਤਾ | | 3. ਸਖ਼ਤ ਸਤ੍ਹਾ (ਜਿਵੇਂ ਕਿ ਮੇਜ ਦਾ ਉੱਪਰਲੇ ਹਿੱਸੇ) ਨਾ ਕਰੋ। ਅਜਿਹਾ ਹੋਣ ਦੀ ਸੰਭਾਵਨਾ ਹੁੰਦੀ ਹੈ। 3. ਜੇ ਖੂਨ ਦਾ ਵਹਾਓ ਰੁੱਕ ਜਾਂਦਾ ਹੈ, ਤਾਂ ਖੂਨ ਦੇ 3. ਖੂਨ ਦਾ ਵਹਾਓ ਰੋਕਣ ਲਈ ਉਂਗਲੀ ਤੇ ਦਬਾਅ ਤੇ ਆਪਣੇ ਹੱਥ ਨੂੰ ਸਾਹਮਣੇ ਵੱਲ ਰੱਖਦੇ ਹੋਏ ਰੱਖੋ। 4. ਆਪਣੀ ਉਂਗਲੀ ਦੇ ਸਿਰੇ ਦੀ ਬਾਹਰੀ ਕੇਂਦਰੀ ਹਿੱਸੇ ਪਾਓ, ਸਾਫ ਕਰਨ ਵਾਲੇ ਪੂੰਝੇ ਨਾਲ ਸਾਫ ਕਰੋ, ਅਤੇ ਪਲਾਸਟਰ ਲਗਾਓ। ਤੇ ਲੈਨਸਟ ਨੂੰ ਹੇਠਾਂ ਵੱਲ ਦਬਾਓ। 4. ਕਿਸੇ ਵੀ ਡੁੱਲ੍ਹੇ ਖੂਨ ਨੂੰ ਸਾਫ ਕਰੋ ਅਤੇ ਆਸ- 5. ਜਦੋਂ ਤੱਕ ਤੁਸੀਂ ਕਲਿੱਕ ਨਹੀਂ ਸੁਣਦੇ ਉਦੋਂ ਪਾਸ ਦੇ ਹਿੱਸੇ ਨੂੰ ਕੀਟਾਣੂ-ਮੁਕਤ ਕਰੋ। ਵਹਾਓ ਨੂੰ ਵਧਾਉਣ ਲਈ ਵਿੰਨ੍ਹੀ ਹੋਈ ਉਂਗਲੀ ਨੂੰ ਸਾਫ ਕਰਨ ਲਈ ਦਬਾਅ ਦੀ ਵਰਤੋਂ ਕਰੋ। ਜੇ ਇਹ ਵੀ ਅਸਰ ਨਹੀਂ ਕਰਦਾ, ਅਤੇ 2 ਤੋਂ ਜ਼ਿਆਦਾ ਮਿੰਟ ਹੋ ਚੁੱਕੇ ਹਨ, ਆਪਣੇ ਹੱਥ ਨੂੰ ਮੁੜ ਤੋਂ ਨਿੱਘਾ ਕਰੋ ਅਤੇ ਨਵੇਂ ਲੈਨਸਟ ਦੀ ਵਰਤੋਂ ਕਰਦੇ ਹੋਏ ਇੱਕ ਹੋਰ ਉਂਗਲੀ ਤੇ ਸੂਈ ਲਗਾਓ। ਤੱਕ ਜਾਮਣੀ ਬੱਟਨ ਨੂੰ ਜੋਰ ਨਾਲ ਹੇਠਾਂ ਵੱਲ ਦਬਾਓ। ਤੁਸੀਂ ਇੱਕ ਵਾਰੀ ਸਿਰਫ ਇੱਕ ਲੈਨਸਟ ਹੀ ਵਰਤ ਸਕਦੇ ਹੋ। ## ਲੇਬਲ ਲਗਾਉਣਾ ਅਤੇ ਡਾਕ ਰਾਹੀਂ ਭੇਜਣਾ 1 4 1. ਵਾਪਸੀ ਫਾਰਮ ਤੋਂ ਆਪਣੇ ਟਿਊਬ ਲੇਬਲ ਨੂੰ 4. ਬਕਸੇ ਨੂੰ ਅਗਾਊਂ ਭੁਗਤਾਨ ਵਾਲੇ ਲਿਫ਼ਾਫ਼ੇ ## ਵਿੱਚ ਪਾ ਦਿਓ। 5. **ਆਪਣੇ ਨਮੂਨੇ ਨੂੰ** ਐੱਨ.ਐੱਚ.ਐੱਸ. ਲੋਗੋ ਨਾਲ ਲਾਹ ਲਵੋ ਅਤੇ ਆਪਣੀ ਟਿਊਬ ਦੁਆਲੇ ਲਪੇਟ ਦਿਓ। ਯਕੀਨੀ ਬਣਾਓ ਕਿ ਛਪਿਆ ਕੋਡ ਦਿਖਾਈ ਦਿੰਦਾ ਹੈ। | | | | ਹਿੱਸੇ ਨੂੰ ਪੱਧਰਾ ਕਰਦੇ ਹੋਏ, | ਸਟਿੱਕਰ ਉਤਾਰ | |---------------------|-------------------------|-------|---------------------|-------------| | ਦਿਓ | ਅਤੇ | ਫਲੈਪ ਨੂੰ | ਚਿਪਕਵੇਂ ਆਧਾਰ ਉੱਤੇ | ਮੋੜ | | ਦਿਓ | । ਵਿੱਚਕਾਰ ਤੋਂ ਬਾਹਰ ਵੱਲ ਦਬਾਉਂਦੇ ਹੋਏ | | | | | ਚੰਗੀ ਤਰ੍ਹਾਂ ਨਾਲ ਬੰਦ ਕਰ ਦਿਓ। | | | | | 3 2. ਪਾਰਦਰਸ਼ੀ ਪਲਾਸਟਿਕ ਬੈਗ ਲਵੋ ਜਿਸ ਉੱਤੇ 95 3. ਆਪਣੇ ਵਾਪਸੀ ਫਾਰਮ ਉੱਤੇ ਤਾਰੀਖ਼ ਅਤੇ ਕੇਪੀਏ ਸਪੈਸੀਮਨ ਟਰਾਂਸਪੋਰਟ ਦਾ ਲੇਬਲ ਲੱਗਾ ਹੁੰਦਾ ਹੈ। ਵਿਰਲ ਰਾਹੀਂ ਟਿਊਬ ਅਤੇ ਲੈਨਸੈਟ ਨੂੰ ਪਾ ਦਿਓ - ਜੋ ਤੁਹਾਡੇ ਪੀਲੇ ਸਟਿੱਕਰ ਦਰਮਿਆਨ ਪਾਈ ਜਾਂਦੀ ਹੈ। ਬੈਗ ਦੇ ਉੱਪਰਲੇ ਸਮਾਂ ਲਿਖੋ। ਫਾਰਮ ਅਤੇ ਪਾਰਦਰਸ਼ੀ ਪਲਾਸਟਿਕ ਬੈਗ (ਜਿਸ ਵਿੱਚ ਟਿਊਬ ਹੁੰਦੀ ਹੈ) ਨੂੰ ਉਸ ਬੱਕਸੇ ਵਿੱਚ ਪਾਓ ਜਿਸ ਵਿੱਚ ਕਿੱਟ ਆਈ ਸੀ ਅਤੇ ਬੰਦ ਕਰ ਦਿਓ। ਤਰਜੀਹੀ ਪੋਸਟਬਾੱਕਸ ਵਿੱਚ ਪੋਸਟ ਕਰ ਦਿਓ।ે www.royalmail.com/servicesnear-you ਤੇ ਆਪਣੇ ਸਭ ਤੋਂ ਨਜ਼ਦੀਕੀ ਤਰਜੀਹੀ ਪੋਸਟਬਾੱਕਸ ਬਾਰੇ ਪਤਾ ਲਗਾਓ। ਜੇ ਤੁਸੀਂ ਸੁਰੱਖਿਅਤ ਢੰਗ ਨਾਲ ਤਰਜੀਹੀ ਪੋਸਟਬਾੱਕਸ ਤੇ ਨਹੀਂ ਪਹੁੰਚ ਸਕਦੇ, ਤਾਂ ਆਪਣੇ ਸਥਾਨਕ ਪੋਸਟਬਾੱਕਸ ਦੀ ਵਰਤੋਂ ਕਰੋ। 6. ਸਾਰੇ ਸਾਜ਼-ਸਮਾਨ ਦੇ ਸੁਰੱਖਿਅਤ ਢੰਗ ਨਾਲ 1 3 2 4 ਨਿਬੇੜਾ ਕਰ ਦਿਓ। ## ਚਿੰਨ੍ਹ | ਧੁੱਪ ਤੋਂ ਦੂਰ ਰਹੋ | ਵਰਤੋਂ ਲਈ ਹਿਦਾਇਤਾਂ ਦੇਖੋ | |----------------------------------------|------------------| | ਮੀਂਹ ਤੋਂ ਦੂਰ ਰਹੋ | ਯੂਰਪੀਅਨ ਅਨੁਕੂਲਤਾ | | ਮੁੜ ਵਰਤੋਂ ਨਾ ਕਰੋ | ਉਤਪਾਦਕ | | ਤਾਪਮਾਨ ਦੀ ਸੀਮਾ 25ºC | ਬੈਚ ਕੋਡ | | ਵਿਟਰੋ ਡਾਇਗਨੌਸਟਿਕ ਡਾਕਟਰੀ | | | ਉਪਕਰਨ ਵਿੱਚ | | | ਟਿਊਬਾਂ ਦੀਆਂ ਮਿਆਦ ਪੁੱਗਣ | | | ਦੀਆਂ ਤਾਰੀਖਾਂ ਬਾਰੇ ਪਤਾ ਕਰੋ | | | • ਇਹ ਇੱਕ ਵਿਟਰੋ ਡਾਇਗਨੌਸਟਿਕ ਡਾਕਟਰੀ ਉਪਕਰਨ ਹੈ। | | | • ਸਿਰਫ ਆਪਣੀ ਕਿੱਟ ਵਿੱਚ ਮੁਹੱਈਆ ਸਾਜ਼-ਸਮਾਨ ਦੀ ਹੀ ਵਰਤੋਂ ਕਰੋ। | | | • ਇਸ ਟੈਸਟ ਨੂੰ ਲਾਜ਼ਮੀ ਤੌਰ ਤੇ ਉਸ ਵਿਅਕਤੀ ਵੱਲੋਂ ਕੀਤਾ ਜਾਣਾ | | | ਚਾਹੀਦਾ ਹੈ ਅਤੇ ਲੇਬਲ ਲਗਾਉਣਾ ਚਾਹੀਦਾ ਹੈ ਜਿਸ ਨੇ ਟੈਸਟ ਲਈ | | | ਆਰਡਰ ਕੀਤਾ ਸੀ। | | | • ਇਨਫੈਕਸ਼ਨ ਦੇ ਸੰਕੇਤਾਂ ਬਾਰੇ ਸਾਵਧਾਨ ਰਹੋ। ਜੇ ਤੁਹਾਡੀ ਜ਼ਖਮ ਵਾਲੀ | | | ਜਗ੍ਹਾ ਲਾਲ ਹੋ ਜਾਂਦੀ ਹੈ, ਗਰਮ ਹੁੰਦੀ ਹੈ, ਜਾਂ ਸੁੱਜ ਜਾਂਦੀ ਹੈ, ਤਾਂ | | | ਡਾਕਟਰੀ ਸਲਾਹ ਲਵੋ। | | | • ਇਹ ਕਿੱਟ 18 ਸਾਲ ਜਾਂ ਇਸ ਤੋਂ ਵੱਧ ਉਮਰ ਦੇ ਵਿਅਕਤੀਆਂ ਲਈ ਹੈ। | | | • ਜੇ ਖੂਨ ਨਹੀਂ ਰੁੱਕਦਾ ਤਾਂ ਜੋਰ ਨਾਲ ਦਬਾਓ ਅਤੇ ਆਪਣਾ ਹੱਥ ਉੱਪਰ | | | ਚੁੱਕ ਲਵੋ। ਜੇ ਇਹ ਅਸਰ ਨਹੀਂ ਕਰਦਾ, ਤਾਂ ਡਾਕਟਰੀ ਸਲਾਹ ਲਵੋ। | | | • ਜੇ ਤੁਸੀਂ ਬੇਹੋਸ਼ੀ ਮਹਿਸੂਸ ਕਰਦੇ ਹੋ, ਤਾਂ ਲੇਟ ਜਾਓ ਅਤੇ ਆਪਣੀਆਂ | | | ਲੱਤਾਂ ਉੱਪਰ ਚੁੱਕੋ। ਜੇ ਤੁਸੀਂ ਲਗਾਤਾਰ ਅਸਵਸਥ ਮਹਿਸੁਸ ਕਰਦੇ ਹੋ, | | | ਤਾਂ ਡਾਕਟਰੀ ਸਲਾਹ ਲਵੋ। | | | • ਜੇ ਤੁਸੀਂ ਖੂਨ ਪਤਲਾ ਕਰਨ ਵਾਲੀ ਦਵਾਈ ਲੈਂਦੇ ਹੋ ਤਾਂ ਵੱਧ ਖੂਨ | | | ਵਹਿਣ ਦਾ ਜੋਖਮ ਜ਼ਿਆਦਾ ਹੁੰਦਾ ਹੈ। | | | • ਕਿੱਟ ਨੂੰ ਬੱਚਿਆਂ, ਜਾਨਵਰਾਂ, ਧੁੱਪ, ਅੱਗ ਅਤੇ ਧੂੰਏਂ ਤੋਂ ਦੂਰ ਰੱਖੋ। | | | • ਜੇ ਬਾਹਰ ਦਾ ਤਾਪਮਾਨ 25ºC ਤੋਂ ਵੱਧ ਹੈ ਤਾਂ ਆਪਣੇ ਨਮੂਨੇ ਨੂੰ ਪੋਸਟ | | | ਨਾ ਕਰੋ। | | | • ਇਸ ਦੀ ਬੇਹਦ ਘੱਟ ਸੰਭਾਵਨਾ ਹੈ, ਪਰ ਜਟਿਲਤਾਵਾਂ ਦਾ ਮਾਮੂਲੀ | | ਜੋਖਮ ਹੁੰਦਾ ਹੈ - ਜਿਸ ਵਿੱਚ ਸ਼ਾਮਲ ਹੈ ਦਾਗ ਪੈਣਾ, ਹਿਮੋਟੋਮਾ ਬਣਨਾ (ਖੂਨ ਦਾ ਇਕੱਤਰ ਹੋਣਾ), ਨਸ ਨੂੰ ਨੁਕਸਾਨ, ਅਤੇ ਨੈਕਰੋਸਿਸ (ਚਮੜੀ ਦੇ ਸੈੱਲ ਦਾ ਸਮੇਂ ਤੋਂ ਪਹਿਲਾਂ ਖ਼ਤਮ ਹੋਣਾ), અને નેક્રોસિસનો (ત્વચાના કોષોનું અકાળ મૃત્યુ) સમાવેશ થાય છે। ਲੋੜੀਂਦਾ ਖੂਨ ਨਹੀਂ ਮਿਲ ਰਿਹਾ? ਮਦਦ ਲਈ www.gov.uk/taking-antibody-bloodsample ਤੇ ਜਾਓ। ਜੇ ਤੁਹਾਨੂੰ ਅੰਸ਼ਕ ਨਮੂਨੇ ਦਾ ਨਿਪਟਾਨ ਕਰਨ ਦੀ ਲੋੜ ਪੈਂਦੀ ਹੈ, ਤਾਂ ਇਸ ਨੂੰ ਪੈਕ ਕਰਨ ਲਈ ਉਹੀ ਹਿਦਾਇਤਾਂ ਦੀ ਵਰਤੋਂ ਕਰੋ ਜੋ ਤੁਸੀਂ ਇੱਕ ਆਮ ਨਮੁਨੇ ਲਈ ਕਰੋਗੇ (ਜਿਸ ਵਿੱਚ ਲਿਫ਼ਾਫ਼ਾ ਵੀ ਸ਼ਾਮਲ ਹੈ)। ਫੇਰ ਇਸ ਸਾਰੇ ਦਾ ਘਰੇਲੂ ਕੂੜੇ ਵਿੱਚ ਨਿਪਟਾਨ ਕਰ ਦਿਓ।

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# River Basin Management Plan Dee River Basin District ## Contact Us You can contact us in any of these ways: email at deerbd@environment-agency.gov.uk - • phone on 08708 506506 - post to Environment Agency (Wales Region), Water Framework Directive, Cambria House, 29 Newport Road, CARDIFF, CF24 0TP The Environment Agency website holds the river basin management plans for England and Wales, and a range of other information about the environment, river basin management planning and the Water Framework Directive. www.environment-agency.gov.uk/wfd You can search maps for information related to this plan by using 'What's In Your Backyard'. http://www.environment-agency.gov.uk/maps. ## Contents This plan at a glance 4 1 About this plan 5 2 About the river basin district 7 3 Water bodies and how they are classified 10 4 The state of the water environment now 13 5 Actions to improve the water environment by 2015 17 6 The state of the water environment in 2015 31 7 Targets for subsequent cycles 38 8 Dee River Basin District catchments 39 9 Next steps - implementing this plan 51 10 Summary statistics for the Dee River Basin District 55 11 Further information - the annexes 56 List of figures, tables and case studies Figure 1 Map of the Dee River Basin District 7 Figure 2 The components of overall status for surface water bodies 11 Figure 3 Ecological status/potential and biological status of surface water bodies now 13 Figure 4 Proportion of assessed river water bodies in each status class, by element 15 Figure 5 Surface water bodies showing an improvement for one or more elements 31 by 2015 Figure 6 Ecological status/potential of surface water bodies now and in 2015 32 Figure 7 Biological status of assessed surface water bodies now and in 2015 33 Figure 8 Predicted proportion of river water bodies in each status class, by element for 2015 33 Figure 9 Predicted ecological status and potential for surface water bodies in 2015 35 Figure 10 Predicted quantitative status for groundwater in 2015 36 Figure 11 Predicted chemical status for groundwater in 2015 37 Figure 12 Dee River Basin District catchments 39 Figure 13 Map showing the current ecological status/potential of rivers, canals and surface water transfers in the Upper Dee catchment 41 Figure 14 Map showing the current ecological status/potential of rivers, canals and surface water transfers in the Middle Dee catchment 44 Figure 15 Map showing the current ecological status/potential of rivers, canals and surface water transfers in the Tidal Dee catchment 47 Figure 16 River basin management planning milestones to date and to 2015 51 Table 1 Water body numbers in the Dee River Basin District 10 Table 2 Other Directives and their Water framework directive protected areas 12 Table 3 Main reasons (where known) for not achieving good ecological status or potential 14 Table 4 Qualitative assessment of increased risk from climate change for 2050 and beyond 27 Table 5 Key statistics at a glance - Upper Dee 42 Table 6 Key statistics at a glance - Middle Dee 45 Table 7 Key statistics at a glance - Tidal Dee 46 Table 8 Key statistics at a glance - Estuary 48 Table 9 Key statistics at a glance - Groundwater 49 Table 10 Summary statistics for the Dee River Basin District 55 Case study Habitat improvements for fish in the Middle Dee 45 This plan at a glance This plan is about the pressures facing the water environment in the Dee River Basin District, and the actions that will address them. It has been prepared under the Water Framework Directive, and is the first of a series of six-year planning cycles. By 2015, 25 per cent of surface waters (rivers, lakes, estuaries and coastal waters) in this river basin district are going to improve for at least one biological, chemical or physical element, measured as part of an assessment of good status according to the Water Framework Directive. This includes an improvement of **265 km** of the river network in relation to fish, phosphate, specific pollutants and other elements. 38 per cent of surface waters will be at good or better ecological status/potential and 67 per cent of groundwater bodies will be at good status **by 2015**. In combination 38 per cent of all water bodies will be at good status by 2015. The Environment Agency wants to go further and achieve an additional two per cent improvement to surface waters across England and Wales by 2015. The biological parts of how the water environment is assessed - the plant and animal communities - are key indicators. At least 48 per cent of assessed surface waters will be at good or better biological status by 2015. In the past there has been considerable progress in protecting the natural assets of the Dee river basin district and cleaning up many of the problems for the water environment. From the mountains and lakes of the Snowdonia National Park in the upper part of the basin, to the open plains of Cheshire and the mudflats of the Dee Estuary in the lower basin, their wildlife is supported by water, which is vital for the livelihoods of those who live and work here. However, a range of challenges remain, which will need to be addressed to secure the predicted improvements. They include: - diffuse pollution from agricultural and other rural activities; - point source pollution from sewage treatment works; - the physical modification of water bodies; - point source pollution from domestic (non-water industry) activities - diffuse pollution from housing. At present, because of these pressures and the higher environmental standards required by the Water Framework Directive only 28 per cent of surface waters are currently classified as good or better ecological status/potential. 51 per cent of assessed surface water bodies are at good or better biological status now, although we expect this to change to 48 per cent when we have assessed all water bodies. In order to meet these targets, it is important for everyone to play their part now and in the future. River basin management is an opportunity for this generation - for people and organisations to work together to improve the quality of every aspect of the water environment - to create an environment we are all proud of and can enjoy. 1 About this plan This plan focuses on the protection, improvement and sustainable use of the water environment. Many organisations and individuals help to protect and improve the water environment for the benefit of people and wildlife. River basin management is the approach the Environment Agency is using to ensure our combined efforts achieve the improvement needed in the Dee River Basin District. River basin management is a continuous process of planning and delivery. The Water Framework Directive introduces a formal series of 6 year cycles. The first cycle will end in 2015 when, following further planning and consultation, this plan will be updated and reissued. The Dee River Basin District Liaison Panel has been central to helping us manage this process. The panel includes representatives of businesses, planning authorities, environmental organisations, consumers, navigation, fishing and recreation bodies and central, regional and local government, all with key roles to play in implementing this plan. The Environment Agency has also worked extensively with local stakeholders to identify the actions needed to address the main pressures on the water environment. This plan has been prepared under the Water Framework Directive, which requires all countries throughout the European Union to manage the water environment to consistent standards. Each country has to: - prevent deterioration in the status of aquatic ecosystems, protect them and improve the ecological condition of waters; - aim to achieve at least good status for all water bodies by 2015. Where this is not possible and subject to the criteria set out in the Directive, aim to achieve good status by 2021 or 2027; - meet the requirements of Water Framework Directive Protected Areas; - promote sustainable use of water as a natural resource; - conserve habitats and species that depend directly on water; - progressively reduce or phase out the release of individual pollutants or groups of pollutants that present a significant threat to the aquatic environment; - progressively reduce the pollution of groundwater and prevent or limit the entry of pollutants; - contribute to mitigating the effects of floods and droughts. The plan describes the river basin district, and the pressures that the water environment faces. It shows what this means for the current state of the water environment, and what actions will be taken to address the pressures. It sets out what improvements are possible by 2015 and how the actions will make a difference to the local environment - the catchments, the estuaries and coasts, and the groundwater. Looking towards implementation, the plan highlights the programme of investigations to be undertaken. This will identify more actions, particularly those associated with diffuse pollution, for delivery during the first cycle. New national measures, made available by government, will also lead to additional improvements. At local level, the Environment Agency will be working closely with a wide variety of organisations and individuals, not only to deliver the commitments contained in the plan, but wherever possible to expand upon them for the benefit of the water environment. Strategic Environmental Assessment A Strategic Environmental Assessment of the draft plan was completed to review the effects of the proposals on the wider environment. The assessment enabled us to make sure that this plan represents the most sustainable way of managing the water environment. The Post Adoption Statement and accompanying Statement of Environmental Particulars is available at www.environment-agency.gov.uk/wfd. Habitats Regulations Assessment A Habitats Regulations Assessment of this plan has been carried out to consider whether it is likely to have a significant effect on any Natura 2000 sites. The assessment was undertaken by the Environment Agency, in consultation with Natural England and the Countryside Council for Wales. The assessment concluded that the River Basin Management Plan is unlikely to have any significant negative effects on any Natura 2000 sites. The Plan itself does not require further assessment under the Habitats Regulations. This conclusion is reliant on the fact that before any measures in the plan are implemented they must be subject to the requirements of the Habitats Regulations. Any plans, project or permissions required to implement the measures must undergo an appropriate assessment if they are likely to a have a significant effect. A copy of the Habitats Regulations Assessment of this plan is available at www.environmentagency.gov.uk/wfd. Impact Assessment An impact assessment of this plan has been completed. It looks at the costs of a reference case, which includes existing actions and new actions required by existing obligations, and the incremental costs and benefits of implementing the additional new actions required by this plan. The impact assessment also provides a forward look to the costs and benefits of potential action in future cycles (2015 to 2021 and 2021 to 2027). A copy of the impact assessment is available at www.environment-agency.gov.uk/wfd. 2 About the Dee River Basin District The Dee River Basin District is home to over 500,000 people and covers an area of 2,251 square kilometres of North East Wales, Cheshire, Shropshire and the Wirral. The district consists of a single river basin; the River Dee, its tributaries and estuary. The district is characterised by a varied landscape. It ranges from the mountains and lakes of the Snowdonia National Park in the upper part of the basin, through the Vale of Llangollen in the middle reaches, to the open plains of Cheshire and the mudflats of the Dee Estuary in the lower basin (Figure 1). The Dee and its tributaries are renowned for their excellent fishing and there is an important cockle fishery in the estuary. The River Dee and Llyn Tegid are designated as a Special Area of Conservation (SAC) under the Habitats Directive. The Dee estuary is a Special Protection Area (SPA) and SAC. Chester and Wrexham are the two major urban centres, but the dominant land uses are agriculture and forestry, particularly in the upper part of the basin. Key economic sectors in the region include business services, retailing, health, banking and insurance. Llyn Tegid, Celyn and Brenig reservoirs in the upper catchment are used for water storage to regulate river flows in the Dee downstream all year round. In the drier months, typically between April and September, this is to sustain abstractions for public supply, and industry. Nearly three million people get their drinking water from the Dee, including many in North West England. Outside of this period, the reservoirs are used to modify flood response and reduce the flooding frequency in the Dee between Bala and Chester. The Environment Agency is responsible for managing the Dee Regulation System under the Dee and Clwyd River Authority Act 1973. The Environment Agency is assisted in the drawing up of operational management rules by the statutory Dee Consultative Committee which comprises three members of the Environment Agency, plus one member from British Waterways, and representatives from relevant water companies. Operational Management rules are established for operation of the scheme under "normal" and "drought" conditions. Within these rules and within the powers given by the Dee and Clwyd River Authority Act, the Environment Agency can specify the level of residual flow to be maintained over Chester Weir, and detail specific measures to be taken to reduce demands on the system in times of drought. Regard must also be given to mitigating flooding, supplying a specific volume of water to British Waterways for the Shropshire Union Canal, safeguarding the fisheries and other purposes including the safeguarding of specific features and habitats designated under the Habitats Directive that may be affected by management of flows in the River Dee. The strategic importance of the Dee as a potable water source and the risk posed to it from pollution have led to the Dee becoming one of the most protected rivers in Europe. In 1999, the lower part of the Dee was designated as the UK's first, and to date only, Water Protection Zone. Pressures on the water environment A great deal is already being done to protect and improve the water environment. However, it will take more time, effort and resources to deal with the pressures that have significantly altered and damaged the environment over the last few hundred years. There are a number of major challenges. High population densities and transport networks put pressure on the water environment. Discharges from sewage works can impact on water quality or the enjoyment of it, and water companies will implement a major programme of work to address this issue. The way land is managed has given rise to complex pollution issues. Diffuse pollution is a major pressure on the water environment, and can come from urban areas as well as rural areas. Further improvements are needed to farming practices to protect water quality and allow wildlife to thrive. Rivers and estuaries have been significantly modified physically, to facilitate development, flood and coastal risk management or navigation. **Physical modification** needs to be addressed in order to achieve more natural functioning of wetland ecosystems, and protect fish and their habitats into the future. The River Dee is an important source of drinking water supply in the district and North West England. Work is required to **ensure that the water resources in the Dee are maintained** as the impact of climate change become evident. Groundwater in the Dee River Basin District is an important source of drinking water. 20 million litres of groundwater per day are licensed by the Environment Agency to be abstracted for public water supply by the major water companies. In addition, there are over 1500 known private water supplies in the Dee River Basin District, dependent on groundwater as the primary source of drinking water. It is therefore essential to safeguard supplies and the environment by protecting groundwater from pollution, and managing the water resource. All these challenges relate to a range of specific pressures (significant water management issues) that need to be dealt with in this river basin district. These are: - Nitrate - an essential plant nutrient composed of nitrogen and oxygen that is found in fertilisers used in agriculture, and in sewage effluent. It can cause environmental problems when in excessive concentrations. - Pesticides –chemical and biological products used to control pests. - Phosphate - a nutrient in sewage and fertiliser that can cause too much algae to grow in rivers when in excess concentrations. - Invasive non-**native species** - plants and animals that have deliberately or accidentally been introduced outside their natural range, and by spreading quickly threaten native wildlife and can cause economic damage. - Commercial fisheries (estuaries and coastal waters) - problems related to the direct capture and removal of fish or shellfish, or habitat damage caused by some types of fishing. - Metals - metals, in large quantities, can be toxic to freshwater fish, invertebrates and marine organisms. - Sediment - Undissolved particles floating on top of or suspended within water, for example those caused by increased rates of soil erosion from land activities. Sedimentation can smother river life and spread pollutants from the land into the water environment. - Urban and transport pollution - a range of pollutants related to urban areas and the transport network. 3 Water bodies and how they are classified In the context of the Water Framework Directive, the water environment includes rivers, lakes, estuaries, groundwater and coastal waters out to one nautical mile. For the purposes of river basin management, these waters are divided into units called water bodies, as summarised in Table 1. In addition, this plan aims to protect wetlands that depend on groundwater. Water body types Lakes and reservoirs Estuaries (transitional) Coastal Groundwater Total Rivers, canals and surface water transfers (SWTs)* Natural water bodies 56 4 0 0 6 66 Artificial water bodies 1 0 0 0 1 Heavily modified water bodies 30 17 1 0 48 Total 87 21 1 0 6 115 * The total length of river covered by the Directive in this river basin district is 753 kilometres. The Water Framework Directive sets a target of aiming to achieve at least 'good status' in all water bodies by 2015. However, provided that certain conditions are satisfied, in some cases the achievement of good status may be delayed until 2021 or 2027. Surface waters For surface waters, good status is a statement of 'overall status', and has an ecological and a chemical component. Good ecological status is measured on the scale high, good, moderate, poor and bad. Chemical status is measured as good or fail. Good ecological status applies to natural water bodies, and is defined as a slight variation from undisturbed natural conditions. Figure 2 shows how status is determined for surface waters. Each component has several different elements. These are measured against specific standards and targets developed by the Water Framework Directive UK Technical Advisory Group (UKTAG) and the European Union. To understand the underlying reasons for water body status it is helpful to break down the results. Ecological status could be driven by the presence of a single chemical substance slightly exceeding the required standard. As well as ecological status this plan highlights the results of biological assessments (referred to as biological status) as these are the main indicators of the health of the environment for surface waters. Monitoring and components of overall status The monitoring programme for river basin management is based on a far wider range of assessments than were carried out in the past. A range of elements are measured in each water body, and a classification is produced based on a 'one out, all out' principle. This uses the poorest individual element result to set the overall classification. The classification of water bodies will improve as new monitoring data are collected and better methods of assessment are developed. Future monitoring will help show where environmental objectives are already being met and where more needs to be done to improve the water environment. Monitoring will also give us some information on the spread of invasive non-native species. The Water Framework Directive recognises the key role that water resources and habitats play in supporting healthy aquatic ecosystems. It requires that water bodies are managed to protect or improve hydromorphological conditions. Hydromorphology is a term that covers the flow of water in a water body and its physical form. The term encompasses both hydrological and geomorphological characteristics that help support a healthy ecology in rivers, lakes, estuaries and coastal waters. Artificial and heavily modified waters Some water bodies are designated as 'artificial' or 'heavily modified'. This is because they may have been created or modified for a particular use such as water supply, flood protection, navigation or urban infrastructure. By definition, artificial and heavily modified water bodies are not able to achieve natural conditions. Instead the classification and objectives for these water bodies, and the biology they represent, are measured against 'ecological potential' rather than status. For an artificial or heavily modified water body to achieve good ecological potential, its chemistry must be good. In addition, any modifications to the structural or physical nature of the water body that harm biology must only be those essential for its valid use. All other such modifications must have been altered or managed to reduce or remove their adverse impact, so that there is the potential for biology to be as close as possible to that of a similar natural water body. Often though, the biology will still be impacted and biological status of the water body may be less than good. Groundwater For groundwater, good status has a quantitative and a chemical component. Together these provide a single final classification: good or poor status. A ground water body will be classified as having poor quantitative status in the following circumstances; where low ground water levels are responsible for an adverse impact on rivers and wetlands normally reliant on ground water; where abstraction of ground water has lead to saline intrusion; where it is possible that the amount of groundwater abstracted will not be replaced each year by rainfall. Poor chemical status occurs if there is widespread diffuse pollution within the groundwater body, the quality of the groundwater is having an adverse impact on wetlands or surface waters, there is saline intrusion due to over abstraction, or the quality of water used for potable supply is deteriorating significantly. There are other objectives for groundwater quality in addition to meeting good status. These are the requirements to prevent or limit the input of pollutants to groundwater and to implement measures to reverse significant and sustained rising trends in pollutants in groundwater. Protected areas Some areas require special protection under European legislation. The Water Framework Directive brings together the planning processes of a range of other European Directives. These Directives, listed in Table 2, establish protected areas to manage water, nutrients, chemicals, economically significant species, and wildlife - and have been brought in line with the planning timescales of the Water Framework Directive. Meeting their requirements will also help achieve Water Framework Directive objectives. Table 2 Other Directives and their Water Framework Directive protected areas | Directive | Protected area | Number of protected areas | |----------------------------------|--------------------------------|------------------------------| | Bathing Waters | Recreational waters | 1 | | 3 | | | | Birds | Natura 2000 sites (water | | | dependent special protection | | | | areas) | | | | Drinking Water | Drinking water protected areas | 25 | | 83 | | | | Freshwater Fish | | | | | | | | Waters for the protection of | | | | economically significant aquatic | | | | species | | | | 2 | | | | Shellfish Waters | Waters for the protection of | | | economically significant aquatic | | | | species | | | | 7 | | | | Habitats | Natura 2000 sites (water | | | dependent special areas of | | | | conservation) | | | | Nitrates | Nitrate Vulnerable Zones | 23 per cent land coverage | | Urban Waste Water Treatment | Sensitive areas | 0 | Achieving the objectives of these protected areas is a priority for action in this plan. Annex D sets out their objectives and the actions required for Natura 2000 sites and the new Drinking Water Protected Areas required under the Directive. Annex C describes the actions required for all protected areas. In addition, there are two new daughter Directives (Groundwater and Environmental Quality Standards) that will be used to implement specific parts of the Water Framework Directive. 4 The state of the water environment now The current status classification is the baseline from which improvements and the 'no deterioration in status' objective of the Water Framework Directive is measured. The current status classification has been updated since the draft plan. It is different to that presented in the draft plan because: - the quality of assessments has been improved by refining classification methods; - the accuracy of individual assessment tools has improved, especially for fish; - a number of water bodies that were identified as potentially being heavily modified have not been designated as such in this plan because monitoring shows that they currently achieve good status; - improvements from the water companies' Periodic Review 2004 have now been factored in; - an additional 10 lakes have been classified that were previously unassessed. 28 per cent of surface waters are at good or better ecological/potential status now. 51 per cent of assessed surface waters are at good or better biological status now. 108 surface water bodies have been assessed for ecology and 72 have been assessed for biology. This is shown in Figure 3. Statistics for both good ecological status/potential and biological status are influenced by the relative number of artificial and heavily modified waters and their classification. In the Dee River Basin District, 22 per cent of 49 artificial and heavily modified water bodies are currently classified as at good or better ecological potential, compared to 33 per cent of 60 natural surface water bodies having good or better ecological status. As discussed in the previous section the higher percentage of poor and bad water bodies assessed for biological status compared to ecological status/potential reflects the fact that even where all mitigation measures are in place to allow an artificial or heavily modified water body to be classified as good, the use of the water body may mean that biology is still impacted. As biological monitoring continues it is likely that the percentage of water bodies at good or better biological status will change from 51 per cent to 48 per cent. This is explained further in the section on Biological status and monitoring. For groundwater bodies, currently 83 per cent are at good quantitative status and 83 per cent are at good chemical status. Reasons for not achieving good status or potential This section takes a closer look at rivers. The majority of management actions in the first river basin management cycle will be applied to rivers. Reasons for not achieving good status or potential in other surface waters are being developed. The first course of action for lakes, coasts and estuaries is to develop a better understanding of the issues. To identify what needs to be done to improve the environment, the reasons for not achieving good status need to be understood. The main reasons most frequently identified by Environment Agency staff using monitoring data and their knowledge and who have on the ground experience of individual water bodies are shown in Table 3. Each relates to one or more pressures, which in turn impact on elements of the classification. The reasons for failure include diffuse source pollution from agriculture, point source discharges from water industry sewage works and a range of reasons due to physical modifications. The actions in this plan will increase the number of waters achieving good status or potential, for example through significant investment in improving discharges from sewage works and changes to land management practices. Even if good status is not completely achieved, they will also lead to improvements to the key elements impacted. potential Reason for failure Key elements impacted | Diffuse source agricultural | phosphate, macrophytes, | |--------------------------------------------------|------------------------------------------------| | invertebrates, phytobenthos | | | Point source water industry sewage works | phosphate, macrophytes, | | invertebrates, phytobenthos | | | Physical modification flood protection | mitigation measures required | | Physical modification barriers to fish migration | fish | | Point source domestic (non water industry) | phosphate, dissolved oxygen | | mitigation measures required | Physical modification water storage and supply | | (including for power generation) | | | Diffuse source housing | fish, macrophytes, phytobenthos | | phosphate, phtobenthos, macrophytes | Point source water industry storm discharge | | (incl. Combined Storm Overflows) | | | Disused mines point and/or diffuse source | zinc | | Diffuse source mixed urban run-off | invertebrates | It is important to note that because classification involves a wider range of elements than previous monitoring schemes, and many of the key pressures are complex and occur in combination, we often do not know the reason for a failure. For many water bodies either the reasons for failure are unknown or it is uncertain whether there is a failure or whether pressures really are causing an impact. In these cases we will need to investigate, as discussed in "Investigations - improving outcomes for 2015" in Section 6. For groundwater quality, the reason for poor status is due to the impact of minewaters from historic coal and metal mining activities. The main reason for poor quantitative status is due to the associated surface water impact, with the amount of groundwater baseflow (affected by local abstractions) being considered to be a contributing factor to the poor status of these surface waters. Classification of individual elements For rivers, which comprise the majority of water bodies in the river basin district, the main elements indicating that the standards for good ecological status/potential are not being achieved are fish, invertebrates, specific pollutants and phosphate. This is shown in Figure 4. The results for macrophytes (aquatic plants) and diatoms (microscopic algae) are from relatively fewer water body assessments based on a new (2007) risk based monitoring programme. However, as would be expected, the results for these elements confirm the presence of pressures on biology in many of the assessed water bodies. Excessive sediment is a possible cause for biology not being good in a number of water bodies. At present however, standards are not available to identify clearly where sedimentation is excessive. The Environment Agency will be developing techniques to assess the impact of sedimentation as one of the actions in this plan. Biological status and monitoring New monitoring programmes for the Water Framework Directive since 2007 focus on locations where the Environment Agency suspects there may be a problem caused by pressures on the water environment. The Environment Agency does not yet have biological assessments for all relevant water bodies. In this river basin district 66 per cent of surface water bodies have an assessment for at least one biological element. The number of water bodies covered by biological monitoring is set to increase over the next three years. As new information becomes available it is likely that some water bodies currently labelled as good biological status will be shown to have a lower quality. For instance, from the chemical monitoring the Environment Agency is now clear that there is a link between high levels of phosphate in surface waters and biological failures in the main river type (lowland alkaline rivers). The assessment of reasons for failure that the Environment Agency has started to undertake shows that across England and Wales 22 per cent of river water bodies are failing to achieve good status/potential because of excessive levels of phosphate. In this river basin district phosphate results show that it is likely that the percentage of water bodies at good or better biological status may change from 51 per cent to 48 per cent when additional water bodies are assessed for diatoms and/or macrophytes. This same analysis points to discharges from sewage treatment works and releases from agriculture being responsible for the majority of this. Rather than wait for the results of more biological assessments, we need to ensure corrective action is started in the first plan cycle. Through The Water Services Regulation Authority's (Ofwat's) determination of the water industry periodic review of investment, the water industry will continue their investment programme targeted at addressing their contribution to phosphate pollution. It is important that agriculture also makes a contribution in the first cycle improvements. The Environment Agency is now working with the main farming groups to understand better the main ways in which phosphate from land enters and is transported in water bodies. Farming groups have agreed to use this information to encourage individual farmers to take action to reduce their contribution to water pollution. We will trial this new approach in the Anglian River Basin District and through the Campaign for Farmed Environment. We will also look at what advice and incentives are available through agri-environment schemes and the other initiatives such as England Catchment Sensitive Farming and Glastir in Wales. In parallel with this approach, the Environment Agency will continue to develop work on regulatory measures, such as piloting, in England, Water Protection Zones (WPZs) so that if voluntary approaches are shown not to work in a particular area, or where higher environmental standards are needed in for example protected areas, we are ready and able to ensure progress is made before 2015. The work to identify the ways in which phosphate enters water bodies and the means of reducing this will inform the measures that might be applied in WPZs. WPZs will only be effective if the means of control have been clearly identified. 5 Actions to improve the water environment by 2015 The following gives an overview of the key contributions from sectors and organisations that the Environment Agency will work with to implement this plan. All sectors Agriculture and rural land management Angling, fisheries and conservation Central government Environment Agency Industry manufacturing and other business Local and regional government Mining and quarrying Navigation Urban and transport Water industry Individuals and communities These actions are summarised versions of the full programme of actions that can be found in annex C. The lead organisation for each action is given in brackets. Note that many actions will involve more than one sector and need to be implemented in partnership. Actions in annex C are therefore duplicated across the relevant sectors. Sectors are encouraged to put further actions forward during the implementation of this plan. After the action tables there are sections on: Actions to protect drinking water The costs of action in this plan Taking action in a changing climate Working with other plans and programmes All sectors All sectors must comply with the range of existing regulations, codes of practice and controls on the use of certain substances. Investigations will be carried out by the Environment Agency and partner organisations where appropriate, to establish the extent and source of pressures and to identify any further actions that are technically feasible and not disproportionately costly. These actions will be carried out during this or future management cycles. Investigations and actions will also be carried out in drinking water protected areas (where necessary focused in safeguard zones) to reduce the risk of deterioration in raw water quality and therefore reduce the need for additional treatment to meet drinking water standards. A small number of candidate Water Protection Zones (WPZ) will be promoted across England early in the first plan cycle, where there is clear evidence that voluntary mechanisms such as the England Catchment Sensitive Farming Delivery Initiative, Environment Agency Wales Catchment Initiatives and pollution prevention campaigns are not sufficient by themselves to achieve the required environmental objectives. The candidate WPZs will be used to establish the usefulness of the concept, but as we have said earlier in describing the results of the biological monitoring, this is turn relies on a clear understanding of the practices causing problems and the techniques to avoid them. Agriculture and rural land management This sector has a big role in looking after and improving the quality of the rural environment. In north east Wales, agriculture accounts for approximately 75 per cent of land use and employs over 8,000 people. A combination of incentive, advisory and regulatory measures have been in place for a number of years to help farmers and other land managers protect the environment. For instance the Code of Good Agricultural Practice and agri-environment schemes, such as Entry Level Stewardship and Higher Level Stewardship and Tir Gofal in Wales. Wise stewardship of resources such as soil, nutrients, water and energy helps to cut costs while maintaining or improving the productivity of land and livestock. Nevertheless, the way in which land is managed is still having a negative impact on natural resources and further action is needed to address diffuse pollution and other key pressures in rural areas. Government will consider the introduction of further restrictions of activities and restrictions on chemicals where there is evidence that voluntary actions failed to deliver. Example actions Cross-Compliance - to help farmers comply with a range of Directives to reduce pollution from agriculture at farms receiving subsidies (all land managers). - Across the river basin district Education, Training and awareness on diffuse pollution issues associated with forestry and woodland management (all land managers). - Across the river basin district Pesticides statutory code of practice - advice for operators on control of plant protection products to prevent and limit pollution of waters (all operators) ♦ Across the river basin district Establish and enforce **Nitrate Vulnerable Zones** in catchments at high risk from nitrate pollution () to reduce the amount of nitrate and other pollutants entering water from farmland (Welsh Assembly Government, Environment Agency). - Across the river basin district Run pollution prevention advice and local campaigns to provide targeted advice and enforcement on farm and land management, domestic oil storage, septic tanks (Environment Agency). - Across the river basin district, but focused in high risk areas Water efficiency campaigns (e.g. National Farmers' Union and National Farmers' Union Cymru "Water Matters") - Across the river basin district Investigate sheep dip pesticide impact on rivers in upper and middle Dee areas using invertebrate and moss sampling in high risk catchments (Environment Agency Wales). - Dee river basin district in particular Upper and Middle Dee Angling and conservation The Dee River Basin District has a rich and diverse range of wildlife, and retains internationally and nationally important wildlife sites, habitats and species. The district is home to several sites designated under European and national legislation for their nature conservation value. These include the River Dee and Llyn Tegid, Special Area of Conservation (SAC), designated for its Atlantic salmon and water plantain populations; Berwyn and South Clwyd Mountains cSAC and Special Protection Area (SPA), designated for its upland breeding birds and blanket bogs; Dee Estuary, a SPA and Ramsar site designated for its important breeding and migratory bird populations. The Dee and its tributaries are renowned for their excellent fishing. Game fish, including salmon and trout, are found throughout the catchment, including the lakes and reservoirs in the upper reaches. Coarse fish, including grayling, for which the River Dee is well-known, are present in the middle and lower reaches, and in the Llangollen arm of the Shropshire Union Canal located in part in the south-east of the basin. Some salmon net-fishing takes place in the estuary under licence. The estuary is also home to important cockle beds, which provide a local industry. The cockles provide an important source of food for the wildfowl and wading birds during the winter months. Cockle fishing disturbs birds and damages the habitat through trampling, discards, raking, illegal fishing and the removal of undersize cockles. The angling and conservation sector has a large role to play in delivering local 'on the ground' improvements to the water environment as well as working to establish new improvement actions. It engages communities and individuals, building on their skills, experience and local knowledge and actively involves them in making these improvements. Angling is a popular past time that can provide local intelligence on environmental quality. Many environmental organisations can influence environmental quality through the land they own or manage. Riparian owners have specific responsibility for the management of their watercourses so their support, involvement and investment in implementing the actions is crucial. Example actions Education campaigns to the general public through press releases, newsletters and magazines to raise awareness on **sustainable water use (efficiency, conservation and re-use)** (Environment Agency Wales). - Across the river basin district Encourage catch and release of salmon and sea trout through incentives and education (Environment Agency). - Across the river basin district Enforcement of rod byelaws, including illegal fishing, to protect vulnerable fish stocks from overexploitation (Environment Agency). - Across the river basin district Promote the **'River Fly Partnership'** monitoring programme to assess the status of river health (Fisheries/Angling clubs). - Across the river basin district Establish a database of invasive non-native species on nature reserves and in areas where the Environment Agency works for all Wildlife Trusts in the Dee river basin district. The database can then be shared with the Association of Rivers Trusts, Wildlife Trusts and other organisations (Environment Agency Wales). - Across the river basin district Produce plan of priority actions for easing eel passage taking account of availability of upstream habitat (Environment Agency Wales). - Across the river basin district Central government Government will continue to influence the development of European legislation to help bring forward initiatives that protect and improve the water environment, and that are technically feasible and not disproportionately costly. Defra and Welsh Assembly Government are considering further policy options to help improve ambition in achieving objectives in this first plan cycle. These include controls on phosphate in detergents, tackling mis-connections, general binding rules, code of practice on septic tanks and options to increase the use of sustainable drainage systems to reduce risks of flooding and pollution of surface waters during periods of high rainfall. The Environment Agency, Forestry Commission, Natural England and Countryside Council for Wales are the key government agencies for this plan. The agencies will work together on relevant actions. Example actions Promote Code for Sustainable Homes (now mandatory Level 3 for all residential developments greater than 4 dwellings) and Building Research Establishment Environmental Assessment Method (BREEAM) standards in national planning policy in Wales (Welsh Assembly Government). - Across the river basin district Promote the wide scale use of sustainable drainage systems and provide guidance for integrating development and water planning (Welsh Assembly Government)) - Across the river basin district Where necessary carry out targeted local investigations into the origins, causes of and solutions to pollution to protect **private drinking water supplies** (Environment Agency Wales) - Across the river basin district Implement the water related actions of the **Invasive Non-native Species Framework** Action Plan for Great Britain (Defra, Welsh Assembly Government, Environment Agency) . - England and Wales Improve information on distribution of invasive non-native plant species by using information gathered from herbicide applications to create a invasive non-native species database and linking to data gathered from other organisations (Welsh Assembly Government) - Across the river basin district Environment Agency The Environment Agency is the Government's lead agency for implementing the Water Framework Directive. We will continue to monitor, provide advice and manage improvements to the water environment. We regulate discharges to and abstraction from the water environment by issuing and enforcing environmental permits and licenses. Where necessary we take enforcement action against those who act illegally and damage or put at risk the water environment. We also have responsibility to make sure there is enough water to meet the needs of industry, agriculture and wider society in the future. Specific requirements for Environment Agency in the Dee River Basin District are to continue to regulate the Dee Water Protection Zone and manage the flow regime in the River Dee in accordance with the Dee and Clwyd Authority Act 1973. We will work closely with all sectors to learn from them, build on existing knowledge and to develop a shared commitment to implementing environmental improvements. Example actions The Environment Agency Wales will **manage the Dee Regulation System (river flows in the Dee)** under the Dee and Clwyd River Authority Act 1973 (Environment Agency Wales). - Across the river basin district The Environment Agency Wales will **enforce the Water Protection Zone Regulations 1999**, ensuring all controlled activities are carried out in accordance with the requirements of a protection zone consent (Environment Agency Wales) - Across the river basin district Continue to refine a **monitoring programme**, to maintain our understanding of the state of the water environment (Environment Agency). - Across the river basin district Run local pollution prevention campaigns to raise awareness of the need for responsible handling and disposal of chemicals, oil and other pollutants (Environment Agency). - Specified water bodies identified at risk Example actions Develop and implement Water Framework Directive mitigation measures manual for flood and coastal erosion risk management and land drainage activities. This manual will set out best practice options for measures to mitigate against the impacts of such activities upon ecology. This will be used to ensure that new and existing schemes and management activities will take into consideration Water Framework Directive requirements and will results in minimal ecological damage (Environment Agency Wales). - Across the river basin district Reduce physical modification by **reviewing redundant flood defence structures** and identifying where modification, mitigation or removal may be appropriate (Environment Agency Wales) - Across the river basin district Provide advice to small and medium sized businesses on obligations in relation to priority substances, priority hazardous substances and specific pollutants through NetRegs website (Environment Agency Wales) - Across the river basin district Conduct investigations at sites identified under the **Restoring Sustainable Abstraction** programme (Environment Agency). - Across the river basin district Industry, manufacturing and other business Chester and Wrexham are the two major urban centres in the river basin district. Key sectors in the District include retailing, business services, health, banking and insurance. Commercial and industrial development is mainly centred in the urban areas adjacent to the estuary and around Wrexham. Major industries include chemical and pharmaceutical plants, food manufacture, paper production and aircraft construction. Manufacturing is an important contributor to the economy of the Dee River Basin District. All businesses have some environmental footprint, by emitting pollution, producing waste or simply using power. The Economic Strategy covering the English part of the District is a key document to manage the impact of future economic growth, by aiming to demonstrate that this growth can be secured within environmental limits to bring prosperity to the region. Most relevant actions in this plan are already underway or are part of the existing regulatory system. However, some actions are new, and will help reduce nutrients such as phosphate and will help meet tighter standards on ammonia and 40 other priority substances and pollutants in the river basin district. Where appropriate, industry will participate in pollution prevention campaigns and in investigations to establish the extent and source of pressures to define any further actions required for this and future plan cycles. Example actions Comply with regulations such as Environmental Permitting, Environmental Damage and Groundwater, to limit environmental damage and help prevent land contamination, pollution and deterioration of waters (Industry). - Across the river basin district Voluntary **pollution prevention and remediation** of existing land contamination, to bring land back into beneficial use and remove potential sources of groundwater contamination (Industry). - Sites contributing to potential environmental quality standard failure Run **pollution prevention advice and campaigns** to provide targeted advice and enforcement to reduce contaminants being released to groundwater from industrial estates, petrol stations and other sources (Environment Agency). - High risk areas Implementation of sustainable drainage systems Code of Practice. Comply with published advice for operators on sustainable drainage systems (Industry) - Across the river basin district Investigate the need to **screen intakes and discharges** to prevent loss or damage to fish populations. Ensure screening on priority sites (Environment Agency). - Across the river basin district Promote water recycling and rainwater harvesting where cost-effective, appropriate and used together with other demand management measures (Water companies). - Across the river basin district Reducing disposal of fat, oil and grease to sewers - Awareness campaign to influence behaviour with leaflets, information packs (Environment Agency Wales) - Across the river basin district Re-engineer existing discharges to avoid direct discharges of pollutants to groundwater (Environment Agency Wales). - Across the river basin district Local and regional government Local and regional government have a major role in implementing this plan. The sector has a far reaching influence on businesses, local communities and leisure and tourism sectors. The eight local authorities (Gwynedd, Conwy, Denbighshire, Shropshire, Wrexham, Cheshire West and Chester, Flintshire and Wirral) and Snowdonia National Park Authority also have duties and powers in relation to planning, waste and minerals, regeneration, land contamination, highways, transportation, emergency planning, countryside management, bathing waters, potable drinking water for private water supplies and other activities. Town and Parish councils exist at the local level across part of the river basin district. Many of the actions identified in the plan form part of this sector's normal work. The Environment Agency and others will work with Local Authorities to ensure that all relevant actions are identified, prioritised, resourced and implemented. Example actions Ensure that **planning policies and spatial planning documents** take into account the objectives of the Dee River Basin Management Plan, including Local Development Documents and Sustainable Community Strategies (Local Authorities). - Across the river basin district Develop and provide **sustainable water management planning guidance** to ensure that the impacts of development on the water environment are fully understood (Environment Agency). - Across the river basin district Action to **reduce the physical impacts of urban development** in artificial or heavily modified waters, to help waters reach good ecological potential (Local Authorities). - Across the river basin district Coordination of a variety of spatial plans, including land-use (Regional planning authorities) - Across the river basin district Promote the use of **sustainable drainage systems** in new urban and rural development where appropriate, and retrofit in priority areas including highways where possible (Environment Agency, Local Authorities). - Across the river basin district General guidance to **improve Pesticide use through the Amenity Forum** (Amenity Forum) - Across the river basin district Mining and quarrying Current mining and quarrying activity is well regulated. However, the historic metal and coal mining in the Wrexham area has left a legacy of minewater issues, in particular around the former Minera metal mine. Such minewater may include metals such as cadmium, lead, nickel, copper, iron, manganese and arsenic which can have significant ecological impacts on the receiving water environment. In some areas the habitat has adapted to this historic higher level of metal contamination and have subsequently become important habitats in their own right. The metals continue to be discharged from these sites and enter the receiving water bodies and eventually the Dee estuary. Investigations into the impacts of these sites, in particular Minera, is being progressed as part of the Metal Mine Strategy for Wales. Example actions Coal Authority **minewater preventative and remediation programme** (Coal Authority). - Across the river basin district Investigate emissions from working sites and **appraise options of best practice controls** at mines and quarries to ensure environmental quality standards are met (Operators). - Sites contributing to potential environmental quality standard failure Comply with **Local Authority contaminated land remediation notices** - Make use of site specific notice to remove pollution risk to groundwater (Industry). - Across the river basin district Implementation of best practice controls and **remediation at abandoned metal mines** (Environment Agency Wales). - Across the river basin district Continue to **investigate minewater impacts and develop remediation plans** in accordance with the Metal Mines Strategy for Wales (Environment Agency Wales). - Across the river basin district Investigate discharges from abandoned metal, and other non-coal mines in accordance with the Metal Mine Strategy for Wales. Prioritise for inclusion in national agreement with relevant mines partner organisations (Environment Agency Wales). - Across the river basin district Navigation Ports, harbours and marinas are essential for economic prosperity. Many navigation and port authorities have already done a great deal to help improve ecology and water quality and some harbours are home to internationally important wildlife. Careful planning will be needed to ensure that waters remain navigable whilst at the same time water quality is protected and improved. Proposals to build new ports or expand existing ones need to take sustainable water management goals into account. Physical changes are permitted to waters for navigation but only if certain conditions are met. The North Wales coast is also popular with tourists and recreational boaters. The Environment Agency wants to encourage recreation in the river basin district, whilst taking action to minimise any environmental impacts. Example actions Ban Tributyltin (TBT) use on ship hulls unless there is a coating to prevent leaching of underlying TBT anti-foulants, to prevent or limit pollution in marine waters (Marine and Fisheries Agency, Welsh Assembly Government and others). - England and Wales Create guidance notes for boat users and recreational activities on water bodies to reduce disturbance to habitat and species. The guidance will form an aspect of a wider code of practice to boat users (Countryside Council for Wales). - England and Wales Develop a dredging and disposal framework which will provide guidance to all those undertaking or permitting navigation dredging and dredged material disposal activities to assist in achieving the statutory objectives of the Water Framework Directive and related Environmental Quality Standards Directive (2008/105/EEC) (Ports sector). - England and Wales Review existing controls for disposal of dredgings inside and outside harbour limits as appropriate (Welsh Assembly Government, Defra). - England and Wales Investigate the reason for failure: to assess the contribution from dredging or disposal activities on EQS compliance as appropriate (Environment Agency) - England and Wales Urban and transport Development and regeneration is a major opportunity to improve the water environment. However, when poorly planned or designed, urban and transport infrastructure can adversely impact on water quality or water resources. The Environment Agency and others want to work with the urban and transport sector to achieve an urban water environment rich in wildlife that local communities can benefit from and enjoy. A good quality water environment has the potential to help economic regeneration and to enhance the economic and social amenity value of developments, and improve the quality of life in cities, towns and villages. Spatial planning and design for urban development and infrastructure should aim to reduce surface water run off; protect and restore habitats; improve the quality of rivers, coastal waters, and groundwater, and thus protect drinking water supplies and bathing areas. The release of toxic pollutants that harm the water environment also need to be reduced. Example actions Environment Agency and Highways Agency Memorandum of Understanding (MoU) and associated initiatives in England (Highways Agency and Environment Agency). - England Action to **reduce the physical impacts of urban development** in artificial or heavily modified water bodies, to help waters reach good ecological potential (Local Authorities). - Across the river basin district Run pollution prevention advice and local campaigns to provide targeted advice and enforcement on farm and land management, domestic oil storage, septic tanks (Environment Agency). - Across the river basin district General guidance to improve **Pesticide use** through the Amenity Forum (Amenity Forum). - England and Wales Countryside Council for Wales is promoting sustainable drainage systems in developments around SSSI's/areas with significant newt populations (Countryside Council for Wales). - Across the river basin district Promote **good practice to avoid pollution from construction sites** (Environment Agency). - Across the river basin district Reducing disposal of fat, oil and grease to sewers - Awareness campaign to influence behaviour with leaflets, information packs (Environment Agency Wales) - Across the river basin district Targeted programme of site visits to review activities operating in the Dee Protection Zone (Environment Agency Wales). - Across the river basin district Water industry Water companies are major partners in the management and protection of the water environment. The Environment Agency works with companies, consumers and government to ensure that the sector's environmental work is planned and implemented in a way that is affordable for the public. Improvement of continuous and intermittent sewage effluent discharges and of water resources management will be carried out as part of the ongoing water industry asset management programme. The companies' programme of work under the periodic review of water industry investment in 2009 will make a large contribution to meeting the objectives in this plan. This includes carrying out investigations, and specific improvement schemes to address water quality or water resources. In addition, specific actions will be carried out in drinking water protected areas to help safeguard drinking water supplies. Example actions Reduce leakage through active leakage control and customer supply pipe repair policies to help ensure sufficient water for people and wildlife (Water companies). - Across the river basin district Complete the current round of **water company asset investment** to deliver water quality improvements and reduce the impact of abstraction (Water companies). - Rivers, coasts, estuaries and groundwater bodies across the river basin district Improvements to water company assets under the next round of company investment (Asset Management Programme - AMP5), to deliver water quality improvements and continue to reduce the impact of abstraction under a range of environmental Directives (Water companies). - Rivers, coasts, estuaries and groundwater bodies across the river basin district Advice to capital delivery partners working on Dwr Cymru Welsh Water capital programme to ensure awareness of Invasive Non-native Species and to ensure the appropriate disposal of contaminated soils (Water companies). - Across the river basin district Coordinated education and awareness on water efficiency including sustainable drainage systems and re-use to promote value of water (Environment Agency Wales). - Across the river basin district Provision of first time rural sewerage schemes (Water companies). - Across the river basin district Sharing of information on extent of Dwr Cymru Welsh Water wastewater assets already in place, updates likely to continue (Water companies). - Across the river basin district Research and development on **fate and transport of phosphate in groundwater** to determine impact on surface water (Environment Agency Wales, Water companies). - Across the river basin district Individuals and communities Everyone can help protect and improve the water environment. Actions people can take include the following. To save water in houses or offices - Turn off the tap when brushing teeth, and take short showers rather than baths. - Wash fruit and vegetables in a bowl rather than under the running tap - and use the remainder on plants. - Install a 'hippo' or 'save-a-flush' in toilet cisterns. - Run dishwashers or washing machines with a full load on an economy setting, and boil the minimum amount of water needed in kettles or saucepans. - Purchase low energy and low water use appliances. - Hand wash cars. - Ask water companies to fit a meter. This can reduce household water consumption. - Install a low-flush toilet, put flow regulators on taps and showers, and install waterless urinals at work. - Consider installing grey-water recycling systems in homes or workplaces. This can save one third of domestic mains water usage. - Ensure that any off-road parking or patio around the house use permeable materials so rain can soak into the soil. in gardens - Choose plants that tolerate dry conditions. To help lawns through dry periods, don't cut them too short. - To save water in gardens, collect rain in a water-butt, water at the beginning or end of the day, mulch plants, and use watering cans where possible instead of sprinklers or hosepipes. - Fix dripping taps, and lag pipes to avoid them bursting in freezing weather. To prevent pollution - Use kitchen, bathroom and car cleaning products that don't harm the environment, such as phosphate-free laundry detergents, and use as little as possible. This helps prevent pollution. - Take waste oil and chemicals such as white spirit to a municipal recycling facility: don't pour them down the sink or outside drains. - Check that household appliances are connected to the foul sewer, not the surface water drain. - Ensure septic tanks or private sewage treatment plants are well maintained and working effectively. - Ensure household oil storage is in good condition, with an up-to-date inspection record. - Ensure extensions or conservatories have their roof water draining into a soakaway or sustainable drainage system and not connected to the combined sewer. - Report pollution or fly-tipping to the Environment Agency on 0800 807060. To protect water dependent wildlife - Put cotton buds and other litter in the bin, not down the toilet. It may end up in the sea where it can harm wildlife. - Eat fish from sustainable sources, caught using fishing methods that don't cause damage to marine wildlife and habitats. - Seek expert advice to eliminate invasive non-native species from gardens, disposing of them responsibly. Do not buy, plant or release invasive non-native species. - Adopt-a-beach to help keep beaches clean of litter than can harm wildlife and cause pollution. - Join a river group to spot pollution, invasive non-native species, and take part in practical tasks. Actions to protect drinking water Drinking water supplied to households by water companies is of high quality and complies with strict standards enforced by the Drinking Water Inspectorate. Where water is abstracted from a water body for human consumption, the water body is designated as a Drinking Water Protected Area (DrWPA) - additional objectives apply and where necessary, additional action is put in place to protect the quality of the raw water abstracted. Where we are reasonably confident that the DrWPA objective is at high risk of not being complied with, a Safeguard Zone has been identified. In the Safeguard Zone additional actions will take place. These may include voluntary agreements, pollution prevention campaigns and targeted enforcement action of existing legislation. Additional monitoring is taking place to assess whether those DrWPAs currently not assessed at high risk, need a Safeguard Zone and additional action taken. In parallel with this approach, the Environment Agency will continue to develop work on regulatory measures, such as piloting Water Protection Zones in England. If voluntary approaches are shown not to work in a Safeguard Zone, we are ready and able to ensure progress is made before 2015. The costs of action in this plan Overall the Environment Agency estimate that the cost for implementing the actions in the Dee River Basin Management Plan will be £13 million annually. A significant proportion of this cost relates to existing measures. The existing measures are mainly required to fulfil the requirements of earlier EC Directives and are defined as the Reference Case in the Impact Assessment. There are new measures in the plan which we estimate to cost £4 million with a benefit of £6 million. In addition investigations will be carried out that will help to identify the additional measures necessary in future planning cycles. The new measures are defined as the Policy Option in the Impact Assessment. Further information on the approach used to assess the costs and benefits is contained in the Impact Assessment. Taking action in a changing climate The UK's Climate Projections (UKCP09) show that this region is likely to experience hotter drier summers, warmer wetter winters and rising sea levels. This is likely to have a significant effect on environmental conditions and will increase the impact of human activity on the water environment. Table 4 shows the likely effects of climate change on known pressures and the risk they pose on the water environment in the river basin district. It is essential that the actions in this plan take account of the likely effects of climate change. What is done now must not make it harder to deal with problems in the future. Most actions in this plan will remain valid as the climate changes. Others can be adapted to accommodate climate change. Table 4 Qualitative assessment of increased risk from climate change by 2050 and beyond | Pressure | Increased risk | |-----------------------------------------------------|-----------------------------------------------------------------------------| | Abstraction and other artificial flow regulation | Very high | | Nutrients (nitrate and phosphate) | High | | Sediment | High | | Physical modification | Medium | | Biological (invasive non-native species) | Medium | | Microbiology (including faecal indicator organisms) | Medium | | Organic pollution (sanitary determinands) | Medium | | Salinity | Medium | | Biological (fisheries management) | Low/Medium | | Acidification | Low for freshwater | | Medium/high for marine | | | Low | Priority hazardous substances, priority substances and specific pollutants, | | such as pesticides | | | Temperature of point source discharges | Low | | | | It is important to assess the carbon implications of the plans to avoid adding unnecessary carbon dioxide burdens that could increase the problem of climate change. The carbon costs associated with actions in the water industry Periodic Review 2009 (PR09) have been quantified. This is where the most significant carbon impacts will occur as the actions will require additional water treatment, construction of new works or upgrades to existing sites. The approximate operational carbon implications (this does not include scheme construction carbon implications) of PR09 measures in England and Wales is approximately 4,722,000 tonnes per year at the start of the PR09 cycle (2009-10) and 4,564,200 tonnes per year at the end of the PR09 cycle (2014-2015). These figures are from the water company plans and result from schemes to satisfy a number of existing drivers such as Urban Waste Water Directive and Bathing Waters Directive as well as the Water Framework Directive. In this river basin district, the operational carbon component driven by the additional requirement to meet good status under the Water Framework Directive is estimated, at this time, to be three tonnes per year. In the majority of cases this will be balanced by reductions elsewhere as part of the CRC Energy Efficiency Scheme (formerly known as the Carbon Reduction Commitment). The CRC Energy Efficiency Scheme is a legally binding scheme, which covers large business and public sector organisations, and is intended to promote energy efficiency and help reduce carbon emissions. The majority of other actions are likely to have low impact as they are investigations, partnerships or encouraging best practice management. The potential impact of these can be assessed as the work is progressed. No organisation has sole responsibility for ensuring that society adapts successfully to the effects of climate change on the water environment. Most will be achieved by working together and in partnership. This river basin management process provides an excellent framework to help focus and co-ordinate activities. In particular it will allow action to be taken on existing pressures at sites that are at risk and where appropriate restore the natural characteristics of catchments to protect water quality, maintain water resources and reduce the risks of floods and droughts thus building resilience to the further impacts of climate change. ## Working With Other Plans And Programmes A wide range of planning processes help ensure more sustainable management of the water environment. They are briefly described here. ## Development Planning Development planning plays a key role in sustainable development and the Environment Agency will continue to work closely with planning authorities. We aim to ensure that planners understand the objectives of the Water Framework Directive and are able to translate them into planning policy. There are many planning processes and provisions involved. They include: - National legislation; • Welsh Assembly Government Planning Policy and associated guidance; • Regional Spatial Strategies, including Wales Spatial Plan; • Local Development documents; - Local guidance (e.g. Supplementary Planning Documents); - Delivering the planning application process. In the Dee River Basin District, there are already spatial plans which set out proposed levels of growth and development. These will be superseded by the new Local Development Plan. The proposed Strategic Development Areas (England) and Development hubs (Wales) include major mixed-use schemes at Northern Gateway on Deeside (Flintshire UDP). Cheshire West and Chester was awarded Growth Point status in July 2008 by the Government. This comes with an expectation of delivering a much higher level of housing growth than has been achieved in the past. This will require a holistic Water Cycle Study for the Growth point area to include determining whether growth can be accommodated without breaching water quality limits, whether any infrastructure or capacity upgrades are necessary and also to ensure the cumulative impacts of growth do not push the Water Resource zones into deficit. Managed well, this growth and regeneration will be an opportunity to make improvements to the water environment in a way that enhances people's quality of life. In the Dee River Basin District, the Environment Agency is already working with water companies and local government to assess the implications of new development on sewage treatment works discharges and consequently on receiving river water quality. To date, it indicates that forecast growth must pay special attention to phosphate. Good development planning needs to consider a number of issues relevant to the Dee River Basin District , including housing locations, flood risk, sewage treatment options, initiatives to reduce flow to sewage works, water efficiency measures and the reduction of nutrients from diffuse pollution. The Environment Agency and others will continue to work to help clarify the way forward. Flood risk and coastal erosion planning There is a separate planning process for flood and coastal erosion risk management introduced by the new European Floods Directive (Directive 2007/60/EC on the assessment and management of flood risks). This requires that the environmental objectives of the Water Framework Directive are taken into account in flood and coastal erosion plans. Implementation of the Floods Directive in England and Wales will be co-ordinated with the Water Framework Directive. The delivery plans and timescales for the two directives will be closely aligned. Catchment Flood Management Plans (prepared by the Environment Agency) and Shoreline Management Plans (prepared by local coastal authorities and the Environment Agency) set out long term policies for flood risk management. The delivery of the policies from these long term plans will help to achieve the objectives of this and subsequent River Basin Management Plans. The Environment Agency plans its flood and coastal risk management capital investment through the 'Medium Term Plan', which is a rolling five-year investment plan. Using this, we have identified flood and coastal risk management activities that will deliver one or more restoration or mitigation measures included in this plan. Although these activities will be carried out for flood risk management purposes, they will be carried out in such a way to ensure any impacts are minimised and that the ecology is protected. Activities will not lower water body status unless fully justified under Article 4.7 of the Water Framework Directive. Marine planning The Marine Strategy Framework Directive is closely linked with the Water Framework Directive and their application overlaps in estuaries and coasts. The Environment Agency is working with Defra, Welsh Assembly Government and others to ensure that the implementation of both Directives is fully integrated. Managing new physical modifications In specific circumstances the Water Framework Directive provides a defence for when, as a result of a new physical modification, good ecological status or potential cannot be achieved or where deterioration in status occurs. This is covered under Article 4.7 of the Directive. Although protecting the water environment is a priority, some new modifications may provide important benefits to human health, human safety and/or sustainable development. Such benefits can include: - public water supply; - flood defence/alleviation; - hydropower generation; - navigation. It is often impossible to undertake such activities without causing deterioration of status to the water body. The benefits that such developments can bring need to be balanced against the social and economic benefits gained by maintaining the status of the water environment in England and Wales. The Environment Agency has developed a process for applying the tests and justifications required for such new modifications (Article 4.7) and will work with stakeholders to ensure these provisions are met during the first cycle of river basin management. Other planning processes The Environment Agency is also working to align planning processes in other areas. These include water resources and water quality, agriculture and rural development and natural heritage. Annex J provides further information about these and other planning processes. 6 The state of the water environment in 2015 One of the objectives of the Water Framework Directive is to aim to achieve good ecological status in water bodies by 2015. However, for 62 per cent of water bodies this target cannot be met by this date. Greater improvement in status is limited by the current understanding of pressures on the water environment, their sources, and the action required to tackle them. By 2015, 25 per cent of surface waters - 27 surface water bodies - will show an improvement by 2015 for one or more of the elements measured. This translates to 265 kilometres of river and canal improved, and is illustrated in Figure 5. There will be tangible benefits from meeting these objectives. For example, major investment in the water industry will continue to address problems such as the high levels of nutrients in sewage effluent. By 2015, these actions will have reduced phosphate in some 41 kilometres of river and there will be reduced levels of ammonia in almost 45 kilometres of rivers. Intermittent discharges will be improved, resulting in over five km of river and three km2 of coastal waters potentially improved in Dee river basin district. In addition, continuous discharges from sewage treatment works have improved in recent years, resulting in just over 35 km river potentially improved, of which 19 km was as a result of direct improvements to meet local river quality objectives or Freshwater Fish Directive requirements. There is a large amount of work still to be done on the Dee specifically for the Habitats Directive, which will result in the reduction of phosphate from the catchment. Figures 6 and 7 show what ecological and biological status will be in 2015 compared to now. By 2015, 38 per cent will be in at least good ecological status/potential and 51 per cent of assessed surface waters will be in at least good biological status. A map showing predicted status for surface water bodies in 2015 is provided in Figure 9. Figures 10 and 11 show the predicted quantitative status and chemical status for groundwater in 2015. For the 49 heavily modified and artificial water bodies (48 heavily modified, one artificial), 16 (33 per cent) per cent will be in at least good ecological potential in 2015, compared to 42 per cent of 60 natural surface water bodies being at good or better ecological status. For many estuaries, coasts and lakes it is unlikely that an improvement in the number of water bodies at 'good' status/potential can be achieved by 2015. The biological tools and monitoring data needed to classify these types of water bodies have only recently been developed. There is limited knowledge about the pressures that affect many of these water bodies and how their biology responds to changes in these pressures. It has therefore not been possible to identify many additional cost effective and proportionate measures. In many cases though there will be improvements to some key elements as the result of actions in this plan and there will be investigations to help find technically feasible actions that are not disproportionately costly. The Environment Agency wants these waters to achieve good overall status or potential by 2021 or 2027. There will be no deterioration in groundwater status by 2015, but improvement will take place over longer timescales. Figures 10 and 11 show the predicted quantitative and chemical status of groundwater in 2015. Looking at overall status, the combination of ecological status and chemical status, 37 per cent of surface water bodies are expected to meet good overall status by 2015. Investigations - improving outcomes for 2015 In many cases we, the Environment Agency are not able to identify appropriate actions for water bodies that are currently not achieving good ecological status/potential. Sometimes this is because the cause of the problem and its sources are not yet known. Sometimes this will involve gaining corroborative evidence of biological problems to justify expenditure where there is low confidence of failure of chemical standards. In other cases the most appropriate solution to the problem needs to be researched. Investigations into these types of issues will be an important measure during the first cycle. Where possible, investigations will take place before 2013 so that the results are known in time for the formal review of this plan by 2015. The Environment Agency has identified 38 surface water bodies that require investigations in this plan. A proportion of these will lead to actions that should be straightforward to put in place before 2015. The outcome of our detailed planning work is that we have confidence that 38 per cent of surface waters will be in good ecological status or potential by 2015. This is our formal target for this plan. Across England and Wales we have a formal target of achieving 31 per cent of surface waters in good ecological status or potential by 2015. Improvement to the water environment has to be managed as a continuum, not in isolated six year cycles. We are already confident that in this river basin district 25 per cent of surface waters will be improved by for at least one element by 2015. We are also confident that a proportion of investigations will lead to action that we can put in place before 2015. To ensure we capture these additional opportunities, we will be ensuring that the Dee River Basin District makes its contribution to a goal of achieving up to 33 per cent of surface waters across England and Wales at good status or potential by 2015. ## Figure 9 **Predicted Ecological Status And Potential For Surface Water Bodies In 2015** 7 Targets for subsequent cycles There are three river basin management cycles: 2009-2015, 2015-2021 and 2021-2027. Achieving good status in all water bodies by 2027 is a significant challenge. The information gained from investigations during the first cycle will help to accelerate improvement to known issues using both traditional and novel techniques in both second and third cycles. New issues will arise though. This plan sets out where good status cannot be achieved by 2015. This relates to 64 per cent of rivers, 57 per cent of lakes, 100 per cent of the estuary and 33 per cent of groundwater. In these cases an alternative objective of good status or potential by 2021 or 2027 is set (see Annex E). Over the period to 2027, the pressures on the water environment will change, particularly because of climate change. It is not known in detail how the water environment will respond to this. The population in the river basin district will continue to increase, with further urbanisation. Agriculture will respond both here and abroad to the changing climate, market conditions, financial incentives and regulatory pressures. Technology and other solutions to address the pressures will improve, but the rate at which some new solutions can be introduced will depend on the economic climate. The Environment Agency believes that achieving good status in all water bodies by 2027 will not be possible using only current technologies. Even achieving 75 per cent good status will require marked changes in land use and water infrastructure, such as a major programme to separate foul and surface water sewers across most of the river basin district. By current standards, such changes are extremely unlikely to be economically or socially acceptable. For some waters therefore, achieving good status by 2027 could be technically unfeasible or disproportionately costly. The Environment Agency wants to work with others to find and implement additional actions to improve the environment, with the aspiration of achieving good status in at least 60 per cent of waters by 2021 and in as many waters as possible by 2027. The water environment now and objectives for 2015 are described further in the section 'Dee River Basin District catchments in 2015'. A summary of the key statistics for the Dee River Basin District is provided in Table 10 (Section 10). 8 Dee River Basin District catchments This section summarises information about the status of waters in the different parts of the Dee River Basin District, their objectives and some of the actions for them. Rivers and lakes are grouped by catchment. There are three catchments, presented here from west to east. These are shown in Figure 12, below. - Upper Dee - Middle Dee - Tidal Dee There are also separate sections for estuary and coastal waters, and groundwater. ## Upper Dee The Upper Dee catchment is largely rural. It includes the main River Dee from its source above Llyn Tegid, in Snowdonia National Park, down through the Vale of Llangollen to the confluence with the Afon Ceiriog. The main areas of population are at Bala, Corwen, Llangollen and Wrexham. The catchment area is covered by five local government areas, Gwynedd, Conwy, Denbighshire, Wrexham and Shropshire, as well as Snowdonia National Park Authority. The major tributaries are the Tryweryn, Alwen and Ceiriog. The river Clywedog which drains the Wrexham area is also included in this catchment. Tourism is an important part of the local economy, including water based recreation, particularly around Bala and on the Llangollen canal. Fishing for salmon, trout and grayling is also popular in this part of the Dee. The key reservoirs for regulating flows along the length of the Dee are in this catchment, Llyn Celyn, Brenig reservoir and Llyn Tegid as well as Alwen reservoir which provides a direct water supply. Agriculture is the main industry, with sheep and beef farming dominant. There are some forestry plantations in the uplands. Diffuse inputs such as sediments from both agriculture and forestry can affect the biological quality in parts of the catchment and some of the lakes are subject to nutrient pressure. Some tributaries in the upper catchment are impacted by acidification or elevated metals, while others have had ecological impacts from pesticides in recent years but have largely recovered now. Lower down the catchment there is more urban development with increased population around Wrexham and industrial development, for example at Wrexham industrial estate. Urban pressures are impacting biological quality in the Gwenfro which flows through Wrexham and there are elevated zinc levels in the river Clywedog from Minera mine in the headwaters. Environment Agency River Basin Management Plan, Dee River Basin District Main document | River and lake water bodies | Now | 2015 | |---------------------------------------------------|--------|---------| | Per cent at good ecological status or potential | 40 | 53 | | 58 | 58 | | | Per cent assessed at good or high biological | | | | status (46 water bodies assessed) | | | | 80 | 80 | | | Per cent assessed at good chemical status (5 | | | | water bodies assessed) | | | | 40 | 52 | | | Per cent at good status overall (chemical and | | | | ecological) | | | | Per cent rivers improving for one or more element | - | 44 | There are 50 river water bodies and 12 lakes in the catchment. 26 are artificial or heavily modified. 36 per cent of rivers (162 km or 36 per cent of river length) currently achieve good or better ecological status/potential, including the including the Ceiriog and the Ceirw and Black Brook on the Clywedog. 56 per cent of rivers assessed for biology are at good or high biological status now, with only 10 per cent at poor biological status, and no assessed waters at bad status. Local actions will address the key pressures in the catchment, and those waters in the worst state will be prioritised. 44 per cent of rivers in the Upper Dee will improve for at least one element by 2015. For example the fish classification in the Llafar will improve. However, these improvements will not be enough to change the ecological status/potential of any water bodies by 2015. Some key actions for this catchment Actions to improve the water bodies in this catchment include planned improvements to sewage treatment works, initiatives to provide advice to farmers and The Metal Mine Strategy for Wales will also address minewater impacts in the catchment. ## Middle Dee The Middle Dee includes the remainder of the main River Dee from the Ceiriog down to the canalised section below Chester. Major tributaries are the river Alyn, Worthenbury Brook and Aldford brook. The main centres of population are at Chester, Mold and Whitchurch. The largest proportion of the Middle Dee lies in Cheshire West and Chester, Wrexham and Flintshire local government areas, though there are also parts in Denbighshire and Shropshire. Here the Dee meanders though the Cheshire Plains where the landscape is dominated by dairy and arable farming. Mixed sheep and beef remain in the upper parts of the River Alyn on the edge of the Clwydian Hills. Larger manufacturing industries and the retail sector also play a key role in the economy of this area. The major drinking water abstractions are taken from this section of the Dee. Coarse fishing is popular in the main river and some of its tributaries and brown trout fishing is enjoyed on the River Alyn. The Dee meanders site is designated for its fluvial geomorphological interest which occurs in England and Wales as a Geological Conservation Review site (GCR 2955). It consists of some of the most spectacular and intricately developed river bends or meanders seen anywhere in Britain. There are at present constraints to the natural hydromorphology of this stretch of the river. Management (within an overall river restoration strategy) is required that will reconnect the river to the flood plain to allow natural processes as far as possible to function. The biological and ecological quality here is under more pressure than the Upper Dee. These pressures include diffuse urban and diffuse rural pollution, as well as nutrient pressure from point sources such as sewage works. Physical modification also affects the rivers, with many of the brooks modified in their lower sections for flood alleviation. There are also some notable man made obstructions to fish migration, particularly on the River Alyn. Environment Agency River Basin Management Plan, Dee River Basin District Main document | River and lake water bodies | Now | 2015 | |---------------------------------------------------|--------|---------| | Per cent at good ecological status or potential | 7 | 10 | | 19 | 19 | | | Per cent assessed at good or high biological | | | | status (14 water bodies assessed) | | | | Per cent assessed at good chemical status | | | | 67 | 67 | | | 7 | 10 | | | Per cent at good status overall (chemical and | | | | ecological) | | | | Per cent rivers improving for one or more element | - | 14 | There are 21 river water bodies and 9 lakes in the catchment. 15 are artificial or heavily modified. None of the rivers currently achieve good or better ecological status/potential although some rivers like the Terrig and Cegidog, tributaries of the Alyn are only failing on one element, in this case fish. 14 per cent of rivers assessed for biology are at good or high biological status now, with only 44 per cent at poor biological status, and one assessed water body (6 percent) at bad status. Local actions will address the key pressures in the catchment, and those waters in the worst state will be prioritised. 14 per cent of rivers in the Middle Dee will improve for at least one element by 2015. For example the phosphate classification in the Aldford Brook will improve. However, these improvements will not be enough to change the ecological status/potential of any water bodies by 2015. Some key actions for this catchment Actions to tackle the issues in this area include upgrades to major sewage treatment works including removal of phosphate and initiatives to provide advice to farmers. Improvements to diatom and fish and phosphate elements of the classification may take a number of years and it is anticipated it may be after 2015 before some of these improvements are seen. ## Case Study: Habitat Improvements For Fish In The Middle Dee In-river habitat is being restored along almost a kilometre section of the River Alyn, an important tributary of the River Dee. Stones are being placed in a section of river that had very few features and provided little cover for fish. These stones not only create hiding places where fry can shelter, they also provide resting areas for migratory fish which are travelling up the river and help to establish habitats for invertebrates. In the Emral Brook, south of the village of Worthenbury, over 2 kilometres of bankside habitat was fenced off recently. These buffer strips allow vegetation to establish and create cover for the resident brown trout and course fish and corridors for wildlife. Also as part of the scheme approximately 50 tonnes of locally sourced boulders were placed in the brook to provide cover for fish and other aquatic wildlife and to create a pool riffle habitat. Photo showing new swing gate and access point on the Emral brook ## Tidal Dee The Tidal Dee catchment covers the streams and rivers that flow directly to the Dee estuary on both the English and Welsh sides. These include the Afon Y Garth, Swinchiard, Wepre and Shotton brooks. The catchment is covered by three local government areas, Flintshire County Council, Cheshire West and Chester Council, and Wirral Metropolitan Borough Council. The catchment includes a lot of urban development, with major industries including paper processing, aircraft, steel and chemicals manufacturing and power generation found alongside the Dee estuary. The European designated bathing beach at West Kirby is included in this catchment. Issues in the catchment include elevated zinc concentrations in the Afon-Y-Garth from historic metal mining, nutrient pressures and diffuse urban pollution. Frequently, the water courses are physically modified with culverts and flood embankments in their lower sections and so are designated as heavily modified water bodies. | River water bodies | Now | 2015 | |---------------------------------------------------|--------|---------| | Per cent at good ecological status or potential | 20 | 27 | | 100 | 100 | | | Per cent assessed at good or high biological | | | | status (3 water bodies assessed) | | | | - | - | | | Per cent assessed at good chemical status (0 | | | | water bodies assessed) | | | | 20 | 27 | | | Per cent at good status overall (chemical and | | | | ecological) | | | | Per cent rivers improving for one or more element | - | 7 | There are 15 river water bodies and no lakes in the catchment. 6 are artificial or heavily modified. 20 per cent of rivers (12km or 31 per cent of river length) currently achieve good or better ecological status/potential, including Wepre Brook. 100 per cent of rivers assessed for biology are at good or high biological status now. Local actions will address the key pressures in the catchment, and those waters in the worst state will be prioritised. 7 per cent of surface waters in the Tidal Dee will improve for at least one element by 2015. Some key actions for this catchment Actions to address these issues include pollution prevention visits to bathing waters to identify and resolve issues that may threaten bathing water compliance, investigating site drainage and misconnections as part of pollution prevention work on industrial estates and improvements to sewage treatment assets. ## Estuary And Coastal Water Bodies The Dee River Basin District has one large funnel shaped estuary that totals 14000 hectares and is the sixth largest in the UK. The estuary has numerous European designations: it is a RAMSAR site, Special Protection Area, Special Area of Conservation (SAC) and SSSI site. It is recognised as one of the most important estuaries in Britain for waders and wildfowl, attracting internationally important populations of oystercatcher, redshank, black-tailed godwit and grey plover. It is also an important staging post for migrating birds during spring and autumn. The estuary supports commercial fishing including a nationally important cockle fishery. The cockle fishery is regulated by the Environment Agency. Cockle harvesting is licensed, with allocation of licences for cockling determined by rules in the Dee Cockle Regulating Order. There is an EC bathing beach at West Kirby on the north west mouth of the estuary and two European designated shellfish waters. There is one major port, the Port of Mostyn which is privately owned and operated. The Port of Mostyn is a Statutory Harbour Authority and is also the Pilotage Authority for the Dee Estuary. The main pressures on the Dee estuary are morphological alterations, nutrients from sewage and potential over-exploitation of fisheries. The estuary is currently at good biological status now and this will be maintained in 2015. There are no coastal waterbodies assigned to this river basin district - these are dealt with in the North West River Basin Management Plan and Western Wales River Basin Management Plan respectively. | | | Estuary | |-------------------------------------------------|-----|------------------------------------------------| | | Now | 2015 | | 0 | 0 | | | Per cent at good or better ecological status or | | | | potential | | | | 100 | 100 | Per cent assessed at good or high biological | | status (1 water bodies assessed) | | | | 100 | 100 | Per cent assessed** at good chemical status (1 | | water bodies assessed) | | | | 0 | 0 | Per cent at good status overall (chemical and | | ecological) | | | | Per cent improving for one or more element | - | - | ## Some Key Actions For The Estuary Proposals To Address These Issues Include Sustainable Management Of The Cockle Fishery Through The Dee Cockle Regulating Order And Managed Realignment Schemes To Create More Saltmarsh Habitat. Groundwater Bore hole drilling in the Dee River Basin District at Burton Groundwater is an important resource in the Dee River Basin District and is predominantly from sandstone aquifers. The main pressures on our groundwater are abstraction and contamination with nitrates. Contaminants from historic mining activity also have an influence on compliance. It takes time for rainwater to make its way into our major aquifers. Because of this, some groundwater resources can take many years to recharge and therefore recover from the effects of abstraction and for pollution to flush out of the system. Similarly concentrations of pollutants can continue to rise for years after the source of any pollution has been brought under control. Unsustainable abstraction from groundwater can lower groundwater levels and affect dependent river flows or wetlands. They can also induce the intrusion of poorer quality (saline) water from the sea or from adjacent aquifers. Investigations are ongoing to better understand the impact of the major groundwater abstractions in the Dee River Basin District but it is thought that at least one groundwater water body may be at risk of saline intrusion. | Groundwater | Now | 2015 | |--------------------------------------|--------|--------------------------------------------------| | Per cent at good quantitative status | 83 | 83 | | 83 | 83 | Per cent at good chemical status (6 water bodies | | assessed) | | | | Per cent at good status overall | 67 | 67 | Currently 5 out of the 6 (83 per cent) groundwater bodies in the Dee River Basin District are achieving good quantitative and good chemical status. By 2015 we will maintain compliance for quantitative and chemical status. It is necessary to prevent or limit the input of pollutants into groundwater and implement measures to reverse any significant trends in pollutants. The 'prevent or limit' objective in the Water Framework Directive is the first line of defence for groundwater, and will drive action on point source pollution as well as the widespread pollutants such as nitrate that are causing deteriorating trends. All groundwater must be protected from deterioration in quantity or quality, and the Environment Agency will ensure the monitoring network is kept under continuous review so that there is the best possible understanding of pressures and trends. As a result of these challenges, it may not be possible to achieve the objective of good status in all groundwater by 2027. Some key actions for ground water Proposals to address these issues include pollution prevention work to reduce the risk of groundwater pollution. ## 9 Next Steps - Implementing This Plan Diffuse Pollution Investigation And Action In developing the River Basin Management Plans approximately 8,500 investigations have been identified for England and Wales, including further monitoring. The vast majority of these will be undertaken by the Environment Agency and all of these will be completed by the end of 2012. The investigations will focus on resolving what is causing the problem and what the best method to tackle it is. As a result of the evidence they will provide, we will be able to take further action in the first cycle where practicable. The remainder of the investigations - including over 100 water company catchment management investigations - will be carried out by co-deliverers across England and Wales during the course of the first delivery cycle. Working with the river basin district liaison panels, the Environment Agency will welcome the input of local data and knowledge from other parties to help drive action at catchment level. We are confident the investigation programme will lead to actions enabling a further reduction in diffuse pollution and more environmental improvement before 2015. As we have said earlier, the Environment Agency is already committed to delivering, through its own work or through working with others, an additional two per cent improvement towards good status or potential by 2015 across England and Wales. ## Additional National Measures In addition to commitments already provided, the UK Government and Welsh Assembly Government will continue to demonstrate their commitment and bring forward significant work starting with; - banning phosphates in household laundry detergents; - a new requirement contained within the Flood and Water Management Bill making the right to connect to surface water sewers contingent on Sustainable Drainage Systems (SuDS) being included in new developments. Local authorities will be responsible for adopting and maintaining SuDS that serve multiple properties and the highways authorities will maintain them in all adopted roads; - general binding rules to tackle diffuse water pollution by targeting abuse of drainage systems, potentially including industrial estates, car washes and construction by 2012; - transferring the responsibility for misconnections to water companies by 2012; - the Water Protection Zones Statutory Instrument which will enter into force on 22 December 2009 and will be used to tackle diffuse pollution where voluntary measures are not sufficient; - more funding for the Catchment Sensitive Farming Delivery Initiative in England from 2010 - a 50% increase in capital grant spend, and evaluation of the initiative to ensure it is achieving maximum effectiveness; - better targeting of agri-environment schemes for water protection. In Wales, this includes aligning the forthcoming "Glastir" agri-environment scheme to contribute towards meeting Water Framework Directive requirements; - supporting the farming industry in the Campaign for the Farmed Environment, which has reducing impacts on water quality as one of its priorities; - encouraging farmers to use buffer strips to reduce diffuse pollution through guidance and advice provided under cross compliance; - better understanding of the impact of sediment and measures to tackle it as a result of the additional funding announced in June 2009; - further consideration of the impact of cross compliance and good agricultural and environmental conditions (GAEC) on water quality; - implementation of the Sustainable Use of Pesticides Directive; - Environmental Permitting Regulations guidance setting essential standards of location, operation and maintenance for septic tanks. These and the other actions in the plans will lead towards a greater achievement of good status and improvement within class, with more than a quarter of the length of all rivers improving. Implementing the plans at catchment level The Environment Agency has found river basin liaison panels extremely valuable, and will continue to work with them throughout the plan delivery period. The panels will help to encourage river basin district-wide action through their sectors, monitor overall progress and prepare for the second cycle of River Basin Management Planning. Given that implementation requires activity 'on the ground', it is essential that there is the maximum involvement and action from locally based organisations and people. Innovative ways of working together need to be identified that will deliver more for the environment than has been captured in this plan. The Environment Agency will adopt a catchment-based approach to implementation that is efficient and cost-effective. This will support the liaison panels, complement existing networks and relationships, and enable better dialogue and more joined up approaches to action. In some places there will be added value from adopting more detailed catchment plans to help deliver the River Basin Management Plan objectives during the planning cycles. The River Kennet is a case in point where we have set up a pilot group with a range of stakeholders. We will share the knowledge gained with the liaison panels, to help identify other catchments that could benefit from a similar approach. Working with co-deliverers This plan sets out in detail the actions required to improve the water environment. All organisations involved must play their part, record their progress and make the information available. Where the work of a public body affects a river basin district, that body has a general duty to have regard to the River Basin Management Plan. Ministerial guidance states that the Environment Agency should: - work with other public bodies to develop good links between river basin management planning and other relevant plans and strategies, especially those plans that have a statutory basis such as the Local Development Plans and Wales Spatial Plan; - encourage public bodies to include Water Framework Directive considerations in their plans, policies, guidance, appraisal systems and casework decisions. For some, the actions in this plan may be voluntary and for others they will be required under existing legislation. We want to work with you to make these actions happen, and identify new action to create a better place. Reporting on progress The Environment Agency will use its environmental monitoring programme and, where appropriate, information from other monitoring programmes, to review whether work on the ground is achieving the environmental objectives. We will update the classification status of water bodies accordingly and review progress annually. At the end of 2012 a formal interim report will be published. This will: - describe progress in implementing the actions set out in this plan; - set out any additional actions established since the publication of this plan; - assess the progress made towards the achievement of the environmental objectives. Preparations have already begun for the next cycle period 2015 to 2021 and for the subsequent cycle to 2027. If you have proposals for actions that can be included in these future cycles please contact us. River basin management milestones The plan builds on a number of other documents and milestones required by the Water Framework Directive. The work to date has ensured a strong evidence base, and a framework for dialogue with interested organisations and individuals. In terms of taking this plan forwards, it helps to understand the major milestones remaining. These future milestones are summarised in the figure below. ## 10 Summary Statistics For The Dee River Basin District | Rivers, | Lakes | Estuaries | Surface | Groundwater | |-----------------------------------------------------------------------------------|----------|----------------|------------|--------------------| | Canals | and SSSI | Waters | | | | and | ditches | Combined | | | | | SWT's | | | | | % of water bodies with improvement in any status of any element by 2015 | 30 | 5 | 0 | 25 | | % of water bodies at good ecological status/potential or better now | | | | | | For groundwater: % of water bodies at good or better quantitative status now | | | | | | 25 | 43 | 0 | 28 | 83 | | % of natural water bodies at good ecological status or better now | 30 | 75 | 0 | 33 | | % of artificial and heavily modified water bodies at good ecological potential or | | | | | | better now | 16 | 35 | 0 | 22 | | % of water bodies at good ecological status/potential or better by 2015. | | | | | | For groundwater: % of water bodies at good or better quantitative status 2015 | | | | | | 37 | 43 | 0 | 38 | 83 | | % of natural water bodies at good ecological status or better by 2015 | 39 | 75 | 0 | 42 | | % of artificial and heavily modified water bodies at good ecological potential or | | | | | | better by 2015 | 32 | 35 | 0 | 33 | | % of water bodies at good chemical status now | 73 | 0 | 100 | 75 | | % of water bodies at good chemical status 2015 | 73 | 0 | 100 | 75 | | % of water bodies at good biological status or better now | 49 | 63 | 100 | 51 | | % of water bodies at good biological status or better by 2015 | 49 | 63 | 100 | 51 | | % of water bodies with alternative objectives (good status 2021 or 2027) | 64 | 57 | 100 | 63 | | % of waterbodies deteriorated under Article 4.7 | 0 | 0 | 0 | 0 | | | | | | | | % of all water bodies (surface waters and groundwaters) at good status now | | 30 | | | | % of all water bodies (surface waters and groundwaters) at good status by 2015 | 38 | | | | 11 Further information - the annexes Annex A Current state of waters in the Dee River Basin District What the waters are like now. Information on our network of monitoring stations, the classification status of water bodies and the reference conditions for each of the water body types in the river basin district. Annex B Water body status objectives for the Dee River Basin District Information on water body status and objectives Annex C Actions to deliver objectives Details of the actions planned (programmes of measures) for each sector to manage the pressures on the water environment and achieve the objectives of this plan. Annex D Protected area objectives Details of the location of protected areas, the monitoring network, environmental objectives and the actions required to meet Natura 2000 sites and Drinking Water Protected Area objectives. Annex E Actions appraisal and justifying objectives Information about how the Environment Agency has set the water body objectives for this plan and how we selected the actions. It also includes justifications for alternative objectives that have been set. Annex F Mechanisms for action More detail about the mechanisms (i.e. policy, legal, financial tools) that are use to drive actions. Annex G Pressures and risks Information about the significant pressures and risks resulting from human activities on the status of surface water and groundwater. Annex H Adapting to climate change Information on how climate change may affect the pressures on the water environment and the ability to meet the objectives. Annex I Designating artificial and heavily modified water bodies Information about the criteria used to designate waters as artificial or heavily modified water bodies. Annex J Aligning other key processes to river basin management Aligning planning processes to deliver multiple benefits and sustainable outcomes Annex K Economic analysis of water use Information about the costs of water services within the river basin district Annex L Record of consultation and engagement Details of how the Environment Agency has worked with interested parties to develop this plan Annex M Competent authorities List of the competent authorities responsible for river basin management planning. Annex N Glossary Explanation of technical terms and abbreviations. Would you like to find out more about us, or about your environment? Then call us on 08708 506 506 (charged at local rates) email enquiries@environment-agency.gov.uk or visit our website www.environment-agency.gov.uk incident hotline 0800 80 70 60 (Freephone 24 hour) Calls from mobile phones are not free and will be charged at normal network operator's call rates floodline 0845 988 1188 (24 hour)

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# Policy For Handling Comments And Complaints Paul Davies, Operations Director ## 1. Introduction This document sets out The National Archives' policy for handling comments and complaints made about our services and facilities. Listening to what our users have to say is essential to improving the quality of our services. We want to know when we do things well and what aspects of our service our users appreciate; but we also want to know when things go wrong or when users feel that our service can be improved. This gives us a chance to make things better and enhance the user experience of The National Archives. We value your comments and complaints so that we can:  keep doing things that please you and give credit to our staff  know if things have gone wrong and put them right for you  learn the lessons, and improve our services ## 2. Who Does This Policy Apply To? 2.1 The policy applies to all those we serve or have dealings with, however regularly, including members of the public, commercial organisations and other government bodies. It also applies to contractors, suppliers and any other individual or organisation that has business with The National Archives. 2.2 The term user is employed in its widest sense within this policy to encompass people or organisations who use any of our services, whether visiting, writing, emailing, telephoning or accessing The National Archives' online services. 2.3 This policy excludes complaints made about Freedom of Information (FoI) access requests which are handled separately. For information and procedures relating to FoI requests, please see the following page: http://nationalarchives.gov.uk/about/freedom-ofinformation/making-a-freedom-of-information-request/ This policy also excludes complaints arising under the Re-Use of Public Sector Information Regulations 2015. For information and procedures relating to the investigation of these this type of complaints, please see our complaints about re-use pages: http://www.nationalarchives.gov.uk/information-management/re-using-public-sectorinformation/complaints-about-re-use/psi-complaints/ This policy also excludes complaints made about The Gazette, which is managed by The National Archives under a concessionary contract with The Stationery Office. For information and procedures relating to the investigation of this type of complaint, please see our complaints procedure page: https://www.nationalarchives.gov.uk/contactus/complaints-procedure/ ## 3. What Is A Complaint? We define a complaint as an expression of dissatisfaction with our service, no matter how expressed and whether justified or not, that requires a response or further action on the part of The National Archives. ## 4. Our Principles We aim to follow the principles of good practice described in the Parliamentary and Health Service Ombudsman's Principles of Good Complaint Handling (10 February 2009). We try to make our processes:  easy to access and understand  clear and simple to use  responsive to the reasonable needs of complainants  prompt, with established time limits for action (see 6.2 below), and keeping people informed of progress, especially when investigations take longer than expected  fair, with an opportunity for a full and impartial investigation  proportionate to the matters complained about  informative, by using lessons learnt from complaints to improve services and by reviewing the results of such changes. ## Our Pledges To You When we respond to your complaints you can expect us to:  take your concerns seriously  give you the name of the member of staff responsible for dealing with the complaint at each stage of the procedure  be factually correct  deal with your complaint promptly  avoid jargon  answer all your points of concern  be flexible in the way that we communicate with you  give the reasons for the decision reached on a complaint  explain the next steps available if you are still dissatisfied and provide contact details (address, telephone and e-mail) Users who make a complaint can be assured that they will not be subjected to discrimination or retaliation as a result of complaining. Our complaints process will be:  frank and open  impartial, avoiding any bias in favour of any party.  thorough, finding out the relevant facts, taking views from people involved on both sides of the complaint and verifying explanations where possible.  equitable, treating people in similar circumstances in similar ways. ## 5. How To Comment Or Complain We welcome views on our service and will respond to comments and complaints, however presented, whether in person, in writing, by telephone, email or other channels (for example, social media such as Twitter). We provide comments and complaints forms, which can be returned through our suggestion boxes, by post, by email or handed to any member of staff. Our information leaflet "Putting things right" explains how to comment or complain about our services, and how we will respond. The comments and complaints reporting facility on our website does not require users to have email facilities: https://nationalarchives.gov.uk/contact-us/your-views/ Further help can be obtained by contacting our Customer Service and Complaints Team (tel 0208 392 5363, email yourviews@nationalarchives.gov.uk or write to the Quality Manager, Operations Directorate, The National Archives, Kew, Surrey TW9 4DU) who will advise how complaints can be taken forward and explain our complaints procedure. ## 6. How The National Archives Responds To Comments And Complaints 6.1 Our aim is to resolve complaints as soon as we are aware of them, and this means that the member of staff who first deals with a complaint is responsible for: either resolving the problem personally, if it is within their area of responsibility, ensuring that complaints handling staff in the Customer Services and Complaints Team are kept fully informed for monitoring and recording purposes ## Or where this is not possible, for passing the complaint to our complaints handling staff to take forward. (Initial responsibility for investigating and responding to complaints will usually lie with the part of the organisation which is the subject of the complaint, but our Customer Service and Complaints Team monitors complaints handling across The National Archives to ensure that they are handled consistently well and maintains a central record of complaints. This team is responsible for providing data and information about complaints to The National Archives' Chief Executive and Executive Team.) ## 6.2 Procedures A member of the Customer Service and Complaints Team will acknowledge receipt of your comment or complaint within three working days (the day the complaint is received being Day 0). They will usually respond to you in writing, sometimes to confirm information given in a telephone call but also to let you know who will deal with your complaint. This will usually either be the Customer Service and Complaints Team or the department about which you have complained. The complaints handling team will ask the relevant department(s) to assist them to look into matters and respond fully to your concerns. If they think that a meeting or a telephone call may help to resolve your complaint, they will offer that option. A full response will normally be sent to you within ten working days. The complaint response will explain how to take matters forward if you are dissatisfied. If your complaint requires us to implement another policy (such as a disciplinary policy) as part of the investigation, we will write to let you know that this is happening, and how long it is likely to take. In situations where the process is lengthy, we will keep you informed of progress at least once every four weeks. If you are dissatisfied with our response, you can, within two calendar months from the date of our final response to your complaint, ask for an independent internal review. This will be carried out by the Chief Executive's Office, which reports directly to the Chief Executive. Staff in the Chief Executive's Office will contact you within five working days of receipt of your request. They will appoint a case reviewer and tell you who this is as soon as possible. The scope of the review will be agreed by you and the case reviewer. A draft report will usually be sent to you within 20 working days (the day the scope is agreed being Day 0). If the case reviewer is unable to complete the draft report within that time, they will explain the reasons why and tell you when you can expect a response. You will usually have ten working days to check the draft report for factual accuracy. The draft report will then go before the Chief Executive for consideration. After consideration, and usually within a further ten working days, you can expect a formal written response from the Chief Executive. An independent internal review may also be requested at any stage if you wish to complain through an independent channel, although it should be understood that such a request may automatically bring to a halt any work already under way to investigate the complaint elsewhere in The National Archives. If you are dissatisfied with the final response from the Chief Executive, you can refer your complaint to our independent complaints reviewer, ch&i associates. The complaints review service is entirely independent of The National Archives and can be contacted at: ch&i associates ltd 253 Park Lane Macclesfield SK11 8AA Telephone 0330 133 1492 Email enquiries@chi-assoc.com http://www.chi-assoc.com/ Should you remain dissatisfied with the outcome of the external review, you can ask a Member of Parliament to raise your case with the Parliamentary and Health Service Ombudsman (PHSO). ## 6.3. Redress When our services do not meet our published standards, we aim to make amends in a way that is appropriate to the problems experienced. Redress will always include:  an apology  an explanation of what happened and why and where appropriate:  we will take action to put things right  we will give an assurance that the same thing will not happen again and take steps to ensure this Since most services at The National Archives are provided without charge, redress will not normally take the form of a financial payment. However, we will consider the question of reimbursement if our mistakes or poor service have caused you additional expense or financial loss. We can only consider claims that are supported by evidence of loss. In addition, in unusual circumstances, we will consider whether a consolatory payment is appropriate in recognition of anxiety or distress caused to you. Because we are dealing with public funds, such payments will be small. ## 6.4 Treating The National Archives' Staff Fairly When you compliment our service or our staff we will pass on your comments to the staff and managers concerned. We will also pass on unfavourable comments so that our staff can learn from them and try to provide a better service. The National Archives has a responsibility to ensure that members of staff are treated fairly if a complaint is made against them. They are entitled to:  be informed immediately and fully of any complaint made about them and asked for their comments  be kept informed of progress in the investigation of the complaint  be told the outcome of the complaint investigation and the reasons for it If a member of staff makes a complaint about a user of our services, or a counter-complaint in response to a complaint, the matter will be looked into by our Customer Service and Complaints Team or a manager from a different department. In the case of a counter-complaint, a separate investigating officer will be assigned to look into it, to ensure fairness. ## 6.5 Feedback We welcome any comments on the fairness and efficiency of the complaints procedures and the effectiveness of The National Archives' replies to complaints. We will ask people who have made a complaint whether they are satisfied with the way their complaint was handled and the outcome. Sometimes we will use surveys to do this. We will take account of all feedback in annual reviews of our procedures. ## 7. How The National Archives Responds To Requests For Information If a complaint includes, or later leads to a request for information (for example, details of a policy, or documents from our files), we may be obliged to treat that request under the terms of the Freedom of Information Act 2000 (FoI). FoI requests are handled separately from complaints and, while this will not affect the way that we respond to your complaint, it may lead to your receiving separate responses. You can find out more information about making FoI requests on our website at http://nationalarchives.gov.uk/about/freedom-of-information/making-a-freedom-of-informationrequest/ ## 8. Confidentiality We respect the need for confidentiality when a complaint is made, both for the complainant and for members of staff who have a complaint made against them. We aim to investigate complaints with sensitivity, preserve confidentiality, and to share information only when it is a necessary part of the investigation. Some information about complaints will be published (see 11 below) but this will not include any personal details of a confidential or sensitive nature. If a complaint is referred to the Independent Complaints Reviewer, the ICR may need to have access to confidential information as part of their investigation. However, strict rules of confidentiality are observed by the ICR Office. ## 9. Staff Training Receiving and responding to comments and complaints about our service is an integral part of providing the service. We will train our staff in our complaints procedures and ensure they understand the value of comments and complaints, so that they can carry out their roles and responsibilities with confidence. ## 10. Policy For Dealing With Unreasonably Persistent Enquiries Our staff will treat people in a courteous, fair and proportionate manner and we expect similar courtesy and reasonable behaviour in return. Very occasionally, we will refuse to respond to a complaint. This will only happen if the person making the complaint is insulting or abusive towards our staff or if they refuse to accept that their complaint has been dealt with despite a thorough investigation on our part. We will only do this where it is absolutely necessary, and we will write to the person concerned to explain why we believe this to be the case. You can find out more information about unreasonably persistent enquiries on our website at http://www.nationalarchives.gov.uk/documents/persistent-enquiries-policy.pdf ## 11. Recording And Publishing Statistical Information In accordance with The National Archives' transparency agenda (see https://www.nationalarchives.gov.uk/about/our-role/transparency/our-public-services/), we will regularly publish anonymised information about the complaints we have received, which will include:  Online satisfaction levels  Onsite satisfaction levels  Satisfaction levels from the legislation.gov.uk website  Complaints feedback  Examples of comments, requests, compliments and complaints and actions taken to improve our services. In addition, the Independent Complaints Reviewer produces an annual statement that is included in The National Archives' Annual Report and Accounts. ## 12. Review Of Policy And Procedures We will review the complaints policy and procedures bi-annually. request received ment sent agreed

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What motivates you at work? LGA's Employee Engagement research into what motivates people and improves performance at work. Nigel Carruthers, Senior Advisor, LGA Councils have a workforce of some 1.5 million strong, covering over 800 distinct occupations with a pay bill of around £22 billion a year Since 2012, the LGA have worked with local authorities, NHS trusts and healthcare providers to measure workforce performance by looking at the quality of the employment relationship, which is expressed as an exchange of contributions - a dynamic and social exchange process between employer and employee - what we call the 'deal'. ## Employee Engagement - A Lg Journey - Employee Attitude Surveys - 76% (2006) in 55% EE Survey (2018) - Best Council to Work For (2007-2009) - Thank Goodness its Monday! https://youtu.be/_9-9A3uM-Yw (2010) - Top Ten Test - for CEOs/Boards 2010 - Engage For Success - Evidence / case studies (2010-2012) - Employee Value Proposition 2012-2016 - TEDD - The Employment Deal Diagnostic 2016… Reduced sickness - Engaged employees in the UK take an average of 2.69 sick days per year; the disengaged take 6.19. Average in LG is 8.8 days, 40% sickness is long term and a third of all sickness relates to stress and mental health. Improved customer service - 70% of engaged employees indicate they have a good understanding of how to meet customer needs; only 17% of non-engaged employees say the same. Retention - Engaged employees are 87% less likely to leave the organisation than the disengaged. The cost of high turnover among disengaged employees is significant; some estimates put the cost of replacing each employee at equal to annual salary. There is a 13.4% turnover rate in LG. 1 in 10 councils currently has a recruitment freeze and there is a 9.7% vacancy rate. Advocacy - 78% of engaged employees would recommend their organisation's services compared with 13% of the disengaged Better performance - Significant differences in financial performance of organisations with a highly-engaged workforce to their peers with a lessengaged workforce, over a 12 month period. Highly Engaged Employees High Performance workplaces What do you do to engage your team? Where's your evidence base that what you do improves performance? What would motivate you to do a better job? TEDD® is characterised as an exchange of contributions between employer and employee the extent to which employees believe that the organisation values their contributions and wellbeing, and thus feel obliged to reciprocate. is a fundamental defining feature of the relationship between an employee and employer. It can be used to understand the extent to which employees feel that their employer is fulfilling their promises and obligations such as terms and conditions, pay and, stimulating work. ## What We Know About Employee Engagement? Psychological Contract: Perceived Organisational Support : - Trust in the - Supportive - Role Autonomy - Encouragement to use - Trust in the line - Feeling valued ## What We Know About Employee Engagement? What Does "Trust In The Organisation" Look Like For You ? For me personally, in comparison to my friends who work within the private sector, I have a better working life, I will have a pension later in life (hopefully), holidays, better protection within the council's policies and procedures. Pay in not equal, rules for 1 and rules for another. different departments appear to be able to have higher grades for similar roles. You are expected to perform duties far beyond your pay scale and get no thanks for it ## What We Know About Employee Engagement? What Does "Supportive Organisational Culture " Look Like For You? The most enjoyable part of the role has been having direct access to the corporate director who has shown complete commitment to, and support for the new role. This has enabled me to gain confidence in my own ability to influence and make an impact in my role quickly. Lack of support when new procedures are implemented- managers seem to introduce new priorities without putting any support, training, and time in place for us. Mangers constantly 'reacting' rather than planning. ## What We Know About Employee Engagement? Conversational Practice Engagement and performance improved when employees were encouraged to speak openly about opportunities and constraints and given the opportunity to improve things. To achieve sustainable high performance, you need good quality conversational practices Negative impact (wellbeing, poor performance, low morale) occurred when • People are expected to do more with less • There is a tension between high quality service versus and the time available • Personal objectives are out of sink with organisational objectives • When job pressure was excessive ## What We Know About Employee Engagement? What Do Conversations Focused On Performance Look Like For You? We regularly have discussions about how to improve service delivery. He asks for my input and listens to it, and enables me to challenge the status quo. Most recently this has resulted in improved business planning and a tasking process that allows us to use our resources more efficiently. Sometimes when suggestions are put forward … these are often ignored and pushed aside… In the long run, it affects the quality of service we are giving to our customers and eventually leads to poor performance and underachievement ## What We Know About Employee Engagement? Balance Of The Deal Perceived organisational support were lowest for those with >10 years service and for non-managers Overall the balance of the deal in local government favours the employer Job engagement, Skills and capability were high Organisational engagement (advocacy, loyalty, and a sense of value congruence with the organisation were low) ## Re-Orientating Towards 21St Century Public Servant Data from over approx. 20,000 employees re-orientated to show both statistical and free text links with 21st Century Public Servant themes: ## What Did We Find? Data And 21Cps Municipal Engages citizens Recruits & Builds fluid combines PS rethinks PS to fluid and Distributed and Rooted in a reflected entrepreneur pooling rewards generic careers across ethos with survive at a supportive collaborative locality which practice / expertise skills sectors and commerciality time of permaorganisations leadership frames a sense learning focus services austerity not siloed and of loyalty and controlling identity https://engageforsuccess.org/ Nigel.carruthers@local.gov.uk Senior Advisor, Workforce Team, Local Government Association 07766251641

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This document is meant purely as a documentation tool and the institutions do not assume any liability for its contents # ►B ►C1 Regulation (Ec) No 853/2004 Of The European Parliament And Of The Council Of 29 April 2004 laying down specific hygiene rules for food of animal origin ◄ (OJ L 139, 30.4.2004, p. 55) Amended by: Official Journal No page date ►M1 Commission Regulation (EC) No 2074/2005 of 5 December 2005 L 338 27 22.12.2005 ►M2 Commission Regulation (EC) No 2076/2005 of 5 December 2005 L 338 83 22.12.2005 ►M3 Commission Regulation (EC) No 1662/2006 of 6 November 2006 L 320 1 18.11.2006 ►M4 Council Regulation (EC) No 1791/2006 of 20 November 2006 L 363 1 20.12.2006 ►M5 Commission Regulation (EC) No 1243/2007 of 24 October 2007 L 281 8 25.10.2007 ►M6 Commission Regulation (EC) No 1020/2008 of 17 October 2008 L 277 8 18.10.2008 ►M7 Regulation (EC) No 219/2009 of the European Parliament and of the Council of 11 March 2009 L 87 109 31.3.2009 ►M8 Commission Regulation (EC) No 1161/2009 of 30 November 2009 L 314 8 1.12.2009 ►M9 Commission Regulation (EU) No 558/2010 of 24 June 2010 L 159 18 25.6.2010 ►M10 Commission Regulation (EU) No 150/2011 of 18 February 2011 L 46 14 19.2.2011 ►M11 Commission Regulation (EU) No 1276/2011 of 8 December 2011 L 327 39 9.12.2011 ►M12 Commission Regulation (EU) No 16/2012 of 11 January 2012 L 8 29 12.1.2012 ►M13 Council Regulation (EU) No 517/2013 of 13 May 2013 L 158 1 10.6.2013 ►M14 Commission Regulation (EU) No 786/2013 of 16 August 2013 L 220 14 17.8.2013 ►M15 Commission Regulation (EU) No 218/2014 of 7 March 2014 L 69 95 8.3.2014 ►M16 Commission Regulation (EU) No 633/2014 of 13 June 2014 L 175 6 14.6.2014 ►M17 Commission Regulation (EU) No 1137/2014 of 27 October 2014 L 307 28 28.10.2014 ►M18 Commission Regulation (EU) 2016/355 of 11 March 2016 L 67 22 12.3.2016 Corrected by: ►C1 Corrigendum, OJ L 226, 25.6.2004, p. 22 (853/2004) # Regulation (Ec) No 853/2004 Of The European Parliament And Of The Council Of 29 April 2004 laying down specific hygiene rules for food of animal origin THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION, Having regard to the Treaty establishing the European Community, and in particular Article 152(4)(b) thereof, Having regard to the proposal from the Commission ( 1 ), Having regard to the opinion of the European Economic and Social Committee ( 2 ), Having consulted the Committee of the Regions, Acting in accordance with the procedure laid down in Article 251 of the Treaty ( 3 ), Whereas: (1) Pursuant to Regulation (EC) No 852/2004 ( 4 ), the European Parliament and the Council laid down general rules for food business operators on the hygiene of foodstuffs. (2) Certain foodstuffs may present specific hazards to human health, requiring the setting of specific hygiene rules. This is particularly the case for food of animal origin, in which microbiological and chemical hazards have frequently been reported. (3) In the context of the common agricultural policy, many Directives have been adopted to establish specific health rules for the production and placing on the market of the products listed in Annex I to the Treaty. These health rules have reduced trade barriers for the products concerned, contributing to the creation of the internal market while ensuring a high level of protection of public health. (4) With regard to public health, these rules contain common prin ciples, in particular in relation to the manufacturers 'and competent authorities' responsibilities, structural, operational and hygiene requirements for establishments, procedures for the approval of establishments, requirements for storage and transport and health marks. (5) These principles constitute a common basis for the hygienic production of food of animal origin, permitting the simplification of the existing directives. (6) It is desirable to achieve further simplification by applying the same rules wherever appropriate to all products of animal origin. ( 1 (7) The requirement in Regulation (EC) No 852/2004 whereby food business operators carrying out any stage of production, processing and distribution of food after primary production and associated operations must put in place, implement and maintain procedures based on hazard analysis and critical control point (HACCP) principles also permits simplification. (8) Taken together, these elements justify a recasting of the specific hygiene rules contained in existing directives. (9) The principal objectives of the recasting are to secure a high level of consumer protection with regard to food safety, in particular by making food business operators throughout the Community subject to the same rules, and to ensure the proper functioning of the internal market in products of animal origin, thus contributing to the achievement of the objectives of the common agricultural policy. (10) It is necessary to maintain and, where required to ensure consumer protection, to tighten detailed hygiene rules for products of animal origin. (11) Community rules should not apply either to primary production for private domestic use or to the domestic preparation, handling or storage of food for private domestic consumption. Moreover, where small quantities of primary products or of certain types of meat are supplied directly by the food business operator producing them to the final consumer or to a local retail estab lishment, it is appropriate to protect public health through national law, in particular because of the close relationship between the producer and the consumer. (12) The requirements of Regulation (EC) No 852/2004 are generally sufficient to ensure food safety in establishments carrying out retail activities involving the direct sale or supply of food of animal origin to the final consumer. This Regulation should generally apply to wholesale activities (that is, when a retail establishment carries out operations with a view to supplying food of animal origin to another establishment). Nevertheless, with the exception of the specific temperature requirements laid down in this Regulation, the requirements of Regulation (EC) No 852/2004 should suffice for wholesale activities consisting only of storage or transport. (13) Member States should have some discretion to extend or to limit the application of the requirements of this Regulation to retail under national law. However, they may limit their application only if they consider that the requirements of Regulation (EC) No 852/2004 are sufficient to achieve food hygiene objectives and when the supply of food of animal origin from a retail establishment to another establishment is a marginal, localised and restricted activity. Such supply should therefore be only a small part of the establishment's business; the establishments supplied should be situated in its immediate vicinity; and the supply should concern only certain types of products or establish ments. (14) In accordance with Article 10 of the Treaty, Member States are to take all appropriate measures to ensure that food business operators comply with the obligations laid down in this Regu lation. (15) The traceability of food is an essential element in ensuring food safety. In addition to complying with the general rules of Regu lation (EC) No 178/2002 ( 1 ), food business operators responsible for establishments that are subject to approval in accordance with this Regulation should ensure that all products of animal origin that they place on the market bear either a health mark or an identification mark. (16) Food imported into the Community is to comply with the general requirements laid down in Regulation (EC) No 178/2002 or to satisfy rules that are equivalent to Community rules. This Regu lation defines specific hygiene requirements for food of animal origin imported into the Community. (17) The adoption of this Regulation should not reduce the level of protection provided by the additional guarantees agreed for Finland and Sweden on their accession to the Community and confirmed by Commission Decisions 94/968/EC ( 2 ), 95/50/EC ( 3 ), 95/160/EC ( 4 ), 95/161/E ( 5 ) and 95/168/EC ( 6 ), and Council Decisions 95/409/EC ( 7 ), 95/410/EC ( 8 ) and 95/411/EC ( 9 ). It should establish a procedure for the granting, for a transitional period, of guarantees to any Member State that has an approved national control programme which, for the food of animal origin concerned, is equivalent to those approved for Finland and Sweden. Regulation (EC) No 2160/2003 of the European Parliament and of the Council of 17 November 2003 on the control of salmonella and other specified food-borne zoonotic agents ( 10 ) provides for a similar procedure in respect of live animals and hatching eggs. (18) It is appropriate for the structural and hygiene requirements laid down in this Regulation to apply to all types of establishments, including small businesses and mobile slaughterhouses. ( 1 ) Regulation (EC) No 178/2002 of the European Parliament and of the Council (19) Flexibility is appropriate to enable the continued use of traditional methods at any of the stages of production, processing or distribution of food and in relation to structural requirements for establishments. Flexibility is particularly important for regions that are subject to special geographical constraints, including the outermost regions referred to in Article 299(2) of the Treaty. However, flexibility should not compromise food hygiene objectives. Moreover, since all food produced in accordance with the hygiene rules will normally be in free circu lation throughout the Community, the procedure allowing Member States to exercise flexibility should be fully transparent. It should provide, where necessary to resolve disagreements, for discussion within the Standing Committee on the Food Chain and Animal Health established by Regulation (EC) No 178/2002 and for the Commission to coordinate the process and take appro priate measures. (20) The definition of mechanically separated meat (MSM) should be a generic one covering all methods of mechanical separation. Rapid technological developments in this area mean that a flexible definition is appropriate. The technical requirements for MSM should differ, however, depending on a risk assessment of the product resulting from different methods. (21) There are interactions between food business operators, including the animal feed sector, and connections between animal health, animal welfare and public health considerations at all stages of production, processing and distribution. This requires adequate communication between the different stakeholders along the food chain from primary production to retail. (22) In order to ensure proper inspection of hunted wild game placed on the Community market, bodies of hunted animals and their viscera should be presented for official post-mortem inspection at a game-handling establishment. However, to preserve certain hunting traditions without prejudicing food safety, it is appro priate to provide for training for hunters who place wild game on the market for human consumption. This should enable hunters to undertake an initial examination of wild game on the spot. In these circumstances, it is not necessary to require trained hunters to deliver all viscera to the game-handling establishment for post-mortem examination, if they carry out this initial exam ination and identify no anomalies or hazards. However, Member States should be allowed to establish stricter rules within their territories to take account of specific risks. (23) This Regulation should establish criteria for raw milk pending the adoption of new requirements for its placing on the market. These criteria should be trigger values, implying that, in the event of any overshooting, food business operators are to take corrective action and to notify the competent authority. The criteria should not be maximum figures beyond which raw milk cannot be placed on the market. This implies that, in certain circumstances, raw milk not fully meeting the criteria can safely be used for human consumption, if appropriate measures are taken. As regards raw milk and raw cream intended for direct human consumption, it is appropriate to enable each Member State to maintain or establish appropriate health measures to ensure the achievement of the objectives of this Regulation on its territory. (24) It is appropriate for the criterion for raw milk used to manu facture dairy products to be three times as high as the criterion for raw milk collected from the farm. The criterion for milk used to manufacture processed dairy products is an absolute value, whereas for raw milk collected from the farm it is an average. Compliance with the temperature requirements laid down in this Regulation will not halt all bacterial growth during transport and storage. (25) The present recasting means that the existing hygiene rules can be repealed. Directive 2004/41/EC of the European Parliament and of the Council of 21 April 2004 repealing certain directives on food hygiene and health conditions for the production and placing on the market of certain products of animal origin intended for human consumption ( 1 ) achieves this. (26) In addition, the rules of this Regulation on eggs replace those of Council Decision 94/371/EC of 20 June 1994 laying down specific public health conditions for the putting on the market of certain types of eggs ( 2 ), which the repeal of Annex II to Council Directive 92/118/EEC ( 3 ) renders void. (27) Scientific advice should underpin Community legislation on food hygiene. To this end, the European Food Safety Authority should be consulted whenever necessary. (28) To take account of technical and scientific progress, close and effective cooperation should be ensured between the Commission and the Member States within the Standing Committee on the Food Chain and Animal Health. (29) The requirements of this Regulation should not apply until all parts of the new legislation on food hygiene have entered into force. It is also appropriate to provide for at least 18 months to elapse between entry into force and the application of the new rules, to allow the industries affected time to adapt. (30) The measures necessary for the implementation of this Regulation should be adopted in accordance with Council Decision 1999/468/EC of 28 June 1999 laying down the procedures for the exercise of implementing powers conferred on the Commis sion ( 1 ), HAVE ADOPTED THIS REGULATION: ## Chapter I General Provisions Article 1 Scope 1. This Regulation lays down specific rules on the hygiene of food of animal origin for food business operators. These rules supplement those laid down by Regulation (EC) No 852/2004. They shall apply to unpro cessed and processed products of animal origin. 2. Unless expressly indicated to the contrary, this Regulation shall not apply to food containing both products of plant origin and processed products of animal origin. However, processed products of animal origin used to prepare such food shall be obtained and handled in accordance with the requirements of this Regulation. 3. This Regulation shall not apply in relation to: (a) primary production for private domestic use; (b) the domestic preparation, handling or storage of food for private domestic consumption; (c) the direct supply, by the producer, of small quantities of primary products to the final consumer or to local retail establishments directly supplying the final consumer; (d) the direct supply, by the producer, of small quantities of meat from poultry and lagomorphs slaughtered on the farm to the final consumer or to local retail establishments directly supplying such meat to the final consumer as fresh meat; (e) hunters who supply small quantities of wild game or wild game meat directly to the final consumer or to local retail establishments directly supplying the final consumer. 4. Member States shall establish, according to national law, rules governing the activities and persons referred to in paragraph 3(c), (d) and (e). Such national rules shall ensure the achievement of the objectives of this Regulation. 5. (a) Unless expressly indicated to the contrary, this Regulation shall not apply to retail. (b) However, this Regulation shall apply to retail when operations are carried out with a view to the supply of food of animal origin to another establishment, unless: (i) the operations consist only of storage or transport, in which case the specific temperature requirements laid down in Annex III shall nevertheless apply; or (ii) the supply of food of animal origin from the retail estab lishment is to other retail establishments only and, in accordance with national law, is a marginal, localised and restricted activity. (c) Member States may adopt national measures to apply the requirements of this Regulation to retail establishments situated on their territory to which it would not apply pursuant to subparagraphs (a) or (b). 6. This Regulation shall apply without prejudice to: (a) relevant animal and public health rules, including more stringent rules laid down for the prevention, control and eradication of certain transmissible spongiform encephalopathies; (b) animal welfare requirements; and (c) requirements concerning the identification of animals and the tracea bility of products of animal origin. ## Article 2 Definitions The following definitions shall apply for the purposes of this Regu lation: 1. the definitions laid down in Regulation (EC) No 178/2002; 2. the definitions laid down in Regulation (EC) No 852/2004; 3. the definitions laid down in Annex I; and 4. any technical definitions contained in Annexes II and III. ## Chapter Ii Food Business Operators' Obligations Article 3 General Obligations of Annexes II and III. 2. ►M7 Food business operators shall not use any substance other than potable water - or, when Regulation (EC) No 852/2004 or this Regulation permits its use, clean water - to remove surface contami nation from products of animal origin, unless use of the substance has been approved by the Commission. Those measures, designed to amend non-essential elements of this Regulation by supplementing it, shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 12(3). ◄ Food business operators shall also comply with any conditions for use that may be adopted under the same procedure. The use of an approved substance shall not affect the food business operator's duty to comply with the requirements of this Regulation. ## Article 4 Registration And Approval Of Establishments 1. Food business operators shall place products of animal origin manufactured in the Community on the market only if they have been prepared and handled exclusively in establishments: (a) that meet the relevant requirements of Regulation (EC) No 852/2004, those of Annexes II and III of this Regulation and other relevant requirements of food law; and (b) that the competent authority has registered or, where required in accordance with paragraph 2, approved. 2. Without prejudice to Article 6(3) of Regulation (EC) No 852/2004, establishments handling those products of animal origin for which Annex III to this Regulation lays down requirements shall not operate unless the competent authority has approved them in accordance with paragraph 3 of this Article, with the exception of establishments carrying out only: (a) primary production; (b) transport operations; (c) the storage of products not requiring temperature-controlled storage conditions; or (d) retail operations other than those to which this Regulation applies pursuant to Article 1(5)(b). 3. An establishment subject to approval in accordance with paragraph 2 shall not operate unless the competent authority has, in accordance with Regulation (EC) No 854/2004 of the European Parliament and of the Council of 29 April 2004 laying down specific rules for the organi sation of official controls on products of animal origin intended for human consumption ( 1 ): (a) granted the establishment approval to operate following an on-site visit; or (b) provided the establishment with conditional approval. 4. Food business operators shall cooperate with the competent auth orities in accordance with Regulation (EC) No 854/2004. In particular, food business operators shall ensure that an establishment ceases to operate if the competent authority withdraws its approval or, in the case of conditional approval, fails to prolong it or to grant full approval. 5. This Article shall not prevent an establishment from placing food on the market between the date of application of this Regulation and the first subsequent inspection by the competent authority, if the estab lishment: (a) is subject to approval in accordance with paragraph 2 and placed products of animal origin on the market in accordance with Community legislation immediately prior to the application of this Regulation; or (b) is of a type in respect of which there was no requirement for approval before the application of this Regulation. ## Article 5 Health And Identification Marking 1. Food business operators shall not place on the market a product of animal origin handled in an establishment subject to approval in accordance with Article 4(2) unless it has either: (a) a health mark applied in accordance with Regulation (EC) No 854/2004; or (b) when that Regulation does not provide for the application of a health mark, an identification mark applied in accordance with Annex II, Section I, of this Regulation. 2. Food business operators may apply an identification mark to a product of animal origin only if the product has been manufactured in accordance with this Regulation in establishments meeting the requirements of Article 4. 3. Food business operators may not remove a health mark applied in accordance with Regulation (EC) No 854/2004 from meat unless they cut or process it or work upon it in another manner. ## Article 6 Products Of Animal Origin From Outside The Community 1. Food business operators importing products of animal origin from third countries shall ensure that importation takes place only if: (a) the third country of dispatch appears on a list, drawn up in accordance with Article 11 of Regulation (EC) No 854/2004, of third countries from which imports of that product are permitted; (b) (i) the establishment from which that product was dispatched, and in which it was obtained or prepared, appears on a list, drawn up in accordance with Article 12 of Regulation (EC) No 854/2004, of establishments from which imports of that product are permitted, when applicable, (ii) in the case of fresh meat, minced meat, meat preparations, meat products and MSM, the product was manufactured from meat obtained in slaughterhouses and cutting plants appearing on lists drawn up and updated in accordance with Article 12 of Regulation (EC) No 854/2004 or in approved Community establishments, and (iii) in the case of live bivalve molluscs, echinoderms, tunicates and marine gastropods, the production area appears on a list drawn up in accordance with Article 13 of that Regulation, when applicable; (c) the product satisfies: (i) the requirements of this Regulation, including the requirements of Article 5 on health and identification marking; (ii) the requirements of Regulation (EC) No 852/2004; and (iii) any import conditions laid down in accordance with Community legislation governing import controls for products of animal origin, and (d) the requirements of Article 14 of Regulation (EC) No 854/2004 concerning certificates and documents are satisfied, when appli cable. 2. By way of derogation from paragraph 1, the importation of fishery products may also take place in accordance with the special provisions laid down in Article 15 of Regulation (EC) No 854/2004. 3. Food business operators importing products of animal origin shall ensure that: (a) products are made available for control upon importation in accordance with Directive 97/78/EC ( 1 ); (b) importation complies with the requirements of Directive 2002/99/EC ( 2 ); and (c) operations under their control that take place after importation are carried out in accordance with the requirements of Annex III. 4. Food business operators importing food containing both products of plant origin and processed products of animal origin shall ensure that the processed products of animal origin contained in such food satisfy the requirements of paragraphs 1 to 3. They must be able to demonstrate that they have done so (for example, through appropriate documentation or certification, which need not be in the format specified in paragraph 1(d)). ## Chapter Iii Trade Article 7 Documents 1. When required in accordance with Annex II or III, food business operators shall ensure that certificates or other documents accompany consignments of products of animal origin. 2. In accordance with the procedure referred to in Article 12(2): (a) model documents may be established; and (b) provision may be made for the use of electronic documents. ## Article 8 Special Guarantees 1. Food business operators intending to place the following food of animal origin on the market in Sweden or Finland shall comply with the rules set out in paragraph 2 in respect of salmonella: (a) meat from bovine and porcine animals, including minced meat but excluding meat preparations and MSM; (b) meat from poultry of the following species: domestic fowl, turkeys, guinea-fowl, ducks and geese, including minced meat but excluding meat preparations and MSM; and (c) eggs. 2. (a) In the case of meat from bovine and porcine animals and meat from poultry, samples of consignments shall have been taken in the dispatching establishment and been subjected to a microbiological test with negative results in accordance with Community legislation. (b) In the case of eggs, packing centres shall provide a guarantee that consignments originate from flocks that have been subjected to a microbiological test with negative results in accordance with Community legislation. (c) In the case of meat from bovine and porcine animals, the test provided for in subparagraph (a) need not be carried out for consignments intended for an establishment for the purposes of pasteurisation, sterilisation or treatment having a similar effect. In the case of eggs, the test provided for in subparagraph (b) need not be carried out for consignments intended for the manufacture of processed products by a process that guar antees the elimination of salmonella. (d) The tests provided for in subparagraphs (a) and (b) need not be carried out for foodstuffs originating in an establishment that is subject to a control programme recognised, in respect of the food of animal origin concerned and in accordance with the procedure referred to in Article 12(2), as equivalent to that approved for Sweden and Finland. (e) In the case of meat from bovine and porcine animals and meat from poultry, a trade document or certificate conforming to a model laid down by Community legislation shall accompany the food and state that: (i) the checks referred to in subparagraph (a) have been carried out with negative results; or (ii) the meat is intended for one of the purposes referred to in subparagraph (c); or (iii) the meat comes from an establishment covered by subparagraph (d). (f) In the case of eggs, a certificate stating that the tests referred to in subparagraph (b) have been carried out with negative results, or that the eggs are destined to be used in the manner referred to in subparagraph (c), must accompany consignments. ▼M7 3. (a) The requirements of paragraphs 1 and 2 may be updated by the Commission, in particular to take account of changes in Member States' control programmes or of the adoption of microbiological criteria in accordance with Regulation (EC) No 852/2004. Those measures, designed to amend nonessential elements of this Regulation, *inter alia,* by supple menting it, shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 12(3). (b) In accordance with the regulatory procedure referred to in Article 12(2), the rules laid down in paragraph 2 of this Article in respect of any of the foodstuffs referred to in paragraph 1 of this Article may be extended, in whole or in part, to any Member State, or any region of a Member State, that has a control programme recognised as equivalent to that approved for Sweden and Finland in respect of the food of animal origin concerned. 4. For the purposes of this Article, 'control programme' means a control programme approved in accordance with Regulation (EC) No 2160/2003. ## Chapter Iv Final Provisions ▼M7 Article 9 Transitional measures of general scope designed to amend non-essential elements of this Regulation, *inter alia,* by supplementing it with new non-essential elements, in particular further specifications of the requirements laid down in this Regulation, shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 12(3). Other implementing or transitional measures may be adopted in accordance with the regulatory procedure referred to in Article 12(2). ## ▼C1 Article 10 Amendment And Adaptation Of Annexes Ii And Iii 1. ►M7 Annexes II and III may be adapted or updated by the Commission taking into account: ◄ (a) the development of guides to good practice; (b) the experience gained from the implementation of HACCP-based systems pursuant to Article 5 of Regulation (EC) No 852/2004; (c) the technological developments and their practical consequences and consumer expectations with regard to food composition; (d) scientific advice, particularly new risk assessments; (e) microbiological and temperature criteria for foodstuffs; (f) changes in patterns of consumption. ▼M7 Those measures, designed to amend non-essential elements of this Regulation, *inter alia,* by supplementing it, shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 12(3). 2. Exemptions from Annex II and III may be granted by the Commission, provided that they do not affect the achievement of the objectives of this Regulation. Those measures, designed to amend nonessential elements of this Regulation, shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 12(3). ▼C1 3. Member States may, without compromising achievement of the objectives of this Regulation, adopt, in accordance with paragraphs 4 to 8, national measures adapting the requirements laid down in Annex III. 4. (a) The national measures referred to in paragraph 3 shall have the aim of: (i) enabling the continued use of traditional methods at any of the stages of production, processing or distribution of food; or (ii) accommodating the needs of food businesses situated in regions that are subject to special geographic constraints. (b) In other cases, they shall apply only to the construction, layout and equipment of establishments. 5. Any Member State wishing to adopt national measures as referred to in paragraph 3 shall notify the Commission and other Member States. Each notification shall: (a) provide a detailed description of the requirements that that Member State considers need to be adapted and the nature of the adaptation sought; (b) describe the foodstuffs and establishments concerned; (c) explain the reasons for the adaptation, including, where relevant, by providing a summary of the hazard analysis carried out and any measures to be taken to ensure that the adaptation will not compromise the objectives of this Regulation; and (d) give any other relevant information. 6. The other Member States shall have three months from the receipt of a notification referred to in paragraph 5 to send written comments to the Commission. In the case of adaptations arising from paragraph 4(b), this period shall, at the request of any Member State, be extended to four months. The Commission may, and when it receives written comments from one or more Member States shall, consult Member States within the committee referred to in Article 12(1). The Commission may decide, in accordance with the procedure referred to in Article 12(2), whether the envisaged measures may be implemented, subject, if necessary, to appropriate amendments. Where appropriate, the Commission may propose general measures in accordance with paragraph 1 or 2 of this Article. 7. A Member State may adopt national measures adapting the requirements of Annex III only: (a) in compliance with a decision adopted in accordance with paragraph 6; (b) if, one month after the expiry of the period referred to in paragraph 6, the Commission has not informed Member States that it has received written comments or that it intends to propose the adoption of a decision in accordance with paragraph 6; or (c) in accordance with paragraph 8. 8. A Member State may, of its own initiative and subject to the general provisions of the Treaty, maintain or establish national rules: (a) prohibiting or restricting the placing on the market within its territory of raw milk or raw cream intended for direct human consumption; or (b) permitting the use, with the authorisation of the competent auth ority, of raw milk not meeting the criteria laid down in Annex III, Section IX, as regards plate count and somatic cell count of the manufacture of cheeses with an ageing or ripening period of at least 60 days, and dairy products obtained in connection with the manu facture of such cheeses, provided that this does not prejudice the achievement of the objectives of this Regulation. ## Article 11 Specific Decisions ►M7 Without prejudice to the general application of Article 9 and Article 10(1), implementing measures may be laid down in accordance with the regulatory procedure referred to in Article 12(2), and amendments to Annex II or III, as measures designed to amend nonessential elements of this Regulation, may be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 12(3): ◄ 1. to lay down rules for the transport of meat while it is warm; 2. to specify, in respect of MSM, which calcium content is not signifi cantly higher than that of minced meat; 3. to lay down other treatments that may be applied in a processing establishment to live bivalve molluscs from class B or C production areas that have not been submitted to purification or relaying; 4. to specify recognised testing methods for marine biotoxins; 5. to lay down additional health standards for live bivalve molluscs in cooperation with the relevant Community Reference Laboratory, including: (a) limit values and analysis methods for other marine biotoxins; (b) virus testing procedures and virological standards; and (c) sampling plans and the methods and analytical tolerances to be applied to check compliance with the health standards; 6. to lay down health standards or checks, where there is scientific evidence indicating that they are necessary to protect public health; 7. to extend Annex III, Section VII, Chapter IX, to live bivalve molluscs other than pectinidae; 8. to specify criteria for determining when epidemiological data indicate that a fishing ground does not present a health hazard with regard to the presence of parasites and, consequently, for determining when the competent authority may authorise food business operators not to freeze fishery products in accordance with Annex III, Section VIII, Chapter III, Part D; 9. to lay down freshness criteria and limits with regard to histamine and total volatile nitrogen for fisheries products; 10. to permit the use for the manufacture of certain dairy products of raw milk not meeting the criteria laid down in Annex III, Section IX, as regards its plate count and somatic cell count; 11. without prejudice to Directive 96/23/EC ( 1 ), to fix a maximum permitted value for the combined total of residues of antibiotic substances in raw milk; and 12. to approve equivalent processes for the production of gelatine or collagen. ## Article 12 Committee Procedure 1. The Commission shall be assisted by the Standing Committee on the Food Chain and Animal Health. 2. Where reference is made to this paragraph, Articles 5 and 7 of Decision 1999/468/EC shall apply, having regard to the provisions of Article 8 thereof. The period provided for in Article 5(6) of Decision 1999/468/EC shall be set at three months. ▼M7 3. Where reference is made to this paragraph, Article 5a(1) to (4) and Article 7 of Decision 1999/468/EC shall apply, having regard to the provisions of Article 8 thereof. ## ▼C1 Article 13 Consultation Of The European Food Safety Authority The Commission shall consult the European Food Safety Authority on any matter falling within the scope of this Regulation that could have a significant impact on public health and, in particular, before proposing to extend Annex III, Section III, to other animal species. ## Article 14 Report To The European Parliament And To The Council 1. The Commission shall, not later than 20 May 2009, submit a report to the European Parliament and the Council reviewing the experience gained from the implementation of this Regulation. 2. The Commission shall, if appropriate, accompany the report with relevant proposals. ## Article 15 This Regulation shall enter into force on the 20th day after that of its publication in the *Official Journal of the European Union*. It shall apply 18 months after the date on which all of the following acts have entered into force: (a) Regulation (EC) No 852/2004; (b) Regulation (EC) No 854/2004; and (c) Directive 2004/41/EC. However, it shall apply no earlier than 1 January 2006. This Regulation shall be binding in its entirety and directly applicable in all Member States. ## Definitions For the purpose of this Regulation: 1. MEAT 1.1. 'Meat' means edible parts of the animals referred to in points 1.2 to 1.8, including blood. 1.2. 'Domestic ungulates' means domestic bovine (including *Bubalus* and Bison species), porcine, ovine and caprine animals, and domestic solipeds. 1.3. 'Poultry' means farmed birds, including birds that are not considered as domestic but which are farmed as domestic animals, with the exception of ratites. 1.4. 'Lagomorphs' means rabbits, hares and rodents. 1.5. 'Wild game' means: - wild ungulates and lagomorphs, as well as other land mammals that are hunted for human consumption and are considered to be wild game under the applicable law in the Member State concerned, including mammals living in enclosed territory under conditions of freedom similar to those of wild game; and - wild birds that are hunted for human consumption. 1.6. 'Farmed game' means farmed ratites and farmed land mammals other than those referred to in point 1.2. 1.7. 'Small wild game' means wild game birds and lagomorphs living freely in the wild. 1.8. 'Large wild game' means wild land mammals living freely in the wild that do not fall within the definition of small wild game. 1.9. 'Carcase' means the body of an animal after slaughter and dressing. 1.10. 'Fresh meat' means meat that has not undergone any preserving process other than chilling, freezing or quick-freezing, including meat that is vacuum-wrapped or wrapped in a controlled atmosphere. 1.11. 'Offal' means fresh meat other than that of the carcase, including viscera and blood. 1.12. 'Viscera' means the organs of the thoracic, abdominal and pelvic cavities, as well as the trachea and oesophagus and, in birds, the crop. 1.13. 'Minced meat' means boned meat that has been minced into fragments and contains less than 1 % salt. 1.14. 'Mechanically separated meat' or 'MSM' means the product obtained by removing meat from flesh-bearing bones after boning or from poultry carcases, using mechanical means resulting in the loss or modification of the muscle fibre structure. 1.15. 'Meat preparations' means fresh meat, including meat that has been reduced to fragments, which has had foodstuffs, seasonings or additives added to it or which has undergone processes insufficient to modify the internal muscle fibre structure of the meat and thus to eliminate the characteristics of fresh meat. 1.16. 'Slaughterhouse' means an establishment used for slaughtering and dressing animals, the meat of which is intended for human consumption. 1.17. 'Cutting plant' means an establishment used for boning and/or cutting up meat. 1.18. 'Game-handling establishment' means any establishment in which game and game meat obtained after hunting are prepared for placing on the market. ## 2. Live Bivalve Molluscs 2.1. 'Bivalve molluscs' means filter-feeding lamellibranch molluscs. 2.2. 'Marine biotoxins' means poisonous substances accumulated by bivalve molluscs, in particular as a result of feeding on plankton containing toxins. 2.3. 'Conditioning' means the storage of live bivalve molluscs coming from class A production areas, purification centres or dispatch centres in tanks or any other installation containing clean seawater, or in natural sites, to remove sand, mud or slime, to preserve or to improve organoleptic qualities and to ensure that they are in a good state of vitality before wrapping or packaging. 2.4. 'Gatherer' means any natural or legal person who collects live bivalve molluscs by any means from a harvesting area for the purpose of handling and placing on the market. 2.5. 'Production area' means any sea, estuarine or lagoon area, containing either natural beds of bivalve molluscs or sites used for the cultivation of bivalve molluscs, and from which live bivalve molluscs are taken. 2.6. 'Relaying area' means any sea, estuarine or lagoon area with boundaries clearly marked and indicated by buoys, posts or any other fixed means, and used exclusively for the natural purification of live bivalve molluscs. 2.7. 'Dispatch centre' means any on-shore or off-shore establishment for the reception, conditioning, washing, cleaning, grading, wrapping and packaging of live bivalve molluscs fit for human consumption. 2.8. 'Purification centre' means an establishment with tanks fed by clean seawater in which live bivalve molluscs are placed for the time necessary to reduce contamination to make them fit for human consumption. 2.9. 'Relaying' means the transfer of live bivalve molluscs to sea, lagoon or estuarine areas for the time necessary to reduce contamination to make them fit for human consumption. This does not include the specific operation of transferring bivalve molluscs to areas more suitable for further growth or fattening. ## 3. Fishery Products 3.1. 'Fishery products' means all seawater or freshwater animals (except for live bivalve molluscs, live echinoderms, live tunicates and live marine gastropods, and all mammals, reptiles and frogs) whether wild or farmed and including all edible forms, parts and products of such animals. 3.2. 'Factory vessel' means any vessel on board which fishery products undergo one or more of the following operations followed by wrapping or packaging and, if necessary, chilling or freezing: filleting, slicing, skinning, shelling, shucking, mincing or processing. 3.3. 'Freezer vessel' means any vessel on board which freezing of fishery products is carried out, where appropriate after preparatory work such as bleeding, heading, gutting and removal of fins and, where necessary, followed by wrapping or packaging. 3.4. 'Mechanically separated fishery product' means any product obtained by removing flesh from fishery products using mechanical means resulting in the loss or modification of the flesh structure. 3.5. 'Fresh fishery products' means unprocessed fishery products, whether whole or prepared, including products packaged under vacuum or in a modified atmosphere, that have not undergone any treatment to ensure preservation other than chilling. 3.6. 'Prepared fishery products' means unprocessed fishery products that have undergone an operation affecting their anatomical wholeness, such as gutting, heading, slicing, filleting, and chopping. ## 4. Milk 4.1. 'Raw milk' means milk produced by the secretion of the mammary gland of farmed animals that has not been heated to more than 40 °C or undergone any treatment that has an equivalent effect. 4.2. 'Milk production holding' means an establishment where one or more farmed animals are kept to produce milk with a view to placing it on the market as food. ## 5. Eggs 5.1. 'Eggs' means eggs in shell - other than broken, incubated or cooked eggs - that are produced by farmed birds and are fit for direct human consumption or for the preparation of egg products. 5.2. 'Liquid egg' means unprocessed egg contents after removal of the shell. 5.3. 'Cracked eggs' means eggs with damaged shell and intact membranes. 5.4. 'Packing centre' means an establishment where eggs are graded by quality and weight. ## 6. Frogs' Legs And Snails 6.1. 'Frogs' legs' means the posterior part of the body divided by a transverse cut behind the front limbs, eviscerated and skinned, of the species RNA (family Ranidae). 6.2. 'Snails' means terrestrial gastropods of the species Helix pomatiaLinné, Helix aspersaMuller, *Helix lucorum* and species of the family Achatinidae. ## 7. Processed Products 7.1. 'Meat products' means processed products resulting from the processing of meat or from the further processing of such processed products, so that the cut surface shows that the product no longer has the characteristics of fresh meat. 7.2. 'Dairy products' means processed products resulting from the processing of raw milk or from the further processing of such processed products. 7.3. 'Egg products' means processed products resulting from the processing of eggs, or of various components or mixtures of eggs, or from the further processing of such processed products. 7.4. 'Processed fishery products' means processed products resulting from the processing of fishery products or from the further processing of such processed products. 7.5. 'Rendered animal fat' means fat derived from rendering meat, including bones, and intended for human consumption. 7.6. 'Greaves' means the protein-containing residue of rendering, after partial separation of fat and water. 7.7. 'Gelatine' means natural, soluble protein, gelling or non-gelling, obtained by the partial hydrolysis of collagen produced from bones, hides and skins, tendons and sinews of animals. 7.8. 'Collagen' means the protein-based product derived from animal bones, hides, skins and tendons manufactured in accordance with the relevant requirements of this Regulation. 7.9. 'Treated stomachs, bladders and intestines' means stomachs, bladders and intestines that have been submitted to a treatment such as salting, heating or drying after they have been obtained and after cleaning. ## 8. Other Definitions 8.1. 'Products of animal origin' means: - food of animal origin, including honey and blood; - live bivalve molluscs, live echinoderms, live tunicates and live marine gastropods intended for human consumption; and - other animals destined to be prepared with a view to being supplied live to the final consumer. 8.2. 'Wholesale market' means a food business that includes several separate units which share common installations and sections where foodstuffs are sold to food business operators. ## Annex Ii Requirements Concerning Several Products Of Animal Origin Section I: Identification Marking When required in accordance with Article 5 or 6, and subject to the provisions of Annex III, food business operators must ensure that products of animal origin have an identification mark applied in compliance with the following provisions. ## A. Application Of The Identification Mark ▼M6 1. The identification mark must be applied before the product leaves the establishment of production. ▼M3 2. However, when a product's packaging and/or wrapping is removed or it is further processed in another establishment, a new mark must be applied to the product. In such cases, the new mark must indicate the approval number of the establishment where these operations take place. ▼M6 3. An identification mark is not necessary on packs of eggs when a packing centre code is applied in accordance with Part A of Annex XIV to Council Regulation (EC) No 1234/2007 ( 1 ). ▼C1 4. Food business operators must, in accordance with Article 18 of Regu lation (EC) No 178/2002, have in place systems and procedures to identify food business operators from whom they have received and to whom they have delivered products of animal origin. ## B. Form Of The Identification Mark 5. The mark must be legible and indelible, and the characters easily decipherable. It must be clearly displayed for the competent authorities. | 6. | |--------------------------------------------------------------------------| | lishment is located, which may be written out in full or shown as a two- | | letter code in accordance with the relevant ISO standard. | | | ▼M13 In the case of Member States, however, these codes are BE, BG, CZ, DK, DE, EE, GR, ES, FR, HR, IE, IT, CY, LV, LT, LU, HU, MT, NL, AT, PL, PT, SI, SK, FI, RO, SE and UK. ▼M2 __________ ▼C1 7. The mark must indicate the approval number of the establishment. If an establishment manufactures both food to which this Regulation applies and food to which it does not, the food business operator may apply the same identification mark to both types of food. ▼M6 8. ►M13 When applied in an establishment located within the Community, the mark must be oval in shape and include the abbreviation CE, EC, EF, EG, EK, EO, EY, ES, EÜ, EK, EB, EZ or WE. ◄ Those abbreviations must not be included in marks applied on products imported into the Community from establishments located outside the Community. ## C. Method Of Marking 9. The mark may, depending on the presentation of different products of animal origin, be applied directly to the product, the wrapping or the packaging, or be printed on a label affixed to the product, the wrapping or the packaging. The mark may also be an irremovable tag made of a resistant material. 10. In the case of packaging containing cut meat or offal, the mark must be applied to a label fixed to the packaging, or printed on the packaging, in such a way that it is destroyed when the packaging is opened. This is not necessary, however, if the process of opening destroys the pack aging. When wrapping provides the same protection as packaging, the label may be affixed to the wrapping. 11. For products of animal origin that are placed in transport containers or large packages and are intended for further handling, processing, wrapping or packaging in another establishment, the mark may be applied to the external surface of the container or packaging. 12. In the case of liquid, granulate and powdered products of animal origin carried in bulk, and fishery products carried in bulk, an identification mark is not necessary if accompanying documentation contains the information specified in points 6, 7 and, where appropriate, 8. 13. When products of animal origin are placed in a package destined for direct supply to the final consumer, it is sufficient to apply the mark to the exterior of that package only. 14. When the mark is applied directly to products of animal origin, the colours used must be authorised in accordance with Community rules on the use of colouring substances in foodstuffs. ## Section Ii: Objectives Of Haccp-Based Procedures 1. Food business operators operating slaughterhouses must ensure that the procedures that they have put in place in accordance with the general requirements of Article 5 of Regulation (EC) No 852/2004 meet the requirements that the hazard analysis shows to be necessary and the specific requirements listed in point 2. 2. The procedures must guarantee that each animal or, where appropriate, each lot of animals accepted onto the slaughterhouse premises: (a) is properly identified; (b) is accompanied by the relevant information from the holding of prov enance referred to in Section III; (c) does not come from a holding or an area subject to a movement prohibition or other restriction for reasons of animal or public health, except when the competent authority so permits; (d) is clean; (e) is healthy, as far as the food business operator can judge; and (f) is in a satisfactory state as regards welfare on arrival at the slaughter house. 3. In the event of failure to comply with any of the requirements listed under point 2, the food business operator must notify the official veterinarian and take appropriate measures. ## ▼C1 Section Iii: Food Chain Information Food business operators operating slaughterhouses must, as appropriate, request, receive, check and act upon food chain information as set out in this Section in respect of all animals, other than wild game, sent or intended to be sent to the slaughterhouse. ▼M6 1. Slaughterhouse operators must not accept animals onto the slaughterhouse premises unless they have requested, and been provided with, relevant food chain information contained in the records kept at the holding of provenance in accordance with Regulation (EC) No 852/2004. ▼C1 2. Slaughterhouse operators must be provided with the information no less than 24 hours before the arrival of animals at the slaughterhouse, except in the circumstances mentioned in point 7. ▼M6 3. The relevant food chain information referred to in point 1 is to cover, in particular: ▼M15 (a) the status of the holding of provenance or the regional animal health status, and whether the holding is officially recognised to apply controlled housing conditions in relation to *Trichinella* in accordance with Point A of Chapter I of Annex IV to Commission Regulation (EC) No 2075/2005 ( 1 ); ## ▼C1 (B) The Animals' Health Status; (c) veterinary medicinal products or other treatments administered to the animals within a relevant period and with a withdrawal period greater than zero, together with their dates of administration and withdrawal periods; (d) the occurrence of diseases that may affect the safety of meat; (e) the results, if they are relevant to the protection of public health, of any analysis carried out on samples taken from the animals or other samples taken to diagnose diseases that may affect the safety of meat, including samples taken in the framework of the monitoring and control of zoonoses and residues; (f) relevant reports about previous *ante*- and *post-mortem* inspections of animals from the same holding of provenance including, in particular, reports from the official veterinarian; (g) production data, when this might indicate the presence of disease; and (h) the name and address of the private veterinarian normally attending the holding of provenance. 4. (a) However, it is not necessary for the slaughterhouse operator to be provided with: (i) the information referred to in point 3(a), (b), (f) and (h), if the operator is already aware of this information (for example, through a standing arrangement or a quality assurance scheme); or (ii) the information referred to in point 3(a), (b), (f) and (g), if the producer declares that there is no relevant information to report. (b) The information need not be provided as a verbatim extract from the records of the holding of provenance. It may be provided through elec tronic data exchange or in the form of a standardised declaration signed by the producer. 5. Food business operators deciding to accept animals onto the slaughterhouse premises after evaluating the relevant food chain information must make it available to the official veterinarian without delay and, except in the circum stances mentioned in point 7, no less than 24 hours before the arrival of the animal or lot. The food business operator must notify the official veterinarian of any information that gives rise to health concerns before *ante-mortem* inspection of the animal concerned. 6. If any animal arrives at the slaughterhouse without food chain information, the operator must immediately notify the official veterinarian. Slaughter of the animal may not take place until the official veterinarian so permits. ▼M8 7. If the competent authority so permits and provided it does not jeopardise the objectives of this Regulation, food chain information may arrive less than 24 hours before the arrival of the animals of all species to which it relates at the slaughterhouse or accompany these animals to the slaughterhouse. However, any item of food chain information, knowledge of which may result in serious disruption of the slaughterhouse activity, is to be made available to the food business operator operating the slaughterhouse in sufficient time before the animals arrive at the slaughterhouse, in order for that food business operator to plan the slaughterhouse activity accordingly. The food business operator operating the slaughterhouse must evaluate the relevant information and must submit the food chain information received to the official veterinarian. The slaughter or dressing of the animals may not take place until the official veterinarian so permits. ▼C1 8. Food business operators must check passports accompanying domestic solipeds to ensure that the animal is intended for slaughter for human consumption. If they accept the animal for slaughter, they must give the passport to the official veterinarian. ## ▼M12 Section Iv: Requirements Applicable To Frozen Food Of Animal Origin 1. For the purposes of this Section, 'date of production' means: (a) the date of slaughter in the case of carcasses, half carcasses or quarter carcases; (b) the date of killing in the case of bodies of wild game; (c) the date of harvesting or catching, in the case of fishery products; (d) the date of processing, cutting, mincing or preparation, as appropriate, for any other food of animal origin. 2. Until the stage at which a food is labelled in accordance with Directive 2000/13/EC or used for further processing, food business operators must ensure that in the case of frozen food of animal origin intended for human consumption, the following information is made available to the food business operator to whom the food is supplied and, upon request, to the competent authority: (a) the date of production; and (b) the date of freezing, if different from the date of production. Where a food is made from a batch of raw materials with different dates of production and of freezing, the oldest dates of production and/or of freezing, as appropriate, must be made available. 3. The appropriate form in which the information must be made available is up to the choice of the supplier of the frozen food, as long as the information requested in paragraph 2 will be clearly and unequivocally available to and retrievable by the business operator to whom the food is supplied. ## Specific Requirements Section I: Meat Of Domestic Ungulates Chapter I: Transport Of Live Animals To The Slaught Erhouse Food business operators transporting live animals to slaughterhouses must ensure compliance with the following requirements. 1. During collection and transport, animals must be handled carefully without causing unnecessary distress. 2. Animals showing symptoms of disease or originating in herds known to be contaminated with agents of public health importance may only be trans ported to the slaughterhouse when the competent authority so permits. ## Chapter Ii: Requirements For Slaughterhouses Food business operators must ensure that the construction, layout and equipment of slaughterhouses in which domestic ungulates are slaughtered meet the following requirements. 1. (a) Slaughterhouses must have adequate and hygienic lairage facilities or, climate permitting, waiting pens that are easy to clean and disinfect. These facilities must be equipped for watering the animals and, if necessary, feeding them. The drainage of the wastewater must not compromise food safety. (b) They must also have separate lockable facilities or, climate permitting, pens for sick or suspect animals with separate draining and sited in such a way as to avoid contamination of other animals, unless the competent authority considers that such facilities are unnecessary. (c) The size of the lairage facilities must ensure that the welfare of the animals is respected. Their layout must facilitate ante-mortem inspec tions, including the identification of the animals or groups of animals. 2. To avoid contaminating meat, they must: (a) have a sufficient number of rooms, appropriate to the operations being carried out; (b) have a separate room for the emptying and cleaning of stomachs and intestines, unless the competent authority authorises the separation in time of these operations within a specific slaughterhouse on a case-bycase basis; (c) ensure separation in space or time of the following operations: (i) stunning and bleeding; (ii) in the case of porcine animals, scalding, depilation, scraping and singeing; (iii) evisceration and further dressing; (iv) handling clean guts and tripe; (v) preparation and cleaning of other offal, particularly the handling of skinned heads if it does not take place at the slaughter line; (vi) packaging offal; and (vii) dispatching meat; (d) have installations that prevent contact between the meat and the floors, walls and fixtures; and (e) have slaughter lines (where operated) that are designed to allow constant progress of the slaughter process and to avoid cross-contamination between the different parts of the slaughter line. Where more than one slaughter line is operated in the same premises, there must be adequate separation of the lines to prevent cross-contamination. 3. They must have facilities for disinfecting tools with hot water supplied at not less than 82 °C, or an alternative system having an equivalent effect. 4. The equipment for washing hands used by the staff engaged in handling exposed meat must have taps designed to prevent the spread of contami nation. 5. There must be lockable facilities for the refrigerated storage of detained meat and separate lockable facilities for the storage of meat declared unfit for human consumption. 6. There must be a separate place with appropriate facilities for the cleaning, washing and disinfection of means of transport for livestock. However, slaughterhouses need not have these places and facilities if the competent authority so permits and official authorised places and facilities exist nearby. 7. They must have lockable facilities reserved for the slaughter of sick and suspect animals. This is not essential if this slaughter takes place in other establishments authorised by the competent authority for this purpose, or at the end of the normal slaughter period. 8. If manure or digestive tract content is stored in the slaughterhouse, there must be a special area or place for that purpose. 9. They must have an adequately equipped lockable facility or, where needed, room for the exclusive use of the veterinary service. ## Chapter Iii: Requirements For Cutting Plants Food business operators must ensure that cutting plants handling meat of domestic ungulates: 1. are constructed so as to avoid contamination of meat, in particular by: (a) allowing constant progress of the operations; or (b) ensuring separation between the different production batches; 2. have rooms for the separate storage of packaged and exposed meat, unless stored at different times or in such a way that the packaging material and the manner of storage cannot be a source of contamination for the meat; 3. have cutting rooms equipped to ensure compliance with the requirements laid down in Chapter V; 4. have equipment for washing hands with taps designed to prevent the spread of contamination, for use by staff engaged in handling exposed meat; and 5. have facilities for disinfecting tools with hot water supplied at not less than 82 °C, or an alternative system having an equivalent effect. ## Chapter Iv: Slaughter Hygiene Food business operators operating slaughterhouses in which domestic ungulates are slaughtered must ensure compliance with the following requirements. 1. After arrival in the slaughterhouse, the slaughter of the animals must not be unduly delayed. However, where required for welfare reasons, animals must be given a resting period before slaughter. 2. (a) Meat from animals other than those referred to in subparagraphs (b) and (c) must not be used for human consumption if they die otherwise than by being slaughtered in the slaughterhouse. (b) Only live animals intended for slaughter may be brought into the slaughter premises, with the exception of: (i) animals that have undergone emergency slaughter outside the slaughterhouse in accordance with Chapter VI; (ii) animals slaughtered at the place of production in accordance with Section III; and (iii) wild game, in compliance with Section IV, Chapter II. (c) Meat from animals that undergo slaughter following an accident in a slaughterhouse may be used for human consumption if, on inspection, no serious lesions other than those due to the accident are found. 3. The animals or, where appropriate, each batch of animals sent for slaughter must be identified so that their origin can be traced. 4. Animals must be clean. 5. Slaughterhouse operators must follow the instructions of the veterinarian appointed by the competent authority in accordance with Regulation (EC) No 854/2004 to ensure that ante-mortem inspection of every animal to be slaughtered is carried out under suitable conditions. 6. Animals brought into the slaughter hall must be slaughtered without undue delay. 7. Stunning, bleeding, skinning, evisceration and other dressing must be carried out without undue delay and in a manner that avoids contaminating the meat. In particular: (a) the trachea and oesophagus must remain intact during bleeding, except in the case of slaughter according to a religious custom; (b) during the removal of hides and fleece: (i) contact between the outside of the skin and the carcase must be prevented; and (ii) operators and equipment coming into contact with the outer surface of hides and fleece must not touch the meat; (c) measures must be taken to prevent the spillage of digestive tract content during and after evisceration and to ensure that evisceration is completed as soon as possible after stunning; and (d) removal of the udder must not result in contamination of the carcase with milk or colostrum. 8. Carcases and other parts of the body intended for human consumption must be completely skinned, except in the case of porcine animals, the heads of ovine and caprine animals and calves, the muzzle and lips of bovine animals and the feet of bovine, ovine and caprine animals. Heads, including muzzle and lips, and feet must be handled in such a way as to avoid contamination. ▼C1 9. When not skinned, porcine animals must have their bristles removed immediately. The risk of contamination of the meat with scalding water must be minimised. Only approved additives may be used for this operation. Porcine animals must be thoroughly rinsed afterwards with potable water. 10. The carcases must not contain visible faecal contamination. Any visible contamination must be removed without delay by trimming or alternative means having an equivalent effect. 11. Carcases and offal must not come into contact with floors, walls or work stands. 12. Slaughterhouse operators must follow the instructions of the competent authority to ensure that post-mortem inspection of all slaughtered animals is carried out under suitable conditions in accordance with Regulation (EC) No 854/2004. 13. Until post-mortem inspection is completed, parts of a slaughtered animal subject to such inspection must: (a) remain identifiable as belonging to a given carcase; and (b) come into contact with no other carcase, offal or viscera, including those that have already undergone post-mortem inspection. However, provided that it shows no pathological lesion, the penis may be discarded immediately. 14. Both kidneys must be removed from their fatty covering. In the case of bovine and porcine animals, and solipeds, the peri-renal capsule must also be removed. 15. If the blood or other offal of several animals is collected in the same container before completion of post-mortem inspection, the entire contents must be declared unfit for human consumption if the carcase of one or more of the animals concerned has been declared unfit for human consumption. 16. After post-mortem inspection: ▼M3 (a) the tonsils of bovine animals, porcine animals and solipeds must be removed hygienically; ▼C1 (b) parts unfit for human consumption must be removed as soon as possible from the clean sector of the establishment; (c) meat detained or declared unfit for human consumption and inedible by-products must not come into contact with meat declared fit for human consumption; and (d) viscera or parts of viscera remaining in the carcase, except for the kidneys, must be removed entirely and as soon as possible, unless the competent authority authorises otherwise. 17. After completion of slaughter and post-mortem inspection, the meat must be stored in accordance with the requirements laid down in Chapter VII. 18. When destined for further handling: (a) stomachs must be scalded or cleaned; however, in the case of stomachs of young ruminants intended for rennet production, the stomachs need only be emptied; (b) intestines must be emptied and cleaned; (c) heads and feet must be skinned or scalded and depilated; however, when authorised by the competent authority, visibly clean feet may be trans ported to and skinned or scalded and depilated in an approved estab lishment further handling the feet for processing into food. ▼C1 19. Where establishments are approved for the slaughter of different animal species or for the handling of carcases of farmed game and wild game, precautions must be taken to prevent cross-contamination by separation either in time or in space of operations carried out on the different species. Separate facilities for the reception and storage of unskinned carcases of farmed game slaughtered at the farm and for wild game must be available. 20. If the slaughterhouse does not have lockable facilities reserved for the slaughter of sick or suspect animals, the facilities used to slaughter such animals must be cleaned, washed and disinfected under official supervision before the slaughter of other animals is resumed. ## Chapter V: Hygiene During Cutting And Boning Food business operators must ensure that cutting and boning of meat of domestic ungulates takes place in accordance with the following requirements. 1. Carcases of domestic ungulates may be cut into half-carcases or quarters, and half carcases into no more than three wholesale cuts, in slaughterhouses. Further cutting and boning must be carried out in a cutting plant. 2. The work on meat must be organised in such a way as to prevent or minimise contamination. To this end, food business operators must ensure in particular that: (a) meat intended for cutting is brought into the workrooms progressively as needed; (b) during cutting, boning, trimming, slicing, dicing, wrapping and pack aging, the meat is maintained at not more than 3 °C for offal and 7 °C for other meat, by means of an ambient temperature of not more than 12 °C or an alternative system having an equivalent effect; and (c) where the premises are approved for the cutting of meat of different animal species, precautions are taken to avoid cross-contamination, where necessary by separation of the operations on the different species in either space or time. 3. However, meat may be boned and cut before it reaches the temperature referred to in point 2(b) in accordance with Chapter VII, point 3. 4. Meat may also be boned and cut prior to reaching the temperature referred to in point 2(b) when the cutting room is on the same site as the slaughter premises. In this case, the meat must be transferred to the cutting room either directly from the slaughter premises or after a waiting period in a chilling or refrigerating room. As soon as it is cut and, where appropriate, packaged, the meat must be chilled to the temperature referred to in point 2(b). ## ▼C1 Chapter Vi: Emergency Slaughter Outside The Slaught Erhouse Food business operators must ensure that meat from domestic ungulates that have undergone emergency slaughter outside the slaughterhouse may be used for human consumption only if it complies with all the following requirements. 1. An otherwise healthy animal must have suffered an accident that prevented its transport to the slaughterhouse for welfare reasons. 2. A veterinarian must carry out an ante-mortem inspection of the animal. 3. The slaughtered and bled animal must be transported to the slaughterhouse hygienically and without undue delay. Removal of the stomach and intes tines, but no other dressing, may take place on the spot, under the super vision of the veterinarian. Any viscera removed must accompany the slaughtered animal to the slaughterhouse and be identified as belonging to that animal. 4. If more than two hours elapse between slaughter and arrival at the slaughter house, the animal must be refrigerated. Where climatic conditions so permit, active chilling is not necessary. 5. A declaration by the food business operator who reared the animal, stating the identity of the animal and indicating any veterinary products or other treatments administered to the animal, dates of administration and with drawal periods, must accompany the slaughtered animal to the slaughter house. 6. A declaration issued by the veterinarian recording the favourable outcome of the ante-mortem inspection, the date and time of, and reason for, emergency slaughter, and the nature of any treatment administered by the veterinarian to the animal, must accompany the slaughtered animal to the slaughterhouse. 7. The slaughtered animal must be fit for human consumption following postmortem inspection carried out in the slaughterhouse in accordance with Regulation (EC) No 854/2004, including any additional tests required in the case of emergency slaughter. 8. Food business operators must follow any instructions that the official veterinarian may give after post-mortem inspection concerning the use of the meat. ## ▼M15 __________ ▼C1 Chapter Vii: Storage And Transport Food business operators must ensure that the storage and transport of meat of domestic ungulates takes place in accordance with the following requirements. 1. (a) Unless other specific provisions provide otherwise, post-mortem inspection must be followed immediately by chilling in the slaught erhouse to ensure a temperature throughout the meat of not more than 3 °C for offal and 7 °C for other meat along a chilling curve that ensures a continuous decrease of the temperature. However, meat may be cut and boned during chilling in accordance with Chapter V, point 4. (b) During the chilling operations, there must be adequate ventilation to prevent condensation on the surface of the meat. 2. Meat must attain the temperature specified in point 1 and remain at that temperature during storage. 3. Meat must attain the temperature specified in point 1 before transport, and remain at that temperature during transport. However, transport may also take place if the competent authority so authorises to enable the production of specific products, provided that: (a) such transport takes place in accordance with the requirements that the competent authority specifies in respect of transport from one given establishment to another; and (b) the meat leaves the slaughterhouse, or a cutting room on the same site as the slaughter premises, immediately and transport takes no more than two hours. 4. Meat intended for freezing must be frozen without undue delay, taking into account where necessary a stabilisation period before freezing. 5. Exposed meat must be stored and transported separately from packaged meat, unless stored or transported at different times or in such a way that the packaging material and the manner of storage or transport cannot be a source of contamination for the meat. ## Section Ii: Meat From Poultry And Lagomorphs Chapter I: Transport Of Live Animals To The Slaught Erhouse Food business operators transporting live animals to slaughterhouses must ensure compliance with the following requirements. 1. During collection and transport, animals must be handled carefully without causing unnecessary distress. 2. Animals showing symptoms of disease or originating in flocks known to be contaminated with agents of public-health importance may only be trans ported to the slaughterhouse when permitted by the competent authority. 3. Crates for delivering animals to the slaughterhouse and modules, where used, must be made of non-corrodible material and be easy to clean and disinfect. Immediately after emptying and, if necessary, before re-use, all equipment used for collecting and delivering live animals must be cleaned, washed and disinfected. ## Chapter Ii: Requirements For Slaughterhouses Food business operators must ensure that the construction, layout and equipment of slaughterhouses in which poultry or lagomorphs are slaughtered meet the following requirements. 1. They must have a room or covered space for the reception of the animals and for their inspection before slaughter. 2. To avoid contaminating meat, they must: (a) have a sufficient number of rooms, appropriate to the operations being carried out; (b) have a separate room for evisceration and further dressing, including the addition of seasonings to whole poultry carcases, unless the competent authority authorises separation in time of these operations within a specific slaughterhouse on a case-by-case basis; (c) ensure separation in space or time of the following operations: (i) stunning and bleeding; (ii) plucking or skinning, and any scalding; and (iii) dispatching meat; (d) have installations that prevent contact between the meat and the floors, walls and fixtures; and (e) have slaughter lines (where operated) that are designed to allow a constant progress of the slaughter process and to avoid cross-contami nation between the different parts of the slaughter line. Where more than one slaughter line is operated in the same premises, there must be adequate separation of the lines to prevent cross-contamination. 3. They must have facilities for disinfecting tools with hot water supplied at not less than 82 °C, or an alternative system having an equivalent effect. 4. The equipment for washing hands used by the staff engaged in handling exposed meat must have taps designed to prevent the spread of contami nation. 5. There must be lockable facilities for the refrigerated storage of detained meat and separate lockable facilities for the storage of meat declared unfit for human consumption. 6. There must be a separate place with appropriate facilities for the cleaning, washing and disinfection of: (a) transport equipment such as crates; and (b) means of transport. These places and facilities are not compulsory for (b) if officially authorised places and facilities exist nearby. 7. They must have an adequately equipped lockable facility or, where needed, room for the exclusive use of the veterinary service. ## Chapter Iii: Requirements For Cutting Plants 1. Food business operators must ensure that cutting plants handling meat from poultry or lagomorphs: (a) are constructed so as to avoid contamination of meat, in particular by: (i) allowing constant progress of the operations; or (ii) ensuring separation between the different production batches; (b) have rooms for the separate storage of packaged and exposed meat, unless stored at different times or in such a way that the packaging material and the manner of storage cannot be a source of contamination for the meat; (c) have cutting rooms equipped to ensure compliance with the requirements laid down in Chapter V; (d) have equipment for washing hands used by staff handling exposed meat with taps designed to prevent the spread of contamination; and (e) have facilities for disinfecting tools with hot water supplied at not less than 82 °C, or an alternative system having an equivalent effect. 2. If the following operations are undertaken in a cutting plant: (a) the evisceration of geese and ducks reared for the production of 'foie gras', which have been stunned, bled and plucked on the fattening farm; or (b) the evisceration of delayed eviscerated poultry, food business operators must ensure that separate rooms are available for that purpose. ## Chapter Iv: Slaughter Hygiene Food business operators operating slaughterhouses in which poultry or lago morphs are slaughtered must ensure compliance with the following requirements. 1. (a) Meat from animals other than those referred to in (b) must not be used for human consumption if they die otherwise than by being slaughtered in the slaughterhouse. (b) Only live animals intended for slaughter may be brought into the slaughter premises, with the exception of: (i) delayed eviscerated poultry, geese and ducks reared for the production of 'foie gras' and birds that are not considered as domestic but which are farmed as domestic animals, if slaughtered at the farm in accordance with Chapter VI; (ii) farmed game slaughtered at the place of production in accordance with Section III; and (iii) small wild game in accordance with Section IV, Chapter III. 2. Slaughterhouse operators must follow the instructions of the competent authority to ensure that ante-mortem inspection is carried out under suitable conditions. 3. Where establishments are approved for the slaughter of different animal species or for the handling of farmed ratites and small wild game, precautions must be taken to prevent cross contamination by separation either in time or in space of the operations carried out on the different species. Separate facilities for the reception and storage of carcases of farmed ratites slaughtered at the farm and for small wild game must be available. 4. Animals brought into the slaughter room must be slaughtered without undue delay. | 5. | Stunning, bleeding, skinning or plucking, evisceration and other dressing | |------------------------------------------------------------------------------|------------------------------------------------------------------------------| | must be carried out without undue delay in such a way that contamination | | | of the meat is avoided. In particular, measures must be taken to prevent the | | | spillage of digestive tract contents during evisceration. | | | 6. | Slaughterhouse operators must follow the instructions of the competent | | authority to ensure that the post-mortem inspection is carried out under | | | suitable conditions, and in particular that slaughtered animals can be | | | inspected properly. | | | | | 7. After post-mortem inspection: (a) parts unfit for human consumption must be removed as soon as possible from the clean sector of the establishment; (b) meat detained or declared unfit for human consumption and inedible byproducts must not come into contact with meat declared fit for human consumption; and (c) viscera or parts of viscera remaining in the carcase, except for the kidneys, must be removed entirely, if possible, and as soon as possible, unless otherwise authorised by the competent authority. 8. After inspection and evisceration, slaughtered animals must be cleaned and chilled to not more than 4 °C as soon as possible, unless the meat is cut while warm. 9. When carcases are subjected to an immersion chilling process, account must be taken of the following. (a) Every precaution must be taken to avoid contamination of carcases, taking into account parameters such as carcase weight, water temperature, volume and direction of water flow and chilling time. (b) Equipment must be entirely emptied, cleaned and disinfected whenever this is necessary and at least once a day. 10. Sick or suspect animals, and animals slaughtered in application of disease eradication or control programmes, must not be slaughtered in the estab lishment except when permitted by the competent authority. In that event, slaughter must be performed under official supervision and steps taken to prevent contamination; the premises must be cleaned and disinfected before being used again. ## Chapter V: Hygiene During And After Cutting And Boning Food business operators must ensure that cutting and boning of meat of poultry and lagomorphs takes place in accordance with the following requirements. 1. The work on meat must be organised in such a way as to prevent or minimise contamination. To this end, food business operators must ensure in particular that: (a) meat intended for cutting is brought into the workrooms progressively as needed; (b) during cutting, boning, trimming, slicing, dicing, wrapping and pack aging, the temperature of the meat is maintained at not more than 4 °C by means of an ambient temperature of 12 °C or an alternative system having an equivalent effect; and (c) where the premises are approved for the cutting of meat of different animal species, precautions are taken to avoid cross-contamination, where necessary by separation of the operations on the different species in either space or time. 2. However, meat may be boned and cut prior to reaching the temperature referred to in point 1(b) when the cutting room is on the same site as the slaughter premises, provided that it is transferred to the cutting room either: (a) directly from the slaughter premises; or (b) after a waiting period in a chilling or refrigerating room. 3. As soon as the meat is cut and, where appropriate, packaged, it must be chilled to a temperature of not more than 4 °C. 4. Meat must attain a temperature of not more than 4 °C before transport, and be maintained at that temperature during transport. However, if the competent authority so authorises, livers for the production of *foie gras* may be transported at a temperature of more than 4 °C, provided that: (a) such transport takes place in accordance with the requirements that the competent authority specifies in respect of transport from one given establishment to another; and (b) the meat leaves the slaughterhouse, or a cutting room immediately and transport takes no more than two hours. 5. Meat derived from poultry and lagomorphs intended for freezing must be frozen without undue delay. 6. Exposed meat must be stored and transported separately from packaged meat, unless stored or transported at different times or in such a way that the packaging material and the manner of storage or transport cannot be a source of contamination for the meat. ▼C1 ## Chapter Vi: Slaughter On The Farm Food business operators may slaughter poultry referred to in Chapter IV, point 1(b)(i), on the farm only with the authorisation of the competent authority and in compliance with the following requirements. 1. The farm must undergo regular veterinary inspection. 2. The food business operator must inform the competent authority in advance of the date and time of slaughter. 3. The holding must have facilities for concentrating the birds to allow an antemortem inspection of the group to be made. 4. The holding must have premises suitable for the hygienic slaughter and further handling of the birds. 5. Animal welfare requirements must be complied with. 6. The slaughtered birds must be accompanied to the slaughterhouse by a declaration by the food business operator who reared the animal indicating any veterinary products or other treatments administered to the animal, dates of administration and withdrawal periods, and the date and time of slaughter. 7. The slaughtered animal must be accompanied to the slaughterhouse by a certificate issued by the official veterinarian or approved veterinarian in accordance with Regulation (EC) No 854/2004. 8. In the case of poultry reared for the production of 'foie gras', the unevis cerated birds must be transported immediately and, if necessary, refrigerated to a slaughterhouse or cutting plant. They must be eviscerated within 24 hours of slaughter under the supervision of the competent authority. 9. Delayed eviscerated poultry obtained at the farm of production may be kept for up to 15 days at a temperature of not more than 4 °C. It must then be eviscerated in a slaughterhouse or in a cutting plant located in the same Member State as the farm of production. ## ▼M1 Chapter Vii: Water Retention Agents Food business operators shall ensure that poultrymeat that has been treated specifically to promote water retention is not placed on the market as fresh meat but as meat preparations or used for the production of processed products. ## ▼C1 Section Iii: Meat Of Farmed Game 1. The provisions of Section I apply to the production and placing on the market of meat from even-toed farmed game mammals (Cervidae and Suidae), unless the competent authority considers them inappropriate. 2. The provisions of Section II apply to the production and placing on the market of meat from ratites. However, those of Section I apply where the competent authority considers them appropriate. Appropriate facilities must be provided, adapted to the size of the animals. 3. Notwithstanding points 1 and 2, food business operators may slaughter farmed ratites and farmed ungulates referred to in point 1 at the place of origin with the authorisation of the competent authority if: (a) the animals cannot be transported, to avoid any risk for the handler or to protect the welfare of the animals; (b) the herd undergoes regular veterinary inspection; (c) the owner of the animals submits a request; (d) the competent authority is informed in advance of the date and time of slaughter of the animals; (e) the holding has procedures for concentrating the animals to allow an ante-mortem inspection of the group to be made; (f) the holding has facilities suitable for the slaughter, bleeding and, where ratites are to be plucked, plucking of the animals; (g) animal welfare requirements are complied with; (h) slaughtered and bled animals are transported to the slaughterhouse hygienically and without undue delay. If transport takes more than two hours, the animals are, if necessary, refrigerated. Evisceration may take place on the spot, under the supervision of the veterinarian; (i) a declaration by the food business operator who reared the animals, stating their identity and indicating any veterinary products or other treatments administered, dates of administration and withdrawal periods, accompanies the slaughtered animals to the slaughterhouse; and (j) during transport to the approved establishment, a certificate issued and signed by the official veterinarian or approved veterinarian, attesting to a favourable result of the ante-mortem inspection, correct slaughter and bleeding and the date and time of slaughter, accompanies the slaughtered animals. ▼M10 3a. By way of derogation from point 3(j), the competent authority may authorise that the attestation of the correct slaughter and bleeding and of the date and time of slaughter be included only in the declaration by the food business operator referred to in point 3(i), provided that: (a) the holding is situated in a Member State or region, as defined in Article 2(2)(p) of Directive 64/432/EEC which is not under health restrictions in accordance with Union law or national legislation; (b) the food business operator has demonstrated the appropriate level of competence to slaughter animals without causing the animals any avoidable pain, distress or suffering in accordance with Article 7(2) of Regulation (EC) No 1099/2009 and without prejudice to Article 12 of that Regulation. ▼C1 4. Food business operators may also slaughter bison on the farm in accordance with point 3 in exceptional circumstances. ## Section Iv: Wild Game Meat Chapter I: Training Of Hunters In Health And Hygiene 1. Persons who hunt wild game with a view to placing it on the market for human consumption must have sufficient knowledge of the pathology of wild game, and of the production and handling of wild game and wild game meat after hunting, to undertake an initial examination of wild game on the spot. 2. It is however enough if at least one person of a hunting team has the knowledge referred to in point 1. References in this Section to a 'trained person' are references to that person. 3. The trained person could also be the gamekeeper or the game manager if he or she is part of the hunting team or located in the immediate vicinity of where hunting is taking place. In the latter case, the hunter must present the wild game to the gamekeeper or game manager and inform them of any abnormal behaviour observed before killing. 4. Training must be provided to the satisfaction of the competent authority to enable hunters to become trained persons. It should cover at least the following subjects: (a) the normal anatomy, physiology and behaviour of wild game; (b) abnormal behaviour and pathological changes in wild game due to diseases, environmental contamination or other factors which may affect human health after consumption; (c) the hygiene rules and proper techniques for the handling, transportation, evisceration, etc. of wild game animals after killing; and (d) legislation and administrative provisions on the animal and public health and hygiene conditions governing the placing on the market of wild game. 5. The competent authority should encourage hunters' organisations to provide such training. ## Chapter Ii: Handling Of Large Wild Game 1. After killing, large wild game must have their stomachs and intestines removed as soon as possible and, if necessary, be bled. 2. The trained person must carry out an examination of the body, and of any viscera removed, to identify any characteristics that may indicate that the meat presents a health risk. The examination must take place as soon as possible after killing. 3. Meat of large wild game may be placed on the market only if the body is transported to a game-handling establishment as soon as possible after the examination referred to in point 2. The viscera must accompany the body as specified in point 4. The viscera must be identifiable as belonging to a given animal. 4. (a) If no abnormal characteristics are found during the examination referred to in point 2, no abnormal behaviour was observed before killing, and there is no suspicion of environmental contamination, the trained person must attach to the animal body a numbered declaration stating this. This declaration must also indicate the date, time and place of killing. The declaration need not be attached to the animal body and may cover more than one animal body, provided that each animal body is appro priately identified and the declaration bears an indication of the identi fication number of each animal body covered by it, with the corresponding date, time and place of killing. All animal bodies covered by a single declaration may only be sent to a single gamehandling establishment. The head and the viscera need not accompany the body to the gamehandling establishment, except in the case of species susceptible to trichinosis (porcine animals, solipeds and others), whose heads (except for tusks) and diaphragm must accompany the body. However, the competent authority may authorise that heads of animals susceptible to *Trichinella* infestation be sent to a technical plant for the production of game trophies, which has been approved in accordance with Article 18 of Regulation (EC) No 1774/2002. The technical plant shall be indicated in the declaration of the trained person. A copy of that declaration shall be sent to the technical plant. Where the results of the Trichinella examination of the carcase are positive, the competent authority shall carry out an official check to verify the proper handling of the head in the technical plant. However, hunters must comply with any additional requirements imposed in the Member State where hunting takes place, in particular to permit the monitoring of certain residues and substances in accordance with Directive 96/23/EC. ▼C1 (b) In other circumstances, the head (except for tusks, antlers and horns) and all the viscera except for the stomach and intestines must accompany the body. The trained person who carried out the examination must inform the competent authority of the abnormal characteristics, abnormal behaviour or suspicion of environmental contamination that prevented him or her from making a declaration in accordance with (a); (c) If no trained person is available to carry out the examination referred to in point 2 in a particular case, the head (except for tusks, antlers and horns) and all the viscera except for the stomach and the intestines must accompany the body. 5. Chilling must begin within a reasonable period of time after killing and achieve a temperature throughout the meat of not more than 7 °C. Where climatic conditions so permit, active chilling is not necessary. 6. During transport to the game-handling establishment, heaping must be avoided. 7. Large wild game delivered to a game-handling establishment must be presented to the competent authority for inspection. ## ▼M16 8. In Addition, Unskinned Large Wild Game: (a) may be skinned and placed on the market only if: (i) before skinning, it is stored and handled separately from other food and it is not frozen; (ii) after skinning, it undergoes a final inspection in a game-handling establishment in accordance with Regulation (EC) No 854/2004; (b) may be sent to a game handling establishment in another Member State only if, during transport to that game-handling establishment, it is accompanied by a certificate conforming to the specimen set out in the Annex to Commission Implementing Regulation (EU) No 636/2014 ( 1 ) issued and signed by an official veterinarian, attesting that the requirements set out in point 4 as regards the availability of a declaration, when relevant, and the accompaniment of relevant parts of the body, have been complied with. In case the game handling establishment, close to the hunting area, is in another Member State, transport to this game handling establishment need not be accompanied by the certificate but by the declaration of the trained person referred to in point 2 to comply with Article 3(1) of Directive 89/662/EEC, taking into account the animal health status of the Member State of origin. ▼C1 9. The rules laid down in Section I, Chapter V, apply to the cutting and boning of large wild game. ## Chapter Iii: Handling Of Small Wild Game 1. The trained person must carry out an examination to identify any character istics that may indicate that the meat presents a health risk. The examination must take place as soon as possible after killing. 2. If abnormal characteristics are found during the examination, abnormal behaviour was observed before killing, or environmental contamination is suspected, the trained person must inform the competent authority. 3. Meat of small wild game may be placed on the market only if the body is transported to a game-handling establishment as soon as possible after the examination referred to in point 1. 4. Chilling must begin within a reasonable period of time of killing and achieve a temperature throughout the meat of not more than 4 °C. Where climatic conditions so permit, active chilling is not necessary. 5. Evisceration must be carried out, or completed, without undue delay upon arrival at the game -handling establishment, unless the competent authority permits otherwise. 6. Small wild game delivered to a game-handling establishment must be presented to the competent authority for inspection. 7. The rules laid down in Section II, Chapter V, apply to the cutting and boning of small wild game. ## Section V: Minced Meat, Meat Preparations And Mech Anically Separated Meat (Msm) Chapter I: Requirements For Production Establishments Food business operators operating establishments producing minced meat, meat preparations or MSM must ensure that they: 1. are constructed so as to avoid contamination of meat and products, in particular by: (a) allowing constant progress of the operations; or (b) ensuring separation between the different production batches; 2. have rooms for the separate storage of packaged and exposed meat and products, unless stored at different times or in such a way that the packaging material and the manner of storage cannot be a source of contami nation for the meat or products; 3. have rooms equipped to ensure compliance with the temperature requirements laid down in Chapter III; 4. have equipment for washing hands used by staff handling exposed meat and products with taps designed to prevent the spread of contamination; and 5. have facilities for disinfecting tools with hot water supplied at not less than 82 °C, or an alternative system having an equivalent effect. ## Chapter Ii: Requirements For Raw Material Food business operators producing minced meat, meat preparations or MSM must ensure that the raw materials used satisfy the following requirements. 1. The raw material used to prepare minced meat must meet the following requirements. (a) It must comply with the requirements for fresh meat; (b) It must derive from skeletal muscle, including adherent fatty tissues; (c) It must not derive from: (i) scrap cuttings and scrap trimmings (other than whole muscle cuttings); (ii) MSM; (iii) meat containing bone fragments or skin; or (iv) meat of the head with the exception of the masseters, the nonmuscular part of the *linea alba*, the region of the carpus and the tarsus, bone scrapings and the muscles of the diaphragm (unless the serosa has been removed). 2. The following raw material may be used to prepare meat preparations: (a) fresh meat; (b) meat meeting the requirements of point 1; and (c) if the meat preparation is clearly not intended to be consumed without first undergoing heat treatment: (i) meat derived from the mincing or fragmentation of meat meeting the requirements of point 1 other than point 1(c)(i); and (ii) MSM meeting the requirements of Chapter III, point 3(d). 3. The raw material used to produce MSM must meet the following require ments. (a) It must comply with the requirements for fresh meat; (b) The following material must not be used to produce MSM: (i) for poultry, the feet, neckskin and head; and (ii) for other animals, the bones of the head, feet, tails, femur, tibia, fibula, humerus, radius and ulna. ## Chapter Iii: Hygiene During And After Production Food business operators producing minced meat, meat preparations or MSM must ensure compliance with the following requirements. 1. The work on meat must be organised in such a way as to prevent or minimise contamination. To this end, food business operators must ensure in particular that the meat used is: (a) at a temperature of not more than 4 °C for poultry, 3 °C for offal and 7 °C for other meat; and (b) brought into the preparation room progressively as needed. 2. The following requirements apply to the production of minced meat and meat preparations. (a) Unless the competent authority authorises boning immediately before mincing, frozen or deep-frozen meat used for the preparation of minced meat or meat preparations must be boned before freezing. It may be stored only for a limited period. (b) When prepared from chilled meat, minced meat must be prepared: (i) in the case of poultry, within no more than three days of their slaughter; (ii) in the case of animal other than poultry, within no more than six days of their slaughter; or (iii) within no more than 15 days from the slaughter of the animals in the case of boned, vacuum-packed beef and veal. (c) Immediately after production, minced meat and meat preparations must be wrapped or packaged and be: (i) chilled to an internal temperature of not more than 2 °C for minced meat and 4 °C for meat preparations; or (ii) frozen to an internal temperature of not more than -18 °C. These temperature conditions must be maintained during storage and transport. 3. The following requirements apply to the production and use of MSM produced using techniques that do not alter the structure of the bones used in the production of MSM and the calcium content of which is not significantly higher than that of minced meat. (a) Raw material for deboning from an on-site slaughterhouse must be no more than seven days old; otherwise, raw material for deboning must be no more than five days old. However, poultry carcases must be no more than three days old. (b) Mechanical separation must take place immediately after deboning. (c) If not used immediately after being obtained, MSM must be wrapped or packaged and then chilled to a temperature of not more than 2 °C or frozen to an internal temperature of not more than –18 °C. These temperature requirements must be maintained during storage and transport. (d) If the food business operator has carried out analyses demonstrating that MSM complies with the microbiological criteria for minced meat adopted in accordance with Regulation (EC) No 852/2004 it may be used in meat preparations that are clearly not intended to be consumed without first undergoing heat treatment and in meat products. (e) MSM not shown to comply with the criteria referred to in (d) may be used only to manufacture heat-treated meat products in establishments approved in accordance with this Regulation. 4. The following requirements apply to the production and use of MSM produced using techniques other than those mentioned in point 3. (a) Raw material for deboning from an on-site slaughterhouse must be no more than seven days old; otherwise, raw material for deboning must be no more than five days old. However, poultry carcases must be no more than three days old. (b) If mechanical separation does not take place immediately after deboning the flesh-bearing bones must be stored and transported at a temperature of not more than 2 °C or, if frozen, at a temperature of not more than -18 °C. (c) Flesh-bearing bones obtained from frozen carcases must not be refrozen. (d) If not used within one hour of being obtained, MSM must be chilled immediately to a temperature of not more than 2 °C. (e) If, after chilling, MSM is not processed within 24 hours, it must be frozen within 12 hours of production and reach an internal temperature of not more than –18 °C within six hours. (f) Frozen MSM must be wrapped or packaged before storage or transport, must not be stored for more than three months and must be maintained at a temperature of not more than –18 °C during storage and transport. (g) MSM may be used only to manufacture heat-treated meat products in establishments approved in accordance with this Regulation. 5. Minced meat, meat preparations and MSM must not be re-frozen after thawing. ## Chapter Iv: Labelling 1. In addition to the requirements of Directive 2000/13/EC ( 1 ), food business operators must ensure compliance with the requirement of point 2 if, and to the extent that, national rules in the Member State in the territory of which the product is placed on the market so require. 2. Packages intended for supply to the final consumer containing minced meat from poultry or solipeds or meat preparations containing MSM must bear a notice indicating that such products should be cooked before consumption. ## Section Vi: Meat Products 1. Food business operators must ensure that the following items are not used in the preparation of meat products: (a) genital organs of either female or male animals, except testicles; (b) urinary organs, except the kidneys and the bladder; (c) the cartilage of the larynx, the trachea and the extra-lobular bronchi; (d) eyes and eyelids; (e) the external auditory meatus; (f) horn tissue; and (g) in poultry, the head - except the comb and the ears, the wattles and caruncles - the oesophagus, the crop, the intestines and the genital organs. 2. All meat, including minced meat and meat preparations, used to produce meat product must meet the requirements for fresh meat. However, minced meat and meat preparations used to produce meat products need not satisfy other specific requirements of Section V. ## Section Vii: Live Bivalve Molluscs ▼M9 1. This Section applies to live bivalve molluscs. With the exception of the provisions on purification, it also applies to live echinoderms, live tunicates and live marine gastropods. Provisions on classification of production areas set out in Chapter II part A of that Section do not apply to marine gastropods which are not filter feeders. ▼C1 2. Chapters I to VIII apply to animals harvested from production areas that the competent authority has classified in accordance with Regulation (EC) No 854/2004. Chapter IX applies to pectinidae harvested outside those areas. 3. Chapters V, VI, VIII and IX, and point 3 of Chapter VII, apply to retail. 4. The requirements of this Section supplement those laid down in Regulation (EC) No 852/2004: (a) In the case of operations that take place before live bivalve molluscs arrive at a dispatch or purification centre, they supplement the requirements of Annex I to that Regulation. (b) In the case of other operations, they supplement the requirements of Annex II to that Regulation. ## Chapter I: General Requirements For The Placing On The Market Of Live Bivalve Molluscs 1. Live bivalve molluscs may not be placed on the market for retail sale otherwise than via a dispatch centre, where an identification mark must be applied in accordance with Chapter VII. 2. Food business operators may accept batches of live bivalve molluscs only if the documentary requirements set out in points 3 to 7 have been complied with. 3. Whenever a food business operator moves a batch of live bivalve molluscs between establishments, up to and including the arrival of the batch at a dispatch centre or processing establishment, a registration document must accompany the batch. 4. The registration document must be in at least one official language of the Member State in which the receiving establishment is located and contain at least the information specified below. (a) In the case of a batch of live bivalve molluscs sent from a production area, the registration document must contain at least the following information: (i) the gatherer's identity and address; (ii) the date of harvesting; (iii) the location of the production area described in as precise detail as is practicable or by a code number; (iv) the health status of the production area; (v) the shellfish species and quantity; and (vi) the destination of the batch. (b) In the case of a batch of live bivalve molluscs sent from a relaying area, the registration document must contain at least the information referred to in (a) and the following information: (i) the location of the relaying area; and (ii) the duration of relaying. (c) In the case of a batch of live bivalve molluscs sent from a purification centre, the registration document must contain at least the information referred to in (a) and the following information: (i) the address of the purification centre; (ii) the duration of purification; and (iii) the dates on which the batch entered and left the purification centre. 5. Food business operators sending batches of live bivalve molluscs must complete the relevant sections of the registration document so that they are easy to read and cannot be altered. Food business operators receiving batches must date-stamp the document on receipt of the batch or record the date of receipt in another manner. 6. Food business operators must keep a copy of the registration document relating to each batch sent and received for at least twelve months after its dispatch or receipt (or such longer period as the competent authority may specify). 7. However, if: (a) the staff gathering live bivalve molluscs also operate the dispatch centre, purification centre, relaying area or processing establishment receiving the live bivalve molluscs; and (b) a single competent authority supervises all the establishments concerned, registration documents are not necessary if that competent authority so permits. ## Chapter Ii: Hygiene Requirements For The Production And Harvesting Of Live Bivalve Molluscs A. Requirements For Production Areas 1. Gatherers may only harvest live bivalve molluscs from production areas with fixed locations and boundaries that the competent authority has classified - where appropriate, in cooperation with food business operators - as being of class A, B or C in accordance with Regulation (EC) No 854/2004. 2. Food business operators may place live bivalve molluscs collected from class A production areas on the market for direct human consumption only if they meet the requirements of Chapter V. 3. Food business operators may place live bivalve molluscs collected from class B production areas on the market for human consumption only after treatment in a purification centre or after relaying. 4. Food business operators may place live bivalve molluscs collected from class C production areas on the market for human consumption only after relaying over a long period in accordance with Part C of this Chapter. 5. After purification or relaying, live bivalve molluscs from class B or C production areas must meet all of the requirements of Chapter V. However, live bivalve molluscs from such areas that have not been submitted for purification or relaying may be sent to a processing establishment, where they must undergo treatment to eliminate pathogenic micro-organisms (where appropriate, after removal of sand, mud or slime in the same or another establishment). The permitted treatment methods are: (a) sterilisation in hermetically sealed containers; and (b) heat treatments involving: (i) immersion in boiling water for the period required to raise the internal temperature of the mollusc flesh to not less than 90 °C and maintenance of this minimum temperature for a period of not less than 90 seconds; (ii) cooking for three to five minutes in an enclosed space where the temperature is between 120 and 160 °C and the pressure is between 2 and 5 kg/cm 2 , followed by shelling and freezing of the flesh to a core temperature of - 20 °C; and (iii) steaming under pressure in an enclosed space satisfying the requirements relating to cooking time and the internal temperature of the mollusc flesh mentioned under (i). A validated methodology must be used. Procedures based on the HACCP principles must be in place to verify the uniform distribution of heat. 6. Food business operators must not produce live bivalve molluscs in, or harvest them from, areas that the competent authority has not classified, or which are unsuitable for health reasons. Food business operators must take account of any relevant information concerning areas' suitability for production and harvesting, including information obtained from ownchecks and the competent authority. They must use this information, particularly information on environmental and weather conditions, to determine the appropriate treatment to apply to harvested batches. ## B. Requirements For Harvesting And Handling Following Harvesting Food business operators harvesting live bivalve molluscs, or handling them immediately after harvesting, must ensure compliance with the following requirements. 1. Harvesting techniques and further handling must not cause additional contamination or excessive damage to the shells or tissues of the live bivalve molluscs or result in changes significantly affecting their suit ability for treatment by purification, processing or relaying. Food business operators must in particular: (a) adequately protect live bivalve molluscs from crushing, abrasion or vibration; (b) not expose live bivalve molluscs to extreme temperatures; (c) not re-immerse live bivalve molluscs in water that could cause additional contamination; and (d) if carrying out conditioning in natural sites, use only areas that the competent authority has classified as being of class A. 2. Means of transport must permit adequate drainage, be equipped to ensure the best survival conditions possible and provide efficient protection against contamination. ## C. Requirements For Relaying Live Bivalve Molluscs Food business operators relaying live bivalve molluscs must ensure compliance with the following requirements. 1. Food business operators may use only those areas that the competent authority has approved for relaying live bivalve molluscs. Buoys, poles or other fixed means must clearly identify the boundaries of the sites. There must be a minimum distance between relaying areas, and also between relaying areas and production areas, so as to minimise any risk of the spread of contamination. 2. Conditions for relaying must ensure optimal conditions for purification. In particular, food business operators must: (a) use techniques for handling live bivalve molluscs intended for relaying that permit the resumption of filter-feeding activity after immersion in natural waters; (b) not relay live bivalve molluscs at a density that prevents purifi cation; (c) immerse live bivalve molluscs in seawater at the relaying area for an appropriate period, fixed depending on the water temperature, which period must be of at least two months' duration unless the competent authority agrees to a shorter period on the basis of the food business operator's risk analysis; and (d) ensure sufficient separation of sites within a relaying area to prevent mixing of batches; the 'all in, all out' system must be used, so that a new batch cannot be brought in before the whole of the previous batch has been removed. 3. Food business operators managing relaying areas must keep permanent records of the source of live bivalve molluscs, relaying periods, relaying areas used and the subsequent destination of the batch after relaying, for inspection by the competent authority. ## Chapter Iii: Structural Requirements For Dispatch And Purification Centres 1. The location of premises on land must not be subject to flooding by ordinary high tides or run-off from surrounding areas. 2. Tanks and water storage containers must meet the following requirements: (a) Internal surfaces must be smooth, durable, impermeable and easy to clean. (b) They must be constructed so as to allow complete draining of water. (c) Any water intake must be situated in a position that avoids contami nation of the water supply. 3. In addition, in purification centres, purification tanks must be suitable for the volume and type of products to be purified. ## Chapter Iv: Hygiene Requirements For Purification And Dispatch Centres A. Requirements For Purification Centres Food business operators purifying live bivalve molluscs must ensure compliance with the following requirements. 1. Before purification commences, live bivalve molluscs must be washed free of mud and accumulated debris using clean water. 2. Operation of the purification system must allow live bivalve molluscs rapidly to resume and to maintain filter-feeding activity, to eliminate sewage contamination, not to become re-contaminated and to be able to remain alive in a suitable condition after purification for wrapping, storage and transport before being placed on the market. 3. The quantity of live bivalve molluscs to be purified must not exceed the capacity of the purification centre. The live bivalve molluscs must be continuously purified for a period sufficient to achieve compliance with allow the health standards of Chapter V and microbiological criteria adopted in accordance with Regulation (EC) No 852/2004. 4. Should a purification tank contain several batches of live bivalve molluscs, they must be of the same species and the length of the treatment must be based on the time required by the batch needing the longest period of purification. 5. Containers used to hold live bivalve molluscs in purification systems must have a construction that allows clean seawater to flow through. The depth of layers of live bivalve molluscs must not impede the opening of shells during purification. 6. No crustaceans, fish or other marine species may be kept in a purifi cation tank in which live bivalve molluscs are undergoing purification. 7. Every package containing purified live bivalve molluscs sent to a dispatch centre must be provided with a label certifying that all molluscs have been purified. ## B. Requirements For Dispatch Centres Food business operators operating dispatch centres must ensure compliance with the following requirements. 1. Handling of live bivalve molluscs, particularly conditioning, calibration, wrapping and packing, must not cause contamination of the product or affect the viability of the molluscs. 2. Before dispatch, the shells of live bivalve molluscs must be washed thoroughly with clean water. 3. Live bivalve molluscs must come from: (a) a class A production area; (b) a relaying area; (c) a purification centre; or (d) another dispatch centre. 4. The requirements laid down in points 1 and 2 also apply to dispatch centres situated on board vessels. Molluscs handled in such centres must come from a class A production area or a relaying area. ## Chapter V: Health Standards For Live Bivalve Molluscs In addition to ensuring compliance with microbiological criteria adopted in accordance with Regulation (EC) No 852/2004, food business operators must ensure that live bivalve molluscs placed on the market for human consumption meet the standards laid down in this Chapter. 1. They must have organoleptic characteristics associated with freshness and viability, including shells free of dirt, an adequate response to percussion and normal amounts of intravalvular liquid. 2. They must not contain marine biotoxins in total quantities (measured in the whole body or any part edible separately) that exceed the following limits: (a) for paralytic shellfish poison (PSP), 800 micrograms per kilogram; (b) for amnesic shellfish poison (ASP), 20 milligrams of domoic acid per kilogram; (c) for okadaic acid, dinophysistoxins and pectenotoxins together, 160 micrograms of okadaic acid equivalents per kilogram; ## ▼M14 (D) For Yessotoxins, 3,75 Milligrams Of Yessotoxin Equivalent Per Kilogram; ▼C1 And (e) for azaspiracids, 160 micrograms of azaspiracid equivalents per kilogram. ## Chapter Vi: Wrapping And Packaging Of Live Bivalve Molluscs 1. Oysters must be wrapped or packaged with the concave shell downwards. ▼M9 2. All packages of live bivalve molluscs leaving dispatch centres or destined for another dispatch centre, must be closed. Packages of live bivalve molluscs, intended for direct retail sale, must remain closed until they are presented for sale to the final consumer. ## ▼C1 Chapter Vii: Identification Marking And Labelling 1. The label, including the identification mark, must be waterproof. 2. In addition to the general requirements for identification marks contained in Annex II, Section I, the following information must be present on the label: (a) the species of bivalve mollusc (common name and scientific name); and (b) the date of packaging, comprising at least the day and the month. By way of derogation from Directive 2000/13/EC, the date of minimum durability may be replaced by the entry 'these animals must be alive when sold'. 3. The retailer must keep the label attached to the packaging of live bivalve molluscs that are not in individual consumer-size packages for at least 60 days after splitting up the contents. ## Chapter Viii: Other Requirements 1. Food business operators storing and transporting live bivalve molluscs must ensure that they are kept at a temperature that does not adversely affect food safety or their viability. 2. Live bivalve molluscs must not be re-immersed in, or sprayed with, water after they have been packaged for retail sale and left the dispatch centre. ## ▼M9 Chapter Ix: Specific Requirements For Pectinidae And Marine Gastropods Which Are Not Filter Feeders Harvested Outside Classified Production Areas Food business operators harvesting pectinidae and marine gastropods, which are not filter feeders, outside classified production areas or handling such pectinidae and/or such marine gastropods must comply with the following requirements: 1. Pectinidae and marine gastropods, which are not filter feeders, may not be placed on the market unless they are harvested and handled in accordance with Chapter II, Part B, and meet the standards laid down in Chapter V, as proved by a system of own-checks. 2. In addition, where data from official monitoring programmes enable the competent authority to classify fishing grounds - where appropriate, in cooperation with food business operators - the provisions of Chapter II, Part A, apply by analogy to pectinidae 3. Pectinidae and marine gastropods, which are not filter feeders, may not be placed on the market for human consumption otherwise than via a fish auction, a dispatch centre or a processing establishment. When they handle pectinidae and/or such marine gastropods, food business operators operating such establishments must inform the competent authority and, as regards dispatch centres, comply with the relevant requirements of Chapters III and IV. 4. Food business operators handling pectinidae and live marine gastropods, which are not filter feeders, must comply: (a) with the documentary requirements of Chapter I, points 3 to 7, where applicable. In this case, the registration document must clearly indicate the location of the area where the pectinidae and/or live marine gastropods were harvested; or (b) with the requirements of Chapter VI, point 2 concerning the closing of all packages of live pectinidae and live marine gastropods dispatched for retail sale and Chapter VII concerning identification marking and labelling. ▼M9 1. This Section does not apply to bivalve molluscs, echinoderms, tunicates and marine gastropods if they are still alive when placed on the market. With the exception of Chapters I and II, it applies to such animals when not placed on the market live, in which case they must have been obtained in accordance with Section VII. It applies to thawed unprocessed fishery products and fresh fishery products to which food additives have been added in accordance with the appropriate Union legislation. ▼M6 2. Chapter III, Parts A, C and D, Chapter IV, Part A and Chapter V apply to retail. ▼C1 3. The requirements of this Section supplement those laid down in Regulation (EC) No 852/2004: (a) In the case of establishments, including vessels, engaged in primary production and associated operations they supplement the requirements of Annex I to that Regulation. (b) In the case of other establishments, including vessels, they supplement the requirements of Annex II to that Regulation. ▼M6 (c) In the case of water supply, they supplement the requirements of Annex II, Chapter VII to that Regulation; clean seawater may be used for the handling and washing of fishery products, the production of ice used to chill fishery products and the rapid cooling of crustaceans and molluscs after their cooking. ▼M5 By way of derogation from point (a), point 7 of Part A of Annex I to Regulation (EC) No 852/2004 may not apply to operators engaged in small-scale coastal fishing within the meaning of Article 26(1) of Council Regulation (EC) No 1198/2006 ( 1 ), and carrying out their activities only for short periods of less than 24 hours. ## ▼C1 4. In Relation To Fishery Products: (a) primary production covers the farming, fishing and collection of live fishery products with a view to their being placed on the market; and (b) associated operations cover any of the following operations, if carried out on board fishing vessels: slaughter, bleeding, heading, gutting, removing fins, refrigeration and wrapping; they also include: 1. the transport and storage of fishery products the nature of which has not been substantially altered, including live fishery products, within fish farms on land; and 2. the transport of fishery products the nature of which has not been substantially altered, including live fishery products, from the place of production to the first establishment of destination. ## Chapter I: Requirements For Vessels Food business operators must ensure that: 1. vessels used to harvest fishery products from their natural environment, or to handle or process them after harvesting, comply with the structural and equipment requirements laid down in Part I; and 2. operations carried out on board vessels take place in accordance with the rules laid down in Part II. ## I. Structural And Equipment Requirements A. **Requirements For All Vessels** 1. Vessels must be designed and constructed so as not to cause contamination of the products with bilge-water, sewage, smoke, fuel, oil, grease or other objectionable substances. 2. Surfaces with which fishery products come into contact must be of suitable corrosion-resistant material that is smooth and easy to clean. Surface coatings must be durable and non-toxic. 3. Equipment and material used for working on fishery products must be made of corrosion-resistant material that is easy to clean and disinfect. 4. When vessels have a water intake for water used with fishery products, it must be situated in a position that avoids contamination of the water supply. B. Requirements for vessels designed and equipped to preserve fresh fishery products for more than 24 hours 1. Vessels designed and equipped to preserve fishery products for more than 24 hours must be equipped with holds, tanks or containers for the storage of fishery products at the temperatures laid down in Chapter VII. 2. Holds must be separated from the engine compartments and from the crew quarters by partitions which are sufficient to prevent any contamination of the stored fishery products. Holds and containers used for the storage of fishery products must ensure their preser vation under satisfactory conditions of hygiene and, where necessary, ensure that melt water does not remain in contact with the products. 3. In vessels equipped for chilling fishery products in cooled clean seawater, tanks must incorporate devices for achieving a uniform temperature throughout the tanks. Such devices must achieve a chilling rate that ensures that the mix of fish and clean seawater reaches not more than 3 °C six hours after loading and not more than 0 °C after 16 hours and allow the monitoring and, where necessary, recording of temperatures. ## C. **Requirements For Freezer Vessels** Freezer vessels must: 1. have freezing equipment with sufficient capacity to lower the temperature rapidly so as to achieve a core temperature of not more than -18 °C; 2. have refrigeration equipment with sufficient capacity to maintain fishery products in the storage holds at not more than -18 °C. Storage holds must be equipped with a temperature-recording device in a place where it can be easily read. The temperature sensor of the reader must be situated in the area where the temperature in the hold is the highest; and 3. meet the requirements for vessels designed and equipped to preserve fishery products for more than 24 hours laid down in Part B, point 2. ## D. **Requirements For Factory Vessels** 1. Factory vessels must have at least: (a) a receiving area reserved for taking fishery products on board, designed to allow each successive catch to be separated. This area must be easy to clean and designed so as to protect the products from the sun or the elements and from any source of contamination; (b) a hygienic system for conveying fishery products from the receiving area to the work area; (c) work areas that are large enough for the hygienic preparation and processing of fishery products, easy to clean and disinfect and designed and arranged in such a way as to prevent any contamination of the products; (d) storage areas for the finished products that are large enough and designed so that they are easy to clean. If a waste-processing unit operates on board, a separate hold must be designated for the storage of such waste; (e) a place for storing packaging materials that is separate from the product preparation and processing areas; (f) special equipment for disposing waste or fishery products that are unfit for human consumption directly into the sea or, where circumstances so require, into a watertight tank reserved for that purpose. If waste is stored and processed on board with a view to its sanitation, separate areas must be allocated for that purpose; (g) a water intake situated in a position that avoids contamination of the water supply; and (h) hand-washing equipment for use by the staff engaged in handling exposed fishery products with taps designed to prevent the spread of contamination. 2. However, factory vessels on board which crustaceans and molluscs are cooked, chilled and wrapped, need not meet the requirements of point 1 if no other form of handling or processing takes place on board such vessels. 3. Factory vessels that freeze fishery products must have equipment meeting the requirements for freezer vessels laid down in Part C, points 1 and 2. ## Ii. Hygiene Requirements 1. When in use, the parts of vessels or containers set aside for the storage of fishery products must be kept clean and maintained in good repair and condition. In particular, they must not be contaminated by fuel or bilge water. 2. As soon as possible after they are taken on board, fishery products must be protected from contamination and from the effects of the sun or any other source of heat. **►M6** __________ ◄ 3. Fishery products must be handled and stored so as to prevent bruising. Handlers may use spiked instruments to move large fish or fish which might injure them, provided that the flesh of the products suffers no damage. 4. Fishery products other than those kept alive must undergo chilling as soon as possible after loading. However, when chilling is not possible, fishery products must be landed as soon as possible. ## ▼M6 __________ 6. Where fish are headed and/or gutted on board, such operations must be carried out hygienically as soon as possible after capture, and the products must be washed immediately and thoroughly. In that event, the viscera and parts that may constitute a danger to public health must be removed as soon as possible and kept apart from products intended for human consumption. Livers and roes intended for human consumption must be preserved under ice, at a temperature approaching that of melting ice, or be frozen. ▼C1 7. Where freezing in brine of whole fish intended for canning is practised, a temperature of not more than - 9 °C must be achieved for the product. The brine must not be a source of contamination for the fish. ## Chapter Ii: Requirements During And After Landing 1. Food business operators responsible for the unloading and landing of fishery products must: (a) ensure that unloading and landing equipment that comes into contact with fishery products is constructed of material that is easy to clean and disinfect and maintained in a good state of repair and cleanliness; and (b) avoid contamination of fishery products during unloading and landing, in particular by: (i) carrying out unloading and landing operations rapidly; (ii) placing fishery products without delay in a protected environment at the temperature specified in Chapter VII; and (iii) not using equipment and practices that cause unnecessary damage to the edible parts of the fishery products. 2. Food business operators responsible for auction and wholesale markets or parts thereof where fishery products are displayed for sale must ensure compliance with the following requirements. (a) (i) There must be lockable facilities for the refrigerated storage of detained fishery products and separate lockable facilities for the storage of fishery products declared unfit for human consumption. (ii) If the competent authority so requires, there must be an adequately equipped lockable facility or, where needed, room for the exclusive use of the competent authority. (b) At the time of display or storage of fishery products: (i) the premises must not be used for other purposes; (ii) vehicles emitting exhaust fumes likely to impair the quality of fishery products must not have access to the premises; (iii) persons having access to the premises must not introduce other animals; and (iv) the premises must be well lit to facilitate official controls. 3. When chilling was not possible on board the vessel, fresh fishery products, other than those kept alive, must undergo chilling as soon as possible after landing and be stored at a temperature approaching that of melting ice. 4. Food business operators must cooperate with relevant competent authorities so as to permit them to carry out official controls in accordance with Regu lation (EC) No 854/2004, in particular as regards any notification procedures for the landing of fishery products that the competent authority of the Member State the flag of which the vessel is flying or the competent authority of the Member State where the fishery products are landed might consider necessary. ## Chapter Iii: Requirements For Establishments, Including Vessels, Handling Fishery Products Food business operators must ensure compliance with the following require ments, where relevant, in establishments handling fishery products. ## A. Requirements For Fresh Fishery Products 1. Where chilled, unpackaged products are not distributed, dispatched, prepared or processed immediately after reaching an establishment on land, they must be stored under ice in appropriate facilities. Re-icing must be carried out as often as necessary. Packaged fresh fishery products must be chilled to a temperature approaching that of melting ice. ▼M6 2. Operations such as heading and gutting must be carried out hygieni cally. Where gutting is possible from a technical and commercial view point, it must be carried out as quickly as possible after the products have been caught or landed. The products must be washed thoroughly immediately after these operations. ▼C1 3. Operations such as filleting and cutting must be carried out so as to avoid contamination or spoilage of fillets and slices. Fillets and slices must not remain on the worktables beyond the time necessary for their preparation. Fillets and slices must be wrapped and, where necessary, packaged and must be chilled as quickly as possible after their prep aration. 4. Containers used for the dispatch or storage of unpackaged prepared fresh fishery products stored under ice must ensure that melt water does not remain in contact with the products. 5. Whole and gutted fresh fishery products may be transported and stored in cooled water on board vessels. They may also continue to be trans ported in cooled water after landing, and be transported from aqua culture establishments, until they arrive at the first establishment on land carrying out any activity other than transport or sorting. ## ▼C1 B. Requirements For Frozen Products Establishments on land that freeze fishery products must have equipment that satisfies the requirements laid down for freezer vessels in Section VIII, Chapter I, part I. C, points 1 and 2. ## C. Requirements For Mechanically Separated Fishery Products Food business operators manufacturing mechanically separated fishery products must ensure compliance with the following requirements. 1. The raw materials used must satisfy the following requirements. (a) Only whole fish and bones after filleting may be used to produce mechanically separated fishery products; (b) All raw materials must be free from guts. 2. The manufacturing process must satisfy the following requirements: (a) Mechanical separation must take place without undue delay after filleting. (b) If whole fish are used, they must be gutted and washed beforehand. (c) After production, mechanically separated fishery products must be frozen as quickly as possible or incorporated in a product intended for freezing or a stabilising treatment. ## ▼M11 D. Requirements Concerning Parasites 1. Food business operators placing on the market the following fishery products derived from finfish or cephalopod molluscs: (a) fishery products intended to be consumed raw; or (b) marinated, salted and any other treated fishery products, if the treatment is insufficient to kill the viable parasite; must ensure that the raw material or finished product undergo a freezing treatment in order to kill viable parasites that may be a risk to the health of the consumer. 2. For parasites other than trematodes the freezing treatment must consist of lowering the temperature in all parts of the product to at least: (a) - 20 °C for not less than 24 hours; or (b) - 35 °C for not less than 15 hours. 3. Food business operators need not carry out the freezing treatment set out in point 1 for fishery products: (a) that have undergone, or are intended to undergo before consumption a heat treatment that kills the viable parasite. In the case of parasites other than trematodes the product is heated to a core temperature of 60 °C or more for at least one minute; (b) that have been preserved as frozen fishery products for a sufficiently long period to kill the viable parasites; (c) from wild catches, provided that: (i) there are epidemiological data available indicating that the fishing grounds of origin do not present a health hazard with regard to the presence of parasites; and (ii) the competent authority so authorises; (d) derived from fish farming, cultured from embryos and have been fed exclusively on a diet that cannot contain viable parasites that present a health hazard, and one of the following requirements is complied with: (i) have been exclusively reared in an environment that is free from viable parasites; or (ii) the food business operator verifies through procedures, approved by the competent authority, that the fishery products do not represent a health hazard with regard to the presence of viable parasites. 4. (a) When placing on the market, except when supplied to the final consumer, fishery products referred to in point 1 must be accom panied by a document issued by the food business operator performing the freezing treatment, stating the type of freezing treatment that the products have undergone. (b) Before placing on the market fishery products referred to in points 3(c) and (d) which have not undergone the freezing treatment or which are not intended to undergo before consumption a treatment that kills viable parasites that present a health hazard, a food business operator must ensure that the fishery products originate from a fishing ground or fish farming which complies with the specific conditions referred to in one of those points. This provision may be met by information in the commercial document or by any other information accompanying the fishery products. ## ▼M6 __________ Chapter Iv: Requirements For Certain Processed Fishery Products Food business operators must ensure compliance with the following requirements in establishments handling certain processed fishery products. ## A. Requirements For Cooking Of Crustaceans And Molluscs 1. Rapid cooling must follow cooking. If no other method of preservation is used, cooling must continue until a temperature approaching that of melting ice is reached. 2. Shelling or shucking must be carried out hygienically, avoiding contami nation of the product. Where such operations are done by hand, workers must pay particular attention to washing their hands. 3. After shelling or shucking, cooked products must be frozen immediately, or be chilled as soon as possible to the temperature set out in Chapter VII. ## B. Requirements For Fish Oil Intended For Human Consumption 1. Raw materials used in the preparation of fish oil for human consumption must: (a) come from establishments, including vessels, registered or approved pursuant to Regulation (EC) No 852/2004 or in accordance with this Regulation; (b) derive from fishery products which are fit for human consumption and which comply with the provisions set out in this Section; (c) be transported and stored in hygienic conditions; (d) be chilled as soon as possible and remain at the temperatures set out in Chapter VII. By way of derogation from point 1(d), the food business operator may refrain from chilling the fishery products when whole fishery products are used directly in the preparation of fish oil for human consumption, and the raw material is processed within 36 hours after loading, provided that the freshness criteria are met and the total volatile basic nitrogen (TVB- N) value of the unprocessed fishery products do not exceed the limits set out in point 1 of Chapter I of Section II of Annex II to Commission Regulation (EC) No 2074/2005 ( 1 ). 2. The production process for fish oil must ensure that all raw material intended for the production of crude fish oil is subject to a treatment including, where relevant, heating, pressing, separation, centrifugation, processing, refining and purification steps before being placed on the market for the final consumer. 3. Provided that the raw materials and the production process comply with the requirements applying to fish oil intended for human consumption a food business operator may produce and store both fish oil for human consumption and fish oil and fish meal not intended for human consumption in the same establishment. 4. Pending the establishment of specific Community legislation food business operators must ensure compliance with national rules for fish oil being placed on the market for the final consumer. ## ▼C1 Chapter V: Health Standards For Fishery Products In addition to ensuring compliance with microbiological criteria adopted in accordance with Regulation (EC) No 852/2004, food business operators must ensure, depending on the nature of the product or the species, that fishery products placed on the market for human consumption meet the standards laid down in this Chapter. **►M6** The requirements of Parts B and D shall not apply to whole fishery products that are used directly for the preparation of fish oil intended for human consumption. ◄ ## A. Organoleptic Properties Of Fishery Products Food business operators must carry out an organoleptic examination of fishery products. In particular, this examination must ensure that fishery products comply with any freshness criteria. ## B. Histamine Food business operators must ensure that the limits with regard to histamine are not exceeded. ## C. Total Volatile Nitrogen Unprocessed fishery products must not be placed on the market if chemical tests reveal that the limits with regard to TVB-N or TMA-N have been exceeded. ## D. Parasites Food business operators must ensure that fishery products have been subjected to a visual examination for the purpose of detecting visible parasites before being placed on the market. They must not place fishery products that are obviously contaminated with parasites on the market for human consumption. ## ▼C1 E. Toxins Harmful To Human Health ▼M6 1. Fishery products derived from poisonous fish of the following families must not be placed on the market: Tetraodontidae, Molidae, Diodontidae and Canthigasteridae. Fresh, prepared, frozen and processed fishery products belonging to the family *Gempylidae*, in particular *Ruvettus pretiosus* and Lepidocybium flavobrunneum, may only be placed on the market in wrapped/packaged form and must be appropriately labelled to provide information to the consumer on preparation/cooking methods and on the risk related to the presence of substances with adverse gastrointestinal effects. The scientific name of the fishery products must accompany the common name on the label. ▼C1 2. Fishery products containing biotoxins such as ciguatoxin or muscle-para lysing toxins must not be placed on the market. However, fishery products derived from bivalve molluscs, echinoderms, tunicates and marine gastropods may be placed on the market if they have been produced in accordance with Section VII and comply with the standards laid down in Chapter V, point 2, of that section. ## Chapter Vi: Wrapping And Packaging Of Fishery Products 1. Receptacles in which fresh fishery products are kept under ice must be water-resistant and ensure that melt-water does not remain in contact with the products. 2. Frozen blocks prepared on board vessels must be adequately wrapped before landing. 3. When fishery products are wrapped on board fishing vessels, food business operators must ensure that wrapping material: (a) is not a source of contamination; (b) is stored in such a manner that it is not exposed to a risk of contami nation; (c) intended for re-use is easy to clean and, where necessary, to disinfect. ## Chapter Vii: Storage Of Fishery Products Food business operators storing fishery products must ensure compliance with the following requirements. 1. Fresh fishery products, thawed unprocessed fishery products, and cooked and chilled products from crustaceans and molluscs, must be maintained at a temperature approaching that of melting ice. ▼M9 2. Frozen fishery products must be kept at a temperature of not more than - 18 °C in all parts of the product; however, whole fish initially frozen in brine intended for the manufacture of canned food may be kept at a temperature of not more than - 9 °C. ▼C1 3. Fishery products kept alive must be kept at a temperature and in a manner that does not adversely affect food safety or their viability. ## Chapter Viii: Transport Of Fishery Products Food business operators transporting fishery products must ensure compliance with the following requirements. 1. During transport, fishery products must be maintained at the required temperature. In particular: (a) fresh fishery products, thawed unprocessed fishery products, and cooked and chilled products from crustaceans and molluscs, must be maintained at a temperature approaching that of melting ice; (b) frozen fishery products, with the exception of whole fish initially frozen in brine intended for the manufacture of canned food, must be main tained during transport at an even temperature of not more than - 18 °C in all parts of the product, possibly with short upward fluctuations of not more than 3 °C. ▼C1 2. Food business operators need not comply with point 1(b) when frozen fishery products are transported from a cold store to an approved estab lishment to be thawed on arrival for the purposes of preparation and/or processing, if the journey is short and the competent authority so permits. 3. If fishery products are kept under ice, melt water must not remain in contact with the products. 4. Fishery products to be placed on the market live must be transported in such a way as not adversely to affect food safety or their viability. ## ▼M3 Section Ix: Raw Milk, Colostrum, Dairy Products And Colostrum-Based Products For the purpose of this Section, 1. 'Colostrum' means the fluid secreted by the mammary glands of milkproducing animals up to three to five days post parturition that is rich in antibodies and minerals, and precedes the production of raw milk. 2. 'Colostrum-based products' means processed products resulting from the processing of colostrum or from the further processing of such processed products. ## Chapter I: Raw Milk And Colostrum - Primary Production Food business operators producing or, as appropriate, collecting raw milk and colostrum must ensure compliance with the requirements laid down in this Chapter. ## I. Health Requirements For Raw Milk And Colostrum Production 1. Raw milk and colostrum must come from animals: (a) that do not show any symptoms of infectious diseases communicable to humans through milk and colostrum; (b) that are in a good general state of health, present no sign of disease that might result in the contamination of milk and colostrum and, in particular, are not suffering from any infection of the genital tract with discharge, enteritis with diarrhoea and fever, or a recognisable inflammation of the udder; (c) that do not have any udder wound likely to affect the milk and colostrum; (d) to which no unauthorised substances or products have been admin istered and that have not undergone illegal treatment within the meaning of Directive 96/23/EC; (e) in respect of which, where authorised products or substances have been administered, the withdrawal periods prescribed for these products or substances have been observed. 2. (a) In particular, as regards brucellosis, raw milk and colostrum must come from: (i) cows or buffaloes belonging to a herd which, within the meaning of Directive 64/432/EEC ( 1 ), is free or officially free of brucellosis; (ii) sheep or goats belonging to a holding officially free or free of brucellosis within the meaning of Directive 91/68/EEC ( 2 ); or (iii) females of other species belonging, for species susceptible to brucellosis, to herds regularly checked for that disease under a control plan that the competent authority has approved. (b) As regards tuberculosis, raw milk and colostrum must come from: (i) cows or buffaloes belonging to a herd which, within the meaning of Directive 64/432/EEC, is officially free of tubercu losis; or (ii) females of other species belonging, for species susceptible to tuberculosis, to herds regularly checked for this disease under a control plan that the competent authority has approved. (c) If goats are kept together with cows, such goats must be inspected and tested for tuberculosis. 3. However, raw milk from animals that does not meet the requirements of point 2 may be used with the authorisation of the competent authority: (a) in the case of cows or buffaloes that do not show a positive reaction to tests for tuberculosis or brucellosis, nor any symptoms of these diseases, after having undergone a heat treatment such as to show a negative reaction to the alkaline phosphatase test; (b) in the case of sheep or goats that do not show a positive reaction to tests for brucellosis, or which have been vaccinated against brucellosis as part of an approved eradication programme, and which do not show any symptom of that disease, either: (i) for the manufacture of cheese with a maturation period of at least two months; or (ii) after having undergone heat treatment such as to show a negative reaction to the alkaline phosphatase test; and (c) in the case of females of other species that do not show a positive reaction to tests for tuberculosis or brucellosis, nor any symptoms of these diseases, but belong to a herd where brucellosis or tuber culosis has been detected after the checks referred to in point 2(a)(iii) or 2(b)(ii), if treated to ensure its safety. 4. Raw milk and colostrum from any animal not complying with the appropriate requirements of points 1 to 3, and in particular, any animal showing individually a positive reaction to the prophylactic tests vis-à-vis tuberculosis or brucellosis as laid down in Directive 64/432/EEC and Directive 91/68/EEC, must not be used for human consumption. 5. The isolation of animals that are infected, or suspected of being infected, with any of the diseases referred to in point 1 or 2 must be effective to avoid any adverse effect on other animals' milk and colostrum. ## Ii. Hygiene On Milk And Colostrum Production Holdings A. **Requirements For Premises And Equipment** 1. Milking equipment and premises where milk and colostrum are stored, handled or cooled must be located and constructed so as to limit the risk of contamination of milk and colostrum. 2. Premises for the storage of milk and colostrum must be protected against vermin, have adequate separation from premises where animals are housed and, where necessary to meet the requirements laid down in Part B, have suitable refrigeration equipment. 3. Surfaces of equipment that are intended to come into contact with milk and colostrum (utensils, containers, tanks, etc. intended for milking, collection or transport) must be easy to clean and, where necessary, disinfect and must be maintained in a sound condition. This requires the use of smooth, washable and non-toxic materials. 4. After use, such surfaces must be cleaned and, where necessary, disinfected. After each journey, or after each series of journeys when the period of time between unloading and the following loading is very short, but in all cases at least once a day, containers and tanks used for the transport of milk and colostrum must be cleaned and disinfected in an appropriate manner before re-use. ## B. **Hygiene During Milking, Collection And Transport** 1. Milking must be carried out hygienically, ensuring in particular: (a) that, before milking starts, the teats, udder and adjacent parts are clean; (b) that milk and colostrum from each animal is checked for orga noleptic or physico-chemical abnormalities by the milker or a method achieving similar results and that milk and colostrum presenting such abnormalities is not used for human consumption; (c) that milk and colostrum from animals showing clinical signs of udder disease are not used for human consumption otherwise than in accordance with the instructions of a veterinarian; (d) the identification of animals undergoing medical treatment likely to transfer residues to the milk and colostrum, and that milk and colostrum obtained from such animals before the end of the prescribed withdrawal period are not used for human consumption; and (e) that teat dips or sprays are used only after authorisation or registration in accordance with the procedures laid down in Directive 98/8/EC of the European Parliament and of the Council of 16 February 1998 concerning the placing of biocidal products on the market ( 1 ): (f) that colostrum is milked separately and not mixed together with raw milk. 2. Immediately after milking, milk and colostrum must be held in a clean place designed and equipped to avoid contamination. (a) Milk must be cooled immediately to not more than 8 o C in the case of daily collection, or not more than 6 o C if collection is not daily; (b) Colostrum must be stored separately and immediately cooled to not more than 8 o C in the case of daily collection, or not more than 6 o C if collection is not daily, or frozen. 3. During transport the cold chain must be maintained and, on arrival at the establishment of destination, the temperature of the milk and the colostrum must not be more than 10 o C. 4. Food business operators need not comply with the temperature requirements laid down in points 2 and 3 if the milk meets the criteria provided for in Part III and either: (a) the milk is processed within two hours of milking; or (b) a higher temperature is necessary for technological reasons related to the manufacture of certain dairy products and the competent authority so authorises. ## C. **Staff Hygiene** 1. Persons performing milking and/or handling raw milk and colostrum must wear suitable clean clothes. 2. Persons performing milking must maintain a high degree of personal cleanliness. Suitable facilities must be available near the place of milking to enable persons performing milking and handling raw milk and colostrum to wash their hands and arms. ## Iii. Criteria For Raw Milk And Colostrum 1. (a) The following criteria for raw milk apply pending the establishment of standards in the context of more specific legislation on the quality of milk and dairy products. (b) National criteria for colostrum, as regards plate count, somatic cell count or antibiotic residues, apply pending the establishment of specific Community legislation. 2. A representative number of samples of raw milk and colostrum collected from milk production holdings taken by random sampling must be checked for compliance with points 3 and 4 in case of raw milk and with the existing national criteria referred to in point 1(b) in case of colostrum. The checks may be carried out by, or on behalf of: (a) the food business operator producing the milk; (b) the food business operator collecting or processing the milk; (c) a group of food business operators; or (d) in the context of a national or regional control scheme. 3. (a) Food business operators must initiate procedures to ensure that raw milk meets the following criteria: (i) for raw cows' milk: Plate count at 30 o C (per ml) ≤ 100 000 (*) Somatic cell count (per ml) ≤ 400 000 (**) (*) Rolling geometric average over a two-month period, with at least two samples per month. (**) Rolling geometric average over a three-month period, with at least one sample per month, unless the competent authority specifies another methodology to take account of seasonal variations in production levels. (ii) for raw milk from other species: Plate count at 30 o C (per ml) ≤ 1 500 000 (*) (*) Rolling geometric average over a two-month period, with at least two samples per month. (b) However, if raw milk from species other than cows is intended for the manufacture of products made with raw milk by a process that does not involve any heat treatment, food business operators must take steps to ensure that the raw milk used meets the following criterion: Plate count at 30 o C (per ml) ≤ 500 000 (*) (*) Rolling geometric average over a two-month period, with at least two samples per month. 4. Without prejudice to Directive 96/23/EC, food business operators must initiate procedures to ensure that raw milk is not placed on the market if either: (a) it contains antibiotic residues in a quantity that, in respect of any one of the substances referred to in Annexes I and III to Regulation (EEC) No 2377/90 ( 1 ), exceeds the levels authorised under that Regulation; or (b) the combined total of residues of antibiotic substances exceeds any maximum permitted value. 5. When raw milk fails to comply with point 3 or 4, the food business operator must inform the competent authority and take measures to correct the situation. ## Chapter Ii: Requirements Concerning Dairy And Colostrum-Based Products I. Temperature Requirements 1. Food business operators must ensure that, upon acceptance at a processing establishment, (a) milk is quickly cooled to not more than 6 o C; (b) colostrum is quickly cooled to not more than 6 o C or maintained frozen, and kept at that temperature until processed. 2. However, food business operators may keep milk and colostrum at a higher temperature if: (a) processing begins immediately after milking, or within four hours of acceptance at the processing establishment; or (b) the competent authority authorises a higher temperature for tech nological reasons concerning the manufacture of certain dairy or colostrum-based products. ## Ii. Requirements For Heat Treatment 1. When raw milk, colostrum, dairy or colostrum-based products undergo heat treatment, food business operators must ensure that this satisfies the requirements laid down in Chapter XI of Annex II to Regulation (EC) No 852/2004. In particular, they shall ensure, when using the following processes, that they comply with the specifications mentioned: (a) Pasteurisation is achieved by a treatment involving: (i) a high temperature for a short time (at least 72 o C for 15 seconds); (ii) a low temperature for a long time (at least 63 o C for 30 minutes); or (iii) any other combination of time-temperature conditions to obtain an equivalent effect, such that the products show, where applicable, a negative reaction to an alkaline phosphatase test immediately after such treatment. (b) Ultra high temperature (UHT) treatment is achieved by a treatment: (i) involving a continuous flow of heat at a high temperature for a short time (not less than 135 o C in combination with a suitable holding time) such that there are no viable microorganisms or spores capable of growing in the treated product when kept in an aseptic closed container at ambient temperature, and (ii) sufficient to ensure that the products remain microbiologically stable after incubating for 15 days at 30 o C in closed containers or for seven days at 55 o C in closed containers or after any other method demonstrating that the appropriate heat treatment has been applied. 2. When considering whether to subject raw milk and colostrum to heat treatment, food business operators must: (a) have regard to the procedures developed in accordance with the HACCP principles pursuant to Regulation (EC) No 852/2004; and (b) comply with any requirements that the competent authority may impose in this regard when approving establishments or carrying out checks in accordance with Regulation (EC) No 854/2004. ## Iii. Criteria For Raw Cows' Milk ▼M6 1. Food business operators manufacturing dairy products must initiate procedures to ensure that, immediately before being heat treated and if its period of acceptance specified in the HACCP-based procedures is exceeded: (a) raw cows' milk used to prepare dairy products has a plate count at 30 °C of less than 300 000 per ml; and (b) heat treated cows' milk used to prepare dairy products has a plate count at 30 °C of less than 100 000 per ml. ▼M3 2. When milk fails to meet the criteria laid down in paragraph 1, the food business operator must inform the competent authority and take measures to correct the situation. ## Chapter Iii: Wrapping And Packaging Sealing of consumer packages must be carried out immediately after filling in the establishment where the last heat treatment of liquid dairy products and colostrum-based products, takes place by means of sealing devices that prevent contamination. The sealing system must be designed in such a way that, after opening, the evidence of its opening remains clear and easy to check. ## Chapter Iv: Labelling 1. In addition to the requirements of Directive 2000/13/EC, except in the cases envisaged in Article 13(4) and (5) of that Directive, labelling must clearly show: (a) in the case of raw milk intended for direct human consumption, the words 'raw milk'; (b) in the case of products made with raw milk, the manufacturing process for which does not include any heat treatment or any physical or chemical treatment, the words 'made with raw milk'; (c) in case of colostrum, the word 'colostrum'; (d) in case of products made with colostrum, the words 'made with colos trum'. 2. The requirements of paragraph 1 apply to products destined for retail trade. The term 'labelling' includes any packaging, document, notice, label, ring or collar accompanying or referring to such products. ## ▼M3 Chapter V: Identification Marking By way of derogation from the requirements of Annex II, Section I: 1. rather than indicating the approval number of the establishment, the identi fication mark may include a reference to where on the wrapping or packaging the approval number of the establishment is indicated; 2. in the case of the reusable bottles, the identification mark may indicate only the initials of the consigning country and the approval number of the estab lishment. ## ▼C1 Section X: Eggs And Egg Products Chapter I: Eggs 1. At the producer's premises, and until sale to the consumer, eggs must be kept clean, dry, free of extraneous odour, effectively protected from shocks and out of direct sunshine. ▼M6 2. Eggs must be stored and transported until sale to the final consumer at a temperature, preferably constant, that is best suited to assure optimal conser vation of their hygiene properties, unless the competent authority imposes national temperature requirements for egg storage facilities and for vehicles transporting eggs between such storage facilities. ▼C1 3. Eggs must be delivered to the consumer within a maximum time limit of 21 days of laying. ## Chapter Ii: Egg Products I. Requirements For Establishments Food business operators must ensure that establishments for the manufacture of egg products are constructed, laid out and equipped so as to ensure separation of the following operations: 1. washing, drying and disinfecting dirty eggs, where carried out; 2. breaking eggs, collecting their contents and removing parts of shells and membranes; and 3. operations other than those referred to in points 1 and 2. ## Ii. Raw Materials For The Manufacture Of Egg Products Food business operators must ensure that raw materials used to manufacture egg products comply with the following requirements. ▼M6 1. The shells of eggs used in the manufacture of egg products must be fully developed and contain no breaks. However, cracked eggs may be used for the manufacture of liquid egg or egg products if the estab lishment of production or a packing centre delivers them directly to an establishment approved for the manufacture of liquid egg or a processing establishment, where they must be broken as soon as possible. ▼C1 2. Liquid egg obtained in an establishment approved for that purpose may be used as raw material. Liquid egg must be obtained in accordance with the requirements of points 1, 2, 3, 4 and 7 of Part III. ## ▼C1 Iii. Special Hygiene Requirements For The Manufacture Of Egg Products Food business operators must ensure that all operations are carried out in such a way as to avoid any contamination during production, handling and storage of egg products, in particular by ensuring compliance with the following requirements. 1. Eggs must not be broken unless they are clean and dry. 2. Eggs must be broken in a manner that minimises contamination, in particular by ensuring adequate separation from other operations. Cracked eggs must be processed as soon as possible. | 3. | Eggs other than those of hens, turkeys or guinea fowl must be handled | |--------------------------------------------------------------------------|--------------------------------------------------------------------------| | and processed separately. All equipment must be cleaned and | | | disinfected before processing of hens', turkeys' and guinea fowls' eggs | | | is resumed. | | | 4. | Egg contents may not be obtained by the centrifuging or crushing of | | eggs, nor may centrifuging be used to obtain the remains of egg whites | | | from empty shells for human consumption. | | | | | | ▼M1 | | | | | | 5. | After breaking, each particle of the liquid egg must undergo processing | | as quickly as possible to eliminate microbiological hazards or to reduce | | | them to an acceptable level. A batch that has been insufficiently | | | processed may immediately undergo processing again in the same estab | | | lishment if this processing renders it fit for human consumption. Where | | | a batch is found to be unfit for human consumption, it must be | | | denatured to ensure that it is not used for human consumption. | | | | | | ▼C1 | | | | | | 6. | Processing is not required for egg white intended for the manufacture of | | dried or crystallised albumin destined subsequently to undergo heat | | | treatment. | | | 7. | If processing is not carried out immediately after breaking, liquid egg | | must be stored either frozen or at a temperature of not more than 4 °C. | | | The storage period before processing at 4 °C must not exceed 48 hours. | | | However, these requirements do not apply to products to be de-sugared, | | | if de-sugaring process is performed as soon as possible. | | 8. Products that have not been stabilised so as to be kept at room temperature must be cooled to not more than 4 °C. Products for freezing must be frozen immediately after processing. ## Iv. Analytical Specifications 1. The concentration of 3-OH-butyric acid must not exceed 10 mg/kg in the dry matter of the unmodified egg product. 2. The lactic acid content of raw material used to manufacture egg products must not exceed 1 g/kg of dry matter. However, for fermented products, this value must be the one recorded before the fermentation process. 3. The quantity of eggshell remains, egg membranes and any other particles in the processed egg product must not exceed 100 mg/kg of egg product. ## ▼C1 V. Labelling And Identification Marking 1. In addition to the general requirements for identification marking laid down in Annex II, Section I, consignments of egg products, destined not for retail but for use as an ingredient in the manufacture of another product, must have a label giving the temperature at which the egg products must be maintained and the period during which conservation may thus be assured. ▼M1 2. In the case of liquid egg, the label referred to in point 1 must also bear the words: 'non-pasteurised liquid egg - to be treated at place of destination' and indicate the date and hour of breaking. ## ▼C1 Section Xi: Frogs' Legs And Snails Food business operators preparing frogs' legs or snails for human consumption must ensure compliance with the following requirements. 1. Frogs and snails must be killed in an establishment constructed, laid out and equipped for that purpose. 2. Establishment in which frogs' legs are prepared must have a room reserved for the storage and washing of live frogs, and for their slaughter and bleeding. This room must be physically separate from the preparation room. 3. Frogs and snails that die otherwise than by being killed in the establishment must not be prepared for human consumption. 4. Frogs and snails must be subjected to an organoleptic examination carried out by sampling. If that examination indicates that they might present a hazard, they must not be used for human consumption. 5. Immediately following preparation, frogs' legs must be washed fully with running potable water and immediately chilled to a temperature approaching that of melting ice, frozen or processed. 6. After killing, snails' hepato-pancreas must, if it might present a hazard, be removed and not be used for human consumption. ## Section Xii: Rendered Animal Fats And Greaves Chapter I: Requirements Applicable To Establishments Collecting Or Processing Raw Materials Food business operators must ensure that establishments collecting or processing raw materials for the production of rendered animal fats and greaves comply with the following requirements. 1. Centres for the collection of raw materials and further transport to processing establishments must be equipped with facilities for the storage of raw materials at a temperature of not more than 7 °C. 2. Each processing establishment must have: (a) refrigeration facilities; (b) a dispatch room, unless the establishment dispatches rendered animal fat only in tankers; and (c) if appropriate, suitable equipment for the preparation of products consisting of rendered animal fats mixed with other foodstuffs and/or seasonings. 3. However, the refrigeration facilities required under points 1 and 2(a) are not necessary if the arrangements for the supply of raw materials ensure that they are never stored or transported without active refrigeration otherwise than as provided for in Chapter II, point 1(d). ## Chapter Ii: Hygiene Requirements For The Preparation Of Rendered Animal Fat And Greaves Food business operators preparing rendered animal fats and greaves must ensure compliance with the following requirements. 1. Raw materials must: (a) derive from animals which have been slaughtered in a slaughterhouse, and which have been found fit for human consumption following antemortem and post-mortem inspection; (b) consist of adipose tissues or bones, which are reasonably free from blood and impurities; (c) come from establishments registered or approved pursuant to Regulation (EC) No 852/2003 or in accordance with this Regulation; and (d) be transported, and stored until rendering, in hygienic conditions and at an internal temperature of not more than 7 °C. However, raw materials may be stored and transported without active refrigeration if rendered within 12 hours after the day on which they were obtained. 2. During rendering the use of solvents is prohibited. 3. When the fat for refining meets the standards laid down in point 4, rendered animal fat prepared in accordance with points 1 and 2 may be refined in the same establishment or in another establishment with a view to improving its physico-chemical quality. 4. Rendered animal fat, depending on type, must meet the following standards: | Ruminants | Porcine animals | Other animal fat | | |----------------------|--------------------|--------------------|----------| | Edible tallow | | | | | Tallow for | | | | | refining | | | | | Edible fat | | | | | Lard and | | | | | other fat | | | | | for refining | | | | | Edible | | | | | For | | | | | refining | | | | | Premier | | | | | jus ( | | | | | | | | | | 1 | | | | | | | | | | ) | | | | | Other | Lard ( | | | | | | | | | 2 | | | | | | | | | | ) | | | | | Other | | | | | | | | | | FFA (m/m % oleic | | | | | acid) maximum | | | | | 0,75 | 1,25 | 3,0 | 0,75 | | Peroxide maximum | 4 meq/kg | 4 meq/kg | 6 meq/kg | | Total | insoluble | | | | impurities | | | | | Maximum 0,15 % | Maximum 0,5 % | | | | Odour, taste, colour | Normal | | | | | | | | ( 1 ) Rendered animal fat obtained by low-temperature rendering of fresh fat from the heart, caul, kidneys and mesentery of bovine animals, and fat from cutting rooms. ( 2 ) Rendered animal fat obtained from the adipose tissues of porcine animals. 5. Greaves intended for human consumption must be stored in accordance with the following temperature requirements. (a) When greaves are rendered at a temperature of not more than 70 °C, they must be stored: (i) at a temperature of not more than 7 °C for a period not exceeding 24 hours; or (ii) at a temperature of not more than –18 °C. (b) When greaves are rendered at a temperature of more than 70 °C and have a moisture content of 10 % (m/m) or more, they must be stored: (i) at a temperature of not more than 7 °C for a period not exceeding 48 hours or a time/temperature ratio giving an equivalent guarantee; or (ii) at a temperature of not more than –18 °C. (c) When greaves are rendered at a temperature of more than 70 °C and have a moisture content of less than 10 % (m/m), there are no specific requirements. ## Section Xiii: Treated Stomachs, Bladders And Intestines Food business operators treating stomachs, bladders and intestines must ensure compliance with the following requirements. 1. Animal intestines, bladders and stomachs may be placed on the market only if: (a) they derive from animals which have been slaughtered in a slaughter house, and which have been found fit for human consumption following ante-mortem and post-mortem inspection; (b) they are salted, heated or dried; and (c) after the treatment referred to in (b), effective measures are taken to prevent re-contamination. 2. Treated stomachs, bladders and intestines that cannot be kept at ambient temperature must be stored chilled using facilities intended for that purpose until their dispatch. In particular, products that are not salted or dried must be kept at a temperature of not more than 3 °C. ## Section Xiv: Gelatine 1. Food business operators manufacturing gelatine must ensure compliance with the requirements of this section. 2. For the purpose of this section, 'tanning' means the hardening of hides, using vegetable tanning agents, chromium salts or other substances such as aluminium salts, ferric salts, silicic salts, aldehydes and quinones, or other synthetic hardening agents. ## Chapter I: Requirements For Raw Materials 1. For the production of gelatine intended for use in food, the following raw materials may be used: ▼M9 (a) bones, other than specified risk materials as defined in Article 3(1)(g) of Regulation (EC) No 999/2001 of the European Parliament and of the Council ( 1 ); ▼C1 (b) hides and skins of farmed ruminant animals; (c) pig skins; (d) poultry skin; (e) tendons and sinews; (f) wild game hides and skins; and (g) fish skin and bones. 2. The use of hides and skins is prohibited if they have undergone any tanning process, regardless of whether this process was completed. 3. Raw materials listed in point 1(a) to (e) must derive from animals which have been slaughtered in a slaughterhouse and whose carcases have been found fit for human consumption following ante-mortem and post-mortem inspection or, in the case of hides and skins from wild game, found fit for human consumption. ▼M18 4. (a) Raw materials that have not undergone any preserving treatment other than chilling, freezing or quick-freezing must come from establishments registered or approved pursuant to Regulation (EC) No 852/2004 or in accordance with this Regulation, (b) The following treated raw materials may be used: (i) bones other than specified risk material as defined in Article 3(1)(g) of Regulation (EC) No 999/2001 coming from establishments under the control of and listed by the competent authority, and that have been subjected to one of the following treatments: - crushed to pieces of approximately 15 mm and degreased with hot water at a temperature of minimum 70 °C for at least 30 minutes, minimum 80 C for at least 15 minutes, or minimum 90 °C for at least 10 minutes, and then separated and subsequently washed and dried for at least 20 minutes in a stream of hot air with an initial temperature of minimum 350 °C, or for 15 minutes in a stream of hot air with an initial temperature of more than 700 °C, - sun-dried for a minimum of 42 days at an average temperature of at least 20 °C, - acid treatment such that the pH is maintained at less than 6 to the core for at least 1 hour before drying; (ii) hides and skins of farmed ruminant animals, pig skins, poultry skins and wild game hides and skins coming from establishments under the control of and listed by the competent authority, and that have been subjected to one of the following treatments: - treatment with alkali to establish a pH > 12 to the core followed by salting for at least 7 days, - drying for at least 42 days at a temperature of at least 20 °C, - acid treatment such that the pH is maintained at less than 5 to the core for a minimum of 1 hour, - alkali treatment throughout at a pH > 12 for at least 8 hours; (iii) bones other than specified risk material defined in Article 3(1)(g) of Regulation (EC) No 999/2001, hides and skins of farmed ruminant animals, pig skins, poultry skins, fish hides and wild game hides and skins that have undergone any other treatment than those specified in point (i) or (ii) and that come from establishments registered or approved pursuant to Regulation (EC) No 852/2004 or in accordance with this Regulation. For the purposes of the first 2 indents of point (b)(ii), the duration of the treatments may include the time of transportation. The treated raw materials referred to in points (b)(i) and (b)(ii) must be derived from: - domestic and farmed ruminant animals, pigs and poultry which have been slaughtered in a slaughterhouse and the carcasses of which have been found fit for human consumption following ante- and post-mortem inspection, or - from killed wild game whose carcasses have been found fit for human consumption following post-mortem inspection. ▼C1 5. Collection centres and tanneries may also supply raw material for the production of gelatine intended for human consumption if the competent authority specifically authorises them for this purpose and they fulfil the following requirements. (a) They must have storage rooms with hard floors and smooth walls that are easy to clean and disinfect and, where appropriate, provided with refrigeration facilities. (b) The storage rooms must be kept in a satisfactory state of cleanliness and repair, so that they do not constitute a source of contamination for the raw materials. (c) If raw material not in conformity with this chapter is stored and/or processed in these premises, it must be segregated from raw material in conformity with this chapter throughout the period of receipt, storage, processing and dispatch. ## Chapter Ii: Transport And Storage Of Raw Materials 1. In place of the identification mark provided for in Annex II, Section I, a document indicating the establishment of origin and containing the information set out in the Appendix to this Annex must accompany raw materials during transport, when delivered to a collection centre or tannery and when delivered to the gelatine-processing establishment. 2. Raw materials must be transported and stored chilled or frozen unless they are processed within 24 hours after their departure. However, degreased and dried bones or ossein, salted, dried and limed hides, and hides and skins treated with alkali or acid may be transported and stored at ambient temperature. ▼M18 3. After the veterinary checks provided for in Directive 97/78/EC, and without prejudice to the conditions laid down in Article 8(4) of that Directive, raw materials for the production of gelatine for human consumption, for which animal health certification is required, must be transported directly to the establishment at the place of destination. All precautions, including safe disposal of animal by-products, waste, unused or surplus material, shall be taken to avoid risks of spreading diseases to animals. ## ▼M5 Chapter Iii: Requirements For The Manufacture Of Gelatine 1. The production process for gelatine must ensure that: (a) all ruminant bone material derived from animals born, reared or slaughtered in countries or regions with a controlled or undetermined BSE risk in accordance with Community legislation is subjected to a process which ensures that all bone material is finely crushed and degreased with hot water and treated with dilute hydrochloric acid (at minimum concentration of 4 % and pH < 1,5) over a period of at least two days. This treatment is followed either by: - an alkaline treatment of saturated lime solution (pH > 12,5) for a period of at least 20 days with a heat treatment step of 138 °C minimum during at least four seconds, or - an acid treatment (pH < 3,5) during 10 hours minimum with a heat treatment step of 138 °C minimum during at least four seconds, or - a heat-and-pressure process for at least 20 minutes with saturated steam of 133 °C at more than 3 bars, or - any approved equivalent process; (b) other raw material is subjected to a treatment with acid or alkali, followed by one or more rinses. The pH must be adjusted subsequently. Gelatine must be extracted by heating one or more times in succession, followed by purification by means of filtration and heat treatment. 2. A food business operator may produce and store both gelatine intended for human consumption and gelatine not intended for human consumption in the same establishment provided that the raw materials and the production process comply with the requirements applying to gelatine intended for human consumption. ## ▼M18 Chapter Iv: Requirements For Finished Products Food business operators must ensure that gelatine complies with the residue limits set out in the following table. Residue Limit As 1 ppm Pb 5 ppm Cd 0,5 ppm Hg 0,15 ppm Cr 10 ppm Cu 30 ppm Zn 50 ppm SO 2 (European Pharmacopoeia, latest edition) 50 ppm H 2 O 2 (European Pharmacopoeia, latest edition) 10 ppm ## ▼M5 Chapter V: Labelling Wrapping and packaging containing gelatine must bear the words 'gelatine fit for human consumption' and must indicate the date of minimum durability. ## ▼C1 Section Xv: Collagen ▼M18 1. Food business operators manufacturing collagen must ensure compliance with the requirements of this section. Without prejudice to other provisions, products derived from collagen must be made from collagen which complies with the requirements of this section. ▼C1 2. For the purpose of this section, 'tanning' means the hardening of hides, using vegetable tanning agents, chromium salts or other substances such as aluminium salts, ferric salts, silicic salts, aldehydes and quinones, or other synthetic hardening agents. ## Chapter I: Requirements For Raw Materials ▼M9 1. For the production of collagen intended for use in food, the following raw materials may be used: (a) bones, other than specified risk materials as defined in Article 3(1)(g) of Regulation (EC) No 999/2001; (b) hides and skins of farmed ruminant animals; (c) pig skins; (d) poultry skin; (e) tendons and sinews; (f) wild game hides and skins; and (g) fish skin and bones. ▼C1 2. The use of hides and skins is prohibited if they have undergone any tanning process, regardless of whether this process was completed. 3. Raw materials listed in point 1(a) to (d) must derive from animals which have been slaughtered in a slaughterhouse and whose carcases have been found fit for human consumption following ante-and post-mortem inspection or, in the case of hides and skins from wild game, found fit for human consumption. ▼M18 4. (a) Raw materials that have not undergone any preserving treatment other than chilling, freezing or quick-freezing must come from establishments registered or approved pursuant to Regulation (EC) No 852/2004 or in accordance with this Regulation. (b) The following treated raw materials may be used: (i) bones other than specified risk material as defined in Article 3(1)(g) of Regulation (EC) No 999/2001 coming from establishments under the control of and listed by the competent authority, and that have been subjected to one of the following treatments: - crushed to pieces of approximately 15 mm and degreased with hot water at a temperature of minimum 70 °C for at least 30 minutes, minimum 80 °C for at least 15 minutes, or minimum 90 °C for at least 10 minutes, and then separated and subsequently washed and dried for at least 20 minutes in a stream of hot air with an initial temperature of minimum 350 °C, or for 15 minutes in a stream of hot air with an initial temperature of more than 700 °C, - sun-dried for a minimum of 42 days at an average temperature of at least 20 °C, - acid treatment such that the pH is maintained at less than 6 to the core for at least 1 hour before drying; (ii) hides and skins of farmed ruminant animals, pig skins, poultry skins and wild game hides and skins coming from establishments under the control of and listed by the competent authority, and that have been subjected to one of the following treatments: - treatment with alkali to establish a pH > 12 to the core followed by salting for at least 7 days, - drying for at least 42 days at a temperature of at least 20 °C, - acid treatment such that the pH is maintained at less than 5 to the core for a minimum of 1 hour, - alkali treatment throughout at a pH > 12 for at least 8 hours; (iii) bones other than specified risk material defined in Article 3(1)(g) of Regulation (EC) No 999/2001, hides and skins of farmed ruminant animals, pig skins, poultry skins, fish hides and wild game hides and skins that have undergone any other treatment than those specified in point (i) or (ii) and that come from establishments registered or approved pursuant to Regulation (EC) No 852/2004 or in accordance with this Regulation. For the purposes of the first 2 indents of point (b)(ii), the duration of the treatments may include the time of transportation. The treated raw materials referred to in point (b) must be derived from: - domestic and farmed ruminant animals, pigs and poultry which have been slaughtered in a slaughterhouse and the carcasses of which have been found fit for human consumption following ante- and post-mortem inspection, or - from killed wild game whose carcasses have been found fit for human consumption following post-mortem inspection. ▼C1 5. Collection centres and tanneries may also supply raw material for the production of collagen intended for human consumption if the competent authority specifically authorises them for this purpose and they fulfil the following requirements. (a) They must have storage rooms with hard floors and smooth walls that are easy to clean and disinfect and, where appropriate, provided with refrigeration facilities. (b) The storage rooms must be kept in a satisfactory state of cleanliness and repair, so that they do not constitute a source of contamination for the raw materials. (c) If raw material not in conformity with this chapter is stored and/or processed in these premises, it must be segregated from raw material in conformity with this chapter throughout the period of receipt, storage, processing and dispatch. ## Chapter Ii: Transport And Storage Of Raw Materials 1. In place of the identification mark provided for in Annex II, Section I, a document indicating the establishment of origin and containing the information set out in the Appendix to this Annex must accompany raw materials during transport, when delivered to a collection centre or tannery and when delivered to the collagen-processing establishment. 2. Raw materials must be transported and stored chilled or frozen unless they are processed within 24 hours after their departure. However, degreased and dried bones or ossein, salted, dried and limed hides, and hides and skins treated with alkali or acid may be transported and stored at ambient temperature. ▼M18 3. After the veterinary checks provided for in Directive 97/78/EC, and without prejudice to the conditions laid down in Article 8(4) of that Directive, raw materials for the production of collagen for human consumption, for which animal health certification is required, must be transported directly to the establishment at the place of destination. All precautions, including safe disposal of animal by-products, waste, unused or surplus material, shall be taken to avoid risks of spreading diseases to animals. ## ▼C1 Chapter Iii: Requirements For The Manufacture Of Collagen ▼M18 1. The Production Process For Collagen Must Ensure That: (a) all ruminant bone material derived from animals born, reared or slaughtered in countries or regions with a controlled or undetermined BSE risk as determined in accordance with Article 5 of Regulation (EC) No 999/2001 is subjected to a process which ensures that all bone material is finely crushed and degreased with hot water and treated with dilute hydrochloric acid (at a minimum concentration of 4 % and pH < 1,5) over a period of at least 2 days; this treatment must be followed by pH adjustment using acid or alkali followed by: (i) either one or more rinses and at least one of the following processes: - filtration, - milling, - extrusion, (ii) or any approved equivalent process; (b) raw materials other than that referred to in point (a) must be subjected to a treatment involving washing, pH adjustment using acid or alkali followed by: (i) either one or more rinses and at least one of the following processes: - filtration, - milling, - extrusion, (ii) or any approved equivalent process. ▼C1 2. After having been subjected to the process referred to in point 1, collagen may undergo a drying process. ▼M5 3. A food business operator may produce and store both collagen intended for human consumption and collagen not intended for human consumption in the same establishment provided that the raw materials and the production process comply with the requirements applying to collagen intended for human consumption. ## ▼M18 Chapter Iv: Requirements For Finished Products Food business operators must ensure that collagen complies with the residue limits set out in the following table. | Residue | Limit | |------------------------------------------|----------| | | | | As | 1 ppm | | Pb | 5 ppm | | Cd | 0,5 ppm | | Hg | 0,15 ppm | | Cr | 10 ppm | | Cu | 30 ppm | | Zn | 50 ppm | | SO | | | | | | 2 | | | | | | (European Pharmacopoeia, latest edition) | 50 ppm | | H | | | | | | 2 | | | | | | O | | | | | | 2 | | | | | | (European Pharmacopoeia, latest edition) | 10 ppm | | | | ## ▼C1 Chapter V: Labelling Wrapping and packaging containing collagen must bear the words 'collagen fit for human consumption' and indicate the date of preparation. ▼M18 SECTION XVI: HIGHLY REFINED CHONDROITIN SULPHATE, HYALURONIC ACID, OTHER HYDROLYSED CARTILAGE PRODUCTS, CHITOSAN, GLUCOSAMINE, RENNET, ISINGLASS AND AMINO ACIDS 1. Food business operators manufacturing the following highly refined products of animal origin: (a) chondroitin sulphate, (b) hyaluronic acid, (c) other hydrolysed cartilage products, (d) chitosan, (e) glucosamine, (f) rennet, (g) isinglass, (h) amino acids that are authorised as food additives in accordance with Regulation (EC) No 1333/2008 of the European Parliament and of the Council ( 1 ), must ensure that the treatment of the raw materials used eliminates any animal or public health risk. 2. The raw materials used for the manufacturing of the highly refined products referred to in point 1 must derive from: (a) animals, including feathers thereof, which have been slaughtered in a slaughterhouse and whose carcasses have been found fit for human consumption following ante-mortem and post-mortem inspection, or; (b) fishery products complying with Section VIII. Human hair may not be used as a source for the manufacture of amino acids. ## Model Document To Accompany Raw Material Destined For The Production Of Gelatine Or Collagen Intended For Human Consumption Number of the commercial document: I. Identification of raw material Nature of the raw material: Animal species: Type of packaging: Number of packages: Net weight (kg): II. Origin of raw material Type, name, address and approval/registration/special authorisation number of the establishment of origin: Name and address of the consignor ( 1 ): III. Destination of raw material Type, name, address and approval/registration/special authorisation number of the production establishment of destination: Name and address of the consignee ( 2 ): IV. Means of transport: Done at , on (Signature of the operator of the establishment of origin or its representatives)

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Parliamentary briefing ## London Councils The Voice Of London Local Government Growth And Infrastructure Bill House Of Lords Report Stage - 12 March 2013 Overview London councils believe the Growth and Infrastructure Bill presents an opportunity for the government to remove the artificial housing borrowing cap, this would help tackle London's Housing Crisis, release funding for several London councils who are currently unable to build new homes and create jobs benefiting the wider economy. We urge you to support amendment 39 supported by Lord Shipley, Lord Tope, Lord Jenkin of Roding and Lord Best to remove the housing borrowing cap. Removing the housing borrowing cap We welcome steps the government has taken to promote local housing authority self-financing through the abolition of the housing revenue account subsidy system. We believe these reforms will ensure even stronger local asset management and generate significant efficiency savings. The housing borrowing cap limits the level of local authority housing debt this reduces local financial innovation and flexibility. This cap is over and above the Treasury's normal 'prudetial borrowing' rules that apply to most local authority borrowing. This artificial cap effectively halves the potential cash available for councils in London to invest in new homes. Aligning the housing borrowing cap with 'prudential borrowing' rules could allow local authorities to build an additional 54,000 extra affordable homes for Londoners. Councils inability to build new homes Removing the housing borrowing cap will allow local housing authorities to take evidence-based decisions regarding the level of debt appropriate to their individual financial circumstances. We believe the strong track record of local authorities demonstrates they will do this sustainably. Currently, the Royal Borough of Kensington and Chelsea, a triple AAA financially rated borough, have just £11 million borrowing headroom. With the cost of building in the borough, they are unable to build new home and are instead investing mainly in decent homes. Westminster, Kensington and Chelsea, and Hammersmith & Fulham councils have a housing port-folio worth £2.4 billion but are unable to use it to borrow as effectively as housing associations due to borrowing cap. They have drafted proposal for a pilot scheme in Westminster that would deliver 300 homes through an incremental investment of £53 million. The would deliver an annual surplus of £500,000 to the council's housing finances over 10 years, and an asset worth £64 million at the end of that period. The investment would engage 1,350 tenants and get 370 into work over five years, as well as creating 700 jobs in the construction industry. They are currently unable to carry out the pilot scheme due to the government's restrictions on housing borrowing. Where they can London Boroughs are building homes for their communities. Camden and Southwark are aiming to build 2000 homes by 2020. The capital's councils are ready and willing to build more new homes. London's Housing Crisis People living in London are already struggling to find affordable home to rent or buy. London already has one of the lowest levels of owner-occupations in the country and this is set to reduce as more people struggle to raise the substantial deposit required. Almost one in four households in London live in private rented accommodation. Rents in the capital already average more than half of an average London renters' salary. More than 360,000 London households are registered on London councils' housing waiting lists and more than 37,000 households in London are living in emergency temporary housing at a cost of £408 million a year. This problem is only set to get worse as the population grows at least 40,000 homes need to be built each year to keep up with demand. Yet in 2010/11 there were just 19,860 new homes built in the capital, in first half 2012/13 there were just 5,520 affordable homes built. The housing supply deficit is an entrenched problem that will require substantial and sustained investment to address over the long term. Allowing councils the scope to borrow against their existing housing assets to build some of the homes London needs will be a vital part of the long term solution to fixing the capital's housing infrastructure. Economic benefits Removing the housing borrowing cap not only will this help tackle London's housing crisis, but would have benefits for the wider economy. Every £1 invested in housing infrastructure generates £2.60 in additional spending in the supply chain. From London Councils analysis an additional £1.6 billion investment in housing infrastructure would create 19,200 jobs, many in the construction industry that has been hit hard by the recession. A report by three London Boroughs found that 'Incremental house building activity supports the economy, creating at least 2.3 new jobs for every additional home built, at a time when those jobs are most needed.' Conclusion There already exist sufficiently robust mechanisms for controlling local authority borrowing. To single out housing for this form of government control limits the ability of local authorities to respond to the needs of their communities, hampers badly needed investment in new housing and potentially undermines the spirit and operation of the Prudential Code. We urge you to support amendment 39 to remove the housing borrowing cap. ## Contact Ruby Peacock, Public Affairs Officer at ruby.peacock@londoncouncils.gov.uk or on 020 7934 9715 or Dominic Curran at dominic.curran@londoncouncils.gov.uk 020 7934 9508 London Councils represents all 32 London boroughs and the City of London. The Mayor's Office for Policing and Crime and the London Fire and Emergency Planning Authority are also in membership

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# Home Office Statistical Bulletin This release has been prepared by staff in Home Office Statistics under the National Statistics Code of Practice and can be downloaded from both the UK Statistics Authority website and the Home Office pages # Seizures Of Drugs In England And Wales, 2012/13 of the GOV.UK website: http://www.statistics.gov.uk https://www.gov.uk/government/organisa tions/home-office/about/statistics. Kathryn Coleman © Crown Copyright 2013 31 October 2013 HOSB: 04/13 You may re-use this information (not including logos) free of charge in any format or medium, under the terms of the Open Government Licence. To view this licence, visit http://www.nationalarchives.gov.uk/doc/o pen-government-licence/ or write to the Information Policy Team, The National Archives, Kew, London, TW9 4DU or e-mail: psi@nationalarchives.gsi.gov ISSN 1759-7005 ISBN 978-1-78246-258-3 ## Acknowledgements This bulletin has been prepared by Kathryn Coleman in the Home Office Statistics Unit in Home Office Science, from data supplied by police forces and Border Force. The author is grateful for the support and assistance of colleagues in the Home Office Statistics Unit, and would like to thank statistical staff in the police forces of England and Wales and Border Force's Performance Team for providing data relating to seizures. ## Further Information Copies of other Home Office publications are available from the GOV.UK website: https://www.gov.uk/government/organisations/home-office/about/statistics. The dates of forthcoming publications are pre-announced and can be found via the UK National Statistics Publication Hub: http://www.statistics.gov.uk/hub/index.html. For further information about the statistics in this publication, please email policestats@homeoffice.gsi.gov.uk or write to: Home Office Statistics, 5th Floor, Peel Building, 2 Marsham Street, London, SW1P 4DF. Home Office Responsible Statistician David Blunt, Chief Statistician and Head of Profession for Statistics Contact via crimestats@homeoffice.gsi.gov.uk. This statistical bulletin is a National Statistics output produced to the highest professional standards and free from political interference. It has been produced by statisticians working in the Home Office Statistics Unit in accordance with the Home Office's Statement of Compliance with the Code of Practice for Official Statistics, which covers Home Office policy on revisions and other matters. The governance arrangements in the Home Office for statistics were strengthened on 1 April 2008 to place the statistical teams under the direct line management of a Chief Statistician, who reports to the National Statistician with respect to all professional statistical matters. | | Page | |------------|-------------------------------------------| | Contents 3 | | | Summary | | | 5 | | | | | | 1 | Introduction | | 7 | | | | | | 2 | Number of seizures | | | 8 | | | | | 3 | Quantity of drugs seized | | | 11 | | | | | 4 | Seizures by authority | | | 13 | | 5 | Data quality and interpreting the figures | | | 16 | | 6 | Revisions analysis | | | 16 | | 7 | Other data sources | | 17 | | | | | ## Summary This statistical release presents figures for drug seizures made in 2012/13 in England and Wales by police (including the British Transport Police) and Border Force. The data relate to all drugs controlled under the Misuse of Drugs Act 1971 (MDA), which divides drugs into three categories - classes A, B and C - according to their harmfulness, with class A drugs considered to be the most harmful. Two police forces reported having difficulty in providing seizure figures to the Home Office for 2012/13. Hampshire Constabulary was unable to provide any data; Surrey Police could provide data for only the first half of the financial year. Unless otherwise specified, all data for 2011/12 and 2012/13 in this release exclude these 2 police forces.  Excluding the 2 police forces for which full data were not available, there were 193,980 drug seizures in England and Wales in 2012/13, an 8% decrease from 2011/12.  Class A seizures decreased by 3% between 2011/12 and 2012/13, to 31,430. Class B seizures fell by 9% to 160,292, while class C seizures fell by 12% to 5,859.  Cocaine was again the most commonly seized class A drug, though there was a 5% decrease in the number of seizures between 2011/12 and 2012/13, to 16,075. The second highest seized class A drug was heroin with 8,266 seizures, a 7% decrease from 2011/12.  The majority of class B seizures were for cannabis. The 151,843 seizures in 2012/13 compared to 169,192 during the previous year, a 10% decrease. There were decreases in each of the 3 forms of cannabis reported on, with the number of herbal, plant and resin seizures down by 7%, 10% and 42% respectively.  The most commonly seized class C drug in 2012/13 was benzodiazepine with 2,027 seizures, which was 23% lower than the previous year's 2,624 seizures.  Seizures of 'other class C' drugs decreased by 17%, from 1,965 in 2011/12 to 1,640 in 2012/13.  There were 3.0 tonnes of cocaine seized in England and Wales in 2012/13, compared with 3.5 tonnes in 2011/12 (down 12%).  Seizures of heroin amounted to 0.8 tonne in England and Wales in 2012/13, down 59% on the 1.8 tonnes seized in 2011/12 which had been largely due to the increase in seizures weighing 100 kg or more by Border Force.  There was a 43% decrease in the combined amount of cannabis resin and herbal cannabis seized between 2011/12 (41.7 tonnes) and 2012/13 (23.6 tonnes). In addition, there was a 19% decrease in the amount of cannabis plants seized over the same period (from 623,486 to 507,401 plants).  Approximately 1.5 million doses of anabolic steroids (up 42%), 1.4 tonnes of amphetamines (up 30%) and 244 kg of ketamine (up 204%) were seized. ## 1 Introduction This publication presents figures for drug seizures made in 2012/13 in England and Wales by the police (including the British Transport Police) and Border Force. Although Border Force will have made seizures outside England and Wales (e.g. Scotland, Northern Ireland), such seizures are excluded from figures presented in this publication. The presented figures are correct at time of publication and may include revisions submitted by police forces for the years covered by, and received since the publication of, 'Seizures of drugs in England and Wales, 2011/12'. Two police forces reported having difficulty in providing seizure figures to the Home Office for 2012/13. Hampshire Constabulary was unable to provide any data; Surrey Police could provide data for only the first half of the financial year. Unless otherwise specified, headline figures for 2011/12 and 2012/13, and percentage comparisons between these years, in this statistical release exclude data from Hampshire and Surrey. Data on the number of seizures and quantity of drugs seized can be found in the accompanying Excel and ODS workbooks. Police force level tables show available data from Hampshire (for 2011/12) and Surrey (2011/12 and first half of 2012/13), but their figures are excluded from region, country and overall totals. ## Substances Covered By This Release The statistics relate to all drugs controlled under the Misuse of Drugs Act 1971 (MDA), which divides drugs into three categories - classes A, B and C - according to their harmfulness, with class A drugs considered to be the most harmful. However, it is not feasible to publish seizure statistics in detail for every drug covered by the MDA. While all drugs are included in the totals, only those shown below are covered in detail within this bulletin.1 ## Drugs And Their Classifications Under The Misuse Of Drugs Act 1971 Class A Class B Class C Cocaine LSD Amphetaminesa Anabolic steroids Crack Methadone Barbituratesa Benzodiazepines Ecstasy Morphine Cannabisb GHB Heroin Ketamine Temazepam a. Amphetamines and barbiturates are class A drugs if prepared for injection. b. Cannabis was reclassified from a class B to a class C drug in January 2004, and then classified back as a class B drug on 26 January 2009. Phenazepam and pipradrol-related compounds - including desoxypipradrol (2-DPMP), diphenylmethtlpyrrolidine and diphenylprolinol (D2PM) - became controlled drugs in mid-June 2012. While seizures of these particular substances can be individually recorded on the statistical return that police forces submit to the Home Office, they are grouped as 'other class B' and 'other class C' drugs respectively for the purposes of this bulletin. As with previous years, Border Force has been unable to separately identify some of the drugs included in the above table from their recording system. This has resulted in Border Force seizures of methadone being included within the 'other class A' grouping, barbiturates within 'other class B', and benzodiazepines and temazepam within 'other class C'. ## 2 Number Of Seizures The numbers of seizures made are affected by police activity and changes in recording practices. Therefore, the number of drug seizures each year should not be taken as a measure of drug prevalence in England and Wales. This is addressed in the Drug Misuse publications, based on results from the Crime Survey for England and Wales (formerly the British Crime Survey).2  The number of drug seizures more than doubled between 2004 and 2008/09, to a peak of 241,473 seizures, before falling in each of the next 2 years.  Two police forces reported having difficulty in providing seizure figures to the Home Office for 2012/13. Hampshire Constabulary was unable to provide any data; Surrey Police could provide data for only the first half of the financial year. More information is included in the chapter on data quality and interpreting the figures.  Using all available data for England and Wales from police forces and Border Force shows an 11% decrease in the number of seizures in 2012/13 compared to 2011/12. However, this is not a valid comparison owing to the lack of data from Hampshire and Surrey in 2012/13. The total number for England and Wales excluding seizures by these two forces was 193,980 in 2012/13 compared to 211,165 in 2011/12, a decrease of 8%. Source: Home Office, Summary Table 1. Class A drugs Substances considered to be the most harmful are categorised as class A under the MDA. Between 2004 and 2011/12, approximately one-fifth of seizures involved at least 1 class A drug. Data for all forces in England and Wales show that seizures involving class A drugs rose for 3 consecutive years from 2004 (from 30,903 to 48,054 in 2007/08), before decreasing in each of the next 4 years (to 33,641 in 2011/12). Excluding data from Hampshire and Surrey, the number of class A seizures fell by 3% between 2011/12 and 2012/13, to 31,430.  Cocaine was again the most commonly seized class A drug in 2012/13 (16,075 seizures), down 5% on 2011/12. Cocaine seizures rose sharply between 2003 and 2008/09 and, despite the decline in recent years and notwithstanding the lack of data from 2 forces in 2012/13, the number of seizures this year was more than double the 7,251 made in 2003.  Seizures of heroin fell by 7% between 2011/12 and 2012/13, to 8,266.  Crack seizures decreased by 8%, to 4,477 in 2012/13.  Ecstasy seizures rose by 2% in 2012/13, to 3,020.  There were also 813 seizures of methadone (down 4%), 63 seizures of LSD (down 26%) and 124 seizures of morphine (up 14%). * Two figures for 2011/12 are presented. The unbroken line includes Hampshire and Surrey so that comparisons can be made with earlier years. The dashed line excludes these 2 forces so that a comparison can be made with 2012/13. Source: Home Office, Summary Table 1. Class B drugs There were 160,292 seizures of class B drugs in 2012/13, a 9% decrease from 2011/12.  As in previous years, the majority of class B seizures were for cannabis. At 151,843, there were 10% fewer cannabis seizures in 2012/13 than the previous year. This included decreases in each of the 3 types of cannabis recorded, with the number of herbal, plant and resin seizures down by 7%, 10% and 42% respectively.  The second highest number of seizures for a class B drug was for amphetamines with 5,748 in 2012/13, down from 6,594 in 2011/12.  In addition, the number of 'other class B' drugs in 2012/13 (4,758 seizures) was 54% higher than in 2011/12 (3,098 seizures) and almost 13 times more than the 377 seized in 2009/10. For police seizures this increase is largely due to mephedrone and other cathinone derivatives becoming controlled drugs in April 2010. Source: Home Office, Summary Table 1. ## Class C Drugs In 2012/13 there were 5,859 seizures involving class C drugs, a 12% decrease on 2011/12.  As in previous years, the most commonly seized class C drugs in 2012/13 were benzodiazepines, though the 2,027 seizures were 23% fewer than the previous year. The 139 seizures of temazepam in 2012/13 compared to 223 seizures in 2011/12 (down 38%). It should be noted that these figures relate only to police seizures, since Border Force seizures of benzodiazepines and temazepam cannot be separately identified from their recording system; for Border Force, both substances are instead included within the 'other class C' total.  The 1,401 ketamine seizures in 2012/13 represented a 2% decrease on the 1,430 made in 2011/12.  Seizures of anabolic steroids increased by 20%, from 694 in 2011/12 to 836 in 2012/13.  The number of 'other class C' drugs fell by 17%, from 1,965 in 2011/12 to 1,640 in 2012/13. ## Unknown Substances Recorded seizures of 'unknown' substances have increased year on year, from 42 seizures in 2004 to 4,946 in 2012/13. This is most likely to be due to police forces not updating statistical returns on the receipt of forensic test results, while changes to police forces' forensic analysis arrangements after the closure of the Forensic Science Service may also have had an impact. ## 3 Quantity Of Drugs Seized Quantities data fluctuate from year to year and do not necessarily move in line with the number of seizures made. Whilst most drug seizures consist of relatively small quantities, annual totals of drugs seized can be greatly influenced by a small number of large seizures. As with the *number* of drug seizures, any large quantity of seizures should not be taken as an indication of drug prevalence or availability. The quantities of drugs seized are summarised in terms of tonnes (for larger quantities), kilograms, doses or plants (for cannabis plants only). Most drugs can plausibly be seized in a preparation form other than kilograms or doses. Therefore, in order to present all seized quantities within a given drug type in terms of one comparable unit (either kilograms or doses), conversion factors are applied to estimate the overall quantity of drugs seized. As the basis for conversion factors has changed, seizure quantities for the years up to and including 2004 are not directly comparable with those for later years. Additionally, in order to make valid comparisons of amounts seized between 2011/12 and 2012/13, figures for these 2 years in Summary Table 2 exclude seizures made by Hampshire Constabulary and Surrey Police. See the User Guide for more information. ## Class A Drugs  In 2012/13, there were 3.0 tonnes of cocaine seized, down 12% on 2011/12 (3.5 tonnes). Sixtythree per cent of the 16,075 cocaine seizures in 2012/13 were of quantities of less than 1 gram, with a further 34% between 1 and 500 grams.  Police and Border Force seized 0.8 tonne of heroin in 2012/13, down 59% on the previous year (1.8 tonnes). Sixty-five per cent of the 8,266 seizures of heroin in 2012/13 were under 1 gram and a further 33% were between 1 and 500 grams.  Crack seizures in 2012/13 totalled 41 kg, compared with 34 kg in 2011/12. Just 0.2% of the 4,477 seizures made in 2012/13 consisted of amounts over 500 grams.  Also in 2012/13, approximately 434,000 doses of ecstasy (down 34% on 2011/12) and 101,500 doses of methadone (up 23% on 2011/12) were seized. In addition, approximately 23,000 doses of LSD were seized in 2012/13 compared with 4,000 doses the year before.  The majority of unweighed class A drug seizures in 2012/13 were for ecstasy with 3,020 seizures; 91% of these seizures were between 1 and 50 doses. There was also a high proportion of seizures consisting of between 1 and 50 doses for LSD (89%), while the proportion of morphine and methadone seizures consisting of between 1 and 50 doses stood at 79% and 69% respectively. 2012/13. Source: Home Office, Summary Table 2. Class B drugs  A combined total of 23.6 tonnes of herbal cannabis and cannabis resin was seized in 2012/13, compared to 41.7 tonnes in 2011/12 (down 43%). There was a 19% decrease in the number of cannabis plants seized in 2012/13 (507,401) compared to the previous year (623,486).  Of the 133,203 seizures of herbal cannabis, just over a quarter weighed under 1 gram (35,595 seizures, or 27%), while almost three-quarters weighed between 1 and 500 grams (96,314 seizures, or 72%). Eleven seizures weighed 100 kg or over. On average, each herbal cannabis seizure weighed 92 grams.  There were 8,161 seizures of cannabis resin, 8,019 (98%) of which weighed less than 500 grams.  Eighty-nine per cent of cannabis plant seizures involved 50 or fewer plants.  There was a 30% increase in the quantity of amphetamines seized in 2012/13 compared to the year before (1.4 tonnes compared to 1.1 tonnes in 2011/12); 97% of amphetamine seizures weighed between 0 and 500 grams. ## Class C Drugs  The quantity of anabolic steroids seized increased by 42%, from 1.0 million doses in 2011/12 to 1.5 million doses in 2012/13.  There was also an increase in the quantity of benzodiazepine seized (from 401,910 doses in 2011/12 to 501,031 doses in 2012/13, up 25%).  There was a three-fold increase in the quantity of ketamine seized, from 80 kg in 2011/12 to 244 kg in 2012/13. ## 4 Seizures By Authority Seizures from joint operations involving Border Force and the police are recorded against the lead agency that takes possession of the seized drugs. ## Number Of Seizures  In 2012/13, 188,285 or 97% of seizures were made by police forces with the remaining 5,695 or 3% made by Border Force. The number of seizures made by the police fell by 9% compared to 2011/12, while those made by Border Force rose by 59%.  For police forces, seizures of class A, class B and class C substances fell by 6%, 10% and 19% respectively.  For Border Force, seizures of class A, class B and class C substances rose by 85%, 56% and 30% respectively.  Police forces accounted for 94% of all seizures of class A drugs and 98% of all seizures of class B drugs. There was a lesser proportion for class C drugs, with police forces responsible for 81% of seizures.  Within the class A drugs seized, the police were responsible for almost all seizures of crack (100%), heroin (98%), cocaine (95%), morphine (95%), ecstasy (94%) and LSD (92%). Seizures of 'other class A' substances by Border Force increased by 345% and was mainly due to big increases in the number of times methamphetamine (up approximately 400%) and psilocin (up approximately 1,000%) were seized compared to 2011/12.3  For class B drugs, approximately 98% of both cannabis and amphetamine seizures were conducted by the police. All except one of the cannabis plant seizures were made by the police.  Of drugs in class C, all seizures of GHB in 2012/13 were conducted by the police. Border Force was responsible for 34% of anabolic steroid seizures and 13% of ketamine seizures.  It is not possible to calculate the proportion of methadone, barbiturates, benzodiazepines and temazepam seizures made by the police and Border Force for 2012/13 since the latter is unable to separately identify these drugs on its recording system. ## Number Of Seizures By Region Proportions of the number of drug seizures for Border Force and police force regions varied little from 2011/12 to 2012/13. At 26%, the largest proportion of drug seizures in 2012/13 took place in London, the most heavily populated region in England and Wales. Outside of London, and despite the lack of data from Hampshire Constabulary and Surrey Police, the largest proportion of seizures for regional police forces took place in the South East (10%); at 4%, the North East had the smallest proportion. Border Force and British Transport Police accounted for 3% and 2% of seizures in England and Wales. Their data cannot be broken down by region. The proportion of seizures made by Border Force has fluctuated only slightly since 2003, between 2% and 4%. Of the police force regions, and notwithstanding the fluctuations seen in intervening years, the proportion of seizures in the North West in 2012/13 was 6 percentage points lower than in 2003, while London saw an 8 percentage point increase over the same period. ## Quantity Of Seizures Although Border Force accounted for only 3% of seizures in 2012/13, the proportion they seized in terms of quantity was much higher. This is due to the fact that the agency is often involved in high profile operations where large quantities of drugs are seized, for example at airports or ferry ports. Source: Home Office, Summary Table 5.  In 2012/13, Border Force seized 80% of cocaine by quantity (85% in 2011/12), 59% of heroin (88% in 2011/12), 69% of ecstasy (77% in 2011/12) and 86% of LSD (13% in 2011/12), while police seized 83% of crack (88% in 2011/12).  Police seized 616 kg of cocaine in 2012/13, which was 18% higher than the amount seized in 2011/12 (522 kg). In contrast, Border Force seized 18% less cocaine in 2012/13 (2,415 kg) than in 2011/12 (2,933 kg). That Border Force's quantity figures are affected by high profile operations is demonstrated by a single cocaine seizure weighing approximately 1,200 kg in June 2011 aboard a pleasure cruiser at the port of Southampton, which was included within its 2011/12 quantity figures.  The 305 kg of heroin seized by police in 2012/13 was 37% higher than the amount seized in 2011/12 (223 kg), while Border Force seized 73% less heroin in 2012/13 (445 kg) than in 2011/12 (1,623 kg). The higher amount of heroin seized by Border Force in 2011/12 was largely due to 4 seizures weighing 100 kg or more.  One seizure weighing 1 kg was responsible for the increase in LSD seized by Border Force in 2012/13 (approximately 20,000 doses) compared to the year before (500 doses).  Border Force seized 59% of amphetamines in 2012/13 compared to 51% in the year before.  Almost 100% of cannabis plant seizures were made by police forces in 2012/13 (507,396 plants); the one seizure made by Border Force consisted of 5 plants. Border Force accounted for 15.7 tonnes (66%) of the herbal and resin cannabis seized compared to the police's 8.1 tonnes (34%).  Within class C drugs, Border Force seized 95% of anabolic steroids (89% in 2011/12) and 91% of ketamine (85% in 2011/12). One kilogram of GHB was seized in 2012/13, all by the police.  As with the number of drugs seized in 2011/12, the quantity of methadone, barbiturates, benzodiazepines and temazepam seized by Border Force could not be separately identified from its recording system. Source: Home Office, Summary Table 3.  Approximately the same proportion of police and Border Force seizures of the main class A and class B drugs (60% and 64% respectively) fell within the 1 to 500 g or 51 to 100 doses/plants groupings.  A further 39% of police seizures weighed less than 1 g or consisted of between 1 to 50 doses or plants, while only 4% of seizures made by Border Force fell within these groupings.  In contrast, 23% of Border Force seizures weighed more than 1 kg, compared to less than 1% of police seizures. ## 5 Data Quality And Interpreting The Figures Seizures from joint operations involving Border Force and the police are recorded against the lead agency that takes possession of the seized drugs. Two police forces reported having difficulty in providing seizure figures to the Home Office for 2012/13. Due to time constraints and operational demands, Hampshire Constabulary was unable to provide any data but is making efforts to resume recording seizures for 2013/14. Organisational changes within Surrey Police during 2012/13 affected the force's ability to provide robust drug seizures figures and, as a result, figures for 2012/13 included in this release relate only to the first half of the financial year. The force is, however, confident that it will be able to resume providing robust figures for 2013/14. Where a seizure is made of a drug not separately listed in this bulletin, it is aggregated into an 'other' class category. Further information on drugs covered under the MDA, including a link to the full list of drugs covered, is available at: http://www.legislation.gov.uk/ukpga/1971/38/schedule/2. Details about the counting rules used for calculating numbers of seizures in this bulletin are included in the User Guide. Amount groupings (e.g. under 1 gram, 1–50 doses) presented in the breakdowns shown in Summary Tables 3a and 3c of this publication include data on all seizures made by police forces. For the Border Force's data in Summary Tables 3b and 3c, quantities requiring conversion are not included in the breakdowns, although they are included in the total estimated quantity (kg or doses). ## 6 Revisions Analysis Revised data for 2011/12 are being presented in this statistical release, with the total number of seizures for England and Wales being revised upwards by 1%. Since the publication of 'Seizures of drugs in England and Wales, 2011/12', and after identifying an issue with the queries used to extract data from their reporting system, Nottinghamshire Police resubmitted their data for 2011/12. This resulted in the force's originally published figure for seizure numbers being revised upwards by approximately 109% (from 2,232 to 4,657), and an increase in the amount of drugs they seized. It is likely that this also affected the force's number of seizures data for 2009/10 and 2010/11. A summary of the affected 2011/12 headline figures are shown in the table below. | 2011/12 | Published on | Published on | Percentage | |----------------------------|-----------------|-----------------|-------------------------| | 15 November 2012 | 31 October 2013 | change (%) | | | Number of seizures | | | | | | | | | | | | | | | Nottinghamshire Police | 2,232 | 4,657 | 108.65 | | 216,296 | 218,721 | 1.12 | England and Wales total | | (including Hants & Surrey) | | | | | | | | | ## 7 Other Data Sources Seizures By Police In Scotland And Northern Ireland As well as providing a comparison to seizures in England and Wales, looking at drug seizure figures for Scotland and Northern Ireland allows for a more complete UK-wide picture. Data relating to seizures of drugs by police in Scotland are collected and published by the Scottish Government4, and follow the same counting rules as those presented for England and Wales. In 2011/12, police in Scotland made 27,319 seizures of controlled drugs. Of these, 6,232 involved a class A drug, 18,164 involved a class B drug and 4,256 involved a class C drug. Data for 2012/13 are not currently available. The Police Service for Northern Ireland5 collects and publishes data on drug seizures by police in Northern Ireland, and they are also on the same basis as those for England and Wales. Police recorded a total of 4,474 drug seizure incidents in Northern Ireland during 2012/13, the latest year for which data are available; class A, B and C totals are not presented. ## Border Force Seizures Seizures made by Border Force officials outside England and Wales (e.g. Scotland, Northern Ireland) are excluded from figures presented in this statistical release. A quarterly breakdown of Border Force seizures in the UK covering the period April 2011 and December 2012 is available online as part of their regular key performance indicators.6 ## Misuse Of Drugs The extent and trends in illicit drug use among adults aged 16 to 59, measured annually by the Crime Survey for England and Wales (CSEW), is published separately by the Home Office.7 According to the 2012/13 CSEW, around 1 in 12 (8.2%) adults had taken an illicit drug (excluding mephedrone) in the last year, a fall compared with 2011/12 (8.9%).

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## Norfolk County Council Corporate Management Structure 01 May 2019 Staff in top three tiers earning over £50,000 per annum ## Tier One Head of Paid Service/Executive Director of Community & Environmental Services Scale S Tom McCabe Permanent, Full Time £155,000 - £159,999 Max Salary - £158,047 ## Tier Two - Reporting To Head Of Paid Service Executive Director of Executive Director of Executive Director of Executive Director of Finance & Commercial Strategy and Adult Social Services Children's Services Services (Section 151 Governance Scale S Scale S Officer) Scale R James Bullion Sara Tough Scale S Fiona McDiarmid Simon George Permanent, Full Time Permanent, Full Time Permanent, Full Time £145,000 - £149,999 £145,000 - £149,999 Permanent, Full Time £125,000 - £129,999 Max Salary - £148,047 Max Salary - £148,047 £145,000 - £149,999 Max Salary - £127,710 Max Salary - £148,047 ## Tier Three - Reporting To Executive Director Of Adult Social Services Director of Assistant Director Head of Business Assistant Director Community Social Director of Strategy & Systems & Early Help and Work Commissioning Transformation Technology Prevention Scale Q Scale Q Scale Q Scale N Scale P £110,000 - [shared with £110,000 - £60,000 - £65,999 £95,000 - £99,999 £114,999 CCGs] £114,999 Permanent, Full Permanent, Full Permanent, Full Interim, Part Time Temporary, full Time Time Time Max Salary - time Max Salary - Max Salary - Max Salary - Max Salary - £110,160 £110,160 £62,397 £96,933 £110,160 ## Tier Three - Reporting To Executive Director Of Children'S Services Assistant Director Assistant Director, Assistant Director Assistant Director, Performance Business Design & Social Work Early Help and Education Planning and Change Lead Scale Q Prevention Scale Q Quality Assurance Scale O £110,000 - Scale P £110,000 - Scale P £70,000 - £74,999 £114,999 £95,000 - £99,999 £114,999 £95,000 - £99,999 Permanent, Full Permanent, Full Permanent, Full Temporary, full Permanent, Full Time Time Time time Max Salary - Time Max Salary - Max Salary - Max Salary - £110,160 Max Salary - £73,638 £110,160 £96,933 £96,933 ## Tier Three - Reporting To Executive Director Of Community & Environmental Services Assistant Head of Assistant Director Assistant Assistant Support & Director Chief Fire Director of Director Director Officer Developmen Culture & Community Information Public Highways Growth and Scale R Health t Heritage and Scale P Developmen Permanent, £95,000 - Scale N Scale P Learning £95,000 - t Full Time £99,999 £60,000 - £95,000 - Scale P £99,999 Vacant £125,000 - Permanent, £65,999 £99,999 £95,000 - Permanent, Permanent, £129,999 Full Time Permanent, Permanent, £99,999 Full Time Full Time Max Salary - Max Salary - Full Time Full Time Permanent, Max Salary - Max Salary - £127,710 £96,933 Max Salary - Max Salary - Full Time £96,933 £96,933 £96,933 £62,397 Max Salary - £96,933 ## Tier Three - Reporting To Executive Director Of Finance & Commercial Services Head of Assistant Chief Head of Finance Pensions, Head of Head of Head of IMT Director of Internal & Exchequer Investments Procurement Property Auditor Information Services & Treasury Scale P Scale P Finance Scale Q Scale O £110,000 - Scale O Scale P £95,000 - £95,000 - £110,000 - £70,000 - £114,999 £70,000 - £95,000 - £99,999 £99,999 £114,999 £74,999 Permanent, £74,999 £99,999 Permanent, Permanent, Permanent, Permanent, Full Time Permanent, Permanent, Full Time Full Time Full Time Full Time Max Salary - Full Time Full Time Max Salary - Max Salary - Max Salary - Max Salary - £110,160 £96,933 £96,933 Max Salary - Max Salary - £73,638 £110,160 £73,638 £96,933 ## Tier Three - Reporting To Executive Director Of Strategy And Governance Chief Legal Officer Head of Strategy & Head of Business Head of (Monitoring Director for People Delivery Unit Intelligence Communications Officer) Scale P Scale O Scale O Scale O Scale Q £95,000 - £99,999 £70,000 - £74,999 £70,000 - £74,999 £70,000 - £74,999 £110,000 - Permanent, Full Permanent, Full Permanent, Full Permanent, Full £114,999 Time Time Time Time Temporary, full Max Salary - Max Salary - Max Salary - Max Salary - time Max Salary - £96,933 £73,638 £73,638 £73,638 £110,160 ## Key To Information Displayed Job title of post Grade of post Salary band of individual in post (£5k bands) Contract details Max salary of post ## Note Where posts are filled by NCC staff their salary bands are shown Where external interims are in post, no salary is shown - details are published in the Council's Statement of Accounts ## Contact Email: information@norfolk.gov.uk Telephone: 0344 800 8020

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Atmospheric Measurement AMTD Open Access Techniques Atmos. Meas. Tech. Discuss., 7, 3397–3441, 2014 www.atmos-meas-tech-discuss.net/7/3397/2014/ doi:10.5194/amtd-7-3397-2014 © Author(s) 2014. CC Attribution 3.0 License. 7, 3397–3441, 2014 Discussions This discussion paper is/has been under review for the journal Atmospheric Measurement Techniques (AMT). Please refer to the corresponding final paper in AMT if available. G. Allen et al. ## Title Page Abstract Introduction # Atmospheric Composition And Thermodynamic Retrievals From The Aries Airborne Tir-Fts System - Part 2: Validation And Results From Aircraft Campaigns G. Allen1, S. M. Illingworth1, S. J. O'Shea1, S. Newman2, A. Vance2, S. J.-B. Bauguitte3, F. Marenco2, J. Kent2, K. Bower1, M. W. Gallagher1, J. Muller1, C. J. Percival1, C. Harlow2, J. Lee4**, and J. P. Taylor**2 1Centre for Atmospheric Science, University of Manchester, Manchester, M13 9PL, UK 2Met Office, Fitzroy Road, Exeter, EX1 3PB, UK 3Facility for Airborne Atmospheric Measurements, Cranfield, UK 4Centre for Atmospheric Science, University of York, York, UK Received: 7 March 2014 - Accepted: 26 March 2014 - Published: 7 April 2014 Correspondence to: G. Allen (grant.allen@manchester.ac.uk) Published by Copernicus Publications on behalf of the European Geosciences Union. ## Abstract This study validates trace gas and thermodynamic retrievals from nadir infrared spectroscopic measurements recorded by the UK Met Office Airborne Research Interferometer Evaluation System (ARIES) - a Thermal InfraRed Fourier Transform Spectrometer (TIR-FTS) on the UK Facility for Airborne Atmospheric Measurements (FAAM) BAe- 5 146 aircraft. Trace-gas-concentration and thermodynamic profiles have been retrieved and val- G. Allen et al. idated for this study throughout the troposphere and planetary boundary layer over a range of environmental variability using data from aircraft campaigns over and around London, the US Gulf Coast, and the Arctic Circle during the ClearfLo, JAIVEX, 10 ## Title Page Abstract Introduction Conclusions References and MAMM aircraft campaigns, respectively. Vertically-resolved retrievals of temperature and water vapour (H2O), and partial-column retrievals of methane (CH4), carbon monoxide (CO), and ozone (O3), over both land and sea, were compared to corresponding measurements from high-precision in-situ analysers and dropsondes operated on the FAAM aircraft. Average Degrees of Freedom for Signal (DOFS) over 15 a 0–9 km column range were found to be 4.97, 3.11, 0.91, 1.10, and 1.62 for temperature, H2O, CH4, CO, and O3, respectively, when retrieved on 10 vertical levels. Partial column mean biases (and 1σ bias) averaged across all flight campaigns were −0.4(±1.9) %, −6.0(±13.1) %, −0.6(±2.1) %, −3.0(±18.4) %, and +4.7(±24.9) %, respectively, while the typical total a posteriori errors for individually retrieved profiles 20 were 0.4 %, 9.5 %, 5.0 %, 21.2 %, and 15.0 %, respectively. Averaging kernels derived for progressively lower altitudes show improving sensitivity to lower atmospheric layers when flying at lower altitudes. Temperature and H2O display significant vertically resolved sensitivity throughout the column, whilst trace gases are usefully retrieved only as partial column quantities, with maximal sensitiv- 25 ity for trace gases other than H2O within a layer 1 km and 2 km below the aircraft. This study demonstrates the valuable atmospheric composition information content that can be obtained by ARIES nadir TIR remote sensing for atmospheric process studies. In Part 1 of this study, Illingworth et al. (2013) discussed the theoretical and technical aspects of the retrieval methodology and a peripheral algorithm for atmospheric state retrievals from nadir thermal infrared spectra recorded by the Airborne Research Interferometer Evaluation System (ARIES, see below). Illingworth et al. (2013) reviewed 5 G. Allen et al. how airborne remote sensing of the atmosphere can be used to derive important compositional and thermodynamic data for monitoring and modelling applications, and how such datasets can complement satellite retrievals (typically at lower spatial resolution) and high accuracy (but point-specific) in situ measurements to aid regional process studies. In summary, airborne remote sensing can help to bridge the gap between spa- 10 Title Page tial extremes locally and regionally through their ability to observe wide (and selectable) fields of view and to perform targeted sampling; for example through manoeuvring in the vertical. Abstract Introduction Illingworth et al. (2013), described and characterised the Manchester Airborne Re- Conclusions References trieval Scheme (MARS), a configurable system tailored for the optimally-estimated re- 15 20 trieval of atmospheric composition from infrared spectra recorded by the ARIES openpath-FTS instrument (described in detail by Wilson et al., 1999) flown on the UK Facility for Airborne Atmospheric Measurements (FAAM) BAe-146 aircraft. The ARIES is an analogue of the Infrared Atmospheric Sounding Interferometer (IASI) flown on the MetOp-A and B satellites, both having an apodised spectral resolution of ∼0.5 cm−1 between 4 and 16 µm. No further description of the ARIES and retrieval formalism will be given here and readers are referred to Illingworth et al. (2013) and references therein for details. We focus here on the validation of operationally-retrieved profiles of temperature, water vapour (H2O), methane (CH4), carbon monoxide (CO), and ozone (O3), which 25 will be referred to collectively as the retrieval products hereafter. In this paper, validation refers to the statistical and profile-by-profile comparison of retrieved data with their in-situ counterpart, both directly, and after convolution with retrieval-specific ARIES averaging kernels. For the trace gases, partial columns will be compared due to their constrained vertical resolvability (see Sect. 3). We will report the performance of operational retrievals from ARIES spectra across a range of environments, using airborne in situ measurements for the purpose of validation for each location. For context and later comparison, we now briefly discuss example validation studies of the retrieval prod- 5 ucts of concern to this study for three example infrared remote sensing instruments on satellite, airborne and ground-based platforms. The Total Column Carbon Observing Network (TCCON) is a network of ground- G. Allen et al. based, sun-viewing, near-IR, Fourier transform spectrometers that has been established to measure greenhouse gases as total column Dry Molar Fractions (DMFs). 10 ## Title Page Abstract Introduction Since its inception in 2004, the TCCON network has grown to include 18 sites globally, and currently produces DMFs of H2O, CO2, CO, CH4, and other trace gases (Wunch, 2011). Due to cited systematic biases in the spectroscopy, the absolute accuracy of the column measurements is quoted as ∼1 %, however this can be improved by calibrating them to the World Meteorological Organization (WMO) in situ trace gas measurement 15 scales, using profiles obtained with in situ instrumentation fiown on aircraft over the TCCON sites (Wunch, 2010). After this calibration, the precision of the DMFs retrieved from single spectra improves significantly, and is about 0.15 % for CO2, 0.2 % for CH4, and up to 0.5 % for CO (Toon, 2009). The Methane Airborne MAPper (MAMAP) is an airborne spectrometer system de- 20 signed to make measurements of dry air partial columns of CO2 and CH4 on small spatial scales with a precision of better than 2 % (Gerilowski, 2011). MAMAP operates with a ground pixel resolution of approximately 29m×33m for a typical aircraft altitude of 1250 m and a velocity of 200 kmh−1. The main uncertainties in the retrieval were noted to arise from potential inaccuracies in the calculation of the solar zenith angle 25 and the surface elevation of the scene. Such uncertainties (important in the visible and near-infrared) are not expected in the thermal infrared. Krings et al. (2011) reported that by using a CH4 proxy method (in which the retrieved CH4 is used to account for the light path modification by simultaneously retrieving alongside CO2), the total uncertainty estimate was reduced to 0.24 % in a standard individual column retrieval of CO2. ## Amtd The IASI has an Instantaneous Field of View (IFOV) that is approximately 12 km in 7, 3397–3441, 2014 diameter at nadir (Blumstein et al., 2004). Depending on the trace gas and the retrieval scheme employed, IASI can provide weakly resolved vertical profiles, with the number 5 of independent pieces of information for each gas depending mostly on the thermal state of the atmosphere (e.g. 1–2 for CO in the troposphere, and 3–5 for O3 up to 0.1 hPa, Hilton, 2012). Using an Optimal Estimation Method (OEM) developed by Coheur et al. (2005), Boynard et al. (2009), showed that on average, IASI O3 retrievals exhibit a consistent positive bias of about 3 % compared to ground-based measure- 10 ments. Similarly, Illingworth et al. (2011) showed that on average, total tropospheric column CO retrievals from IASI exhibit a positive bias of approximately 3 % when compared to modelled data. Despite small biases in comparison to other datasets, IASI retrieved products also have large associated uncertainties for individually retrieved profiles, where the dominant term is typically caused by the smoothing of the contin- 15 uous atmosphere by the retrieval schemes, which necessarily assume a discretized atmosphere. Illingworth et al. (2011) noted that typical smoothing uncertainty for IASI total tropospheric columns range from 18 % to 34 %. The brief discussion above demonstrates the relative limitations and benefits of remote sensing measurements within the troposphere from viewpoints below, within and 20 far above it. Each has specific weighting in terms of sensitivity to different layers within the tropospheric column and each has different uncertainties. We highlight here how aircraft remote sensing can help to bridge spatial sampling scales between groundbased and satellite platforms, whilst high precision in situ data can be simultaneously provided (where equipped) to routinely validate and calibrate retrievals. 25 The remainder of this manuscript is structured as follows: in Sect. 2, we will describe the validating measurements used for this study; Sect. 3 describes the validation flight campaigns where ARIES was operated; and Sect. 4 compares operational retrievals with in situ measurements. ## 2 Data Sources Amtd Measured data discussed in this paper were recorded using instrumentation on board the BAe146-301 atmospheric research aircraft. In this section, we describe the aircraft platform and in situ instrumentation used here for validation. Only relevant FAAM in-situ instrumentation that record measurements corresponding to the retrieval products are 5 introduced here. ## Validation And Results From Aircraft Campaigns 2.1 The Bae146 Platform G. Allen et al. The BAe-146-301 atmospheric research aircraft is operated by Directflight Ltd and managed by FAAM, which is a joint entity of the Natural Environment Research Council (NERC) and the UK Met Office. This four-engine jet plane is modified for research 10 ## Title Page Abstract Introduction Conclusions References Tables Figures use and capable of up to 5 h duration with a scientific payload of up to 4000 kg. In situ instrumentation described in Sect. 2.1 sampled ambient air inside the converted passenger cabin. This air was fed by purpose-built rearward facing window-mounted inlets (O'Shea et al., 2013). Typical air speed and aircraft pitch angle on science runs were around 115 ms−1 and +4.5◦respectively. The GPS position, aircraft orientation, 15 and velocity were all sampled at 50 Hz, and recorded at 32 Hz by an Applanix POS AV 510 GPS-aided Inertial Navigation (GIN) unit. ## 2.2 Trace Gas And Thermodynamic Measurements Thermodynamic and trace gas instruments on the BAe-146 used for this study are listed in Table 1. A 5-hole turbulence probe mounted on the aircraft nose was used in 20 ## Printer-Friendly Version Interactive Discussion conjunction with the GIN system to provide 3-D wind fields and high frequency (32 Hz) turbulence measurements. Thermodynamic instruments include a General Eastern GE 1011B Chilled Mirror Hygrometer, measuring dew-point temperature, and a Rosemount/Goodrich type-102 True Air Temperature sensor, which recorded data at 32 Hz using a non-de-iced Rosemount 102AL platinum resistance immersion thermometer, 25 mounted outside of the boundary layer of the aircraft near the nose. The turbulence probe also used measurements from the GIN and measurements of the ambient air temperature to correct for kinetic effects. Carbon monoxide was measured at 1 Hz by an AL5002 Fast CO Monitor using a UV fluorescence methodology, as described by Gerbig et al. (1999); the instrument was 5 G. Allen et al. regularly calibrated (once every 30 min) in flight against certified standards. Ozone was recorded at 1 Hz by a TECO 49C UV photometer, and the transmission time from the exterior to the instrument via the sampling line can be assumed to be negligible (less than the 1 s integration time for these in situ sensors). These instruments are core to the aircraft fit, and are used regularly in a variety of FAAM campaigns. Therefore, 10 the accuracy of the reported O3 and CO concentrations has been regularly assessed by intercomparisons with ground-based instruments and equivalent instrumentation on other aircraft. In those comparisons, both CO and O3 have been found to be consistently accurate to within 5 ppb across a range of typical atmospheric concentrations (e.g. as compared with instrumentation on the NSF C-130 aircraft reported in Allen 15 et al., 2011). This compares favourably with the reported instrument precision of 1 % above the instrument limits of detection, which are ∼20 ppb and 5 ppb for CO and O3, respectively. The CH4 observations on board the FAAM BAe-146 were made using a cavityenhanced absorption spectrometer. This system is based on a commercially available 20 analyser (Fast Greenhouse Gas Analyser, Model RMT- 200) from Los Gatos Research Inc., USA, which has been modified for airborne operation (O'Shea et al., 2013). Calibration curves are determined in-flight using three WMO traceable standards, with accuracy/bias estimated at no more than 1.28 ppb for CH4 (with 1σ precision of 2.48 ppb at 1 Hz). Measurements are reported as dry air mole fractions. 25 In addition to the in situ instrumentation, for some of the flights in this study Vaisala Printer-friendly Version RD93 dropsondes were released from the aircraft, from high altitude and when over the sea. The RD93 is a general-purpose dropsonde for high-altitude deployment from a variety of aircraft. Slowed in its descent through the atmosphere by a special parachute, the RD93 measures the atmospheric profiles of pressure, temperature, relative humidity and wind from the point of launch to the ground. The RD93 transmits meteorological data via a 400 MHz meteorological band telemetry link to the receiving system onboard the aircraft, with an on-board GPS receiver tracking the dropsonde horizontal movement as it is borne by the wind. The manufacturer-specified accuracies of the 5 RD93 are 0.2 K, 0.4 hPa, and 2 % for temperature, pressure and relative humidity, respectively. ## Validation And Results From Aircraft Campaigns 2.3 Cloud And Aerosol Lidar G. Allen et al. A mini-lidar cloud system on the FAAM aircraft has also been used here to test for successful cloud screening of the ARIES data (see Sect. 4). The mini-lidar is a Leo- 10 ## Title Page Abstract Introduction sphere (Model ALS450) elastic backscattering system with daytime capability, suitable for aerosol and cloud observations, and features a depolarization channel. Its operational wavelength is 355 nm and it is mounted in a nadir-viewing geometry. For more details about the mini-Lidar instrument, see Marenco et al. (2011). ## 3 Faam Campaigns Used For Validation 15 For validation purposes, we have chosen to use well-characterised datasets from several FAAM aircraft campaigns, conducted in diverse locations to capture the typical natural variability of composition and thermodynamic backgrounds across the range of environments in which the FAAM aircraft typically samples. The campaigns that were chosen for this study were: the Joint Airborne IASI Validation Experiment (JAIVEx); the 20 Clean air for London (ClearfLo) study; and the Methane and other greenhouse gases in the Arctic - Measurements, process studies and Modelling (MAMM) project. These campaigns were based around the US Gulf Coast, London and the Arctic Circle, respectively, and are described in more detail below. The JAIVEx campaign was a calibration-validation campaign which used ARIES radiance data to radiometrically validate the IASI instrument. It was conducted over the Gulf of Mexico and operated out of Houston, USA, during April–May 2007. For an overview of the JAIVEx mission, see Larar et al. (2010) and for a full discussion of the perfor- 5 G. Allen et al. mance of ARIES during the JAIVEx project, see Newman et al. (2012). In addition to temperature, water vapour and trace gas concentrations (see Sect. 2.2), the FAAM aircraft released dropsondes, which sampled the atmospheric thermodynamic structure below the aircraft at high spatial resolution (∼6 m), which will also be used here for validation. We present data collected during flight B290 during JAIVEX, which took place 10 on the morning of 30 April 2007 over the Gulf of Mexico. The B290 flight track and profile are shown in Fig. 1. Take-off time from Houston Airport was 12:45 UTC (07:45 LT) and landing time at New Orleans was 17:20 UTC (12:20 LT). The Gulf of Mexico area and the operational area of the aircraft were mostly cloudfree on 30 April 2007, as observed in-flight and from GOES satellite cloud imagery (not 15 shown). This makes this flight an ideal case study for nadir remote sensing validation, where cloudy scenes would otherwise prevent retrieval by MARS. Indeed, this area at this time of year was chosen for its climatologically low cloud fraction to facilitate this IASI calibration-validation mission. Two extended periods (of between 30 min and 1 h in duration) at cruising altitudes of 20 7.3 km and 9 km were conducted. These are the northwest-southeast and northeastsouthwest transects seen in Fig. 1, respectively. At these altitudes, the instantaneous ground footprint of ARIES due to the instrument's 44 mrad circular field of view (full angle) has a radius of ∼161 m, and 198 m, representing an instantaneous footprint area of ∼0.08 km2 and 0.12 km2, respectively. The exact footprint of the ARIES retrievals is 25 then a product of both this instantaneous footprint, and the ground-track of the aircraft integrated over the ARIES sampling/integration time (5 s in this case). ## 3.2 Clearflo The Clean air for London (ClearfLo) project was conceived to provide long-term integrated measurements of the meteorology and composition of London's urban atmosphere, recorded at street level and at elevated sites, and complemented by modelling to improve and characterise predictive capability for air quality. A separate but syner- 5 gistic FAAM airborne project took place during July and August 2012, consisting of five 5 h flights during which the ARIES and in situ trace gas instrumentation was operated to record measurements in a wide area around and centred on London (see Fig. 2). Repeated sampling was targeted on the downwind London plume and upwind background inflow; a detailed description of the ClearfLo campaign is given by Bohnen- 10 stengel (2012). Title Page For validation, we have used data from flights B724 and B725, both conducted be- | Abstract | Introduction | |-------------|----------------| | Conclusions | References | tween 10:00 and 16:30 UTC for both 30 July 2012 and 9 August 2012, representing relatively clean and polluted cases, respectively, and characterised by well-mixed Atlantic westerly maritime inflow in the former and stagnant air (high pressure) in the 15 Figures latter. This contrast is useful for validation to characterise the ability to retrieve information in clean and polluted environments. Flight tracks for these two flights can be seen as the thick (B724) and thin (B725) traces in Fig. 2. In both flights, air upwind of London was seen to be less polluted than air downwind in the situ measurements (see Sect. 4). 20 Close ## 3.3 Mamm Full Screen / Esc Printer-friendly Version The MAMM project aims to improve quantitative knowledge of Arctic CH4 and other gases from various sources, whilst also determining their magnitudes and spatial distributions. The FAAM component of this mission involved three separate flying campaigns within the Arctic Circle: July 2012, August 2013, and September 2013. In this 25 Interactive Discussion study we have used data from the July 2012 period during two flights: B719 and B720, on 17 July 2012 and 18 July 2012, respectively, conducted between 09:00 UTC and 16:00 UTC. The former was conducted over the wetlands of western Finland and the latter predominantly over the Norwegian Sea between the coasts of Norway and Svalbard (see Fig. 3). These two flights provide contrast between sea and land retrievals in an otherwise similar natural environment, thereby allowing us to examine potential sources of systematic bias associated with surface type. The spiral ascent pattern seen 5 G. Allen et al. in Fig. 3 near 27◦E, 68◦N flown during B720 was centred on the Sodankylä TCCON site, however cloudy conditions on this day prevented a direct comparison with TC- CON CH4 and CO2 measurements. The in situ measurements recorded during this spiral provide the vertical profiles we have used for retrieval validation with in situ data for this flight. 10 ## Title Page 4 Results And Discussion Abstract Introduction Conclusions References Tables Figures The results of the validation using the FAAM dataset outlined in Sect. 2.3 are now presented and discussed. To illustrate typical examples for individual retrievals we show retrieval metrics of spectral fit and residual, averaging kernels, and sources of total-andcomponent a posteriori retrieval error for profiles chosen from one flight for each of the 15 retrieved parameters where comparable in situ data exists. We then present a statistical interpretation of the whole validation dataset across selected flights in terms of mean bias and uncertainty for the entire dataset (i.e. across all campaigns). The spectral window and co-retrieved state vectors for each nominal parameter (described further in Part 1 of this study) is given in Table 2. The ARIES spectra were co-added over 20 5 s of sampling time (10 scans) in all retrievals considered here and retrievals were all performed on 10 vertical levels unless otherwise stated. ## 4.1 Cloud Detection And Screening Performance We have tested a cloud-detection scheme based on the brightness temperature difference in a window and non-window spectral region (described further by Illingworth 25 et al., 2013). This method screens ARIES data for otherwise cloudy spectra and therefore false or poor retrievals. Clouds were detected by lidar using the non-depolarised, range-corrected signal P , of the UK Met Office mini-lidar system on the FAAM aircraft (described by Marenco et al., 2011). A cloud was detected if P (R) > 4000; P (R) *> P* (R −200m), and no other cloud top was found between (R −500m) and R, 5 where R is the range from the instrument. Once a cloud was detected, the cloud top range, RC, was set to be the first lidar measurement point before (R −200m), where P (RC) < 1.5·P (R−200m). The algorithm works by detecting large gradients in the Lidar signal, with peaks below 500 ma.s.l. automatically discarded as surface return. ## G. Allen Et Al. The Lidar cloud detections were compared to co-located detections found using the 10 ## Title Page Abstract Introduction ARIES cloud filter over a range of flights during the Microwave Emission Validation over sub-Arctic Lake Ice (MEVALI) campaign, which took place in March 2012. In total, cloud masks for over 2500 different scenes over a range of clear-land and open-sea, frozen and unfrozen, surface types were compared, and an average Spearman's rank correlation coefficient was calculated to be 0.91 indicating that the cloud filter performs 15 ## Conclusions References Figures well. Also, 100 % of clouds detected by the lidar were detected and some additional false positives were flagged by the ARIES scheme. We accept this small loss of some data, as the alternative would be to permit cloudy spectra into the retrieval scheme that would otherwise affect the quality of the retrieved dataset. ## 4.2 Water Vapour 20 Figure 4 shows convergence parameters for a single water vapour retrieval from a flight altitude of 7.4 km during flight B290 from JAIVEx. Figure 4a shows the measured (black) and fitted (green) radiance spectra; the fact that the measured spectrum cannot be readily observed on this figure demonstrates the excellent spectral fit. Figure 4b shows the residual (difference) spectrum between the fitted and measured spectra 25 and the total instrumental radiometric uncertainty (black dashed lines), demonstrating that this residual is comparable with the expected uncertainty. The absence of significant residual spectral structure or absorption lines gives confidence that no potentially important absorbing trace gas species have been excluded from the simulated atmosphere. Figure 4c shows the water vapour Averaging Kernel (AK) for the partial column below the aircraft. This AK and the associated Degrees of Freedom of Signal (DOFS) value of 3.34 demonstrate that there is significant vertical resolution of the retrieved H2O profile from this high altitude when using 10 vertical levels. There are partially in- 5 dependent peaks in the AK at the uppermost (6 km and 7 km) layers of the retrieval and a relatively smoothed free-tropospheric region between the surface and 4.5 km. This is consistent with the DOFS and vertical sensitivity simulated at comparable altitudes for Part 1 of this study (∼3.0 DOFS). The total a posteriori retrieval error for individual retrievals (orange line in Fig. 4d) in this example ranges between 1000 ppm (∼10 %) 10 at the surface and 120 ppm (∼22 %) at 7 km. It should be noted that the choice of prior can potentially have a large impact on the calculated DOFS (as discussed in Illingworth et al., 2013). In this study, the calculated DOFS above is representative of the MARS scheme and the method used to select prior information from ECMWF meteorological reanalysis data. 15 Figure 5 shows retrievals for the whole of flight B725, compared to dropsonde data over both land and sea surfaces to the east of the flight track shown in Fig. 2. Figure 5a shows individual retrievals (coloured for flight altitude), and dropsonde data (black). The a posteriori uncertainties for each retrieved profile are shown as coloured dotted horizontal bars and the a priori profile is shown in blue. In Fig. 5a, we note that the 20 ECMWF water vapour a priori profile has a positive bias (up to 1000 ppm in places) relative to the dropsonde data and that it does not contain fine structure present in the real atmosphere; for example the dry layer at 4.5 km. In contrast, the retrieved profiles derived from ∼6 km altitude (yellow colours) do capture this dry layer due to the good vertical sensitivity and vertical resolution of layers ∼2 km below the aircraft. Conversely, 25 Printer-friendly Version fine structure in profiles retrieved from higher altitude does not appear well resolved for lowermost layers because of poor sensitivity there (note the 3000 ppm negative bias in the yellow coloured profiles between 0 km and 2 km). However, when flying at lower altitudes, there is good sensitivity to the near-surface - this is reflected in the much smaller biases (less than 500 ppm) seen in the light-blue profiles in Fig. 5a retrieved from ∼3 km flight altitude. In all retrievals shown in Fig. 5a, the retrieval represents an improvement on the a priori profile. Figure 5b shows the flight-mean profiles, binned into 10 equidistant altitude layers, for the retrieved (red) and in-situ (black) data along with the in-situ profile convolved 5 G. Allen et al. with the mean ARIES AK (green) for the flight. The convolved profile is defined as xa + A(x −xa), where A is the averaging kernel, x is the retrieved profile and xa is the a priori profile. It should be noted that we would expect there to be natural variability in the retrieval scene during a flight and that some of the variability seen in the retrievals reflects this, but by comparing the mean of the retrievals with the mean of the in situ 10 data across the entire flight, we can compare a more consistent dataset than we would by comparing individual profiles. Due to the varying flight altitude, the mean retrieved and convolved profile represents a weighted mean reflecting the different sampling frequency within each altitude bin. Also shown in Fig. 5b are bars that represent the standard deviation of retrieved and 15 in situ data at each profile level which were calculated from the distribution of retrievals for the flight. This should not be confused with the a posteriori error associated with individual retrievals, which is reported separately in Table 3. The AK-convolved in situ profile (green) compares well with the mean retrieved profile (red), with the latter overlapping well within the corresponding 1σ of the dropsonde measurements. This shows 20 that the retrieval agrees well with an idealised retrieval scheme giving confidence in the optimal performance of the MARS. The mean bias in Fig. 5a ranges between 110 ppm (1 %) at 500 m and ∼1140 ppm (14 %) at 3 km. The increased bias at 3 km is due to the poorer performance of the retrievals from higher altitude which dominate the contribution to the mean profile at this altitude (yellow profiles in Fig. 5a), whereas the 25 profiles recorded from an altitude just below 3 km (light blue in Fig. 5a) do capture the locally drier layer between 2.5 km and 3 km. In summary, there is information content in vertically-resolved water vapour nadir retrievals from ARIES and fine vertical structure can be resolved in the layers nearest to the observer (within ∼2 km). Table 3 lists the performance across all flights where dropsonde data exists for validation, and reports weighted-mean-bias and standard error across the validation dataset. The DOFS remain similar across all campaigns (average of 3.11) and the flight-mean a posteriori uncertainty ranges from 5–13 % (average across all flights of 9.5 %) with the highest uncertainty noted for flight B720, which may be expected as this flight was 5 G. Allen et al. conducted in a cold Arctic environment with consequently reduced thermal contrast. Furthermore, the average retrieval standard error (∼9.5 %) is much reduced relative to the a priori uncertainty constraint (20 %). The partial-column-mean-bias is −4.8 % while the standard deviation of this mean bias is 9.4 %. This compares to a standard deviation of the in situ data of 7.5 %, suggesting that natural variability may explain 10 a large proportion of the observed variability in bias for individual profiles, i.e. for individual ARIES water vapour retrievals, the corresponding a posteriori error (which can vary from scene to scene) is comparable to the biases found here, which both agree within the observed natural variability. A direct comparison between in situ data and remote sensing data is never possible in practice due to the fact that airmasses can shift 15 below the aircraft in the time between in situ measurement and retrieval from above. However, the statistical agreement seen here across several flights and 389 retrieved profiles confirms that MARS water vapour profiles can be retrieved with a typical individual partial-column-mean profile uncertainty of 1144 ppm (∼10 %), with a statistically insignificant bias over a large sample of profiles. This uncertainty is also consistent with 20 the limit of the theoretical performance found for water vapour in Part 1 of this study. ## 4.3 Temperature Figure 6 shows convergence parameters (analogous to those presented for H2O in Fig. 4) for an example temperature retrieval recorded over the UK mainland at 8.9 km flight altitude during flight B725 (ClearfLo) on 8 August 2013. Figure 6a illustrates 25 a generally good simulated spectral fit (green) to the measured ARIES spectrum (black). Figure 6b shows the residual and we note some small residual structure, especially at the centre of a strong Q-branch of CO2 at ∼720 cm−1. The intensity of this Q-branch and its strong sensitivity to temperature makes it very sensitive to the effects of vertical discretisation necessary for the radiative transfer modelling, and as such, some error may be expected. However, the P and R branches of this band, which are likewise sensitive to temperature, but which do not saturate over path-lengths similar to the thickness of the layers used here (∼600 m), provide the bulk of the measurement 5 G. Allen et al. information in this spectral window. This is precisely why CO2 and temperature are simultaneously retrieved. There are also two weak unidentified potential absorption lines in the measured spectrum at 740 cm−1 and 746 cm−1. However, the overall residual is commensurate with the ARIES radiometric uncertainty (black dotted lines in Fig. 6b). The effect of this is also implicit to the a posteriori error calculation, which is consis- 10 tently ∼0.8 K across the profile and dominated by the smoothing and measurement uncertainty terms (Fig. 6d). ## Title Page The temperature AKs (Fig. 6c) for this example demonstrate excellent vertical reso- ## Introduction lution with a DOFS value of 4.73, which compares with the simulated (idealised) DOFS of ∼4 in Part 1 of this study. The AK peak at each altitude is only slightly dependent 15 on information content from other levels and is typically smoothed over a 1 km length (when using 10 levels at 9 km flight altitude). This result confirms that vertically-resolved tropospheric profiles of temperature can be usefully reported using MARS for ARIES measured spectra. This capability is especially useful for atmospheric process studies such as boundary layer transport and outflow, where knowledge of the thermodynamic 20 structure of the lower atmosphere is important. Figure 7 shows temperature retrievals for 103 individual profiles across flight B290 (Fig. 7a) and the weighted mean flight profiles together with their in situ counterparts (Fig. 7b) in the same manner as that presented for water vapour in Fig. 5. This flight was chosen as there were four dropsondes released over various locations along the 25 Printer-friendly Version Interactive Discussion flight track and we were interested in how MARS might respond to the presence of temperature inversions in the real atmosphere. Figure 7a shows that the retrieved temperature profiles (blue) were consistently negatively biased relative to dropsonde data between 2.5 km and 4 km by up to 5 K at peak. This compares with a negative bias in the European Centre for Medium-range Weather Forecasts (ECMWF) a priori profile of 3 K over the same altitude range. Also, the a priori does not show a weak temperature inversion seen in the dropsonde data between 1.5 km and 2.25 km. In the individual retrievals above 4.5 km, we see a clear tendency away from the a priori toward the dropsonde data and mean bias reduces to less than 0.5 K (see Fig. 7b). However, just 5 G. Allen et al. below the temperature inversion at ∼1.5 km, we see a positive bias in the retrieval of ∼2 K. The retrieval of such a sharp temperature inversion is not expected to be possible from ARIES spectra recorded from high altitude but we might expect (as we do observe here) that the retrieval will manifest such inversions as a positive and negative bias either side of the inversion itself due to smoothing across the inversion prescribed 10 by the averaging kernel. Comparing the AK-convolved in situ profile (green in Fig. 7b) with the retrieved profile (red) we see that much of the negative bias between 2.5 km and 5 km has been removed. The mean-profile-bias averaged across this flight was −0.4 K with a standard deviation of the bias of 1.9 K, which compares with a 2.5 K standard deviation for the in situ 15 validation dataset. The mean-retrieved and AK-convolved profiles in Fig. 7a also fall well within 1σ of the dropsonde data at all altitudes. This suggests that this small bias is indistinguishable within the range of natural variability observed across this flight. From Table 3, we see that mean bias averaged across all flights is −0.7(±1.9K), compared to a 2.1 K standard deviation in the in situ dataset. As this bias is consistently 20 and significantly less than the natural variability, we report the mean a posteriori error (0.9 K) as an appropriate typical uncertainty for individual temperature retrievals from ARIES using MARS. ## 4.4 Methane Figure 8 shows convergence parameters for a typical CH4 retrieval, derived from 25 Interactive Discussion ARIES spectra recorded over the UK mainland around midday at 9.0 km flight altitude during flight B724 from ClearfLo on 30 July 2012. Again we see an excellent simulated spectral fit to the measured ARIES spectrum (Fig. 8a) and a featureless residual (Fig. 8b). The AKs for methane (Fig. 8c) demonstrate significantly less vertical resolution than for H2O or temperature with a DOFS value of 0.86, which compares with the typical simulated DOFS for CH4 of ∼1.0 predicted in Part 1 of this study at similar altitudes. There is clearly more sensitivity to the upper layers of the column (between 5 km and 8 km); however information in these layers is noted to be strongly influenced by the 5 G. Allen et al. layers below. On inspection of the spectrally-resolved weighting function for CH4 (not shown) it can be seen that this arises because of saturation of strong CH4 absorption lines with the remainder of the lower layer information coming from much weaker lines and a commensurately reduced signal-to-noise. This is also typical of IASI retrievals of methane in the troposphere, which likewise show limited penetration and sensitivity 10 ## Title Page into the tropospheric column, and confirms that only partial columns can be usefully reported for ARIES retrievals. It is also important to note that this partial column information is mainly weighted to a 2 km layer below the aircraft. The total a posteriori error (Fig. 8d) on independent retrievals is significant at ∼100 ppb (∼5 %) of in situ concentration across the profile, which is again dominated 15 by the smoothing and measurement (radiometric uncertainty) components. Figure 9a shows 389 methane concentration retrievals (coloured profiles) from flight B725, compared to vertically binned (averaged into 10 equidistant layers across the profile) in situ concentration profiles measured by the FGGA (black). Firstly, we note that the a priori (operationally derived from the MACC database (see Inness et al., 20 2013 and Part 1 of this study for details) in blue shows a significant negative bias relative to in situ data of around 3 % (∼60 ppb at all altitudes). Despite this, the retrieved profiles tend well toward the in-situ data in all cases and the a posteriori error bars (dotted lines in Fig. 9a) always overlap the in situ profile. When averaged across a flight, Fig. 9b shows good agreement between retrieval and in situ data in the flight-averaged 25 Printer-friendly Version Interactive Discussion profiles between 2.5 km and 9 km, but shows a clear negative bias (up to ∼2.5 %) in the lowest layers (below 2 km). This is due to the lack of near-surface sensitivity noted from the AK in Fig. 8c, meaning that the retrieval in those layers tends toward a negatively biased a priori. Partial-column comparisons (see Table 3 and Fig. 9b) for B725 show a mean bias of −11 ppb (0.6 %) of the column-mean with a corresponding 1σ of ∼40 ppb (∼2 %). This agreement in the upper layers demonstrates that the retrieval can allow for large departures in ambient CH4 from expected climatology but also highlights a need for a better choice of a priori (as well as also highlighting a significant important bias in the MACC dataset). To test the sensitivity of MARS to this poor a pri- 5 ori, we also performed retrievals which used the measured in situ profile as the a priori constraint (not shown). This yielded marginally better mean profiles to those shown in Fig. 9b (< 0.5 % bias and a 1σ of 2 %). However, we will report on the use of the MACC prior for validation in-line with the operational MARS scheme, which we would use in the absence of prior knowledge from the FGGA measurements. As such, we can char- 10 acterise performance across the entire ARIES dataset where we have no choice but to rely on the available climatology. ## Title Page Averaged across all flights (see Table 3), the mean bias in the retrieved CH4 columns is −0.6 % with a 1σ of 41 ppb (2.2 %); however the bias for individual flights ranges from −2.7 % (flight B719) to +1.1 % (flight B720). Although this global mean bias is small, 15 the variability in the bias is significant when compared to the measured natural variability (14.8 ppb). Therefore, such bias is not negligible and we therefore characterise uncertainty for methane retrievals with a conservative upper limit of the total a posteriori error, which is consistently ∼5 % (∼100 ppb) for partial columns up to 9 km altitude. ## 4.5 Carbon Monoxide 20 Figure 10 shows convergence parameters for a carbon monoxide retrieval for ARIES spectra recorded over the UK mainland at 7.7 km flight altitude during flight B725 from ClearfLo at 11:55 UT 8 August 2012. Again we see a largely featureless residual broadly comparable with the measurement uncertainty. However, several of the CO lines are not fitted well. This is a persistent feature of the operational CO retrievals and 25 cannot be improved further in the MARS. There are many potential sources for this error. Several principal sources have been investigated which include wavenumber shift and ARIES instrument line shape. Other errors may be associated with the HITRAN 2012 reference spectroscopy used (HITRAN is described by Rothman et al., 2013) for CO but this seems unlikely as such residuals have not been noted in IASI retrievals for example. We note this error here and it is inclusive to the measurement error component seen in Fig. 10d (red line). This equates to ∼10 ppb (∼8 % in concentration terms), making it the second-most dominant term after the smoothing component in 5 the a posteriori error, which is highly significant at between 100 ppb (60 %) at the surface and 10 ppb (25 %) in the uppermost layers). This is similar to the uncertainty of 34 % reported for tropospheric IASI CO retrievals (Illingworth et al., 2011). The AK for CO (Fig. 10c) also demonstrates weak vertical sensitivity to the lowest G. Allen et al. layers (below 2 km) of the atmosphere with a DOFS value of 0.92. This compares 10 ## Title Page well with the typical simulated DOFS for CO of ∼1.0 simulated in Part 1. There is a broad (yet smoothed) sensitivity to much of the partial column below the aircraft with sensitivity down to ∼2 km. Much like CH4, IASI likewise shows limited penetration and sensitivity into the tropospheric column, confirming that, like IASI, only partial columns can be usefully reported for ARIES retrievals of CO. 15 Figure 11a shows 203 CO retrievals from flight B290 (JAIVEx) compared to verticallybinned (10 equidistant levels) in situ concentration profiles measured by the Aerolaser Inc. instrument (black line). The a priori (operationally derived from the MACC database) shows a negative bias relative to the in situ profile of around 30 % (∼20– 45 ppb across the profile). Due to the expected high relative variability of CO in the real 20 atmosphere (evident here by the ±25 ppb 1σ bars for in situ data in Fig. 11a), we use a 20 % a priori uncertainty constraint (as described further in Part 1), which allows the retrieval algorithm to diverge away from a potentially inaccurate climatology. Comparing the flight-mean and in-situ partial columns (Fig. 11b and Table 3) we see a mean bias of −2.2 % and a 1σ of this bias of ±11 % (17 ppb). 25 This high variability in the retrieved bias is lower than the high natural variability in CO Printer-friendly Version Interactive Discussion measured in situ (41 ppb, see Table 3), which represents a special case (other flights did not see such variation). This could indicate that the a priori is over-constrained for this flight. To examine this, we have also tested a more relaxed a priori covariance constraint in MARS. Figure 12a and b show CO mean-flight retrievals for two other flights - B720 and B724, from the MAMM and ClearfLo campaigns, respectively. For those flights, we tested the performance of MARS with a 25 % a priori covariance for each retrieval level (note the wider blue bars in Fig. 12 compared to Fig. 11b). When using this relaxed constraint, and despite the positively biased a priori, we observe 5 G. Allen et al. much better retrieval performance in the mean for altitudes above 2 km when comparing the in situ profile and that convolved with the ARIES AK (black and green lines respectively). For these two flights we see a mean partial column bias of −3 % and −2 % respectively, with a corresponding 1σ of 19 % and 22 %, respectively. This compares to natural sampled variability of 8 % and 12 %, respectively (see Table 3). Given 10 the small overall mean bias (−3 %, 3.3 ppb) in Table 3 compared to the overall natural variability of CO measured in the atmosphere (17 %, 17.6 ppb), which also compares to the variability in the bias (20 %, 20.4 ppb), we can be confident the a posteriori error from individual profiles is a conservative uncertainty for retrievals here; this is ∼21 % of the partial column (see Table 3), which compares favourably to the upper IASI un- 15 certainties of 34 % reported by Illingworth et al. (2011). ## 4.6 Ozone Figure 13 shows convergence parameters for example O3 retrievals over Northern Sweden at 8.3 km flight altitude during flight B719 during the MAMM campaign on 21 July 2012. We see a largely featureless residual comparable within the instrumental 20 radiometric uncertainty (Fig. 13b). The AK shows little vertical resolution and a sensitivity weighted to a layer ∼3 km below the aircraft (Fig. 13c). Total a posteriori error is ∼17 ppb (∼25 % in this example) across the profile and dominated by the smoothing term (80 % of total error), with the measurement error term contributing ∼20 % to the total error (Fig. 8d). 25 We also show results for flight B724 as a special contrasting case. Figure 14a shows 42 O3 retrievals from flight B724 (ClearfLo) compared to vertically-binned in situ concentration profile measured by the 2B Technologies instrument (black). The a priori (operationally derived from the MACC database in this case), has little bias below 7 km but appears to misrepresent the presence of stratospheric air enriched in ozone above 7 km (confirmed also by the aircraft-measured potential temperature profile, not shown). Meteorological charts for this day show a tropopause fold over the area (not shown) - a mesoscale feature not commonly captured by coarse-scale global circula- 5 G. Allen et al. tion models such as those employed for MACC. This makes this case study particularly interesting in assessing the performance of MARS to unexpected events. Encouragingly, the retrieved profiles in Fig. 14 do capture some of the (vertically smoothed) structure of this stratospheric intrusion despite the a priori constraint above 7 km. The AK at 7.1 km (Fig. 13c) contains dominant peaks from both that layer and the two adja- 10 cent layers (8.95 and 5.61 km), and this smoothing is manifest in the retrieved profile as a positive and negative bias in the layers around a rapidly increasing gradient in ozone at 7 km. This is analogous to the retrieval response to the presence of a strong temperature inversion discussed in Sect. 4.3 and shows that MARS can capture important (and unexpected) vertical gradients in ozone within 2 km of the aircraft altitude. 15 Comparing the B724 flight-mean and in situ partial columns (Fig. 14b and Table 3) we see a mean bias of +3.7 % and 1σ of this bias of ±17 % (22.4 ppb), compared to a natural variability of ±8 %. Figure 14b shows the mean bias standard error (red bars) and we see that this overlaps well within the 1σ in situ bars (black). Due to the potential of the FAAM aircraft to routinely sample stratospheric air, two fur- 20 ther flight examples are shown (Fig. 15) for incidences and absences of stratospheric intrusion during flights B720 (MAMM, Fig. 15a), and B290 (JAIVEx, Fig. 15b), respectively. In both examples, the retrieval performs well and captures smoothed vertical structure in the layers within 3 km below the aircraft. In these flights, mean partial column biases were found to be +5.4 % and +8.1 % with 1σ of the bias equal to 20 % and 25 Printer-friendly Version 13 % respectively (Table 3). This compares to natural variability of 17 % and 21 %, respectively. Global dataset bias can be summarised as being small compared to natural variability, which itself is comparable to the bias-standard-deviation. This suggests that bias cannot be distinguished from natural variability and therefore that (as for the other retrieval products), an error on ARIES ozone partial column retrievals is conservatively characterised by the a posteriori error (15 %, 11 ppb weighted mean concentration) for individual profile retrievals. ## 5 Conclusions Atmospheric trace-gas-concentration and thermodynamic profiles have been retrieved 5 G. Allen et al. and validated for the ARIES instrument using the MARS scheme throughout the troposphere and planetary boundary layer for aircraft campaigns around London, the US Gulf Coast, and the Arctic Circle during the ClearfLo, JAIVEX, and MAMM aircraft projects, respectively. Typically high DOFS for temperature (4.71) and water vapour (3.11) confirm that 10 ## Title Page Abstract Introduction Conclusions References Tables Figures vertically-resolved information can be obtained for these parameters, whilst only partialcolumn retrievals of CO, CH4, and O3 can be usefully reported. In the case of temperature and water vapour, PBL inversion layers and dry/moist layers could be qualitatively discerned. Retrieved data were compared to corresponding measurements from high-precision in-situ analysers and dropsondes operated on the FAAM air- 15 craft. Partial-column mean biases (and bias standard deviation) averaged across all flight campaigns were −0.4(±1.9) %, −4.8(±13.1) %, −0.6(±2.1) %, −3.0(±18.4) %, and +4.7(±24.9) % for T, H2O, CH4, CO, and O3, respectively, although such biases (and variability in bias) were much smaller than the measured natural variability. Dataset-averaged a posteriori errors were 0.4 %, 9.5 %, 5.0 %, 21.2 %, and 15.0 %, 20 respectively. Bias and flight-averaged repeatability compare favourably with remote sensing measurement of CH4 from the TCCON network and the MAMAP aircraft instrument and perform significantly better for all tropospheric state parameters studies here compared to IASI. The a posteriori error is quoted here as the typical uncertainty on individually retrieved profiles. 25 Averaging kernels derived for progressively lower altitudes showed improving sensitivity to lower atmospheric layers when flying at lower altitudes, typically peaking between 1 km and 2 km below the aircraft. In particular, vertical structure in this layer was accurately detected and resolved in the case of ozone (e.g. during two stratospheric intrusions not expected in reanalysis thermodynamic and ozone data used as a priori). This demonstrates that valuable additional information content can be obtained by nadir infrared remote sensing using ARIES by optimising the vertical sam- 5 pling of the FAAM aircraft for future atmospheric process studies using the MARS scheme. Acknowledgements. Airborne data was obtained using the BAe-146-301 Atmospheric Research Aircraft [ARA] flown by Directflight Ltd and managed by the Facility for Airborne Atmospheric Measurements [FAAM], which is a joint entity of the Natural Environment Research 10 Title Page Abstract Introduction Council [NERC] and the Met Office. The authors would like to BADC for hosting of, and access to, ECMWF and FAAM data, and the NERC for funding Allen's Fellowship (NE/I021276/1). MACC data provided by the MACC-II project were funded by the European Union under the 7th Framework Programme. Data from the MAMM project were obtained under NERC funding (N/E NE/I029293/1) and data have been used here with permission of the MAMM Principal 15 Conclusions References Investigator (John Pyle, Cambridge University). Tables Figures ## References ◀ ▶ Blumstein, D., Chalon, G., Carlier, T., Buil, C., Hebert, P ., Maciaszek, T., and Jegou, R.: IASI in- ◀ ▶ strument: technical overview and measured performances, in: Optical Science and Technology, the SPIE 49th Annual Meeting, 196–207, International Society for Optics and Photonics, 20 Back Close 2004. Bohnenstengel, S. I., Belcher, S. E., Allan, J. D., Allen, G., Bacak, A., Bannan, T. J., Barlow, J. F., Full Screen / Esc Printer-friendly Version Beddows, D. C. S., Bloss, W. J., Booth, A. M., Chemel, C., Coceal, O., Di Marco, C. F., Faloon, K. H., Fleming, Z., Furger, M., Geitl, J. K., Graves, R. R., Green, D. C., Grimmond, C. S. B., Halios, C., Hamilton, J. F., Harrison, R. M., Heal, M. R., Heard, D. E., 25 ## Interactive Discussion Helfter, C., Herndon, S. C., Holmes, R. E., Hopkins, J. R., Jones, A. M., Kelly, F. J., Kotthaus, S., Langford, B., Lee, J. D., Leigh, R. J., Lewis, A. C., Lidster, R. T., Lopez-Hilfiker, F. D., McQuaid, J. B., Mohr, C., Monks, P . S., Nemitz, E., Ng, N. L., Percival, C. J., Prévôt, A. S. H., Ricketts, H. M. A., Sokhi, R., Stone, D., Thornton, J. A., Tremper, A. H., Valach, A. C., Visser, S., Whalley, L. K., Williams, L. R., Xu, L., Young, D. E., and Zotter, P .: Meteorology, air quality, and health in London: the ClearfLo project, B. Am. Meteorol. Soc., in press, 2014. Boynard, A., Clerbaux, C., Coheur, P .-F., Hurtmans, D., Turquety, S., George, M., Hadji- Lazaro, J., Keim, C., and Meyer-Arnek, J.: Measurements of total and tropospheric ozone 5 from IASI: comparison with correlative satellite, ground-based and ozonesonde observations, Atmos. Chem. 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J., Errera, Q., Flemming, J., George, M., Granier, C., Hadji-Lazaro, J., Huijnen, V., Hurtmans, D., Jones, L., Kaiser, J. W., Kapsomenakis, J., Lefever, K., Leitão, J., Razinger, M., Richter, A., Schultz, M. G., Simmons, A. J., Suttie, M., Stein, O., Thépaut, J.-N., 30 Thouret, V., Vrekoussis, M., Zerefos, C., and the MACC team: The MACC reanalysis: an 8 yr data set of atmospheric composition, Atmos. Chem. Phys., 13, 4073–4109, doi:10.5194/acp- 13-4073-2013, 2013. Krings, T., Gerilowski, K., Buchwitz, M., Reuter, M., Tretner, A., Erzinger, J., Heinze, D., Pflüger, U., Burrows, J. P ., and Bovensmann, H.: MAMAP - a new spectrometer system for column-averaged methane and carbon dioxide observations from aircraft: retrieval algorithm and first inversions for point source emission rates, Atmos. Meas. Tech., 4, 1735–1758, doi:10.5194/amt-4-1735-2011, 2011. 5 Larar, A. M., Smith, W. L., Zhou, D. K., Liu, X., Revercomb, H., Taylor, J. P ., Newman, S. M., and Schlüssel, P .: IASI spectral radiance validation inter-comparisons: case study assessment from the JAIVEx field campaign, Atmos. Chem. Phys., 10, 411–430, doi:10.5194/acp-10- 411-2010, 2010. Marenco, F . and Hogan, R. J.: Determining the contribution of volcanic ash and boundary layer 10 G. Allen et al. aerosol in backscatter lidar returns: a three component atmosphere approach, J. Geophys. Res.-Atmos., 116, D00U06, doi:10.1029/2010JD015415, 2011. Newman, S. M., Larar, A. M., Smith, W. L., Ptashnik, I. V., Jones, R. L., Mead, M. I., Revercomb, H., Tobin, D. C., Taylor, J. K., and Taylor, J. P .: The Joint Airborne IASI Validation Title Page Experiment: an evaluation of instrument and algorithms, J. Quant. Spectrosc. Ra., 11, 1372– 15 Abstract Introduction 1390, 2012. O'Shea, S. J., Bauguitte, S. J.-B., Gallagher, M. W., Lowry, D., and Percival, C. J.: Development Conclusions References of a cavity-enhanced absorption spectrometer for airborne measurements of CH4 and CO2, Atmos. Meas. Tech., 6, 1095–1109, doi:10.5194/amt-6-1095-2013, 2013. Rothman, L. S., Gordon, I. E., Babikov, Y., Barbe, A., Chris Benner, D., Bernath, P . F., Birk, M., 20 Bizzocchi, L., Boudon, V., Brown, L. R., Campargue, A., Chance, K., Cohen, E. A., Coudert, L. H., Devi, V. M., Drouin, B. J., Fayt, A., Flaud, J.-M., Gamache, R. R., Harrison, J. J., Hartmann, J.-M., Hill, C., Hodges, J. T., Jacquemart, D., Jolly, A., Lamouroux, J., Le Roy, R. J., Li, G., Long, D. A., Lyulin, O. M., Mackie, C. J., Massie, S. T., Mikhailenko, S., Müller, H. S. P ., Naumenko, O. V., Nikitin, A. V., Orphal, J., Perevalov, V., Perrin, A., Polovtseva, E. R., 25 Richard, C., Smith, M. A. H., Starikova, E., Sung, K., Tashkun, S., Tennyson, J., Toon, G. C., Tyuterev, G., and Wagner, G.: The HITRAN2012 molecular spectroscopic database, J. Quant. Spectrosc. 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A., Macatangay, R., Machida, T., Matsueda, H., Moore, F., Morino, I., 5 Park, S., Robinson, J., Roehl, C. M., Sawa, Y., Sherlock, V., Sweeney, C., Tanaka, T., and Zondlo, M. A.: Calibration of the Total Carbon Column Observing Network using aircraft profile data, Atmos. Meas. Tech., 3, 1351–1362, doi:10.5194/amt-3-1351-2010, 2010. Wunch, D., Toon, G. C., Blavier, J.-F. L., Washenfelder, R. A., Notholt, J., Connor, B. J. Griffith, D. W. T., Sherlock, V., and Wennberg, P . O.: The total carbon column observing network, 10 G. Allen et al. Philos. T. R. Soc. A, 369, 2087–2112, 2011. G. Allen et al. Instrument Technique Parameter Reference/Company Title Page Aerolaser AL5002 Fluorescence CO Aero-Laser GmbH, Gerbig et al. (1999) 2B Technologies 202 ozone analyser UV absorption O3 2B Technologies Inc Abstract Introduction Conclusions References Los Gatos FGGA Cavity enhanced absorption spectroscopy CH4, CO2 Los Gatos Inc., O'Shea et al. (2013) Aerodyne QCLAS Quantum Cascade Laser absorption Spectroscopy CH4, N2O Aerodoyne Inc. General Eastern GE 1011B Hygrometer Chilled mirror dewpoint H2O General Eastern Inc. | Rosemount/Goodrich type 102 | Thermistor | |-------------------------------|--------------| | T | | | Rosemount | | | Aerospace Inc. | | | Airborne Vertical Atmospheric | | | Profiler System (AVAPS) | | | Dropsonde | | | + | | | GPS | | | T | | | , | | | P | | | , RH, winds | Vaisala Inc | | Mini Lidar Leosphere ALS450 | |-------------------------------| | Marenco et al. (2011) | ## From Aircraft G. Allen et al. | Retrieval Parameter | Spectral Window | Co-retrieved parameters | |-----------------------|-------------------|---------------------------| T 690–775 cm−1 Ts, H2O, Aerosol extinction, CO2 H2O 1200–1410 cm−1 Ts, H2O, Aerosol extinction CH4 1240–1290 cm−1 Ts, H2O, Aerosol extinction O3 990–1040 cm−1 Ts, H2O, Aerosol extinction CO 2143–2181 cm−1 Ts, H2O, Aerosol extinction | Param | Flight | |-------------|----------| | N | | | DOFS | | | ϵ | | | p | | | Mean Bias | | | σ | | | bias | | | σ | | | true | | | T | | | B290 | 209 | | − | | | 0.4(0.2 %) | 1.9 | | B720 | 41 | | − | | | 1.3(0.6 %) | 1.5 | | B724 | 27 | | − | | | 1.1(0.5 %) | 2.1 | | B725 | 125 | | − | | | 0.7(0.3 %) | 1.9 | | All | 402 | | − | | | 0.7(0.3 %) | 1.9 | | H | | | 2 | | | O | B290 | | − | | | 910(4.4 %) | 1030 | | B720 | 41 | | + | | | 560(5.7 %) | 760 | | B724 | 20 | | − | | | 650(4.9 %) | 1540 | | B725 | 125 | | − | | | 270(2.8 %) | 1680 | | All | 389 | | − | | | 479(4.8 %) | 1111 | | CH | | | 4 | | | B719 | 14 | | − | | | 45(2.7 %) | 67.6 | | B720 | 24 | | + | | | 21(1.1 %) | 63.2 | | B724 | 20 | | − | | | 29(1.5 %) | 19.3 | | B725 | 389 | | − | | | 11(0.6 %) | 40.1 | | All | 447 | | − | | | 11.2(0.6 %) | 41.3 | | CO | B290 | | − | | | 2.2(2 %) | 17.1 | | B719 | 41 | | − | | | 1.0(1.3 %) | 13.2 | | B720 | 41 | | − | | | 3.2(3 %) | 19.2 | | B724 | 30 | | − | | | 2.0(2 %) | 22.4 | | B725 | 110 | | − | | | 6.3(6 %) | 30.2 | | All | 425 | | − | | | 3.3(3 %) | 20.4 | | O | | | 3 | | | B290 | 191 | | + | | | 8.1(12 %) | 9.0 | | B719 | 41 | | + | | | 4.0(6.0 %) | 14.9 | | B720 | 58 | | + | | | 4.4(5.4 %) | 16.3 | | B724 | 42 | | + | | | 3.3(3.7) % | 31.2 | | B725 | 25 | | − | | | 2.2(3.0) % | 22.1 | | All | 357 | | + | | | 3.5(4.7 %) | | | 18.7 | 14.1 | G. Allen et al. Title Page Abstract Introduction Conclusions References Tables Figures ◀ ## 746 747 Coded For Altitude As Indicated In The Legend. Permission Granted By Google Maps 748 Terrametrics, Inc To Display The Imagery Shown Here. 749 Validation And Results From Aircraft Campaigns 751 granted by Terrametrics, Inc to display the imagery shown here. Figure 2 Flight track of FAAM flights B724 (thick track) and B725 (thin track) on 30 July 2012 752 9 August 2012 respectively, and colour-coded for altitude as indicated in the legend. Permiss 753 granted by Terrametrics, Inc to display the imagery shown here. 754 ## 755 Validation And Results From Aircraft Campaigns 756 757 18 July 2012 Respectively, And Colour-Coded For Altitude As Indicated In The Legend. P 758 Granted By Google Maps And Terrametrics, Inc To Display The Imagery Shown Here. 759 760 Validation And Results From Aircraft Campaigns Figure 4: Example retrieval metrics for H2O during flight B290 over the Gulf of Mexico at 7.4 km 762 altitude showing: (a) Measured (ARIES, black) and fitted (green) spectra; (b) Residual difference 763 between the ARIES-measured and fitted spectrum (red) and noise-equivalent spectral radiance 764 (NESR, black); (c) Averaging kernels (and degrees of freedom for signal, inset); d) Total and 765 component systematic and random error components. 766 Fig. 4. Example retrieval metrics for H2O during flight B290 over the Gulf of Mexico at 7.4 km altitude showing: **(a)** measured (ARIES, black) and fitted (green) spectra; **(b)** residual difference between the ARIES-measured and fitted spectrum (red) and noise-equivalent spectral radiance (NESR, black); **(c)** averaging kernels (and degrees of freedom for signal, inset); **(d)** total and ## Amtd Validation And Results From Aircraft Campaigns Validation And Results From Aircraft Campaigns 775 777 Figure 6: Example retrieval metrics for temperature during flight B724 over land at 8.9 km 778 altitude showing: (a) Measured (ARIES) and fitted spectra; (b) Residual difference between the 779 ARIES-measured spectrum and fitted spectrum; (c) Averaging kernels (and degrees of freedom 780 for signal, inset); d) Total and component systematic and random error components. 781 ## Amtd Validation And Results From Aircraft Campaigns Validation And Results From Aircraft Campaigns 785 786 787 788 789 791 (d) total and component systematic and random error components. Figure 8: Example retrieval metrics for CH4 during flight B724 over land at 9.0 km altitude 792 showing: (a) Measured (ARIES) and fitted spectra; (b) Residual difference between the ARIES- 793 measured spectrum and fitted spectrum; (c) Averaging kernels (and degrees of freedom for 794 signal, inset); d) Total and component systematic and random error components. 795 797 uncertainty (total error) is shown by the red bars. Figure 9: a) 389 individual methane concentration retrieval profiles across flight B725 colour- 798 coded for observer (flight) altitude (red = 8.7 km, yellow = 6.1 km, green = 4.8 km). Retrieval 799 uncertainty (total error) is shown as the dotted bars in each case. In situ and a priori profiles are 800 also shown as per legend; b) Mean profiles from flight B725 for: retrieved (red), in-situ-measured 801 (black), in-situ average convolved with ARIES averaging kernels (green); and a priori (blue). 802 Standard deviations of the measurement variability and a priori are shown as correspondingly- 803 coloured bars at each binned vertical level and the root mean square retrieval uncertainty (total 804 error) is shown by the red bars. 805 807 808 809 810 811 3436 ## Validation And Results From Aircraft Campaigns Amtd Validation And Results From Aircraft Campaigns G. Allen et al. and component systematic and random error components. Figure 13: Example retrieval metrics for O3 during flight B719 over sea at 8.3 km altitude 828 showing: (a) Measured (ARIES) and fitted spectra; (b) Residual difference between the ARIES- 829 measured spectrum and fitted spectrum; (c) Averaging kernels (and degrees of freedom, inset); 830 d) Total and component systematic and random error components. 831 ## Validation And Results From Aircraft Campaigns Amtd Validation And Results From Aircraft Campaigns G. Allen et al. Fig. 15. (a) As for Fig. 14b but for 58 ozone concentration retrieval profiles averaged for flight B720; and **(b)** as for Fig. 14b but for 191 ozone concentration retrieval profiles averaged for flight B290. Figure 15: a) As for Figure 14b but for 58 ozone concentration retrieval profiles averaged for 843 flight B720; and b) As for Figure 14b but for 191 ozone concentration retrieval profiles averaged 844 for flight B290. 845

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## Internal Audit Report St Paul'S Ce Primary School (N11) 19 March 2018 To: Chair of Governors Headteacher Copied to: Education and Skills Director Strategic Director (Children and Young People) School Finance Manager (Finance Service) Local Authority Appointed Governor Clerk to Governors Contact: Internal audit We would like to thank management and staff of St Paul's School for their time and co-operation during the course of the internal audit. ## Cross Council Assurance Service Executive Summary | Assurance level and Direction of Travel | Number of actions by risk category | |--------------------------------------------|-----------------------------------------| | Limited | | | Critical | High | | - | | | | | | 1 | | | | | | 5 | 2 | | | | ## Background And Scope The audit of St Paul's School was carried out as part of the planned School audits for 2017-18. The audit review covered the period April 2016 to January 2018. St Paul's School is a Voluntary aided school with 221 pupils on role aged between 3 and 11 years of age. The School budgeted expenditure for 2017/18 is £1,333,696 with employee costs of £897,183 (67% of budgeted expenditure). The School was assessed as 'Good' by OFSTED in March 2014. A review of the five recommendations reported in the previous audit report dated 3 February 2014 found that three recommendations had been repeated (Income, After school club and Voluntary funds). The aim of the audit is to provide assurance on key areas of financial management. The review covered all major systems within the school to ensure compliance with the Scheme for Financing Schools and the Barnet Financial Guide for Schools, including Barnet Contract Standing Orders for Schools. The scope of the audit included assessment of the following:- - adequacy of accounting, financial and other controls; - compliance with established plans and procedures; - the integrity and reliability of financial and other information; - whether assets and other interests of the Council are properly safeguarded; and - whether the use of resources achieves value for money. In addition to the above, a review of the 'Schools Financial Values Standard' (SFVS) self-assessment was conducted to ensure that the self-assessment has been completed in line with requirements. The standard has been designed to assist schools in managing their finances and to give assurance that they have secure financial management in place. ## Summary Of Findings The table provided in Appendix 2 lists the areas audited and the number of recommendations in each area. Definitions of audit assurance levels and risk ratings for the issues identified are provided in Appendix 1. As part of the audit we were able to give **'Limited'** Assurance to the school, noting one high, five medium and two low priority issues as part of the audit: - Governance– The school does not have an up to date Financial Procedures Manual to accompany the recently approved Financial Scheme of Delegation. (Finding one, low rated); - Purchasing– Procedures when using the school credit cards should be reviewed, documented and agreed by Governors to ensure a complete audit trail, separation of duties and proof of receipt of goods. Delivery notes should always be signed. (Finding two, medium rated); - Contracts– A signed contract was not available in school for the cleaning contract. No evidence of review of the cleaning contract. Evidence was not retained to confirm compliance with Contract Standing orders for schools when entering into agreements for leased photocopiers. (Finding three, medium rated); - Income– Record keeping for breakfast club income received into the school should be reviewed and updated to comply with the financial guide for schools. Adequate records should be maintained to provide a complete record of payments to date and outstanding debts. A system should be created where a regular review of income is undertaken by a senior member of staff. (Finding four, medium rated); - Lettings– The school should have an up to date signed agreement with regular users of the school premises, stating that they agree to the terms and conditions of hire. Administration arrangements should be adequate and effective. (Finding five, medium rated); - Voluntary funds– The accounting records for the voluntary fund were not available at the audit. It could not be confirmed that the account had been closed subsequent to the last internal audit visit and the balance transferred to the school's delegated budget. (Finding six, high rated); - Assets– The IT inventory was not found to be complete. No evidence of annual review or Governor Authorisation of disposals. (Finding seven, medium rated). Following our 'Schools Financial Values Standard' (SFVS) self - assessment review we were able to confirm that there were no major discrepancies in judgements noted, however, although the School has responded with 'Yes' or 'N/A', in the areas outlined below, it is the opinion of audit that this area has either not been met, or met 'In-Part' (refer also to Appendix 3 below): A5: Are business interests of governing body members and staff properly registered and taken into account so as to avoid conflicts of interest? - The school has answered 'Yes', but there was no evidence of review of business interests of office staff. C14: Does the school benchmark its income and expenditure annually against that of similar schools and investigate further where any category appears to be out of line? - The school has answered 'Yes, but there was no evidence in school that this was completed annually. D20: Is the governing body sure that there are no outstanding matters from audit reports or from previous consideration of weaknesses by the governing body? - The school has answered 'Yes', but three findings from the previous audit have been repeated (Income, After school club and Assets) D21: Are there adequate arrangements in place to guard against fraud and theft by staff, contractors and suppliers? - The school has answered 'Yes', but refer to Finding (Purchasing/Income/Voluntary funds/Assets), which should be addressed to ensure procedures are as robust as possible. ## D24: Does The School Have Adequate Arrangements For Audit Of Voluntary Funds?-The Accounting Records For The Amenities Account Were Not Available At The Audit. D25: Does the school have an appropriate business continuity or disaster recovery plan, including an up-to-date asset register and adequate insurance? - The school has answered 'Yes', but the asset register was not found to be complete. ## 2. Findings, Recommendations And Action Plan | | | | | | |-----|---------|-------|---------------|------------------| | Ref | Finding | Risks | Risk category | Agreed action(s) | ## 1. Governance Objective - To ensure the responsibilities of the governing body, its committees, the head teacher and staff are clearly defined and limits of delegated authority established; and that management, organisation and arrangements are adequate and effective leading to sound financial decisions. There is a risk to the effective financial management of the School if, in the absence of an up to date Financial Management and Procedures Policy, Governing Body members and key staff are not able to fulfil their responsibilities consistently. Finding - The school has recently approved a Financial Scheme of Delegation which includes reference to the schools' Financial Procedures Manual'. The school previously held a Financial Management Policy and Procedures document for internal use, but this has not been kept up to date. No other Financial Procedures Manual was available in school. There is a risk: ## 2. Purchasing Objective - To ensure that the School's purchasing, tendering and contracting arrangements achieve value for money i) That goods and services may be purchased which are not in line with School requirements; Finding - ii) Payments could be made by the School without receiving the goods/services, in the absence of proper verification of receipt; a) The school has school credit cards issued to the Headteacher and Deputy Headteacher that are used to purchase school supplies online. The school credit card policy could not be found during the audit visit. A review of school procedures found that a purchase log was prepared, but this did not allow for separation of duties between purchasing and authorising officer. Confirmation of receipt of goods was not always recorded for credit card purchases. Supplementary guidance issued by the Schools Finance Manager in November 2016 states that where the Headteacher is making the purchase using a credit card, approval for the purchase will be required from the Chair of Governors. This approval was not recorded for purchases made by the former Headteacher. | Low | Actions: | |----------------------------------------------|-------------| | The school will approve a Financial | | | Procedures Manual to accompany the | | | Financial Scheme of Delegation. | | | Responsible officer: | | | Headteacher/Governors | | | Target date: | | | Summer term 2018 | | | | | | Medium | Actions: | | The School will approve a credit card policy | | | and use of the school credit cards to | | | ensure that all purchases are reviewed and | | | executed in accordance with requirements | | | as approved within the School's Financial | | | Procedures Manual, ensuring at all times | | | that a separation of duties exists between | | | purchase order request, purchase order | | | approval and online payment by credit | | | card, sufficient budget is available, a | | | record is kept of delivery to the school and | | | that approved purchase orders and credit | | | card authorisation forms are retained for | | | each purchase for independent review and | | | scrutiny where necessary. When the | | | Headteacher's | credit | | purchases will be countersigned by the | | | Chair of Governors. | | Delivery notes will be signed to evidence checking of goods received. These will be | | | | | | |-------------------------------------------------------------|---------|-------|---------------|------------------| | Ref | Finding | Risks | Risk category | Agreed action(s) | | b) During our review of paid invoices it was noted that | | | | | | delivery notes had not been signed to confirm quality and | | | | | | quantity of goods received. | | | | | | | | | | | | 3. | | | | | | Contracts | | | | | | There is a risk that the school may not | | | | | | be seen to be: | | | | | | - Achieving 'value for money'; | | | | | | Objective - | | | | | | To ensure that the School's purchasing, | | | | | | tendering and contracting arrangements achieve value for | | | | | | money | | | | | | Finding - | | | | | | A signed contract could not be found in school for | | | | | | the cleaning contract. Annual contract value £16,500. | | | | | | - Demonstrating that it has acted in a | | | | | | fair and transparent manner when | | | | | | selecting contracts for works and | | | | | | services. | | | | | | There was no evidence that alternative quotes had been | | | | | | sought, or any documented review of performance for the | | | | | | cleaning contract. | | | | | | Without a formally signed contract | | | | | | confirming acceptance of terms and | | | | | | conditions and conditions by all parties, | | | | | | there is a risk that disputes may not be | | | | | | resolved correctly. | | | | | | | | | | | | The school has a number of photocopier lease contracts. | | | | | | Although the school advised that a value for money exercise | | | | | | had been undertaken, paperwork was not retained, and | | | | | | there was no evidence of Governor approval where the | | | | | | contract entered into was in excess of £10,000. | | | | | | | | | | | ## 4. Income There is a risk of errors, financial loss and possible fraud or misappropriation of income, in the absence of; -Independent checks to confirm Objective - To ensure that all income due to the school is identified, collected, receipted, recorded and banked promptly and that, administration arrangements are adequate and effective. amounts banked agree to source records; Finding - filed with purchase orders and invoices in a systematic manner. Responsible officer: Headteacher/Governors/Office staff Target date: Summer term 2018 Medium Actions: Signed contracts will be retained for referral where necessary. For procurement exercises, quotes will be obtained and evaluated in line with 'Contract standing order for schools.' Records of quotes and evaluations will be retained for referral and scrutiny. Minutes of meetings will include consideration by governors of quotations for the renewal/procurement of any relevant contract, in order to ensure that there is clear and visible evidence of a fair and transparent selection process. Responsible officer: Headteacher/Governors/Office staff Target date: Next Contract Renewal Medium Actions: Strict income controls and procedures will be put in place to ensure effective financial management. Independent checks should be carried out to verify amounts banked agree to source records. These checks should be visibly evidenced. Reference: | | | | | | |-----------------------------------------|---------|-------|---------------|------------------| | Ref | Finding | Risks | Risk category | Agreed action(s) | | -Clear audit trails and records for all | | | | | | income due/received. | | | | | | | | | | | | | | | | | a) Our review of the income system found that attendance records are kept for the breakfast club run by members of staff. Although amounts were seen to be banked, we were unable to evidence reconciliations of the register/receipt record to the amounts that had been paid into the bank. The Financial Guide for schools requires that documentation retained is structured and formal - which will aid considerably in the absence of key staff. It is recommended that the school documents systems, procedures, duties and responsibilities for requesting and recording income from breakfast club. The school should maintain a complete record of payments to date and outstanding debts in a format which is easily updated and visibly reviewed by a senior member of staff on a regular basis. b) Detailed records are kept in school to record receipt of money received for school meals. The school advised that two members of staff were involved in checking money banked, but there was no evidence of this check retained for audit purposes. There was no regular documented review of outstanding debts on a regular basis by a senior member of staff. (2016/7 Pupil paying meal income was £23,320.) ## 5. Lettings Objective - To ensure that all income due from lettings to the school is identified, collected, receipted, recorded and banked promptly and that, administration arrangements are adequate and effective. There is a risk that without formal approval from the Governing Body and comprehensive agreements, disputes and misunderstandings may occur without any point of reference by which to resolve them. There is a risk of errors, financial loss and possible fraud or misappropriation of income, in the absence of; -Independent checks to confirm amounts banked agree to source records; Finding - The school premises are used by external providers. No letting policy was available at the audit. No invoices for lettings were seen to be raised although regular amounts were banked from one user of school premises. The school provided a service agreement document dated July 2017 for use of the premises by KidFit Coaching Services who run an afterschool activity club and Holiday club for ten weeks of the school holidays. The Service agreement provided income to the school £1,200, but the -Clear audit trails and records for all income due/received. The Barnet Schools Financial Guide, section 7 (Income collection and administration) Responsible officer: Headteacher/Office staff Target date: Summer term 2018 Medium Actions: The Lettings procedures will be reviewed with reference to the Barnet Schools Financial Guide, section 7.9 (Lettings Policy and Administration). Governors will agree a lettings policy, and formal invoicing procedures will be agreed. All outstanding money to the school will be collected from users of the school premises. ## Responsible Officer: Headteacher/Governors/Office staff Target date: Summer term 2018 | | | | | | |-------------------------------------------------------|---------|-------|---------------|------------------| | Ref | Finding | Risks | Risk category | Agreed action(s) | | | | | | | | school were unable to confirm if this amount had been | | | | | | invoiced or received. | | | | | ## 6. Voluntary Funds Objective - The audit objective was to ensure that voluntary funds are administered as rigorously as public funds. Failure to apply the same standards of financial accounting, which apply to income and expenditure for the school's delegated budget, could lead to misuse of funds and loss of revenue to the School. Finding - At the date of the last audit in February 2014 it was noted that the school was operating an Amenities account. The audit report stated that the funds had not been audited on an annual basis, and the level of accountability and stewardship was not the same standard as for the School's delegated budget. In February 2014 the school agreed to close the Amenities account. Due to staff changes in school, records after August 2010 could not be found during the audit visit. ## 7. Assets Objective - To ensure that the school has adequate controls and records to safeguard its valuable/moveable assets and items of inventory. Failure to maintain a complete and accurate inventory could result in the School failing to identify possible lost/missing equipment and having insufficient details to provide in the event of an insurance claim. Finding - A review of the school's IT inventory, found that insufficient details were recorded to comply with the Financial Guide for schools (no note for all assets of cost or date of purchase.) There was no evidence of annual review, or Governor approval of disposals High Actions: The school will continue investigations with the support of the Schools Finance Support Service and Governors to locate missing paperwork. If the accounting records are located by the school, then the school will submit audited accounts to Governors in accordance with the Financial Guide for schools section 10. If the accounting records cannot be located by current staff, then the school will obtain records from the school bankers to establish that the Amenities account was closed, and the destination of the final balance. This information will be presented to Governors Responsible officer: Headteacher/Governors/Office staff Target date: Summer term 2018 Medium Actions: The Inventory will be updated with reference to the Barnet Schools Financial Guide, section 4.8 (Control of Assets). Annual check will be completed and Governors will approve disposals. Responsible officer: Headteacher/Governors/Caretaker | | | | | | |------------------|---------|-------|---------------|------------------| | Ref | Finding | Risks | Risk category | Agreed action(s) | | Target date: | | | | | | Summer term 2018 | | | | | | | | | | | | | | | | | ## Appendix 1: Definition Of Risk Categories And Assurance Levels In The Executive Summary Risk rating Critical Critical issue where action is considered imperative. Action to be effected immediately.  High Fundamental issue where action is considered imperative to ensure that the School is not exposed to high risks, also covers breaches of legislation and policies and procedures. Action to be effected within 1 to 3 months.  Medium Significant issue where action is considered necessary to avoid exposure to risk. Action to be effected within 3 to 6 months.  Low Issue that merits attention/where action is considered desirable. Action usually to be effected within 6 to 12 months.  Level of assurance Substantial The standard of controls operating in the systems audited at the school is robust and provides substantial confidence that the school is protected from loss, waste, fraud or error.  Reasonable The standard of controls operating gives reasonable assurance that the school is protected from loss, waste, fraud or error but there may be areas which need to be strengthened to provide robust confidence in the system of internal control.  Limited The standard of controls is insufficient to give confidence that the school is protected from loss, waste, fraud or error. Prompt attention needs to be given to strengthening one or more areas of the control system before sufficient confidence is provided.  No The standard of controls is poor and places the school in potential danger of loss from waste, loss, fraud or error. Urgent attention needs to be given by management to addressing weaknesses identified in the audit.  ## Appendix 2 - Areas Audited And Analysis Of Findings | | | | | | | Summary of Findings | |------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------|---------------|------------------|--------|-----|------------------------| | Area | | Critical | High | Medium | Low | Advisory | | Governance | | | | | | | | | | | 1 | | | | | | | | | | | | | Financial Planning | | | | | | | | | | | | | | | | | | | | | | | | Budget Monitoring | | | | | | | | | | | | | | | | | | | | | | | | Purchasing | | | | | | | | | | 1 | | | | | | | | | | | | | | Contracts | | | | | | | | | | 1 | | | | | | | | | | | | | | Income | | | | | | | | | | 1 | | | | | | | | | | | | | | Lettings | | | | | | | | | | 1 | | | | | | | | | | | | | | Banking & Petty Cash | | | | | | | | | | | | | | | | | | | | | | | | Payroll | | | | | | | | | | | | | | | | | | | | | | | | Tax | | | | | | | | | | | | | | | | | | | | | | | | Voluntary Funds | | | | | | | | | 1 | | | | | | | | | | | | | | | Assets | | | | | | | | | | 1 | | | | | | | | | | | | | | Insurance | | | | | | | | | | | | | | | | | | | | | | | | Data Security | | | | | | | | | | | | | | | | | | | | | | | | Pupil Premium | | | | | | | | | | | | | | | | | | | | | | | | Safeguarding* | | | | | | | | | | | | | | | | | | | | | | | | Schools Financial Values Standard | | | | | | | | | | | 1 | | | | | | | | | | | | | | | | | | | | | *Scope limited to confirmation as to whether the school has completed a Safeguarding audit tool and whether any issues were noted over its Single Central Record | | | | | | | | Timetable | | | | | | | | Audit agreed: | | | | | | | | | | | | | | | | Fieldwork | | | | | | | | commenced: | | | | | | | | Fieldwork | | | | | | | | completed: | | | | | | | | Draft report issued: | | | | | | | | | | | | | | | | Management | | | | | | | | comments received: | | | | | | | | Final report issued: | | | | | | | | | | | | | | | | 13 November 2017 | 19 February 2018 | 19 March 2018 | 20 February 2018 | | | | | | | | | | | | | 05 March 2018 | | | | | | | | | | | | | | | | 19 March 2018 | | | | | | | | | | | | | | | ## Appendix 3 - Review Of Schools Financial Values Standard 17/18 | AUDIT CONCLUSION FOLLOWING | LIST OF QUESTIONS | |-------------------------------------------------------------------------------------------|-----------------------------------------| | SCHOOL | | | REVIEW OF COMMENTS AND | | | RESPONSE | | | | | | EVIDENCE | | | A: The Governing Body and School Staff | | | | | | | | | | | | Yes | Agreed | | have adequate financial skills among its members to fulfil its role of challenge and | | | support in the field of budget management and value for money? | | | | | | Yes | Agreed | | of reference and a knowledgeable and experienced chair? | | | | | | Yes | Agreed | | school staff in the financial field? | | | Yes | Agreed | | 4. Does the governing body receive clear and concise monitoring reports of the school's | | | budget position at least three times a year? | | | 5. Are business interests of governing body members and staff properly registered and | | | taken into account so as to avoid conflicts of interest? | | | Yes | In Part - Business Interests forms were | | not signed by office staff | | | Yes | Agreed | | when specialist finance staff are absent, eg on sick leave? | | | 7. Does the school review its staffing structure regularly? | Yes | | Yes | Agreed | | performance criteria? | | | Yes | Agreed | | process in relation to the headteacher? | | | B: Setting the Budget | | | | | | | | | Yes | Agreed | | for raising standards and attainment? | | | | | | Yes | Agreed | | capital funds, for at least three years, using the best available information? | | | | | Yes Agreed 12. Does the school set a well-informed and balanced budget each year (with an agreed and timed plan for eliminating any deficit)? Yes Agreed 13. Is end year outturn in line with budget projections, or if not, is the governing body alerted to significant variations in a timely manner, and do they result from explicitly planned changes or from genuinely unforeseeable circumstances? C: Value for Money Yes In Part - no evidence of annual review 14. Does the school benchmark its income and expenditure annually against that of similar schools and investigate further where any category appears to be out of line? Yes Agreed 15. Does the school have procedures for purchasing goods and services that both meet legal requirements and secure value for money? Yes Agreed 16. Are balances at a reasonable level and does the school have a clear plan for using the money it plans to hold in balances at the end of each year? Yes Agreed 17. Does the school maintain its premises and other assets to an adequate standard to avoid future urgent need for replacement? Yes Agreed 18. Does the school consider collaboration with others, eg on sharing staff or joint purchasing, where that would improve value for money? Yes Agreed 19. Can the school give examples of where it has improved the use of resources during the past year? D: Protecting Public Money Yes In Part - three findings have been repeated 20. Is the governing body sure that there are no outstanding matters from audit reports or from previous consideration of weaknesses by the governing body? 21. Are there adequate arrangements in place to guard against fraud and theft by staff, contractors and suppliers (please note any instance of fraud or theft detected in the last 12 months)? Yes Refer to Findings/Recommendations Purchasing/Income/Voluntary funds/Assets Yes Agreed 22. Are all staff aware of the school's whistleblowing policy and to whom they should report concerns? Yes Agreed 23. Does the school have an accounting system that is adequate and properly run and delivers accurate reports, including the annual Consistent Financial Reporting return? 24. Does the school have adequate arrangements for audit of voluntary funds? N/A Records were not available at audit Yes In Part - Asset register is not complete 25. Does the school have an appropriate business continuity or disaster recovery plan, including an up-to-date asset register and adequate insurance? ## Appendix 4 - Internal Audit Roles And Responsibilities Limitations Inherent To The Internal Auditor'S Work We Have Undertaken The Review Of St Paul'S School, Subject To The Limitations Outlined Below. Internal Control Internal control systems, no matter how well designed and operated, are affected by inherent limitations. These include the possibility of poor judgment in decision-making, human error, control processes being deliberately circumvented by employees and others, management overriding controls and the occurrence of unforeseeable circumstances. ## Future Periods Our assessment of controls is for the period specified only. Historic evaluation of effectiveness is not relevant to future periods due to the risk that: - the design of controls may become inadequate because of changes in operating environment, law, regulation or other; or - the degree of compliance with policies and procedures may deteriorate. Responsibilities of management and internal auditors It is management's responsibility to develop and maintain sound systems of risk management, internal control and governance and for the prevention and detection of irregularities and fraud. Internal audit work should not be seen as a substitute for management's responsibilities for the design and operation of these systems. We endeavour to plan our work so that we have a reasonable expectation of detecting significant control weaknesses and, if detected, we shall carry out additional work directed towards identification of consequent fraud or other irregularities. However, internal audit procedures alone, even when carried out with due professional care, do not guarantee that fraud will be detected. Accordingly, our examinations as internal auditors should not be relied upon solely to disclose fraud, defalcations or other irregularities which may exist.

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# Agri-Food & Biosciences Institute Annual Report Marine Biotoxin Analysis Official Control Monitoring Programme For Northern Ireland 1St January 2019 - 31St **December 2019** Final Version 28/02/2020 Contract Reference: FS515003 ## 9 Pages Quality statement: This report is a compilation of the information included on the reports provided weekly/monthly to the FSANI and showing the results of the toxin analyses undertaken on samples submitted by third parties. All results were quality checked and approved prior to release to the FSANI and the results compiled in this report have been further checked against a copy of the original reports held on a central database. Information relating to the origin of the samples (place, date and time of collection) is as provided by sampling staff and has not undergone verification checks by AFBI. ## Method Standard Operating Procedures Used During The Course Of The Programme: Determination of Domoic Acid in Shellfish by High Performance Liquid Chromatography (CSD 406) Determination of Paralytic Shellfish Poison by High Performance Liquid Chromatography (CSD 408) Determination of Lipophilic Toxins in Shellfish Species by LC-MS/MS (CSD 379) ## Results Of Programme | Sample Type | Number of samples | |-------------------------|----------------------| | Oyster | 134 | | Mussel | 326 | | Total number of samples | 460 | | | | | | | | | | | | | Test Oyster Mussel Total Domoic Acid 129 316 445 PSP 129 315 444 Lipophilic Toxins 134 325 459 Total number of tests 1348 Test Oyster Mussel Total Domoic Acid 0 0 0 PSP 0 0 0 Lipophilic Toxins 0 4 4 Total number of positive tests 4 Test Target Percentage within Target Domoic Acid 95% in 3 Days 100% PSP 95% in 3 Days 100% Lipophilic Toxins 95% in 3 Days 100% NI classified production areas No of Site Identification Shellfish Site location Reference (SIR) samples received Species Belfast Lough B1-AFFNI 55 51 Mussel 65 NEG NEG NEG <0.3 Belfast Lough B3-AFFNI 50 51 Mussel 135 NEG NEG NEG 1.2 Belfast Lough B12-AFFNI 54 51 Mussel 155 NEG NEG NEG 1.6 Belfast Lough B20-AFFNI 53 51 Mussel 134 NEG NEG NEG 0.5 Carlingford Lough C1-AFFNI 27 13 Mussel NEG NEG NEG NEG <0.3 Carlingford Lough C11-AFFNI 84 13 Oyster 63 NEG NEG NEG 0.32 Carlingford Lough C15-AFFNI 89 12 Oyster NEG NEG NEG NEG <0.3 Carlingford Lough C17-AFFNI 92 11 Oyster NEG NEG NEG NEG <0.3 Carlingford Lough C7-AFFNI 73 13 Oyster NEG NEG NEG NEG <0.3 Carlingford Lough C9-AFFNI 39 11 Oyster NEG NEG NEG NEG <0.3 Carlingford Lough NW-Wild Fishery 13 Mussel NEG NEG NEG NEG <0.3 Dundrum Bay DB1-AFFNI 95A 14 Oyster 30 NEG NEG NEG <0.3 Dundrum Bay DB1-AFFNI 95A 17 Mussel 261 NEG NEG NEG <0.3 Dundrum Bay DB2-AFFNI 95B 13 Mussel 170 NEG NEG NEG 0.74 Killough K1-AFFNI 18 6 Mussel 43 NEG NEG NEG <0.3 Killough K1-AFFNI 18 13 Oyster 11 NEG NEG NEG 0.54 Larne Lough L5-AFFNI 21B 10 Mussel NEG NEG NEG NEG <0.3 Larne Lough L5-AFFNI 21B 10 Oyster NEG NEG NEG NEG <0.3 Larne Lough L3-AFFNI 88 12 Oyster NEG NEG NEG NEG <0.3 Lough Foyle PA3M-Wild Fishery 12 Mussel NEG NEG NEG NEG <0.3 Lough Foyle PA3O-Wild Fishery 5 Oyster NEG NEG NEG NEG <0.3 Lough Foyle PA4M-Wild Fishery 12 Mussel NEG NEG NEG NEG <0.3 Lough Foyle PA4O- Wild Fishery 5 Oyster NEG NEG NEG NEG <0.3 Strangford Lough S7-AFFNI 76 12 Mussel NEG NEG NEG NEG <0.3 Strangford Lough S7-AFFNI 76 15 Oyster NEG NEG NEG NEG 0.33 Strangford Lough S2-AFFNI 42 14 Mussel 60 NEG NEG NEG <0.3 Maximum toxin levels detected in 2019 DSP OA/DTX/PTX DSP AZA DSP YTX PSP ASP (µg/kg) (µg/kg) (mg/kg) (µg/kg) (µg/g) ## Proficiency Test Results For Methods Used For Official Control Purposes In 2019 Performance in proficiency tests is assessed using a Z-score. This is calculated for each participant's data. Each sample /matrix combination is given an assigned value and Z-score is calculated thus: Z-score = Mean from Laboratory - Assigned Value Total Error The total error is based on values set for the proportional error and the constant error. These values are set by the organisers. The numbers in the z column indicate: |Z| < 2 satisfactory performance 2 < |Z| < 3 questionable performance |Z| > 3 unsatisfactory performance ## Domoic Acid 2019 Proficiency Test Summaries Reported Sample ID Sample description Assigned value value Units z-score EURLMB/19/A/01 Shellfish homogenate 7.3 7.2 mg/kg -0.10 EURLMB/19/A/02 Shellfish homogenate 76.5 77.9 mg/kg 0.10 Reported Sample ID Sample description Assigned value value Units z-score QST260BT Scallop tissue 27 26 mg/kg -0.29 QST261BT Queen scallop aductor muscle 28.1 29.5 mg/kg 0.39 QST262BT Pacific oyster 8.4 8.3 mg/kg -0.09 Reported Sample ID Sample description Assigned value value Units z-score QST269BT Oyster tissue 17.1 18.7 mg/kg 0.7 QST270BT Queen scallop aductor muscle 28.3 32.2 mg/kg 1.1 QST271BT Blue mussel 52.1 45.9 mg/kg -0.9 ## Psp 2019 Proficiency Test Summaries | Sample ID | Matrix | Determinant | |----------------------|----------------------|----------------| | Assigned | | | | EURLMB/19/P/01 | Shellfish homogenate | Total toxicity | | EURLMB/19/P/01 | Shellfish homogenate | dcGTX-2,3 | | EURLMB/19/P/01 | | | | | | | | Shellfish homogenate | dcSTX | 642.8 | | EURLMB/19/P/01 | Shellfish homogenate | GTX-2,3 | | EURLMB/19/P/01 | Shellfish homogenate | GTX-5 | | EURLMB/19/P/01 | Shellfish homogenate | STX | | EURLMB/19/P/01 | Shellfish homogenate | dcNEO | | EURLMB/19/P/01 | Shellfish homogenate | GTX-6 | | EURLMB/19/P/02 | Shellfish homogenate | Total toxicity | | EURLMB/19/P/02 | Shellfish homogenate | C-1,2 | | EURLMB/19/P/02 | Shellfish homogenate | dcSTX | | EURLMB/19/P/02 | Shellfish homogenate | GTX-2,3 | | EURLMB/19/P/02 | Shellfish homogenate | GTX-5 | | EURLMB/19/P/02 | Shellfish homogenate | dcNEO | | EURLMB/19/P/02 | Shellfish homogenate | C-3,4 | | EURLMB/19/P/02 | Shellfish homogenate | GTX-6 | | EURLMB/19/P/03 | Shellfish homogenate | Total toxicity | | EURLMB/19/P/03 | Shellfish homogenate | GTX-2,3 | | | | | | 2.20 | | | | EURLMB/19/P/03 | Shellfish homogenate | STX | | Sample ID | Sample description | Determinant | |------------------|-----------------------|----------------| | Assigned | | | | Value | | | | QST 266BT | | | | Mussel tissue | | | | GTX-2,3 | | | | 3.21 | 3.04 | | | µmol/kg | | | | -0.37 | | | | QST 266BT | | | | Mussel tissue | | | | STX | | | | 1.74 | 1.57 | | | µmol/kg | | | | -0.62 | | | | QST 266BT | | | | Mussel tissue | | | | Total toxicity | | | | 1334 | 1263 | | | µgSTXdiHCleq./kg | | | | -0.42 | | | | QST 267BT | | | | | | | | Mussel tissue | | | | GTX-2,3 | | | | | | | | 2.94 | 2.77 | | | µmol/kg | | | | -0.38 | | | | QST 267BT | | | | | | | | Mussel tissue | | | | STX | | | | 1.41 | 1.3 | | | µmol/kg | | | | -0.48 | | | | QST 267BT | | | | Mussel tissue | | | | Total toxicity | | | | 1156 | 1101 | | | µgSTXdiHCleq./kg | | | | -0.37 | | | | QST 268BT | | | | Mussel tissue | dc-Neo | 0.21 | | µmol/kg | | | | 0.48 | | | | QST 268BT | | | | Mussel tissue | dc-STX | 1.87 | | µmol/kg | | | | -1.54 | | | | QST 268BT | | | | Mussel tissue | GTX-2,3 | 0.07 | | µmol/kg | | | | 0.00 | | | | QST 268BT | | | | Mussel tissue | STX | 0.08 | | µmol/kg | | | | -0.33 | | | | QST 268BT | | | | Mussel tissue | | | | Total toxicity | | | | 762.4 | 592 | | | µgSTXdiHCleq./kg | | | | -1.54 | | | ## Reported Value Value Units z-Score Reported Value Units z-score | Sample ID | Sample description | Determinant | |------------------|-----------------------|----------------| | Assigned | | | | Value | | | | Reported | | | | Value | | | | Units | z-score | | | QST275BT | | | | Mussel tissue | | | | GTX-2,3 | | | | 5.02 | 4.56 | | | µmol/kg | | | | -0.5 | | | | QST275BT | | | | Mussel tissue | | | | STX | | | | 3.4 | 3.24 | | | µmol/kg | | | | -0.3 | | | | QST275BT | | | | Mussel tissue | | | | Total toxicity | | | | 2327 | 2224 | | | µgSTXdiHCleq./kg | | | | -0.3 | | | | QST276BT | | | | Mussel tissue | | | | dc-STX | | | | 0.51 | 0.44 | | | µmol/kg | | | | -0.6 | | | | QST276BT | | | | Mussel tissue | | | | GTX-2,3 | | | | 5.35 | 4.98 | | | µmol/kg | | | | -0.4 | | | | QST276BT | | | | Mussel tissue | | | | STX | | | | 1.27 | 1.11 | | | µmol/kg | | | | -0.7 | | | | QST276BT | | | | Mussel tissue | | | | Total toxicity | | | | 1768 | 1689 | | | µgSTXdiHCleq./kg | | | | -0.3 | | | | QST277BT | | | | Mussel tissue | GTX-2,3 | 6.85 | | µmol/kg | | | | -0.5 | | | | QST277BT | | | | Mussel tissue | STX | 1.88 | | µmol/kg | | | | -0.7 | | | | QST277BT | | | | Mussel tissue | | | | Total toxicity | | | | 2163 | 2012 | | | µgSTXdiHCleq./kg | | | | -0.5 | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | ## Lipophilic Toxins 2019 Proficiency Test Summaries Table 12: EURL 2019 - LC-MS/MS Reported Sample ID Matrix Determinant Assigned Value Value Units z-score EURLMB/19/L/01 Mussel homogenate Total OA group 1659.5 1435.8 µg OA eq./kg -0.80 EURLMB/19/L/01 Mussel homogenate Free OA 200.6 150.0 µg/kg -1.20 EURLMB/19/L/01 Mussel homogenate Free DTX2 165.0 123.0 µg/kg -1.10 EURLMB/19/L/01 Mussel homogenate Total OA 1418.8 1266.0 µg/kg -0.70 EURLMB/19/L/01 Mussel homogenate Total DTX2 330.2 283.0 µg/kg -0.80 EURLMB/19/L/01 Mussel homogenate Total YTX 3.0 3.0 mg YTX eq./kg 0.10 EURLMB/19/L/01 Mussel homogenate YTX 0.2 0.2 mg/kg 0.00 EURLMB/19/L/01 Mussel homogenate homo-YTX 2.1 1.9 mg/kg -0.50 EURLMB/19/L/01 Mussel homogenate 45 OH YTX 0.3 0.2 mg/kg -0.80 EURLMB/19/L/01 Mussel homogenate 45 OH homo YTX 1.2 1.5 mg/kg 1.40 EURLMB/19/L/02 Mussel homogenate Total OA group 82.1 47.2 µg OA eq./kg -1.90 EURLMB/19/L/02 Mussel homogenate Free OA 43.5 27.8 µg/kg -1.60 EURLMB/19/L/02 Mussel homogenate Total OA 80.7 47.2 µg/kg -1.80 EURLMB/19/L/02 Mussel homogenate AZA group 476.5 451.3 µg AZA eq./kg -0.30 EURLMB/19/L/02 Mussel homogenate AZA1 262.2 253.0 µg/kg -0.20 EURLMB/19/L/02 Mussel homogenate AZA2 73.8 74.1 µg/kg 0.00 EURLMB/19/L/02 Mussel homogenate AZA3 55.2 46.4 µg/kg -0.70 EURLMB/19/L/03 Mussel homogenate Total OA group 904.9 877.4 µg OA eq./kg -0.20 EURLMB/19/L/03 Mussel homogenate Free OA 20.8 14.8 µg/kg -1.20 EURLMB/19/L/03 Mussel homogenate Free DTX1 225.2 229 µg/kg 0.10 EURLMB/19/L/03 Mussel homogenate Total OA 49.4 23.4 µg/kg -2.10 EURLMB/19/L/03 Mussel homogenate Total DTX1 787.7 854 µg/kg 0.40 Reported Sample ID Sample Description Determinant Assigned Value Value Units z-Score QST263BT Mussel tissue 45-OH-homo-YTX 0.51 0.60 mg/kg 1.09 QST263BT Mussel tissue 45-OH-YTX 0.12 0.15 mg/kg 1.17 QST263BT Mussel tissue AZA-1 737.7 639 µg/kg -1.06 QST263BT Mussel tissue AZA-2 209.6 217 µg/kg 0.28 QST263BT Mussel tissue AZA-3 124.7 110 µg/kg -0.91 QST263BT Mussel tissue AZA-total 1303.6 1183 µg AZA eq./kg -0.73 QST263BT Mussel tissue Free-DTX1 85.8 71.2 µg/kg -1.27 QST263BT Mussel tissue Free-DTX2 567.2 520 µg/kg -0.65 QST263BT Mussel tissue free-Okadaic-Acid 149.1 134 µg/kg -0.79 QST263BT Mussel tissue Homo-YTX 1.1 1.04 mg/kg -0.37 QST263BT Mussel tissue Total OA group + PTX group 904.1 804 µg OA eq./kg -0.87 QST263BT Mussel tissue Total DTX1 112.6 101 µg/kg -0.79 QST263BT Mussel tissue Total DTX2 786.6 690 µg/kg -0.95 QST263BT Mussel tissue Total-free- OA+DTX1+DTX2 562.9 517 µg OA eq./kg -0.63 QST263BT Mussel tissue Total-hy- OA+DTX1+DTX2 924.4 804 µg OA eq./kg -1.01 QST263BT Mussel tissue Total okadaic acid 339.1 289 µg/kg -1.14 QST263BT Mussel tissue Total-YTX 1.76 1.75 mg YTX eq./kg -0.03 QST263BT Mussel tissue YTX 0.23 0.26 mg/kg 0.79 QST264BT Mussel extract AZA-1 97 87 µg/kg -0.77 QST264BT Mussel extract AZA-2 20.5 22.8 µg/kg 0.84 QST264BT Mussel extract AZA-3 36.8 32.3 µg/kg -0.93 QST264BT Mussel extract AZA-total 187 173.6 µg AZA eq./kg -0.54 QST264BT Mussel extract Free-DTX2 3.9 3.6 µg/kg -0.50 QST264BT Mussel extract free-Okadaic-Acid 38.7 37.9 µg/kg -0.16 QST264BT Mussel extract Total OA group + PTX group 47.9 49.8 µg OA eq./kg 0.31 QST264BT Mussel extract Total-DTX2 4.1 3.4 µg/kg -1.20 QST264BT Mussel extract Total-free- OA+DTX1+DTX2 41.3 40 µg OA eq./kg -0.23 QST264BT Mussel extract Total-hy-OA+DTX1+DTX2 48.4 49.8 µg OA eq./kg 0.22 QST264BT Mussel extract Total-Okadaic-Acid 46 47.7 µg/kg 0.29 QST265BT Mussel AZA-1 422.2 367 µg/kg -1.02 QST265BT Mussel AZA-2 118.6 130 µg/kg 0.75 QST265BT Mussel AZA-3 84.7 72.9 µg/kg -1.06 QST265BT Mussel AZA-total 767.5 703 µg AZA eq./kg -0.66 QST265BT Mussel Free-DTX2 101.4 82.8 µg/kg -1.41 QST265BT Mussel free-Okadaic-Acid 45.9 35.8 µg/kg -1.69 QST265BT Mussel Total-DTX2 146.5 119 µg/kg -1.44 QST265BT Mussel Total-free- OA+DTX1+DTX2 106.9 85.5 µg OA eq./kg -1.52 QST265BT Mussel Total-hy-OA+DTX1+DTX2 186.3 154.4 µg OA eq./kg -1.33 QST265BT Mussel Total-Okadaic-Acid 99.1 83 µg/kg -1.23 Reported Sample ID Sample Description Determinant Assigned Value Value Units z-Score QST272BT Mussel tissue Free-DTX2 407 392.4 µg/kg -0.3 QST272BT Mussel tissue Free-Okadaic acid 153 142.6 µg/kg -0.5 QST272BT Mussel tissue Total-free- OA+DTX1+DTX2 404 378.1 µg OA eq./kg -0.5 QST272BT Mussel tissue Total-DTX2 706 693.7 µg/kg -0.1 QST272BT Mussel tissue Totalk-Okadaic acid 484 475.2 µg/kg -0.1 QST272BT Mussel tissue Total-hy- OA+DTX1+DTX2 920 891.4 µg OA eq./kg -0.2 QST272BT Mussel tissue Total OA group + PTX group 924 891.4 µg OA eq./kg -0.3 QST273BT Mussel extract AZA-1 13.6 10.7 µg/kg -1.6 QST273BT Mussel extract AZA-2 3.87 3.5 µg/kg -0.7 QST273BT Mussel extract AZA-3 3.94 3.9 µg/kg -0.1 QST273BT Mussel extract AZA-total 25.4 22.5 µg AZA eq./kg -0.9 QST273BT Mussel extract Free-DTX2 60.8 53.4 µg/kg -0.9 QST273BT Mussel extract Free-Okadaic Acid 11.0 10.5 µg/kg -0.3 QST273BT Mussel extract Total-free- OA+DTX1+DTX2 49.4 42.5 µg OA eq./kg -1.1 QST273BT Mussel extract Total-DTX2 74.2 68.8 µg/kg -0.5 QST273BT Mussel extract Total-Okadaic Acid 18.7 16.7 µg/kg -0.8 QST273BT Mussel extract Total-hy- OA+DTX1+DTX2 63.0 57.9 µg OA eq./kg -0.6 QST273BT Mussel extract Total OA group + PTX group 64.4 57.9 µg OA eq./kg -0.8 QST273BT Mussel extract YTX 0.031 0.031 mg/kg 0.0 QST273BT Mussel extract Homo-YTX 0.302 0.328 mg/kg 0.5 QST273BT Mussel extract 45-OH-homo-YTX 0.174 0.196 mg/kg 0.6 QST273BT Mussel extract 45-OH-YTX 0.023 0.025 mg/kg 0.1 QST273BT Mussel extract Total-YTX 0.432 0.481 mg YTX eq./kg 0.7 QST274BT Blue mussel AZA-1 218 180.8 mg/kg -1.3 QST274BT Blue mussel AZA-2 59 59.2 mg/kg 0.0 QST274BT Blue mussel AZA-3 49.6 50.9 µg/kg 0.2 QST274BT Blue mussel AZA-total 392 358.5 µg AZA eq./kg -0.7 QST274BT Blue mussel Free-DTX2 297 284.7 µg/kg -0.3 QST274BT Blue mussel free-Okadaic-Acid 67.5 57.9 µg/kg -1.1 QST274BT Blue mussel Total-free- OA+DTX1+DTX2 250 228.7 µg OA eq./kg -0.6 QST274BT Blue mussel Total-DTX2 439 368.6 µg/kg -1.2 QST274BT Blue mussel Total-Okadaic-Acid 156 125.5 µg/kg -1.5 QST274BT Blue mussel Total-hy- OA+DTX1+DTX2 435 346.7 µg OA eq./kg -1.6 QST274BT Blue mussel Total OA group + PTX group 433 346.7 µg/kg -1.5 ## Overall Summary Of Proficiency Tests The proficiency tests for domoic acid were 100% satisfactory (8/8). For PSP they were 84% satisfactory (31/37); both rounds of the Quasimeme tests were 100% satisfactory but for the EURL there were 5 questionable and 1 unsatisfactory z-scores. The EURL report indicated that there were some problems with the identification and quantification of dcNEO in sample 1 with only half of participants identifying it. The sample was homogenised clam tissue originating from Spain during an episode of *Gymnodinium catenatum*, the toxin profiles of which have previously been particularly problematic to determine. The EURL report provided z-scores for total toxicity with and without the contribution of dcNeo and without it our z-score was 0.4 (satisfactory). The z-scores with the contribution of dcNeo and all other analytes were z'-scores (z prime) indicating a degree of uncertainty for the assigned value. Analysis of samples 2 and 3 led to one questionable z-score for each. Sample 2 was a homogenate of mussels again displaying a typical *Gymnodinium catenatum* profile. For this sample only 35% of participants identified dcNeo and again the scores for all analytes were given as z'-scores. The failing zscores were exclusively by overestimation of the assigned values and so may be attributed to the application of recovery correction creating falsely exaggerated results; this is not applied for the reporting of routine samples. The lipophilic exercises were 99% satisfactory (94/95). There was a single questionable z-score (-2.1) in the EURL exercise for the hydrolysed OA result for sample 3 but the total toxicity was satisfactory as was the hydrolysed OA results for samples 1 and 2. Internal non-conformance reports have been raised on our quality assurance system to address the discrepancies. Overall performance for the three toxin groups in the three proficiency tests is 95% satisfactory (133/140), 4.3% questionable and 0.7% unsatisfactory.

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the author known? Yes No Is the work a photograph or engraving? Has the work been published? No Yes Yes No Was the work published commercially less than 75 years after creation? Is the work an artistic work? Is the work a photograph? No Yes No Yes Yes No Copyright expires 50 Was the work Was the work Yes No Was the work published after 1 August 1989? years after Copyright expires 50 Copyright expires 125 created before published before 1 creation years after publication years after creation 1 June 1957? August 1989? Yes No Was the work published Was the work published Yes No commercially less than before 1 August 1989? 75 years after creation? No Yes No Yes Copyright Copyright Copyright expires Copyright expires 125 years after Copyright expires expires 31 expires 50 years 50 years after creation or on 31 December 50 years after December 2039 after publication publication

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# Developing Responses To Peer-Abuse: Learning From The Msu Local Site Support Project Dr Carlene Firmin MBE, University of Bedfordshire Sarah Wright, London Borough of Hackney - Partnership between UoB, Imkaan and Girls against Gangs project - Funded by Esmee Fairbairn Foundation, Trust for London and Samworth Foundation - Delivered in-depth support to develop practice in 11 local sites over 2.5 years in addition to internship programme for young people and policy engagement - Site support comprised two stages: 1) Audit of local practice - 6-9 months 2) Development and delivery of an action plan - 16 months ## Structure Of Site Work National Expert Advisory Panel and Government advisory groups Site training, strategic advice and assistance - 43 local authorities ## 1) Holistic Nature Of Peer-On-Peer Abuse Physical, sexual, emotional and financial abuse, and coercive control, exercised within young people's relationships ## 2) Contextual Dynamics Of Peer-On-Peer Abuse Learning From Across Sites • Majority of responses to peer-on-peer abuse are strategically positioned to engage with individual young people and their families • There are practical, conceptual and strategic barriers to addressing the contextual dynamics of peer-on-peer abuse • Within individual sites there are examples of individual services or practitioners who are developing a contextual response to peer-onpeer abuse • Delivery focused on capturing, scaling-up and amplifying evidence of contextual practice including: - Developing contextual harmful sexual behaviour meetings - Working with fair access panels to identify the use of managed moves in response to peer-on-peer abuse - Developing contextual and holistic problem profiles ## Contextual Responses– Examples Identified During Audits Reclaiming 'Vulnerable' Peer Group Mapping, Assessment And Contexts Intervention • Social workers and youth offending workers identified links between their individual cases • Met to map and refined assessment • Data used to identify environments where young people are being groomed i.e. shopping centre • Designed complimentary interventions ## Protecting Vulnerable Homes • Specialist workers, social workers and police visit those environments on a regular basis • Home identified where peer-on-peer abuse occurring • Lived in by mother with physical and learning disability • Young people expect to see them there and begin to talk to them • Lighting and CCTV improved • Engagement with schools officer • Peer group engaged through youth service and policing • Slowly this becomes a space where exploitation can't occur • Home no longer used for abuse ## Extending Child Concepts Of Child Protection (1) • Harm caused by the parent/carer OR • Capacity of parents to safeguard young people from significant harm • Processes in place to respond - S.17 (Child in Need), S.47 (Child Protection) • Case conferencing and child protection plan • Legal removal of the child or placement on voluntary agreement ## Transfer (1) - Capacity To Safeguard Who's capacity in which space? AND Which space is impacting which service's capacity? ## Extending Child Concepts Of Child Protection (2) Genograms Peer Group Information Capture Form Workshop To Identify Current Use: - For early intervention - For assessments - To task interventions into contexts Capture form used to aid social care and youth justice assessment - Nature of peer relationships (protective or presenting risk) - Role within the group - Open to social care or youth justice ## Aspirational Profiling Contextual Safeguarding (Firmin Et Al 2016): • Seeks to prevent, identify, assess and intervene with the social conditions of abuse • Incorporate extra-familial contexts into traditional child protection and safeguarding frameworks • Develop partnerships with sectors/individuals who are responsible for the nature of extrafamilial contexts • Monitor outcomes of success in relation to contextual, as well as individual, change ## Implications For Local Practice - A View From Hackney For more information and resources visit our website www.beds.ac.uk/ic carlene.firmin@beds.ac.uk @uniofbedscse

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## # Freedom Of Information, Copyright And Copying Of Records Held In Archives Published: February 2016 ## © Crown Copyright 2016 You may re-use this information (excluding logos) free of charge in any format or medium, under the terms of the Open Government Licence. To view this licence, visit nationalarchives.gov.uk/doc/open-government-licence Where we have identified any third-party copyright information, you need to obtain permission from the copyright holder(s) concerned. This publication is available for download at nationalarchives.gov.uk. Introduction The purpose of this guidance is to distinguish between the communication of information held by public authorities under Freedom of Information legislation, any subsequent re-use of that information and providing copies of material in archives. Making use of a copyright work without the permission of the copyright owner will normally infringe copyright; however, in certain circumstances requesting permission is not necessary. Communication of information under the Freedom of Information Act Under the **Freedom of Information Act 2000 (FOIA)** each public authority has a legal obligation to make information available on request and to maintain a Publication Scheme about their activities. Publication Schemes provide details of information which authorities publish or intend to publish. The presence of copyright, including third party copyright, does not prevent the disclosure and communication of information in response to Freedom of Information requests nor does publishing information on a publication scheme. Copyright does not act as a statutory bar to disclosure for the purposes of section 44 of FOIA. This is because section 50(1) of **Copyright, Designs and Patents Act 1988 (CDPA)** provides that "Where the doing of a particular act is specifically authorised by an Act of Parliament, whenever passed, then, unless the Act provides otherwise, the doing of that act does not infringe copyright". Responding to an FOI request constitutes an act specifically authorised under an Act of Parliament. Consequently communicating information to a requester under FOIA will not infringe copyright. The same principle applies for information communicated under the Environmental Information Regulations 2004 (EIR). Communicating information under FOIA is free from conditions or restrictions in order to facilitate disclosure, however, copyright will still subsist in the information provided. Since copyright would not be infringed, archives do not require a declaration process where communicating information in response to an FOI request as they would in other circumstances to provide copies of copyright material (see section on Declarations). For further guidance from the Information Commissioner about FOI requests and copyright see ICO Intellectual property rights guidance Use of information provided by FOI - Copyright protection Information provided in response to an FOI request or listed in Publication Schemes, may be subject to copyright protection. The supply of documents under FOI does not automatically give the person or organisation who receives the information a right to reuse the documents in a way that would infringe copyright. The person who receives the information under FOI is obliged to respect the rights of the copyright owner. If they do not, the copyright owner can seek damages or an injunction for any infringement of copyright. Public authorities may advise the applicant if the information requested under FOI is subject to copyright protection where known, however it is the responsibility of the applicant to ensure they do not infringe copyright. Crown Copyright and Open Government Licences Details of the arrangements for reusing Crown copyright material can be found at Crown copyright. The re-use of Crown copyright information and Crown database rights are licensed through the Open Government Licence (OGL). The OGL is a simple set of terms and conditions for the re-use of a wide range of public sector information free of charge. Further information about the OGL is available at Licensing for re-use OGL. The Freedom of Information Act covers the wider public sector so not all public authorities' information will be Crown copyright. For a list of Crown bodies see Crown bodies. Crown bodies and archives holding Crown material can license its re-use under OGL without any need for approval. Other licence terms require a delegation. Public Sector Information Any information, whatever its form - including print, digital or electronic, and sound recordings - produced, held or disseminated by a public sector body is considered public sector information. This includes an enormous range of corporate information such as reports and financial data, mapping, codes of practice, public records, legislation, statistics, video, press releases, local planning and tourist information, artefacts, publication schemes, and so on. Enabling the re-use of public sector information aims to realise economic, societal and democratic benefits in permitting re-users other than the originating public authorities to create new products and services using official information, thereby stimulating economic activity, and to increase the efficiency and transparency of public functions. Accessible information which is produced, held or disseminated by the public sector body must be made available for re-use (unless it is otherwise restricted or excluded). Common examples of restrictions and exclusions include third-party copyright exclusion and the protection of personal data. All public sector bodies should make clear when granting access to information if there are any restrictions on re-use. PSI implementation guidance for public sector bodies The 2015 Re-use of Public Sector Information Regulations do not apply to documents held by public service broadcasters, educational, research or most cultural establishments. They did, however, bring archives together with museums and libraries within the scope of the regulations. Archives may, rather than must, permit re-use of documents in their collections. Refusals to give permission to re-use may not be discriminatory, and such decisions can be challenged. Archives must allow re-use of information if it has already been made available for re-use, including re-use by the archives themselves. Where re-use is permitted for more than one party, including by the archives, it must be on the same terms and conditions (non-discriminatory). Archives can charge to cover the cost of collection, production, reproduction, preservation and rights clearance together with a reasonable return on investment and they may decline the permission to re-use information. The Regulations recognise that archives and other cultural bodies have particular requirements regarding their need to make exclusive arrangements when digitising information. Whereas exclusive arrangements generally are banned, there is an exemption covering archive digitisation projects. There is further guidance on this in the PSI implementation guidance for cultural sector bodies. Documents are exempt from the regulations where copyright does not belong to the public sector body or the information is not accessible under FOI. Archives should be very clear in any contractual relationships where copyright belongs. Cultural sector public bodies are required to be transparent about what information can be re-used, the pricing of it, and the terms and conditions on which that re-use can take place. PSI implementation guidance for the cultural sector Public Records Any public record open to public inspection may be copied and a copy supplied without infringement of copyright in line with section 49 of CDPA. Additionally, section 47 of CDPA permits copying of material that is open to public inspection pursuant to a statutory requirement (or is on a statutory register), in certain circumstances, and section 48 of CDPA permits copying of material communicated to the Crown in the course of public business, in certain circumstances. Copyright material held by public bodies Third Party Copyrights Not all information provided in response to FOI requests, listed in Publication Schemes and held by archives will necessarily be in copyright owned by the public authority. It will, therefore, help researchers if any such material is identified together with details of who owns the copyright, where known. Authorisation to re-use copyright material not owned by the public body or Crown should be sought from the copyright holders concerned. ## Declarations The Copyright, Designs and Patents Act has been changed to make it easier and cheaper for cultural institutions like archives to use, share and preserve their collections. An archivist who is supplying a copy outside FOIA must ask a researcher to declare that they are doing non-commercial research; this can now be done electronically (for example, an electronic copyright declaration form could be signed using a typed name and check-box system). Exceptions to copyright: Libraries, Archives and Museums Further information on copyright and exceptions to copyright can be found on The Intellectual Property Office's website at IPO guidance - exceptions to copyright It is always advisable to check that any copying of copyright material is permitted. Other Forms of Intellectual Property Rights (IPR) Most information falling within the scope of FOI is likely to be covered by copyright. It is conceivable that some of the information supplied under the terms of the Act could relate to specific forms of intellectual property, e.g. patents and trademarks. Information on such Intellectual Property Rights can be found on the website of the Intellectual Property Office.

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| Previous Years | 2017/2018 | |-------------------------------------------|-------------| | Collection | | | Frequency | | | 2014/2015 | 2015/2016 | | % of working age population in employment | | | (16-64) | | | Quarterly | 74.10% | | Up is | | | Good | | | Ÿ | | | Green | | | emp1 | | | Regional Rank (Rank out of 15) | Quarterly | | ŻŹ | | | Employment Rate (Male) | Quarterly | | Up is | | | Good | | | Neutral | | | CJGE71 | | | Regional Rank (Rank out of 15) | Quarterly | | Employment Rate (Female) | Quarterly | | Up is | | | Good | | | Ÿ | | | Green | | | CJGE72 | | | Regional Rank (Rank out of 15) | Quarterly | | CJGE03 | York | | ¶ | | | s unemployment rate below the national | Quarterly | | Up is | | | Good | | | Ÿ | | | Green | | | ŻŹ | | | % of Part time employees | Quarterly | | Up is | | | Bad | | | Neutral | | | Benchmark - National Data | Quarterly | | CJGE05 | | | Benchmark - Regional Data | Quarterly | ## 2. Employment Regional Rank (Rank out of 15) Quarterly 15 11 14 - - - - - % of panel who work inside York area Quarterly NC NC 79.91% 77.84% - - - - Neutral ŻŹ Neutral TAP14 % of panel who work outside York area Quarterly NC NC 20.09% 22.16% - - - - Neutral ŻŹ Neutral ŻŹ Quarterly NC NC 72.34% 68.13% - - - - Up is Good Neutral % of panel who agree their skills and qualifications are suited to jobs available in York TAP15 Quarterly NC NC 16.60% 19.23% - - - - Up is Bad Ÿ Red % of panel who disagree their skills and qualifications are suited to jobs available in York % of panel who agree that to develop their career need to commute out of York Quarterly NC NC 35.86% 41.48% - - - - Up is Bad Ÿ Red TAP16 % of panel who disagree that to develop their career need to commute out of York Quarterly NC NC 51.52% 46.59% - - - - Up is Good ź Red ŻŹ TAP17 % of panel who agree that to continue working in York will have to retrain Quarterly NC NC 19.29% 19.02% - - - - Up is Bad Neutral | Previous Years | 2017/2018 | |-------------------------------------------------|-----------------------------------| | Collection | | | Frequency | | | 2014/2015 | 2015/2016 | | ŻŹ | | | TAP17 | | | % of panel who disagree that to continue | | | working in York will have to retrain | | | Quarterly | NC | | Up is | | | Good | | | Neutral | | | ŻŹ | | | % of panel who agree the council and its | | | partners are helping to create jobs in the city | | | Quarterly | NC | | Up is | | | Good | | | Neutral | | | TAP18 | | | ŻŹ | | | % of panel who disagree the council and its | | | partners are helping to create jobs in the city | | | Quarterly | NC | | Up is | | | Bad | | | Neutral | | | 2. Employment | | | TOU25 | % of jobs which are tourism based | | ŻŹ | | | Neutral | | | CJGE16 | | | Earnings gap between the 25 percentile and | | | WKHPHGLDQ…<RUN | | | Annual | | | … | … | | - | - | | Up is | | | Bad | | | Ÿ | | | Red | | | Median earnings of residents | | | ± | | | Gross Weekly | | | 3D\… | | | Annual | 476.9 | | Up is | | | Good | | | Ÿ | | | Green | | | Benchmark - National Data | Annual | | CJGE14 | | | Benchmark - Regional Data | Annual | | Regional Rank (Rank out of 15) | Annual | | 4. Earnings | | | ŻŹ | | | Median earnings of residents - Gross Weekly | | | 3D\…*HQGHU3D\*DS | | | Annual | 98.9 | | Up is | | | Bad | | | Neutral | | | Benchmark - National Data | Annual | | CJGE68 | | | Benchmark - Regional Data | Annual | | Regional Rank (Rank out of 15) | Annual | | ŻŹ | | | JSA Claimants: % of Working Age Population | | | (16-64) | | | Monthly | 0.80% | | Up is | | | Bad | | | Neutral | | | Benchmark - National Data | Monthly | | CJGE06 | | | Benchmark - Regional Data | Monthly | | 1. Benefits | | | Regional Rank (Rank out of 15) | Monthly | | Previous Years | 2017/2018 | |------------------------------------------------|-------------------------------| | Collection | | | Frequency | | | 2014/2015 | 2015/2016 | | % Total Benefit Claimants (Working Age 16- | | | 64) | | | Quarterly | 7.30% | | Up is | | | Bad | | | ź | | | Green | | | Benchmark - National Data | Quarterly | | CJGE09 | | | Benchmark - Regional Data | Quarterly | | Regional Rank (Rank out of 15) | Quarterly | | 1. Benefits | | | ŻŹ | | | JSA and UC (Out of Work) % of working age | | | population (16 - 64) | | | Monthly | NC | | Up is | | | Bad | | | Neutral | | | CJGE151 | | | Benchmark - National Data | Monthly | | Benchmark - Regional Data | Monthly | | CJGE23 | % of vacant city centre shops | | Up is | | | Bad | | | Ÿ | | | Red | | | ŻŹ | | | Business Deaths | Annual | | Up is | | | Bad | | | Neutral | | | CJGE29 | | | Regional Rank (Rank out of 15) | Annual | | ŻŹ | | | *9$SHUKHDG… | | | Annual | 23,977 | | Up is | | | Good | | | Neutral | | | CJGE30 | | | Regional Rank (Rank out of 12) | Annual | | ŻŹ | | | 7RWDO*9$…ELOOLRQ | | | Annual | 4.95 | | Up is | | | Good | | | Neutral | | | CJGE31 | | | 3. Business | | | Regional Rank (Rank out of 11) | Annual | | ŻŹ | | | CJGE32 | Business Startups - (YTD) | | Up is | | | Good | | | Neutral | | | ŻŹ | | | PP01 | | | % of businesses reporting that contact with | | | officers was helpful | | | Annual | 97.28% | | Up is | | | Good | | | Neutral | | | ŻŹ | | | PP03 | | | % of businesses reporting that the information | | | provided was useful | | | Annual | 98.14% | | Up is | | | Good | | | Neutral | | | TAP19 | | | % of panel who agree the council and its | | | partners are supporting economic growth | | | Quarterly | NC | | Up is | | | Good | | | Ÿ | | | Green | | | Previous Years | 2017/2018 | |--------------------------------------------------|--------------------------------------------| | Collection | | | Frequency | | | 2014/2015 | 2015/2016 | | TAP19 | | | % of panel who disagree the council and its | | | partners are supporting economic growth | | | Quarterly | NC | | Up is | | | Bad | | | ź | | | Green | | | ŻŹ | | | TOU14 | Parliament Street Footfall | | Up is | | | Good | | | Neutral | | | 3. Business | | | ŻŹ | | | TOU24 | Average expenditure per domestic day visit | | Up is | | | Good | | | Neutral | | | ŻŹ | | | % of working age population qualified - No | | | qualifications | | | Annual | 4.80% | | Up is | | | Bad | | | Neutral | | | Benchmark - National Data | Annual | | CJGE17 | | | Benchmark - Regional Data | Annual | | 5. Education | | | Regional Rank (Rank out of 15) | Annual | | % of panel satisfied with their local area as a | | | place to live | | | Quarterly | NC | | Up is | | | Good | | | Ÿ | | | Green | | | Benchmark - Community Life Survey | Annual | | TAP01 | | | Benchmark - LG Inform | Annual | | ŻŹ | | | % of panel dissatisfied with their local area as | | | a place to live | | | Quarterly | NC | | Up is | | | Bad | | | Neutral | | | % of panel agree the council treated them | | | fairly and with respect in the last 12 months | | | Quarterly | NC | | Up is | | | Good | | | Ÿ | | | Green | | | TAP05 | | | % of panel disagree the council treated them | | | fairly and with respect in the last 12 months | | | Quarterly | NC | | Up is | | | Bad | | | ź | | | Green | | | % of panel who agree it is important to feel | | | part of their local area | | | Quarterly | NC | | Up is | | | Good | | | Ÿ | | | Green | | | TAP06 | | % of panel who disagree it is important to feel part of their local area Quarterly NC NC 10.40% 9.58% - - - - Up is Bad ź Green % of panel who agree that they belong to their local area Quarterly NC NC 74.70% 78.44% - - - - Up is Good Ÿ Green TAP07 Benchmark - Community Life Survey Annual 72.00% 71.00% 61.56% - - - - - Benchmark - LG Inform Annual 66.30% 66.80% 69.17% - - - - - | Previous Years | 2017/2018 | |--------------------------------------------------|-------------| | Collection | | | Frequency | | | 2014/2015 | 2015/2016 | | TAP07 | | | % of panel who disagree that they belong to | | | their local area | | | Quarterly | NC | | Up is | | | % of panel who agree that they can influence | | | decisions in their local area | | | Quarterly | NC | | Up is | | | Good | | | Ÿ | | | TAP11 | | | Benchmark - Community Life Survey | Annual | | % of panel who disagree that they can | | | influence decisions in their local area | | | Quarterly | NC | | Up is | | | Quarterly | NC | | Up is | | | Good | | | % of panel who state it is important that | | | residents can influence decisions in their local | | | area | | | TAP12 | | | Quarterly | NC | | Up is | | | % of panel who state it is not important that | | | residents can influence decisions in their local | | | area | | % of panel who give unpaid help to any group, club or organisation Quarterly NC NC 64.30% 66.44% - - - - Up is Good Ÿ TAP13 Benchmark - Community Life Survey Annual 69.00% 70.00% 62.68% - - - - - % of panel who do not give unpaid help to any group, club or organisation Quarterly NC NC 32.66% 30.65% - - - - Up is Bad ź Green Green Bad ź Green ŻŹ Neutral ŻŹ Bad Neutral Green Bad ź Green

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## Withholding Information Section 40(2) - Personal Data Relating To Third Parties The information you have requested contains personal data. Personal data can only be released if to do so would not contravene any of the data protection principles. The first principle states: Personal data shall be processed fairly and lawfully and, in particular, shall not be processed unless— (a) at least one of the conditions in Schedule 2 is met, and (b) in the case of sensitive personal data, at least one of the conditions in Schedule 3 is also met. We believe releasing the requested information into the public domain would be unfair to the individuals concerned; these individuals have a clear and strong expectation that their personal data will be held in confidence and not disclosed to the public under the FOI Act. Disclosure would therefore breach the first data protection principle as it would be unfair. We do not have to consider schedules 2 and 3. Further information on the data protection principles is available as follows: http://www.legislation.gov.uk/ukpga/1998/29/schedule/1 http://www.legislation.gov.uk/ukpga/1998/29/schedule/2

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Universal Credit Local authority led pilots: Lewisham's experience Can transition independently Needs transitional support Needs intensive support 1. To develop an **evidence based definition of vulnerability** for transition and access to Universal Credit 2. To develop **triage mechanisms** for identifying and assessing individuals affected 3. To test an approach for providing a holistically locally delivered face to face transition support service which improves the ability of claimants to: • Budget and manage monthly payments • Sustain tenancies in the social and private rented sector • Transact with government services online • Access employment and work-focused training ## The Design Process: First Sketch Four areas identified as likely to need transitional support under UC. Each area needs to be considered together and in relation to each other (holistic) Need levels will vary for individuals on each area. Approach needs to be flexible enough to respond to needs as they are presented (flexible) # The Design Process: Refining Ideas ## The Prototype Model For Go Live Simple Language & Focused On Main Change Affecting Household Call To Action Focuses On The Financial Loss The Prototype Model For Go Live 20 questions, each with scores and triggers based on the four quadrants… ## The Prototype Model For Go Live Appointment Starts With A Calculation Demonstrating The Financial Impact Of Welfare Reform On Work…. Support focused conversation looks at: - Employment Establishes level of need - Financial and makes - Digital referrals to key - Housing agencies Builds the case for action and thinking differently about work in the context of welfare reform ## The Prototype Model For Go Live Support Plan Focuses On The Top 3-4 Barriers… Personalised… Referrals are named and contact the claimant directly… ## Progress & Redesign What Have We Learnt About The Process? I Am Pleased For All The Help I Received Today, They Mean So Much. Feedback From Customers Is Good - 97% Say The Intervention Was Helpful Triage And Basic Advice Over The Phone Takes About 20 Minutes, Appointments & Follow Up Support Plans Take About 2 Hours There Are Things We Can Do Better To Get People Engaged & We Need To Think About Sustaining The Positive Energy To Act Gives me more confidence and shows me which route to take. everything has been explained in a way that I can understand and now help myself. ## Learning About Our Residents: Financial Benefit cap loss ranges under £1 to over £200 a week…limited awareness of the personal impact and strategies for mitigating the impact. 'Work does not pay' is a widely held belief amongst this group. 48% have a bank account that supports direct debit and say they can cope with UC going into their account with some basic budgeting advice 42% have applied for a crisis loan in the past 11% have significant debt issues and have been referred to the CAB for intensive debt management advice. 46 referrals to the Credit Union (although relatively high existing membership levels)…when they show up, nearly all take on a service…but they aren't showing up! ## Learning About Our Residents: Digital 63% say they have internet access in their homes (not mobile) and can use it independently…although most only use it for social media at the moment A further 24% say they have access in their homes and can use it with help from friends or family…language usually being the main barrier This leaves 13% who need access and support…based on a 40,000 Lewisham caseload, this is 5,200 people needing access and support to complete a claim The numbers needing support might be higher…the unknown at the moment is the complexity of the form. Learning from the replacement social fund schemes…people will turn up if they have something urgent or are concerned…if they need to do something online, it needs to be close to where they present. ## Learning About Our Residents: Housing The overwhelming initial claimant response to the benefit cap is to try and find cheaper housing…but what people want is social housing. For most families with more than four children, there is no housing solution to the benefit cap. 31% have never been responsible for paying rent direct to their landlord. 39% are already in rent arrears. Mixed views on rent as a priority…'I am not going to worry about these changes because I think they are ridiculous. I would rather buy things for my children then worry about the shortfall of my rent.' ## Learning About Our Residents: Employment Less than 3% of this group have been in paid employment in the last 12 months 40% say they are not looking for work. 43% cite childcare as the main barrier to work…but only 23% request help or advice to fund or find childcare at appointments, preferring to use informal or other childcare networks. Strongly held belief that having children means work doesn't pay…some even had example calculations from JCP in their hands to prove this to us at appointments. The benefit cap means they ALL will be better off…some significantly. For most of these families, finding paid work is the only way to avoid the benefit cap. If they don't they will not be afford to live and budgeting advice under UC becomes irrelevant. ## Learning: Triage And Complex Needs There are some predictors of vulnerability but a set of questions and triggers on its own is unlikely to tell you who needs more on-going support…some examples: Ms E has 5 children, 3 of who still live with her. She is currently in a Rent Incentive Scheme property which is too big for her needs and will lose £350 a week after the benefit cap. Ms E has had a troubled life which has involved physical and sexual abuse. She Mr and Mrs H live in a 5 bedroom house with their 7 children and stand to lose £276 a week after the benefit cap. Mrs H has fled domestic violence in the past and Mr H has served 20 years in prison. Mr H doesn't claim JSA because he doesn't want to look for work as he thinks there is no point given his record. Mr and Mrs H have already been in contact with HOC because their landlord said they would start eviction proceedings because of the benefit cap. understandably has very low self-esteem and is experiencing depression and anxiety. Ms E said she would like to look for work but the JobCentre weren't interested in helping her. At the appointment discovered that Mrs H had worked as a cleaner. After her appointment she contacted her old boss to get required 16 hours. Despite initial enthusiasm and frequent telephone calls, Ms E failed to follow up on referrals for intensive family support offered. Ms T lives in temporary accommodation in a property provided by Hyde. She is a single parent with 3 children and stands to lose £93 a week after the benefit cap. She hasn't worked for a number of years. Ms T has moved frequently, one of her children has been in three different schools and is currently placed in a pupil referral unit in Lewisham. We made a referral for Ms T for intensive employment support. By the time the referral was followed up, she had already found 16 hours work as a carer. ## Designing A Complex Needs Support Service Model developed so far identifies 'standard' and 'non-standard' claimants and has developed a model for families needing **SOME transitional support** but the model is not sufficient for those requiring **INTENSIVE transitional support**. ## Next Phase - Developing A Model For Intensive Transitional Support Building a case work model which **glues** everything together - if one area falls apart, so will all the others. Focused on **sustaining the impact** of the intervention - investing in a casework approach now to stop people re-presenting to us at a later stage. Focuses on **behaviour change** (resilience, tenacity, responsibility) - which is ultimately the goal of UC ## Key Messages For The Lssf Housing and employment need to be built into local approaches - even if it just linking better to existing provision Universal Credit can't be seen in isolation from other welfare reforms - our residents don't separate them We need to have smarter ways of identifying vulnerability - this is beyond just the ability to budget and access the internet Behaviour 'nudge' needs to be integrated into our LSSF models - it is what UC is trying to achieve We can start testing some of this now - welfare reforms are happening now, what people need to do for these are not that different from what they need to do for UC Justine Roberts Universal Credit Pilot Manager justine.roberts@lewisham.gov.uk

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## Digital Preservation Guidance How To Look After Your Digital Records  Introduction The vast majority of records and documents produced now are born-digital - they have always been digital - and these need to be looked after carefully to preserve them for the future. Digital records can be vitally important to maintain for either personal or business reasons, and could take a variety of forms (documents, photographs, artworks). The work that goes into making sure digital files can survive and be accessed over time is termed Digital Preservation. This is an issue that affects most people in some way or another - we all rely on someone preserving information about us, and that information being reliable in the future, from health and pension records to online information and photos. Digital preservation can seem daunting, often due to the sheer amount of files produced, their intangible nature, and the risks associated with software obsolescence. Yet it's often just about using different techniques for the digital format but employing the same principles of caring for records that apply to paper. This guidance has been produced to offer some basic advice and tips on how to care for and maintain your digital records, and the main areas you need to consider such as file formats and storage. It also includes a number of other resources that can help with digital preservation.  What is a digital record? There are many different types of digital record, the finished product maybe the most valuable and what you are most keen to ensure survives but you may want to consider any preparatory work that went into creating your artwork. This could include; storyboards, sketches, commissioning documents and correspondence with your clients. If you have taken a photograph or scanned something that was on paper that you have thrown away, this can also be considered a digital record. ## __________________________________________________________________________  **File Formats** File formats are often something that people worry about when they think about digital records and preserving them, but there are no right and wrong answers. You should choose the format which best suits your needs at the point of creation and there is no reason not to continue to preserve your digital record in the very same format in which it was created; indeed this offers you the best chance of maintaining a true representation of your work over time. Similarly the decision to use either lossy or lossless compression should be dependent on the context of your records and how they were created and used; it is rarely as simple as lossless for preservation and lossy for access copies. When sharing or disseminating your work however, it may make sense to normalise your formats. Some examples are as follows but there are many other formats available that people will have little trouble downloading and/or viewing. Images: There are many popular and well known image formats e.g. JPEG is a good format for photographs whereas GIF is a good option for graphics; GIF can preserve transparency whereas JPEG cannot, conversely GIF can only handle 256 colours so is not as good for photographs as JPEG. PNG is a good option for all images and is lossless, but file sizes tend to be larger. Audio: FLAC offers lossless audio quality at a reduced file size compared with uncompressed WAV though file sizes can still be on the large side, whereas MP3 is lossy, but offers much smaller file sizes. Video: There are several different 'container' formats used to contain digital video with audio, such as AVI, MOV, WMV, FLV and MP4. MP4 is a ubiquitous and versatile video container format, commonly used for video content on the web and with good support across a large number of popular media players. Documents: PDF has become the de facto format for publishing and sharing documents however opting for open document formats that can be viewed in MS Office, Open Office, Libre Office etc, is also a viable option.  Managing file formats over time The National Archives maintains a registry of file formats which is utilised by our file format identification tool DROID, this tool can be freely downloaded from our website and used to scan files in order to identify what format they are. Once you are clear about what formats you have in your collection use the web to search for information about those file formats e.g. what software can be used to open them, especially if you are unable to do so with what you currently have installed. If you find you are using a particularly old version of a file format and you are worried about backwards compatibility with current software you may want to migrate to a newer version, this can often be as simple as opening and resaving your files. Likewise when you upgrade your own software packages and you no longer have access to the version of the software that you originally used to create your files think about what this will mean with regards to accessing your files going forward. You can always check with the software vendor directly for the most accurate information about backwards compatibility for earlier file format versions, if you can't find this information yourself by searching the web. If you cannot open older files with your newer software you might consider saving additional copies of the files affected to a more generic format so that they can be accessed or edited in other software packages. As a general rule of thumb as long as you can still open your own files they are safe. _______________________________________________________________________________________ ##  **Storing Your Digital Records** If You Don'T Have A Digital Repository In Which To Safely Preserve Your Digital Records Or Any Organisational It Infrastructure At Your Disposal, The Next Best Thing You Can Do Is To Keep Multiple Copies In Different Locations, A.K.A Backing Up. There are many options available for storing digital records, when evaluating these different options you should keep in mind the volume and type of digital records you need to keep, what resources you have at your disposal and any privacy or security concerns you may have. Storage options to consider: 1. Your PC or laptop - this will likely be where you keep your main/working copy as it will be easy to access and update. 2. Email attachments - consider emailing a copy to yourself, if you have multiple email accounts even better. You may want to create folders within your inbox(es) so you can find and keep track of these backup copies more easily. 3. Removable media e.g. memory sticks or portable hard drives - these devices will connect via usb to your laptop or pc, they can be used as additional storage and most importantly can be kept in a separate location e.g. if you take your laptop home with you, leave your backup hard drive at work. If, in the unlikely and unfortunate event that one premises gets burgled or flooded, a copy of your digital records will still survive. 4. Cloud storage - as with email attachments why not use the web to store your digital records? There are numerous online storage options available e.g. Dropbox, Google Drive, Amazon Cloud Drive and Microsoft OneDrive. Many of these services provide an initial amount of storage for free and are also designed to enable sharing and collaborative work. Many services will sync with your various devices so you can access and update your documents 'on the go'. Keeping multiple copies of your digital records in different places may seem a simple way of ensuring their longevity; however it can quickly become unmanageable. When keeping multiple backup copies in different locations consider the following: 1. File naming conventions - be consistent and detailed, consider including a date and anything else that will help you to find and identify your records with ease. 2. Similarly, if you are keeping your files within a wider folder structure, think about what you are naming your folders and don't nest files unnecessarily deeply. You could create folders per project, by year and month, by client or any other logical system. Think carefully about how you to store your records, as you do not want to create a time consuming structure to maintain and consider recording file paths so you can find your files easily within their wider structure. 3. If you update/edit one copy, remember to keep your other copies in sync. If you want to keep earlier versions make sure the versioning is clear in the name of the file e.g. by appending v.1.0, v. 1.1 etc. and indicate where a file is the final version by using terms such as 'FINAL' or 'PUBLISHED'. ##  Managing Your Storage Over Time Whatever Storage Options You Choose Initially, Continue To Review The Situation Going Forward. Are you running out of free space online or on a hard drive? Have the terms of use changed for your cloud storage or email services? Are they still compatible with your needs? What would you do in the event that one of these services went down either temporarily or permanently? The shelf life of hard drives and memory sticks is notoriously hard to predict; they can fail randomly at any time before the stage at which they start to actually wear out, and the point at which they begin to wear out depends upon how regularly they are in use. Whatever combination of storage options you use make sure it is not too onerous; if backing up is too complicated or time consuming, the chances are you won't do it! ## ________________________________________________________________________  Fixity And Virus Checking Just Storing Your Records Cannot Be Considered Active Digital Preservation, To Achieve This You Need To Regularly Check The Integrity Of Your Digital Records. The Simplest Way To Do This Is To Virus And Fixity-Check Your Records. Free anti-virus software is readily available, make sure you connect to the web and don't ignore prompts to update your anti-virus software. You can set up your computer to automatically run background virus scans but you can also scan on demand, usually just by right clicking and selecting your virus scanning software. The importance of protecting your digital records from becoming compromised by viruses cannot be underestimated. Fixity checking is ever so slightly more time consuming but it is the only way you can be sure your digital records are not changing over time without your explicit intervention. Fixity checking involves the generation of checksums or hashes, which are unique strings of letters and numbers produced by particular checksum algorithms. Checksumming software scans each file byte by byte in order to produce a unique hash. Once you have generated a checksum for a file using a particular algorithm e.g. SHA 1 or MD 5, you can regenerate the checksum using the same algorithm at any point in the future; if the checksums match your file is still the same, if they don't match something has changed and you will need to investigate further. As with anti-virus software there is free checksumming software available on the web right now for you to download and start using e.g. Gizmo. The National Archives DROID tool, which is free and open source, also has a tick box option to produce checksums. If you regularly virus and fixity check your records you will also be regularly accessing your records so you will notice, for example, if removable media is failing. If possible it is advisable to schedule this in at least every quarter. ## _____________________________________________________________________________________  Metadata Throughout This Document It Has Been Suggested That You Might Want To Record Certain Information About Your Digital Records To Help You Manage And Most Importantly Find Them, This Information Is Commonly Referred To As Metadata. You need only create a simple document, probably a spreadsheet, containing filenames and their location e.g. URL or filepath, their corresponding checksum and the date when anti- virus scans and checksum verification were last done. From there you can record as much other information as you like and is suitable to your needs e.g. dates, the software it was created in, copyright information. If you have a cataloguing schema for paper records it may well be applicable to your digital records. Likewise if you are using cataloguing software for your paper collection it may work for digital records or there may be a specific module available for digital records which you could upgrade to include. Although it may seem daunting, managing digital records requires exactly the same principles as looking after paper records - if you file things in an orderly fashion and name them well you will be well on your way. __________________________________________________________________________ Many useful resources online - and they are free: ## The National Archives Identifying file formats: DROID http://www.nationalarchives.gov.uk/information-management/manageinformation/policy-process/digital-continuity/file-profiling-tool-droid/ Archive Principles and Practice: an introduction to archives for non-archivists http://www.nationalarchives.gov.uk/documents/information-management/archive-principles-andpractice-an-introduction-to-archives-for-non-archivists.pdf Digital Collections http://www.nationalarchives.gov.uk/archives-sector/digital-collections.htm Digital Preservation FAQs http://www.nationalarchives.gov.uk/information-management/projects-andwork/digital-preservation-faqs.htm ## Oclc Research You've Got to Walk Before You Can Run: First Steps for Managing Born-Digital Content Received on Physical Media http://www.oclc.org/content/dam/research/publications/library/2012/2012-06.pdf ## Council On Library And Information Resources (Clir) Born digital: Guidance for Donors, Dealers and Archival Repositories http://www.clir.org/pubs/reports/pub159 ## University Of London Computer Centre (Ulcc) Digital Preservation Training Programme (DPTP) http://www.dptp.org/ ## Digital Preservation Coalition (Dpc) Digital Preservation Planning case study, Ed May, 2013 http://www.dpconline.org/component/docman/doc_download/548-5-a-ed-fay Our digital memory accessible tomorrow: http://www.dpconline.org/ Digital Preservation handbook: http://www.dpconline.org/advice/preservationhandbook http://www.dpconline.org/advice/preservationhandbook/decision-tree ## Library Of Congress (Loc) Personal Archiving: preserving your digital memories http://www.digitalpreservation.gov/personalarchiving/ ## Prestospace PrestoSpace: working to improve and standardise practice for audio-visual material, Preservation Guide, http://wiki.prestospace.org/pmwiki.php?n=Main.NavigationGuide

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## Freedom of Information Act 2000 Request Request I am currently writing a report investigating the reliability of children's eye witness testimony in the Justice System and was wondering if you could obtain the statistics for the amount of Child Witnesses that were required to testify in England and Wales Courts in 2015 and 2016? Response Please refer to attached table and accompanying caveats which show the number of victims and witnesses identified as a 'Child' who were required to attend a trial related hearing. The data is from January 2015 to September 2016. Data post September is unavailable because the Crown Prosecution Service (CPS) publishes its statistics quarterly in arrears as per our policy. These figures have been extracted from the Witness Management System (WMS), a purpose built electronic system, designed to enable Witness Care Unit staff to identify cases involving children and other vulnerable witnesses, and to assist in ensuring that the right level of information and support is directed towards these cases. WMS is not intended to provide a definitive record of the number of victims and witnesses falling into these categories, and it should be noted that the WMS is not used across all CPS Areas therefore the volumes reported are likely to be understated. The CPS is not able to confirm whether the victims and witnesses included in the attached table actually gave evidence in court. Information Management Unit 020 3357 0899 FOI.Unit@cps.gsi.gov.uk

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Peak District National Park Authority Tel: 01629 816200 E-mail: customer.service@peakdistrict.gov.uk Web: www.peakdistrict.gov.uk Minicom: 01629 816319 Aldern House . Baslow Road . Bakewell . Derbyshire . DE45 1AE To: Mr Paul Derbyshire C/o Maxine Parker 4 Turnpike Close Diggle Oldham OL3 5PH THIS NOTICE RELATES TO PLANNING CONTROL ONLY, ANY OTHER STATUTORY CONSENT MUST BE OBTAINED FROM THE APPROPRIATE AUTHORITY ## Town & Country Planning Acts & General Development Order In pursuance of the powers vested in the Peak District National Park Authority under the above Acts and Order, and with reference to your application for Full Planning Permission, details of which are as follows: | Office Code No. | NP/O/0616/0584 | |-------------------|-----------------------------------------------------------------------------------| | Date received: | 27 June 2016 | | Proposal: | Alterations and conversion of outbuilding to ancillary residential accommodation. | Location: Running Hill House, Running Hill Lane, Dobcross Parish: Saddleworth ## The Decision NOTICE IS HEREBY GIVEN THAT PERMISSION FOR THE PROPOSED DEVELOPMENT in the manner described on the application and shown on the accompanying plans and drawings is GRANTED subject to the following conditions: 1 The development hereby permitted shall be begun within 3 years from the date of this permission. 2 The development hereby permitted shall not be carried out otherwise than in complete accordance with the following approved plan: drawing number '31. B' received by the Authority on the 5th September 2016 subject to the following conditions or modifications. Continued overleaf… Signed Date 12 September 2016 Attention is called to the notes at the end of this Decision Notice 3 The roof shall be clad with natural stone slates. 4 The external doors and windows shall be of timber construction. Prior to the installation of any new window or doors, details of their precise design, recess and external finish shall be submitted to and approved in writing by the National Park Authority. The development shall be carried out in accordance with the approved details and permanently so maintained thereafter. 5 Prior to the installation of the roof lights, details of their precise design, size and position shall be submitted to and approved in writing by the National Park Authority. The development shall be carried out in accordance with the approved details and permanently so maintained thereafter. 6 The rainwater goods shall be black. The gutters shall be fixed directly to the stonework with brackets and without the use of fascia boards. There shall be no projecting or exposed rafters. 7 All works associated with the development shall be undertaken outside the breeding bird season (March - August). 8 The development hereby approved shall remain ancillary to Running Hill House throughout its lifetime, and Running Hill House and the development hereby approved shall be maintained as a single planning unit in perpetuity. ## Reasons For Conditions: 1 To comply with Sections 91, 92, and 93 of the Town and Country Planning Act 1990 (which requires the National Park Authority to reconsider the proposal afresh after a period of years) as amended by Section 51 of the Planning Compulsory Purchase Act 2004. 2-6 In the interests of the character and the appearance of the development and to ensure that the development respects the character and appearance of the listed building 7 To protect the ecological interests of the site. 8 The creation of an independent dwelling or otherwise separate planning unit would raise further material planning policy and amenity considerations over which the Authority wishes to retain control. ## Footnotes The Authority's Officers have assessed the proposal against Development Plan policies and any other material considerations and have recommended amendments which overcome any concerns and which ensure that the development follows guidance in the National Planning Policy Framework. Core Strategy Policies include: GSP1, GSP2, GSP3, GSP4, DS1, L3 Relevant Local Plan policies include: LC4, LC6 and LH4 _______________________________________________________________________________________ ## Please Note, Only The Applicant Possesses The Right Of Appeal. You Must Use A Planning Appeal Form - If you are aggrieved by the decision of your local planning authority to refuse permission for the proposed development or to grant it subject to conditions, then you can appeal to the Secretary of State under section 78 of the Town and Country Planning Act 1990. - As this is a decision to refuse, or approve planning permission subject to conditions for a householder application, if you want to appeal against your local planning authority's decision then you must do so within 12 weeks of the date of this notice. - Appeals must be made using a form which you can get from the Planning Inspectorate, Room 3Q, Kite Wing, Temple Quay House, 2 The Square, Temple Quay, Bristol, BS1 6PN (Tel: 0303 444 5000, email: enquiries@pins.gsi.gov.uk) or can be made online via the Planning Inspectorate website at https://acp.planninginspectorate.gov.uk/. - The Secretary of State can allow a longer period for giving notice of an appeal, but will not normally be prepared to use this power unless there are special circumstances which excuse the delay in giving notice of appeal. - The Secretary of State need not consider an appeal if it seems to the Secretary of State that the local planning authority could not have granted planning permission for the proposed development or could not have granted it without the conditions they imposed, having regard to the statutory requirements, to the provisions of any development order and to any directions given under a development order. - In practice, the Secretary of State does not refuse to consider appeals solely because the local planning authority based its decision on a direction given by him. ## Purchase Notices - If either the local planning authority or the Secretary of State for Communities and Local Government refuses permission to develop land or grants it subject to conditions, the owner may claim that he can neither put the land to a reasonably beneficial use in its existing state nor render the land capable of a reasonably beneficial use by the carrying out of any development which has been or would be permitted. - In these circumstances, the owner may serve a purchase notice on the Council (District Council, London Borough Council or Common Council of the City of London) or, where the land is situated in a National Park, the National Park Authority for that Park in whose area the land is situated. This notice will require the Council or Authority to purchase his interest in the land in accordance with the provisions of Part VI of the Town and Country Planning Act 1990. ## Planning Decision Notice Peak District National Park Authority Tel: 01629 816200 E-mail: customer.service@peakdistrict.gov.uk Web: www.peakdistrict.gov.uk Minicom: 01629 816319 Aldern House . Baslow Road . Bakewell . Derbyshire . DE45 1AE To: Mr Paul Derbyshire C/o Maxine Parker 4 Turnpike Close Diggle Oldham OL3 5PH Dear Sir or Madam Please find attached a copy of the approval notice for the development outlined below. Please read this notice carefully. It is particularly important that you comply with any conditions which require details to be submitted and agreed, or some other action to be taken, before work commences. These are often known as "pre-conditions" and usually start with words such as "Prior to the commencement of development" or "Before any work takes place", but there may be other similar words, so please read this notice carefully. Failure to comply with pre-conditions could result in any work carried out being unlawful and the permission not implemented. Similarly, failure to comply with the conditions and/or the approved plans could result in abortive work and possible enforcement action. If you are employing a builder or other contractor to carry out the work you should ensure that he has a copy of the approval notice and approved plans before starting work. If you wish to amend the approved plans in any way, you must first agree this with us. There is a formal process for submitting and agreeing both minor ("non-material amendments") and more significant amendments to the approved plans. Details can be found on the Authority's web site at http://www.peakdistrict.gov.uk/planning/advice/do-i-need-permission Please return the first tear-off section at the bottom of this letter before work commences and the second tear-off section once the work has been completed. Two pre-paid labels are enclosed for your use. Yours faithfully John Scott Director of Planning ## Planning Decision Notice Tel: 01629 816200 E-mail: customer.service@peakdistrict.gov.uk Web: www.peakdistrict.gov.uk Minicom: 01629 816319 Aldern House . Baslow Road . Bakewell . Derbyshire . DE45 1AE #------------------------------------------------------------------------------------------------------------------------------------- To Peak District National Park Authority, Aldern House, Baslow Road, Bakewell, Derbyshire DE45 1AE ## Application No: Np/O/0616/0584 P. 1475 Site Address: Running Hill House, Running Hill Lane, Dobcross, Development: Alterations And Conversion Of Outbuilding To Ancillary Residential Accommodation. The above development was **completed** on ______________________________________ Signed: __________________________________ Date____________________________ Name (in block capitals): _____________________________________________________ #------------------------------------------------------------------------------------------------------------------------------------- To Peak District National Park Authority, Aldern House, Baslow Road, Bakewell, Derbyshire DE45 1AE ## Application No: Np/O/0616/0584 P. 1475 Site Address: Running Hill House, Running Hill Lane, Dobcross, Development: Alterations And Conversion Of Outbuilding To Ancillary Residential Accommodation. The above development **commenced** on ______________________________________ Signed: __________________________________ Date____________________________ Name (in block capitals): _____________________________________________________

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MEASURING UP ANNUAL RAIL CONSUMER REPORT 2019 FINDINGS BY TRAIN COMPANY ## © Crown Copyright 2019 This publication is licensed under the terms of the Open Government Licence v3.0 except where otherwise stated. To view this licence, visit nationalarchives.gov.uk/doc/open-government-licence/version/3. Where we have identified any third party copyright information you will need to obtain permission from the copyright holders concerned. This publication is available at orr.gov.uk Any enquiries regarding this publication should be sent to us at orr.gov.uk/contact-us ## Contents | Guidance Notes. | |--------------------------------------| | c2c 7-9 | | Caledonian Sleeper. | | 10-12 | | Chiltern Railways 13-15 | | CrossCountry 16-18 | | East Midlands Trains 19-21 | | Govia Thameslink Railway. | | 22-24 | | Grand Central 25-27 | | Great Western Railway 28-30 | | Greater Anglia 31-33 | | Heathrow Express. | | 34-36 | | Hull Trains. | | 37-39 | | London North Eastern Railway (LNER). | | 40-42 | | London Overground 43-45 | | Merseyrail. | | 46-48 | | Northern 49-51 | | ScotRail 52-54 | | South Western Railway 55-57 | | Southeastern. | | 58-60 | | TfL Rail. | | 61-63 | | TfW Rail (Arriva Trains Wales) 64-66 | | TransPennine Express 67-69 | | Virgin Trains West Coast 70-72 | | West Midlands Trains 73-75 | ## Guidance Notes On How To Read The Train Company Reports Provision Of Information To Passengers Key Facts Owner group: This is the parent company which owns the train operating company. Operator: Train operating company. Franchise: Name of the franchise the train operating company operates. Franchise period: Period of time for which the train operating company has been contracted to run the franchise. Employees: Number of employees the train operating company has. Operated stations: Number of stations the train company operates. Sector: Long distance, Regional or London and South East. Passenger journeys per annum: Number of annual passenger journeys on the train operating company. ## Passenger Satisfaction With How Well The Train Company Deals With Delays Passenger satisfaction with how well the train company deals with delays, available at both train operating company and a national level. The data is sourced from the Transport Focus twice yearly National Rail Passenger Survey (NRPS). Data is included from Spring 2014 to Autumn 2018. Spring 2019 data was published on 27 June 2019. The side arrows indicate the percentage point change from Autumn 2017 to Autumn 2018. Source: Transport Focus, National Rail Passenger Survey Source: Transport Focus, National Rail Passenger Survey ## Transparency And Accountability Train operators produce a 'Local Plan' setting out how they will provide information to passengers. This can be tailored to how they run their services. Train operators need to publish their Local Plan (or a public facing version of it), a link to the current Code of Practice for the provision of customer information and an annual progress report. All operators were compliant with this in October 2015 but in October 2016 the industry changed its Code of Practice. This box records whether the operator has updated its website in accordance with the new Code of Practice. An audit of operator websites was undertaken in May 2017. ## Passenger Satisfaction With The Usefulness Of Information When Delays Occur Passenger satisfaction with the usefulness of information provided to passengers when delays occur, available at both train operating company and a national level. The data is sourced from the Transport Focus twice yearly National Rail Passenger Survey (NRPS). Data is included from Spring 2014 to Autumn 2018. Spring 2019 data was published on 27 June 2019. The side arrows indicate the percentage point change from Autumn 2017 to Autumn 2018. Source: Transport Focus, National Rail Passenger Survey ## Passenger Satisfaction With The Provision Of Information During The Journey Passenger Satisfaction With The Provision Of Information During The Journey, Available At Both Train Operating Company And A National Level. The data is sourced from the Transport Focus twice yearly National Rail Passenger Survey (NRPS). Data is included from Spring 2014 to Autumn 2018. Spring 2019 data was published on 27 June 2019. The side arrows indicate the percentage point change from Autumn 2017 to Autumn 2018. The information in this box outlines the actions the train company has informed ORR that it has taken in the period 2018-19 to improve the quantity and or quality of information it is providing to its passengers. Examples may have been supplied direct by the train operator or taken from its Local Plan ## Guidance Notes On How To Read The Train Company Reports Accessibility And Inclusion Booked Assistance Volumes The number of passenger assists requested. These assists were booked through the National Passenger Assistance Booking System, known as Passenger Assist, managed by the Rail Delivery Group (RDG). Please note, the data does not include unbooked assistance, often called 'Turn Up and Go'. The number of booked assistance requests are shown for each company that manages a station, and therefore not necessarily against the train company which the passenger travels with. For example, if a passenger requests an assist at Darlington station for a Cross Country train journey, the assist will be recorded against London North Eastern Railway, as London North Eastern Railway manage the station. This is why we do not have any data for those train companies who do not manage any stations. ## Passenger Experience Of Booked Assistance, 2018-19 Research on passenger experience of booked experience throughout 2018-19. Based on research by Breaking Blue where approximately 5,000 Passenger Assist users were asked about their experience. The 2018-19 data is a repeat of the research in 2017-18 (2017-18 research published here). The graphs are based on the following questions: 1). Passenger outcome for assistance that was booked: Question D5 - did you actually receive the following assistance? 2). Satisfaction with assistance at the station: Question D7 - how satisfied were you with the overall assistance at the station? ## 3). Satisfaction With The Helpfulness And Attitude Source: Research by Breaking Blue When published, the 2018-19 report will be available here: Research into passenger experience of Passenger Assist, 2018-19 Accessibility complaints rate (per 100,000 journeys), 2018-19 The volume of accessibility complaints per 100,000 journeys. This is shown for both the train company and at a national level. Accessibility rate is calculated using the complaint categories which train companies submit to ORR. Source: Train Operating Companies Data tables: Complaints by NRPS category by TOC - Table 14.5 ## Alternative Accessible Transport The number of instances where the train company provided Alternative Accessible Transport (AAT) in 2018-19. All operators must provide free alternative transport to take passengers to the nearest or most convenient accessible station in certain circumstances, for example when the station is inaccessible to the passenger or when rail replacement services are inaccessible. The volume of AAT may be high because an operator has a large number of inaccessible stations (for example) so it is important to view the figures in context. It should be noted that this only relates to AAT provided in relation to pre-booked assistance. Source: Train Operating Companies of staff who provided assistance at the station: Question D17a - how satisfied were you with the helpfulness and attitude of staff who provided assistance at the station? 4). Overall satisfaction with the whole process from booking assistance to assistance received: Question D21 - how satisfied are you with the whole process from booking the assistance to the assistance received for your last journey. The sample size is shown due to varying sample sizes between operators. Operators with a low sample size are not shown due to issues with the robustness of the data. Data not available for those operators who do not operate any stations, a note will indicate where this is the case. ## Disability And Equality Staff Training In 2018-19 The information in this box outlines the staff training in relation to disability and equality awareness issues the train company reports it has undertaken in 2018- 19 with a view to improving the quality of service it provides to passengers who require additional support when travelling on its services. Source: Train Operating Companies ## Guidance Notes On How To Read The Train Company Reports Complaints Handling And Delay Compensation Complaints Rate (Per 100,000 Journeys), 2018-19 By Quarter The volume of complaint correspondence closed per 100,000 journeys. Complaints are normalised by passenger journeys to allow effective comparison of data between time periods and train operating companies. Results are provided for the four quarters in 2018-19 which refer to 3-monthly time periods. Source: Train Operating Companies and LENNON (the rail industry's ticketing and revenue database) Data tables: Complaints rate by train operating company - Table 14.9 ## Top 5 Reasons For Complaints, 2018-19 The data in this box shows the top five causes of complaints for the train operator in 2018-19. The table also shows what proportion of complaints each of the top five complaints issues accounted for and the percentage point change for each complaint category versus 2017-18. PP = percentage point change Source: Train Operating Companies Data tables: Complaints by NRPS category by TOC - Table 14.5 ## Delay Compensation Claims, 2018-19 The left-hand side of this box displays the volume of delay compensation claims closed by the train operator in 2018-19. The graph shows this by 'rail period' where a rail period is normally 28 days, or four weeks, for business reporting purposes (Sunday to Saturday) and there are 13 rail periods in a financial year. ## Complaints Responded To Within 20 Working Days, 2018-19 By Quarter The percentage of complaints which are answered by the train operator within 20 working days. Our regulatory requirement is to close 95% of complaints within 20 working days. Results are provided for the four quarters in 2018-19 which refer to 3-monthly time periods. Source: Train Operating Companies Data tables: Complaints responded to within 10 and 20 working days by TOC - Table 14.2 ## Actions To Improve Services In Response To Complaints, 2018-19 The information in this box outlines the steps that each train company reports it has taken in 2018-19 to address issues highlighted in passenger complaints. This relates to the requirement for each licensee to demonstrate how it is embedding a culture of continuous improvement in its complaint handling. A link to the company's approved Complaints Handling Procedure is also provided. Source: Train Operating Companies Operator full response available here: https://orr.gov.uk/rail/ consumers/annual-rail-consumer-report The top-right hand side of this box displays the percentage of delay compensation claims closed which have been answered by the train operator within 20 working days since it was received. The bottom-right hand side of this box displays the percentage of delay compensation claims closed which have were approved by the train operator. Source: Train Operating Companies All train operators should publish the actions they are taking to improve passenger information in a Local Plan together with a link to the current industry Code of Practice (Oct 2016) and an Annual Progress Report (required to meet industry action PIDD-41). • Code of Practice - October 2016 • Local Plan - February 2017 ORR reviewed the 2017 version of the local plan although this has not been updated every year as per the commitments made. Source: Transport Focus, National Rail Passenger Survey The NRPS takes places twice a year, in Spring (S) and Autumn (A) c2c reports it has made the following changes to improve information to its passengers Data not supplied. All operators must provide free alternative transport to take passengers to the nearest or most convenient accessible station in certain circumstances: c2c received **1,057** booked assistance requests in 2018-19. This accounted for 0.1% of all booked assists made nationally in 2018-19. • When a station is inaccessible to the passenger; • When rail replacement services are running that are not accessible to the passenger (because of planned engineering works for example); or • When there is disruption to services at short notice that, for whatever reason, makes services inaccessible to disabled passengers. c2c were not able to report on the number of alternative accessible transport that were provided in 2018-19. Note: This excludes un-booked assistance. A 'rail period' is normally 28 days, or four weeks, for business reporting purposes (Sunday to Saturday) and there are 13 rail periods in a financial year. Data tables: Rail passenger assists by station operator - Table 16.03 ## Passenger Experience Of Booked Assistance, 2018-19 No data is available on this company's performance on the reliability of its booked assistance due to a low sample size, which is a natural effect of having lower than average booking volumes. Source: Research by Breaking Blue When published, the 2018-19 report will be available here: Research into passenger experience of Passenger Assist, 2018-19 ## Disability And Equality Staff Training In 2018-19 Accessibility complaints rate (per 100,000 journeys), 2018-19 • In 2018-19 a total of 700 c2c staff received disability and equality awareness training. • All new staff receive disability awareness training as part of their induction and existing staff are currently planned to receive fresher training at a minimum of every two years. • c2c use a combination of training methods including classroom training, coaching sessions, E-learning and on the job training. Source: Train Operating Companies Data tables: Complaints by NRPS category by TOC - Table 14.5 We therefore recommend reading the full detailed description of c2c's disability training activities here on our website: https://orr.gov.uk/rail/consumers/ annual-rail-consumer-report ## C2C Complaints Handling And Delay Compensation Top 5 reasons for complaints, 2018-19 Actions to improve services in response to complaints, 2018-19 Percentage of complaints Complaint type Change on last year 32.6% Smartcards -5.1 PP 15.8% 4.1 PP Punctuality/reliability (i.e. the train arriving/ departing on time) 10.4% No response from TOC 5.5 PP 7.6% Ticketing and refunds policy -3.7 PP 4.1% Ticket buying facilities - other 1.6 PP ## Complaints Responded To Within 20 Working - Table 14.2 c2c's Complaints Handling Procedure is available at: https://orr.gov.uk/rail/licensing/licensing-therailway/complaints-handling-procedures/complaintshandling-procedures-decision-letters c2c reports it has taken some of the following actions in 2018-19 to address issues highlighted in passenger complaints: • c2c have been engaging directly with customers through social media to respond to Smartcard queries. • c2c have introduced new IT systems to improve the processing and responding times for queries and complaints. A more detailed list of the actions which have been taken to improve services in response to complaints can be viewed here: https://orr.gov.uk/rail/ consumers/annual-rail-consumer-report there are 13 rail periods in a financial year. 17.01 ## Caledonian Sleeper Provision Of Information To Passengers Key Facts Owner group: Serco Operator: Caledonian Sleeper Franchise: Caledonian Sleeper Franchise period: 31 March 2015 - 31 March 2030 Employees: 174 Operated stations: 0 Sector: Scotland Passenger journeys per annum: 0.3 million Source: Train Operating Companies and LENNON (the rail industry's ticketing and revenue database) Data tables: TOC Key statistics ## Passenger Satisfaction With How Well The Train Company Deals With Delays Note: Caledonian Sleeper does not participate in the National Rail Passenger Survey. Instead, Transport Focus carry out an individual survey for Caledonian Sleeper. The latest data will be published on the Transport Focus website, see here for the latest results published June 2017. ## Transparency And Accountability All train operators should publish the actions they are taking to improve passenger information in a Local Plan together with a link to the current industry Code of Practice (Oct 2016) and an Annual Progress Report (required to meet industry action PIDD-41). • Code of Practice - None • Local Plan - None Currently non-compliant. ## Passenger Satisfaction With The Usefulness Of Information When Delays Occur Note: Caledonian Sleeper does not participate in the National Rail Passenger Survey. Instead, Transport Focus carry out an individual survey for Caledonian Sleeper. The latest data will be published on the Transport Focus website, see here for the latest results published June 2017. ## Passenger Satisfaction With Provision Of Information During The Journey Note: Caledonian Sleeper does not participate in the National Rail Passenger Survey. Instead, Transport Focus carry out an individual survey for Caledonian Sleeper. The latest data will be published on the Transport Focus website, see here for the latest results published June 2017. Caledonian Sleeper reports it has taken some of the following actions to improve its provision of information to passengers: • It has introduced a dedicated social media lead to drive forward our strategy and engagement on the various social media channels. • It has completed the installation of 37 information points at stations across our network. • It has recently launched a new website, giving a more enhanced level of detail and insight into the product it offers. ## Caledonian Sleeper Accessibility And Inclusion Booked Assistance Volumes Alternative Accessible Transport Data on the volume of booked assistance requests received in each rail period is available for each train operator that manages a station. This data is therefore not available for Caledonian Sleeper because they do not manage any stations. ## Passenger Experience Of Booked Assistance, 2018-19 Data On Passenger Satisfaction With Booked Assistance Is Not Available For Caledonian Sleeper As They Do Not Manage Any Stations. Source: Research by Breaking Blue When published, the 2018-19 report will be available here: Research into passenger experience of Passenger Assist, 2018-19 Accessibility complaints rate (per 100,000 journeys), 2018-19 Source: Train Operating Companies Data tables: Complaints by NRPS category by TOC - Table 14.5 All operators must provide free alternative transport to take passengers to the nearest or most convenient accessible station in certain circumstances: • When a station is inaccessible to the passenger; • When rail replacement services are running that are not accessible to the passenger (because of planned engineering works for example); or • When there is disruption to services at short notice that, for whatever reason, makes services inaccessible to disabled passengers. In 2018-19 alternative accessible transport was provided 4 times by Caledonian Sleeper. ## Disability And Equality Staff Training In 2018-19 • In 2018-19 a total of 131 Caledonian Sleeper staff received disability and equality awareness training. • All new staff receive disability awareness training as part of their induction and all existing staff receive refresher training on an annual basis. A full description of Caledonian Sleeper's disability training activities in 2018-19 can be viewed here on our website: https://orr.gov.uk/rail/consumers/ annual-rail-consumer-report ## Caledonian Sleeper Complaints Handling And Delay Compensation Top 5 reasons for complaints, 2018-19 Actions to improve services in response to complaints, 2018-19 Percentage of complaints Complaint type Change on last year 12.4% Upkeep and repair of the train 0.6 PP 12.2% Facilities on board 1.2 PP 8.6% 3.5 PP Punctuality/reliability (i.e. the train arriving/ departing on time) 7.6% Other complaints handling 2.2 PP 5.8% Other - miscellaneous -23.3 PP ## Complaints Responded To Within 20 Working - Table 14.2 Caledonian Sleeper's Complaints Handling Procedure is available at: https://orr.gov.uk/rail/ licensing/licensing-the-railway/complaints-handlingprocedures/complaints-handling-proceduresdecision-letters Caledonian Sleeper reports it has taken some of the following actions in 2018-19 to address issues highlighted in passenger complaints: • A new website was introduced to improve the passenger booking process. • Current trains have seen the addition of new soft furnishings such as new mattresses and improved catering facilities to address the provision of facilities on board. A more detailed list of the actions which have been taken to improve services in response to complaints can be viewed here: https://orr.gov.uk/rail/ consumers/annual-rail-consumer-report All train operators should publish the actions they are taking to improve passenger information in a **Local Plan** together with a link to the current industry **Code of Practice** (Oct 2016) and an Annual Progress Report (required to meet industry action PIDD-41). • Code of Practice - October 2016 • Local Plan - Oct 2016 The Local Plan was written for the old Code of Practice and needs to be updated. We have been in contact with Chiltern recently and await a draft of its updated plan. Source: Transport Focus, National Rail Passenger Survey The NRPS takes places twice a year, in Spring (S) and Autumn (A) Chiltern reports it has made the following changes to improve information to its passengers: • Prototype departure summary screens are being trialled at four busy stations, allowing better information to be provided including London Underground line statuses. • Multi-lingual staff have been recruited at three stations to provide improved customer information and assistance. Imminent launch of GPS train location feeds which will improve the quality of live train running information during disruption. • Trains between Harrow-on-the-Hill & Amersham will have live train running information for the first time. Chiltern received **17,068** booked assistance requests in 2018-19. This accounted for 1.3% of all booked assists made nationally in 2018-19. Note: This excludes un-booked assistance. A 'rail period' is normally 28 days, or four weeks, for business reporting purposes (Sunday to Saturday) and there are 13 rail periods in a financial year. Source: Research by Breaking Blue When published, the 2018-19 report will be available here: Research into passenger experience of Passenger Assist, 2018-19 Accessibility complaints rate (per 100,000 journeys), 2018-19 All operators must provide free alternative transport to take passengers to the nearest or most convenient accessible station in certain circumstances: • When a station is inaccessible to the passenger; • When rail replacement services are running that are not accessible to the passenger (because of planned engineering works for example); or • When there is disruption to services at short notice that, for whatever reason, makes services inaccessible to disabled passengers. In 2018-19 alternative accessible transport was provided 122 times by Chiltern. Disability and equality staff training in 2018-19 • In 2018-19 a total of 122 Chiltern staff received disability and equality awareness training. • All new staff receive disability awareness training as part of their induction and all existing staff receive refresher training every two years. • The disability and equality awareness element of Chiltern's induction course is delivered by Hear First. The refresher training is delivered by in-house trainers. A full description of Chiltern's disability training activities in 2018-19 can be viewed here on our website https://orr.gov. uk/rail/consumers/annual-rail-consumer-report ## Chiltern Railways Complaints Handling And Delay Compensation Top 5 reasons for complaints, 2018-19 Actions to improve services in response to complaints, 2018-19 Percentage of complaints Complaint type Change on last year Ticket buying facilities - other 4.4 PP 9.8% -1.7 PP Punctuality/reliability (i.e. the train arriving/ departing on time) 9.0% Ticket buying facilities 1.0 PP 8.4% -1.0 PP Sufficient room for all passengers to sit/ stand 5.7% Ticketing and refunds policy -0.1 PP ## Delay Compensation Claims, 2018-19 Chiltern closed **20,998** delay compensation claims in 2018-19. - Table 14.2 Chiltern's Complaints Handling Procedure is available at: https://orr.gov.uk/rail/licensing/licensing-therailway/complaints-handling-procedures/complaintshandling-procedures-decision-letters Chiltern reports it has taken some of the following actions in 2018-19 to address issues highlighted in passenger complaints: • Advertise price guarantees on TVM's to inform customers of their rights to claim refunds where appropriate. • Amended the timetable to increase the number of seats available to address complaints about standing/overcrowding. A more detailed list of the actions which have been taken to improve services in response to complaints can be viewed here: https://orr.gov.uk/rail/ consumers/annual-rail-consumer-report All train operators should publish the actions they are taking to improve passenger information in a **Local Plan** together with a link to the current industry **Code of Practice** (Oct 2016) and an Annual Progress Report (required to meet industry action PIDD-41). • Code of Practice - Oct 2016 • Local Plan - March 2019 We conducted a review of the new local plan in February 2019 and provided our feedback to CrossCountry. We were satisfied with its contents and happy for this to be published online. Source: Transport Focus, National Rail Passenger Survey The NRPS takes places twice a year, in Spring (S) and Autumn (A) CrossCountry reports it has made the following changes to improve information to its passengers It recently introduced a modular structure to improve the content of its PA announcements. It is working closely with its Training School, introducing a section based on customer wants/ needs to help new entrants understand what it is the customer wishes to hear about and when. The Arrakis Application has been placed on all smartphones for customer service grades. This will provide them with targeted information in the form of a push notification. All operators must provide free alternative transport to take passengers to the nearest or most convenient accessible station in certain circumstances: • When a station is inaccessible to the passenger; Data on the volume of booked assistance requests received is available for each train operator that manages a station. This data is therefore not available for CrossCountry because they do not manage any stations. • When rail replacement services are running that are not accessible to the passenger (because of planned engineering works for example); or • When there is disruption to services at short notice that, for whatever reason, makes services inaccessible to disabled passengers. In 2018-19 alternative accessible transport was provided 115 times by CrossCountry. ## Passenger Experience Of Booked Assistance, 2018-19 Data On Passenger Satisfaction With Booked Assistance Is Not Available For Crosscountry As They Do Not Manage Any Stations. When published, the 2018-19 report will be available here: Research into passenger experience of Passenger Assist, 2018-19 Disability and equality staff training in 2018-19 Accessibility complaints rate (per 100,000 journeys), 2018-19 • In 2018-19 a total of 229 CrossCountry staff received disability and equality awareness training. • All of these were new staff who received disability awareness and equality training as part of their induction programme. • CrossCountry's disability awareness and equality training is delivered by their in house training team and includes a mix of practical and theory based learning. A full description of CrossCountry's disability training activities in 2018-19 can be viewed here on our website: https://orr.gov.uk/rail/consumers/annualrail-consumer-report ## Crosscountry Complaints Handling And Delay Compensation Top 5 reasons for complaints, 2018-19 Actions to improve services in response to complaints, 2018-19 of complaints Complaint type last year -10.0 PP Punctuality/reliability (i.e. the train arriving/ departing on time) 25.5% Facilities on board 1.8 PP 15.3% 4.4 PP Sufficient room for all passengers to sit/ stand 6.0% -0.2 PP The helpfulness and attitude of staff on train 3.5% Other policy 2.6 PP - Table 14.2 CrossCountry's Complaints Handling Procedure is available at: https://orr.gov.uk/rail/licensing/licensingthe-railway/complaints-handling-procedures/ complaints-handling-procedures-decision-letters CrossCountry reports it has taken some of the following actions in 2018-19 to address issues highlighted in passenger complaints: • Additional catering staff were recruited and all boilers on Voyager trains were replaced to ensure adequate on-board catering provisions. • CrossCountry introduced a free advance ticket amendment service to allow passengers to travel on alternative trains to avoid crowding. A more detailed list of the actions which have been taken to improve services in response to complaints can be viewed here: https://orr.gov.uk/rail/ consumers/annual-rail-consumer-report business reporting purposes (Sunday to Saturday) and there are 13 rail periods in a financial year. Data tables: Rail delay compensation claims by TOC - Table 17.01 All train operators should publish the actions they are taking to improve passenger information in a **Local Plan** together with a link to the current industry **Code of Practice** (Oct 2016) and an Annual Progress Report. This is required to meet industry action PIDD-41. • Code of Practice - October 2016 • Local Plan - January 2019 A revised Local Plan has been reviewed by ORR. Source: Transport Focus, National Rail Passenger Survey The NRPS takes places twice a year, in Spring (S) and Autumn (A) East Midlands Trains reports it has made the following changes to improve information to its passengers • Introduced system enhancements to station CIS displays and announcements • Introduced a microsite to keep customers informed about future planned engineering work on London routes • Continued to roll out passenger information systems on board the local fleet. ## East Midlands Trains Accessibility And Inclusion Booked Assistance Volumes Alternative Accessible Transport East Midlands Trains received **63,312** booked assistance requests in 2018-19. This accounted for 4.9% of all booked assists made nationally in 2018-19. Note: This excludes un-booked assistance. A 'rail period' is normally 28 days, or four weeks, for business reporting purposes (Sunday to Saturday) and there are 13 rail periods in a financial year. Data tables: Rail passenger assists by station operator - Table 16.03 Source: Research by Breaking Blue When published, the 2018-19 report will be available here: Research into passenger experience of Passenger Assist, 2018-19 Accessibility complaints rate (per 100,000 journeys), 2018-19 All operators must provide free alternative transport to take passengers to the nearest or most convenient accessible station in certain circumstances: • When a station is inaccessible to the passenger; • When rail replacement services are running that are not accessible to the passenger (because of planned engineering works for example); or • When there is disruption to services at short notice that, for whatever reason, makes services inaccessible to disabled passengers. In 2018-19 alternative accessible transport was provided 233 times by East Midlands Trains. Disability and equality staff training in 2018-19 • In 2018-19 a total of 115 East Midlands Trains staff received disability and equality awareness training. • East Midlands Trains have a dedicated disability awareness and equality training programme for new staff. • All managers complete a e-learning programme. A total of 39 managers completed the course in 2018-19. A full description of East Midlands Trains' disability training activities in 2018-19 can be viewed here on our website: https://orr.gov.uk/rail/consumers/annual-rail-consumerreport ## East Midlands Trains Complaints Handling And Delay Compensation Top 5 reasons for complaints, 2018-19 Actions to improve services in response to complaints, 2018-19 Percentage of complaints Complaint type last year Sufficient room for all passengers to sit/ stand 1.1 PP Punctuality/reliability (i.e. the train arriving/ departing on time) 14.7% Facilities on board -0.1 PP 0.6 PP The helpfulness and attitude of staff on train Source: Train Operating Companies Data tables: Complaints by NRPS category by TOC - Table 14.5 Delay compensation claims, 2018-19 East Midlands Trains closed **68,781** delay compensation claims in 2018-19. PP = percentage point change Source: Train Operating Companies Data tables: Complaints responded to within 10 and 20 working days by TOC - Table 14.2 East Midlands Trains' Complaints Handling Procedure is available at: https://orr.gov.uk/rail/ licensing/licensing-the-railway/complaints-handlingprocedures/complaints-handling-proceduresdecision-letters East Midlands Trains reports it has taken some of the following actions in 2018-19 to address issues highlighted in passenger complaints: • Staff allocations are reviewed to ensure that there are adequate staffing levels to address complaints about facilities on board and the helpfulness and attitude of staff on the train. • Train and station staff have been trained on how to resolve reservation issues to address complaints about overcrowding. A more detailed list of the actions which have been taken to improve services in response to complaints can be viewed here: https://orr.gov.uk/rail/ consumers/annual-rail-consumer-report Note: A 'rail period' is normally 28 days, or four weeks, for business reporting purposes (Sunday to Saturday) and there are 13 rail periods in a financial year. Data tables: Rail delay compensation claims by TOC - Table 17.01 All train operators should publish the actions they are taking to improve passenger information in a **Local Plan** together with a link to the current industry **Code of Practice** (Oct 2016) and an Annual Progress Report (required to meet industry action PIDD-41). • Code of Practice - Oct 2016 • Local Plan - April 2019 The information is up to date. The Local Plan should be reviewed annually. The NRPS takes places twice a year, in Spring (S) and Autumn (A) Govia Thameslink Railway reports it has made the following changes to improve information to its passengers: • It has replaced 742 information screens on Southern and Gatwick Express. • In addition, it is focusing on communicating information regarding its upcoming engineering work. • It has rolled out 3000+ data enabled phones to its customer facing staff • It has introduced software upgrades to the Customer information systems to include "warning of future delays" and "location of train" ## Govia Thameslink Railway Accessibility And Inclusion Booked Assistance Volumes Alternative Accessible Transport Govia Thameslink Railway received **57,060** booked assistance requests in 2018-19. This accounted for 4.4% of all booked assists made nationally in 2018-19. Note: This excludes un-booked assistance. A 'rail period' is normally 28 days, or four weeks, for business reporting purposes (Sunday to Saturday) and there are 13 rail periods in a financial year. Data tables: Rail passenger assists by station operator - Table 16.03 Source: Research by Breaking Blue When published, the 2018-19 report will be available here: Research into passenger experience of Passenger Assist, 2018-19 ## Accessibility Complaints Rate (Per 100,000 Journeys), 2018-19 All operators must provide free alternative transport to take passengers to the nearest or most convenient accessible station in certain circumstances: • When a station is inaccessible to the passenger; • When rail replacement services are running that are not accessible to the passenger (because of planned engineering works for example); or • When there is disruption to services at short notice that, for whatever reason, makes services inaccessible to disabled passengers. In 2018-19 alternative accessible transport was provided **1,201** times by Govia Thameslink Railway. Disability and equality staff training in 2018-19 • In 2018-19 a total of 1,349 Govia Thameslink Railway staff received disability and equality awareness training. • All new staff attended disability and equality awareness training as part of GTR's induction programme. A total of 557 completed this training as part of their induction. • GTR use a mix of practical and theoretical training to deliver their disability and equality awareness training. A full description of Govia Thameslink Railway's disability training activities in 2018-19 can be viewed here on our website: https://orr.gov.uk/rail/consumers/annual-railconsumer-report ## Govia Thameslink Railway Complaints Handling And Delay Compensation Top 5 reasons for complaints, 2018-19 Actions to improve services in response to complaints, 2018-19 Percentage of complaints Complaint type Change on last year 20.1% 5.8 PP Punctuality/reliability (i.e. the train arriving/ departing on time) 13.1% Timetabling 12.6 PP 8.4% Smartcards 0.0 PP 6.1% Ticket buying facilities -3.1 PP 5.4% Level of compensation -2.4 PP Source: Train Operating Companies Data tables: Complaints by NRPS category by TOC - Table 14.5 ## Delay Compensation Claims, 2018-19 Govia Thameslink Railway closed **1,552,957** delay compensation claims in 2018-19. PP = percentage point change Source: Train Operating Companies Data tables: Complaints responded to within 10 and 20 working days by TOC - Table 14.2 Govia Thameslink Railway's Complaints Handling Procedure is available at: https://orr.gov.uk/rail/ licensing/licensing-the-railway/complaints-handlingprocedures/complaints-handling-proceduresdecision-letters Govia Thameslink Railway reports it has taken some of the following actions in 2018-19 to address issues highlighted in passenger complaints: • Proactively helping customers to rectify Delay Repay claim submissions. • Launched upgrades to Smartcard facilities to improve the experiences of Smartcard users. A more detailed list of the actions which have been taken to improve services in response to complaints can be viewed here: https://orr.gov.uk/rail/ consumers/annual-rail-consumer-report Note: A 'rail period' is normally 28 days, or four weeks, for business reporting purposes (Sunday to Saturday) and there are 13 rail periods in a financial year. Data tables: Rail delay compensation claims by TOC - Table 17.01 All train operators should publish the actions they are taking to improve passenger information in a Local Plan together with a link to the current industry Code of Practice (Oct 2016) and an Annual Progress Report (required to meet industry action PIDD-41). • Code of practice - Oct 2016 • Local plan - June 2018 The information is up to date. Local Plans should be reviewed annually. Source: Transport Focus, National Rail Passenger Survey The NRPS takes places twice a year, in Spring (S) and Autumn (A) Grand Central reports it has made the following changes to improve information to its passengers: Grand Central has introduced new procedures to ensure we proactively contact customers more often to advise them of potential issues with their upcoming journeys during our busiest periods. ## Grand Central Accessibility And Inclusion Booked Assistance Volumes Data on the volume of booked assistance requests received in each rail period is available for each train operator that manages a station. This data is therefore not available for Grand Central because they do not manage any stations. ## Passenger Experience Of Booked Assistance, 2018-19 Data On Passenger Satisfaction With Booked Assistance Is Not Available For Grand Central As They Do Not Manage Any Stations. Source: Research by Breaking Blue When published, the 2018-19 report will be available here: Research into passenger experience of Passenger Assist, 2018-19 ## Accessibility Complaints Rate (Per 100,000 Journeys), 2018-19 may partly explain the percentage increase compared to the previous year Source: Train Operating Companies Data tables: Complaints by NRPS category by TOC - Table 14.5 ## Alternative Accessible Transport All operators must provide free alternative transport to take passengers to the nearest or most convenient accessible station in certain circumstances: • When a station is inaccessible to the passenger; • When rail replacement services are running that are not accessible to the passenger (because of planned engineering works for example); or • When there is disruption to services at short notice that, for whatever reason, makes services inaccessible to disabled passengers. In 2018-19 no alternative accessible transport was provided by Grand Central. Disability and equality staff training in 2018-19 • In 2018-19 a total of 36 Grand Central staff received disability and equality awareness training. • All passenger facing staff are required to undertake Grand Central's dedicated disability awareness and equality training. Grand Central are currently designing refresher training. • Grand Central's operational and safety teams have received disability awareness and equality training. A full description of Grand Central's disability training activities in 2018-19 can be viewed here on our website: https://orr.gov.uk/rail/consumers/annualrail-consumer-report ## Grand Central Complaints Handling And Delay Compensation Top 5 reasons for complaints, 2018-19 Actions to improve services in response to complaints, 2018-19 Percentage of complaints Complaint type last year Upkeep and repair of the train | 19.0% | 8.9 PP | |---------------------------|---------------------| | Punctuality/reliability | | | (i.e. the train arriving/ | | | departing on time) | | | 17.0% | 6.5 PP | | Sufficient room for | | | all passengers to sit/ | | | stand | | | 10.7% | Facilities on board | | 4.6% | | | Unhappy at type/level | | | of compensation | | | -1.6 PP | | Note: A 'rail period' is normally 28 days, or four weeks, for business reporting purposes (Sunday to Saturday) and there are 13 rail periods in a financial year. Data tables: Rail delay compensation claims by TOC - Table 17.01 - Table 14.2 Grand Central's Complaints Handling Procedure is available at: https://orr.gov.uk/rail/licensing/licensingthe-railway/complaints-handling-procedures/ complaints-handling-procedures-decision-letters Grand Central reports it has taken some of the following actions in 2018-19 to address issues highlighted in passenger complaints: • To address issues of punctuality/reliability and upkeep and repair of the train, Grand Central have increased the number of suppliers assisting with air conditioner unit repair and on-board maintenance staff to ensure trains are back in service as soon as possible. A more detailed list of the actions which have been taken to improve services in response to complaints can be viewed here: https://orr.gov.uk/rail/ consumers/annual-rail-consumer-report All train operators should publish the actions they are taking to improve passenger information in a Local Plan together with a link to the current industry Code of Practice (Oct 2016) and an Annual Progress Report (required to meet industry action PIDD-41). • Code of Practice - Oct 2016 • Local Plan - April 2017 The information is up to date. Local Plans should be reviewed annually. Source: Transport Focus, National Rail Passenger Survey The NRPS takes places twice a year, in Spring (S) and Autumn (A) Great Western Railway reports it has taken some of the following actions to improve its provision of information to passengers: • It is working on platform zoning. • The train crew also have an app which allows them to correct formation and update customer information screens during the journey. Great Western Railway received **162,199** booked assistance requests in 2018-19. This accounted for 12.6% of all booked assists made nationally in 2018-19. Source: Research by Breaking Blue When published, the 2018-19 report will be available here: Research into passenger experience of Passenger Assist, 2018-19 Accessibility complaints rate (per 100,000 journeys), 2018-19 All operators must provide free alternative transport to take passengers to the nearest or most convenient accessible station in certain circumstances: • When a station is inaccessible to the passenger; • When rail replacement services are running that are not accessible to the passenger (because of planned engineering works for example); or • When there is disruption to services at short notice that, for whatever reason, makes services inaccessible to disabled passengers. In 2018-19 alternative accessible transport was provided 649 times by Great Western Railway. Disability and equality staff training in 2018-19 • In 2018-19 a total of 830 Great Western Railway staff received disability and equality awareness training. • All new staff receive disability awareness training as part of their induction. • GWR continue to work with charities such as Parkinson's UK, Purple Angels and Autism West Midlands to advise on in-house disability training programmes. A full description of Great Western Railway's disability training activities in 2018-19 can be viewed here on our website: https://orr.gov.uk/rail/consumers/annual-railconsumer-report ## Great Western Railway Complaints Handling And Delay Compensation Top 5 reasons for complaints, 2018-19 Actions to improve services in response to complaints, 2018-19 Percentage of complaints Complaint type Change on last year 13.3% 1.4 PP Sufficient room for all passengers to sit/ stand 10.2% Facilities on board 3.5 PP 10.1% Ticket buying facilities - other 0.9 PP 9.5% 1.8 PP Punctuality/reliability (i.e. the train arriving/ departing on time) 9.3% Ticketing and refunds policy 9.3 PP Great Western Railway closed **162,022** delay compensation claims in 2018-19. Note: A 'rail period' is normally 28 days, or four weeks, for business reporting purposes (Sunday to Saturday) and there are 13 rail periods in a financial year. Data tables: Rail delay compensation claims by TOC - Table 17.01 - Table 14.2 Great Western Railway's Complaints Handling Procedure is available at: https://orr.gov.uk/rail/ licensing/licensing-the-railway/complaints-handlingprocedures/complaints-handling-proceduresdecision-letters Great Western Railway reports it has taken some of the following actions in 2018-19 to address issues highlighted in passenger complaints: • To address crowding issues, new trains with increased capacity have been introduced across the network. • Improvements to Great Western Railway's website have been made to improve the ticket buying experience for customers. A more detailed list of the actions which have been taken to improve services in response to complaints can be viewed here: https://orr.gov.uk/rail/ consumers/annual-rail-consumer-report All train operators should publish the actions they are taking to improve passenger information in a Local Plan together with a link to the current industry Code of Practice (Oct 2016) and an Annual Progress Report (required to meet industry action PIDD-41). • Code of Practice - October 2016. • Local Plan - June 2015 Not compliant. PP = percentage point change Source: Transport Focus, National Rail Passenger Survey The NRPS takes places twice a year, in Spring (S) and Autumn (A) Greater Anglia reports it has made the following changes to improve information to its passengers: • Greater Anglia is working on the introduction of new trains. • Additionally, it is working on a connected stations project with a customer information screens supplier. Greater Anglia received **38,657** booked assistance requests in 2018-19. This accounted for 3.0% of all booked assists made nationally in 2018-19. Note: This excludes un-booked assistance. A 'rail period' is normally 28 days, or four weeks, for business reporting purposes (Sunday to Saturday) and there are 13 rail periods in a financial year. Source: Research by Breaking Blue When published, the 2018-19 report will be available here: Research into passenger experience of Passenger Assist, 2018-19 Accessibility complaints rate (per 100,000 journeys), 2018-19 All operators must provide free alternative transport to take passengers to the nearest or most convenient accessible station in certain circumstances: • When a station is inaccessible to the passenger; • When rail replacement services are running that are not accessible to the passenger (because of planned engineering works for example); or • When there is disruption to services at short notice that, for whatever reason, makes services inaccessible to disabled passengers. In 2018-19 alternative accessible transport was provided **470** times by Greater Anglia. Satisfaction with the helpfulness and attitude of staff who provided assistance at the station (for those passengers met by staff) ## Overall Satisfaction With The Whole Process From Booking Assistance To Assistance Received (All Passengers) Disability and equality staff training in 2018-19 • In 2018-19 a total of 601 Greater Anglia staff received disability and equality awareness training. • All staff receive dedicated disability awareness training as part of Greater Anglia's induction programme or as part of specific departmental training. • An external training provider has developed a bespoke training package for Greater Anglia. Greater Anglia has also developed their own programme using a number of resources. A full description of Greater Anglia's disability training activities in 2018-19 can be viewed here on our website: https://orr.gov.uk/rail/consumers/annual-rail-consumerreport ## Greater Anglia Complaints Handling And Delay Compensation Top 5 reasons for complaints, 2018-19 Actions to improve services in response to complaints, 2018-19 Percentage of complaints Complaint type Change on last year 32.1% -12.0 PP Punctuality/reliability (i.e. the train arriving/ departing on time) 9.3% Ticketing and refunds policy 3.3 PP 7.2% Ticket buying facilities -7.1 PP 6.6% Facilities on board 4.7 PP 5.4% 3.8 PP Sufficient room for all passengers to sit/ stand ## Delay Compensation Claims, 2018-19 Greater Anglia Closed **426,758** Delay Compensation Claims In 2018-19. PP = percentage point change Source: Train Operating Companies Data tables: Complaints responded to within 10 and 20 working days by TOC - Table 14.2 Greater Anglia's Complaints Handling Procedure is available at: https://orr.gov.uk/rail/licensing/licensingthe-railway/complaints-handling-procedures/ complaints-handling-procedures-decision-letters Greater Anglia reports it has taken some of the following actions in 2018-19 to address issues highlighted in passenger complaints: • In response to customer feedback, Greater Anglia reversed the decision to only sell advance tickets online. • Updated TVM software to improve the reliability of machines at rural stations. A more detailed list of the actions which have been taken to improve services in response to complaints can be viewed here: https://orr.gov.uk/rail/ consumers/annual-rail-consumer-report All train operators should publish the actions they are taking to improve passenger information in a Local Plan together with a link to the current industry Code of Practice (Oct 2016) and an Annual Progress Report (required to meet industry action PIDD-41. • Code of Practice - October 2016. • Local Plan - May 2018. We are aware that Heathrow Express are working on an update to its local plan and we have met with it to discuss the development of this draft. The NRPS takes places twice a year, in Spring (S) and Autumn (A) Heathrow Express reports it has made the following changes to improve information to its passengers: • Hot lessons learnt reviews following every contingency incident to ensure improvements are made and customer feedback considered • Developed a step by step guide for our duty managers to follow to ensure passengers are being updated in a timely manner through all available channels (web, app, social media) • Working with GWR and HAL Rail to improve onboard and platform announcements. ## Heathrow Express Accessibility And Inclusion Booked Assistance Volumes Alternative Accessible Transport All operators must provide free alternative transport to take passengers to the nearest or most convenient accessible station in certain circumstances: Heathrow Express received 459 booked assistance requests in 2018-19. This accounted for less than 0.1% of all booked assists made nationally in 2018-19. • When a station is inaccessible to the passenger; • When rail replacement services are running that are not accessible to the passenger (because of planned engineering works for example); or • When there is disruption to services at short notice that, for whatever reason, makes services inaccessible to disabled passengers. In 2018-19 no alternative accessible transport was provided by Heathrow Express, principally due to all its station being fully accessible. Note: This excludes un-booked assistance. A 'rail period' is normally 28 days, or four weeks, for business reporting purposes (Sunday to Saturday) and there are 13 rail periods in a financial year. Data tables: Rail passenger assists by station operator - Table 16.03 ## Passenger Experience Of Booked Assistance, 2018-19 No data is available on this Heathrow Express' performance on the reliability of its booked assistance due to a low sample size, which is a natural effect of having lower than average booking volumes. Source: Research by Breaking Blue When published, the 2018-19 report will be available here: Research into passenger experience of Passenger Assist, 2018-19 ## Disability And Equality Staff Training In 2018-19 Accessibility complaints rate (per 100,000 journeys), 2018-19 • In 2018-19 a total of 66 Heathrow Express staff received disability and equality awareness training. Accessibility complaint data is not available for Heathrow Express in 2018-19. • Heathrow Express frontline staff receive disability and equality awareness training as part of their induction which is then refreshed annually. • Training is delivered by an in-house training team. A full description of Heathrow Express's disability training activities in 2018-19 can be viewed here on our website: https://orr.gov.uk/rail/consumers/ annual-rail-consumer-report Source: Train Operating Companies ## Heathrow Express Complaints Handling And Delay Compensation Top 5 reasons for complaints, 2018-19 Actions to improve services in response to complaints, 2018-19 Percentage of complaints Complaint type Change on last year 31.8% -3.8 PP Punctuality/reliability (i.e. the train arriving/ departing on time) 28.6% Ticket buying facilities -3.9 PP 9.5% Environmental 4.1 PP 9.1% 2.0 PP Provision of information on website or mobile apps 7.4% 1.4 PP The attitudes and helpfulness of the staff at station Delay compensation claims, 2018-19 Heathrow Express closed **9,226** delay compensation claims in 2018-19. - Table 14.2 Heathrow Express' Complaints Handling Procedure is available at: https://orr.gov.uk/rail/licensing/licensingthe-railway/complaints-handling-procedures/ complaints-handling-procedures-decision-letters Heathrow Express reports it has taken some of the following actions in 2018-19 to address issues highlighted in passenger complaints: • Heathrow Express investigated a number of complaints relating to ticket buying facilities. A new website and mobile app will be launched in June 2019 to improve the overall ticket buying experience for customers. A more detailed list of the actions which have been taken to improve services in response to complaints can be viewed here: https://orr.gov.uk/rail/ consumers/annual-rail-consumer-report Note: A 'rail period' is normally 28 days, or four weeks, for business reporting purposes (Sunday to Saturday) and there are 13 rail periods in a financial year. Data tables: Rail delay compensation claims by TOC - All train operators should publish the actions they are taking to improve passenger information in a Local Plan together with a link to the current industry Code of Practice (Oct 2016) and an Annual Progress Report (required to meet industry action PIDD-41). • Code of practice - Oct 2016 • Local plan - May 2017 The information is up to date. Local Plans should be reviewed annually. ## Passenger Satisfaction With The Usefulness Of Information When Delays Occur response rates. Source: Transport Focus, National Rail Passenger Survey The NRPS takes places twice a year, in Spring (S) and Autumn (A) ## Passenger Satisfaction With Provision Of Information During The Journey PP = percentage point change Source: Transport Focus, National Rail Passenger Survey The NRPS takes places twice a year, in Spring (S) and Autumn (A) Hull Trains reports it has made the following changes to improve information to its passengers: • Launched a new website. All operators must provide free alternative transport to take passengers to the nearest or most convenient accessible station in certain circumstances: • When a station is inaccessible to the passenger; Data on the volume of booked assistance requests received in each rail period is available for each train operator that manages a station. This data is therefore not available for Hull Trains because they do not manage any stations. • When rail replacement services are running that are not accessible to the passenger (because of planned engineering works for example); or • When there is disruption to services at short notice that, for whatever reason, makes services inaccessible to disabled passengers. In 2018-19 alternative accessible transport was provided 7 times by Hull Trains. ## Passenger Experience Of Booked Assistance, 2018-19 Data On Passenger Satisfaction With Booked Assistance Is Not Available For Hull Trains As They Do Not Manage Any Stations. Source: Research by Breaking Blue When published, the 2018-19 report will be available here: Research into passenger experience of Passenger Assist, 2018-19 Disability and equality staff training in 2018-19 Accessibility complaints rate (per 100,000 journeys), 2018-19 • In 2018-19 a total of 23 Hull Trains staff received disability and equality awareness training. • Hull Train's training was predominantly delivered to staff new to the organisation as part of their induction programme. • Hull Train's disability awareness and equality training continues to be provided by their sister operator TransPennine Express. A full description of Hull Trains' disability training activities in 2018-19 can be viewed here on our website: https://orr.gov.uk/rail/consumers/annualrail-consumer-report Source: Train Operating Companies Data tables: Complaints by NRPS category by TOC - Table 14.5 ## Hull Trains Complaints Handling And Delay Compensation Top 5 reasons for complaints, 2018-19 Actions to improve services in response to complaints, 2018-19 Percentage of complaints Complaint type Change on last year 36.4% 5.3 PP Punctuality/reliability (i.e. the train arriving/ departing on time) 18.8% Upkeep and repair of the train 6.7 PP 7.0% Facilities on board -7.5 PP 6.4% -3.0 PP Sufficient room for all passengers to sit/ stand 4.1% -1.5 PP The helpfulness and attitude of staff on ## Complaints Responded To Within 20 Working Days, 2018-19 By Quarter - Table 14.2 Hull Trains' Complaints Handling Procedure is available at: https://orr.gov.uk/rail/licensing/licensingthe-railway/complaints-handling-procedures/ complaints-handling-procedures-decision-letters Hull Trains reports it has taken some of the following actions in 2018-19 to address issues highlighted in passenger complaints: • Employed additional staff to improve delay repay processing times. • Hull Trains revised their pricing on tickets for less populated services to encourage passengers to travel at alternative times to address crowding complaints. A more detailed list of the actions which have been taken to improve services in response to complaints can be viewed here: https://orr.gov.uk/rail/ consumers/annual-rail-consumer-report All train operators should publish the actions they are taking to improve passenger information in a **Local Plan** together with a link to the current industry **Code of Practice** (Oct 2016) and an Annual Progress Report (required to meet industry action PIDD-41). • Code of Practice - Oct 2016 • Local Plan - June 2018 LNER is currently reviewing its local plan and has provided a draft version of this. For now, the date of the published version remains as above although we have provided feedback on the draft copy and await this being published in the near future. Source: Transport Focus, National Rail Passenger Survey The NRPS takes places twice a year, in Spring (S) and Autumn (A) London North Eastern Railway reports it has made the following changes to improve information to its passengers: • It is working on a personal communications tool. It expects to launch this at the end of May to advise of changes to platforms/delays and cancellations. ## London North Eastern Railway Accessibility And Inclusion Booked Assistance Volumes Alternative Accessible Transport London North Eastern Railway received 107,820 booked assistance requests in 2018-19. This accounted for 8.4% of all booked assists made nationally in 2018-19. Note: This excludes un-booked assistance. A 'rail period' is normally 28 days, or four weeks, for business reporting purposes (Sunday to Saturday) and Source: Research by Breaking Blue When published, the 2018-19 report will be available here: Research into passenger experience of Passenger Assist, 2018-19 ## Accessibility Complaints Rate (Per 100,000 Journeys), 2018-19 All operators must provide free alternative transport to take passengers to the nearest or most convenient accessible station in certain circumstances: • When a station is inaccessible to the passenger; • When rail replacement services are running that are not accessible to the passenger (because of planned engineering works for example); or • When there is disruption to services at short notice that, for whatever reason, makes services inaccessible to disabled passengers. In 2018-19 alternative accessible transport was provided 52 times by London North Eastern Railway. Disability and equality staff training in 2018-19 • In 2018-19 a total of 372 London North Eastern Railway staff received disability and equality awareness training. • All new LNER staff receive disability awareness training as part of their induction. In 2018-19, a total of 372 staff attended LNER's induction programme and 213 front line staff undertook the full disability awareness training course. • The content of LNER's training programmes are based on the training guides developed by the Rail Delivery Group. A full description of London North Eastern Railway's disability training activities in 2018-19 can be viewed here on our website: https://orr.gov.uk/rail/consumers/annualrail-consumer-report ## London North Eastern Railway Complaints Handling And Delay Compensation Top 5 reasons for complaints, 2018-19 Actions to improve services in response to complaints, 2018-19 Percentage of complaints Complaint type Change on last year 34.3% Facilities on board 8.5 PP 11.9% Ticket buying facilities - other -9.7 PP 8.1% -0.6 PP Sufficient room for all passengers to sit/ stand 7.5% 1.6 PP The helpfulness and attitude of staff on train 5.6% Ticketing and refunds policy 0.3 PP Delay compensation claims, 2018-19 London North Eastern Railway closed **415,165** delay compensation claims in 2018-19. - Table 14.2 London North Eastern Railway's Complaints Handling Procedure can be viewed from here: https://orr.gov. uk/rail/licensing/licensing-the-railway/complaintshandling-procedures/complaints-handlingprocedures-decision-letters London North Eastern Railway reports it has taken some of the following actions in 2018-19 to address issues highlighted in passenger complaints: • To address complaints about ticket buying facilities, London North Eastern Railway's have made improvements to their website. • The introduction of new trains will address issues of crowding and on board facilities complaints. A more detailed list of the actions which have been taken to improve services in response to complaints can be viewed here: https://orr.gov.uk/rail/ consumers/annual-rail-consumer-report All train operators should publish the actions they are taking to improve passenger information in a Local Plan together with a link to the current industry Code of Practice (Oct 2016) and an Annual Progress Report (required to meet industry action PIDD-41). • Code of Practice - Oct 2016 • Local Plan - Nov 2016 A Local Plan review is required. The NRPS takes places twice a year, in Spring (S) and Autumn (A) London Overground reports it has taken some of the following actions to improve its provision of information to passengers: • It is working with enhanced technology alongside staff training and behaviours to improve its provision of imparting timely and accurate information to its customers. • At the Customer Experience Strategy level, it is undertaking an in depth review of how information is disseminated by its frontline teams, especially in times of disruption. It is examining whether the tools it uses are the most efficient and effective. ## London Overground Accessibility And Inclusion Booked Assistance Volumes Alternative Accessible Transport London Overground received **1,272** booked assistance requests in 2018-19. This accounted for 0.1% of all booked assists made nationally in 2018-19. Note: This excludes un-booked assistance. A 'rail period' is normally 28 days, or four weeks, for business reporting purposes (Sunday to Saturday) and there are 13 rail periods in a financial year. Data tables: Rail passenger assists by station operator - Table 16.03 ## Passenger Experience Of Booked Assistance, 2018-19 No data is available on this company's performance on the reliability of its booked assistance due to a low sample size, which is a natural effect of having lower than average booking volumes. Source: Research by Breaking Blue When published, the 2018-19 report will be available here: Research into passenger experience of Passenger Assist, 2018-19 Accessibility complaints rate (per 100,000 journeys), 2018-19 Note: London Overground received 31 accessibility complaints during 2018-19. This may partly explain the low accessibility complaints rate. Source: Train Operating Companies Data tables: Complaints by NRPS category by TOC - Table 14.5 All operators must provide free alternative transport to take passengers to the nearest or most convenient accessible station in certain circumstances: • When a station is inaccessible to the passenger; • When rail replacement services are running that are not accessible to the passenger (because of planned engineering works for example); or • When there is disruption to services at short notice that, for whatever reason, makes services inaccessible to disabled passengers. In 2018-19 alternative accessible transport was provided **68** times by London Overground. ## Disability And Equality Staff Training In 2018-19 • In 2018-19 a total of 763 London Overground staff received disability and equality awareness training. • All new staff receive disability awareness training as part of their induction and all existing and nonfrontline staff receive a refresher course annually. A full description of London Overground's disability training activities in 2018-19 can be viewed here on our website: https://orr.gov.uk/rail/consumers/ annual-rail-consumer-report ## London Overground Complaints Handling And Delay Compensation Top 5 reasons for complaints, 2018-19 Actions to improve services in response to complaints, 2018-19 Percentage of complaints Complaint type Change on last year 45.6% 6.4 PP Punctuality/reliability (i.e. the train arriving/ departing on time) 15.4% 0.0 PP The attitudes and helpfulness of the staff at station 4.8% Timetabling 4.6 PP 4.7% Your personal security on board 2.5 PP 4.5% 3.0 PP Provision of information on website or mobile apps PP = percentage point change Source: Train Operating Companies Data tables: Complaints responded to within 10 and 20 working days by TOC - Table 14.2 London Overground's Complaints Handling Procedure is available at: https://orr.gov.uk/rail/ licensing/licensing-the-railway/complaints-handlingprocedures/complaints-handling-proceduresdecision-letters London Overground reports it has taken some of the following actions in 2018-19 to address issues highlighted in passenger complaints: • Developed targeted training programmes to improve staff conduct. • Trialled predictive carriage occupancy technology to reduce crowding and improve the safety and security of passengers. A more detailed list of the actions which have been taken to improve services in response to complaints can be viewed here: https://orr.gov.uk/rail/ consumers/annual-rail-consumer-report All train operators should publish the actions they are taking to improve passenger information in a Local Plan together with a link to the current industry Code of Practice (Oct 2016) and an Annual Progress Report (required to meet industry action PIDD-41) • Code of Practice - October 2016 • Local Plan - June 2018. ORR has reviewed and provided feedback on the current version of the local plan. We also have arranged a meeting to discuss this face to face. ## Passenger Satisfaction With The Usefulness Of Information When Delays Occur Passenger Satisfaction With Provision Of Information During The Journey Actions To Improve Information For Passengers, 2018-19 Merseyrail reports it has taken some of the following actions to improve its provision of information to passengers: • Introduced new digital channels to link its control room, managers and stations together during disruption • Launched a new approach to managing information disruption including more PA announcements and greater visibility of colleagues to help • Continued to offer support to customers in real time through its dedicated social media service. All operators must provide free alternative transport to take passengers to the nearest or most convenient accessible station in certain circumstances: Merseyrail received **8,677** booked assistance requests in 2018-19. This accounted for 0.7% of all booked assists made nationally in 2018-19. • When a station is inaccessible to the passenger; • When rail replacement services are running that are not accessible to the passenger (because of planned engineering works for example); or • When there is disruption to services at short notice that, for whatever reason, makes services inaccessible to disabled passengers. In 2018-19 alternative accessible transport was provided 345 times by Merseyrail. Note: This excludes un-booked assistance. A 'rail period' is normally 28 days, or four weeks, for business reporting purposes (Sunday to Saturday) and there are 13 rail periods in a financial year. Data tables: Rail passenger assists by station operator - Table 16.03 ## Passenger Experience Of Booked Assistance, 2018-19 No data is available on Merseyrail's performance on the reliability of its booked assistance due to a low sample size, which is a natural effect of having lower than average booking volumes. Source: Research by Breaking Blue When published, the 2018-19 report will be available here: Research into passenger experience of Passenger Assist, 2018-19 ## Disability And Equality Staff Training In 2018-19 Accessibility Complaints Rate (Per 100,000 Journeys), 2018-19 • In 2018-19 a total of 1,140 Merseyrail staff received disability and equality awareness training. • Merseyrail have a dedicated disability awareness training package. • Staff training needs are appraised through risk assessments and Merseyrail staff undertake the training level which is most appropriate for their needs. Source: Train Operating Companies Data tables: Complaints by NRPS category by TOC - Table 14.5 A full description of Merseyrail's disability training activities in 2018-19 can be viewed here on our website: https://orr.gov.uk/rail/consumers/annualrail-consumer-report ## Merseyrail Complaints Handling And Delay Compensation Top 5 reasons for complaints, 2018-19 Actions to improve services in response to complaints, 2018-19 Percentage of complaints Complaint type Change on last year 37.6% -0.5 PP Punctuality/reliability (i.e. the train arriving/ departing on time) 6.4% 0.0 PP The attitudes and helpfulness of the staff at station 5.6% Ticket buying facilities -1.6 PP 5.6% Your personal security on board 1.5 PP 3.9% Other policy 0.5 PP Source: Train Operating Companies PP = percentage point change Source: Train Operating Companies Data tables: Complaints responded to within 10 and 20 working days by TOC - Table 14.2 Merseyrail's Complaints Handling Procedure is available at: https://orr.gov.uk/rail/licensing/licensingthe-railway/complaints-handling-procedures/ complaints-handling-procedures-decision-letters Merseyrail reports it has taken some of the following actions in 2018-19 to address issues highlighted in passenger complaints: • Increased the number of TVM's in response to increased demand. • In response to complaints about staff helpfulness, Merseyrail have introduced targeted staff training focusing on responding to customers and conflict resolution. A more detailed list of the actions which have been taken to improve services in response to complaints can be viewed here: https://orr.gov.uk/rail/ consumers/annual-rail-consumer-report Note: A 'rail period' is normally 28 days, or four weeks, for business reporting purposes (Sunday to Saturday) and there are 13 rail periods in a financial year. Data tables: Rail delay compensation claims by TOC - Table 17.01 All train operators should publish the actions they are taking to improve passenger information in a Local Plan together with a link to the current industry Code of Practice (Oct 2016) and an Annual Progress Report (required to meet industry action PIDD-41). • Code of Practice - none • Local Plan - Apr 2016 We have reviewed and provided feedback on the published local plan. However, a link to the Code of Practice needs to be published on the same page as the local plan. Source: Transport Focus, National Rail Passenger Survey The NRPS takes places twice a year, in Spring (S) and Autumn (A) Northern reports it has made the following changes to improve information to its passengers: • It has re-written its process for disseminating information to ensure accuracy and timeliness of information. • It has also taken steps to improve the consistency of delay information and advice across web pages, posters and announcements. • It has invested in 56 new information screens at stations on its network, providing clear and comprehensive information Northern received **47,209** booked assistance requests in 2018-19. This accounted for 3.7% of all booked assists made nationally in 2018-19. Note: This excludes un-booked assistance. A 'rail period' is normally 28 days, or four weeks, for business reporting purposes (Sunday to Saturday) and there are 13 rail periods in a financial year. Source: Research by Breaking Blue When published, the 2018-19 report will be available here: Research into passenger experience of Passenger Assist, 2018-19 ## Accessibility Complaints Rate (Per 100,000 Journeys), 2018-19 All operators must provide free alternative transport to take passengers to the nearest or most convenient accessible station in certain circumstances: • When a station is inaccessible to the passenger; • When rail replacement services are running that are not accessible to the passenger (because of planned engineering works for example); or • When there is disruption to services at short notice that, for whatever reason, makes services inaccessible to disabled passengers. In 2018-19 alternative accessible transport was provided 360 times by Northern. • In 2018-19 a total of 315 Northern staff received disability and equality awareness training. • Trainee conductors and retail staff undertake dedicated mental health awareness training as part of their induction programme. Train ramp, wheelchair training, hidden disabilities and basic communication training is embedded within the course. • Northern use a combination of classroom based and practical training. We therefore recommend reading the full detailed description of Northern's disability training activities in 2018-19 can be viewed here on our website: https://orr. gov.uk/rail/consumers/annual-rail-consumer-report ## Northern Complaints Handling And Delay Compensation Top 5 reasons for complaints, 2018-19 Actions to improve services in response to complaints, 2018-19 of complaints Complaint type last year Punctuality/reliability (i.e. the train arriving/ departing on time) The helpfulness and attitude of staff on train Sufficient room for all passengers to sit/stand The attitudes and helpfulness of the staff at station 4.4% Other - miscellaneous Delay compensation claims, 2018-19 Northern closed **246,484** delay compensation claims in 2018-19. ## Complaints Responded To Within 20 Working - Table 14.2 Northern's Complaints Handling Procedure is available at: https://orr.gov.uk/rail/licensing/licensingthe-railway/complaints-handling-procedures/ complaints-handling-procedures-decision-letters Northern reports it has taken some of the following actions in 2018-19 to address issues highlighted in passenger complaints: • Northern amended and improved the way Delay Repay is administered in response to passenger complaints. • To address complaints about the helpfulness and attitude of staff, on-train staff have received additional training to improve communication and resolve customer issues. A more detailed list of the actions which have been taken to improve services in response to complaints can be viewed here: https://orr.gov.uk/rail/ consumers/annual-rail-consumer-report Data tables: Rail delay compensation claims by TOC - Table 17.01 All train operators should publish the actions they are taking to improve passenger information in a Local Plan together with a link to the current industry Code of Practice (Oct 2016) and an Annual Progress Report (required to meet industry action PIDD-41). • Code of Practice - October 2016. • Local Plan - pending. We have seen a draft of an updated local plan and after providing our feedback, we are in the process of arranging a meeting to discuss the progress being made. Source: Transport Focus, National Rail Passenger Survey The NRPS takes places twice a year, in Spring (S) and Autumn (A) ScotRail reports it has made the following changes to improve information to its passengers: • It has introduced functionality for passengers to see where their train was last reported and provide additional delay reasons. • It has also created an extra post in control at weekends to focus on providing accurate customer information. • It has also refurbished its Paisley customer service centre. ScotRail received **66,981** booked assistance requests in 2018-19. This accounted for 5.2% of all booked assists made nationally in 2018-19. Note: This excludes un-booked assistance. A 'rail period' is normally 28 days, or four weeks, for business reporting purposes (Sunday to Saturday) and there are 13 rail periods in a financial year. Source: Research by Breaking Blue When published, the 2018-19 report will be available here: Research into passenger experience of Passenger Assist, 2018-19 Accessibility complaints rate (per 100,000 journeys), 2018-19 All operators must provide free alternative transport to take passengers to the nearest or most convenient accessible station in certain circumstances: • When a station is inaccessible to the passenger; • When rail replacement services are running that are not accessible to the passenger (because of planned engineering works for example); or • When there is disruption to services at short notice that, for whatever reason, makes services inaccessible to disabled passengers. In 2018-19 alternative accessible transport was provided **1,372** times by ScotRail. Satisfaction with the helpfulness and attitude of staff who provided assistance at the station (for those passengers met by staff) ## Overall Satisfaction With The Whole Process From Booking Assistance To Assistance Received (All Passengers) Disability and equality staff training in 2018-19 • In 2018-19 a total of 555 ScotRail staff received disability and equality awareness training. • All new staff receive disability awareness training as part of their induction. Refresher training is undertaken on a cyclical basis. • Scotrail's disability awareness training is delivered by both in-house trainers and specialist trainers. A full description of ScotRail's disability training activities in 2018-19 can be viewed here on our website: https://orr.gov. uk/rail/consumers/annual-rail-consumer-report ## Scotrail Complaints Handling And Delay Compensation Top 5 reasons for complaints, 2018-19 Actions to improve services in response to complaints, 2018-19 of complaints Complaint type Change on last year 28.0% 6.6 PP Punctuality/reliability (i.e. the train arriving/ departing on time) 11.4% 4.6 PP Sufficient room for all passengers to sit/ stand 9.9% Ticketing and refunds policy 0.5 PP 6.7% 0.3 PP The attitudes and helpfulness of the staff at station 5.1% Facilities on board -0.2 PP - Table 14.2 ScotRail's Complaints Handling Procedure is available at: https://orr.gov.uk/rail/licensing/licensing-therailway/complaints-handling-procedures/complaintshandling-procedures-decision-letters ScotRail reports it has taken some of the following actions in 2018-19 to address issues highlighted in passenger complaints: • To address complaints about the helpfulness and attitude of staff, passenger-facing staff received additional training to improve communications and resolve customer issues. • Introduced new trains to improve the provision of on-board facilities. A more detailed list of the actions which have been taken to improve services in response to complaints can be viewed here: https://orr.gov.uk/rail/ consumers/annual-rail-consumer-report and there are 13 rail periods in a financial year. Data tables: Rail delay compensation claims by TOC - All train operators should publish the actions they are taking to improve passenger information in a Local Plan together with a link to the current industry Code of Practice (Oct 2016) and an Annual Progress Report (required to meet industry action PIDD-41). • Code of practice - Oct 2016 • Local plan - October 2018 The information is up to date and ORR has provided feedback on the current version. Local Plans should be reviewed annually. Source: Transport Focus, National Rail Passenger Survey The NRPS takes places twice a year, in Spring (S) and Autumn (A) South Western Railway reports it has made the following changes to improve information to its passengers: Incident learning reviews continue to take place following significant disruption, with a focus on identifying potential improvements in passenger information provision. It is currently undertaking a review based on the recommendations of Sir Michael Holden's Independent Performance Report. Actions will be taken to improve the overall passenger information flow. South Western Railway received 71,779 booked assistance requests in 2018-19. This accounted for 5.6% of all booked assists made nationally in 2018-19. Note: This excludes un-booked assistance. A 'rail period' is normally 28 days, or four weeks, for business reporting purposes (Sunday to Saturday) and there are 13 rail periods in a financial year. Source: Research by Breaking Blue When published, the 2018-19 report will be available here: Research into passenger experience of Passenger Assist, 2018-19 Accessibility complaints rate (per 100,000 journeys), 2018-19 All operators must provide free alternative transport to take passengers to the nearest or most convenient accessible station in certain circumstances: • When a station is inaccessible to the passenger; • When rail replacement services are running that are not accessible to the passenger (because of planned engineering works for example); or • When there is disruption to services at short notice that, for whatever reason, makes services inaccessible to disabled passengers. In 2018-19 alternative accessible transport was provided 50 times by South Western Railway. Disability and equality staff training in 2018-19 • In 2018-19 a total of 491 South Western Railway staff received disability and equality awareness training. • South Western Railway have a one day disability equality training based on the most recent RDG recommendations. • The training course covers invisible impairments, mobility assistance, equipment training and communication. A full description of South Western Railway's disability training activities in 2018-19 can be viewed here on our website: https://orr.gov.uk/rail/consumers/annual-railconsumer-report ## South Western Railway Complaints Handling And Delay Compensation Top 5 reasons for complaints, 2018-19 Actions to improve services in response to complaints, 2018-19 Percentage of complaints Complaint type Change on last year 27.1% -8.1 PP Punctuality/reliability (i.e. the train arriving/ departing on time) 7.3% Level of compensation 6.6 PP 6.7% Claim rejected 5.3 PP 6.2% Compensation claims process 1.7 PP 4.5% -0.7 PP The attitudes and helpfulness of the staff at station Source: Train Operating Companies ## Delay Compensation Claims, 2018-19 PP = percentage point change Source: Train Operating Companies Data tables: Complaints responded to within 10 and 20 working days by TOC - Table 14.2 South Western Railway's Complaints Handling Procedure is available at: https://orr.gov.uk/rail/ licensing/licensing-the-railway/complaints-handlingprocedures/complaints-handling-proceduresdecision-letters South Western Railway reports it has taken some of the following actions in 2018-19 to address issues highlighted in passenger complaints: • Amended and improved the way Delay Repay is administered to reduce claim rejections. • Introduced automated delay repay for smartcard and advance season ticket holders to improve compensation complaints. A more detailed list of the actions which have been taken to improve services in response to complaints can be viewed here: https://orr.gov.uk/rail/ consumers/annual-rail-consumer-report were unable to provide figures on the final week of the period due to reconciliation issues with their new delay compensation system. A 'rail period' is normally 28 days, or four weeks, for business reporting purposes (Sunday to Saturday) and there are 13 rail periods in a financial year. Data tables: Rail delay compensation claims by TOC - Table 17.01 All train operators should publish the actions they are taking to improve passenger information in a Local Plan together with a link to the current industry Code of Practice (Oct 2016) and an Annual Progress Report (required to meet industry action PIDD-41). • Code of Practice - Oct 2016 • Local Plan - June 2019 An annual review of this is required each year and so while we previously approved the published plan, an updated version is required. The NRPS takes places twice a year, in Spring (S) and Autumn (A) Southeastern reports it has made the following changes to improve information to its passengers: • It was the first to introduce a raft of CIS improvements including automatic delay repay announcements where circumstances qualify. • It also introduced event driven messaging e.g. on arrival at a station where replacement buses are operating, train last reported and warning of future delays (if a currently on time train will be affected by disruption later on its journey). Southeastern received **29,625** booked assistance requests in 2018-19. This accounted for 2.3% of all booked assists made nationally in 2018-19. Note: This excludes un-booked assistance. A 'rail period' is normally 28 days, or four weeks, for business reporting purposes (Sunday to Saturday) and there are 13 rail periods in a financial year. Source: Research by Breaking Blue When published, the 2018-19 report will be available here: Research into passenger experience of Passenger Assist, 2018-19 Accessibility complaints rate (per 100,000 journeys), 2018-19 All operators must provide free alternative transport to take passengers to the nearest or most convenient accessible station in certain circumstances: • When a station is inaccessible to the passenger; • When rail replacement services are running that are not accessible to the passenger (because of planned engineering works for example); or • When there is disruption to services at short notice that, for whatever reason, makes services inaccessible to disabled passengers. In 2018-19 alternative accessible transport was provided **1,500** times by Southeastern. Disability and equality staff training in 2018-19 • In 2018-19 a total of 778 Southeastern staff received disability and equality awareness training. • The majority of Southeastern's disability and equality training takes place as a part of the initial induction training for staff. • Southeastern also provides visual impairment guiding sessions for Conductors which also includes information on Autism/Aspergers and dementia. A full description of Southeastern's disability training activities in 2018-19 can be viewed here on our website: https://orr.gov.uk/rail/consumers/annual-rail-consumerreport ## Southeastern Complaints Handling And Delay Compensation Top 5 reasons for complaints, 2018-19 Actions to improve services in response to complaints, 2018-19 Percentage of complaints Complaint type Change on last year 18.7% -0.5 PP Punctuality/reliability (i.e. the train arriving/ departing on time) 10.7% Facilities on board 4.4 PP 7.5% Claim rejected -0.4 PP 7.1% 1.6 PP Complaints not fully addressed/fulfilled by TOC 7.1% Smartcards -6.2 PP ## Delay Compensation Claims, 2018-19 PP = percentage point change Source: Train Operating Companies Data tables: Complaints responded to within 10 and 20 working days by TOC - Table 14.2 Southeastern's Complaints Handling Procedure is available at: https://orr.gov.uk/rail/licensing/licensingthe-railway/complaints-handling-procedures/ complaints-handling-procedures-decision-letters Southeastern reports it has taken some of the following actions in 2018-19 to address issues highlighted in passenger complaints: • Proactively offering compensation to passengers for disruption. • Southeastern are continuing to make technical improvements to support smartcard users A more detailed list of the actions which have been taken to improve services in response to complaints can be viewed here: https://orr.gov.uk/rail/ consumers/annual-rail-consumer-report Southeastern responded to 100.0% of delay compensation claims within 20 working days in 2018-19. Southeastern approved 79.5% of delay compensation claims closed in 2018-19. Note: A 'rail period' is normally 28 days, or four weeks, for business reporting purposes (Sunday to Saturday) and there are 13 rail periods in a financial year. Data tables: Rail delay compensation claims by TOC - Table 17.01 All train operators should publish the actions they are taking to improve passenger information in a Local Plan together with a link to the current industry Code of Practice (Oct 2016) and an Annual Progress Report (required to meet industry action PIDD-41). • Code of Practice - Oct 2016 • Local Plan - Jul 2017 The information is up to date. Local Plans should be reviewed annually. As such, a review is expected shortly. PP = percentage point change; Figures in 2018 not comparable with previous Source: Transport Focus, National Rail Passenger Survey The NRPS takes places twice a year, in Spring (S) and Autumn (A) TfL Rail reports it has made the following changes to improve information to its passengers: • It has now taken delivery of extra mobile customer information screens to use at stations. • Last reported location of train is now shown on CIS. • Mobile microphones have been provided at inner London stations to enable staff to make announcements from the platform. • It has recruited additional staff for its control room to deliver information to customers. TfL Rail received **2,071** booked assistance requests in 2018-19. This accounted for 0.2% of all booked assists made nationally in 2018-19. Note: This excludes un-booked assistance. A 'rail period' is normally 28 days, or four weeks, for business reporting purposes (Sunday to Saturday) and there are 13 rail periods in a financial year. Data tables: Rail passenger assists by station operator - Table 16.03 ## Passenger Experience Of Booked Assistance, 2018-19 No data is available on TfL Rail's performance on the reliability of its booked assistance due to a low sample size, which is a natural effect of having lower than average booking volumes. Source: Research by Breaking Blue When published, the 2018-19 report will be available here: Research into passenger experience of Passenger Assist, 2018-19 Accessibility complaints rate (per 100,000 journeys), 2018-19 TfL Rail received a low number of accessibility complaints (5 in 2017-18, All operators must provide free alternative transport to take passengers to the nearest or most convenient accessible station in certain circumstances: • When a station is inaccessible to the passenger; • When rail replacement services are running that are not accessible to the passenger (because of planned engineering works for example); or • When there is disruption to services at short notice that, for whatever reason, makes services inaccessible to disabled passengers. In 2018-19 alternative accessible transport was provided 4 times by TfL Rail. ## Disability And Equality Staff Training In 2018-19 • In 2018-19 a total of 485 TfL Rail staff received disability and equality awareness training. • All TfL Rail station staff attend four quarterly disability awareness and equality training briefings each year. • All station staff received annual ramp training. • All customer experience staff completed eLearning and attended an Institute Of Customer Services training/qualification within three months of joining the organisation. A full description of TfL Rail's disability training activities in 2018-19 can be viewed here on our website: https://orr.gov.uk/rail/consumers/annualrail-consumer-report ## Tfl Rail Complaints Handling And Delay Compensation Top 5 reasons for complaints, 2018-19 Actions to improve services in response to complaints, 2018-19 Percentage of complaints Complaint type Change on last year -8.9 PP Punctuality/reliability (i.e. the train arriving/ departing on time) 9.2% 0.3 PP The attitudes and helpfulness of the staff at station 8.3% 1.3 PP The upkeep/repair of the station buildings/ platforms 6.7% 1.3 PP Source: Train Operating Companies Delay compensation claims, 2018-19 TfL Rail closed **6,461** delay compensation claims in 2018-19. PP = percentage point change Source: Train Operating Companies Data tables: Complaints responded to within 10 and 20 working days by TOC - Table 14.2 TfL Rail's Complaints Handling Procedure is available at: https://orr.gov.uk/rail/licensing/licensing-therailway/complaints-handling-procedures/complaintshandling-procedures-decision-letters TfL Rail reports it has taken some of the following actions in 2018-19 to address issues highlighted in passenger complaints: • In response to punctuality/reliability complaints, TfL Rail introduced mobile customer information screens and installed mobile microphones for staff to make announcements during disruption. • Undergoing station upgrades to modernise and increase toilet facilities at stations. A more detailed list of the actions which have been taken to improve services in response to complaints can be viewed here: https://orr.gov.uk/rail/ consumers/annual-rail-consumer-report Note: A 'rail period' is normally 28 days, or four weeks, for business reporting purposes (Sunday to Saturday) and there are 13 rail periods in a financial year. Data tables: Rail delay compensation claims by TOC - Table 17.01 All train operators should publish the actions they are taking to improve passenger information in a Local Plan together with a link to the current industry Code of Practice (Oct 2016) and an Annual Progress Report (required to meet industry action PIDD-41). • Code of Practice - Oct 2016 • Local Plan - June 2015 When the franchise changeover occurred, the website went backwards to an old publication of the local plan. We have been in touch with Transport for Wales regarding this and expect to see a current version published online shortly. Source: Transport Focus, National Rail Passenger Survey The NRPS takes places twice a year, in Spring (S) and Autumn (A) TfW Rail reports it has made the following changes to improve information to its passengers: • Project underway to add and improve the onboard visual and audio enhancements to the 150 fleet. • Improved online and printed information detailing station information and how to get in touch • Dedicated Passenger Assist support at Cardiff Central • A huge transformation programme is underway which will see all trains and stations have improved facilities over the next 3-5 years. ## Transport For Wales Rail Accessibility And Inclusion Booked Assistance Volumes Alternative Accessible Transport TfW Rail received **60,443** booked assistance requests in 2018-19. This accounted for 4.7% of all booked assists made nationally in 2018-19. Note: This excludes un-booked assistance. A 'rail period' is normally 28 days, or four weeks, for business reporting purposes (Sunday to Saturday) and there are 13 rail periods in a financial year. Source: Research by Breaking Blue When published, the 2018-19 report will be available here: Research into passenger experience of Passenger Assist, 2018-19 ## Accessibility Complaints Rate (Per 100,000 Journeys), 2018-19 All operators must provide free alternative transport to take passengers to the nearest or most convenient accessible station in certain circumstances: • When a station is inaccessible to the passenger; • When rail replacement services are running that are not accessible to the passenger (because of planned engineering works for example); or • When there is disruption to services at short notice that, for whatever reason, makes services inaccessible to disabled passengers. In 2018-19 alternative accessible transport was provided 228 times by TfW Rail. Satisfaction with the helpfulness and attitude of staff who provided assistance at the station (for those passengers met by staff) ## Overall Satisfaction With The Whole Process From Booking Assistance To Assistance Received (All Passengers) Disability and equality staff training in 2018-19 • In 2018-19 a total of 112 TfW Rail staff received disability and equality awareness training. • All new frontline staff (Station staff and Conductors) have been trained in disability awareness. • A new disability training programme is currently being written for all staff to undertake over the next 2 years. A full description of TfW Rail's disability training activities in 2018-19 can be viewed here on our website: https://orr.gov. uk/rail/consumers/annual-rail-consumer-report ## Transport For Wales Rail Complaints Handling And Delay Compensation Top 5 reasons for complaints, 2018-19 Actions to improve services in response to complaints, 2018-19 Percentage of complaints Complaint type Change on last year 36.0% 1.3 PP Punctuality/reliability (i.e. the train arriving/ departing on time) 12.1% Sufficient room for all passengers to sit/stand 0.1 PP 3.9% Ticketing and refunds policy 0.3 PP 3.3% -0.6 PP The attitudes and helpfulness of the staff at station 3.2% -0.7 PP The helpfulness and attitude of staff on Source: Train Operating Companies PP = percentage point change Source: Train Operating Companies Data tables: Complaints responded to within 10 and 20 working days by TOC - Table 14.2 TfW Rail's Complaints Handling Procedure is available at: https://orr.gov.uk/rail/licensing/licensing-therailway/complaints-handling-procedures/complaintshandling-procedures-decision-letters TfW Rail reports it has taken some of the following actions in 2018-19 to address issues highlighted in passenger complaints: • Amended and improved the way Delay Repay is administered in response to passenger complaints. • Improved the provision of advance tickets. A more detailed list of the actions which have been taken to improve services in response to complaints can be viewed here: https://orr.gov.uk/rail/ consumers/annual-rail-consumer-report Note: A 'rail period' is normally 28 days, or four weeks, for business reporting purposes (Sunday to Saturday) and there are 13 rail periods in a financial year. Data tables: Rail delay compensation claims by TOC - Table 17.01 All train operators should publish the actions they are taking to improve passenger information in a Local Plan together with a link to the current industry Code of Practice (Oct 2016) and an Annual Progress Report (required to meet industry action PIDD-41). • Code of Practice - Oct 2016 • Local Plan - Jan 2017 A Local Plan review is overdue and we are aware that TPE is currently looking at this. We met with TPE earlier in the year and have been in further discussions around an updated local plan since. Source: Transport Focus, National Rail Passenger Survey The NRPS takes places twice a year, in Spring (S) and Autumn (A) TransPennine Express reports it has made the following changes to improve information to its passengers: Data not supplied. ## Transpennine Express Accessibility And Inclusion Booked Assistance Volumes Alternative Accessible Transport TransPennine Express received 24,270 booked assistance requests in 2018-19. This accounted for 1.9% of all booked assists made nationally in 2018-19. or four weeks, for business reporting purposes (Sunday to Saturday) and Source: Research by Breaking Blue When published, the 2018-19 report will be available here: Research into passenger experience of Passenger Assist, 2018-19 Accessibility complaints rate (per 100,000 journeys), 2018-19 All operators must provide free alternative transport to take passengers to the nearest or most convenient accessible station in certain circumstances: • When a station is inaccessible to the passenger; • When rail replacement services are running that are not accessible to the passenger (because of planned engineering works for example); or • When there is disruption to services at short notice that, for whatever reason, makes services inaccessible to disabled passengers. In 2018-19 alternative accessible transport was provided 31 times by TransPennine Express. Disability and equality staff training in 2018-19 • In 2018-19 a total of 140 TransPennine Express staff received disability and equality awareness training. • TransPennine Express provide a one day Disability Awareness training as part of their induction programme. • This training was developed with Action on Hearing Loss, Dementia Friends and RNIB. A full description of TransPennine Express' disability training activities in 2018-19 can be viewed here on our website: https://orr.gov.uk/rail/consumers/annual-railconsumer-report ## Transpennine Express Complaints Handling And Delay Compensation Top 5 reasons for complaints, 2018-19 Actions to improve services in response to complaints, 2018-19 Percentage of complaints Complaint type Change on last year 20.1% -8.6 PP Sufficient room for all passengers to sit/ stand 11.1% 5.6 PP Punctuality/reliability (i.e. the train arriving/ departing on time) 9.3% Ticketing and refunds policy 0.4 PP 8.9% Facilities on board 0.1 PP 5.5% Unhappy at type/level of compensation -1.0 PP Source: Train Operating Companies ## Delay Compensation Claims, 2018-19 TransPennine Express closed **158,056** delay compensation claims in 2018-19. Note: A 'rail period' is normally 28 days, or four weeks, for business reporting purposes (Sunday to Saturday) and there are 13 rail periods in a financial year. Data tables: Rail delay compensation claims by TOC - Table 17.01 PP = percentage point change Source: Train Operating Companies Data tables: Complaints responded to within 10 and 20 working days by TOC - Table 14.2 TransPennine Express' Complaints Handling Procedure is available at: https://orr.gov.uk/rail/ licensing/licensing-the-railway/complaints-handlingprocedures/complaints-handling-proceduresdecision-letters TransPennine Express reports it has taken some of the following actions in 2018-19 to address issues highlighted in passenger complaints: • Refurbished trains were introduced and are addressing complaints about on-board facilities. • New on-board customer information screens have been introduced to provide real time information during disruption. A more detailed list of the actions which have been taken to improve services in response to complaints can be viewed here: https://orr.gov.uk/rail/ consumers/annual-rail-consumer-report All train operators should publish the actions they are taking to improve passenger information in a Local Plan together with a link to the current industry Code of Practice (Oct 2016) and an Annual Progress Report (required to meet industry action PIDD-41). • Code of Practice - October 2016 • Local Plan - December 2018 We conducted a review of the updated local plan and provided our feedback to Virgin Trains. We are content with its contents and noted that our previous feedback had been taken into account. Source: Transport Focus, National Rail Passenger Survey The NRPS takes places twice a year, in Spring (S) and Autumn (A) Virgin Trains reports it has made the following changes to improve information to its passengers: • Launched new technology to better connect colleagues during times of disruption. • Trialling use of Disruption Co-ordinators at London Euston to manage train crews during times of disruption to reduce knock on delays and cancellations as a result of service disruption and late services inbound to London ## Virgin Trains West Coast Accessibility And Inclusion Booked Assistance Volumes Alternative Accessible Transport Virgin Trains received **105,649** booked assistance requests in 2018-19. This accounted for 8.2% of all booked assists made nationally in 2018-19. Source: Research by Breaking Blue When published, the 2018-19 report will be available here: Research into passenger experience of Passenger Assist, 2018-19 ## Accessibility Complaints Rate (Per 100,000 Journeys), 2018-19 All operators must provide free alternative transport to take passengers to the nearest or most convenient accessible station in certain circumstances: • When a station is inaccessible to the passenger; • When rail replacement services are running that are not accessible to the passenger (because of planned engineering works for example); or • When there is disruption to services at short notice that, for whatever reason, makes services inaccessible to disabled passengers. In 2018-19 alternative accessible transport was provided 122 times by Virgin Trains. Disability and equality staff training in 2018-19 • In 2018-19 a total of 63 Virgin Trains staff received disability and equality awareness training. • Virgin Trains launched the JAM card in March 2019 as part of their hidden disability awareness training. • In 2018/19, 45 train managers and 205 dispatch staff underwent practical ramp training. A full description of Virgin Trains' disability training activities in 2018-19 can be viewed here on our website: https://orr. gov.uk/rail/consumers/annual-rail-consumer-report ## Virgin Trains West Coast Complaints Handling And Delay Compensation Top 5 reasons for complaints, 2018-19 Actions to improve services in response to complaints, 2018-19 Percentage of complaints Complaint type Change on last year 21.7% Facilities on board 2.3 PP 16.6% -3.6 PP Punctuality/reliability (i.e. the train arriving/ departing on time) 12.2% Ticketing and refunds policy 1.5 PP 7.8% Ticket buying facilities - other 1.0 PP 7.2% No response from TOC -1.9 PP Source: Train Operating Companies Delay compensation claims, 2018-19 Virgin Trains closed **433,187** delay compensation claims in 2018-19. Data tables: Complaints responded to within 10 and 20 working days by TOC - Table 14.2 Virgin Trains' Complaints Handling Procedure is available at: https://orr.gov.uk/rail/licensing/licensingthe-railway/complaints-handling-procedures/ complaints-handling-procedures-decision-letters Virgin Trains reports it has taken some of the following actions in 2018-19 to address issues highlighted in passenger complaints: • Improved on board facilities by introducing a vegan menu, hot food options on Fridays and improved Wi-Fi on Pendolino trains. • Removed Friday afternoon peak restrictions to allow customers to travel more flexibly. A more detailed list of the actions which have been taken to improve services in response to complaints can be viewed here: https://orr.gov.uk/rail/ consumers/annual-rail-consumer-report for business reporting purposes (Sunday to Saturday) and there are 13 rail periods in a financial year. Data tables: Rail delay compensation claims by TOC - Table 17.01 All train operators should publish the actions they are taking to improve passenger information in a Local Plan together with a link to the current industry Code of Practice (Oct 2016) and an Annual Progress Report (required to meet industry action PIDD-41). • Code of Practice - Oct 2016 • Local Plan - Dec 2017 The information is up to date. An updated Local Plan has been reviewed by the ORR and feedback provided. We await a further response from West Midlands Trains in relation to this. Source: Transport Focus, National Rail Passenger Survey The NRPS takes places twice a year, in Spring (S) and Autumn (A) West Midlands Trains reports it has made the following changes to improve information to its passengers: • It has introduced a new style web site information during major incidents, to help our customers make informed decisions about their journey. • It has made improvements to its website Travel Updates portal, giving passengers easy to find and understand information about their journey. This portal will be having ongoing developments and improvements throughout the franchise. • It has also refined internal processes to makes sure information is more timely and accurate. ## West Midlands Trains Accessibility And Inclusion Booked Assistance Volumes Alternative Accessible Transport West Midlands Trains received 52,555 booked assistance requests in 2018-19. This accounted for 4.1% of all booked assists made nationally in 2018-19. Note: This excludes un-booked assistance. A 'rail period' is normally 28 days, or four weeks, for business reporting purposes (Sunday to Saturday) and Source: Research by Breaking Blue When published, the 2018-19 report will be available here: Research into passenger experience of Passenger Assist, 2018-19 Accessibility complaints rate (per 100,000 journeys), 2018-19 All operators must provide free alternative transport to take passengers to the nearest or most convenient accessible station in certain circumstances: • When a station is inaccessible to the passenger; • When rail replacement services are running that are not accessible to the passenger (because of planned engineering works for example); or • When there is disruption to services at short notice that, for whatever reason, makes services inaccessible to disabled passengers. In 2018-19 alternative accessible transport was provided 320 times by West Midlands Trains. Disability and equality staff training in 2018-19 • In 2018-19 a total of 81 West Midlands Trains staff received disability and equality awareness training. • Two tiers of focused disability equality training were carried out during 2018-19. All Executives underwent core equality training and equality awareness training. • A half day course was developed for Property and Project teams. • West Midlands Trains are currently working towards becoming a Disability Confident Employer (Level 2). A full description of West Midlands Trains disability training activities in 2018-19 can be viewed here on our website: https://orr.gov.uk/rail/consumers/annual-rail-consumerreport ## West Midlands Trains Complaints Handling And Delay Compensation Top 5 reasons for complaints, 2018-19 Actions to improve services in response to complaints, 2018-19 Percentage of complaints Complaint type Change on last year 31.0% -27.5 PP Punctuality/reliability (i.e. the train arriving/ departing on time) 14.0% 6.1 PP Sufficient room for all passengers to sit/ stand 8.3% Compensation claims process 4.0 PP 6.8% Ticket buying facilities 1.1 PP 6.1% Ticketing and refunds policy 1.5 PP Source: Train Operating Companies Note: A 'rail period' is normally 28 days, or four weeks, for business reporting purposes (Sunday to Saturday) and there are 13 rail periods in a financial year. Data tables: Rail delay compensation claims by TOC - Table 17.01 PP = percentage point change Source: Train Operating Companies Data tables: Complaints responded to within 10 and 20 working days by TOC - Table 14.2 West Midlands Trains' Complaints Handling Procedure is available at: https://orr.gov.uk/rail/licensing/licensingthe-railway/complaints-handling-procedures/complaintshandling-procedures-decision-letters West Midlands Trains reports it has taken some of the following actions in 2018-19 to address issues highlighted in passenger complaints: • To address punctuality/reliability complaints West Midland Trains continue to work with Network Rail to resolve infrastructure issues. • Additional compensation options have been introduced to address compensation claim complaints. A more detailed list of the actions which have been taken to improve services in response to complaints can be viewed here: https://orr.gov.uk/rail/consumers/annual-railconsumer-report

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## Customer Member Having An Online Discussion 1 Hold the cursor over the **head/shoulders** icon (A) to determine which members are in the Room. 2 Select the **speech bubble** icon (B) to initiate a conversation. 3 Type in your comments (C) and press enter on your keyboard. 4 To close the discussion select X (D). ## Note It is important to remember that all Room members can see any of the comments made in an **Online Discussion** (E) and they are visible for ten minutes after the discussion is closed. Also, SW does not store the discussion. If you want to keep a record of the comments, you must copy them to a note before closing the discussion.

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## A Guide To Criminal Justice Statistics Last updated 21 February 2013 ## Contents Contents...................................................................................................................... 2 Introduction ............................................................................................................... 3 Overview of Criminal Justice Statistics.................................................................. 4 Background to Criminal Justice Statistics Bulletin .................................................. 4 Timeframe and Publishing Frequency of Data........................................................ 4 Revisions................................................................................................................. 5 Data Sources and Data Quality................................................................................ 6 Out of Court Disposals............................................................................................ 7 Penalty Notices for Disorder (PND)..................................................................... 7 Cautions .............................................................................................................. 7 Cannabis Warnings............................................................................................. 8 Court Proceedings .................................................................................................. 9 Prosecutions, Convictions and Sentencing......................................................... 9 Remands........................................................................................................... 12 Failure to Appear (FTA) Warrants..................................................................... 13 Criminal Histories and First Time Entrants............................................................ 14 First Time Entrants (FTE) into the Criminal Justice System.............................. 14 First Offences and Further Offences................................................................. 14 Criminal Histories .............................................................................................. 15 Data Developments................................................................................................. 16 Ethnicity................................................................................................................. 16 Breaches............................................................................................................... 16 Historic shortfalls and weighting............................................................................ 16 Comparison of 'Criminal Justice Statistics' and 'Judicial and Court Statistics'...... 17 Background to the Criminal Justice System........................................................ 19 Reporting Crime.................................................................................................... 19 Investigation ...................................................................................................... 19 Offences not prosecuted by the Police ............................................................. 19 Deciding what happens with a case.................................................................. 19 Out of Court Disposals.......................................................................................... 21 Penalty Notices for Disorder (PND)................................................................... 21 Cautions ............................................................................................................ 22 Court Proceedings ................................................................................................ 24 Remand decisions............................................................................................. 26 Failure to Appear (FTA) warrants...................................................................... 26 Conviction and sentencing ................................................................................ 29 Compensation ................................................................................................... 34 Further sentences and orders ........................................................................... 35 Sentences specifically for juveniles................................................................... 35 Legislation coming into effect in the reporting period........................................ 39 Glossary................................................................................................................... 46 Directory of Related Internet Websites on the Criminal Justice System........... 50 ## Introduction This document provides more detail on criminal justice statistics presented in the publication Criminal Justice Statistics and is intended to be used as a guide to concepts and definitions. The examples provided within this document are for the 2011 data as the full validation process is carried out each year on the complete calendar year data. The key areas covered are:  An overview of criminal justice statistics detailing the frequency and timings of the bulletin and the revisions policy.  Details of the data sources and any associated data quality issues.  Data developments relating to criminal justice statistics.  A high level background to the Criminal Justice System (CJS) on the topics featured within the bulletin.  Major legislation coming into effect in the period covered by the bulletin.  A glossary of the main terms used within the publication.  A list of relevant internet sites on the Criminal Justice system. In addition a list of the offence classifications used by both the Ministry of Justice and Home Office for both CJS statistical outputs and crime statistics can be found at: www.justice.gov.uk/statistics/criminal-justice/criminal-justice-statistics ## Overview Of Criminal Justice Statistics This section describes the background to the bulletin, the timing and frequency of the publication and the revisions policy relating to the statistics published. Background to Criminal Justice Statistics Bulletin On the 17th November 2010 the Ministry of Justice launched a consultation on improving its statistics. One of the proposals was to assess interest in a quarterly criminal justice statistics bulletin which would give a statistical overview of the criminal justice system. The response from the consultation showed there was support for this proposal and a demand for more timely statistics. Full details of the consultation and response can be found at: www.justice.gov.uk/consultations/565.htm The bulletin covers statistics from the whole criminal justice system and as a result the following individual Ministry of Justice publications were discontinued:  Criminal Statistics Annual;  Sentencing Statistics Annual;  Sentencing Statistics quarterly brief;  Provisional Quarterly Criminal Justice System Information;  Youth Crime: Young people aged 10-17 receiving their first reprimand, warning or conviction. This bulletin is designated as National Statistics as it is produced to the standards specified in the Code of Practice for Official Statistics. The most recent assessments of Criminal Justice Statistics can be found on the UK Statistics Authority's website at the following address: www.statisticsauthority.gov.uk/assessment/assessment/assessmentreports/assessment-report-52---criminal-justice-system.pdf Timeframe and Publishing Frequency of Data The statistics in this publication are for a rolling twelve month reference period. This time period has been chosen over shorter timeframes to minimise the volatility caused by seasonality - for example reduced court volumes every December when many of the courts are closed over the Christmas period. Each quarter the latest reference period will be published so statistics will be for the year ending March, June, September or December. The first three datasets will be provisional and the year ending December statistics will be the final release of the calendar year data. As part of the final release, additional annexes will be published containing more detailed breakdowns of criminal justice statistics. Revisions In accordance with Principle 2 of the Code of Practice for Office Statistics, the Ministry of Justice is required to publish transparent guidance on its policy for revisions. A copy of this statement can be found at: www.justice.gov.uk/downloads/statistics/mojstats/statistics-revisions-policy.pdf The three reasons specified for statistics needing to be revised are changes in sources of administrative systems or methodology changes, receipt of subsequent information, and errors in statistical systems and processes. Each of these points, and its specific relevance to the criminal justice statistics publication, are addressed below: 1. Changes in source of administrative systems/methodology changes The data within this publication comes from a variety of administrative systems. This technical document will clearly present where there have been revisions to data accountable to switches in methodology or administrative systems. In addition, statistics affected within the publication will be appropriately footnoted. 2. Receipt of subsequent information The nature of any administrative system is that data may be received late. For the purpose of this criminal justice statistics publication, the late data will be reviewed on a quarterly basis but, unless it is deemed to make significant changes to the statistics released, revisions will only be made as part of the final release containing the calendar year statistics. However should the review show that the late data has major impact on the statistics then revisions will be released as part of the subsequent publication. 3. Errors in statistical systems and processes Occasionally errors can occur in statistical processes; procedures are constantly reviewed to minimise this risk. Should a significant error be found the publication on the website will be updated and an errata slip published documenting the revision. ## Data Sources And Data Quality This section outlines the different data sources used to compile the statistics presented in the bulletin with discussion on data quality where relevant. The three main sources the statistics are compiled from are:  Data returns submitted by individual police forces.  Data extracts from court database administrative systems.  Data extracts from the Police National Computer. Out of Court Disposals Data on Penalty Notices for Disorder, cautions and cannabis warnings are issued and recorded by police forces. These data are received either via the individual police forces or extracted from administrative database systems. Penalty Notices for Disorder (PND) Since 2004, when PNDs were piloted, data has been received from the individual police forces on a monthly basis. The two returns provided are details of PNDs issued and their subsequent outcomes. The returns are checked by the statistical teams for completeness and accuracy. Any anomalies in the data are queried with the force and any duplication of data is removed from the database. On an annual basis, a full reconciliation process is undertaken where each police force is given the opportunity to verify the monthly figures they have supplied and make revisions to the annual returns prior to publication. A new PND for the offence of possession of cannabis was introduced in 2009. Guidance was issued limiting the use of this PND to adults, i.e. to those aged 18 and over. The data submitted in 2011 showed that some PNDs were issued for this offence to juveniles, i.e. those aged under 18. These were queried with the relevant forces and subsequently 68.8 per cent were cancelled. A new IT system PentiP commenced roll out to police forces during 2012, as a single replacement for their existing databases, one use of which being to capture data on PNDs. For forces using PentiP, details of PNDs issued and their subsequent outcomes are extracted from the live administrative system on a quarterly basis. The returns are checked in the same way by the statistical teams for completeness and accuracy, and any anomalies in the data queried with the PentiP system administrators. Until PentiP is fully established and rolled out to all forces, data will continue to be received from individual forces not using the system. For the quarter July to September 2012, due to technical problems with PentiP, it is not possible for nine forces currently on the system to separate between those PNDs paid in full within 21 days and those paid in full outside the 21 day period. The issue is under investigation and is expected to be resolved ahead of the 2012 annual publication. Cautions From April 2011 all cautions data are collected from the Police National Computer, the records are validated for accuracy and completeness and amended as necessary. Additionally any apparent cautions given for serious offences, such as rape, are investigated thoroughly with forces. All cautions data prior to April 2011 were collected directly from police forces and have been through the same validation process. From 2009/10 the reporting of conditional cautions was made mandatory, including those given to juveniles aged 16 and 17. This meant from 1st April 2009 all returns distinguish conditional cautions from other caution type interventions. In addition Youth Conditional Cautions (YCC), for juveniles aged 16 or 17, were introduced from 1 April 2009. Cannabis Warnings This data is supplied from the Home Office and extracted using Management Information Systems (MIS). It is collated on a monthly basis and any anomalies are queried with the Home Office. Court Proceedings The complexities of the criminal justice system and the constraints on resources in collating and processing data limit the amount of information collected routinely so only the final outcome of proceedings at magistrates' courts and the Crown Court (where applicable) is recorded. Prosecutions, Convictions and Sentencing Data sources Statistics on prosecutions, convictions and sentencing are either derived from the LIBRA case management system, which holds the magistrates' courts records, or the Crown Court's CREST system which holds the trial and sentencing data. The data includes offences where there has been no police involvement, such as those prosecutions instigated by government departments, private organisations and individuals. From July 1995 all Crown Court data on trials and sentences has been received directly from the Court Service's CREST computer system and from November 2008 all magistrates' courts data has been provided by the LIBRA case management system. Prior to November 2008 the Police reported on magistrate court proceedings and it is thought that for some police force areas there may have been under-reporting of proceedings, in particular those relating to motoring offences, TV Licence evasion and other summary offences with no police involvement. The extent of underreporting may vary from year to year. Validation process The court system data used in this bulletin go through a variety of validation and consistency checks. Individual records are validated in an automated process that highlights irregularities and inconsistencies. In particular, checks are made, where possible, to ensure that:  Offences are correct and legitimate for the age of the defendant;  The sentence given for an offence is applicable in law;  Hearings are consistent with the court they are heard in; and  Sentences follow guidelines given the age of the offender and the offence committed. In general data validation is ongoing to investigate unusual trends or records. For serious offences (such as homicide and serious sexual offences) and severe disposals (such as life imprisonment and indeterminate sentences of Imprisonment for Public Protection [IPP]) individual records are flagged for manual confirmation which further reduces the possibility of error. For the Crown Court, where these validation failures occur, the data are corrected by referring to original court registers. Approximately 17,000 individual records in 2011 were corrected. At the magistrates' courts the sheer volume of courts records (around 2.8 million per year compared with 100,000 Crown Court records) means these files cannot follow the same process. The majority of validation failures are subject to automatic amendment and any serious errors are manually checked. Some examples of the automatic validation checks are given below: Example 1 A record is received with a fine as the principal sentence when the offender also received a custodial sentence for the same offence. The action taken would be to re-order the disposals so that the custodial sentence is counted as the principal sentence. Example 2 The sentence recorded is incompatible with the age of the offender, e.g. a 25 year old is given a Youth Rehabilitation Order. If the case occurred at the Crown Court then the court record is examined and the correct age/sentence is recorded. If this is found to be a frequent error at the magistrates' court then additional automated changes will be made to correct the issue. Example 3 An offence coded 19/16 ("Rape of a female child under 13 by a male" under the Sexual Offences Act 2003) is reporting the sex of the offender as female. This implies that either the offence code is incorrect and needs updating, or the gender has been entered inaccurately. In this case the original court record will be looked up and the statistical record amended. Example 4 The age of an offender dealt with at a Youth Court is entered as 25, this cannot be correct and the age will default to 17. Example 5 An adult offender is sentenced at a magistrates' court to a custodial sentence of 18 months (a maximum custodial sentence of six months can be imposed at the magistrates' court). As this is a serious error the court record will be inspected and the sentence amended. Statistics published The tables on court proceedings relate to proceedings completed in the year. In this publication a defendant may appear more than once in the tables if proceedings were completed against that defendant on more than one occasion during the year. In the statistics, the term 'other defendants' is used to denote companies and other bodies such as businesses, local authorities and public bodies. Additionally, following the introduction of the LIBRA case management system, defendants at magistrates' courts can be recorded as sex "Not Stated". Reporting on the principal offence and principal sentence Where proceedings involve more than one offence, the tables report the principal offence. The basis for the selection of the principal offence is as follows:  Where a defendant is found guilty of one offence and acquitted of another, the offence selected is the one for which they are found guilty;  Where a defendant is found guilty of two or more offences, the offence selected is the one for which the heaviest sentence is imposed;  Where the same disposal is imposed for two or more offences, the offence selected is the one for which the statutory maximum penalty is the most severe. The offence shown in the tables on court proceedings is the one for which the court took its final decision and is not necessarily the same as the offence for which the defendant was initially prosecuted, for example when the court accepts a guilty plea from the defendant on a lesser charge. Unless otherwise stated, the sentence shown is the most severe sentence or order given for the principal offence (i.e. the principal sentence), secondary sentences given for the principal offence and sentences for non-principal offences are not counted in the tables. The exceptions to this rule are the tables containing statistics on compensation, confiscation and forfeiture where any one of the first four disposals may be counted. Examples of how the principal offence and principal sentence are constructed can be found below: Example 1 - the principal offence An offender appearing in court on one charge of Actual Bodily Harm (ABH) and one charge of common assault would appear in the tables with the charge of ABH counted as their principal offence as it is the offence with the most severe maximum sentence. Example 2 - the principal offence and principal sentence An offender convicted and sentenced for one charge of ABH and one charge of common assault who receives a custodial sentence of 6 months for the ABH and a fine for the common assault would be counted as having been convicted of ABH (the principal offence) and as having received a 6 month sentence for ABH (the principal offence and principal sentence). Example 3 - the principal sentence and ancillary order An offender who receives a 6 month custodial sentence for an offence of ABH and a compensation order for that offence would be counted as having received a custodial sentence and counted once in the *total sentenced* column. For the table on compensation orders they would be counted in the table on compensation orders but only if the compensation order and custodial sentence were for the same offence (i.e. both for ABH). ## Remands The statistics in the remands chapter relate to persons remanded in each year in each completed court case rather than to the number of remand decisions (a person may be remanded several times during a case). Cases are recorded in the year in which the final court decisions were made and this is not necessarily the same year in which the person was originally remanded. From 2008, following the introduction of the LIBRA case management system, the number of custodial remands at magistrates' court proceedings has been overreported in the data supplied to the Ministry of Justice. Therefore all magistrates' courts remand data published in this chapter are estimates. Data relating to cases tried at the Crown Court are not affected. For the years 2008 to 2011 the magistrates' courts data has been matched with prisons remand reception data (records when defendants were received into custody). Where a defendant in the court proceedings data was also found to be recorded in the prisons remand reception data, it was taken that the defendant had been remanded in custody at some point. The criteria used to determine whether a match exists (implying a remand status of custody) were surname, initial, date of birth and sex, with the additional criterion being that the date of the reception into prison had to be earlier than the date of conclusion of the case at the magistrates' court. In addition, a degree of fuzzy matching was employed to allow for common variations in the spelling of defendants' surnames. In 2011, out of a total 1.6 million defendants who were proceeded against at magistrates' courts, approximately 55,000 (three per cent) were remanded in custody at some point. Of all indictable offences, approximately ten per cent were remanded in custody and of all summary offences approximately one per cent were remanded in custody. Matching process: Where a matched case exists, we accept that the court remand decision is "custody". Where a match does not exist the following assumptions are made:  The remand decisions by the police and magistrates' are considered. If the police remand decision is "bail" and the code at magistrates' court is also "bail", the final remand decision shown will be "bail". Otherwise the remand decision will be "not remanded".  Where the court remand decision at the first hearing or a subsequent hearing is "bail" and there is no "custody" decision at any hearing then the final remand decision is "bail".  Those cases flagged as bail throughout the hearing are accepted as bail else otherwise recorded as "Not Remanded". The "Not Remanded" category includes those where the remand status is not stated or not known. Prior to 2008, estimates of the number of defendants remanded in custody at magistrates' courts were derived by excluding certain police force areas where coverage of remands decisions was outside the accepted norm for the rest of England and Wales. These forces were excluded and the remaining annual year's data approximated to produce estimates for England and Wales. Tables Q 3.1 and Q 3.2 show estimates for defendants remanded in custody by the police and at magistrates' courts respectively. The totals in these tables will not sum when presented on a quarterly basis because the annual approximation is applied to each quarter's data to generate the quarterly estimates. Failure to Appear (FTA) Warrants Data on Failure to Appear (FTA) warrants are reported to the Ministry of Justice by each of the 43 police forces in England and Wales. Returns are submitted electronically on a monthly basis. Upon receipt of the returns, they are checked by the statistical teams for completeness. As part of the collation process, any large variations between the current and the previous month's data are automatically flagged up and an explanation sought from the force concerned. Any other anomalies in the data are queried with the relevant police force and revised data are requested where necessary. The FTA tables present data showing the number of each category of FTA warrants outstanding and the percentage of each category of warrants executed within their deadlines, by police force area. Criminal Histories and First Time Entrants The figures on first time entrants and previous criminal histories have been taken from the Ministry of Justice's extract from the Police National Computer (PNC), the operational database used by all police forces in England and Wales. The PNC covers 'recordable' offences, which are defined as offences that can attract a custodial sentence plus some additional offences defined in legislation. Some nonrecordable offences are also included on the PNC, particularly when they accompany recordable offences in the same case. A range of less serious summary offences, such as TV licence evasion and many motoring offences are not recorded on the PNC. Like any other large scale administrative database the PNC is subject to delays and errors on recording and data entry. All the figures shown may be subject to revision in later editions of this publication as more information is recorded by the police. First Time Entrants (FTE) into the Criminal Justice System A FTE is an offender who has received their first reprimand, warning, caution or conviction for an offence processed by a police force in England or Wales or by the British Transport Police. The measure excludes any offenders who at the time of their first conviction or caution, according to their PNC record, were resident outside England or Wales. Penalty notices for disorder, other types of penalty notice, cannabis warnings and other sanctions given by the police are not counted. The figures for juvenile FTEs presented in this publication are an update to those found in the publication entitled 'Youth Crime: Young people aged 10-17 receiving their first reprimand, warning or conviction, 2000-01 to 2009-10' published by the Ministry of Justice in October 2010. The rates of FTEs per 100,000 people in the population are based on Office for National Statistics mid-year population estimates. Where an offender was cautioned or convicted of more than one offence on their first occasion the offence type figures relate to the principal offence on that occasion, this generally being the most serious offence or the offence that attracted the heaviest penalty. The Local Authority figures have been calculated by mapping individuals to Local Authorities using the home address or postcode recorded by police on the Police National Computer (PNC). For those with no address recorded the postcode of where the offence was committed has been used. For those with no home address information or offence postcode, a model, based on the patterns of offenders dealt with by police stations, has been used to allocate offenders to Local Authorities. The breakdown of FTEs by police force area has been calculated using details of the police force that processed the case rather than the area in which the offender lived. First Offences and Further Offences The figures shown for first offences follow the same definition as for first time entrants and therefore agree with the FTE figures. A further offence is any other primary offence recorded on the PNC that resulted in a reprimand, warning, caution or conviction and where the offender had received at least one of these sanctions on a previous occasion. Criminal Histories The tables of criminal histories relate to cautioning or sentencing occasions recorded on the PNC for indictable offences, although some figures are for summary offences that are recorded by the police. Where an offender has been cautioned or sentenced on more than one occasion the offender's criminal history on each occasion has been included. Where an offender has been cautioned or sentenced on the same occasion for several offences it is the details of primary offence that have been presented. The figures relate to cautioning or sentencing occasions for offences prosecuted by police forces in England and Wales including British Transport Police; they exclude sentences resulting from prosecutions brought by other authorities such as the Department for Work and Pensions (DWP), HM Revenue & Customs (HMRC) and the Ministry of Defence (MOD). Although some of these cases are recorded on the PNC they may not always be linked to the offender's previous criminal history and have therefore been excluded. Certain offences, such as benefit fraud, which are commonly prosecuted by non-police authorities, are undercounted in these tables. The tables show criminal history figures for offenders at each cautioning or sentencing occasion. These criminal history figures are counts of separate previous occasions when the offender received a reprimand, final warning, caution or conviction. They cover all offences recorded by the police on the PNC, including both indictable and summary offences, and include cases brought by non-police prosecuting authorities. ## Data Developments Ethnicity The Criminal Justice System statistical bulletin includes high level trends on the ethnicity of defendants and offenders given cautions, PND's, and those proceeded against, convicted and sentenced at court. The ethnic breakdown presented in all cases is based on the 4+1 visual appearance/officer identified classification - White, Black, Asian, Other and Unknown. Historically the recording of ethnicity data for magistrates' courts cases has been poor with high numbers of unknown ethnic identity. The recording of ethnicity data for indictable offences has been more complete than summary offences because in charged cases the defendant will have been seen by the police and asked about their ethnicity. In cases where the defendant received a summons, they will not have been seen by the prosecutor, and may not have appeared in court. After a considerable programme of work, a substantial improvement in the data were noted in the recording of ethnicity for indictable offences, with 10 per cent of convictions having an unknown ethnicity in 2011 and 2010, compared with 81 per cent in 2001. In 2011 two per cent of offenders cautioned were of unknown ethnicity and eighteen per cent of PND's were given to offenders of unknown ethnicity. Breaches Breaches of court orders that are a criminal offence in their own right (e.g. breach of an anti-social behaviour order) have been included in the published tables since 2009. Prior to 2009 these were excluded from the count of court proceedings because of recording issues and are not included in the published tables. Historic shortfalls and weighting Prior to the introduction of the LIBRA case management system, data was supplied by the Police using their legacy systems. In some years problems were identified in the supply of data relating to some offences and some police force areas. The areas affected included Humberside, Merseyside, Northumbria, Staffordshire and Surrey police in 2001 who were not able to supply complete returns for summary proceedings. The data supply problems were:  In 2001, a single month's shortfall or part thereof was found for indictable and summary motoring offences at Humberside, Merseyside, Staffordshire and Surrey police.  In 2002, part shortfalls were noted for Merseyside over all offences groups for a five-month period, together with summary motoring and/or summary nonmotoring for Gwent, Norfolk and Northamptonshire.  In 2003 there were shortfalls for South Yorkshire and Thames Valley for summary non-motoring offences. For summary motoring offences the main shortfalls were for Suffolk and Northamptonshire.  No significant shortfalls were identified in 2004, 2005, 2006, 2007, 2009, 2010, 2011 or 2012. The following estimates have been constructed on the shortfalls in the number proceeded against in magistrates' courts for each year since 2001, arising from the circumstances described in the previous paragraph. For practical reasons it is not possible to include these estimates in the numerous tabulations of court proceedings data produced. | | | | | | | | | | | England and Wales | Number (thousands) and percentages | |-----------------------------------------|---------|---------|---------|---------|---------|---------|---------|---------|---------|-------------------------------------------------------------------------------------------------------|--------------------------------------| | Type of offence | 2001 | 2002 | 2003 | 2004 | 2005 | 2006 | 2007 | 2008 | 2009 | 2010 | 2011 | | | | | | | | | | | | | | | Estimated shortfall in data (thousands) | | | | | | | | | | | | | Indictable | 2.2 | 0.9 | 0.8 | - | - | - | - | - | - | - | | | - | | | | | | | | | | | | | Summary non-motoring | 3.7 | 2.2 | 7.7 | - | - | - | - | - | - | - | | | - | | | | | | | | | | | | | Summary motoring | 2.5 | 2.5 | 4.9 | - | - | - | - | - | - | - | | | - | | | | | | | | | | | | | All offences | 8.4 | 5.6 | 13.4 | - | - | - | - | - | - | - | | | - | | | | | | | | | | | | | Number proceeded against with | | | | | | | | | | | | | allowance for shortfall (thousands) | | | | | | | | | | | | | Indictable | 503.1 | 518.0 | 510.0 | 453.3 | 423.4 | 406.2 | 404.9 | 397.5 | 415.6 | 438.0 | 414.0 | | Summary non-motoring | 575.7 | 624.2 | 641.8 | 665.3 | 637.0 | 612.0 | 599.3 | 593.3 | 619.2 | 607.1 | 598.0 | | Summary motoring | 767.3 | 788.3 | 862.5 | 904.0 | 834.7 | 761.1 | 728.4 | 649.2 | 659.6 | 608.1 | 547.0 | | All offences | 1,846.1 | 1,930.4 | 2,014.2 | 2,022.6 | 1,895.0 | 1,779.3 | 1,732.5 | 1,640.0 | 1,694.4 | 1,653.2 | 1,559.0 | | Change on a year earlier (percentages) | | | | | | | | | | | | | Indictable | 2 | 3 | -2 | -11 | -7 | -4 | 0 | -2 | 5 | 5 | -5 | | -10 | | | | | | | | | | | | | Summary non-motoring | -8 | 8 | 3 | 4 | -4 | -4 | -2 | -1 | 4 | -2 | | | -1 | | | | | | | | | | | | | Summary motoring | -3 | 3 | 9 | 5 | -8 | -9 | -4 | -11 | 2 | -8 | | | All offences | -3 | 5 | 4 | 0 | -6 | -6 | -3 | -5 | 3 | -2 | | | -6 | | | | | | | | | | | | | | | | | | | | | | | | | ## Comparison of 'Criminal Justice Statistics' and 'Judicial and Court Statistics' Crown Court data The publications Criminal Justice Statistics (CJS) and Judicial and Court Statistics (JCS) both contain data on the number of proceedings heard in the Crown Court. The figures are derived from the same core source (the CREST system), but they are not directly comparable as there are known differences between them. These are due to a number of factors, including differences in the data collation methods and counting methodologies used, which reflect different underlying drivers of the analyses being performed. By way of a broad illustration, Criminal Justice Statistics counts numbers of defendants and focuses on the final outcomes of criminal court proceedings, whilst Judicial and Court statistics counts numbers of cases and focuses on flows through the court system. Work is currently under way to investigate and review the differences between the two sets of statistics and their compilation processes with a view to aligning the two datasets in future. In 2010/11 the Ministry of Justice, with the support of a methodologist from the Office for National Statistics, undertook work to better understand the differences between the two publications. Among the key differences between the two datasets are:  Definition of final outcome: Judicial and Court statistics include cases ending as a result of all charges being quashed, discontinued by the prosecution, or where a bench warrant was issued or executed and other outcomes. These outcomes are not counted in Criminal Justice Statistics as the statistics focus on the final outcome of criminal cases and the sentences passed;  Different validation rules;  Timing of data extraction; Magistrates' courts data For magistrates' courts data the number of proceedings reported in Judicial and Court Statistics exceeds those in Criminal Justice Statistics because the former counts issuance of a bench warrant as the end of a set of proceedings. This implies that a case may be counted once by Criminal Justice Statistics but twice, as two sets of proceedings, by Judicial and Court Statistics. ## Background To The Criminal Justice System Reporting Crime This section relates to crimes that are reported to the Police and recorded by them. The Criminal Justice System (CJS) cannot work without the support of the community. In particular, victims and witnesses play a vital part in the justice process. If crimes aren't reported, offenders can't be brought to justice. Investigation Following the report of a crime the police will investigate, their role is to:  Investigate the crime;  Identify suspects;  Arrest and question them. Once their investigations are complete, the police will either:  Charge the suspect, in conjunction with the Crown Prosecution Service (CPS);  Apply for a summons for the suspect to appear at court;  Deal with them by using an out-of-court disposal (an alternative to prosecution);  Resolve the matter informally (e.g. the victim agrees to informal resolution or restorative justice approach);  Release the individual without charge on the basis they should not face criminal action. Offences not prosecuted by the Police Not all offences under law are investigated or prosecuted by the Police. For example television licence evasion is investigated by the TV licensing authority, and offences relating to benefits were prosecuted by the Revenue and Customs Prosecution Office (RCPO) which was an independent prosecuting authority reporting to the Attorney General. The RCPO was merged into the Crown Prosecution Service from 1 January 2010. Deciding what happens with a case The Crown Prosecution Service (CPS) is responsible for prosecuting suspects in court. However, the police investigate the alleged offence and in some cases will decide whether to administer an out-of-court disposal or charge the individual. In the most serious cases, Crown Prosecutors will decide whether to charge a person with a criminal offence, and will determine the appropriate charge or charges. The CPS will decide whether or not to prosecute by applying the Code for Crown Prosecutors to the facts of the particular case. In those less serious cases where the police determine the charge, they apply the same principles. When a file is received from the police, a Crown Prosecutor will decide whether or not there is enough evidence against the suspect and if it is in the public interest to bring that person to court. Because circumstances can change, the Crown Prosecutor must keep the case under continual review. If the Crown Prosecutor is thinking of changing the charges, i.e. downgrading the original offence, or stopping the case, they will contact the police wherever possible. This gives the police the chance to provide more information that may affect the decision. Although the police and the CPS work closely together, both organisations are independent of each other, and the final responsibility for the decision as to whether or not to proceed with an offence that has been charged rests with the CPS. When deciding whether a case should be prosecuted, the police and Crown Prosecutors consider the alternatives to prosecution, i.e. out-of-court disposals, in appropriate circumstances. These include: For adults (aged 18+), a:  Cannabis warning;  Simple caution;  Conditional caution;  Penalty Notice for Disorder;  Fixed Penalty Notice (for driving offences); For young people (aged 10–17 years), a:  Reprimand;  Final warning;  Penalty notice for disorder; More information on crime, detection, court procedures and sentencing can be found at the following link: www.direct.gov.uk/en/CrimeJusticeAndTheLaw/index.htm ## Out Of Court Disposals Penalty Notices for Disorder (PND) Penalty Notices for Disorder (PND's) were introduced in s1-11 of the Criminal Justice and Police Act 2001. Their aim was to provide the police with a quick and effective means of dealing with low-level, nuisance behaviour and are available for a specified range of offences including being drunk and disorderly in a public place, retail theft under £100, behaviour likely to cause fear, alarm or distress, and cannabis possession. The majority of offences included in the scheme are summary offences where the most likely court outcome would be a fine. The scheme enables the police to issue penalty notices on the spot, in a police station, or at a suitable location such as a suspect's house. PND's can offer a quick and proportionate alternative to prosecution, which helps to reduce the burden on the courts. The police have less paperwork to complete, allowing them to spend more time on frontline duties and tackling serious crime. PND's provide an efficient means for the police to tackle minor offences which may not previously have warranted the resources required for prosecution. Under the scheme the police may issue a person who has committed a specified penalty offence with a fixed £50 or £80 penalty. The recipient then has 21 days (the Suspended Enforcement Period - SEP) in which to pay the penalty amount in full or request a court hearing. If the penalty is paid they discharge all liability to conviction of the penalty offence and there is no criminal record. If a court hearing is requested the process defaults to a standard prosecution. If no action is taken within the SEP then a fine of one and a half times the penalty amount is automatically registered (without the need for a court case) against the recipient. The fine will be enforced in the same way as any other fine by the courts. The scheme is based on the long standing Fixed Penalty Notice scheme for road traffic offences. PND's are issued to individuals and there is no requirement for an admission of guilt nor is a conviction recorded against the recipient. PND's are issued to individuals who are suspected of committing specified penalty offences. The offences are divided into lower and higher tiers which attract penalties of £50 and £80 respectively: Offences which attract an £80 penalty:  Wasting police time or giving a false report;  Using a public telecommunications system for sending false messages;  Knowingly giving a false alarm to a fire brigade;  Causing harassment, alarm or distress;  Throwing fireworks in a thoroughfare;  Drunk and disorderly;  Selling alcohol to person under 18;  Selling alcohol to a person who is drunk;  Supplying alcohol to a person under 18;  Purchasing alcohol for person under 18 in licensed premises;  Purchasing alcohol for person under 18 for consumption in a bar in licensed premises;  Delivering alcohol to person under 18 or allowing such delivery;  Destroying/damaging property (under £500);  Theft (retail under £200);  Breach of fireworks curfew;  Possessing Category 4 firework;  Possessing adult firework by person under 18;  Possessing cannabis (from 26th January 2009). Offences which attract a £50 penalty;  Trespassing on a railway;  Throwing stones etc. at trains or other things on railways;  Being drunk in a highway, other public place or licensed premises;  Consuming alcohol in designated public place;  Depositing and leaving litter;  Consuming alcohol by person under 18 in licensed premises;  Allowing consumption of alcohol by person under 18 in licensed premises;  Purchase of alcohol by a person under 18. A new PND for the offence of possession of cannabis was introduced in 2009. Revised statutory guidance on PND's published in July 2009 limited the use of PND's for cannabis possession to offenders aged 18 and over. Since this time a number of forces issued PND's for possession of cannabis to under 18's. Forces have been made aware that PND's are restricted to adults and are reviewing the situation. PND payment Once a PND has been issued the recipient has the SEP in which to either pay the penalty amount in full or request a court hearing. No admission of guilt is required and by paying the penalty the recipient discharges all liability to conviction of the offence. PND's contested at court As an alternative to paying the penalty amount in full, recipients of PND's can request a court hearing. Just one per cent of penalty notices have been contested at court in each year since PND's were rolled out in England and Wales in 2004. This figure is consistent across all age groups and offences. Fine registration If a recipient fails to pay the penalty amount or request a court hearing within the SEP, a fine of one and half times the penalty amount is registered against the recipient by the courts, for enforcement action. Cautions A caution can be administered when there is sufficient evidence to provide a realistic prospect of a conviction and it is not considered to be in the public interest to institute criminal proceedings. Additionally, the offender must admit guilt and consent to a caution in order for one to be given. Cautions are intended for low level, often first time, offending. There are two types of cautions, simple cautions and conditional cautions. Simple Cautions A 'simple caution' is used to deal quickly and simply with those who commit less serious crimes. It aims to divert offenders away from court, and to reduce the likelihood that they will offend again. If you are given a simple caution you will be officially warned about the unacceptability of your behaviour, that the simple caution forms part of your criminal record and may be disclosed, and the likely consequences of committing further crimes will be explained to you. Young people, aged 10-17, cannot get simple cautions but are instead given similar reprimands and warnings which can also involve interventions to prevent further offending. Simple cautions are currently available for all offences. The decision to offer a simple caution is made by the police except in indictable only offences where the decision must be made by a Crown Prosecutor. Conditional Cautions A 'conditional caution' is a caution with conditions attached. Examples of conditions might be:  Rehabilitation - conditions that help to change the behaviour of the offender, reduce the likelihood of re-offending or help to reintegrate the offender into society such as an alcohol treatment programme;  Reparation - conditions that aim to repair the damage done by the offender such as an apology to the victim or to physically repair any damage caused. In January 2010 punitive financial penalty conditions and a youth conditional caution for 16 and 17 year olds were piloted in five police force areas. An offender has to admit the offence and agree to accept the caution and the conditions. If the conditions are not complied with the offender may be prosecuted for the original offence. Currently conditional cautions are only available for summary (non-motoring) offences and a few either way offences such as criminal damage and theft. Conditional cautions are available for adults aged 18 or over and in some areas for young people aged 16-17. The decision to administer a conditional caution is currently made by the Crown Prosecution Service. Like simple cautions, conditional cautions aim to keep lower level offenders from overburdening the court system. They also address the needs of both victims and offenders by dealing with the offender's behaviour quickly, and allowing action to be taken to rehabilitate the offender or to repair the damage caused by the offence. Court Proceedings If an out of court disposal is not deemed to be appropriate the next step is for court proceedings to be initiated. Charging - The Criminal Justice Act 2003 requires that the decision to charge a person in all but the most minor or routine offences is now undertaken by the Crown Prosecution Service (CPS). The police remain responsible for responding to allegations that a person has committed a crime, deciding whether an investigation is required and subsequently conducting the investigation. The police can still charge both summary only and either way offences if there is an anticipation of a guilty plea and the likely sentence would be handed down in a magistrates' court. Under the charging arrangements, the Director of Public Prosecutions' Guidance requires that charging decisions are made - by the police or CPS - in accordance with the Code for Crown Prosecutors following a review of the evidence. The guidance for prosecutors can be found at the following link: www.cps.gov.uk/publications/directors_guidance/dpp_guidance_4.html Prosecutors are responsible for making charging decisions in the most serious cases, ensuring pre-charge decisions are timely, and identifying cases appropriate for out of court disposals prior to charge. In police charged cases these are made prior to the first hearing. These arrangements allow for strong cases to be built from the start and cases where there is not enough evidence to bring a prosecution are sifted out as quickly as possible. Once an accused person is charged, the law requires that they are brought before a magistrates' court as soon as possible. There are three main methods of ensuring the defendant attends court:  they have been held in custody by the police to appear as soon as practicable;  they may have been released on bail to attend court;  they have been summoned to appear in court. Generally, an arrest warrant may only be issued where  the offence is triable only on indictment or is punishable with imprisonment; or  the address of the accused is not sufficiently established for a summons to be served. No branch of the government or the judiciary can direct a police officer or the CPS to bring criminal proceedings (or not to do so) in a particular case - this includes Ministers of the Crown. The CPS will continue to review cases after a Charging Decision has been made and throughout the court process in accordance with the Code for Crown Prosecutors. If as part of this on-going review, the CPS considers there is no longer sufficient evidence for a realistic prospect of conviction or that prosecution is no longer in the public interest, it may discontinue the proceedings at any time before the start of the trial or committal. Court jurisdiction Magistrates' courts: Virtually all criminal cases start in magistrates' courts and 95 per cent of cases finish there. As well as hearing criminal cases magistrates deal with family matters. Cases in magistrates' courts are usually heard by a panel of three magistrates (Justices of the Peace) supported by a legally qualified Court Clerk. There are also around 130 district judges. They are experienced barristers or solicitors who sit alone and deal with more complex or sensitive cases. Magistrates cannot normally order sentences of imprisonment that exceed six months (or 12 months for consecutive sentences), or fines exceeding £5,000. In cases that are triable-either-way (in either magistrates' courts or the Crown Court) the offender may be committed by the magistrates to the Crown Court for sentencing if a more severe sentence is thought necessary. The Crown Court: The Crown Court deals with more serious criminal cases such as murder, rape or robbery, some of which are on appeal or referred from magistrates' courts. Trials are heard by a Judge and a 12 person jury. Members of the public are selected for jury service or may have to go to court as witnesses. The Crown Court is based at 77 centres across England and Wales. It deals with cases transferred from magistrates' courts. It also hears appeals against decisions of magistrates' courts, and deals with cases sent for sentence from magistrates' courts. Penalty levels vary depending on the court trying the offence. Proceedings involving young persons Young people aged between 10 and 17 are mainly dealt with in the youth courts by specially trained magistrates. In youth courts, no person is allowed to be present unless authorised by the court, except for the members and officers of the court, parties to the case (normally including parents/guardians), their legal representatives, witnesses and bona fide representatives of the media. Proceedings may be reported in the press but the young person may not generally be identified. A child or young person is generally tried in the youth court unless any of the below apply:  He or she is charged with homicide (such as murder or manslaughter), when they must be sent to the Crown Court for trial;  He or she is aged 10 and over and under 18 and is charged with a 'grave crime' (an offence for which an adult could be imprisoned for at least 14 years), indecent assault or dangerous driving. These cases may be sent to the Crown Court if magistrates decide that if convicted, the appropriate sentence would be more than they have the power to give;  He or she is charged jointly with another person aged 18 or over, when both should be dealt with in the Crown Court. Remand decisions The police, magistrates and Crown Court may make different remand decisions at each point in the proceedings. The police can release an arrested suspect on bail while they make further inquiries. This means that the suspect is released from custody on condition that they return to the police station on a specified date. The police can also give bail to a defendant who has been charged with an offence. In this situation the defendant is given bail on condition that they appear at a magistrates' court on a specified date. A magistrates' court may: adjourn a hearing without remand; commit a defendant to the Crown Court for trial or sentence; or remand the defendant either in custody or on bail. There is a statutory right to bail, but this may be denied in specific circumstances, namely where the court has substantial grounds for believing that if a defendant were remanded on bail, he or she would fail to surrender to custody, commit an offence while on bail, interfere with witnesses, or otherwise obstruct the course of justice. The prosecution may, in certain circumstances, appeal to a Crown Court Judge against the decision by a magistrates' court to grant bail. The appeal must be made within 48 hours. Those charged with, or convicted of, homicide or rape where the defendant has a previous conviction for any of those offences are only granted bail if there are exceptional circumstances which justify it. A magistrates' court has the power to remand a defendant in custody for up to eight days in the first instance but thereafter may remand him/her for up to 28 days, provided that the defendant is present in court and has previously been remanded in custody for the same offence. The court is not bound to act as recommended by either the defence or the prosecution, or on the historic past recommendations of another court. It must decide, on each occasion, whether the defendant presents such a bail risk as to warrant custody. The court may decide to grant bail, but only under certain conditions and, should these conditions be broken, the defendant would be liable to immediate arrest. The court has to make a risk assessment, balancing the risk which releasing the defendant on bail may pose to the public or the administration of justice, against the consideration that it is a serious step to remand in custody. Failure to Appear (FTA) warrants Failure to Appear (FTA) warrants are issued by courts when defendants do not turn up at court on a specified date having either been summonsed or granted bail at an earlier stage of proceedings. Police forces then attempt to execute these warrants. The number of such warrants received and executed by each police force in England and Wales is reported to the Ministry of Justice. These include the following types of FTA warrants:  FTA warrants arising from cases in response to a charge under section 6 of the Bail Act (warrants issued under Section 7 Bail Act 1976).  FTA warrants arising from cases in response to summons (warrants issued under Section 13 Magistrates' Courts Act 1980).  FTA warrants arising from non-appearance at a Crown Court ('bench warrant').  FTA warrants resulting from breach hearings (but only where warrants are issued on the sworn information of the court, under Section 7 Bail Act 1976 or Section 13 Magistrates' Courts Act 1980).  FTA warrants arising from cases in response to first instance warrants (warrants issued under Section 1 Magistrates' Courts Act 1980, but only where the warrant relates to a case where proceedings have been commenced at court). For the purpose of these statistics, the following definitions are used:  Executed warrants are be those warrants that have resulted in successful execution (either through an arrest or the serving of a bail notice in the case of backed-for-bail warrants), and will include those executed when an individual wanted on multiple warrants is arrested. When a defendant surrenders, the warrant should also be counted in the "executed" category. Domestically-held warrants that are executed by 'chance' by other forces (not exported) should count as executed domestically.  Withdrawn warrants will therefore count all of those warrants withdrawn by the court as a result of applications by the CPS and police based on audits or new intelligence. They should also include those issued in error and withdrawn immediately (according to judicial process).  Outstanding are those that have been issued by the local area but have not been executed or withdrawn, including those that will rely on out of area executions. Warrants count as outstanding from the moment they are received from the courts, until the time they are either executed or withdrawn, and regardless of whether or not they are within their target timescales for timely execution. Category A, B and C Warrants Categorisation of a warrant is the process that determines the executing agency and the timescales that it should be executed in. Generally, Category A warrants relate to the most serious offence. Some of the additional factors to be considered are the risk to the public and the intelligence value. The following offences should be categorised as 'A':  Treason;  Murder;  Manslaughter;  Rape;  Other serious sexual assault;  Kidnapping;  An offence under section 3, 50(2), 68(2) or170 of the Customs and excise Management Act 1979;  Cause explosion likely to endanger life or property;  Possession of firearms with intent to injure;  Use of firearm / imitation firearm to resist arrest;  Carrying firearms with criminal intent;  Hostage taking;  Hijacking;  Torture;  Cause death by dangerous driving;  Cause death by careless driving under influence of drink / drugs;  Offences under the Aviation and Maritime Security Act 1990;  Offences under the Channel Tunnel Security Order 1994;  Protection of Children Act 1978 - indecent photographs of children;  Publication of obscene matter;  Offences under Sexual Offences Act 2003;  Production, Supply and Possession for supply of controlled drugs;  Offences under the Criminal Justice International Co-operation Act 1990;  Terrorism offences. Any conspiracy to commit, attempt, aid, abet, counsel or procure any of the above should be included as 'serious offences'. Other offences may also be classed as serious if their consequences are as per the following list. Such cases will be rare and it is possible that the individual grading the warrant will not have this information. If this information is not clearly known to the person grading the warrant then the warrant would be graded B or C as appropriate.  Serious harm to the security of the state or public order  Serious interference with the administration of justice or investigation of an offence  The death or serious injury of a person  Substantial financial gain or loss to a person As an example, a traffic offence that would otherwise have been minor and classed as a category C should be graded as an A where the consequences have led to the death or serious injury of a person. Enforcement Officers (EOs) (Police, Police Civilian EOs, Court Civilian EOs) should execute the warrant as soon as practicable but should as an absolute minimum make every effort to execute in the timescales below: Category A - within 14 total days. Category B - within 21 total days. Category C - within 28 total days. ## Conviction and sentencing The section below details the main purposes of sentencing and describes some of the major disposals presented in this publication, the web addresses shown below from the Crown Prosecution Service give more detail of sentencing practice and the available orders. www.cps.gov.uk/legal/s_to_u/sentencing_-_general_principles/ www.cps.gov.uk/legal/s_to_u/sentencing_manual/ When an offender is convicted, in either a magistrates' or the Crown Court, the court can either pass sentence immediately or if further information is required they may adjourn to a later date. The Criminal Justice Act 2003 set out the five main purposes of sentencing for adults:  The punishment of offenders;  The reduction of crime (including its reduction by deterrence);  The reform and rehabilitation of offenders;  The protection of the public;  The making of reparation of offenders to persons affected by their offences. While courts are obliged to have regard to these principles, sentence will generally be determined according to seriousness of the offence. Seriousness is made up of the harm caused by the offence and the culpability of the offender in committing it. There is also a statutory aggravating which provides that recent and relevant previous convictions make an offence more serious. There are thresholds of penalty based on seriousness:  Offences that are **so serious** that neither a fine alone nor a community sentence can be justified;  Offences that are **serious enough** to warrant a community sentence. If neither of these thresholds is reached then a fine or a discharge will be appropriate. ## Disposals Given In Court Immediate Custody Adults Aged Over 21 Will Be Sentenced To Imprisonment, Adults Aged 18–20 Will Be Sentenced To Detention In A Young Offenders Institution. Maximum Penalties Are Specified For All Offences According To The Seriousness Of The Offence. Generally, The Maximum Custodial Penalties Are Set At One Of The Following Levels:  1 Month;  3 months;  6 months;  12 months;  2 years;  5 years;  7 years;  10 years;  14 years;  life. One of the characteristics of the criminal law in England and Wales is that offences are defined very broadly. Hence sentences imposed tend to cluster much lower than the maxima. Short sentences - Under 12 months Those sentenced to **under 12 months** (made under the Criminal Justice Act 1991) spend the first half of their sentence in prison and are then released and considered '**at risk**' for the remaining period. This means they are under no positive obligations and do not report to the probation service but, if they commit a further imprisonable offence during the at risk period, they can be made to serve the remainder of the sentence in addition to the punishment for the new offence. The exception to this is those aged 18–20 who have a minimum of three months' supervision on release. Sentences of 12 months or over The Criminal Justice Act 2003 created a distinction between **standard determinate sentences** and **public protection sentences**. Offenders sentenced to a **standard determinate sentence** serve the first half in prison and the second half in the community on **licence** and subject to conditions. Offenders convicted of a sexual or violent offence may be sentenced to a public protection sentence. In such cases, the court has to determine whether the offender is dangerous to the extent that there is a significant risk to the public of serious harm through the commission by him or her of a further sexual or violent offence. If the court does consider that to be the case, it may impose a public protection sentence. There are two such sentences: Imprisonment or detention for public protection (IPP - sections 225 and 226 of the Criminal Justice Act 2003) - where the maximum for the offence is ten years or more and where a life sentence is not available or appropriate. An IPP is an indeterminate sentence; an offender will serve the tariff (minimum term) as set by the judge and then is eligible to be released if considered safe by the Parole Board. The only significant distinction between life and IPP is that, whereas life sentences last for the whole of the offender's life, the Parole Board can bring an IPP licence to an end after a minimum of 10 years in the community following release. Extended sentence (EPP - section 227 of the 2003 Act) - where the maximum for the offence is less than 10 years. An extended sentence comprises the normal determinate custodial period plus an extended period on licence. The offender may be released at any time between the half way point and the end of the normal custodial period and is on licence until the end of the extension period. The **Criminal Justice and Immigration Act 2008** changed the provisions so as to give judges more discretion over the use of public protection sentences; they were to be restricted to offences for which two years real time is justified; and for release from an extended sentence to be automatically at the half way point of the custodial period with licence extending from then until the end of the extension period. These changes apply to cases sentenced on or after 14 July 2008. Licence For the duration of the licence, an offender is obliged to comply with the terms of that licence. These may include requirements to report to the probation service, restrictions as to where he may live and what work he may undertake, and requirements to attend programmes. If an offender breaches his licence he is liable to be recalled to prison, potentially until the end of his sentence. Life Sentence The main types of life sentence and the respective age related variants are as follows: Mandatory Life Sentences  Imprisonment for Life - this is the only sentence that can be imposed on anyone over the age of 21 who is convicted of murder.  Detention during Her Majesty's Pleasure - this is the mandatory sentence for a person convicted of murder who was aged 10 or over but under 18 at the time of the offence.  Custody for Life - this is the mandatory sentence for a person aged 18 or over but under 21 at the time of the offence who is convicted of murder and sentenced while under 21. Discretionary Life Sentences  Imprisonment for Life - this is the maximum sentence for those over 21 convicted of certain serious offences, e.g. manslaughter, attempted murder, rape, armed robbery, arson etc.  Detention for Life - this is the maximum sentence for a person aged 10 or over but under 18, who is convicted of offences other than murder for which a discretionary life sentence may be passed on a person over 21.  Custody for Life - this sentence may also be imposed where a person aged 18 or over but under 21 at the time of the offence is convicted of any other offence for which a discretionary life sentence may be passed on an adult. Under any life sentence the court determines the minimum term to be served in custody before the offender can be considered for release by the Parole Board. If and when the offender is released he or she remains on licence, and subject to recall to custody, for the rest of their lives. Mandatory minimum custodial sentences The Powers of Criminal Courts (Sentencing) Act 2000 introduced mandatory minimum sentences of:  Seven years for a third Class A drug trafficking offence committed after 30 September 1997.  Three years for a third domestic burglary committed after 30 November 1999.  An automatic life sentence for a second serious offence committed after 30 September 1997. This section has subsequently been replaced from 4 April 2005 by indeterminate sentences for public protection. The Criminal Justice Act 2003 also introduced a mandatory minimum sentence of five years (three years in the case of those aged 16 or 17) for certain offences under section 5 of the Firearms Act 1968. Suspended sentence orders These sentences were introduced under the Criminal Justice Act 2003 and are available for offences committed on or after 4 April 2005. They enable a court which passes a custodial sentence of 12 months or less to suspend that sentence for a period of between six months and two years while ordering the offender to undertake certain requirements in the community (drawn from the same list as those available for the community order). If the offender breaches the requirements there is a presumption that the custodial sentence will be given effect. Community Sentences Since the implementation of the Criminal Justice Act 2003, there has been a single community order that can comprise up to 12 requirements depending on the offence and the offender. These are:  Unpaid work (formerly community service/community punishment) - a requirement to complete between 40 and 300 hours' unpaid work;  Activity - e.g. to attend basic skills classes;  Programme - there are several designed to reduce the prospects of reoffending;  Prohibited activity - requirement not to do something that is likely to lead to further offender or nuisance;  Curfew - electronically monitored;  Exclusion - not much used as no reliable electronic monitoring yet available;  Residence - requirement to reside only where approved by probation officer;  Mental health treatment (requires offender's consent);  Drug rehabilitation (requires offender's consent);  Alcohol treatment (requires offender's consent);  Supervision - meetings with probation officer to address needs/offending behaviour;  Attendance centre - three hours of activity, usually on Saturday afternoons, between a minimum of 12 hours and a maximum of 36 in total. Typically, the more serious the offence and the more extensive the offender's needs, the more requirements there will be. Most orders will comprise one or two requirements but there are packages of several available where required. The court tailors the order as appropriate and is guided by the probation service through a presentence report. Fines Fines are available to punish all offenders (other than where mandatory minimum sentences apply, such as for murder). In general, the maximum fine that can be imposed by magistrates' courts is defined in terms of level. There are five levels, currently set as follows:  Level 1 £200  Level 2 £500  Level 3 £1,000  Level 4 £2,500  Level 5 £5,000 In practice, fine levels are generally much less than the maximum as courts must take account of offenders' means when deciding on the amount to impose. The Crown Court may fine an unlimited amount. Discharges A court may discharge a person either absolutely or conditionally where the court takes the view that it is not necessary to impose punishment. An absolute discharge requires nothing from the offender and imposes no restrictions on future conduct. The majority of discharges are conditional discharges where the offender remains liable to punishment for the offence if he is convicted of a further offence within whatever period the court specifies (but not more than three years). Compensation In cases involving death, injury, loss or damage, the courts are required to consider making a compensation order, and to give reasons where no such order is made. A compensation order can also be made in addition to any other sentence or order, or can be the only sentence imposed for a particular offence. Magistrates' courts can order compensation up to a maximum of £5,000 per offence, but there is no such limit in the Crown Court. However, courts are required to have regard to the means of the offender when deciding whether to make a compensation order and when deciding on its amount. When the defendant makes payments against financial penalties, compensation orders are paid off before fines. Further sentences and orders Other punishments are used to a lesser extent. These include binding over orders, confiscation orders, exclusion orders and disqualification from driving. When a defendant stands convicted before the Crown Court of a drug trafficking offence, the Court is required to determine whether he has benefited from drug trafficking at any time, and if so, to make a confiscation order. The amount to be recovered is what the court assesses to be the value of the defendant's proceeds from drug trafficking, or that which can be realised. The courts have general power to penalise a defendant by making an order for the forfeiture of property associated with the offence. Sentences specifically for juveniles Sentencing for juveniles is bound by the provisions of the Crime and Disorder Act 1998 and the Children and Young Persons Act 1933. The Acts set out two main purposes of youth sentencing:  Every court in dealing with a child or young person who is brought before it, either as an offender or otherwise, shall have regard to the welfare of the child or young person and shall in a proper case take steps for removing him from undesirable surroundings, and for securing that proper provision is made for his education and training.  It shall be the principal aim of the youth justice system to prevent offending by children and young persons. Custodial sentences The custodial sentences available for juveniles are:  Detention and Training Order: Detention and Training Orders (DTO's: sections 100–107 of PCC(S)A 2000) were introduced from 1 April 2000 to replace the sentences of Detention in a YOI for 15–17 year olds and the Secure Training Order for 12–14 year olds. A DTO may be given for a term of 4, 6, 8, 10, 12, 18 or 24 months, of which usually half is served in detention and the remainder in the community under supervision.  Section 91 Powers of Criminal Courts (Sentencing) Act 2000: Section 91 Powers of Criminal Courts (Sentencing) Act 2000 (PCC(S) A 2000) restated the power (originally in section 53(2) of the Children and Young Persons Act 1933) to detain juveniles who commit certain serious offences (mostly those with a statutory maximum of 14 years imprisonment or more in the case of an adult) for a period equivalent to the maximum for which an adult committing the same offence could be imprisoned.  Section 90 Powers of Criminal Courts (Sentencing) Act 2000: A juvenile offender convicted of murder will be sentenced to Detention during Her Majesty's Pleasure, the provisions of which are found in S.90 of the Powers of Criminal Courts (Sentencing) Act 2000. Offences committed prior to August 2000 would have been sentenced under S. 53(1) (2) Children and Young Persons Act 1933.  Detention for Life: This is the maximum sentence for a person aged 10 or over but under 18, who is convicted of offences other than murder for which a discretionary life sentence may be passed on a person over 21. Community sentences Community sentences for juveniles are supervised by Youth Offending Teams (YOTs) and comprise different orders than are available for adults. The community order is not available for juveniles and a reform of juvenile sentencing means all the orders listed below, with the exception of the Reparation Order and the Referral Order, have been replaced by the Youth Rehabilitation Order for offences committed from 30 November 2009. Community sentences available prior to 30 November 2009:  Action Plan Order is a three month programme available for 10–17 year olds and comprises a short intensive community based programme which may include reparation and attendance centre sessions.  Attendance Centre Orders are available for 10–17 year olds and are run by police with offenders attending on Saturdays for between four and 24 hours. The sessions; usually two hours long, involve physical exercise and group work.  Curfew Orders with electronic monitoring: Available for 10–17 year olds and for up to three months. The court can order an offender to comply with a curfew backed up with electronic monitoring. The tagged curfews can help to break patterns of offending by keeping offenders off the street and out of trouble at times they are most likely to offend.  Supervision Order: Available for 10–17 year olds and can last from six months up to three years. The offender is supervised by a member of the YOT. A range of conditions can be attached for more serious offences; these can include drug treatment, residence requirements, curfews, and additional activities specified by the YOT (normally reparation, offending behaviour, group work or anger management).  Community Punishment and Rehabilitation Order: Available for offenders aged 16+ and the order can last from 12 months up to three years. The order requires an offender to be under supervision and to perform unpaid work for not less than 40 and no more than 100 hours.  Community Punishment Order: Available for offenders aged 16+ and for between 40 and 240 hours. Involves undertaking unpaid work in the community, typically work such as carpentry workshops, conservation, decorating or caring tasks.  Community Rehabilitation Order: Available for offenders aged 16+ and lasts between six months and three years. It is the juvenile equivalent of supervision by the probation service and is only available for 'mature' 16 and 17 year olds. It can also come with conditions attached such as residence requirements. Current community sentences:  Referral Order: Is given to 10–17 year olds pleading guilty for a first offence only where the court deems a custodial sentence is not warranted. They are required to attend a youth offender panel, which is made up of two volunteers from the local community and panel adviser from a YOT. The panel, with the young person, their parents/carers and the victim (where appropriate), agree a contract lasting between three and 12 months. The aim of the contract is to repair the harm caused by the offence and address the causes of the offending behaviour. The conviction is 'spent' once the contract has been successfully completed. This means that in most circumstances the offence will not have to be disclosed by the young person when applying for work.  Reparation Order: Available for 10–17 year olds convicted of an offence it must comprise a maximum of 24 hours and must be completed within three months of the date the order is passed. The views of the victim must be sought before a reparation order can be made. If the victim is not prepared to have any further contact with the offender then reparation can be made to the community at large. Reparation cannot consist of financial reparation; courts have other means to enforce financial reparation if they believe it to be suitable.  Youth Rehabilitation Order (YRO): has replaced most of the previously available community sentences with a 'menu' of requirements that can be tailored to suit the individual risks and needs of an offender. In this respect it is similar to the community order available for adults. The YRO can be made for up to three years. The following requirements can be attached to a YRO:  Activity Requirement  Curfew Requirement  Exclusion Requirement  Local Authority Residence Requirement  Education Requirement  Mental Health Treatment Requirement  Unpaid Work Requirement (16/17 years)  Drug Testing Requirement  Intoxicating Substance Treatment Requirement  Supervision Requirement  Electronic Monitoring Requirement  Prohibited Activity Requirement  Drug Treatment Requirement  Residence Requirement  Programme Requirement  Attendance Centre Requirement  Intensive Supervision and Surveillance (based on the current ISSP)  Intensive Fostering. ## Legislation Coming Into Effect In The Reporting Period The legislation described below relates mainly to legislation that came into force in the period from January 2000 to the end of 2010. It is only a short summary of the sections that may have affected the published statistics. The following web site has details of all legislation that has come into force in the intervening period. www.legislation.gov.uk/ The coverage of the sentencing statistics in this volume may have been affected by the following legislation, which has altered the modes of trial, sentencing framework or significantly altered the range of offences:  Powers of Criminal Courts (Sentencing) Act 2000  Criminal Justice and Police Act 2001  Proceeds of Crime Act 2002  Criminal Justice Act 2003  Sexual Offences Act 2003  Fraud Act 2006  Criminal Justice and Immigration Act 2008  Coroners and Justice Act 2009  Legal Aid, Sentencing and Punishment of Offenders Act 2012 The **Powers of Criminal Court (Sentencing) Act 2000** consolidated legislation on sentencing and the treatment of offenders that was previously contained within twelve other Acts. It was divided into the following parts:  Part I Powers exercisable before sentence: covering deferment of sentence, committal to the Crown Court for sentence, powers to remit young offenders to youth courts for sentence and the power for magistrates' to adjourn sentencing to enable a medical exam.  Part II Absolute and Conditional Discharge: giving the power for a court to discharge an offender absolutely or conditionally in cases where the penalty is not fixed by law or imposed under section 109(2), 110(2) or 111(2) of this act. Conditional discharges require an offender not to commit another offence within a period no greater than three years, if breached the original court is to sentence for the original offence as if he had just been convicted before that court.  Part III Mandatory and discretionary referral of young offenders: establishing referral orders (see Appendix 1) where offenders aged under 18 who have pleaded guilty to an offence can be referred to a youth offender panel.  Part IV Community orders and reparation orders: establishing curfew orders, action plan orders and general provisions for community sentences, most of this section was subsequently repealed by the Criminal Justice Act 2003.  Part V Custodial sentences etc.: consolidated legislation establishing six months as the maximum term for which magistrates' can sentence to custody, also introduced the custodial sentence with extended licence period for specified violent or sexual offences.  Chapter II of part V contained many provisions regarding the detention and custody of offenders under 21 years of age. Sections 90–91 still apply to offenders aged under 18 convicted of serious offences such as murder or rape and specify the periods of detention that can or should be imposed.  Section 100 consolidated legislation in the Crime and Disorder Act which introduced Detention and Training Orders (DTO's) for offenders aged under 18 convicted of an offence which would be punishable by imprisonment for an offender aged over 21. A DTO is for a set period of 4, 6, 8, 10, 12, 18 or 24 months with half the sentence to be served in secure accommodation and the remaining period to be served in the community but with supervision by a local social work department or Youth offending team.  Sections 109–111 consolidated legislation on mandatory minimum terms for: offenders convicted of a second serious offence in which case the minimum term is life imprisonment, a third class A drug trafficking offence in which case the court should impose a custodial sentence of seven years or a third domestic burglary in which case a custodial sentence of three years should be imposed. Section 109 relating to life imprisonment has since been replaced by the provisions contained within the Criminal Justice Act 2003 for IPP sentences.  Section 118 contained some provisions on the imposition of suspended sentences which have since been replaced by the Suspended Sentence Order. The **Criminal Justice and Police Act 2001** introduced on the spot fixed penalties for a range of offences including retail theft under £100, behaviour likely to cause fear of harassment, alarm or distress and being drunk and disorderly in a public place. The Act allows local councils to create areas in which drinking could be restricted and the power to confiscate alcohol in these areas. It also introduced a new offence of protesting in an intimidating manner, as well as making kerb crawling, 'hit and run' accidents, and importing obscene material arrestable offences. It also gave new powers to magistrates to remand children aged between 12 and 16 into custody when charged with offences such as theft and criminal damage. The **Proceeds of Crime Act 2002** consolidated drug trafficking and criminal justice legislation on the confiscation of convicted defendants' earnings. Confiscation orders can only be made in the Crown Court and the powers of magistrates to make a confiscation order were also abolished by this Act. The Act made the power to confiscate mandatory and the Crown Court must instigate confiscation proceedings if requested by the prosecutor. Confiscation hearings are conducted according to the civil standard of proof, i.e. on the balance of probabilities. In some cases the court is empowered to assume that the defendants assets and earnings from the six years prior to conviction have been derived from criminal conduct and to make an order accordingly, the court is further required to make this assumption following a conviction for drug trafficking. The **Criminal Justice Act 2003** brought in means to involve the Crown Prosecution Service in charging decisions and to reform the system for allocating cases to court. It introduced a new presumption against bail in certain circumstances where an offence has been committed while on bail or for defendants charged with an imprisonable offence. The Act aimed to ensure that criminal trials are run more efficiently and to ensure a reduction in abuse of the system: Rules on evidence were changed to allow the use of previous convictions where relevant, and to allow the use of reported (hearsay) evidence where there is good reason why the original source cannot be present, or where the judge otherwise considers it would be appropriate, with effect from 4 April 2005. A right of appeal for the prosecution against judicial decisions to direct or order an acquittal before the jury has been asked to consider the evidence. This will be introduced to balance the defendant's right of appeal against both conviction and sentence (not yet in force). The Act provides a sentencing framework that is clearer and more flexible than before:  The purposes of sentencing of adults are identified in statute for the first time, as punishment, crime reduction, reform and rehabilitation, public protection and reparation.  The principles of sentencing are set out, including that any previous convictions, where they are recent and relevant, should be regarded as an aggravating factor, which will increase the severity of the sentence, with effect from 4 April 2005.  Through the implementation of section 167 of the act, a new Sentencing Guidelines Council was established on 27 February 2004. This Council and the Sentencing Advisory Panel worked together to ensure that sentencing guidelines are produced which encourage consistency in sentencing throughout the courts of England and Wales and support sentencers in their decision making (the Sentencing Guidelines Council has since been superseded by the Sentencing Council - see Coroners and Justice Act 2009).  Sentence lengths of 12 months or over are served in full, with half in custody, half in the community and with supervision extended to the end of the sentence rather than the ¾ point as previously, with effect from 4 April 2005. It brought in changes to the sentences available to the courts:  The various kinds of community orders for adults were replaced by a single community order with a range of possible requirements, commenced 4 April 2005.  Serious violent and sexual offenders attracted new sentences, to ensure that they are kept in prison or under supervision for longer periods than previously, with effect from 4 April 2005.  An increase in sentence length for any offence where it is aggravated by hostility towards the victim on the basis of disability, sexual orientation, race or religion, with effect from 4 April 2005.  Some new short custodial sentences were introduced. These include custody plus, intermittent custody and a reformed suspended sentence in which offenders have to complete a range of requirements imposed by the court. Intermittent custody was piloted from January 2004 to November 2006, but not implemented, and the new suspended sentence was commenced from 4 April 2005. Custody plus has not been implemented. The Act also addressed a number of other areas:  It contains a number of provisions on drug related offending, extending to those aged 14 and above, the provisions to test persons in police detention and at other points in the criminal justice system for specified Class A drugs. It also reclassified Cannabis as a class C drug, introduced on 1 August 2004. This decision was subsequently reversed and cannabis was re-classified as a class B drug from 26 January 2009.  It established a five year mandatory minimum custodial sentence (three years for 16-17 year olds) for unauthorised possession of a prohibited firearm, with effect from 22 January 2004.  It increased the maximum penalty for causing death by dangerous driving from 10 to 14 years, with effect from 27 February 2004.  In relation to juveniles, the Act extended the use of parenting orders by making them available at an earlier stage and introduced individual support orders, requiring young people with anti-social behaviour orders to undertake educationrelated activities, introduced on 27 February 2004.  In relation to fines it introduced the financial circumstances order which compelled offenders to inform the court of their financial circumstances so that the court can impose a fine that both reflects the seriousness of the offence and the ability of pay of the offender. The **Sexual Offences Act 2003** was brought in from May 2004 and repealed virtually all of the previous legislation relating to sexual offences. It included the following main offences, with effect from 1 May 2004:  Rape and the evidential and conclusive presumptions about consent regarding adults, covering an individual's ability to make a choice or where violence or threats of violence take place.  Assault by penetration, committing an offence, causing a person to engage in sexual activity without consent.  Rape and other offences against children under 13, where the offence is committed intentionally.  Child sex offences, including causing or inciting a child to engage in sexual activity making it constitute an offence regardless of whether the activity incited actually takes place.  Causing a child to watch a sexual act and child sex offences committed by children or young persons.  Re-enacting and amending abuse of position of trust under sections 3 and 4 of the Sexual Offences (Amendment) Act 2000.  Familial child sex offences, including intension and incitement of the offence.  Offences against persons with a mental disorder.  Indecent photographs of children redefining a 'child' for the purposes of the Protection of Children Act 1978, as a person under 18 years of age.  Abuse of children through prostitution and pornography, covering under 18s and under 13s.  Exploitation of prostitution including trafficking of a person into or out of the UK for sexual exploitation.  Preparatory offences and sex with an adult relative. The act also defined the interpretation of the terms 'sexual' and 'consent'. The Act also introduced new civil preventative orders:  Notification orders: This is an order which can be made, on application by a chief officer of police, in respect of individuals who have been convicted, cautioned etc. abroad for sexual offences equivalent to the sexual offences listed in Schedule 3 of the 2003 Act. The effect of the order is to make such offenders subject to the notification requirements of Part 2 of the 2003 Act as if they had been convicted, cautioned etc. in the UK of a relevant offence, with effect from 1 May 2004.  Sexual offences prevention orders (SOPOs): This order replaced both the sex offender order and the restraining order. Therefore, a SOPO can be made on application by a chief officer of police in respect of a convicted sex offender or by a court at conviction. The SOPO is also an improvement on the existing orders. A conditional discharge cannot be received as punishment for breach of a SOPO, with effect 1 May 2004.  Foreign travel orders: This order enables the courts, in certain circumstances and on application by a chief officer of police, to prohibit those convicted of sexual offences against children aged under 16 from travelling overseas where there is evidence that they intend to cause serious sexual harm to children in a foreign country, with effect 1 May 2004.  Risk of sexual harm orders (RSHOs): This order, similar to the SOPO, aims to restrict the activities of those involved in grooming children for sexual activity. A previous conviction, caution etc. for a sexual offence is not a prerequisite in applying for a RSHO, with effect 1 May 2004. None of the provisions in the Act applied retrospectively. The **Fraud Act 2006** commenced from 15 January 2007 and summarised fraud into three categories:  Fraud by false representation;  Fraud by failing to disclose information;  Fraud by abuse of position. It also created new offences for:  Obtaining Services Dishonestly;  Possessing, making or supplying articles for use in Fraud;  Sole traders, who are now subject to fraudulent trading charges. The aim of the Act was to criminalise the intent of a fraudulent act rather than the act itself; this will allow the Act to respond to technological advances which may alter the means by which a fraudulent act can be committed. The **Criminal Justice and Immigration Act 2008** commenced from November 2008 and was a wide ranging Act which aimed to make further provisions about the criminal justice system; dealing with offenders; the management of offenders; and to amend the Repatriation of Prisoners Act 1984. It created or amended a number of offences, including:  A new offence of inciting hatred on the grounds of sexual orientation;  A ban on the possession of extreme pornographic images;  Clarification of the law on self-defence;  New civil penalties for serious breaches of data protection principles and made unlawfully obtaining personal data an offence punishable by up to two years in prison;  Abolished the common law offence of blasphemy and blasphemous libel. It also made changes to sentencing, including:  The creation of Violent Offender Orders (VOOs): Civil preventative orders that allow courts to impose post-sentence restrictions on those convicted of violent offences.  The clarification of sentencing procedures for young offenders.  The creation of the youth conditional caution and the Youth Rehabilitation Order (YRO) a generic community sentence similar to the adult community order in which a 'menu' of requirements is chosen from to create a bespoke order specific to an offender and their offending behaviour. The YRO came into effect on 30 November 2009.  Amended provisions in the Criminal Justice Act 2003 so as to give judges more discretion over the use of public protection sentences; for the use of public protection sentences to be restricted to offences for which two years real time in prison is justified or where the offender has previously been convicted of a specified offence (listed in Schedule 15A to the 2003 Act); and for release from an extended sentence to be automatic at the half way point of the custodial period with licence extending then until the end of the extension period. These changes apply to cases sentenced on or after 14 July 2008. The **Coroners and Justice Act 2009** introduced several new offences:  Offences relating to encouraging or assisting suicide  Possession of prohibited images of children. It also made changes to:  Retrospective application of genocide, crimes against humanity and war crimes  Persons suffering from diminished responsibility, partial defence: loss of control relating to murder  Driving disqualifications for those also sentence to immediate custody  Added certain terrorist offence to the list for which Indeterminate sentences for public protection are available. The Act introduced provisions for anonymity in certain investigations and for certain witness. It also established the Sentencing Council to replace the Sentencing Guidelines Council. The **Legal Aid, Sentencing and Punishment of Offenders Act 2012** received Royal Assent on 1 May 2012. The Act introduces a wide range of reforms to the justice system as well as delivering structural reforms to the administration of legal aid. Explanation of sections of the act which commenced at the point of Royal Assent and will have a potential impact on the data can be found at the link below:  www.justice.gov.uk/downloads/legislation/bills-acts/legal-aidsentencing/laspo-sections-commenced-on-assent.pdf ## Glossary Absolute discharge: When the court decides someone is guilty, but decides not to punish them further at this time, they will be given a 'discharge'. Discharges are given for minor offences. An 'absolute discharge' means that no more action will be taken. Average custodial sentence length (ACSL): Average length of determinate custodial sentences given in months. This excludes indeterminate sentences (life or Imprisonment for Public Protection sentences) as the length of these sentences is not recorded. Example of calculation of average custodial sentence length (ACSL): Offenders in four cases are sentenced to immediate custody and the sentence lengths handed down are: 6 months, 1 year, 18 months and a life sentence. The calculation of ACSL excludes the life sentence as this is an indeterminate sentence and it is not known how long the offenders will serve in custody. The mean is calculated on the remaining 3 sentences implying the ACSL for these offences is: (6+12+18)/3 = 12 months Community sentence: When a court imposes a community sentence, the offender doesn't go to prison. But the court says there are specific things the offender can, can't and must do while serving their sentence. The magistrate or judge will decide which combination of these 'requirements' will most effectively punish the offender for their crime, while also reducing the risk of them offending again. Conditional discharge: When the court decides someone is guilty, but decides not to punish them further at this time, they will be given a 'discharge'. Discharges are given for minor offences. A 'conditional discharge' means that the offender won't be punished unless they commit another offence within a set period of time (no longer than three years). Conviction ratio: The conviction ratio is defined as the ratio of convictions to prosecutions for a principal offence over one year. As trials can span more than one year, offenders found guilty in a reporting year are not always the same defendants who were prosecuted in that year. Crime: is an action or an instance of negligence that is deemed injurious to the public welfare or morals or to the interests of the state and that is legally prohibited. An incident is counted as a crime if reported to the authorities and following investigation is confirmed as a "crime" and recorded as such. Disposal: The end result of a trial at court. In this publication the disposals of interest are sentences, but other disposals are possible, for example where there is no finding of guilt and the defendant is acquitted. Downgrading: A crime recorded by the police that results in a conviction for a lesser offence than initially recorded. For example, following investigation a crime is recorded "Wounding with intent to cause grievous bodily harm" and charged as such but during the court process more evidence comes to light which means that prosecutors believe the more appropriate charge is for a less serious offence of "Actual bodily harm". Fine: Fines are the most common criminal sentence, given to punish an offender financially. They're usually given for less serious crimes that don't merit a community or prison sentence. They limit the amount of money offenders have to spend. How much someone is fined depends on how serious a crime is, and the offender's ability to pay. First time entrants: The basic concept of a first time entrant to the Criminal Justice System is an individual who receives their first criminal sanction following a criminal act. Formally disposed offending: An offence is said to be formally disposed of if an offender receives a conviction at court or an out-of-court disposal for the offence. Immediate custody: Prison sentences are given when an offence is so serious that it is the only suitable punishment. A prison sentence will also be given when the court believes the public must be protected from the offender. There are three different types of prison sentence: suspended sentences, determinate sentences (those having a fixed term) and indeterminate sentences (which have only a minimum term and include life sentences). Mean and median: The average fine has been defined as both the median fine amount and the arithmetic mean. The median fine amount is used as occasional large fines (>£1,000,000) handed down to companies or other organisations can have a misleading impact when using the mean to represent average fine amounts. In this situation the median (the middle number in a sorted list of numbers) is more informative about the true mid-point of the data than a simple (mean) average. ## Example Illustrating The Difference Between The Mean And The Median Measure Defendants in 13 cases were sentenced to the following fine amounts: £5, £5, £10, £10, £10, £10, £20, £20, £20, £20, £50, £50, £2,000. Calculating the average (mean) and mid-point (median) values from this list will produce very different results: The mean is calculated by taking the sum of all values and then dividing by the number of values. In this example the mean fine amount is £171.54. The median however looks for the value which lies in the middle of the set of numbers when those numbers are placed in ascending or descending order. In this instance the middle value is £20 (the 7th value in the list). Therefore in this example the median value of £20 is more representative of the average fine value issued compared to the mean value of £171.54. Notifiable offence: The term 'notifiable' covers offences that are notified to the Home Office, and they are collectively known as 'recorded crime'. Notifiable offences include all indictable and triable-either-way offences (excluding section 6 of the Bail Act 1976), together with certain closely associated summary offences. Police recorded crime statistics cover notifiable offences. Otherwise dealt with: includes a number of orders, for example hospital orders, confiscation orders and compensation orders. Primary/Principal offence: Where more than one offence is considered in a court case or cautioning occasion, the offence that would/did attract the most severe sentencing outcome is deemed to be the Principal offence and other offences also dealt with in that case would be ignored. If two offences in the same case attract the same sentence the offence with the statutory maximum sentence is deemed the 'Principal offence'. Proven offending: An individual is considered as a proven offender if they receive one of the following sanctions:  Simple caution  Caution  Final warning,  Reprimand  Conditional caution  Penalty Notice for Disorder  Cannabis Warning  Prosecution resulting in conviction Proven Offending Rate (or disposal rate): This is an offence based measure as it measures the number of offences where someone is proven to have committed that offence: There are two ways of measuring this:  All offence category: A comparison of crimes to outcome for any offence e.g. the number of murders recorded compare to a conviction for any offence.  Within offence category: A comparison of crimes to outcome for the same offence category, e.g. the number of murders recorded compared to a conviction for murder. Recordable offence: Recordable offences are those that the police are required to record on the Police National Computer. They include all offences for which a custodial sentence can be given plus a range of other offences defined as recordable in legislation. They exclude a range of less serious summary offences, for example television licence evasion, driving without insurance, speeding and vehicle tax offences. Triable only on indictment: These offences are the most serious breaches of the criminal law and must be tried at the Crown Court before a judge and jury. These 'indictable-only' offences include murder, manslaughter, rape and robbery. Triable-either-way: These offences may be tried either at the Crown Court or at a magistrates' court. These offences include criminal damage where the value is £5,000 or greater, theft, burglary and drink driving. Triable only on indictment and triable either way are frequently amalgamated to form indictable offences. Summary offences: These offences are usually heard only by a magistrates' court. This group is dominated by motoring offences, for some of which fixed penalties can be issued, but also includes such offences as common assault and criminal damage up to £5,000. Suspended sentence: A court may give an offender a 'suspended' prison sentence if the time they would otherwise spend in prison is under 12 months. With a suspended sentence, the offender doesn't go directly to prison but they do have to meet conditions in the community, set by the court. These conditions can last for up to two years. If the offender breaks these conditions, or commits another offence, they will usually have to serve the original sentence in prison. Victims: individuals who are subject to an incident punishable under criminal law. Witnesses: individuals or groups of people who observe an incident punishable under criminal law. A victim may also be a witness. Victims and witnesses can report an incident which following investigation can become a crime. Reporting of an incident by either group will depend on their participation in the event and their perception of the seriousness of the event. If a victim does not report an incident, but a witness does, the police will still investigate and record as a crime if appropriate. ## Directory Of Related Internet Websites On The Criminal Justice System The following list of web sites contains information in the form of publications and/or statistics relating to the criminal justice system that may be of interest. Justice, www.justice.gov.uk/. This site provides information on the organisations within the justice system, reports and data, and guidance:  Details of Ministry of Justice Statistical and Research publications, most of which can be viewed on-line, can be found at: www.justice.gov.uk/publications/statistics-and-data/index.htm For historic publications, see the links to 'earlier volumes in the series' (on Home Office site) on individual publication pages.  Information on the bodies within the justice system, such as HM Prison Service, the Youth Justice Board and HM Courts & Tribunals Service can be found at: www.justice.gov.uk/about/index.htm The Crown Prosecution Service, www.cps.gov.uk Gives information on the department and provides particulars in relation to legal guidance/victims and witnesses, in addition to details of publications. The Attorney General's Office, www.attorneygeneral.gov.uk Provides information on the role of the department including new releases; updates; reports; reviews and links to other law officer's departments and organisations. The Welsh Assembly Government, www.wales.gov.uk Gives information on all aspects of the Welsh Assembly together with details of publications and statistics. The Scottish Government, www.scotland.gov.uk Gives information on all aspects of the Scottish Executive together with details of publications and statistics. Criminal Justice System Northern Ireland, www.nidirect.gov.uk/justice Provides access to the main statutory agencies and organisations that make up the CJS together with details of publications. UK National Statistics Publication Hub, www.statistics.gov.uk This is the UK's home of official statistics, reflecting Britain's economy, population and society at national and local level. There are links to the Office for National Statistics and the UK Statistics Authority. The Sentencing Council, sentencingcouncil.judiciary.gov.uk/ The Sentencing Council is an independent, non-departmental public body of the Ministry of Justice and replaces the Sentencing Guidelines Council and the Sentencing Advisory Panel. The site contains information on: sentencing guidelines; general information on sentencing; and research and analysis undertaken by the Sentencing Council.

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## 1Stst Purpose of Meeting Permanent Secretary Month of Meeting Name of External Organisation October PWC Introduction meeting October Taxpayer Taxation issues October Mapeley Board to Board October Director Flame TV Programme on HMRC October Taxpayer Taxation issues October Taxpayer Taxation issues October James Eadie QC Taxpayer Confidentiality October BASDA Mobile bookkeeping app October Taxpayer Taxation issues November Cap Gemini IT matters November Taxpayer Taxation issues November Taxpayer Taxation issues November Cap Gemini IT issues November Taxpayer Taxation issues November Taxpayer Taxation issues November Alexis Lautenberg Former Swiss Ambassador in London November Taxpayer Taxation issues December PWC Taxation issues December Multiple tax agents Agents Steering Group December Taxpayer Taxation issues December Taxpayer Taxation issues December Karen Smith NAO feedback interview Does not normally include meetings with Government bodies such as other Government Departments and Agencies, non-departmental public

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# Proven Reoffending Statistics Quarterly Bulletin, October 2015 To December 2015 ## Main Points This bulletin provides key statistics on Proven Reoffending for adult and juvenile offenders who were released from custody, received a non-custodial conviction at court, or received a caution in the period **October to December 2015**. This is the first publication of proven reoffending statistics based on the new methodology, as announced in 'Response to consultation on changes to proven reoffending statistics' in April 2016 and previous publications. The main changes to the methodology are:  Changing to a three month cohort instead of the previous 12 month cohort. The publication reports on offenders who are released from custody, received a non-custodial conviction at court, or received a caution within a three month period, for all measures of reoffending, including for juveniles.  Production of **adjusted reoffending rates** for adults (alongside the raw rates), using the Offender Group Reconviction Scale (OGRS4/G) to take account of the influence that differences in offender mix can have on the binary reoffending rates.  A change from **calendar year to financial year for annual figures**. Annual figures are formed by taking a weighted average of the four preceding 3 month offender cohorts. Figures for the 2015/16 financial year will be published in January 2018. In addition **the data source** used to compile the statistics has changed from October 2015 following probation services reforms. For more information on the impact of these changes please see 'How the measure of proven reoffending has changed and the effect of these changes'. This bulletin, associated tables and data tools present the proportion of offenders who reoffend (proven reoffending rate) and the number of proven reoffences by offender history, demographics, individual prisons, probation area, local authorities and youth offending teams. For technical details and more information on how the measurement of proven reoffending has changed please refer to the accompanying guide to proven reoffending statistics. This bulletin also contains the number of Serious Further offences (Annex A). For any feedback related to the content of this publication, please let us know at Statistics.enquiries@justice.gsi.gov.uk ## How Is Proven Reoffending Measured? An offender enters the cohort if they are released from custody, received a non-custodial conviction at court or received a reprimand or warning in a three month period: October 2015 to December 2015. It is important to note that this is not comparable to previous proven reoffending publications which reported on a 12 month cohort. A proven reoffence is defined as any offence committed in a one year follow-up period that leads to a court conviction, caution, reprimand or warning in the one year follow-up or within a further six month waiting period to allow the offence to be proven in court as shown in the diagram below. The change from 12 month offender cohorts to 3 month offender cohorts' results in a greater proportion of prolific offenders and therefore an increase in the reoffending rate of around 4-5 percentage points for both adults and juveniles. The change in data source in October 2015 also introduces potential variability. Therefore users should be cautious when making any comparison between the October to December 2015 cohort and earlier cohorts. For further details on this, and how proven reoffending is measured, please see the guide to proven reoffending statistics and 'How the measure of proven reoffending has changed and the effect of these changes'. ## 1. Overall - Adult And Juvenile Offenders 29.6% Of Offenders In The October To December 2015 Cohort Reoffended Within A Year In October to December 2015 around 130,000 adult and juvenile offenders were cautioned1, received a non-custodial conviction at court or released from custody. Around 39,000 of these offenders committed a proven re-offence within a year. This gives an overall proven reoffending rate of 29.6%. Over time the overall proven reoffending rate has fluctuated around 29% to 32%. Around 148,000 proven reoffences were committed over the one year follow-up period, with those that reoffended committing, on average, 3.83 reoffences each. The average number of reoffences per reoffender has gradually increased since 2009 and is the highest since 2005. In the October to December 2015 cohort, 83% were male and 17% were female, a split that has changed little since 2005. Male offenders reoffended at a higher rate of 30.9% compared to female offenders who reoffended at a rate of 23.4%. Both rates have remained broadly stable since 2005. December and Q4 = January-March. ## 2. Adult Offenders 28.7% Of Adult Offenders In The October To December 2015 Cohort Reoffended Within A Year Adult offenders accounted for 93% (around 121,000) of the October to December 2015 cohort and juvenile offenders accounted for 7% (around 9,000)3. Around 35,000 of all adult offenders were proven to have committed a reoffence within a year, giving a proven reoffending rate of 28.7%. As noted previously there is a change in data source in October 2015 and therefore users should remain cautious when comparing the latest quarter with results from previous quarters. However, the adult reoffending rate has remained broadly flat since 2005 fluctuating between 28% and 31%. Around 132,000 proven reoffences were committed by adults over the one year follow-up period. Those that reoffended committed on average 3.82 reoffences each. Generally, offenders with a large number of previous offences have a higher rate of proven reoffending than those with fewer previous offences. In the cohort, the proven reoffending rates for adults ranged from 7.3% for offenders with no previous offences to 50.0% for offenders with 11 or more previous offences. Adult offenders with 11 or more previous offences made up 38% of all adult offenders in the cohort, but committed over 75% of all adult proven reoffences. ## 3. Adjusted Reoffending Rates When Controlling For Offender Characteristics 28.4% Of Adult Offenders In The October To December 2015 Cohort Reoffended Within A Year For the first time adjusted proven reoffending rates for adults are published, using the Offender Group Reconviction Scale (OGRS4/G). OGRS4 is based on a wellestablished, peer reviewed methodology for assessing and representing reoffending risk4. The raw rates have been adjusted to the 2011 calendar year, in line with the Payment by Result statistics. Between 2005 and 2011 the average OGRS score increased, but since 2011 it has remained broadly flat. This indicates that between 2005 and 2011 the cohort had an increasing propensity to reoffend, but since 2011 this has since levelled off. As a result the raw reoffending rate for adults are adjusted upwards between 2005 and 2011 reflecting the cohort having a greater propensity to reoffend. Since 2011 the raw rates and the adjusted rates have tracked each other more closely. For example, the raw reoffending rate for adults for the October to December 2015 period was 28.7%, but the adjusted rate was 28.4%. This suggests that while raw reoffending rates have remained broadly flat since 2005 the adjusted rates have shown a decreasing trend to reflect the greater propensity to reoffend of cohorts over this time. ## 4. Juvenile Offenders5 41.8% Of Juvenile Offenders In The October To December 2015 Cohort Reoffended Within One Year Around 9,000 juvenile offenders were cautioned, convicted or released from custody in the October to December 2015 cohort and around 4,000 of them committed a reoffence. This gives a proven reoffending rate of 41.8%. ## Since 2005, the reoffending rate has increased by around 3-4 percentage points, but the size of the cohort has fallen by around 80% over the same period. Around 15,000 proven reoffences were committed by juveniles over the one year follow-up period. Those that reoffended committed on average 3.88 reoffences each, the highest rate since 2005. Juvenile offenders with 11 or more previous offences had a higher reoffending rate than those with no previous offences –77.1% compared to 24.1%. Offenders aged 10 to 14 had the highest reoffending rate of any age group, with a reoffending rate of 42.3%. However, the number of offenders in this age group has fallen by around 85% since 2005. The reoffending rate for this age group overtook offenders aged 15 to 17 in 2013/14, who previously had a consistently higher reoffending rate but are now second highest. Figure 4 shows that the proven reoffending rate generally falls with increasing age. ## 5. Index Disposal6 - Adults Adults released from custody or starting court orders had a proven reoffending rate of 38.1% The index disposal of the offender is the type of sentence the offender received for their index offence. For Proven Reoffending Statistics this is defined as custody, court order, or other disposal resulting from a conviction at court, such as a fine or discharge, or caution. For adult offenders starting a court order (Community sentence or Suspended Sentence Order) the proven reoffending rate was 33.9%. The rate for this group has declined since 2005 by around 3-5 percentage points. The proven reoffending rate for adult offenders released from custody was 49.2%. The effect of changing data source in October 2015 is concentrated among offenders discharged from custody, particularly among the less than 12 months custodial sentence length group. This might be connected to the introduction of statutory supervision for this group and further investigation is ongoing. The rate for those released from short sentences has been consistently higher compared to those released from longer sentences. Adults who served sentences of less than 12 months reoffended at a rate of 65.5%, compared to 29.9% for those who served determinate sentences of 12 months or more. The trend for adults released from custodial sentences of 12 months or more has been decreasing since 2010. ## 6. Index Disposal - Juveniles ## Juvenile Offenders Given Youth Caution Had A Proven Reoffending Rate Of 30.4% The reoffending rate for juvenile offenders given a youth caution was 30.4%. This has remained broadly flat since 2013, but has increased by around 3-4 percentage points since 2005. Reprimands and warnings for youths were abolished under Legal Aid Sentencing and Punishment of Offenders Act 2012 with effect from 8 April 2013 and replaced with youth cautions. Youth cautions are a formal out-of-court disposal that can be used as an alternative to prosecution for juvenile offenders in certain circumstances. A Youth Caution may be given for any offence where the young offender admits an offence, there is sufficient evidence for a realistic prospect of conviction but it is not in the public interest to prosecute. Between October and December 2015, 231 juvenile offenders were released from custody and 150 of these (64.9%) were proven to have committed a reoffence within a year. This represents a fall of approximately 9-11 percentage points since 2005. ## 7. Index Offences In The October To December 2015 Cohort, Adult Offenders With An Index Offence Of 'Theft' Had The Highest Reoffending Rate At 50.8% The offence that leads to an offender being included in the offender cohort is called the index offence. In the October to December 2015 cohort, adult offenders with an index offence of 'Theft' had the highest proven reoffending rate of 50.8%. The second highest reoffending rate for adult offenders was for those with an index offence of 'Public Order' with a rate of 36.2%. With the exception of index offences recorded as 'Other', those with the lowest rate of reoffending in the adult cohort had an index offence of 'Fraud' - reoffending at a rate of 11.4%. Additionally, the 'Fraud' index offence category saw the largest decrease and those with an index offence of 'Violence against the Person' saw the biggest increase since 2005. In the juvenile cohort those with an index offence of 'Miscellaneous Crimes Against Society' had the highest proven reoffending rate at 54.2%, closely followed by those with an index offence of 'Public Order' at 50.0%. Those with the lowest rate had a 'Sexual' index offence and reoffended at a rate of 11.5%. ## 8. Annex A: Serious Further Offences This section provides management information on the total number of Serious Further Offences (SFOs) as collected from the SFO Review Process. This is an update to the information that was published in the annual proven reoffending publication, which was published on 27 October 2016 and covered the period 2014/15. Since 1 December 2008, an SFO review will be triggered when an offender is charged with an offence listed in Schedule 15a to the Criminal Justice Act 2003, alleged to have been committed within the probation supervision period or within 28 working days of the supervision period terminating. Mandatory SFO reviews are triggered in the following circumstances:  any eligible offender who has been charged with one of the most serious SFOs - murder, manslaughter, other offence causing death, rape, assault by penetration or a sexual offence against a child under 13 years (including attempted offences); and,  any eligible offender who has been charged with another offence on the SFO list and is or has been assessed as high/very high risk of serious harm during their current supervision period or has not been subject to a risk assessment during that period. A review may be carried out on a discretionary basis in the following circumstances:  Any eligible offender who has been charged with an offence, irrespective of whether that offence is a qualifying offence, and the National Offender Management Service (NOMS) and the supervising probation provider have identified public-interest reasons for conducting a review. Users should refer to the '2012 Compendium of Reoffending Statistics and Analysis' for further definitions of the terms used in this notice, and for commentary to help interpret these. Care must be taken when interpreting the figures in 2015/16, as a number of cases where offenders have been charged with a qualifying SFO have not concluded their course through the judicial system. The table in this statistical notice provides the numbers of SFO notifications under the Probation SFO Review Process which resulted in a conviction for a serious further offence between 2010/11 and 2015/16. The table reflects the number of offenders who received an SFO notification up to 2015/16 and who were subsequently convicted of an SFO, up to 15 September 2017. Some offenders are eventually convicted of offences lesser than the offences with which they were charged and which triggered the SFO notification. | | | | | |------------------------------------------|---------------------------------|-------------------------------------|-----------| | Type of Offence | 2010/11 2011/12 2012/13 2013/14 | 2014/15 | 2015/2016 | | 7 | | | | | | | | | | | | | | | Murder | 50 | 67 | 50 | | | | | | | Attempted Murder | 12 | 13 | 16 | | | | | | | Manslaughter | 18 | 15 | 16 | | | | | | | Rape/assault by penetration | 103 | 76 | 90 | | | | | | | Arson with Intent to endanger life | 8 | 8 | 7 | | | | | | | Kidnapping/Abduction/False imprisonment | 2 | 14 | 16 | | | | | | | Attempted Kidnapping/Abduction | 0 | 0 | 0 | | | | | | | Other serious sexual or violent offences | | | | | 8 | | | | | | 67 | 60 | 74 | | | | | | | All SFO convictions | 260 | 253 | 269 | | | | Offences which did not meet the SFO | | | criteria | | | | | 9 | | | | | | 66 | 55 | 65 | | | | | | | All Convictions | 326 | 308 | 334 | | | | | | | | | | | ## Further Information Accompanying Files As well as this bulletin, the following products are published as part of this release:  A technical guide to proven reoffending statistics providing information on how proven reoffending is measured, and the data sources used.  A set of overview tables, covering each section of this bulletin.  A number of data tools which provide proven reoffending data by demographics, offender history, individual prisons (available from January 2005 - September 2015) and probation area and geography. ## The Impact Of Community-Based Drug And Alcohol Treatment On Re-Offending This experimental statistical report contains initial findings from a project that has linked data from the National Drug Treatment Monitoring System (NDTMS) held by Public Health England (PHE) with data on offenders held by the Ministry of Justice (MoJ). The aim of this report is to improve the evidence base of the links between communitybased treatment for substance misuse and changes in reoffending. This report contains initial findings from analysing the final matched dataset to support policy development and is intended to demonstrate the potential utility in linking treatment and offending data. This is joint publication from Public Health England (PHE) and the Ministry of Justice (MoJ). ## National Statistics Status National Statistics status means that official statistics meet the highest standards of trustworthiness, quality and public value. All official statistics should comply with all aspects of the Code of Practice for Official Statistics. They are awarded National Statistics status following an assessment by the Authority's regulatory arm. The Authority considers whether the statistics meet the highest standards of Code compliance, including the value they add to public decisions and debate. It is the Ministry of Justice's responsibility to maintain compliance with the standards expected for National Statistics. If we become concerned about whether these statistics are still meeting the appropriate standards, we will discuss any concerns with the Authority promptly. National Statistics status can be removed at any point when the highest standards are not maintained, and reinstated when standards are restored. ## Contact Press enquiries should be directed to the Ministry of Justice press office: Tel: 020 3334 3536 Email: newsdesk@justice.gsi.gov.uk Other enquiries about these statistics should be directed to the Justice Statistics Analytical Services division of the Ministry of Justice: Nick Mavron, Head of Prison, Probation, Reoffending and PbR Statistics Ministry of Justice, 7th Floor, 102 Petty France, London, SW1H 9AJ Email: Statistics.enquiries@justice.gsi.gov.uk ## Next Update: January 2018 URL: www.gov.uk/government/collections/proven-reoffending-statistics ## © Crown Copyright Produced By The Ministry Of Justice Alternative formats are available on request from statistics.enquiries@justice.gsi.gov.uk

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| | Organisation Name | Expression of Interest Start | Contract Reference Number | |-----------------------------------------------------------------------|-------------------------------------|---------------------------------|------------------------------| | Tender Title | Description of goods | | | | Service within the council | Contract Start Date | Contract End Date | Review Date | | Rochdale Metropolitan Borough Council | 09/07/2018 DN351109 | | | | Boiler Servicing within various | 391111 - Repair & Maintenance | | | | Rochdale - neighbourhoods | 26/07/2018 | 30/06/2020 | 30/03/2020 | | | | | | | | | | | | Rochdale Metropolitan Borough Council | 31/07/2018 DN356737 | | | | Rochdale Town Hall Development | 100000 - Building Construction | | | | Rochdale - Resources | 31/07/2018 | 20/08/2018 | 20/06/2018 | | | | | | | | | | | | Rochdale Metropolitan Borough Council | 21/08/2018 DN361108 | | | | Weather Forecast Services | 182100 - Weather Forecasts | | | | Rochdale - Neighbourhoods | 01/10/2018 | 30/04/2021 | 30/01/2021 | | 270000 - Information Communication Rochdale - Neighbourhoods | | | | | | | | | | Rochdale Metropolitan Borough Council | 28/08/2018 DN362160 | | | | Peripherals and Ad-Hoc IT Equipment Technology | | | | | 01/10/2018 | 30/09/2021 | 30/06/2021 | | | | | | | | Rochdale Metropolitan Borough Council | 03/09/2018 DN363129 | | | | Adverse Childhood Experiences Needs 151515 - Not Elsewhere Classified | | | | | Rochdale - Childrens | 01/10/2018 | 31/01/2019 | 31/10/2018 | | | | | | | Rochdale Metropolitan Borough Council | 03/09/2018 DN363118 | | | | MARKET EVENT: Social Transport | 360000 - Public Transport, 401504 - | | | | Rochdale - Childrens | 03/09/2018 | 14/09/2018 | 14/07/2018 | | | | | | | Rochdale Metropolitan Borough Council | 14/09/2018 DN365870 | | | | The Provision of Children Rights, | 401501 - Support Services & | | | | Rochdale - Childrens | 01/04/2019 | 31/03/2021 | 31/12/2020 | | Rochdale Metropolitan Borough Council | 14/09/2018 DN365913 | | | | Architectural Lighting | | | | | Rochdale - Neighbourhoods | 25/11/2018 | 31/03/2019 | 31/12/2018 | | | | | | | Rochdale Metropolitan Borough Council | 17/09/2018 DN365459 | | | | Security Manned Guarding at Number 192200 - Security | | | | | Rochdale - Resources | 10/12/2018 | 29/02/2020 | 29/11/2019 | ## 401007 - Voluntary Sector Support | Provision of Voluntary and | Services e.g. Activities, 401001 | |---------------------------------------|-------------------------------------| | Community Sector Infrastructure | Community Based Services, 321100 | | | | | | | | | | | | | | | | | Support Service for the Borough of | Social Community Care Supplies & | | Rochdale Metropolitan Borough Council | 19/09/2018 DN364631 | | Rochdale | Services - Children | | Rochdale - Neighbourhoods | 01/01/2019 |

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Purpose: HMRC Tax Transparency Sector Board Venue: 100 Parliament Street London SW1A 2BQ Date / Time: Monday 25th February 2013 ‐ 2‐4pm Attendees: Apologies: Edward Troup Narmada de Silva Dyfed Alsop Judith Jones Peter Cummings Peter Fanning Professor Paul Boyle HMRC Jonathan Athow ‐ HMRC ‐ Knowledge, Analysis and Intelligence (KAI) Mike Hawkins ‐ HMRC ‐ Knowledge, Analysis and Intelligence (KAI) Cindy Bell – HMRC ‐ Central Policy Adrian Ball‐ HMRC ‐ Security and Information Alec Waterhouse – HMRC ‐ Personal Tax Bill Elmore – HMRC ‐ KAI Data Policy & Co‐ordination Daniele Bega – HMRC ‐ KAI Data Policy & Co‐ordination Ian Parfitt – HMRC ‐ KAI Data Policy & Co‐ordination James Templeton – HMRC ‐ Business Customer and Strategy Executive agencies Colin Yeend ‐ Valuation Office Agency (VOA) Melanie Bond ‐ Valuation Office Agency (VOA) Other Government Departments Ed Parkes ‐ Cabinet Office (CO) Academia Fiona Armstrong ‐ Economic & Social Research Council (ESRC) External representatives Johanna Edwards – Equifax (EQU) Chris Taggart – Opencorporates (OC) Jonathan Shaw ‐ Institute for Fiscal Studies (IFS) Keith Dugmore ‐ Demographics User Group (DUG) Dominique Lazanski ‐ Taxpayers Alliance (TPA) Rory Meakin ‐ Taxpayers Alliance (TPA) Richard Baron ‐ Institute of Directors (IOD) 1. **Welcome and introductions** (Jonathan Athow ‐ HMRC ‐ Knowledge, Analysis and Intelligence) - Jonathan welcomed everyone to the second meeting of the HMRC Tax Transparency Sector Board. - He thanked everyone for taking the time to be part of this board once more. 2. **Action Points** (Ian Parfitt ‐ HMRC ‐ Knowledge, Analysis and Intelligence) - AP1 ‐ 17.12.13 To be discussed at item 6 on the agenda - AP2 ‐ 17.12.13 Closed: Chris Taggart had accepted invitation to Transparency Sector Board in addition to Public Sector Transparency Board and was present at meeting. - AP3 ‐ 17.12.13 The British Retail Consortium (BRC) had declined to attend previously, due to a change of Director General but Ian will ask again. Ian will invite the Confederation of British Industry (CBI) to the May event. - AP4 ‐ 17.12.13 Action point carried forward, as Peter Fanning was not available 3. **Update on HMRC's initiatives** (Daniele Bega ‐ HMRC ‐ Knowledge, Analysis and Intelligence) - Tax Administration Research Centre (TARC) In January 2013, HMRC and HMT established a Tax Administration Research Centre, jointly funded with the Economic and Social Research Council (ESRC). The Centre is led by Professor Gareth Myles from Exeter University, working in partnership with the IFS and a number of UK and International Academic Institutions The aim of the Centre is to support high quality research and related activities on tax administration with a view to strengthening our understanding of the delivery and design of tax operations and policies. The centre represents a new approach to research on tax administration, addressing taxation policy and operational challenges, and is designed to build upon current UK research strengths and complement existing centres of expertise. - Open Data Written Ministerial Statements The Open Data White Paper (June 2012) committed the Cabinet Office to lay before Parliament a quarterly Written Ministerial Statement on progress against the Public Data Principles on behalf of all departments. A self assessment approach is taken for gathering the information from Departments and additionally, allowed departments to highlight areas where there had been innovative or forward thinking. Departments populate a template with published commitments that should have been made publically available before the end of the reporting quarter. Additionally, they will allocate a rating of 'met' or 'not met' based on the date/period of the latest core departmental published data available on data.gov.uk against the date/period of the data that should have been the latest data publically available on data.gov.uk. Report for 2012 Q3 shows HMRC has met all of its commitments, bar one. The exception has been remedied. HMRC will ensure this continues to be closely monitored. Ed Parkes will advise Minister on how/when to publish summary report. - Engagement with Open Data Institute (ODI) In the Open Data Strategy, HMRC has made a commitment to engage with software developers to explore innovative ways for using their information. HMRC are currently holding some discussions with the Open Data Institute to investigate the possibility to take part in one of their programmes of engagement with software developers. From a legal point of view, HMRC are not able to make individual taxpayers data available, but there might be some information that could be released as open data such as: ‐ Tax calendar for tax agents (dates of reminders) ‐ Some UK trade statistics ‐ Transparency stats Opencorporates is involved in the work of the ODI and welcomed HMRC's engagement with this organisation. Chris pointed out that there is a need to define 'taxpayer' information to be able to assess what information can be used in the ODI programmes. Various commercial organizations make 'taxpayer' information available, such as Companies House. Cindy pointed out that any person or legal entity must be protected as HMRC have a duty of confidentiality and will not be able to release information even if it is made available by an external organisation. ## 4. **Data Requests From The Open Data User Group** (Ed Parkes ‐ Cabinet Office (Co)) - Background The Open Data User Group (ODUG) began a call for open data users to request data from Government in October 2012. This is hosted as a request form on Data.gov.uk. Any member of the public is able to put a request in for a dataset they would like to see released as Open Data. Requesters are asked to complete as much information as they have available on the data they are requesting. The request is then published on Data.gov.uk although they also have the ability to make a request confidentially. These requests are initially analysed by the Cabinet Office Transparency Team and those which are identified as being of most value or which are likely to involve negotiations relating to building a more detailed case for release are referred on to the Open Data User Group for consideration. Where cases are seen as being relatively straightforward these are referred by the Transparency Team departmental account manager straight to working level contacts in Departments to investigate whether the data can be released. - Requests for HMRC data There have so far been eight requests received through this process that have been identified as relating to HMRC held data. Those six requests which have been submitted publicly are for: a. CHIEF database(Customs Handling of Import and Export Freight ‐ the computer system for processing customs declarations) b. Anonymised dataset of UK taxpayers c. VOA business listings d. Small area wealth or income data e. Companies Tax Records f. The London Rent Map Raw Data A number of these are being pursued at a working level and one has been raised to the Data Strategy Board. Considerations for the Board The board was asked: a. to give their thoughts on the content of these requests to inform the prioritisation of the work that HMRC is undertaking to understand whether the data can be released; and b. to consider how they would like to remain updated on an ongoing basis in terms of new requests that come in via this process. Board members suggested, and others agreed, that the general presumption should be to publish available information, rather than having the default setting as restricting the majority of data from publication. HMRC commented that it supported release within the existing legislation that governs the department (Commissioners for Revenue and Customs Act) and taking into account HMRC's business needs. It was noted that while Data Protection Act covers information about living natural persons, the Human Rights Act covers information about non‐natural persons and bodies (eg companies, partnerships, trusts). In discussion of CHIEF database, it was observed that not many people are aware of CHIEF and that it is difficult for non‐government people to understand government systems/data. Release of CHIEF data, as for example in US, would help with understanding of Import / Exports, Sourcing and Supply Chains and how these have changed over time. It was observed that import data is already published and sold and that ICO opinion was that the same data protection issues apply whether data are sold or given away. HMRC confirmed that the Department packages and sell companies reports based on their own data, but, due to the legislation, it does not release information on third parties in CHIEF. Trade Info publishes importers' details for free but not exporters' ‐ this derived from EU Legislation which provided an appropriate legal gateway. HMRC undertook to provide more information on the legal gateway used to publish importers data and on the CHIEF reports. (Links below for information) Disclosure of information as to imports : http://www.legislation.gov.uk/ukpga/1988/39/section/8 HMRC on CHIEF : http://customs.hmrc.gov.uk/CHIEF (AP5 25.02.13) To aid general understanding of HMRC data holdings, it was requested that more information be made available on HMRC datasets held and their contents. This might help others to articulate their requirements for HMRC data. HMRC indicated they had tried to address this through a Transparency Data Catalogue, listing the majority of datasets held by the Department, that is available on the HMRC website: http://www.hmrc.gov.uk/transparency/implementation‐plan‐catalogue.xls There was discussion about how to process requests from ODUG efficiently and the need to prioritise what is discussed at Board meetings. Some of the requests presented were very general and it was unclear how best to respond to these. There was general agreement that it would be helpful for Board members to see a listing of ODUG proposals a week before each Board meeting, to give them proper consideration and be prepared for discussion at the Board meeting. Cabinet Office undertook to talk to the Open Data User Group (ODUG) on how to proceed. We need to explain why certain datasets won't be made public and log postings on Data.gov.uk. (AP6 25.02.13) 5. **VAT Register Requests** (James Templeton – HMRC ‐ Business Customer and Strategy) James listed a number of positive reasons for the publication of the VAT Register : - It includes details of business proprietors alongside details of business and when it (de)‐ registered for VAT - Potential improvements in credit scores, especially for VAT‐registered businesses which are unincorporated - Fraud reduction potential - Anti money laundering (must know customer) potential But there is a need to understand fully what the benefits are and to this end, the next stage is to carry out a research project to do just that. This will need to look at and provide a robust assessment of how the data will be used, what change in outcomes will arise and what the scale of benefits might be taking account of any displacement effects. Conversely, there are also complex legal and policy issues to investigate in order to inform advice to the Board and Ministers, include the following: - Taxpayer confidentiality under CRCA - Personal data issues under DPA - Fit with HMRC data strategy given it would be setting a precedent - VAT fraud risks - Different disclosure options (eg full vs redacted) - Should there be a consent option i.e. opting in or out. If this is to go forward, it will also need legislation and to go through parliamentary processes. So, Phase 2 will be to look at viable options and bottom out the legal issues, over the coming months. Board members agreed that clarity on societal benefits was important. Data sharing should also make it easier to spot existing fraud. Other considerations include risks to individuals / directors from publishing individual data, limiting availability to certain organizations and risking enriching them at expense of others etc. 6. **Tax Transparency Sector Board Work Plan** (Daniele Bega ‐ HMRC ‐ Knowledge, Analysis and Intelligence) HMRC has collated the initial list of requests received from Board members at the first meeting of the Tax Transparency Sector Board in December. Daniele Bega asked the group about the best way forward to define a work plan for the sector board. In discussion it was agreed that the key considerations when prioritizing should be the legality, the effectiveness and efficiency of assembling the data and benefits that might arise from the data release. Thought would need to be given to suitable scoring criteria. Equally, it was suggested the descriptions provided in the HMRC list should be sharpened to make the requests more specific requests so that they could be evaluated more thoroughly. On available information, HMRC thought the most promising areas could be small area stats, VOA data and CHIEF. HMRC work plan might focus on these three areas subject to the outcome of an agreed action that everyone would review the list of requests for HMRC and clarify requirements. (AP7 25.02.13) It was noted that it would be helpful for the group to have information on the legal issues for HMRC. HMRC undertook to provide a one page on the legal issues around HMRC Data for next time. (AP8 25.02.13) Mention was made of impending changes to the Data Protection Act that arise from new EU General Data Protection Regulation. This may affect scope/feasibility of proposals the Board considers. There was discussion of an observation that Companies House had proposals to publish data from XBRL submissions. Of particular interest would be to understand the difference between what companies publish in accounts and what they return for tax purposes. HMRC undertook to consult Companies House on the information they plan to publish from XBRL submissions and timing for publication **(AP9 25.02.13)**. 7. Summary and AOB Next meeting : Monday 10th May 2013 (10:30 to 12:30pm) 100 Parliament Street London SW1A 2BQ (Room G16)

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## Covid Alert Levels Steps Of Adjustment To Current Social Distancing Measures We can help control the virus if we all stay alert ## Mobility (Uk) Apple Maps Directions Requests Data 01 March to 16 May 2020 Source: Apple mobility data. Opinions and Lifestyle Survey, Office for National Statistics. Data not available for 11/12 May. Further details on data sources can be found here: https://www.gov.uk/government/collections/slides-and-datasets-toaccompany-coronavirus-press-conferences ## Opinions And Lifestyle Survey 24 April to 3 May 2020 ## Testing And New Cases (Uk) Testing Some people are tested more than once. tests as of 18 May tests in total ## Confirmed Cases Only includes cases tested positive. There are more cases than confirmed here. cases confirmed as of 18 May Source: NHS England and devolved administrations. Further details on data sources can be found here: https://www.gov.uk/government/collections/slides-and-datasetsto-accompany-coronavirus-press-conferences ## Data From Hospitals Source: NHS England and devolved administrations. Further details on data sources can be found here: https://www.gov.uk/government/collections/slides-and-datasetsto-accompany-coronavirus-press-conferences ## People In Hospital With Covid-19 (Uk) 9,408 people are in hospital with COVID-19 in Great Britain, down from 10,762 this time last week. Due to technical difficulties hospitalisation data for 16 May is missing from the Northern Ireland return. Source: NHS England and devolved administrations. Further details on data sources can be found here: https://www.gov.uk/government/collections/slides-anddatasets-to-accompany-coronavirus-press-conferences ## Daily Covid-19 Deaths Confirmed With A Positive Test (Uk) The numbers presented here from the Department for Health and Social Care relate to deaths where COVID-19 was confirmed with a positive test. Weekly registered deaths from the Office for National Statistics include cases where COVID-19 is mentioned on the death certificate but was not confirmed with a test. On 1st May, ONS reported 36,591 cumulative registered deaths from COVID-19. This was 9,082 more than the DHSC figure for the same date. Source: DHSC, sourced from NHSE, PHE, devolved administrations. Further details on data sources can be found here: https://www.gov.uk/government/collections/slides-and-datasets-toaccompany-coronavirus-press-conferences ## Annex: Statistical Notes Mobility Apple directions requests: The insights are drawn from changes from a relative volume of directions requests per country/region or city compared to a baseline volume on January 13th, 2020. Data were not available for the 11/12 May for any location. This data only includes journeys searched for using Apple Maps, and therefore does not include users searching through alternative journey planners. In many countries relative volume has increased since January 13th, consistent with normal, seasonal usage of Apple Maps. Insights are calculated based on data from a subset of users. As with all samples, this may or may not represent the exact behavior of a wider population and the results should be interpreted with caution. Opinion and lifestyle survey: Information on the survey can be found here. Employed adults are those employed or self- employed; doing casual work for payment; or doing unpaid/voluntary work in the previous week. The 2019 estimate of people working from home is taken from the Annual Population Survey, and is not directly comparable to the Opinions and Lifestyle survey estimate. Testing and new cases (UK) Tests: The number of tests includes; (i) tests processed through our labs, and (ii) tests sent to individuals at home or to satellite testing locations. Cases: Cases are reported when lab tests are completed. This may be a few days after initial testing. Chart date corresponds to the date tests were reported as of the 24 hours before 9am that day. Only includes cases tested positive. There are more cases than confirmed here. Data from hospitals Estimated daily admissions with COVID-19 (England): England data captures people admitted to hospital who already had a confirmed COVID-19 status at point of admission, and adds those who tested positive in the previous 24 hours whilst in hospital. Inpatients diagnosed with COVID-19 after admission are assumed to have been admitted on the day prior to their diagnosis. Critical care beds (UK): Different health systems collect this data differently. In England critical care beds count high dependency units / intensive therapy units beds as critical care beds and this includes the surge capacity which has been introduced in recent weeks. In Wales critical care beds are taken to be invasive ventilation beds including new surge capacity. In Scotland critical care beds include ICU beds and additional surge capacity. In Northern Ireland critical care beds includes all ICU beds. People in hospital with COVID-19 (UK) Community hospitals are included in figures for Wales from 23 April onwards. England and Scottish data includes 'confirmed' cases, Northern Ireland and Welsh data includes 'confirmed' and 'suspected' cases. Due to the way Northern Ireland report, the UK figure is calculated by taking the most recent day for Great Britain plus the previous day for Northern Ireland. National data may not be directly comparable as data about COVID-19 patients in hospitals is collected differently across nations. Due to technical difficulties hospitalisation data for 16 May is missing from the Northern Ireland return. Daily COVID-19 deaths confirmed with a positive test (UK) Figures on deaths relate to those who have tested positive for COVID-19. The 7-day rolling average (mean) of daily deaths is plotted on the last day of each seven day period.

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# National Habitat Network Maps # User Guidance V.2 May 2020 Natural England # National Habitat Network Maps ## User Guidance V.2 | Contents | | | | | | Page | |------------------------------------------------|----------------------------------|-----|-----|-----|-----|---------------| | 1 | | | | | | | | | | | | | | | | Introduction | | | | | | | | 2 | | | | | | | | | | | | | | | | Individual Habitat Network Maps | | | | 4 | | | | 3 | | | | | | | | | | | | | | | | Combined Habitat Networks Map | | | | 9 | | | | 4 | | | | | | | | | | | | | | | | Grouped Habitat Networks Maps | | | | 10 | | | | 5 | | | | | | | | | | | | | | | | Woodlands, Open Waters and Coastal Habitats | | | | 11 | | | | 5.1 Woodland Habitats | | | | | 11 | | | 5.2 Lakes and Rivers | | | | | | 12 | | 5.3 Coastal Habitats | | | | | | 15 | | 6 | | | | | | | | | | | | | | | | Relationship to the Nature Network Handbook | | 16 | | | | | | 7 | | | | | | | | | | | | | | | | Further Information/Frequently Asked Questions | | 18 | | | | | | 7.1 Habitat data used | | | | | 18 | | | | | | | | | | | 7.2 Habitat network tool & approach | | | | 21 | | | | | Annex 1 - Additional Information | | | | 28 | | Citation: Cover Photo: ©26429/Natural England/Chris Gomersall, 1990 ## 1. Introduction Making Space for Nature, A review of England's Wildlife Sites and Ecological Network1, published 2010, set out the essence of what needs to be done to enhance the resilience and coherence of England's ecological networks. The report proposed that this could be summarised in four key words: more, bigger, *better* and *joined*. Theresa Villiers (Secretary of State for Environment, Food and Rural Affairs) speech2 on the Environment Bill stated that this will "require the preparation and publication of Local Nature Recovery Strategies mapping nature-rich habitats so that investment can be targeted where it will make the most difference. The Government will provide data, guidance, and support, but these local plans will embrace local knowledge to strengthen links between neighbouring communities and support the wider Network. These provisions will play a crucial role in protecting what we have and restoring nature that is in decline". The Government's 25 Year Environment Plan3 includes provision for a Nature Recovery Network (NRN) and states that it will deliver on the recommendations of the Lawton Report1 and that recovering wildlife will require more habitat; in better condition; in bigger patches that are more closely connected. As well as helping wildlife thrive, the NRN could be designed to bring a wide range of additional benefits: greater public enjoyment; pollination; carbon capture; water quality improvements and flood management. We have produced a series of habitat network maps to help address the challenges outlined in the Lawton report1 and believe they should provide a useful baseline for the development of a NRN as required within the 25 Year Environment Plan and *Local Nature Recovery Strategies* as proposed within the Environment Bill. This guidance provides an outline of the methodology we have used in the development of these habitat network maps and how we have combined these maps to create a combined habitat networks map for England4. ENRR081 'Nature Network Evidence Handbook - Creating Nature Networks for Wildlife & People'5 identifies these habitat network maps as a valuable tool for use in the development of local ecological networks (see Section 5 of this guidance for more information). The habitat network maps are intended to be used to help identify areas for future habitat creation and restoration at a landscape scale but need to be considered alongside other local datasets and knowledge. The maps have been created by the Habitat Networks Mapping Project Team consisting of Jeff Edwards, Michael Knight, Sarah Taylor & Ian Crosher with support and guidance from a range of Natural England Habitat Specialists including; Ruth Hall, Chris Mainstone, Richard Jefferson, Sue Reece, Emma Goldberg, Suzanne Perry, Iain Diack and many others. For further information on the approach and use of the maps please contact either: Jeff Edwards or Michael Knight. The main outputs available are;  23 individual Habitat Network Maps  A combined habitat networks map (23 individual habitat network maps combined).  A series of grouped habitat network maps6 We created these maps to provide a national overview of the distribution of habitat networks with suggestions for future action to enhance biodiversity. We hope that these maps will help to stimulate local engagement with partners and to agree local priorities and identify where action might help build more ecologically resilient ecosystems across landscapes. Although the maps cover the whole of England the information we have used can be interpreted at a local scale. The habitat network maps have been created using a bespoke GIS tool that follows a standard process as outlined in Sections 2 to 4. For some habitats the process has been modified as outlined in Section 5. Further information on the methodology is also provided in Section 7. The current maps are a product of the data input and manipulation parameters used within our tool both of which may be amended to suit specific local situations. As such the maps should not be considered as NE's definitive advice on where an ecological network or NRN should be created or specifically where action needs to take place but we hope that they may act as a guide for local consideration taking full account of local opportunities and constraints. We suggest that the maps are used in conjunction with other datasets and with local knowledge to identify opportunities for action. If more precise local data exists it may be possible to re-run the mapping analysis to incorporate this7. These maps look specifically at habitat creation and restoration in the vicinity of existing habitat and are not designed to reflect the potential for naturally occurring ecosystems across landscapes, particularly in respect of natural hydrology as outline in Section 6 and more detailed explanation of the biodiversity importance of natural ecosystem function can be found in NERR 071 'Generating more integrated biodiversity objectives'. The individual habitat network maps can be viewed individually or in combination with other network maps. However each individual habitat map may have a degree of overlap with other habitat network maps and to overcome the difficulties interpreting multiple maps we have prepared a single map that combines all 23 individual habitat network maps which we feel should help facilitate interpretation and understanding of how the networks operate together (see Section 3). However with such a large number of network maps this combined map may not provide sufficient information to help guide a local project in terms of action to deliver against a specific objective. For this reason we will also be creating a set of grouped habitat network maps (see Section 4). Accessing the Maps  The combined map is available externally on MAGIC and both the combined map and all the individual network maps as GIS files from Here .  Please contact NE data services for any other mapping product. Note: When accessing the GIS files we use 3 letter codes for each habitat, see Annex 1 for more details.  For NE staff the map is available internally on WebMap2. A separate guide for WebMap2 users is available here. ## 2. Individual Habitat Network Maps In this section we provide some details on the different components of the individual networks maps which we hope will help you better understand what the maps are showing and how they can be used. Further information on aspects of the maps may be found within Section 7 of this document. We have prepared an individual habitat network map for each of the following 23 priority habitats: Priority habitats  Upland calcareous grassland  Blanket bog  Lowland calcareous grassland  Limestone pavements  Reedbeds  Coastal sand dunes  Lowland meadows  Coastal vegetated shingle  Upland hay meadows  Maritime cliff and slope  Purple moor grass and rush pasture  Saltmarsh  Lowland dry acid grassland  Lakes  Lowland heathland  Rivers  Upland heathland  Ancient woodland  Upland fens, flushes & swamps  Wood-pasture & parkland  Lowland fens  Traditional orchards (draft map)  Lowland raised bog ## Notes:  We have created a grouped coastal habitat network map for coastal habitats (see section 4 and 5 for more information)  We have not produced a habitat network map for some priority habitats, e.g. coastal floodplain grazing marsh, and the reasons for this are explained in Section 7. ## Mapping Components We Have Developed A Standard Process For Creating The Individual Habitat Network Map Which Include Using The Following 8 Standard Mapping Components As Shown In Figure 1 And Figure 2. The Mapping Components Are Divided Into (A) 'Existing Habitat' And (B) 'Network Enhancement & Expansion' As Outlined Below. A) **Existing Habitat** - We Mapped Existing Habitat Using The Following Four Components: (See Figure 1) 1. **Primary Habitat**: The priority habitat 8which is the focus of the individual habitat network e.g. lowland heathland. 2. **Associated Habitat**: Other priority habitat types that form a mosaic or an ecologically coherent group within the landscape and may, for example, be essential for some species associated with the primary habitat. See Annex 1 for more information. 3. **Habitat Creation/Restoration**: Areas where work is underway to either create or restore the primary habitat. 4. **Restorable Habitat:** Areas of land, predominantly composed of existing semi-natural habitat where the primary habitat is present in a degraded or fragmented form and which are likely to be suitable for restoration. B) **Network Enhancement & Expansion** - We have mapped the following 4 network zones around the habitat components described above (see Figure 2): 5. **Network Enhancement Zone 1:** Land connecting existing patches of primary and associated habitats which is likely to be suitable for creation of the primary habitat. Factors affecting suitability include: proximity to primary habitat, land use (urban/rural), soil type, slope and proximity to coast. Action in this zone to expand and join up existing habitat patches and improve the connections between them can be targeted here. 6. **Network Enhancement Zone 2:** Land connecting existing patches of primary and associated habitats which is less likely to be suitable for creation of the primary habitat. Action in this zone that improves the biodiversity value through land management changes and/or green infrastructure provision can be targeted here. 7. **Fragmentation Action Zone:** Land within Enhancement Zone 1 that connects existing patches of primary and associated habitats which are currently highly fragmented and where fragmentation could be reduced by habitat creation. Action in this zone to address the most fragmented areas of habitat can be targeted here. 8. **Network Expansion Zone:** Land beyond the Network Enhancement Zones with potential for expanding, linking/joining networks across the landscape i.e. conditions such as soils are potentially suitable for habitat creation for the specific habitat in addition to Enhancement Zone 1. Action in this zone to improve connections between existing habitat networks can be targeted here. We have modified our standard process for some habitat network maps and Table 1 below provides a list of which components have been used in each map. More information is given in Sections 5 in relation to the Network Maps for Ancient Woodlands, Wood-pasture & parklands, Lakes and Rivers. | Habitat Components | Mapping Zones | |-----------------------------------|------------------| | Habitats Network Maps | | | Code | | | Zone 1 | Zone 2 | | Habitat | Habitat | | Habitats | | | Network | Network | | Creation / | | | Associated | Restorable | | Habitat Mapping | | | Restoration | | | Action Zone | | | Enhancement | Enhancement | | Fragmentation | | | Expansion Zone | | | Primary Habitat | | | Upland calcareous grassland | | | UCG | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | | Lowland calcareous grassland | | | LCG | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | | Reedbeds | | | RDB | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | | Lowland meadows | | | LMW | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | | Upland hay meadows | | | UHM | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | | Purple moorgrass and rush pasture | | | PMG | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | | Lowland dry acid grassland | | | LAG | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | | Lowland heathland | | | LHL | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | | Upland heathland | | | UHL | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | | Upland fens, flushes & swamps | | | UFS | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | | | | | Lowland fens | | | LFN | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | | Lowland raised bog | | | 4 | | | LRG | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | | Blanket bog | | | 4 | | | | | | BBG | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | | Limestone pavements | | | 4 | | | | | | LSP | | |  | | | | | |  | | | | | | | | |  | | | | | |  | | | | | | | | | Coastal sand dunes | | | CSD | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | | Coastal vegetated shingle | | | CVS | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | | Maritime cliff and slope | | | MCS | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | | | | | Saltmarsh | | | CSM | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | | Lakes | | | 4 | | | | | | LAK | | |  | | | | | |  | | | | | | | | |  | | | | | | | | |  | | | | | | | | | Rivers | | | 4 | | | | | | RIV | | |  | | | | | |  | | | | | | | | |  | | | 1 | | | | | | | | |  | | | | | | | | | Ancient woodland | | | 4 | | | | | | ASNW | | |  | | | | | |  | | | | | |  | | | 2 | | | | | |  | | | | | | | | |  | | | | | |  | | | | | | | | | Wood-pasture & parkland | | | 4 | | | | | | WWP | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | |  | | | | | | Traditional orchards | | | TRO | | |  | | | | | |  | | | | | |  | | | 3 | | | | | |  | | | | | |  | | | | | |  | | | | | | | | = Not included within Map 1 = see Section 2.3 for more information 2 = it is hoped that information on deciduous woodland creation & restoration will be added within the next update to the maps. 3 = AES data for this habitat has not been included but we hope to include this within the next update to the maps 4 See Section 4 for more information The aim of the habitat network maps is to help identify possible locations for actions to improve ecological resilience of the current habitat network in line with Lawton principles 'more, bigger, *better* and joined'. The zones for potential action are illustrated in Figure 2 above and include;  Decreasing habitat fragmentation - we believe that reducing habitat fragmentation is a priority for action within the Enhancement Zone. The Fragmentation Action Zone, as identified on the habitat network maps, should be considered as a priority location for addressing this. We identify these by analysing; a) locations where smaller patches of the primary and associated habitats could be expanded to increase the patch size of the habitat or join up with other areas of habitat, and b) locations where the habitat patch has a large boundary to patch size ratio. By identifying this, we seek to address potential adverse effects from adjoining land - known as the 'edge effect'. In these locations adjoining semi-habitat that is not mapped e.g. scrub or rough grassland, may currently be of ecological benefit and the habitat patch may therefore already be buffered against edge-effects.  Increase the extent of habitat - we believe that the primary aim should be to deliver more priority habitat within Network Enhancement Zone 1 particularly to create bigger and better joined habitat patches but also that creating other semi-natural habitats or improving land management to increase landscape permeability would also be beneficial within both Network Enhancement Zones.  Restoring degraded habitat - we have identified areas of 'Restorable Habitat' on the maps using data derived from a range of sources that suggest there is potential to restore the site to a primary habitat type. In some cases this may involve converting an existing semi-natural habitat type of some biodiversity value to one or more e.g. mosaic, which are more ecologically appropriate to the landscape/ecosystem. Care is required to ensure that the action proposed results in an appropriate net biodiversity gain. The Nature Networks Handbook provides further advice in relation to considering the restoration of more naturally functioning habitat mosaics using local knowledge to understand local issues.  Expanding, linking & joining the networks - we have created the Expansion Zone as we recognise that the boundary for each habitat Network Enhancement Zone is drawn around the 4 habitat components it means that, at a landscape scale, these clusters of habitat, surrounded by their Network Enhancement Zone, can fall into a number of discrete but separated clusters. The spatial configuration of each network cluster depends upon the presence of the habitat, which itself is based on the landscape physical conditions e.g. geology, soils, hydrology, altitude etc. and, most importantly, the extent of habitat loss. The 'Network Expansion Zone' identifies potential locations to consider improving the links and joins and reduce fragmentation at a wider landscape scale. ## 3. Combined Habitat Networks Map We have combined all 23 individual habitat network maps into a '**Combined Habitat Networks Map'**, (see Figure 3) as we recognised that, in many cases, to identify potential opportunities and to gain a fuller picture across a landscape, it is best to consider a wider mosaic of habitats rather than just focussing on a single priority habitat. The combined habitat networks map includes some additional habitat information not included in the individual habitat maps but excludes some of the details found within the individual habitat maps. Below is a list of some of the key issues that we believe need to be understood when using this combined map.  Associated habitats - these are not identified on the combined map as the vast majority of habitats listed as associated habitat on the individual habitat network maps will be identified on the combined map as a primary habitat. Any associated habitat that does not have an individual habitat network map plus all other priority habitat is shown on the combined map as 'PHI_Other'.  Restorable habitats - In order to keep the processing of these maps as efficient as possible it means that the GIS process we have used to create the combined map does not allow us to specify which habitat this relates to. Some data used to identify restorable habitats e.g. 'semi-improved species rich grassland' may be used in a number of grasslands network maps as it is not possible to be specific as to the type of grassland. In addition Plantations on Ancient Woodland Sites (PAWS) have ]also been classed as restorable but it is not possible for these to be identified.  Network Enhancement Zones and the **Network Expansion Zone** are not specific to a particular habitat  Other priority habitat - Any additional priority habitat, including deciduous woodland, not included within any individual habitat network map is shown on the combined habitat networks map where this occurs within the Enhancement Zone 1.  SSSIs - The combined habitat networks map also incorporates the areas of SSSIs that sit outside any of the mapped habitat components (Section 2A & Figure 1) of the individual habitat networks. For this map we only identify the land that is designated not the habitat type. For coastal habitats this may extend into estuaries e.g. the Wash.  Wood-pasture & Parkland - As Wood-pasture and Parkland is often found on sites also identified as another habitat e.g. lowland meadows or lowland heathland, it has not been possible to identify and annotate the combined map to show the areas of overlap. Where this habitat is likely to be of interest it is important to use the individual woodpasture and parkland habitat network map to compliment the combined habitat networks map. ## Note: We Advise That If The Combined Habitat Networks Map Appears Not To Identify Important Aspects Relating To A Specific Habitat That The Relevant Individual Habitat Network Map Should Be Used. 4. Grouped Habitat Networks Maps We intend to create some examples of grouped habitat network maps that we believe may be more meaningful in particular locations depending on the local objective and to better account for how such habitats occur naturally in landscapes. The current example groupings we are considering are;  Coastal Habitats - saltmarsh, sand dunes, shingle and maritime cliff and slope9  Lowland Grasslands - lowland meadows, lowland calcareous grassland, lowland acid grassland and upland hay meadows  Lowland Wetland - lowland fen, lowland raised bog and reedbed  Upland Habitats - blanket bog, upland heathland and upland flushes fens and swamps We do not intend to create grouped maps for other habitats e.g. lowland heath or deciduous woodlands as we believe that the individual habitat network map should be adequate as they take account of other habitats by incorporating 'associated habitats' into the network e.g. lowland acidic grassland and lowland fen are associated habitats within the lowland heathland habitat network map. The full list of associated habitats used within each habitat network map is provided within Annex 1. The mapping tool we have used can create bespoke maps for any number of different habitats, please contact NE data services to request any additional grouped habitat maps. ## 5. Woodlands, Open Water And Coastal Habitats 5.1 Woodland Habitats Woodlands We recognise that all woodlands can be important for biodiversity and/or for other reasons. We also recognise that the Forestry Commission (FC) have produced a range of guidance documents and maps in relation to woodlands including a map that specifically identifies locations for new woodland planting (CS Biodiversity - Priority Habitat Network note: it is 374MB). Please note when using this FC map that it does not identify areas of existing priority habitat as a constraint. It is also important that the guidance on 'Assess environmental impact before you create new woodland' is referred to. For projects seeking to convert woodland to open habitats the following FC guidance needs to be followed 'Consents required in relation to the conversion of woodland to open habitats'. Ancient Woodland Network Map We have focussed our Habitat Network Map on Ancient Woodland as this is considered a top priority for nature conservation. The Ancient Woodland Network Map has been prepared using the same approach as the other habitat network maps but with some minor modifications as outlined below. ## Existing Habitat  Primary Habitat: Ancient semi-natural Woodland as identified within the Ancient Woodland Inventory (AWI)10.  Associated Habitat: Other deciduous woodland, wood-pasture and parkland and traditional orchards.  Habitat Creation/Restoration: Not identified as yet  Restorable Habitat: Plantations on Ancient Woodland Sites (PAWS) as identified on the AWI. ## Network Enhancement & Expansion  Network Enhancement Zone 2: We have only included Network Enhancement Zone 2 on our map. There is no Enhancement Zone 1 or Network Expansion Zone as potential locations for woodland planting are shown on other FC maps. For areas where woodland expansion, particularly through regeneration, would be particularly beneficial see Fragmentation Action Zone below. Actions that improve the biodiversity value and help develop habitat mosaics and/or increase green infrastructure provision would be beneficial within Enhancement Zone 2.  Fragmentation Action Zone: As per all other habitat network maps. Action to address the most fragmented areas of habitat e.g. through increasing woodland extent (note: regeneration is preferred over planting) may be targeted here. Please note: The most up to date version of the Ancient Woodland Inventory should always be used for clarification on the status of a woodland. We recognise that Plantations on Ancient ## Woodland Sites (Paws) Are Ancient Woodlands Even Though They Are Identified As 'Restorable Habitat' Within The Ancient Woodland Network Map. Wood-Pasture & Parkland The Wood-pasture and Parkland Network Map has been prepared using the same approach as the other habitat network maps. However, the following specific issues have had to be taken into account in terms of identifying the **Primary Habitat.** As there is no definitive inventory for this habitat we have used a combination of data sets has been used as the best available data to identity sites considered to support this habitat. The Provisional Wood-pasture & Parkland inventory contains attributes identifying locations where the habitat has been confirmed as well as where the presence still needs to be verified. We only used sites that had been verified as 'definitely being present' as representing the primary habitat for the network map. We have supplemented the sites selected from the draft inventory with additional information using the Ancient Tree Inventory11 to verify the presence of wood-pasture and parkland. The remaining areas of the draft wood-pasture and parkland inventory identified as 'restorable habitat' where they occur in close proximity to the primary habitat. A particular feature of this habitat is that on occasions it will overlap with sites recognised on the PHI as supporting other priority habitat, such as grasslands, heathland and woodland (termed 'allowable overlap'). In the Combined Habitat Map layer we have not been able to show sites that overlap with other habitats and we therefore recommend, when considering WP&P in the wider countryside that the wood-pasture and parkland network map is also used. As the features of importance for this habitat also occur outside of recognised wood-pasture and parkland sites, e.g. ancient trees within hedgerows or within ancient woodlands, we also recommend that the following map layers are used:  NE's Provisional Wood-pasture & Parkland inventory (this will help show all other areas where wood-pasture and parkland may occur including sites that still need to be verified)  PAWS and deciduous woodland (to provide an overview of woodland cover more generally)  The Woodland Trust's Ancient tree inventory (this will identify locations of individual trees so far recorded within the wider countryside) ## 5.2 Lakes And Rivers General Approach The UK priority habitat definitions for lakes and rivers effectively encompass all lakes and the large majority of the river network. These definitions have been interpreted in England in order to generate a limited subset of the river and lake habitat resource that can be deemed priority habitat, involving identifying sites that meet requirements relating to the natural functioning of the habitat - hydrological, physical, chemical and biological. Report NERR064 provides more information on the natural functioning of these habitats, whilst a new website hosted by the FBA provides an easily accessible explanation of how the priority river and lake habitat maps have been generated. The total extent of habitat on the priority river and lake habitat maps is relatively small compared to the extent of the wider habitat resource, such that much of the action needed on rivers and lakes relates to improving the natural functioning of sites that are not on the priority habitat maps. Rivers and lakes are key components of all landscapes and river corridors in particular provide important biological connectivity for all habitats. Their biodiversity value is strongly influenced by the type and quality of land management and other activities in the catchment, which makes their restoration very complex. Key points in relation to generating network map for river and lakes are given below.  We selected the majority of other habitats as an associated habitat for both network maps.  We identified areas as 'restorable habitat' using a different method to that of other habitats,  We recognised that these maps are not just focussing on habitat expansion but on improving the condition of degraded sites, which because of their degraded nature do not feature on the priority habitat maps. Relevant restoration measures can include any measure that helps restore the natural functioning (physical, chemical, hydrological and biological) of lakes and rivers either on site or in the catchment. To help ensure riparian habitats (which are considered an integral part of river and lake habitat) is of suitable quality, we have identified the area around river and lake priority habitat as Enhancement Zone 2 rather than Zone 1, We have not included 'Fragmentation Action Zones' on either of these open water habitat network maps as the main focus is on improving the condition of the remaining habitat which is addressed through the 'restorable habitat' component of the map. The 'restorable habitat' component of these maps identifies river stretches or lakes where restoration action may take place to improve condition and connectivity. Whilst this is an important consideration for rivers and lakes as it is for other habitats, there are equally important consideration associated with the specific nature of impacts on a given site, the position of sites within catchments, and the scale and nature of constraints to restoration. For this reason sites identified by the river and lake habitat network maps constitute one strand in a wider process of identifying the best places to restore natural functioning in the river and lake network. A broader process of identifying priorities for restoring natural function within the river and lake network, to contribute to meeting priority habitat objectives, is being developed with stakeholders. The habitat network maps described here will be used to help populate these restoration priorities maps. For more information on this work see the new website on priority river and lake habitats. More details of how the habitat network maps have been created is outlined below. ## Priority Lakes Habitat Network Map Lakes on the lake priority habitat layer along with other lakes considered to be worthy of further consideration, e.g. notified as SSSI lake habitat, were identified as the 'primary habitat' for this network map. In order to identify further 'restorable habitat' the entire lake resource was assessed using the UK Lakes Database layer sourced from the UK Lakes Portal which identifies most lakes in England that are greater than 1 ha and some smaller water bodies. We have identified all lakes from this layer that fall within Enhancement Zone 1 of the Combined Habitat Networks Map as 'Restorable Habitat' within the Lakes Habitat Network Map. This is because lakes with catchments with semi-natural land use are likely to have better water quality and provide greater biodiversity benefit, if restored, due to habitat connectivity with terrestrial habitats (see NERR064 'A narrative for conserving freshwater and wetland habitats in England'). We have created the individual priority lakes habitat network using the following components; ## Existing Habitat  Primary Habitat: Priority Lake habitat identified as described above  Associated Habitat: Other adjacent priority habitats (see Annex 1)  Restorable Habitat: All lakes contained within the Combined Habitat Network. ## Network Enhancement & Expansion  Network Enhancement Zone 2: (There is no Enhancement Zone 1 or an Expansion Zone as the priority is to restore the existing resource and not create new habitat). Within Enhancement Zone 2 actions that improve lake habitat such as; increase semi-natural habitat, develop more habitat mosaics, increase the extent of wildlife friendly land management or green infrastructure, may be targeted here. Priority Rivers Network Map In addition to the general approach outlined above we have used the priority rivers habitat layers from NE open data portal as the primary habitat. We have also carried out a network analysis over all watercourses not recognised as priority river habitat to identify stretches of non-priority river habitat that connect and joins stretches of priority river habitat. We have labelled these sections as 'restorable habitat' and here action to improve the condition of the river in terms of natural function that would help extend and link up the current priority river habitat resource would be beneficial. The Priority River habitat inventory also includes priority river headwater areas i.e. the headwater catchments most likely to support headwater streams that are sufficiently naturally functioning to be included on the priority habitat map. These are particularly important to the priority river habitat resource and this map would be useful to refer to when considering action to improve rivers. The combined habitat networks map will also provide information on the extent of priority habitats within most of the priority headwater areas. We have created the individual priority river habitat network using the following components; Existing Habitat  Primary Habitat: Priority River Habitat.  Associated Habitat: Other adjacent priority habitat (see Annex 1)  Restorable Habitat: Sections of non-priority river habitat that link existing sections of priority river habitat. ## Network Enhancement  Network Enhancement Zone 2: (There is no Enhancement Zone 1 or an Expansion Zone as the priority is to restore the existing resource and not create new habitat). Enhancement Zone 2 includes all terrestrial land adjoining the existing stretches of priority river habitat. Action in this zone to improve the condition or extent of semi-natural habitat/habitat mosaics or increase extent of wildlife friendly land management or green infrastructure that improves river habitat functioning, may be targeted here. 5.3 Coastal Habitats We recognise that coastal habitats are dynamic systems which are shaped by coastal processes that influence the location, scale and ultimately the success of any management and/or proposed enhancement. Other factors that need to be considered when using the coastal habitat network map(s) include the current topography, the elevation of the land and the current land use. Shoreline Management Plans (SMPs) set out the future strategy for a stretch of coastline relating to issues of coastal defence which will also help identify potential locations for future action to increase the resilience of the existing habitat network. It is also important to consider all other local opportunities and constraints as these are not mapped on the habitat network maps. The Marine Management Organisation has also published a useful document entitled 'Identifying sites suitable for marine habitat restoration or creation (MMO1135)' and a set of maps to support this. As outline in Section 4 we have developed a grouped habitat network map of the 4 coastal priority habitat maps (saltmarsh, sand dunes, shingle and maritime cliff and slope). The individual maps may be viewed separately, but it is advised in the first instance that users should use the grouped 'coastal habitats map'. ## 6. Relationship To The Nature Network Handbook ENRR081 'Nature Network Evidence Handbook - *Creating Nature Networks for Wildlife & People*'5 is intended to help our staff and external partners apply some of the objectives of the 25 Year Environment Plan when delivering or planning landscape scale projects for biodiversity and people. The Handbook sets out 8 principles, including number 7, which is specifically about planning ecological networks: Think "networks": Networks need to be planned at multiple spatial scales & address multiple issues, with joined-up actions across adjacent landscapes, delivering integrated outcomes, ensuring the network acts as a coherent whole to deliver for all users (species, ecosystems and people) within the area. The Handbook includes a set of 'Rules of Thumb' for the design of ecological networks, building on the principles in Lawton *et al.* (2010), these include: ## Bigger Sites  Big enough to encourage natural processes - include areas that ensure functioning ecosystems.  Provide space for ecosystem dynamism supporting mosaics and to encourage succession.  Reduce edge effects by decreasing the *edge: area* ratio.  Join habitat fragments; choose the ones that will create the biggest site.  Restore degraded habitat surrounding the site.  Enlarge sites to >40 ha (or >100 ha for wide-ranging species). ## More Sites  Target areas of important habitat potential in the surrounding area.  Target degraded areas with high ecosystem service delivery. ## Stepping Stones & Permeable Matrix  Sites should be < 1km from each other and < 200m apart for highly specialised species within a habitat.  Expand sites towards existing habitat to reduce space between patches.  Increase the cover of semi-natural habitat in landscape to at least 20%.  Reduce the intensity and increase the diversity of land use in the surrounding countryside. The **Nature Network Evidence Handbook** provides guidance on how different habitats are naturally provided by landscapes, and how an understanding of this natural pattern of habitat provision should be used in building habitat networks to generate the most integrated biodiversity outcomes possible. The information needed to do this relates to factors such as natural hydrological regimes (in the absence of land drainage for example) and natural soil and sediment processes. Such information largely comes from local knowledge and data sources and is not very amenable to national mapping exercises of the type described in this guidance. The national habitat network maps will require careful interpretation to ensure that local decision-making is rooted in promoting biodiversity conservation through naturally functioning habitat mosaics as far as this is possible and desirable. More detailed explanation of the biodiversity importance of natural ecosystem function can be found in Natural England Research Report 071 'Generating more integrated biodiversity objectives'. The new Climate Change Adaptation Manual is also a good place to look for information on how to plan ecological resilience in the face of climate change, which is essential for all conservation planning. ## 7. Further Information/Frequently Asked Questions This section provides more information on the habitat data and the network tool and approach/methodology we used to create the maps. Habitat Data used: 1. What baseline habitat data is used? 2. Is it possible to improve the baseline habitat data? 3. Can local data be used in the approach? 4. Can I integrate additional data? 5. Are all habitats included, are there any missing? 6. Why have we focussed on priority habitats? 7. Why is coastal/floodplain grazing marsh not included? Habitat network tool & approach: 8. What GIS tool has been used to create the maps? 9. Can you repeating the analysis easily? 10. Can I use the tool? 11. What evidence have you used to support the assumptions in the approach? 12. How does the variable buffering work? 13. Why is the Enhancement Zone different in some Habitat Network Maps? 14. How is information on soils used in the approach? 15. What Constraints and Opportunities are mapped? 16. How are urban areas treated in the approach? 17. What is the patch size threshold? 18. **What is the associated habitat group**? 19. What additional habitat information is included? 20. How is current habitat creation/restoration information included? 21. How do we know where the areas of restorable habitat are? 22. Why is there a combined map? 23. How is the combined map created? ## 7.1 Habitat Data Used: 1. What Data Is Used In The National Maps? We Have Used The Following Data Sources To Build The Components Of This Version Of The National Habitat Network (Version 2.1) Mapping: | Component | |-------------------------------------------------------------------| | Primary Habitat | |  | | | | Priority Habitat Inventory (PHI v2_2) | | 1 | | , | |  | | | | Alkaline Fen and Transition Mire and Quaking Bog Annex 1 habitats | | in England | | 1 | | , | |  | | | | Ancient Woodland Inventory | | 1 | | , | |  | | | | Priority Rivers Habitat Map | | 1 | | , | |  | | | | CEH UK Lakes Portal, | |  | | | | Draft Wood-pasture & Parkland | | 1 | | , | |  | | | | Woodland Trust Ancient Tree Inventory, | |  | | | | PTES Traditional Orchards HAP data layer. | 1 = NE data is available from the Natural England Open Data Geoportal | Associated Habitat | A range of habitats that typically occur as a mosaic with the primary habitat, | |------------------------------------------------------------------------------|-----------------------------------------------------------------------------------| | care is taken to avoid including habitats that simply lie adjacent to the | | | primary habitat i.e. transitional habitats, particularly where the extent of | | | such habitats overwhelms and/or distorts the network map for the primary | | | habitat. The source of this is the PHI. | | | Restorable Habitat | Datasets of non-priority habitats e.g. Semi-improved species rich grassland, | | fragmented heathland, grass moor, 'No main habitat but priority habitat | | | present' where the primary habitat is listed as present from the PHI. | | | Plantations on Ancient Woodland (PAWS) | | | NSRI Soilscapes data (26 & 27) used for blanket bog and lowland raised bog | | | in combination with additional PHI data. | | | Habitat | | | restoration or | | | creation | | | All relevant Agri-environment scheme options where they lie in close | | | proximity to existing habitat patches. Data from NE Green Infrastructure | | | database, other data from partners on habitat creation where available | | | (Dorset heathland project) | | | Network | | | Enhancement | | | Zone | | | NSRI Soilscapes data (see below for more information on soil types) | | | A digital terrain model | | | Urban Settlements | | | EA Flood Risk Zone 3 tidal | | 2. Is it possible to improve the baseline habitat data? We have used the Priority Habitat Inventory as the primary data source for the majority of the habitat network maps. We are aware this is not comprehensive or 100% accurate. We therefore encourage the improvement of the PHI dataset with better local data and promote the use of the Habitat Network maps alongside local knowledge and data. Data supplied to NE for inclusion within the network map should first be supplied for inclusion within the PHI and will therefore need to be supplied with the relevant metadata and under an open licence compatible with the Government Open Data Licence. Other mapping components such as restorable habitat and habitat creation can be supplied directly to the habitat network project but again this has to be under a licence compatible with the Government Open Data Licence. 3. Can local habitat data be used in the analysis? Where available local, open source habitat data can be prepared for inclusion in the PHI and as such this can then be included in the analysis, to identify primary and associated habitat presence. In addition to this other local, open source data on the location of habitat creation and restoration happening in your area can be used in the habitat restoration or creation component of the analysis. We can also use data on sites with restorable habitat where this is known. We hope this project can facilitate the contribution of local data to the PHI to make the national dataset better for everyone. 4. Can I integrate additional data on other habitats? You should be considering any additional habitat data in addition to these maps where this exists locally to improve any local network maps. When planning or designing the delivery of landscape scale ecological networks, it is important to ensure that all habitats present within the landscape are taken into account, as well as any local opportunities and/or constraints. This will include habitats that are not on the PHI or do not have an inventory. We therefore recommend that other data sets are also used to provide wider context and a more comprehensive picture of the ecological resource and opportunities (and potentially constraints) including, National data such as:  SSSIs  Forestry Commission National Inventory of Woods and Trees  Existing HLS or CS agreements Local data such as:  Existing Local Ecological Networks or Opportunity Maps  Local Wildlife Sites  Other local habitat creation projects  External partners land holdings 5. Why have we focussed on priority habitats? We have focussed on priority habitats and used the PHI or other inventories that we consider represent the best available habitat data at a national level. We have focussed the network maps around priority habitats as this is the current common classification used for conservation purposes and recognised in legislation i.e. Section 41 of the NERC Act 2006. ## 6. Are All Habitats Included, Are There Any Missing? The Following Habitats Do Not Have A National Habitat Network: | Priority Habitat | Reasons for not compiling a Habitat Network Map | |----------------------------------------------------------|-------------------------------------------------------------| | Saline lagoons | | | | | | Habitats are adequately covered as an associated habitat | | | within other habitat networks | | | Mountain heath & willow | | | scrub | | | Calaminarian grassland | | | | | | Coastal & floodplain grazing | | | marsh | | | See below | | | Mudflats | A transitionary habitat between marine and terrestrial that | | was considered to require a different approach. | | | Arable Field Margins | | | | | | No national inventory | | | Hedgerows | | | | | | Open Mosaic Habitats | Draft Inventory not of sufficient standard to be used at | | present | | | Network Maps may be developed as part of future work | Ponds | | | | 7. Why is there no network map for coastal & floodplain grazing marsh? We recognise that coastal and floodplain grazing marsh may be an important component of many catchments but we have not prepared a habitat network map for this habitat as the biodiversity quality varies with much of it being of low biodiversity value. The habitat is essentially a drained version of other wetland semi-natural habitats including fens, reedbeds and wet woodland. The current habitat definition focusses on its importance for breeding waders, overwintering waterfowl and species rich ditch systems with little consideration for expanding the semi-natural wetland habitats and accommodating natural function. For this reason work is ongoing to investigate the potential to modify the habitat definition to take greater account of the needs for better natural functioning floodplains and coastal change. We have included areas of the existing coastal and floodplain grazing marsh into other wetland habitat network maps as a restorable habitat in recognition of the potential for these habitats to develop in the floodplain. The current maps do not distinguish between areas of high or low biodiversity value or the level of constraint or opportunity to covert this habitat as we believe this is best determined at a local level. Work is currently on going to help define the areas of floodplain grazing marsh of biodiversity value and to define the potential functional boundary for defining any future floodplain wetland mosaic habitat. ## 7.2 Habitat Network Tool & Approach: 8. What Gis Tool Has Been Used To Create The Maps? The Spatial Data Analysis Used To Create The Habitat Network Maps Was Undertaken Using A Data Integration Software Tool Called Feature Manipulation Engine (Fme). The Process Has Been Built Into An Fme Workspace Designed To Facilitate Re-Runs Of The Analysis, Incorporating New Data Or Varying The Process Parameters As Required. This Means That The National Networks Can Be Quickly And Easily Updated, And Also Provides For Bespoke Analysis Of Local Habitat Networks. 9. Can You Repeating The Analysis Easily? These Maps Are Not Intended To Be Automatically Adopted To Form Local Ecological Networks. Further Local Interpretation, Including Addition Of Local Knowledge And Data Will Be Required Before Planning Any Action. However, It Is Anticipated That These Maps Will Help Inform Local Decisions About The Development Of Local Ecological Networks. As the process we have used to create the Habitat Networks is flexible and repeatable, it means that it is also possible to be re-run the analysis to include local data to help improve local accuracy and increase relevance to partners but any bespoke runs of local data that is not included in the PHI is extremely difficult and may not be possible due to staff resources. 10. Can I use the tool? If you can use FME and if you can work with us on the analysis you are doing it may be possible to access the tool. Ideally this would be reciprocated by the exchange of habitat data to enhance the PHI and align any local maps with the national map. 11. What evidence have you used to support the assumptions in the approach? Here are some extra details on the assumptions we have made in a number of the network components:  Individual habitat networks maps - we have created habitat network maps on a habitat by habitat basis as we believe that this may be helpful when considering priorities for action within a certain location particularly if there are specific local or national objectives/targets to meet for specific species or habitats.  Associated habitats - we recognise that an individual habitat will co-exist within a landscape with other habitats and that many function as an ecologically unit. We have used our practitioner judgement alongside specialist validation to decide which priority habitats should be treated as an 'associated habitat' within each of the habitat network maps. The habitats chosen are those that are ecologically connected with, and often exist together in a matrix with, the primary habitat. The full list of Associated Habitat groups are listed in Annex 1.  Using Soils choices - we have based the associations between soils and habitats in our mapping approach based on an assessment of the habitat requirements, the descriptions within the Soilscapes data base and the evidence from EN Research Report 712 'Guidance on understanding and managing soils for habitat restoration projects'  Habitat clusters– We have not sought to identify ecological networks that are considered to be viable based on species movements and dispersal distances e.g. 200m, 500m or 1000m. Instead we have taken the evidence presented within the Lawton report and focussed our mapping on identifying locations where habitat clusters together within the landscape. Within the maps we have also sought to identify locations for action to improve the ecological resilience of the network.  Lawton Approach - The Lawton report12 (section 4.4) assesses whether the current extent and spatial distribution of the remaining habitat is adequate to form a coherent and resilient ecological network. This is judged against 5 key attributes and concludes that for 4 of the 5; "there are serious short-comings in the network. Notably, many of England's wildlife sites are too small; losses of certain habitats have been so great that the area remaining is no longer enough to halt additional biodiversity losses without concerted efforts".  We have developed the Habitat network Maps to focus on the current spatial distribution of habitat patches in a way that identifies how the habitat survives in clusters where positive action, such as creating more habitat or improving the connections and matrix between the patches and between the network clusters would help build a more coherent and resilient ecological network. We recognise that species loss from existing habitat patches will continue to occur over a long time and that for many species that currently survive within a habitat patch the population may no longer be viable (an effect called an extinction debt13). To help address this issue we have identified where the more vulnerable habitat patches occur, i.e. the smaller habitat patches or those with excessive edges, occur. We have identified these areas as Fragmentation Action Zones and consider that action may be focussed here as a priority. We also recognise that improving the links between the habitat clusters may also be important so we have identified potential locations where clusters occur in close proximity where action to improve connections between the habitat clusters may be beneficial and have identified an Expansion Zone to help facilitate planning for this action. 12. How does the variable buffering work? The Network Enhancement Zone boundaries are drawn around the 4 habitat components (primary habitat, associated habitat, restorable habitat and habitat restoration or creation) - based on a standard, though variable, distance of 500m. The buffer is variable in that it is stretched where a slight extension would capture more habitat and/or present a more complete network, i.e. its reach is extended in the direction of another relevant habitat patch. It works in the following way (see also fig.7):  Habitat patches are buffered by 500m.  Any overlapping buffers are merged.  Any holes (marked H in fig.7) left when buffers are merged within patches of >100ha are filled in.  The buffers are then reduced to 250m in order to constrain them where they aren't meeting other buffers.  The resulting buffer area shown in orange in the figure 7 below.  This leads to a theoretical maximum buffer distance of around 1km. but in practice the vast majority of buffers will not exceed far beyond 500m. This 500m distance between patches has been selected based on our review of the literature and evidence relating to other network mapping approaches. The Enhancement Zone drawn through this standard approach is intended as a guide only and seeks to show the location of habitat patches that are more clustered together within the landscape to focus action to build greater ecological resilience of existing habitat patches. The distance used may be varied within the tool to prepare bespoke network maps for specific species if there is sufficient evidence available to justify this. We have used a 1km buffer for the blanket bog habitat network map due to the extensive habitat patches and the aim to capture a more complete hydrological unit required for restoration. NERR081 provides more information on this and states "To ensure adequate connectivity between core sites or stepping stone sites, placement is important. Many studies have explored the effect of isolation on the likely colonisation rates of different taxa between patches of suitable habitat……... It should be noted that dispersal will be moderated by the relative permeability of the intervening matrix. However, in can be concluded that for highly specialised species within a habitat, adjacent sites need to be < 200m apart and for more generalist species < 1km apart". ## 13. Why Are The Enhancement & Expansion Zones Different In Some Habitat Network Maps? The Extract From Table 1 Lists 7 Habitats Network Maps Where The Approach Used In The Maps Varies And The Table Below Provides Reason For Modify The Approach. Type of modification Reason for modifying our approach No Network Enhancement Zone 1 Limestone pavements Habitat is impossible to recreate, the creation/restoration of relevant associated habitats should be the focus to building greater ecological resilience. For this reason the Habitat Network Maps only identify Enhancement Zone 2. Ancient woodland Habitat Network Maps identify Enhancement Zone 2 as the map is not intended to identifying all potential areas for woodland planting as FC's maps exist for this purpose. This habitat is also considered irreplaceable and the priority we have focussed to address is fragmentation and restoration of PAWS. Rivers Lakes Habitat Network Maps identify Enhancement Zone 2 only as creating new lake habitat to link and join existing habitat is not a priority. Priority is to improve the condition pf all habitat, restore natural function of the existing non-priority habitat rather than create more open water resource. No Fragmentation Action Zone Reason for modifying our approach Lakes Rivers Habitat Network Maps identify Enhancement Zone 2 only as creating new habitat to reduce fragmentation is not a priority. Priority is to enhance existing non-priority habitat, Lake Habitat Network Map identifies non-priority lakes for restoration as restorable habitat. Stretches of existing non-priority river habitat that join existing priority habitat are identified as restorable habitat. Traditional Orchards Draft Network Map, Further consideration is required in terms of identifying priorities for action. No Network Expansion Zone Reason for modifying our approach Limestone pavements This habitat is Irreplaceable and building greater resilience can best be achieved through the expansion of other habitats such as calcareous grassland. Upland flushes fens and swamps We consider that the Enhancement Zone 1 is sufficiently large to meet current priorities for this habitat. The habitat is most frequently found within a mosaic of other upland habitats and developing greater ecological resilience is probably best addressed through enhancing these habitats e.g. addressing issues of structure and function. Maritime cliff & slope A linear habitat dependent upon saline influences such as salt spray where expansion inland is dependent upon relatively slow natural processes. The extent of landward movement is sufficiently captured by the Enhancement Zone. Lakes Focus for developing greater resilience should focus on better land management of the catchment, including increasing the extent of semi-natural habitat, to improve natural function. Rivers Ancient woodland This habitat is Irreplaceable. We have mapped the Fragmentation Action Zone to reduce impacts on small woodlands and the restoration of PAWS as priorities for action. This map is not intended to identifying all potential areas for woodland planting and therefore no expansion zone is identified. Traditional orchards Draft Network Map, current proposal is to focus for developing greater resilience within and around the existing habitat patches which are generally small. We consider that the Enhancement Zone 1 is sufficiently large to meet current priorities for this habitat. 14. How is information on soils used in the approach? NSRI Soilscapes data is a simplified version of the 1:250,000 scale Digital National Soil Map for England and Wales. It has been tailored to provide extensive, understandable and useful interpreted soil data for the non-soil specialist. Soilscapes defines 27 soil map units, each fully described with a range of valuable attributes. These were thought to be the most useful and practical classifications to use within the National Habitat Network mapping approach. The soils data is used within the Habitat Network Maps to help determine the extent of Network Enhancement Zone 1 and the Expansion Zone only where soils and other conditions exist for habitat creation and restoration are more suitable. Network Enhancement Zone 2 extends over other areas e.g. areas without suitable soil types or over areas of urban development to identify where other actions, such as the provision of green infrastructure or changes in land management, might also be undertaken to improve resilience. To select the soils for each habitat we referenced the Natural England Research Report 712 'Guidance on understanding and managing soils for habitat restoration projects' and compared their descriptions of habitat suitability. 15. What Constraints and Opportunities are mapped? Other than the urban areas no constraints or opportunities are identified on the Habitat Network Maps as these are likely to vary according to the individual landscape and project objective. 16. How are urban areas treated in the approach? Where the Enhancement Zone extends into urban area it becomes Network Enhancement Zone 2 due to the limited opportunities for habitat creation. However, we consider that there may be opportunities here for some action e.g. urban Green Infrastructure that may contribute towards building greater resilience 17. What is the patch size threshold? Patch size is used as part of the calculation to carry out the fragmentation assessment used within the analysis. The patch size varies according to the habitat type so habitats that are largely made up of relatively smaller patches are not disproportionately selected for fragmentation action thereby ignoring habitats with generally larger patches (however they will be selected more frequently due to their high levels of fragmentation). Figure 8 below provides further information on this. The primary and associated habitat patches are assessed together and the following conditions must be true for a patch of habitat to be included as part of a fragmentation action zone: Smaller Patches  Habitat patches must be less than a certain size based on fragmentation patch assessment threshold of 10%, 20%, 30% or 40% i.e. it is relatively small compared to the patch size range and total resource (see Figure 8) ## Or Medium Patches with excessive boundary  This selects out habitat patches that are less than twice the size of the smaller patches, as outlined above, and identifies those with an extensive boundary compared to its area i.e. either it is long and thin or has an excessive undulating boundary. This is calculated using a Perimeter-Area Ratio assessment to identify patches with a Perimeter-Area Ratio 2.5 greater than the area i.e. the patch area is greater than an equivalent assessment of a true circle of same area. ## And The patches identified above must be in close proximity to other patches  Neighbouring patches are within 200m i.e. it could easily be joined with another patch of habitat. Habitat % of Habitat Patch Size (ha) Blanket bog Upland heath 75 Coastal sand dunes 65 Lowland raised bog 35 Limestone pavement 20 Coastal salt marsh Coastal vegetated shingle 25 Maritime cliff & slope 35 Lowland acid grassland 50 Lowland heath 50 Lowland fen 20 Upland calcareous grassland 25 ASNW 50 Lowland Calcareous grassland 30% 25 Reedbed 15 Lowland meadows Purple moor-grass 20 Upland hay meadow 10 18. What is the associated habitat? Each individual Habitat Network has a list of associated habitats that are considered to be functionally related to the primary habitat i.e. they frequently co-exist within landscapes and form ecologically coherent mosaics that are used by a range of species associated with the primary habitat for that network. For example, for the Lowland Heathland Network the following associated habitats were selected; Dry Acid Grassland and Lowland Fens as these often occur in a functional 165 Larger less fragmented 10% patches 25 20% Smaller more fragmented 20 patches 40% habitat mosaic. See Annex 1 for the full list of habitats included within each individual habitat network map. 19. How is habitat creation/restoration information included? Data on sites where relevant habitat creation or restoration is underway is extracted from the Natural England database for AES schemes. Some other data sets have also be used but we recognise that what is represented on the maps is only a sub-set of the total extent of activity taking place and we would like to include more information from other sources where possible. We have included these sites in the habitat network maps as we believe that they are likely to be making some contribution towards the ecological integrity of the network and with appropriate management could make a greater ecological contribution. 20. How do we know where the areas of restorable habitat are? The areas identified as 'restorable habitat' require local verification and should be considered as potential locations for restoration activity as the data used may be out of date and is likely to be less reliable than some of the other data sets. For this we have used a range of data sets including; areas considered to be non-priority habitat (e.g. semi-improved species rich grassland, fragmented heathland, grass moor, and areas from the 'No main habitat but additional habitat present') from the PHI. Plantations on Ancient Woodland (PAWS) from the Ancient Woodland Inventory. For each habitat a specific data set has been selected where we believe the information suggests there is an opportunity for restoration to the primary habitat. We only use this information where the sites exist in close proximity to the primary habitat. 21. Why is there a combined map? As a result of feedback from consultation on the individual Habitat Network Maps, we recognised the need to produce a combined Habitat Networks Map to provide a clearer spatial representation of the way the habitat networks lie within the context of the wider landscape. The combined map helps to show where the full range of habitats exist in close proximity to each other and how they interact as functional mosaics beyond that shown within the individual habitat network. However, not all the detail of the individual network maps can be represented on the combined networks map and the individual maps are best used if where is a specific habitat focus. 22. How is the combined map created? The data layers for the individual habitat networks are overlaid and resolved into a single data layer. Where elements of different networks overlap a priority hierarchy determines which takes precedence and is retained in the combined map. The process of creating the combined map means that some detail specific to individual habitat networks is lost. In the individual habitat networks the Network Enhancement Zones and the Expansion Zone will be shaped by soils or other environment factors specific to the requirements of the habitat. In the combined map all the individual enhancement and expansion zones are merged and their link to specific habitats lost. ## Annex 1 - Additional Information Associated Habitats & Restorable Data Layers PRIMARY HABITAT NETWORK Associated Habitats Restorable Habitats ANCIENT WOODLAND DECIDUOUS WOODLAND, WOOD-PASTURE & PARKLAND, TRADITIONAL ORCHARDS BLANKET BOG UPLAND FLUSHES FENS & SWAMPS, LAKES, UPLAND HEATHLAND (not on deep peat) COASTAL SAND DUNES COASTAL SALTMARSH, COASTAL VEGETATED SHINGLE, SALINE LAGOONS, LOWLAND ACID GRASSLAND, LOWLAND CALCAREOUS GRASSLAND, LOWLAND HEATH, REEDBED COASTAL SALTMARSH COASTAL SAND DUNES, COASTAL VEGETATED SHINGLE, MUDFLATS, SALINE LAGOONS, REEDBED COASTAL VEGETATED SHINGLE COASTAL SAND DUNES,COASTAL SALTMARSH,SALINE LAGOONS,LOWLAND ACID GRASSLAND, LOWLAND CALCAREOUS GRASSLAND, LOWLAND HEATH, REEDBED LOWLAND ACID GRASSLAND COASTAL SAND DUNES, COASTAL VEGETATED SHINGLE, LOWLAND CALCAREOUS GRASSLAND, LOWLAND FEN, LOWLAND HEATH, LOWLAND MEADOWS, MARITIME CLIFF & SLOPE LAKES BLANKET BOG, CALAMINARIAN GRASSLAND, COASTAL SALTMARSH, COASTAL SAND DUNES, COASTAL VEGETATED SHINGLE, LIMESTONE PAVEMENT, LOWLAND CALCAREOUS GRASSLAND, LOWLAND ACID GRASSLAND, LOWLAND FEN, LOWLAND HEATH, LOWLAND MEADOWS, LOWLAND RAISED BOG, MARITIME CLIFF & SLOPE, MUDFLATS, PURPLE MOORGRASS & RUSH PASTURE, REEDBED, SALINE LAGOONS, TRADITIONAL ORCHARDS, UPLAND CALCAREOUS GRASSLAND, UPLAND FLUSHES FENS & SWAMPS, UPLAND HAY MEADOW, UPLAND HEATHLAND, WOOD-PASTURE & PARKLAND LOWLAND CALCAREOUS GRASSLAND COASTAL SAND DUNES, COASTAL VEGETATED SHINGLE, LOWLAND ACID GRASSLAND, LOWLAND MEADOWS, LIMESTONE PAVEMENT, MARITIME CLIFF & SLOPE, UPLAND CALCAREOUS GRASSLAND, CALAMINARIAN GRASSLAND, LOWLAND FEN LOWLAND FEN CALAMINARIAN GRASSLAND, LOWLAND ACID GRASSLAND, LOWLAND CALCAREOUS GRASSLAND, LOWLAND HEATH, LOWLAND MEADOWS, LOWLAND RAISED BOG, LIMESTONE PAVEMENT, PURPLE MOORGRASS & RUSH PASTURE, REEDBED, UPLAND CALCAREOUS GRASSLAND, UPLAND FLUSHES FENS & SWAMPS,UPLAND HAY MEADOW LOWLAND HEATH LOWLAND ACID GRASSLAND, LOWLAND FEN, MARITIME CLIFF & SLOPE, LOWLAND RAISED BOG, PURPLE MOORGRASS & RUSH PASTURE, LOWLAND MEADOWS, CALAMINARIAN GRASSLAND LOWLAND MEADOWS LOWLAND ACID GRASSLAND, LOWLAND CALCAREOUS GRASSLAND, LOWLAND FEN, MARITIME CLIFF & SLOPE, PURPLE MOORGRASS & RUSH PASTURE, TRADITIONAL ORCHARDS, WOOD-PASTURE & PARKLAND, UPLAND HAY MEADOW, COASTAL SAND DUNES LOWLAND RAISED BOG LOWLAND ACID GRASSLAND, LOWLAND FEN, LOWLAND HEATH, PURPLE MOORGRASS & RUSH PASTURE, REEDBED LIMESTONE PAVEMENT UPLAND CALCAREOUS GRASSLAND, UPLAND HAY MEADOW, UPLAND FLUSHES FENS & SWAMPS, CALAMINARIAN GRASSLAND, LOWLAND CALCAREOUS GRASSLAND, LOWLAND FEN MARITIME CLIFF & SLOPE LOWLAND ACID GRASSLAND, LOWLAND CALCAREOUS GRASSLAND, LOWLAND HEATH, LOWLAND MEADOWS PURPLE MOORGRASS & RUSH PASTURE LOWLAND FEN, LOWLAND MEADOWS, LOWLAND RAISED BOG, REEDBED, LOWLAND HEATH, LOWLAND ACID GRASSLAND, UPLAND HAY MEADOW REEDBED LOWLAND FEN, LOWLAND MEADOWS, LOWLAND RAISED BOG, PURPLE MOORGRASS & RUSH PASTURE, COASTAL SALTMARSH, PAWS Fragmented heathland on deep peat, Grassmoor on deep peat, Upland heathland on deep peat, No main habitat with Blanket bog present Good quality semi-improved grassland, No main habitat with coastal sand dunes present Good quality semi-improved grassland, No main habitat with coastal saltmarsh present Good quality semi-improved grassland, No main habitat with coastal shingle present Good quality semi-improved grassland, No main habitat with lowland acid grassland present Lakes within Enhancement Zones of all other priority habitat network maps Good quality semi-improved grassland, No main habitat with lowland calcareous grassland present Good quality semi-improved grassland, No main habitat with lowland fen present, coastal floodplain grazing marsh Fragmented heathland No main habitat with lowland heath present Good quality semi-improved grassland, No main habitat with lowland meadows present Good quality semi-improved grassland, No main habitat with lowland raised bog present n/a No main habitat with maritime cliff & slope present No main habitat with purple moorgrass and rush pasture present No main habitat with reedbed pasture present, coastal floodplain grazing marsh COASTAL SAND DUNES, COASTAL VEGETATED SHINGLE, SALINE LAGOONS, RIVERS, LAKES RIVERS BLANKET BOG, CALAMINARIAN GRASSLAND, COASTAL SALTMARSH, COASTAL SAND DUNES, COASTAL VEGETATED SHINGLE, LIMESTONE PAVEMENT, LOWLAND CALCAREOUS GRASSLAND, LOWLAND ACID GRASSLAND, LOWLAND FEN, LOWLAND HEATH, LOWLAND MEADOWS, LOWLAND RAISED BOG, MARITIME CLIFF & SLOPE, MUDFLATS, PURPLE MOORGRASS & RUSH PASTURE, REEDBED, SALINE LAGOONS, TRADITIONAL ORCHARDS, UPLAND CALCAREOUS GRASSLAND, UPLAND FLUSHES FENS & SWAMPS, UPLAND HAY MEADOW, UPLAND HEATHLAND, WOOD-PASTURE & PARKLAND, LAKES UPLAND CALCAREOUS GRASSLAND LIMESTONE PAVEMENT, UPLAND FLUSHES FENS & SWAMPS, UPLAND HAY MEADOW, CALAMINARIAN GRASSLAND, LOWLAND CALCAREOUS GRASSLAND, LOWLAND MEADOWS, PURPLE MOORGRASS & RUSH PASTURE UPLAND FLUSHES FENS & SWAMPS LOWLAND FEN, BLANKET BOG, UPLAND CALCAREOUS GRASSLAND, UPLAND HEATHLAND, UPLAND HAY MEADOW UPLAND HEATHLAND BLANKET BOG, UPLAND CALCAREOUS GRASSLAND, CALAMINARIAN GRASSLAND, UPLAND FLUSHES FENS & SWAMPS, LOWLAND HEATH, LOWLAND ACID GRASSLAND, LOWLAND FEN, PURPLE MOORGRASS & RUSH PASTURE, LOWLAND CALCAREOUS GRASSLAND, LIMESTONE PAVEMENT UPLAND HAY MEADOW LIMESTONE PAVEMENT, LOWLAND MEADOWS, PURPLE MOORGRASS & RUSH PASTURE, LOWLAND ACID GRASSLAND, LOWLAND FEN, LOWLAND CALCAREOUS GRASSLAND, CALAMINARIAN GRASSLAND, UPLAND CALCAREOUS GRASSLAND, UPLAND FLUSHES FENS & SWAMPS WOOD-PASTURE & PARKLAND LOWLAND MEADOWS, LOWLAND CALCAREOUS GRASSLAND, LOWLAND ACID GRASSLAND, LOWLAND HEATH, LOWLAND FEN, PURPLE MOORGRASS & RUSH PASTURE, LIMESTONE PAVEMENT, UPLAND CALCAREOUS GRASSLAND, TRADITIONAL ORCHARDS, ANCIENT SEMI-NATURAL WOODLAND TRADITIONAL ORCHARDS LOWLAND CALCAREOUS GRASSLAND, LOWLAND ACID GRASSLAND, LOWLAND FEN, LOWLAND MEADOWS, PURPLE MOORGRASS & RUSH PASTURE, ## Priority Habitat Gis Codes  Upland calcareous grassland (UCG)  Lowland calcareous grassland (LCG)  Reedbeds (RBD)  Lowland meadows (LMW)  Upland hay meadows (UHM)  Purple moor grass and rush pasture (PMG)  Lowland dry acid grassland (LAG)  Lowland heathland (LHL)  Upland heathland (UHL)  Upland fens, flushes & swamps (UFS)  Lowland fens (LFN) River connections (see section 5) Good quality semi-improved grassland, No main habitat with upland calcareous grassland present No main habitat with upland flushes fens and swamps pasture present Fragmented heathland on shallow peat, Grassmoor on shallow peat, No main habitat with Upland heathland present Good quality semi-improved grassland, No main habitat with upland hay meadows present PAWS, Draft WP&P inventory sites where the habitat has not be confirmed as definitely present n/a  Lowland raised bog (LRG)  Blanket bog (BBG)  Limestone pavements (LSP)  Coastal sand dunes (CSD)  Coastal vegetated shingle (CVS)  Maritime cliff and slope (MCS)  Saltmarsh (CSM)  Lakes (LAK)  Rivers (RIV)  Ancient woodland (ASNW)  Wood-pasture & parkland (WPP)  Traditional orchards (TRO)

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## Campylobacter How campylobacter is spread and how to minimise your chances of eating food contaminated with campylobacter. Campylobacter is a cause of food poisoning. The majority of people who get food poisoning from campylobacter recover fully and quickly but it can cause long-term and severe health problems in some. Children under five and older people are most at risk because they may have weaker immune systems. You can't see campylobacter, smell it or even taste it on food. But if it affects you, you won't forget it. ## How Campylobacter Is Spread One of the main ways to get and spread campylobacter poisoning is through cross-contamination from raw chicken. For example, washing raw chicken can spread campylobacter by splashing it onto hands, work surfaces, clothing and cooking equipment. Campylobacter is also found in red meat, unpasteurised milk and untreated water. Although it does not normally grow in food, it spreads easily. Campylobacter has a low infective dose, which means that coming into contact with a few bacteria can cause illness. This is especially important if you are young or have an underlying illness. ## Avoiding Campylobacter Poisoning At Home You can help keep your family safe from campylobacter by chilling your food, cooking chicken correctly, avoiding cross-contamination and ensuring good personal hygiene. ## Chilling Your Food To chill your food, always store your food in the fridge, which should be at 5° or below. ## Cooking Chicken Correctly It is important to cook chicken correctly by following the guidance on time and temperature and checking: the meat is steaming hot all the way through none of the meat is pink when you cut into the thickest part any juices run clear ## Avoiding Cross-Contamination You can avoid cross-contamination by never washing chicken or letting raw chicken come into contact with ready-to-eat foods. Good personal hygiene will help ensure that any bacteria you have come into contact with aren't passed to your friends and family in their food. ## Fsa Explains Foodborne Bacteria Foodborne bacteria live in the gut of many farm animals. During rearing, slaughter and processing it can be transferred into: meat eggs poultry milk Other foods like green vegetables, fruit and shellfish can become contaminated through contact with animal and human faeces. For example, from manure used to improve soil fertility or sewage in water. Foodborne bacteria can be spread by cross-contamination. For example, if raw and cooked foods are stored together, bacteria will spread from the raw food to the cooked food. This is why it is important to follow the '4Cs' which are: cleaning chilling cooking avoiding cross-contamination Some foodborne bacteria can also be spread from pets to people and from person to person through poor hygiene. This includes things like failing to wash your hands properly after going to the toilet or after handling pets.

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## Microsoft Word For Beginners Contents 1. Introduction into word .......................................................................................... 1 2. How to create a document ................................................................................... 1 3. How to select text in a document ......................................................................... 4 4. How to change text size and font ......................................................................... 6 5. How to print a document ...................................................................................... 8 6. How to save a document ................................................................................... 10 ## 1. Introduction Into Word Microsoft Word is a word-processing application that can be part of the Microsoft Office suite or a stand-alone program installed on to your computer. The program can be used to write letters and different types of documents that can include graphics and pictures. This guide explains how to create a document, how to select text in a document, how to change text size and font, how to print a document and how to save a document. It will feature Word 2010 for PCs. A word processor included free with the Windows operating system is WordPad, which doesn't have all the features of Word but does have some formatting features. ## 2. How To Create A Document It can be found in the 'Start' menu under 'Microsoft Office'. Click on 'All programs' and then scroll to 'Microsoft Office' folder You'll need: A computer with Microsoft Word installed. Follow these step-by-step instructions to create a document in Microsoft Word Step 1: From the desktop or from your 'Start' menu, open Microsoft Word by clicking on 'All programs' then navigating through to Microsoft word 2010 as below: Step 2: Microsoft Word will open up and present a blank document ready for you to start typing. Step 3: The flashing cursor (mouse pointer) in the document tells you where you're typing. Wherever the flashing cursor is placed, the letters that you type will be inserted at that point. When you start a blank document, the flashing cursor will be at the start of your document ready for you to start typing. Step 4: As you type, the cursor will also move with each letter. This guides you so that you know where the focus is for typing. Step 5: The mouse can be used for moving around a document. When the mouse pointer is moved over a text area, the pointer will change from an arrow to a 'text select' or 'I-beam' icon. Step 6: Move the text select/mouse pointer with your mouse to where you would like to change or add text. Click the left-hand mouse button. This will then place the flashing cursor at the point where you have clicked so that you can edit or insert text. Step 7: You can also move around your document using the arrow keys on the keyboard. Step 8: Pressing these arrow keys will move the flashing cursor up a line of text, down a line or left one character or right one character. Using a combination of keystrokes can also move the cursor further - e.g. holding down the Ctrl (control) key and pressing the left arrow key will move the cursor left one word. Holding down Ctrl and pressing the up arrow key will move the cursor to the start of each paragraph. ## 3. How To Select Text In A Document Step 1: If you are not already in a Word document, you will need to open it. From the desktop or from your 'Start' menu, open Microsoft Word. Step 2: Click 'File' button in the top left. Select Open and browse to the document you wish to open. Double-click on the file name to open. ## Step 3: The mouse can be used to select text. When the mouse pointer is moved over a text area, the pointer will change from an arrow to a 'text select' or 'I-beam' icon. Step 4: Move the text select/mouse pointer with your mouse to where you'd like to start your selection. Click and hold down the left mouse button. While doing this, move the mouse across your text to where you'd like the selection to stop. As you move the mouse, the text will be selected. When you've finished your selection, release the left mouse button. Step 5: The selected text can now be formatted or changed if required. ## Step 6: You Can Also Move And Select Text Using The Arrow Keys On The Keyboard, which some people may find easier than the mouse. If you use a combination of keyboard keys - e.g. holding down Ctrl and Shift and pressing the left or right arrow key - you can move the cursor and select the text in different directions. Step 7: Once text is selected (highlighted), it can be changed or edited as required. ## 4. How To Change Text Size And Font Step 1: Open an existing Word document or start a new document and type your text. Step 2: If you'd like to change a portion of the text to a different font, it will need to be selected or highlighted first. When the mouse pointer is moved over a text area, it will change from an arrow to a 'text select' or 'I-beam' icon. Step 3: Select your text so that it's highlighted. Step 4: To change the font style, click the arrow next to the font style in the ribbon at the top of your document. ## Step 5: Choose Your Font Style From The Drop-Down List Given Step 6: Next to the font style box is a box containing a number and an arrow. This changes the size of the font. Click on the arrow Step 7: Choose the size of font from the drop-down list of options ## Step 8: If you'd like the same size and style of font set up every time you start a new document, you can set a 'default font'. Click on the 'Font' arrow just above the main screen. ## Step 9: A dialogue box will pop up. In this, choose your font size and style from the options Step 10: Click *Set as Default* in the bottom left-hand corner of the dialogue box. Step 11: Another dialogue box will pop up asking if you're sure you want to change the font for all Word documents. Click Yes. Now, whenever you open a new document in Word, the default font will be used. ## 5. How To Print A Document To print a document, your computer needs to be connected to a printer. Step 1: Open an existing Word document or start a new document and type your text. Step 2: Once you've completed your document and are ready to print, click 'File' in the top left-hand corner. Step 3: Move down and click 'print' in the menu. This will bring up the 'Print' dialogue box. ## Step 4: Choose How Many Copies Of Your Document You Need. Step 5: Depending on your printer options, you can choose other printing features such as whether you want to print all pages or only certain pages. You can also change the orientation of the print from portrait to landscape and tell your computer and printer whether you're printing on a certain size of paper. You'll also see, on the right, a preview of your printed document will look like. Step 6: When you're happy with your settings, click 'Print'. The document will now start printing on your printer. ## 6. How To Save A Document It is good practice to regular save your document as you are working on it. This means that your document will be backed up on the computer in case your computer inexplicitly shuts down which would result in losing your document if it is not saved. There are several ways to save a document in word. The following instructions will take you through the different options. Step 1: If you are saving a document for the first time, on the 'Quick Access Toolbar', click 'Save' , or press 'CTRL+S.' Step 2: Type a name for the document, and then click 'Save'. Word saves the document in a default location. To save the document in a different location, select another folder in the list of folders. ## Save An Existing Document As A New Document (Save As) To prevent overwriting the original document, use the 'Save As' command to create a new file as soon as you open the original document. Step 1: Open the document that you want to save as a new file. Step 2: Click the 'File' tab. Step 3: Click 'Save As'. Step 4: Type a name for the document, and then click 'Save'. Step 5: Word saves the document in a default location. To save the document in a different location, click another folder in the 'Save in' list (down the left hand side) in the 'Save As' dialog box. If you want to change the default location where Word saves documents, adjust settings for saving documents. ## Adjust Settings For Saving Documents Step 1: Click the 'File' tab. Step: 2 Under 'Help' click 'Options'. ## Step 3: Click 'Save'. Step 4: In the 'Save files in this format box', click the file format that you want to use. Step 5: Next to the 'Default file location' box, click 'Browse', and then click the folder where you want to save your files. These options control the default behavior the first time that you use the 'Open', 'Save', or 'Save As' command when you start Word. Whenever you save a document, you can override these settings by specifying a different location or format in the 'Open', 'Save', or 'Save As' dialog box.

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## Allergen Guidance For Food Businesses Guidance for food businesses on providing allergen information and best practice for handling allergens. Food business operators in the retail and catering sector are required to provide allergen information and follow labelling rules as set out in food law. This means that food business operators must: provide allergen information to the consumer for both prepacked and non-prepacked food and drink handle and manage food allergens effectively in food preparation. Food businesses must make sure that staff receive training on allergens. Staff can complete our free food allergy training. Managers can also share our allergen checklist with staff for tips on food allergy best-practice. We have separate guidance for food manufacturers and institutional caterers. ## 14 Allergens Food businesses need to tell customers if any food they provide contain any of the listed allergens as an ingredient. Consumers may be allergic or have intolerance to other ingredients, but only the 14 allergens are required to be declared as allergens by food law. The 14 allergens are: celery, **cereals containing gluten** (such as barley and oats), crustaceans (such as prawns, crabs and lobsters), eggs, fish, lupin, milk, **molluscs** (such as mussels and oysters), mustard, peanuts, sesame, soybeans, **sulphur dioxide and sulphites** (if they are at a concentration of more than ten parts per million) and **tree nuts** (such as almonds, hazelnuts, walnuts, brazil nuts, cashews, pecans, pistachios and macadamia nuts). This also applies to additives, processing aids and any other substances which are present in the final product. ## Allergen Labelling For Different Types Of Food There are a number of ways in which allergen information can be provided to your customers. You will need to choose the method which is best for your business and the type of food you serve. Prepacked foods refer to any food put into packaging before being placed on sale, while nonprepacked food (loose food) is unpackaged food. Different allergen labelling rules apply depending on how the food is provided. Our technical guidance provides a detailed explanation of the labelling requirements for each ## Important Eu References In Fsa Guidance Documents The FSA is updating all EU references, to accurately reflect the law now in force, in all new or amended guidance published since the Transition Period ended at the end of 2020. In some circumstance it may not always be practicable for us to have all EU references updated at the point we publish new or amended guidance. Other than in Northern Ireland, any references to EU Regulations in this guidance should be read as meaning retained EU law. You can access retained EU law via HM Government?EU Exit Web Archive. This should be read alongside any EU Exit legislation that was made to ensure retained EU law operates correctly in a UK context. EU Exit legislation is on?legislation.gov.uk. In Northern Ireland, EU law will continue to apply in respect to the majority of food and feed hygiene and safety law, as listed in the Northern Ireland Protocol, and retained EU law will not apply to Northern Ireland in these circumstances. ## Tips Use our allergen and ingredients food labelling tool to find out more about the different requirements for food labelling and what your business needs to do. ## Prepacked Prepacked products refer to any food put into packaging before being placed on sale. Food is prepacked when it: is either fully or partly enclosed by the packaging cannot be altered without opening or changing the packaging is ready for sale. Prepacked food must have an ingredients list present on the packaging. Allergens present in the product must be emphasised each time they appear in the ingredients list. ## Prepacked For Direct Sale Prepacked for direct sale products are foods that have been packed on the same premises from which they are being sold. Common foods that can fall into this category include sandwiches, salads and pies made and sold from the premises in which they are made. It is expected that the customer is able to speak with the person who made or packed the product to ask about ingredients. Currently, allergen information can be provided in the same way as for non-prepacked (loose) foods. From October 2021, the way food businesses must provide allergen labelling information for Prepacked for Direct Sale (PPDS) will change. Foods will need to have a label with a full ingredients list with allergenic ingredients emphasised within it. These changes will provide essential information to help people with a food allergy or intolerance make safe food choices. ## Non-Prepacked (Loose) Foods If you provide non-prepacked foods, you must supply allergen information for every item that contains any of the 14 allergens. Non-prepacked (loose) foods include: foods sold loose in retail outlets foods which are not sold prepacked. Non-prepacked allergen information requirements can apply to loose items sold at a delicatessen counter, a bakery, a butcher's, as well as meals served in a restaurant, and food from a takeaway. ## Free-From, Gluten-Free And Vegan Claims Making free-from claims for foods requires strict controls of ingredients, how they are handled and how they are prepared. A free-from claim is a guarantee that the food is suitable for all with an allergy or intolerance. For example, if you are handling wheat flour in a kitchen and you cannot remove the risk of crosscontamination through segregation by time and space, you should let the customer know. You should not make any gluten-free or wheat-free claims. The Food and Drink Federation provides specific information and guidance on free-from and gluten-free claims. Customers sometimes assume that vegan meals are free-from animal based allergens (egg, fish, crustaceans, molluscs, milk). This is not always the case as low-level cross-contamination from these ingredients can occur during the production process. You need to be clear about this risk in the food you provide. The Food and Drink Federation provides specific information and guidance on allergen-free and vegan claims. ## Allergen Information For Different Types Of Food Businesses How you provide allergen information to customers will depend on the type of food business. Food business staff can learn more about providing allergen information by completing our free food allergy training and by using our allergen checklist. ## Food Businesses You must provide allergen information in writing if you sell or provide food to your customers directly. This could be either: full allergen information on a menu, chalkboard or in an information pack a written notice placed in a clearly visible position explaining how your customers can obtain this information When allergen information is provided as part of a conversation with a customer, this can be backed up by written information. This would ensure that it is accurate and consistent. You can display this allergy and intolerance sign to tell customers how they can find allergy information, or create your own. ## Buffets If you offer food in the form of a buffet, you need to provide allergen information for each food item separately. You should not provide it for the buffet as a whole. You can provide this information by labelling the allergens contained in individual dishes, or by displaying a sign directing customers to ask staff for allergen information. This information must be visible, clearly legible and easily accessible to the customer. ## Food Delivery And Takeaway Food If food is sold online or by phone through distance selling, allergen information must be provided at two stages in the order process. You must provide allergen information: before the purchase of the food is completed - this can be in writing (on a website, catalogue or menu) or orally (by phone) when the food is delivered - this can be in writing (allergen stickers on food or an enclosed copy of a menu) or orally (by phone). Allergen information should be available to a customer in written form at a point between a customer placing the order and taking delivery of it. Takeaway meals should be labelled clearly so customers know which dishes are suitable for those with an allergy. ## Allergen Requirements And Best-Practice For Food Businesses It is important to manage allergens effectively in your food business to ensure food is safe for customers with food allergies. This involves including allergen information when menu planning and having good food preparation and hygiene practices in place to avoid cross-contamination in your kitchen. Detailed guidance on how to manage allergens in the kitchen can be found in our Safer food, better business information packs for caterers. We provide free food allergy training on best practice for managing allergens. You can also share our allergen checklist with staff. ## Allergen Ingredient Recording You need to make sure that you know what is in the food you provide. You can do this by recording allergen ingredient information in a written format. Allergen ingredients information should be: recorded on product specification sheets included on ingredients labels and ingredients should be kept in original or labelled containers included in recipes or explanations of the dishes provided - you need to consider the impact when recipes change up to date. We have allergen ingredient templates and other training resources which may be useful in allergen planning your menu. ## Avoiding Allergen Cross-Contamination It is important for food businesses to take steps to avoid cross-contamination in food preparation to protect customers with a food allergy. There are a number of actions you can take to prevent cross-contamination with allergens. These include: cleaning utensils before each usage, especially if they were used to prepare meals containing allergens washing hands thoroughly between preparing dishes with and without certain allergens storing ingredients and prepared foods separately in closed and labelled containers keeping ingredients that contain allergens separate from other ingredients Allergen cross-contamination can also happen through using the same cooking oil. To cook gluten-free chips, you can't use the same oil which has been previously used for cooking battered fish. If you can't avoid cross-contamination in food preparation, you should inform customers that you can't provide an allergen-free dish. The Food and Drink Federation provides specific information and guidance on free-from and gluten-free claims. ## Enforcement And Penalties Apart from the possibility of making a customer seriously ill, you could also face the risk of financial and reputational damage to your food business if you fail to comply with allergen information requirements. Local authorities enforce allergen information regulations. Failure to comply can result in action from the local authority. If you fail to act on advice given by the local authority, an improvement notice may be issued. If you do not meet the requirements of this notice, you will be issued with a penalty. You have 14 days to appeal an improvement notice from the date the notice was issued. In some cases businesses may also face prosecution.

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## The Eatwell Guide Helping you eat a healthy, balanced diet Public Health England in association with the Welsh Government, Food Standards Scotland and the Food Standards Agency in Northern Ireland. ## Get Started Now Eating well and having a healthy lifestyle can help us feel our best - and make a big difference to our long-term health. So why not make a change today? The Eatwell Guide shows the proportions in which different types of foods are needed to have a well-balanced and healthy diet. The proportions shown are representative of your food consumption over the period of a day or even a week, not necessarily each meal time. ## Is The Eatwell Guide For Me? The Eatwell Guide applies to most people regardless of weight, dietary restrictions/ preferences or ethnic origin. However, it doesn't apply to children under 2 because they have different nutritional needs. Between the ages of 2 and 5, children should gradually move to eating the same foods as the rest of the family, in the proportions shown on the Eatwell Guide. Anyone with special dietary requirements or medical needs might want to check with a registered dietitian on how to adapt the Eatwell Guide to meet their individual needs. ## How Can The Eatwell Guide Help? The Eatwell Guide shows the different types of foods and drinks we should consume - and in what proportions - to have a healthy, balanced diet. • Eat at least 5 portions of a variety of fruit and vegetables every day • Base meals on potatoes, bread, rice, pasta or other starchy carbohydrates; choosing wholegrain versions where possible • Have some dairy or dairy alternatives (such as soya drinks); choosing lower fat and lower sugar options • Eat some beans, pulses, fish, eggs, meat and other proteins (including 2 portions of fish every week, one of which should be oily) • Choose unsaturated oils and spreads and eat in small amounts • Drink 6-8 cups/glasses of fluid a day If consuming foods and drinks high in fat, salt or sugar have these less often and in small amounts. ## When Should I Use The Eatwell Guide? You can use the Eatwell Guide to help you make healthier choices whenever you're: • deciding what to eat • at home cooking • out shopping for groceries • eating out in a restaurant, cafe or canteen • choosing food on the go Aim to fill your trolley with a healthy balance of different types of food. ## How Does It Work? The Eatwell Guide divides the foods and drinks we consume into five main groups. Try to choose a variety of different foods from each of the groups to help you get the wide range of nutrients your body needs to stay healthy and work properly. It is important to get some fat in the diet, however, foods high in fat, salt and sugar are placed outside of the main image as these types of foods are not essential in the diet and most of us need to cut down on these to achieve our healthy balance. Unsaturated fats from plant sources, for example vegetable oil or olive oil, are healthier types of fat. But remember, all types of fat are high in energy and so should only be eaten in small amounts. Many of the foods we eat, such as pizzas, casseroles, pasta dishes and sandwiches, are combination foods and contain ingredients from more than one of the food groups. For these sorts of food, you just need to work out the main ingredients and think about how these fit with the sections on the guide. For example, if you're having a cottage pie the potato fits into the yellow segment, the milk in the mashed potato fits into the blue segment, the spread in the mashed potato fits into the purple segment, the meat, meat substitute or beans would fall into the pink segment, the onion, carrots and peas would fit into the green segment. Let's take a closer look at each of the food groups... ## A Closer Look At Fruit And Vegetables Most people know we should be eating more fruit and veg, but many of us aren't eating enough. Fruit and veg should make up just over a third of the food we eat each day. Aim to eat at least five portions of a variety of fruit and veg each day. If you count how many portions you're having, it might help you increase the amount and variety of fruit and veg you eat. Choose from fresh, frozen, canned, dried or juiced. A portion is 80g or any of these: 1 apple, banana, pear, orange or other similar-size fruit, 3 heaped tablespoons of vegetables, a dessert bowl of salad, 30g of dried fruit (which should be kept to mealtimes) or a 150ml glass of fruit juice or smoothie (counts as a maximum of one portion a day). ## Potatoes, Bread, Rice, Pasta And Other Starchy Carbohydrates Starchy food is a really important part of a healthy diet and should make up just over a third of the food we eat. Choose higher-fibre, wholegrain varieties when you can by purchasing wholewheat pasta, brown rice, or simply leaving the skins on potatoes. Base your meals around starchy carbohydrate foods. So, you could: • start the day with a wholegrain breakfast cereal; choose one lower in salt and sugars • have a sandwich for lunch • round off the day with potatoes, pasta or rice as a base for your evening meal Some people think starchy food is fattening, but gram for gram it contains less than half the calories of fat. You just need to watch the fats you add when you're cooking and serving this sort of food, because that's what increases the calorie content. ## Why Choose Wholegrain? Wholegrain food contains more fibre than white or refined starchy food, and often more of other nutrients. We also digest wholegrain food more slowly so it can help us feel full for longer. Wholegrain food includes: wholemeal and wholegrain bread, pitta and chapatti, wholewheat pasta, brown rice, wholegrain breakfast cereals and whole oats. Remember, you can also purchase high fibre white versions of bread and pasta which will help to increase your fibre intake using a like-for-like substitute of your family favourites. Dairy and alternatives Try to have some milk and dairy food (or dairy alternatives) - such as cheese, yoghurt and fromage frais. These are good sources of protein and vitamins, and they're also an important source of calcium, which helps to keep our bones strong. Some dairy food can be high in fat and saturated fat, but there are plenty of lower-fat options to choose from. Go for lower fat and lower sugar products where possible. For example, why not try 1% fat milk which contains about half the fat of semi-skimmed milk without a noticeable change in taste or texture? Or reduced fat cheese which is also widely available. Or you could have just a smaller amount of the full-fat varieties less often. When buying dairy alternatives, go for unsweetened, calcium-fortified versions. ## Beans, Pulses, Fish, Eggs, Meat And Other Proteins These foods are sources of protein, vitamins and minerals, so it is important to eat some foods from this group. Beans, peas and lentils (which are all types of pulses) are good alternatives to meat because they're naturally very low in fat, and they're high in fibre, protein, vitamins and minerals. Pulses, or legumes as they are sometimes called, are edible seeds that grow in pods and include foods like lentils, chickpeas, beans and peas. Other vegetablebased sources of protein include tofu, bean curd and mycoprotein; all of which are widely available in most retailers. Aim for at least two portions (2 x 140g) of fish a week, including a portion of oily fish. Most people should be eating more fish, but there are recommended limits for oily fish, crab and some types of white fish. For more information on fish please see www.nidirect.gov.uk/fish-and-shellfish. Also www.msc.org for more guidance on sustainably sourced fish. Some types of meat are high in fat, particularly saturated fat. So when you're buying meat, remember that the type of cut or meat product you choose, and how you cook it, can make a big difference. To cut down on fat: choose lean cuts of meat and go for leaner mince, cut the fat off of meat and the skin off of chicken, try to grill meat and fish instead of frying and have a boiled or poached egg instead of fried. If you eat more than 90g of red or processed meat per day, try to cut down to no more than 70g per day. The term processed meat includes sausages, bacon, cured meats and reformed meat products. ## Oils And Spreads Although some fat in the diet is essential, generally we are eating too much saturated fat and need to reduce our consumption. Unsaturated fats are healthier fats that are usually from plant sources and in liquid form as oil, for example vegetable oil, rapeseed oil and olive oil. Swapping to unsaturated fats will help to reduce cholesterol in the blood, therefore it is important to get most of our fat from unsaturated oils. Choosing lower fat spreads, as opposed to butter, is a good way to reduce your saturated fat intake. Remember that all types of fat are high in energy and should be limited in the diet. ## Foods High In Fat, Salt And Sugars This includes products such as chocolate, cakes, biscuits, full-sugar soft drinks, butter and ice-cream. These foods are not needed in the diet and so, if included, should only be done infrequently and in small amounts. If you consume these foods and drinks often, try to limit their consumption so you have them less often and in smaller amounts. Food and drinks high in fat and sugar contain lots of energy, particularly when you have large servings. Check the label and avoid foods which are high in fat, salt and sugar! ## Hydration Aim to drink 6-8 glasses of fluid every day. Water, lower fat milk and sugar-free drinks including tea and coffee all count. Fruit juice and smoothies also count towards your fluid consumption, although they are a source of free sugars* and so you should limit consumption to no more than a combined total of 150ml per day. Sugary drinks are one of the main contributors to excess sugar consumption amongst children and adults in the UK. Swap sugary soft drinks for diet, sugar-free or no added sugar varieties to reduce your sugar intake in a simple step. Alcohol Alcohol also contains lots of calories (kcal) and should be limited to no more than 14 units per week for men and women. The calorific content of an alcoholic beverage depends on the type of alcohol, the volume served and the addition of mixers. As an example 1 pint of standard strength lager contains approximately 135kcals and a 175ml medium glass of wine contains approximately 135kcals. A 25ml shot of spirit (40% vol) contains approximately 56kcals and a 35ml shot of spirit (40% vol), which is the measure used in Northern Ireland, contains approximately 78kcals. ## Food Labelling Lots of pre-packaged foods have a food label on the front of pack which shows the nutrition information per serving. They also refer to reference intake which tells you how much of each nutrient should be included in the daily diet. The percentage refers to the contribution that the product makes to the reference intake for each nutrient. *Free sugars - Any sugar added to food or drink products by the manufacturer, cook or consumer including those naturally found in honey, syrups and unsweetened fruit juice. Food labels can help you to choose between foods and to pick those that are lower in energy, fat, saturated fat, sugar and salt. Where colour coded labels are used you can tell at a glance if they are high, **medium** or low in fat, saturated fat, sugars and salt. For a healthier choice, try to pick products with more greens and ambers and fewer reds. Remember that the portion sizes used on the label are suggestions and may not be the same as you actually consume. For example, some foods and drinks commonly consumed as single servings have the nutritional information presented per half pack. To find out more about food labelling you can visit www.nidirect.gov.uk/front-of-pack-labelling. ## Cutting Down On Saturated Fat Cutting down on saturated fat can lower your blood cholesterol and reduce your risk of heart disease. Most people in the UK eat too much saturated fat. The average man should have no more than 30g saturated fat a day. The average woman should have no more than 20g saturated fat a day. Children should have less saturated fat than adults. But remember that a low-fat diet isn't suitable for children under five. One of the easiest ways to cut down on saturated fat is to compare the labels on similar products and choose the one lower in saturated fat. Watch out for foods that are high in saturated fat, including fatty cuts of meat, sausages, butter, cream, cheese, chocolate, pastries, cakes and biscuits. You don't need to stop eating these foods altogether, but eating too much of these can make it easy to have more than the recommended maximum amount of saturated fat. To find out more, see www.nidirect.gov.uk/types-of-fat. ## Cutting Down On Sugar Regularly consuming foods and drinks high in sugar increases your risk of obesity and tooth decay. Ideally, no more than 5% of the energy we consume should come from free sugars*. Currently, children and adults across the UK are consuming 2-3 times that amount. Age Recommended maximum free sugars intake Sugar cubes 4-6 years No more than 19g/day 5 cubes 7-10 years No more than 24g/day 6 cubes From 11 years, including adults No more than 30g/day 7 cubes *Free sugars - Any sugar added to food or drink products by the manufacturer, cook or consumer including those naturally found in honey, syrups and unsweetened fruit juice. Many packaged foods and drinks contain surprisingly high amounts of free sugars including some breakfast cereals, yoghurts and fruit juice drinks. Use the food label to help you choose foods lower in sugar. Swap sugary breakfast cereals for plain cereals such as plain porridge, wholewheat biscuit cereals, shredded wholewheat or no added sugar muesli. Cereal bars often contain high levels of free sugars too, so remember to check the label. Swap flavoured or corner-style yoghurts for low fat, lower sugar yoghurts, adding fresh fruit for variety. Sugary drinks have no place in a child's daily diet but account for a surprisingly large proportion of the daily sugar intake of both children and adults. Almost a third of the free sugars consumed by 11-18 year olds comes from soft drinks. We should aim to swap sugary drinks for water, lower fat milk or sugar-free drinks including tea and coffee. Be sure to check the label for added sugar. For more information, visit www.nidirect.gov.uk/sugars. ## Cutting Down On Salt Eating too much salt can raise your blood pressure, which increases your risk of developing heart disease or stroke. And since many people in the UK eat too much salt, that means that lots of people would benefit from cutting down. Adults should eat no more than 6g of salt a day. Children should have even less. 6g of salt is about a teaspoonful. But remember we're not just talking about the salt you add to your food because most of the salt we eat is already in everyday foods such as bread, breakfast cereal, pasta sauce and soup. Try replacing salt with pepper, herbs and spices to add flavour to your favourite dishes. Checking the label and choosing foods that are lower in salt is one of the best ways to cut down. For more information, visit www.nidirect.gov.uk/salt. ## How Much Food Do I Need? We all need different amounts of energy (or calories) from food to be a healthy weight. How much you need depends on lots of things, including how active you are. Whenever we eat more than our body needs, we put on weight. This is because we store the energy we don't use as fat. Even if we have just small amounts of extra energy each day, we can put on weight. And most people in the UK eat more than they need. Daily energy requirements kcal kJ | 1 | 765 | 3201 | 717 | 3000 | |-------------|-------|--------|-------|--------| | 2 | 1004 | 4201 | 932 | 3899 | | 3 | 1171 | 4899 | 1076 | 4502 | | 4 | 1386 | 5799 | 1291 | 5402 | | 5 | 1482 | 6201 | 1362 | 5699 | | 6 | 1577 | 6598 | 1482 | 6201 | | 7 | 1649 | 6899 | 1530 | 6402 | | 8 | 1745 | 7301 | 1625 | 6799 | | 9 | 1840 | 7699 | 1721 | 7201 | | 10 | 2032 | 8302 | 1936 | 8100 | | 11 and over | 2500 | 10,460 | 2000 | 8368 | ## Try To: • eat only as much food as you need. Improve the balance of your diet by looking at the Eatwell Guide • get more active! If you're eating a good balance of the different food groups, and you're a healthy weight, you're probably eating about the right amount If you're overweight, then you may need to eat less, improve the balance of your diet and/or get more active. Ask your GP, or another health professional, for advice about losing weight. Do you know if you're a healthy weight? Find out at: www.nidirect.gov.uk/healthy-weight. ## Do I Need Vitamin And Mineral Supplements? Most people can get all the nutrients their body needs by eating healthily. However, some people do need certain supplements. For example, if you are planning a pregnancy, you should take a daily 400 microgram (μg) folic acid supplement from the time you stop using contraception until the 12th week of pregnancy. Women who have already had a pregnancy affected by neural tube defects, or if there is a history of neural tube defects in the family, need to take 5mg of folic acid each day until the 12th week of pregnancy. In addition, women who have diabetes and those taking anti-epileptic medicines should consult their GP for advice. In spring and summer, most people will get all the vitamin D they need through sunlight on the skin and from a healthy, balanced diet. However, during the autumn and winter we need to rely on dietary sources of vitamin D. Since it is difficult for people to get enough vitamin D from food alone, everyone should consider taking a daily supplement containing 10 micrograms of vitamin D during autumn and winter. People whose skin has little or no exposure to the sun, or who always cover their skin when outside, risk vitamin D deficiency and need to take a daily supplement containing 10 micrograms of vitamin D throughout the year. Ethnic minority groups with dark skin, from African, Afro- Caribbean and South Asian backgrounds, may not get enough vitamin D from sunlight in the summer and therefore should consider taking a supplement all year round. Children aged 1 to 4 years should also have a daily 10 microgram vitamin D supplement. As a precaution, all babies under 1 year should have a daily 8.5 to 10 microgram vitamin D supplement to ensure they get enough. Children who have more than 500ml of infant formula a day do not need any additional vitamin D as formula is already fortified. For more information, talk to your GP or another health professional, or visit www.nidirect.gov.uk/articles/vitamin-d. ## Remember Fruit Juice And/Or 8 Tips For Eating Well Smoothies Should Be Limited To No More Than 150Ml Per Day In Total. 1. Base your meals on starchy foods 2. Eat lots of fruit and veg 3. Eat more fish - including a portion of Leaner: Choose leaner cuts of meat and poultry, remove any visible fat. oily fish each week Lower: Go for lower fat, salt and sugar products - especially dairy and starchy carbohydrate foods. 4. Cut down on saturated fat and sugar 5. Eat less salt - no more than 6g a day for adults 6. Get active and be a healthy weight 7. Don't get thirsty 8. Don't skip breakfast Less: Use less oils and spreads. Choose foods high in fat, salt and sugar less often. | Food group | What's included? | How much? | Tips | |--------------|--------------------|-------------|--------| All fruit and vegetables including fresh, frozen, canned, dried and juiced varieties. Potatoes do not count as they are considered a starchy carbohydrate food. Fruit and vegetables • bread, including: • potatoes • polenta • breakfast cereals, oats • millet, spelt • pasta, noodles • wheat, pearl barley • maize, cornmeal • yams and plantains soda bread, rye bread, pitta, flour tortilla, baguettes, chapatti, bagels Potatoes, bread, rice, pasta and other starchy carbohydrates • couscous, bulgur • rice Dairy and dairy alternatives Milk, cheese, yoghurt, fromage frais, quark, cream cheese. This also includes non-dairy alternatives to these foods. Butters and creams are not included in this group as they are high in saturated fat and so they fit into the 'foods to eat less often and in small amounts' section. • meat, poultry and game, • oily fish (fresh, frozen • nuts • eggs Beans, pulses, fish, eggs, meat and other proteins • beans and other pulses, including: lamb, beef, pork, chicken, bacon, sausages, burgers or canned), including: mackerel, sardines, trout, salmon, whitebait • white fish (fresh, frozen or • shellfish (fresh, frozen including: lentils, whitebait chickpeas, baked beans, • vegetarian meat canned), including: haddock, plaice, pollock, coley, cod, tuna kidney beans, butter beans or canned), including: prawns, mussels alternatives e.g. tofu, mycoprotein Oils and spreads Unsaturated oils including vegetable oil, rapeseed oil, olive oil and sunflower oil. Soft spreads made from unsaturated oils. Butters are not included in this section as these are high in saturated fat and are included in the 'foods to eat less often and in small amounts' section. • cakes • pastries • sauces • biscuits • ice cream • butter Foods to eat less often and in small amounts | • chocolate | • jam | • cream | |---|---|---| | • sweets | • honey | • mayonnaise | | • puddings | • crisps | | Eat plenty of fruit and vegetables. Aim for at least 5 portions of a variety of fruit and vegetables every day. Remember that a portion of dried fruit is 30g and should be kept to mealtimes. Limit fruit juice and smoothies to a combined total of 150ml which counts as 1 of your 5 A Day. There is evidence to suggest that people who eat lots of fruit and veg are less likely to develop chronic diseases such as coronary heart disease and some types of cancer. Try to eat as many different types of fruit and vegetables as possible. Avoid adding sauces/ dressing high in fat, salt or sugar to your fruit and veg e.g. chocolate sauce on banana or honey/butter glaze on your parsnips. Bulk out your meals with vegetables such as grated carrot, mushrooms or peppers for an extra portion of your 5 A Day which will make your meal spread further. Remember to keep fruit in your bag as a convenient and healthy snack and frozen vegetables in your freezer so you don't run out. Eat plenty of starchy carbohydrates including potatoes, bread, rice and pasta. Choose wholegrain varieties, or keep the skins on potatoes, for more fibre, vitamins and minerals. Base your meals around starchy carbohydrates. Check the labels and choose the products lowest in fat, salt and sugar. If you are having chips, go for oven chips lower in fat and salt. If you are serving starchy foods, try to avoid adding too much fat (eg oil or butter on roast potatoes) or sauces (creamy pasta) as these contain lots of calories. Eat some dairy or dairy alternatives. Choose lower fat options when possible. For products like yoghurt, check the label and go for ones lower in fat and sugars. Try swapping to 1% fat milk as opposed to whole or semi-skimmed milk. Cheese is high in saturated fat, so try buying reduced fat cheese. Alternatively grate it instead of slicing it to avoid using more than you need. Try to use low fat plain yoghurt as opposed to cream, crème fraiche or mayonnaise. Eat some beans, pulses, fish, eggs, meat and other proteins. Eat at least 2 portions (2 x 140g) of fish each week, one of which is oily. Limit processed meats such as sausages, bacon and cured meats. If you eat more than 90g per day of red or processed meats, try to reduce the amount to no more than 70g per day. When you're cooking and serving these foods, try not to add extra fat or oil. When you're buying meat, ask your butcher for a lean cut or compare the labels on different products and choose the one lower in saturated fat. Watch out for meat and fish products in pastry, batter or breadcrumbs as these can be high in fat and/or salt. Remember that an 80g portion of beans or pulses can count as 1 of your 5 A Day! Use these products sparingly as they are high in fat. Cutting down on these types of foods could help to control your weight as they are high in calories. Choose lower fat spreads where possible and use sparingly. Check the label and choose oils high in unsaturated fat and low in saturated fat. Oils expand when heated and so heating oil in the pan before you use it will make it go further so you don't need to use as much. These foods are not required as part of a healthy, balanced diet. If included, they should only be consumed infrequently and in small amounts. Most of us need to cut down on the amount of high fat, salt and sugar foods we eat and drink. Use lower fat spread instead of butter. Swap cakes and biscuits for a slice of malt loaf or a teacake with low fat spread. If you add sugar to your food or drinks, gradually reduce the amount you add until your taste buds adapt and you can cut it out altogether. Alternatively try using a calorie-free sweetener instead. ## How Can I Find Out More About Healthy Eating? To find out more: • get general advice from food.gov.uk/eatwell and www.nidirect.gov.uk/eat-well • contact your local community dietician, you can do this through your health centre or GP • for healthy eating ideas, handy tips and recipes visit, www.choosetolivebetter.com © Crown copyright 2020 Gateway number: 2015588 You may re-use this information (excluding logos) free of charge in any format or medium, under the terms of the Open Government Licence v3.0. To view this licence, visit OGL. Where we have identified any third party copyright information you will need to obtain permission from the copyright holders concerned.

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## 29 October 2015 Offender Management Statistics Bulletin, England and Wales Quarterly April to June 2015 Ministry of Justice Statistical Bulletin Ministry of Justice S Statistical Bulletin ## Introduction This bulletin provides the latest statistics relating to offenders who are in prison or supervised in the community in England and Wales. The statistics are presented in detail, with commentary, and reference to longer term trends, in the following sections of the bulletin. This bulletin covers the prison population as at 30 September 2015 and the probation caseload as at 30 June 2015, and compares them to the same time in the previous year. This bulletin also covers prison receptions and probation starts, as the flows into these services, and releases from prison and probation terminations, as the flows out of these services. For each of these topics this bulletin reports on the quarter April to June 2015, compared to the same period in the previous year. Further information about background, data definitions, data quality issues, and users of the statistics are available in the accompanying document. The next edition of this bulletin, covering the period July to September 2015, with prison population figures as at 31 December 2015, will be published on 28 January 2016 at 9.30am. In the publication of Offender Management Quarterly Statistics January to March 2015, the number of prisoners reported as serving determinate sentences of ten years or more was misreported as 4,420 prisoners, representing 5% of the total prison population as at 30 June 2015. This was reported both in the key findings and the prison population section of the bulletin. While the underlying statistics were correct. Only prisoners serving 10 to less than 14 years were included in the total and those serving determinate sentences of 14 years or more were not. This value therefore should have been reported as 7,466 prisoners, representing 9% of the total prison population. ## Key Findings  The total number of prisoners has remained relatively stable over the last twelve months to 30 September 2015 with an increase of fewer than 200 prisoners. The composition of those on remand, sentenced and noncriminal population, however, has changed.  The sentenced prison population continues to shift towards a population serving longer determinate sentences. The number of prisoners serving determinate sentences of four years or more continued to increase. It can now be reported that 9% of the prison population, is serving a determinate sentence of ten years or more.  Prison receptions and releases for determinate sentences decreased across all sentence lengths over the last year, apart from receptions for long determinate sentences of four years or more, which continued to increase, by 19% compared to the same period in 2014.  The Offender Rehabilitation Act 2014 (ORA) expanded licence supervision so that anyone sentenced to more than a day in prison will receive at least 12 months supervision on release. This has affected both the probation caseload and the number of offenders recalled to custody to the end of June 2015.  The total annual probation caseload (court orders and pre and post release supervision) stood at 228,844 at the end of June 2015, up 5% on the end of June 2014. This rise is mainly due to the impact of ORA. The court order caseload (offenders on community orders (COs) and suspended sentence orders (SSOs)) rose slightly by 1%, with the CO caseload falling 1% but the SSO caseload rising by 7% between the quarters ending June 2014 and 2015. The increase in SSOs is likely to be related to legislative changes as described below.  There were 1,140 recalls of offenders serving a sentence of less than 12 months between April and June 2015. The fact that these sentences only became eligible for recall as a result of ORA, since 1 February 2015 explains the majority of the 28% increase in licence recalls compared with the same period in 2014.  The proportion of offenders not returned to custody by the end of September 2015, following a licence recall over the whole period 1999 to the end of March 2015, remained stable with only 6 in every 1,000 prisoners not being returned to custody. ## Prison Population The prison population grew rapidly between 1993 and 2008, at an average of 4% a year. This rapid rise was driven by:  Increases in the number of people sentenced to immediate custody from 1993 to 2002;  Increases in the average custodial sentence length and increased use of indeterminate sentences; and  Increases in the number of offenders recalled to prison following breaches of their licence conditions, along with increases in the average length of time these offenders spent in prison once recalled. The rise in the prison population slowed considerably from the summer of 2008, in part due to the introduction of the Criminal Justice and Immigration Act 2008, which changed sentencing and offender management in ways which helped to reduce growth in the prison population. This flatter trend continued until the public disorder seen in UK cities from 6 to 9 August 2011 which had an immediate but temporary impact on the prison population. During 2012 and into 2013, the prison population began to fall due to a falling remand population and a continued decline in the number of under 18s in custody. The falling remand population during 2012 reflected falling volumes going through the courts plus the introduction of the Legal Aid, Sentencing and Punishment of Offenders (LASPO) Act in December 2012. This Act restricted the use of remand for offenders who would be unlikely to receive a custodial sentence. The 'Story of the Prison Population 1993 to 2012' is an in-depth look at what happened to the prison population between 1993 and 2012 and the major factors contributing to the changes. Following the LASPO Act in December 2012, and up until the end of June 2013, the prison population stabilised. In particular, by March 2013 the remand population stopped falling as it had done since August 2011. After settling at a lower level the remand population then began to rise again from August 2013, and contributed to the sharp rise in the prison population seen between the end of August and October 2013. Overall, since June 2013 the prison population has increased, albeit at a slower rate than in previous years, typically growing at around 1% a year. ## The total number of prisoners has remained relatively stable over the last twelve months to 30 September 2015 with an increase of fewer than 200 prisoners. The composition of those on remand, sentenced and non-criminal population, however, has changed. This was driven by a 1% increase in the sentenced population and a 5% increase in the non-criminal population. Since the beginning of 2015, the remand population has gradually decreased, which is represented by an 8% drop since 30 September 2014. The demographics of the overall prison population are also changing. Remand Since late 2014, the remand population has steadily decreased to just under 11,500 prisoners as at 30 September 2015. This is consistent with Criminal Court Statistics Quarterly, which shows there to be a decreased number of outstanding cases in the Crown Court. The number of prisoners on remand for possession of weapons has nearly doubled over the last twelve months to 30 September 2015. This may be due to changes in the volume and nature of prosecutions for knife crime or linked to the provisions in the Criminal Justice and Courts Act 2015. Under the 2015 Act, offenders aged 18 or over convicted of a second offence of possession of a blade or offensive weapon sentenced on or after 17 July 2015 now face a minimum custodial sentence of six months or four months if the offender is aged between 16 or 17. It is possible increases in this offence group seen in earlier quarters may have been due to the impact of the Bill on the Justice system before its implementation. Sentenced In line with the long term trend, the sentenced population only increased slightly, however its composition continued to change. The number of prisoners serving sentences less than four years decreased whereas those serving determinate sentences of four years or more continued to increase. Over the twelve months to 30 September 2015, the number of prisoners serving these long determinate sentences increased by 6%. Much of this increase is attributable to the population serving an extended determinate sentence (EDS); there were 2,204 prisoners serving an EDS on 30 September 2015, which is now 3% of the sentenced prison population. Over a third of the prison population was serving a determinate sentence of four years or more, excluding indeterminate sentences, on 30 September 2015. As part of the more detailed breakdown on sentence lengths introduced, it can now be reported that 7,636 prisoners, representing 9% of the total prison population, were serving determinate sentences of ten years or more, excluding EDSs. This statistic was misreported in the July release. The rise in the long determinate sentenced population is in line with the increasing number of sentenced sex offenders. At the end of September 2015, there were 11,738 sentenced sex offenders in the prison population, which is 9% higher than twelve months before. This is consistent with the recent 'Crime in England and Wales' bulletin from the Office for National Statistics that reported the highest number of sexual offences recorded by the police since 2002/03, for the year ending June 2015. In contrast, the sentenced population for violence against the person offences remains the largest sentenced population by offence group and has increased by 3% over the last year to September 2015. The number of prisoners serving indeterminate sentences (IPP (Indeterminate Sentence for Public Protection) or life) was down 5% on the previous year, to 11,835. As a result of the abolition of the IPP sentence, offenders are no longer receiving these sentences and prisoners are only being released. Therefore over the last year, the decrease in the indeterminate sentence population is explained almost entirely by the IPP population. In the longer term, the IPP population has fallen by over a quarter from 6,020 as at the end of September 2012 to 4,431 as at the end of September 2015. The number of IPP prisoners who are post-tariff has remained broadly flat over the last year, meaning that the proportion of the population post-tariff has been increasing. More than three quarters of IPP prisoners are now post-tariff. The number of life sentenced prisoners remained stable at around 7,400. There were 52 whole-life prisoners at the end of June 2015, with four additional life prisoners being treated in secure hospitals. One life prisoner has moved from a secure hospital to prison since the last quarter. ## Recalls There is no clear evidence to explain the growth in the recall population, which has increased by 14% to 6,356 prisoners over the year. Whilst the Offender Rehabilitation Act 2014 (ORA) expanded licence supervision, so that anyone sentenced to more than a day in prison will receive at least 12 months supervision on release, this only came into effect for those who committed an offence and were sentenced after 1 February 2015. As at 30 September 2015 there were 315 prisoners recorded as being recalled under ORA, representing 5% of the recall population. Foreign National Offenders There was a slight increase in the foreign national population in custody, which was up 1% on the previous year to 10,442 on 30 September 2015. Looking at the longer trend, the foreign national population increased from the year 2002 to its highest value of 11,498 as at the end of June 2008 when they accounted for 14% of the population. There was then a small decrease in the population until March 2011 when it fell to 10,745. Since then the foreign national population has remained stable, representing around 12-13% of the population. The five most common nationalities, after British Nationals, in prisons in England and Wales are Polish, Irish, Romanian, Jamaican and Albanian, accounting for approximately one third of the foreign national population and one in twenty of the prison population overall. ## Prison Receptions First receptions count prisoners the first time they appear in prison from court. A prisoner's reception type is counted each time they are first received into custody as untried, convicted unsentenced, and sentenced prisoners from court. This means that prisoners can be counted in more than one of these categories if their custody status changes as they progress through the Criminal Justice System in the reporting period. A total of 24,790 offenders were received into custody as first receptions in the quarter ending June 2015. The total number of first receptions for this quarter is slightly lower than the number of first receptions seen in the preceding three quarters. There was a 7% decrease in the number of untried receptions when compared to the same quarter last year whilst the number of sentenced receptions increased marginally compared to April to June 2014. Large percentage decreases were observed relative to the same quarter in the previous year in the number of fine defaulters (44%) and indeterminate sentences (29%). There continues to be a trend for increased numbers of longer determinate sentences of four years or more. Young adult (18 to 20 years) and juvenile (15 to 17 years) untried remand receptions have decreased by more than a tenth compared to the same quarter last year. The number of young adult sentenced receptions has also decreased (13%) although this was less pronounced for 15 to 17 year olds (5%). For young adults, decreases in the number of receptions were observed in all categories of sentence lengths of less than 4 years. In contrast, the total number of young adult sentenced receptions for 4 years or more increased by 20%. Former Members of the Armed Forces In December 2014, the Government published a response to the review of exarmed forces in the criminal justice system. In line with recommendation 2, National Offender Management Service have been recording whether remand and newly sentenced prisoners have been a member of the armed services on first reception into prison. The intention is to publish this data in 2016 once sufficient validation and quality assurance checks have been completed. ## Prison Releases A total of 17,671 offenders were released from custody in the quarter ending June 2015, a decrease of 3% compared with the same quarter last year. This has been driven by decreases in the number of releases across all determinate sentence length bands. In contrast, there were 110 prisoners released from an IPP and a further 76 from a life sentence which when taken together have increased by 38% on the same quarter last year. In addition, 13 indeterminate sentenced prisoners were removed under the Tariff Expired Removal Scheme (TERS) in the latest quarter. This scheme allows indeterminate sentenced foreign national prisoners, who are liable to removal from the UK, to be deported from the country on or after the date of their tariff expiry without referral to the Parole Board. The scheme began in May 2012, and by the end of June 2015 there had been 326 removals in total. The number of releases on Home Detention Curfew (HDC) fell by 1% to 2,059 between the quarters ending June 2014 and June 2015. To be considered for release under HDC an offender must be serving a sentence of less than 4 years, and the number of offenders serving such sentences has been falling (see Prison population). The decrease of 4% in the eligible population will have a direct impact on the number that can be considered for HDC release and the number that are therefore subsequently released. Between April and June 2015, there were 83,091 incidences of release on temporary licence (ROTL) from prisons in England and Wales. This is a 31% reduction since the same period in 2014. All types of licence showed decreases. The number of release incidences for females decreased by 26%, compared to a 31% decrease for males over the same period. The number of individuals given at least one instance of ROTL between April and June 2015 was 3,668, which represents a 28% decrease compared to the same quarter last year. Of the individuals given at least one instance of ROTL, 21% were on an indeterminate sentence. There were 37 recorded temporary release failures (TRFs) between April and June 2015, which is around half of the number of failures seen in same quarter of the previous year. ## Probation Transforming Rehabilitation is a reform programme that is changing the way offenders are managed in the community. Since the 1st June 2014, Probation Trusts have been replaced by the National Probation Service (NPS), which manages the most high-risk offenders across seven divisions; and 21 new Community Rehabilitation Companies (CRCs), who manage medium and lowrisk offenders. The total annual probation caseload (court orders and pre and post release supervision) increased by 39% between 2000 and 2008 to 243,434. Since then the probation caseload fell year on year, reaching 217,359 at the end of 2014. However, at the end of June 2015, the total caseload stood at 228,844, up 5% on the number one year earlier. This recent rise is mainly due to statutory supervision on release from prison for all offenders given custodial sentences. The court order caseload (offenders on community orders (COs) and suspended sentence orders (SSOs)) rose slightly by 1%, with the CO caseload falling by 1% but the SSO caseload rising by 7% between the quarters ending June 2014 and 2015. The increase in SSOs is likely to be related to changes under the LASPO Act 2012, which provided for custodial sentences of two years or less to be suspended where previously only custodial sentences of 12 months or less could be suspended. The number of offenders starting COs and SSOs with requirements shows increases over this period, but this may be explained, at least partly, by the fact that starts were under-counted slightly in the previous quarter due to a change in the data collection methodology and the transition from probation trusts to NPS Divisions/CRCs from June 2014. In addition, in the quarter ending June 2015 there were 2,586 starts of SSOs without requirements attached. This brings the total number of stand-alone SSOs starts to more than 17,500 since they were introduced under the LASPO Act 2012 (see Accompanying Information Appendix A - Data sources and quality). The caseload of offenders supervised before or after release from prison increased by 10% between the quarters ending June 2014 and 2015, whilst the number of pre-release supervision starts has more than doubled. This is due to the introduction of the Offender Rehabilitation Act 2014 (ORA) on 1st February 2015, where all offenders given custodial sentences are now subject to statutory supervision on release from prison. Previously only adults sentenced to over 12 months in custody and all young offenders were subject to statutory supervision. With regards to the number of requirements started under court orders, there has again been a notable rise in curfews and standalone curfews in particular. This, as well as a rise in unpaid work requirements, may reflect the continuing impact of a mandatory punitive requirement in every community order, introduced from December 2013 under the Crime and Courts Act 2013. There have generally been falls across the other requirements, with the supervision requirement in particular being replaced by the rehabilitation requirement introduced under ORA. Of the court orders terminated in the quarter ending June 2015, 67% of community orders were terminated successfully; they either ran their full course or were terminated early for good progress. For the supervision periods of suspended sentence orders, some 70% were terminated successfully over this period. The number of court reports prepared by the Probation Service continued to fall over the last couple of years - 39,864 court reports were prepared in the quarter ending June 2015, reflecting the continuing downward trend in the number of cases being dealt with by the courts. In general, courts follow the sentences proposed in pre-sentence reports (PSRs), particularly where an immediate custodial sentence has been recommended. Around 88% of such proposed sentences in PSRs resulted in immediate custody. ## Licence Recalls A key element of public protection is that offenders released on licence should be effectively supervised in the community and swiftly recalled to custody if they breach their licence or if their behaviour gives cause for concern. It is explained to offenders at the outset that they are liable to be recalled to custody if they breach any of the conditions of their licence. There are various reasons why offenders are recalled to custody for breaching their licence conditions besides committing a further offence. For example, an offender may be recalled if there is any deterioration in behaviour which leads the National Offender Management Service (NOMS) to conclude that there is an increased risk of the offender committing further offences. There has been a 28% increase in licence recalls compared with April to June 2014; however this is almost entirely due to the implementation of the Offender Rehabilitation Act 2014 (ORA). Expanded licence supervision as a result of ORA came into effect for those sentenced from 1 February 2015 and means that anyone sentenced to more than a day in prison will receive at least 12 months supervision on release. April to June 2015 is therefore the first quarter in which offenders were eligible for this type of recall throughout the whole period. There were 1,140 recalls of offenders serving a sentence of less than 12 months between April and June 2015. The number of recalls of prisoners sentenced to 12 months or more (including indeterminate sentences), who would not be affected by ORA, increased by only 1% compared to the same quarter in 2014. Between April 1999 and June 2015, 196,121 of those released on licence were recalled to custody for breaching the conditions of their licence, e.g. failing to report to their probation officer. Of all those recalled over the period, 99.4% were returned by the end of September 2015. Of all those released on licence and recalled to custody between April 1999 and June 2015, there were 1,197 who had not been returned to custody by the end of September 2015. This means the proportion of prisoners not returned to custody over this period is 0.6%, which is constant compared to previous years. A further 18 offenders had not been returned to custody as of 30 September 2015 after recall between 1984 and April 1999, meaning the total number of offenders not returned to custody at the end of September 2015 was 1,215. These figures include some offenders believed to be dead or living abroad but who have not been confirmed as dead or deported. The last edition of OMSQ included a response to the consultation on how licence recalls tables could be presented after the changes made as part of the transforming rehabilitation reforms. It was intended that this edition would include a breakdown showing whether recalls occurred in the licence period or supervision period. Data quality work on this breakdown is ongoing and will be published in due course once it has been suitably quality assured. ## Contact Points Press enquiries should be directed to the Ministry of Justice press office: Tel: 020 3334 3536 Other enquiries about these statistics should be directed to: Nick Mavron Ministry of Justice Justice Statistics Analytical Services 7th Floor 102 Petty France London SW1H 9AJ General enquiries about the statistical work of the Ministry of Justice, or requests for alternative formats of this publication can be e-mailed to: statistics.enquiries@justice.gsi.gov.uk General information about the official statistics system of the UK is available from: statisticsauthority.gov.uk/about-the-authority/uk-statistical-system Ministry of Justice publishes data relating to offender management in England and Wales. Equivalent statistics for Scotland and Northern Ireland can be found at: www.scotland.gov.uk/Topics/Statistics/Browse/Crime-Justice www.dojni.gov.uk/index/statistics-research/stats-research-publications.htm This publication and associated spreadsheet files of the tables contained in this document and detailed information of definitions, sources and key legislative changes are available for download at: www.gov.uk/government/collections/offender-management-statistics-quarterly ## © Crown Copyright 2015 This publication is licensed under the terms of the Open Government Licence v3.0 except where otherwise stated. To view this licence, visit nationalarchives.gov.uk/doc/open-government-licence/version/3 or write to the Information Policy Team, The National Archives, Kew, London TW9 4DU, or email: psi@nationalarchives.gsi.gov.uk.

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# Public Records Bodies: Determination And Change Of Status ## How To Identify A Public Records Body ## © Crown Copyright 2012 You may re-use this information (excluding logos) free of charge in any format or medium, under the terms of the Open Government Licence. To view this licence, visit nationalarchives.gov.uk/doc/open-government-licence or email psi@nationalarchives.gsi.gov.uk. Where we have identified any third-party copyright information, you will need to obtain permission from the copyright holders concerned. This publication is available for download at nationalarchives.gov.uk. ## Contents | Purpose | 3 | |----------------------------------------------------------------------------------|-----| | | | | Determining of status | | | | | | Identifying a Public Records Body | 5 | | | | | Changing the status of a Public Body | 6 | | | | | New Public Bodies | | | | | | Non-public Record Bodies | 7 | | | | | Request for determination of status of records under the Public Records Act 1958 | 8 | | | | | Decision tree: Determination of status | 10 | | | | | Decision tree: Change of status | | | | | ## Purpose The purpose of this guidance is to assist an organisation in determining whether it is a body which creates public records under the Public Records Act 19581. In this guidance, a body which creates public records will be referred to as a 'Public Records Body'. Under Schedule 1, paragraph 2 of the Public Records Act 1958 ('the Act'), records created by government departments and any other office, commission or other body established under Her Majesty's Government are public records. On occasion, it is not immediately clear whether certain bodies are subject to the Act. For a number of reasons, the Act excludes certain bodies (or certain records). The National Archives needs to be included in the determination process. Under the Public Records Act 1958, the Keeper of Public Records has a responsibility to ensure the preservation of public records2. The National Archives will capture decisions on determinations and changes in status. This guidance includes information on how the public body should check or confirm its status if its status as a Public Records Body is unclear. This guidance outlines how an organisation can work with The National Archives to determine its status, highlighting the information required and processes involved. It also includes an annotated version of the form required by The National Archives in order to record said status (see page 8). Send enquiries and forms to: information.management@nationalarchives.gsi.gov.uk. ## Determining Of Status Determining the status of a public body can start in one of two ways:  enquiry from existing body  creation of a new body The process for determination can start by one, or a combination, of:  Hansard (establishment/change to public body announced in House, or in Ministerial Statement)  Ministry of Justice (establishment/change to public body announced through news feed from Ministry of Justice to CEO's Office)  newspaper/journal/internet article noting establishment/change to public body The list of sources is not exhaustive. In order to inform the determination process, a responsible officer (either within the existing body, the Parent Department, or The National Archives) will need to research and collate information on the organisation, including its functions and purpose. The officer could use the following sources to help to establish the status of the public body:  legislation that establishes or changes the status of the public body  Public Records Act 1958  Freedom of Information Act 2000  Parliamentary Commissioner Act 1967  ministerial statements  annual reports (Public Body and/or parent department)  establishment documentation (terms of reference, appointment correspondence, royal warrants)  the Crown bodies list maintained by The National Archives ## Identifying A Public Records Body If the organisation is:  a government department or an executive agency of a government department (Schedule 1, paragraph 2(1)(a))  a court or tribunal (it falls under one of the categories under Schedule 1, paragraph 4)  an establishment or an office under the Crown (Schedule 1, paragraph 2(1)(b))  listed in any part of Schedule 1, paragraph 3 then it creates public records and therefore it is a Public Records Body. The Decision Trees at the end of this guidance can assist organisations in determining if it comes under the Public Records Act. If the organisation is established or owned by HM Government, or has property which is wholly owned by HM Government, then the organisation is a body which creates public records. Note that many but not all public bodies that have Crown status (that is, the documents created by their staff are Crown copyright) are Public Records Bodies. The National Archives has published a Crown bodies list that may be helpful in determining whether Crown status applies. Remember that only the definition contained in Schedule 1 to the Public Records Act 1958 is relevant in determining the public records status of records considered in this guidance. The definition of Crown copyright is different but Crown copyright status can often be helpful as an indicator. If the organisation, or specific records of particular organisations, is excluded from the Public Records Act 1958 (by virtue of Schedule 1, paragraph 2(2) and 3(2)) then its (or those) records are not public records. If it is not covered by any of the above criteria, then the status of the organisation needs to be determined. With information provided by the existing body or the parent department (the form on page 8), a responsible officer within The National Archives will undertake the determination of status. The responsible officer will examine the functions the organisation discharges, the source of its funding, and any appropriate legislation or other instrument by which the body was established. ## Changing The Status Of A Public Body If it is determined that the public body should be a Public Records Body, The National Archives will consult with the Parent Department and/or the existing body in following set procedures for creating new Public Record Bodies. These include:  using powers to make Orders in Council, subject to negative resolution, at paragraph 3A of Schedule 1 to the Act  for Courts and Tribunals, using Schedule 1, paragraph 4 (1)(o)  for legacy records, using Schedule 1, paragraph 7(1) (retrospective effect) When the organisation is added to the list in Schedule 1, paragraph 3, they become a Public Records Body and any records they create from that point on will be public records. The already existing records can be treated as if they were public records. If an organisation has been removed from the list in Schedule 1, paragraph 3 then the records that they created/inherited (while they were listed in the paragraph) will remain public records (see s16, paragraphs (1)(b) and (c), Interpretation Act 1978). ## New Public Bodies For new bodies, the legal team which has responsibility for the passage of the relevant legislation should consult with The National Archives, to ensure the team:  is aware or the requirements of the Act  includes an appropriate amendment to the Act (Schedule 1, paragraph 3) in the draft bill  includes a reference to the body's status as a Public Records Body (although this is not a requirement, as inclusion in Schedule 1, paragraph 3 is enough) ## Non-Public Record Bodies Non-public Record Bodies still need to consider managing their records appropriately, especially if they need to comply with other legislation, for example  Freedom of Information Act 2000  Companies Act 2006  Data Protection Act 1998 The National Archives has published general guidance on best practice in information management and digital continuity which may assist organisations in meeting its own recordkeeping requirements. The National Archives also recommends that non-public record bodies should consider the desirability of deposit with an appropriate archival repository, in order to ensure long-term preservation and access for research purposes. The National Archives' Archives Sector Development (ASD) area may be able to assist in identifying appropriate organisations. Email ASD at: asd@nationalarchives.gov.uk ## Request For Determination Of Status Of Records Under The Public Records Act 1958 Department………………………………………………………………………. Body………………………………………………………………………………. (1) By what method was the body established, for example by statute, Royal charter, Royal warrant or administrative action: (2) What are its terms of reference? (3) How is it financed, for example by departmental vote, grant in aid, statutory levy or other method? (4) Who appoints the members? (5) Is the chairperson a Minister? (6) How is it staffed, for example by civil servants, seconded civil servants or persons recruited by the body itself? (7) Is it subject to ministerial direction? (8) Does it report to a Minister? (9) Are its accounts audited by the Comptroller and Auditor General? (10) Is it subject to scrutiny by the Parliamentary Commissioner for Administration? (11) Is it a Body Corporate or registered under the Companies Acts? (12) Does it have a statutory power to own property? When completed, this form should be sent to: ……………………………………………………….. using the following email: information.management@nationalarchives.gsi.gov.uk ## Organisations Will Need To Request This Form For Completion From The Address Listed Above. Decision Tree: Determination Of Status Decision Tree: Change Of Status

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## Northampton Borough Council Overview And Scrutiny Committee 25 September Briefing Note: Nbc Street Lighting 1. Introduction 1.1 Northamptonshire County Council (NCC) has been maintaining and paying the electricity for a number of Northampton Borough Council (NBC) and Northamptonshire Partnership Homes (NPH) owned street lights for a number of years. NCC propose to hand the 607 street lights back to NBC/NPH to manage and maintain. Any that are not accepted will be removed by NCC at the end of September 2017. 1.2 Following the Overview and Scrutiny report in July 2015 and the Cabinet response in January 2017, an Officer/Member working group was established which is chaired by the Deputy Leader, Cllr Phil Larratt. The working group has met on five occasions with the next planned for 18 September 2017. 1.3 The lighting in question sits on a number of parks and housing estate areas. The ownership of the 607 lighting columns breakdown is as follows: NBC Assets: 179 (29.5%) NPH: 428 (70.5%) The responsibility for the management and maintenance of the lights will fall as per the percentages above. 1.4 This paper provides an update on progress made and the next steps. ## 2. Update 2.1 The key responsibility of the working group is to identify, monitor and evaluate current usage of all NBC owned Street Lighting. The working group will also oversee the transfer of those street lights which are owned by NBC but currently managed and maintained by NCC. A number of these street lights are on NPH land and discussions are underway regarding the management and maintenance of these. 2.2 NBC/NPH are keen to ensure that the street lighting asset list is accurate and comprehensive. Some assessment work therefore is necessary. To help to identify any street lighting that NBC may not be aware of, a communication has been composed which has been sent to the NBC and NCC Ward Councillors, the two Business Improvement Districts (town centre and Brackmills), Parish Councils and local groups. This states that NBC are in the process of updating their street lighting asset list and that their assistance may be required in terms of identification of street lights which may need repairing/replacing. Some responses have already been received from these emails and relevant work is being carried out. 2.3 NCC attended the last working group to outline their current position as follows:  NCC have undertaken an audit of their street lighting and will no longer be managing, maintaining or paying the electricity for any street lighting that is not on their land or owned by them.  NCC have a deadline of the end of September 2017 to hand back all of these street lights to the relevant authorities.  Any which are not on NCC land and are not accepted by the local authorities will remain in their management and will be removed.  NBC and NPH will need to decide whether or not to accept the transfer which is scheduled for 2 October 2017.  NBC and NPH will have to manage, maintain and pay the electricity for the street lighting that is accepted from NCC. 2.4 The lighting is situated in a number of housing estate areas and parks. If they were to be removed, this would have a detrimental effect for the tenants of those areas and the visitors to the parks in the darkened hours. ## 3. Next Steps 3.1 Considering the information in 2.3 and 2.4, a paper is going to Cabinet on Wednesday13 September with the recommendation that NBC and NPH accept the transfer from NCC and the responsibility for the maintenance and electricity costs for the 607 NBC/NPH owned lighting columns. 3.2 The NBC Owned Street Lighting Group are working on completing a comprehensive asset list which will include all of the NBC/NPH owned lighting. This will also include the lighting to be accepted from NCC and ensure NBC and NPH are maintaining the lighting to the highest standard possible. Following the Cabinet decision, a report will be commissioned to survey all of the NBC owned street lighting, undertake and options appraisal and make any recommendations of energy saving opportunities as well as any which may need replacing/removing. It is likely that this will bring forward opportunities for an invest to save programme 3.3 A map containing all the NBC and NPH street lights is in the process of being completed which will inform the survey. ## 4. The Way Forward 4.1 The information within the survey report and options appraisal will allow NBC and NPH to make an informed decision on the future of each street light. This will include upgrading, removal and replacement. Recommendations from this report will be consulted on with the relevant wards and taken to Cabinet for approval. 4.2 NCC will begin to remove any unwanted street lighting starting at the end of September 2017. 4.3 NBC and NPH to negotiate with a management company to manage and maintain the lighting assets on behalf of NBC and NPH. 4.4 The cost implications arising from the management and maintenance of street lights are yet to be established, however an indicative figure will be reported to Cabinet of £72,500 for the electricity and maintenance costs. Once finalised the cost apportionment will be discussed and finalised with NPH. 4.5 A method to enable the public to report any defects to NBC or its nominated contractor, as may be appropriate, will need to be identified. ## 5. Recommendations 5.1 That Overview & Scrutiny; 1. Note the progress that has been made to date and invites the Director of Regeneration, Enterprise and Planning to submit a further update in due course 2. Endorse the way forward outlined in this briefing.

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## Jeff James, Chief Executive And Keeper, The National Archives Archive Accreditation - The National Theatre Friday 2 February 2018 I'm delighted to be here tonight at The National Theatre to present the certificate marking the archive's accreditation, and celebrate your success. Archive Service Accreditation is the UK-wide standard for archive services. It is a national benchmark and quality standard. It recognises good performance across three important areas: organisational health, collections management and access. Archive Service Accreditation is a partnership of the Archives and Records Association (UK), Archives and Records Council Wales, National Records of Scotland, Public Record Office of Northern Ireland, Scottish Council on Archives, The National Archives; and the Welsh Government through its Museums, Archives and Libraries Wales division. There are over 2,500 archives across the UK, of which 104 have now gained Archive Service Accreditation. You now join the 4.3% of services in the country to earn the award - a great achievement. And archives matter. They are our collective memory, allowing society to hold governments to account; to explore our collective and personal identities; to underpin research; to connect generations with stories from the past to the present to the future; and to inspire innovation and creativity. This award is particularly special as the National Theatre is the 100th service to be awarded Accreditation, and the first theatre. In assessing the National Theatre's Archive, the Accreditation panel were hugely impressed by the archives considerable achievements and by how valued the archive is by the entire organisation. They also noted the - collaborative working across the theatre's departments - clear contribution of archive service to theatre's overall mission to open up theatre-making and theatre-history to all - strong support from the Senior Management Team to deliver outward-looking and innovative ways of accessing the rich collections - dedicated staff and the emphasis on professional development - emphasis on reaching new audiences and making collections and spaces both on-site and online - as accessible as possible - commitment to increasing digital access and meeting digital preservation challenge - ambition, professional commitment, collaboration that shines through the service I'd also like to take this opportunity to thank Erin for her contribution to our work in developing Archives Unlocked, the government's new strategic vision for archives which was launched in March last year, just next door at the Southbank Centre. Once again, many congratulations. A well-deserved recognition. I'd like to invite Lisa Burger to receive the award on behalf of the service.

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## Department For International Development Annual Report And Accounts 2013–14 Department For International Development Annual Report And Accounts 2013–14 Annual Repor t presented to Parliament pursuant to Section 1 of the International Development (Repor ting and Transparency) Act 2006 Accounts presented to the House of Commons pursuant to Section 6(4) of the Government Resources and Accounts Act 2000 Accounts presented to the House of Lords by Command of Her Majesty Ordered by the House of Commons to be printed on 15 July 2014 ## © Crown Copyright 2014 You may re-use this information (excluding logos) free of charge in any format or medium, under the terms of the Open Government Licence v .2. To view this licence visit www.nationalarchives.gov .uk/ doc/open-government-licence/version/2/ or email PSI@nationalarchives.gsi.gov .uk Where third par ty material has been identified, permission from the respective copyright holder must be sought. This publication is available at www.gov .uk/government/publications Any enquiries regarding this publication should be sent to us at enquiry@dfid.gov .uk Print ISBN 9781474106634 Web ISBN 9781474106641 Printed in the UK by The Williams Lea Group on behalf of the Controller of Her Majesty's Stationery Office ID SGD004702 06/14 Printed on paper containing 75% recycled fibre content minimum ## Contents | Headline results | 4 | |-----------------------------------------------------------------|----------------------------------------------------| | Foreword by the Secretary of State | 5 | | Lead Non-Executive Director's introduction to the Annual Report | 8 | | Chapter 1: | DFID overview, priorities and expenditure | | Chapter 2: | DFID results | | Chapter 3: | Results in DFID priority countries and regions | | Chapter 4: | Delivering through multilateral organisations | | Chapter 5: | Effective development co-operation | | Chapter 6: | Accounts: Department for International Development | | | | | Chapter 7: | Analysis of departmental expenditure | | | | | Annex A: | DFID allocations by programme | | Annex B: | Annual reporting of statistical information | | | | ## Headline Results By 2013–14, DFID had achieved the following results:* Q provided 43.1 million people with access to clean water, better sanitation or improved hygiene conditions - suppor ted 10.2 million children - 4.9 million girls - to go to primary and lower secondary school Q ensured that 3.6 million bir ths took place safely with the help of nurses, midwives or doctors Q prevented 19.3 million children under 5 and pregnant women from going hungry Q reached 11.4 million people with emergency food assistance Q provided 54.4 million people, including 26.9 million women, with access to financial services to help them work their way out of pover ty Q reached 6.7 million people with cash transfers programmes Q helped 85.8 million people to hold their authorities to account and have a say in their community's development In 2013, the multilateral organisations that DFID suppor ted: Q provided food assistance to 80.9 million people in 75 countries; of these 67.9 million were women and children (World Food Programme) Q immunised 48 million children against preventable diseases (GAVI Alliance) Q detected and treated 1.5 million cases of tuberculosis (The Global Fund to Fight AIDS, TB and Malaria) Q gave 1.0 million new households a water supply (Asian Development Bank) Q provided 9.7 million people with new or improved electricity connections (African Development Bank) Q suppor ted over 4.5 million children in primary education, including 2.2 million girls (Global Par tnership for Education) Q enabled 11.5 million people to benefit from healthcare facilities (International Committee of the Red Cross) Q generated 6.5 million jobs and livelihoods in 113 countries, of which 58% were for women (United Nations Development Programme) ## Foreword By The Secretary Of State Photo: Rt Hon Justine Greening. This year we officially became the first G7 country to meet the UN target of spending 0.7% of gross national income on international development. By achieving this we are not only meeting a longstanding promise to the poorest people in the world, we are acting firmly in Britain's national interest. The way we act in developing countries today is crucial to our long-term economic prospects and to our security. DFID is now developing its most coherent, focused and ambitious approach to inclusive economic development it has ever had. Alongside our work on providing core services such as health, education and sanitation, we are increasingly suppor ting sustainable growth to help end aid dependency through growth and jobs. This approach recognises that businesses are crucial to a country's development and bring vital investment, taxes and innovation as well as jobs and economic oppor tunities for the communities where they operate. This smar ter approach to aid benefits Britain too by creating new markets for British businesses to invest in. UK expor ts to developing countries increased by $17 billion between 2008 and 2013 and Britain's long term economic plan depends on us increasing our global expor ts. By driving growth and de-risking investment in emerging and frontier markets, we have an oppor tunity to do even more business with them. The countries we are giving development assistance to today are the trading par tners of tomorrow. British development money is helping to build up strong and investable business environments in developing countries by cutting red tape, breaking down barriers to trade and improving infrastructure. We recognise that small and medium enterprises are critical to creating more jobs and more prosperous economies. The UK is suppor ting a number of programmes that are helping entrepreneurs and small businesses get access to finance. DFID's Impact Investment Fund made its first investment commitment of $15 million earlier this year into Novastar Ventures, a venture capital fund focused on developing and growing breakthrough businesses in east Africa. We are also expanding the range of instruments DFID deploys to share risk with investors and suppor t development. In November last year I took a high-level business delegation with me to Tanzania to explore oppor tunities for investment - the first time DFID has led such a delegation in Africa. I announced DFID would co-invest with commercial and not for profit par tners in 4 business projects, including new tea and rice estates, with clear development outcomes for Tanzanians. This means we will share some of the risk that would otherwise stop investment from taking place, and we will also share the reward if the venture is a success. I believe British businesses have a crucial role to play in the development effor t and DFID is increasingly par tnering up with key industries and professions. Last year I launched a new relationship between DFID and the London Stock Exchange to suppor t capital market development in sub-Saharan Africa. We are deploying some of the UK's top accounting institutes to countries including Ethiopia, Zambia and Nigeria to help raise professional standards, improve financial repor ting and build investor confidence. We are also working more closely across government to ensure a coherent UK approach to economic development in new markets. Last year DFID, the Foreign Office and UK Trade and Investment launched new High Level Prosperity Par tnerships to strengthen the commercial links between the UK and 5 pilot countries: Angola, Côte d'Ivoire, Ghana, Mozambique and Tanzania. It is critical that we tackle the causes as well as the symptoms of pover ty. Sustainable economic growth and development require peace, the rule of law, an absence of corruption, the recognition of proper ty rights and institutions that ser ve all the people, not just a select few. This is what our Prime Minister calls the Golden Thread of Development: open societies and open economies that give people the space to live and be heard and companies the cer tainty to invest. DFID has a growing por tfolio of projects and programmes that work to strengthen the legal, regulatory and institutional frameworks in developing countries. We are helping countries to build their own tax base, so that when economic growth does happen they are well placed to then reap and reinvest the gains. The G8 land par tnerships, launched during the UK presidency last year, are helping to attract responsible investment through better assessment of the land related risks and how to mitigate them. No country can truly develop if it leaves half its population behind and improving the prospects of girls and women sits alongside economic development at the hear t of DFID's strategy. Following the International Development Gender Equality Act passed in May this year, DFID has a statutory duty to ensure gender equality is a consideration across all of its work: UK development is helping women around the world have choices in their own lives, control over their future and a voice in their community. That includes education, financial services, contraception, land rights, security and access to justice. In November last year the UK hosted an international call to action on violence against girls and women in emergencies and gained an unprecedented global agreement on prioritising the needs of girls and women in our humanitarian responses. We will continue to step up this work. The UK will host the Girl Summit, a global summit on the 22 July to tackle 2 previously neglected issues: female genital mutilation and child, early and forced marriage. We will be bringing together governments, NGOs, charities, activists and businesses to galvanise international effor ts to end these abuses once and for all. Life-saving humanitarian assistance will continue to be one of DFID's most fundamental responsibilities. In 2013, DFID led the world in our response to 2 enormous humanitarian catastrophes in Syria and the Philippines. Our funding for Syria and the region is now £600 million, which reflects the scale of the suffering. In the Philippines the UK was one of the first donors to get relief to the worst-affected areas in the wake of Typhoon Haiyan. The government sent 2 Royal Navy warships carrying marines, engineers and trained medical staff to the islands in a response praised by international obser vers and by ICAI. In total the UK has provided £77 million in humanitarian suppor t to help 1 million people affected and we are committed to helping the people of the Philippines as they rebuild their country. It sat alongside £94 million raised directly by the DEC appeal from the British public. We have continued to drive value for money in everything we do on behalf of the British taxpayer. We are improving our procurement and programme management, and making sure staff have the skills to deliver the Depar tment's priorities. In October last year I launched a new online Development Tracker tool that allows UK taxpayers to track how hard their overseas development investment is working right down to individual project level. DFID is a world leader in pioneering innovative payments by results programmes for tackling complex development problems. We will shor tly launch one of the world's first Development Impact Bonds to invest in the prevention of deadly sleeping sickness in Uganda. This project will bring together private and public investment to fund schemes for treating infected cattle before the disease spreads and investors will earn a return if their programme is a success. This results based aid could be a major par t of how DFID works in the future. And we continue to achieve against our commitments. By 2013-14 we had: - provided 54.4 million people, including at least 26.9 million women, with access to financial services as a means to work their way out of pover ty - suppor ted 10.2 million children, 4.9 million of them girls, to go to primary and lower secondary school; - ensured 3.6 million bir ths took place safely - suppor ted 144.7 million people to vote in elections - reached 11.4 million people with emergency food assistance The next year promises to be an equally critical year for international development. The Millennium Development Goals for tackling pover ty are due to expire at the end of 2015 and we have a historic oppor tunity to agree an even more ambitious set of goals and to finish the job the MDGs star ted. The UK will continue to play an absolutely central role in this. Our ultimate goal is to end aid dependency and secure a better, more prosperous future for everyone. We will continue to ensure that every pound DFID spends has the biggest possible impact on the ground and by driving sustainable growth overseas I believe we can also build a stronger, more competitive economy here in the UK. Rt Hon Justine Greening Secretary of State for International Development July 2014 ## Lead Non-Executive Director'S Introduction To The Annual Report The past year has been about both consolidation and change for the Board, and for the Depar tment as a whole. The current Ministerial team has been in place since September 2012. Two Directors General left the Depar tment during 2013-14, a new Director General position focused on economic development was created, and there were also changes at the non-executive level. Eric Salama and Tim Robinson were both appointed to the Board in June, taking the total number of non-executives to 4. Eric also sits on the Audit Committee, which continues to be chaired by Richard Keys, and Tim chairs the Digital Advisory Panel. Their extensive and varied experience has brought welcome new perspectives to Board discussions, and I look forward to working with all of my non-executive colleagues over the coming year. For DFID, 2013-14 was a landmark year in which the government's commitment to spend 0.7% of GNI on international development was met. I have been impressed by the way in which the Depar tment managed delivery of this commitment, and in par ticular by the continued focus on ensuring value for money. The quality of management information seen by the Board has continued to improve, enabling us to track progress on results and broader por tfolio quality. A strengthened effor t on ensuring timely completion of annual and completion reviews was par ticularly impor tant in this regard. This push was one par t of an overall focus this year on programme management, following an end to end review of DFID's programme and project management cycle. A package of reforms to improve programme leadership, capability and processes has been agreed. Embedding these reforms, and the associated cultural changes, will be a key challenge for the coming year, and something which the Board and its sub-committees will track closely. The Board met 7 times during the year, including 3 excellent away days in spring and early summer focused on DFID's Business Model for the post-2015 period. These discussions focused on ensuring that the Depar tment invests in the right things, in the right places and in the right way. The Board's conclusions determined DFID's future footprint, and shaped the ongoing resource allocation process for 2015-16. DFID was one of 5 Depar tments to pilot Depar tmental Improvement Plans (DIPs). Finalised in June 2014 with strong involvement from the Board, the DIP sets out how DFID plans to build on the conclusions of the 2012 Capability Review and make progress against the Civil Ser vice Reform plan. On skills, it prioritised building finance, commercial and digital capacity. There has been good progress over the past year on all of these, and par ticularly on commercial transformation. 75% of the Senior Civil Service had under taken commercial skills training by the end of April, and all will have done so by the end of September 2014. An impor tant task for the coming year is to develop a longer-term commercial vision for the Depar tment. There has also been a continued focus on driving fur ther efficiencies across the organisation. In October, DFID successfully introduced a new human resources and payroll system - HR Passpor t - which delivered both greater self-ser vice for staff, and better access to accurate management information, with anticipated savings of £1 million per annum from 2014–15. A review of Board effectiveness, and the Depar tment's broader corporate governance, was under taken in early 2014. The purpose was to build on the good progress made in the past year in strengthening the operation of the Board. The recommendations, which have been agreed by the Secretary of State, include: increasing the frequency of formal Board meetings to 6 a year, better aligned with the production of management information; rationalising the number of sub-committees; clarifying the differing roles of the Board and Executive Management Committee; and focusing non-executive engagement on the enhanced Depar tmental Board. These changes will be implemented over the coming months. ## Dfid Overview, Priorities And Expenditure Overview About Dfid 1.1 The Depar tment for International Development (DFID) leads the UK government's effor t to promote stability and sustainable development and to end extreme pover ty and aid dependency through growth and jobs. DFID operates under the International Development Act, which came into force in 2002 and establishes the legal basis for UK development assistance. This means that the Secretary of State for International Development can provide development assistance for sustainable development and welfare, providing that she is satisfied that this assistance is likely to contribute to pover ty reduction. 1.2 The 2006 International Development (Repor ting and Transparency) Act strengthens the accountability of the UK government in delivering its pledges to help the world's poorest countries and people. The Act requires DFID to repor t annually to Parliament on development policies and programmes and on the provision of development assistance to par tner countries and the way it is used. This Repor t discharges DFID's responsibilities under the Act for 2013–14. This chapter is shor ter than in the 2012–13 Repor t, reflecting the increase in information made available by the Depar tment online; this approach will continue for the rest of the Repor t in the future as DFID looks to produce a more focused Repor t that satisfies Parliamentary and legal requirements. 1.3 DFID is represented in the Cabinet by the Secretary of State for International Development, the Right Honourable Justine Greening MP . In the House of Commons, the Secretary of State is suppor ted by Minister of State, the Right Honourable Alan Duncan MP and Parliamentary Under-Secretary of State, Lynne Featherstone MP and in the House of Lords by Spokesperson Baroness Nor thover. 1.4 The most senior civil ser vant in DFID is the Permanent Secretary, Mark Lowcock, who is assisted on the DFID Executive Management Committee by the Directors General. 1.5 The DFID Business Plan for 2012–15 set out a number of priorities for the Depar tment. These priorities are to: - honour international commitments and suppor t actions to achieve the Millennium Development Goals (MDGs)1 - drive transparency, value for money and open government - boost economic development - strengthen government and security in fragile and conflict-affected countries and make the UK's humanitarian response more effective - lead international action to improve the lives of girls and women - combat climate change 1.6 DFID's other major areas of responsibility are to: - respond to humanitarian disasters - deliver on obligations to the Overseas Territories - influence the global development system ## Where Dfid Works 1.7 DFID works from its UK headquar ters in London and East Kilbride and from offices overseas. DFID had over 2,750 staff in 2013–14, over half of whom worked in developing countries. In 2013–14, DFID continued to ensure that resources were focused on the places where they will achieve the most impact. Internally, DFID has developed its business model to ensure that it is doing the right things in the right places in the right ways. 1.8 DFID promotes development in the poorest countries around the world. Resources are delivered through a range of par tners including multilateral institutions, civil society organisations and the private sector. Additionally, DFID has bilateral country programmes2 in 28 priority countries so that suppor t can be targeted where it will make the biggest difference. DFID also has regional programmes in Africa, Asia, the Middle East and Nor th Africa, and the Caribbean, and development relationships with the Overseas Territories. ## What Dfid Spent In 2013–14 1.9 In the financial year 2013–14, DFID's total expenditure was £10,103 million - up from £7,921 million in 2012–13; this enabled delivery of the government's target of spending 0.7% of gross national income3 (GNI) as Official Development Assistance (ODA) in 2013. The UK became the first G7 nation to deliver on the 0.7% spending target. The total comprised £9,918 million programme expenditure, £116 million administration and depreciation costs and £69 million annually managed expenditure. A detailed breakdown of DFID's programme expenditure by programme area is shown in Annex A. 1.10 A total of £3,259 million was spent directly by DFID's 28 priority country offices. Fur ther details of the programmes in priority countries can be found in Chapter 3. The largest country programme was Ethiopia, with expenditure of £284.4 million. 1.11 A total of £4,338 million4 was spent through core contributions to multilateral organisations5 such as the United Nations (UN) Development Programme. Additional information on DFID's multilateral programmes is set out in Chapter 4. The remaining programme spend focused on regional and other country programmes, as well as research and programmes to deliver policy priorities. ## What The Uk Spent On Oda In 2013 1.12 ODA is the internationally agreed standard definition of aid, as laid out in the Statistical Repor ting Directives of the Development Assistance Committee of the Organisation for Economic Co-operation and Development. ODA is repor ted by calendar year. In total, including spending by other UK government depar tments, provisional UK ODA in 2013 was £11,437 million or 0.72% of UK GNI. DFID accounted for £10,040 million, or 88% of UK ODA. Table 1.1 below shows the distribution of ODA across UK government depar tments. Final UK ODA figures for 2013 will be published in October 2014. All of the data is produced in publications that have been accredited as 'National Statistics', the highest grading of official statistics, by the UK Statistics Authority. Government departments Depar tment for International Development 7,593 86.6 10,040 87.8 Depar tment of Energy and Climate Change 246 2.8 412 3.6 Foreign and Commonwealth Office (FCO) 282 3.2 289 2.5 Depar tment for Business, Innovation and Skills (BIS) 48 0.5 44 0.4 Depar tment for Environment, Food and Rural Affairs 22 0.3 33 0.3 Expor t Credits Guarantee Depar tment 20 0.2 30 0.3 Home Office 29 0.3 30 0.3 Depar tment of Health 15 0.2 12 0.1 Scottish Government 10 0.1 11 0.1 Depar tment for Work and Pensions 10 0.1 10 0.1 Ministry of Defence 5 0.1 5 0.0 Welsh Government 1 0.0 1 0.0 Depar tment for Culture, Media and Spor t 2 0.0 1 0.0 Other sources of UK ODA Conflict Pool (non-DFID) 176 2.0 192 1.7 EC Attribution (non-DFID) 109 1.2 134 1.2 CDC Group plc 103 1.2 100 0.9 Gift Aid 91 1.0 91 0.8 Colonial Pensions 3 0.0 2 0.0 Total UK ODA 8,766 100 11,437 100 Source: Statistical Release - Provisional UK Official Development Assistance as a propor tion of Gross National Income, 2013. 2012 ODA (£million) 2012 share of UK ODA (%) 2013 ODA (£million) 2013 share of UK ODA (%) ## Dfid Policy Priorities In 2013–14 Boosting Economic Development And Creating Jobs 1.13 Economic development is the only sustainable long term way to end aid dependency. In 2013–14, DFID made economic development a key priority: it published the Economic Development Strategic Framework and used a wider array of instruments to stimulate investment that reduces pover ty through jobs, by raising incomes for individuals through employment, and providing tax receipts for governments to fund services such as health and education. 1.14 In developing countries, 900 million people are working but are living in pover ty, mostly in Africa and south Asia. Many DFID-led initiatives contribute to raising incomes and improving job prospects for poor people. For example, a skills programme in Punjab, Pakistan, trained 7,500 people and monitored employment status after training; and over 700,000 people in the hor ticulture and garment sectors in Kenya, South Africa and Bangladesh are expected to benefit through the Trade and Global Value Chains Initiative which works with global businesses to improve working conditions and job oppor tunities. 1.15 DFID works with businesses to encourage them to invest more, and more responsibly, in developing countries. In November 2013, DFID's Secretary of State visited Tanzania accompanied by representatives of 18 UK and international companies to promote investment through par tnerships and co-investment. As a result of the visit, DFID has co-invested in Kilombero Plantations Ltd to suppor t the pilot stage of a new gasification plant to expand irrigation for rice cultivation. Through the Food Retail Industry Challenge Fund, DFID helped small farmers in Kenya access the UK distribution market with a yellow passion fruit which is now sold in over 100 stores in the UK. 1.16 In 24 developing countries, the UK directly suppor ts reforms to reduce the costs and time taken to register a business, secure title to land, clear goods across borders and enforce contracts in local cour ts. In Afghanistan, DFID assistance through the Afghanistan Investment Climate Facility has helped reduce the number of steps needed to obtain a land lease from 52 to 9, and those to obtain a business licence from 21 to 8. 1.17 Financial markets play an impor tant role in enabling growth, with access to finance being key to making this growth inclusive for poor people. In 2013, DFID helped 11.6 million poor people get access to financial ser vices through branchless banking, using their mobile phones, across sub-Saharan Africa, south Asia and Latin America. Of these, 46% or 5.3 million were women. 1.18 CDC Group plc is the UK's development finance institution, 100% owned by the UK government. CDC's mission is to suppor t the building of businesses throughout Africa and south Asia, to create jobs and make a lasting difference to people's lives in some of the world's poorest places. CDC has £2,504.2 million invested in 1,298 companies, suppor ting over 1 million jobs in 75 countries. CDC-backed companies have created around 495,000 jobs since 2008. In 2013, CDC made 26 new investments totalling £608 million, including 13 direct investments. ## Improving The Lives Of Girls And Women 1.19 The Secretary of State for International Development has championed the rights of girls and women, enabling them to have voice, choice and control over their own development. The Parliamentary Under-Secretary of State has continued to play a pivotal and driving role in tackling violence against women and girls internationally and through her campaign to end female genital mutilation (FGM) in a generation. Beyond DFID, the Foreign Secretary has also played a vital international role in raising awareness of and addressing the issue of sexual violence in conflict-affected countries. 1.20 DFID led on government suppor t for Bill Cash MP's International Development (Gender Equality) Act 2014, which became law on 13 March. The Act means that before providing development assistance, consideration must be given to how it will contribute to reducing gender inequality. Gender-related differences in needs must also be taken into account before the provision of humanitarian assistance.7 The Act also introduces a new annual repor ting duty on progress towards achieving the MDG 3. 1.21 In 2013, DFID refreshed its Strategic Vision for Girls and Women. The Strategic Vision drives action to increase oppor tunities for girls and women through: - **Voice** in decision making in their household, community and country, in politics, business, the media and civil society - **Choice** to complete education and to benefit from paid work and economic oppor tunities; over whether, when and with whom to have sex, marry and/or have children, ending child, early and forced marriage - **Control** over their own bodies and mobility, including their safety from violence; over income, productive assets and other resources (including food, water, energy); with equal legal rights and access to justice; and freedom from discriminatory social norms such as female genital mutilation/ cutting (FGM/C) 1.22 **Enabling girls' and women's voices to be heard:** DFID worked with the Foreign and Commonwealth Office (FCO), the Government Equalities Office, the Home Office and par tners around the world to secure a successful outcome at the UN Commission on the Status of Women in March 2014, where governments called for a post-2015 development goal on gender equality and for women's rights to be mainstreamed across the post 2015 agenda. 1.23 **Enabling girls and women to have greater choice in their lives:** By 2013–14, DFID had suppor ted 4.9 million girls in primary and lower secondary school (out of 10.2 million children) through its bilateral aid programmes around the world. 1.24 **Enabling girls and women to have more control over their lives:** In March 2013, DFID star ted a second phase of suppor t to the Africa-led movement to end FGM through a UN Joint Programme, now operating in 17 countries. In January 2014, the End FGM/C Social Change Campaign was launched which will work in at least 10 affected countries and with the UK diaspora, to build a movement to end FGM/C. 1.25 In November 2013, the UK co-chaired with Sweden 'Keep Her Safe', an international Call to Action on Protecting Girls and Women in Emergencies. Some 13 donors, 10 multilaterals and over 20 of the world's leading non-governmental organisations (NGOs) made commitments to prioritise the prevention of and response to violence against women and girls as a lifesaving intervention in emergencies. The UK committed £21.6 million. 1.26 In 2013–14, the Prime Minister announced the Girl Summit 2014 - a high level event on 22 July 2014 to galvanise global action behind developing country effor ts to end child, early and forced marriage and FGM within a generation. ## The Golden Thread Of Development 1.27 DFID works to promote open societies and open governments, enabling states to function for their citizens and citizens to lead their own development. 1.28 By 2013–14, DFID had helped 85.8 million people hold decision makers to account. An example of this is our programme in Tanzania where DFID suppor ted over 5 million Tanzanian women and men to understand what ser vices they should be able to expect, access ser vices including water, education and health ser vices, and enabled communities to hold authorities to account in cases of poor performance. By 2013–14, DFID had provided assistance to 11 countries to suppor t freer and fairer electoral processes across the developing world, including in Pakistan and Nepal. 1.29 In 2013, the UK used its G8 Presidency to push for greater transparency on how governments and companies operate, at home and abroad. At Lough Erne, G8 members, alongside Panama, Ireland and the Philippines, endorsed the Open Data Char ter. G8 members agreed that they would take action towards common global standards of extractives transparency and that all land transactions should be transparent, respecting the proper ty rights of local communities. The G8 launched 8 country par tnerships to improve land governance and implement the global Voluntary Guidelines on the Responsible Governance of Tenure of Land and 8 par tnerships to improve transparency, accountability and capacity to manage extractives. 1.30 The UK hosted and co-chaired the Open Government Par tnership (OGP) Summit in October 2013, where DFID launched its Development Tracker website, making development data accessible and transparent. Membership of the OGP increased from 45 to 53 countries committed to greater government transparency and accountability. 1.31 The Prime Minister co-chaired the UN High-Level Panel of eminent persons on the post 2015 Development Agenda, which submitted its repor t to the UN Secretary General in May 2013.8 The repor t set out the 5 transformative shifts needed to turn the vision that this can and must be the generation to eradicate extreme pover ty, into a reality. ## Responding To Humanitarian Emergencies 1.32 DFID leads the UK government's response to humanitarian emergencies throughout the world, responding rapidly and decisively to save lives. - the UK acted decisively and rapidly in response to Typhoon Haiyan, which struck the Philippines on 8 November 2013 and in which over 6,200 people died, 4.1 million were displaced and 1.1 million homes were damaged or destroyed. The UK provided £77 million in suppor t, more than any other donor, helping more than a million people. In its repor t, the Independent Commission for Aid Impact (ICAI) gave the UK response to Typhoon Haiyan the highest ever rating for a UK aid programme - in the Sahel, DFID is providing suppor t to communities facing food insecurity and malnutrition and to those affected by conflict. This suppor t is expected to benefit over 1.6 million people across the region in 2013–14 - the UK is providing humanitarian assistance in the Central African Republic in response to a severe escalation in the crisis. Suppor t is provided through the International Committee of the Red Cross, NGOs and UN agencies in emergency healthcare, clean water, food security and logistics and is expected to benefit over 100,000 people - since conflict erupted in South Sudan in December 2013, displacing up to 1 million people, the UK has allocated £95 million to the humanitarian response, making it the second largest donor. DFID has worked with the UN and others to raise awareness of the crisis, to press the government and opposition to respect a ceasefire and allow access for humanitarian aid, and to secure increased commitments of funds from other donors - in October 2013, after Cyclone Phailin in Odisha, India, DFID provided 200,000 people with clean water, basic shelter and other essential items such as blankets and cooking utensils, with a focus on the most vulnerable, including women and girls ## Uk Response To The Crisis In Syria DFID allocated £295 million in aid to the Syria crisis in 2013–14, contributing to making this the largest ever UK response to a humanitarian crisis. Over 9 million people are in dire need of humanitarian aid, with 6.5 million people internally displaced and 2.6 million who have fled to neighbouring countries. The scale of the crisis means that DFID now works with over 30 partners in 6 countries - Syria as well as the neighbouring countries of Jordan, Lebanon, Turkey, Iraq and Egypt. DFID leads on UK government efforts to alleviate humanitarian suffering and supports FCO-led efforts to achieve a political solution to the conflict. £295 million was allocated to partners in 2013–14: Syria 43% Lebanon 23% Jordan 21% Turkey 4% Iraq 4% Egypt 1% Regional 4% With over 30 different partners, DFID is able to provide support in various sectors. Headline results for 2013–14 are: - food for up to 535,000 people per month - drinking water for over 600,000 people - over 100,000 individuals benefiting from medical consultations and trauma care - shelter and basic household items for over 50,000 people - DFID also contributes to the No Lost Generation initiative which involves providing child protection, psychosocial support and education to Syrian children affected by the crisis - this includes textbooks for 300,000 children in Lebanon ## Implementing The Humanitarian Emergency Response Review 1.33 The government's response to Lord Ashdown's Humanitarian Emergency Response Review (HERR) was published in June 2011. This committed the government to improve and reinforce the UK's response to humanitarian emergencies. A more effective response requires greater investment in preparedness, anticipation and prevention by building resilience. HERR milestones reached in 2013–14 include: - a new Global Humanitarian Risk Register used by senior decision makers to give a picture of global risk and trends and to ensure that country programming addresses risks - multi-year humanitarian programmes providing more predictable funding in chronic situations, including triggers for releasing extra funding in response to rapid changes in need - support for the new Rapid Response Fund, 'Start', to respond to small scale forgotten crises across the world - work with governments in several at-risk countries to ensure they have systems and capability in place to respond to disasters (Nepal, Bangladesh, Burma, Mozambique, Malawi, Philippines, Occupied Palestinian Territories) - innovative use of science in humanitarian response through the Science in Humanitarian Emergencies and Disasters mechanism and collaboration with the Met Office to use its weather data in humanitarian crises - UK International Emergency Trauma Register incorporated into DFID's humanitarian response - training courses and deployments are already under way to allow 1,000 UK medical personnel to join the UK humanitarian response - investment in the UK stockpile, increasing its size in order to provide up to 75,000 people with lifesaving non-food items ## Improving Access To Basic Services 1.34 Poor health is both a cause and a consequence of pover ty and widens inequalities. The Health Position Paper, published in July 2013, sets out how DFID works to improve health outcomes in developing countries. It explains DFID's public health approach, which combines investments that achieve targeted results with investments that strengthen broader health systems. 1.35 Achievements during 2013–14 included suppor t to increasing access to HIV medicines through market shaping by the Clinton Health Access Initiative, resulting in an estimated cost saving of $6.2–8.1 million for 4 African countries. In addition, the Health Par tnership Scheme, which funds par tnerships between UK health professionals and institutions and those in low income countries, suppor ted par tnerships involving 77 UK health institutions to share skills and develop capacity in 41 low and middle income countries. 1.36 In 2013–14, DFID-suppor ted reproductive, maternal and new-born health programmes resulted in 747,000 bir ths being attended by a skilled bir th attendant and 1.4 million additional women using modern methods of family planning. DFID also helped suppor t 120 million polio vaccinations through the Global Polio Eradication Initiative and the immunisation of over 77 million additional children through suppor t to the GAVI Alliance and the Measles and Rubella Initiative. Over 57 million people received mass drug administration for neglected tropical diseases and 9 million long-lasting insecticide treated bed nets were procured and distributed in high burden countries to prevent malaria. 1.37 Education facilitates pover ty reduction, equality and long term economic development. During 2013–14, DFID stepped up its work on the Girls' Education Challenge, and is now suppor ting 39 projects globally. This includes teaming up with global businesses to match fund their joint £15.8 million investments (resulting in a total of £31 million) in projects which will increase educational and economic oppor tunities for marginalised girls in sub-Saharan Africa. 1.38 DFID's task force of leading international higher education exper ts has completed its assessment of the role of higher education in a country's development and provided its views on where development assistance can deliver the biggest impact. Internationally, DFID has been an active par ticipant in the Learning Metrics Task Force aiming to put access plus learning at the hear t of post-2015 education. 1.39 On 8 June 2013, the UK held a high level nutrition event, 'Nutrition for Growth: beating hunger through business and science' co-hosted by the Government of Brazil and the Children's Investment Fund Foundation. It brought governments, civil society, business and science together to reverse the neglect of undernutrition. A high-level declaration, the Global Nutrition for Growth Compact, was endorsed by over 100 governments, business and organisations, and new international financial commitments were made of £2.7 billion to suppor t direct nutrition programmes. Alongside significant commitments made by others, the UK committed an additional £375 million (between 2013 and 2020) for programmes which address the immediate causes of undernutrition spend, and up to £280 million of matched funding between 2013 and 2020. DFID also committed to increase funding to prevent undernutrition through other sectors (such as social protection, agriculture and water, sanitation and hygiene) by approximately £604 million between 2013 and 2020.9 ## Combating Climate Change 1.40 The £3.87 billion International Climate Fund (ICF) is par t of the UK's international effor t to address the challenge of climate change. It suppor ts programmes that help people in developing countries adapt to the impacts of climate change, promote low carbon growth and protect forests. These programmes aim to improve the quality of people's lives - par ticularly women and girls; suppor t people's livelihoods; and underpin long term economic growth and development. For example, DFID is providing up to £150 million from the ICF to the International Fund for Agricultural Development's Adaptation for Smallholder Agriculture Programme which will help up to 6 million smallholder farmers in 30 countries cope with the impacts of climate change. 1.41 Internationally, DFID has continued to play a leading role in shaping the international climate finance architecture, in par ticular through membership of the board of the Green Climate Fund. DFID's suppor t for climate programmes has been recognised internationally: the Legal Response Initiative by the DFID funded Climate and Development Knowledge Network programme, designed to assist poor and climate vulnerable countries make their voices heard in the global climate negotiations, won the Climate Week 'best campaign or educational initiative' award. 1.42 DFID continues to work towards ensuring that climate and environment considerations are integrated into all UK development assistance. By the end of 2013, every DFID depar tment had under taken a strategic review to identify how investments and operations can best address climate and environment issues. Deeper analysis of the links between pover ty, climate change and resource scarcity and how DFID may need to respond is being taken forward through a strategy led by DFID's Executive Management Committee. ## Dfid Results 2.1 Introduction 2.1 DFID has invested heavily over the past few years in strengthening its focus on results. In 2011, the DFID Results Framework (DRF) was published setting out the results the UK aims to achieve by 2015. Alongside this, the UK made a number of results commitments as outlined within 'UK aid: Changing lives, delivering results'1 and 'DFID's Strategic Vision for Girls and Women'.2 2.2 The Results Framework is used as a tool to monitor and repor t progress in delivering these results commitments, providing evidence of the impact of UK aid and the improvements made to the lives of poor people in the countries where the UK works. 2.3 As illustrated in Figure 2.1, the Results Framework is organised into 4 levels. It sets out the development outcomes DFID is seeking to contribute to (level 1), the actual results DFID will deliver (level 2), and the metrics DFID use to measure its organisational effectiveness and efficiency (level 3 and 4). It is impor tant to note that the Framework does not capture everything that DFID is delivering. Chapter 3 provides a summary of headline results achieved in each of DFID's priority countries and regions, which vary reflecting the specific priorities and operational context in each country and region. Fur ther information on the Results Framework can be found at: www.gov .uk/government/publications/dfid-s-results-framework 2.4 This chapter repor ts information against each level of the Results Framework, as well as impact and input indicators which are included in DFID's business plan. The data is available to download from the GOV .UK website.3 ## 2.2 Reporting Against Dfid'S Results Framework Level 1: Progress On Key Development Outcomes 2.5 The first level of the Results Framework monitors progress towards the Millennium Development Goal (MDG) standard indicators. Progress towards these outcomes is driven by the collective action of developing countries and diverse development par tners, and not the actions of DFID alone. Monitoring progress of these goals is crucial to understanding what results are being achieved through all development resources, not just our own. Where progress is slow or regressing, DFID actively uses this evidence to inform and guide its future programming. 2.6 In addition to the MDG standard indicators, level 1 of the DFID Results Framework includes one additional DFID-specific indicator relating to children who can read with sufficient fluency. DFID has incorporated this indicator to reflect the impor tance of monitoring the quality of education provided in DFID's priority countries alongside the number of children enrolling in school. DFID is working with global par tners to develop data systems and tools to measure progress against this indicator by 2015. 2.7 The indicators included in level 1 of DFID's Results Framework are summarised in Figure 2.2. As in previous Annual Repor ts, DFID assesses progress against these indicators in 2 ways: - Global progress based on the UN assessment is displayed in Figure 2.3 with a shor t narrative provided for each MDG in Figure 2.4. The UN assessment is based on information available as at June 2013. The latest available data for most indicators refers to 2011 to 2013. - Country progress against a subset of 7 MDG indicators based on DFID's assessment of progress in each of its priority countries is provided in Chapter 3. 4 | Indicator | Millennium Development Goal | |------------------------------------------------------------------------------------------------|----------------------------------------------| | (MDG) | | | Proportion of population below $1.25 (PPP) per day | | | Goal 1: Eradicate extreme | | | Growth rate of GDP per person employed | | | poverty and hunger | | | Employment to population ratio | | | Prevalence of underweight children under 5 years of age | | | Net enrolment ratio in primary school | | | Goal 2: Achieve universal | | | Proportion of pupils star | ting grade 1 who reach last grade of primary | | primary education | | | Literacy rate of 15–24 year olds, women and men | | | Percentage of children that can read with sufficient fluency for comprehension in early grades | | | 4 | | | Ratio of girls to boys in primary, secondary and ter | tiary education | | | | | Share of women in wage employment in the non-agricultural sector | | | Goal 3: Promote gender equality | | | and empower women | | | Proportion of seats held by women in national parliament | | | Goal 4: Reduce child mortality | | | Under 5 mortality rate | | | Maternal mortality ratio | | | Goal 5: Improve maternal health | | | Proportion of births attended by skilled health personnel | | | Unmet need for family planning | | | Incidence and death rates associated with malaria | | | HIV prevalence among population aged 15–24 years | | | Goal 6: Combat HIV/AIDS, | | | malaria and other diseases | | | Proportion of population with advanced HIV infection with access to antiretroviral drugs | | | Proportion of population using an improved drinking water source | | | Goal 7: Ensure environmental | | | Proportion of population using an improved sanitation facility | | | sustainability | | | Proportion of land area covered by forest | | | CO | | | 2 | | | emissions, total, per capita, and per $1 GDP (PPP) | | 1 ## Goal 4: Reduce Child Mortality Goal 5: Improve Maternal Health moderate access (Amber) moderate Access to reproductive low access high access access health (Amber) (Green) (Amber) ## Goal 6: Combat Hiv/Aids, Malaria And Other Diseases Halt and begin to low high low low low low low low intermediate reverse the spread of incidence incidence incidence incidence incidence incidence incidence incidence incidence HIV/AIDS (Red) (Green) (Amber) (Amber) (Green) (Amber) (Green) (Amber) (Red) low mortality (Green) moderate mortality (Green) moderate Halt and reverse spread low mortality mortality of tuberculosis (Amber) (Amber) ## Goal 7: Ensure Environmental Sustainability Halve propor tion of high low high moderate high high low high moderate population without coverage coverage coverage coverage coverage coverage coverage coverage coverage improved drinking water (Green) (Amber) (Green) (Green) (Green) (Amber) (Amber) (Green) (Red) Halve propor tion of high very low low low very low moderate very low moderate high population without coverage coverage coverage coverage coverage coverage coverage coverage coverage sanitation (Green) (Amber) (Green) (Green) (Amber) (Amber) (Amber) (Green) (Green) moderate very high Key to colour coding in tables: Green = target already met or expected to be met by 2015 Amber = progress insufficient to reach the target if prevailing trends persist Red = no progress or deterioration Grey = missing or insufficient data *Pover ty progress for Eastern Asia is assessed based on China's data only. Note that the descriptive text (eg very high pover ty) listed against the indicators in Figure 2.3 relates to the current status while the red/amber/green status relates to the relative progress that has been made. access (Amber) moderate access (Amber) moderate access (Amber) low mortality (Green) low mortality (Green) moderate mortality (Amber) high mortality (Amber) moderate mortality (Green) ## Figure 2.4: Narrative On Global Progress Towards The Mdgs Mdg 1: Eradicate Extreme Poverty And Hunger Target 1.A: Halve, Between 1990 And 2015, The Proportion Of People Whose Income Is Less Than $1 A Day. Global Progress: Met Ahead Of Schedule. The world reached the pover ty reduction target 5 years ahead of schedule. In developing regions, the propor tion of people living on less than $1.25 a day fell from 47% in 1990 to 22% in 2010. About 700 million fewer people lived in conditions of extreme pover ty in 2010 than in 1990. Extreme pover ty rates have fallen in every developing region, with China leading the way. Pover ty remains widespread in sub-Saharan Africa and southern Asia, although progress in the latter region has been substantial. 4 out of 5 of the 970 million people expected to be living in extreme pover ty in 2015 will be in sub-Saharan Africa and southern Asia. ## Target 1.B: Achieve Full And Productive Employment And Decent Work For All, Including Women And Young People. Global Progress: Lagging.6 Since 2001, the number of workers living on less than $1.25 a day has declined by 294 million. However, 400 million people still work below the $1.25 income threshold and a fur ther 480 million between $1.25 and $2 a day. The propor tion of workers in vulnerable employment has also decreased globally between 1991 and 2011 - a positive result for women who are far more likely than men to be engaged in vulnerable employment, especially in Nor thern Africa and Western Asia. However, a large gender gap in employment persists and is unchanged. The employment-to-population ratio for men in developing countries remains at 75% compared to 48% for women. Unemployment remains a key challenge for young people. Negative labour market trends for youth have accounted for 41% of the decline in the global employment-to-population ratio since 2007. The combination of more youth being available for work and falling employment rates among youth contributed two fifths of the global decline in the employment-to-population ratio since 2007. ## Target 1.C: Halve, Between 1990 And 2015, The Proportion Of People Who Suffer From Hunger. Global Progress: Lagging. Good progress has been made towards this target in some regions but hunger and undernutrition remain unacceptably high in sub-Saharan Africa and south Asia. The 2013 Nutrition for Growth (N4G) event, co-hosted by the UK, aimed to secure the scale of commitment needed to accelerate reductions in undernutrition beyond 2015. Through N4G, over 100 governments, donors, businesses and civil society organisations pledged to reduce the number of stunted children in the world by 20 million by 2020. Approximately £14.4 billion was committed by governments of affected countries and donors to suppor t scale-up of ser vices to improve nutrition outcomes. A new Global Repor t on Nutrition will be published annually to track progress against N4G commitments and to hold stakeholders to account for delivering results in high-burden countries. ## Mdg 2: Achieve Universal Primary Education Target 2: Ensure That, By 2015, Children Everywhere, Boys And Girls Alike, Will Be Able To Complete A Full Course Of Primary Schooling. **Global Progress:** Lagging. Greater numbers of children living in developing regions are enrolled in primary education than ever before. The enrolment rate in primary education stands at an impressive 90%. However, there are regional differences. In sub-Saharan Africa the rate of progress in reducing the out-of-school population has stalled, leaving 22% of primary school age children, in that region, out of school. More widely, on current projections, there are concerns that only 68 out of 122 countries will achieve universal primary enrolment by 2015. DFID is committed to working with international effor ts to focus on reaching the most vulnerable, increasing rates of school completion and improving learning outcomes. ## Mdg 3: Promote Gender Equality And Empower Women Target 3: Eliminate Gender Disparity In Primary And Secondary Education, Preferably By 2005, And In All Levels Of Education No Later Than 2015. Global Progress: Lagging. Significant progress has been made for girls and women. Globally, more girls go to school, women are living longer, having fewer children and have greater par ticipation in the labour market. However, only 2 out of 103 countries have achieved the target of gender parity in all levels of education. Progress seen at the star t of the decade has slowed considerably. 31 million girls of primary school age have never been to school. Gender disparities in education increase at secondary level and are most pronounced at ter tiary level as gender-discriminatory social norms and increased education costs prevent girls from staying in school. Some progress is also being made in relation to the propor tion of women in wage employment in the non-agricultural sector. 40 out of 100 wage-earning jobs in the non-agricultural sector are held by women, a significant improvement since 1990. ## Mdg 4: Reduce Child Mortality Target 4: Between 1990 And 2015, Reduce The Under-5 Mortality Rate By Two-Thirds. Global Progress: Lagging. The majority of child deaths are due to conditions that can be prevented or treated with simple, affordable inter ventions. Globally, the mor tality rate for children under 5 has declined by nearly 50% from 1990 to 2011. However, despite steady progress, the MDG target is unlikely to be reached without accelerated action to tackle the leading killers in children (newborn deaths 44%, pneumonia 17%, diarrhoea 9% and malaria 7%) and increased effor ts to reduce childhood malnutrition (linked to 45% of child deaths), par ticularly in sub-Saharan Africa where 1 in 9 children die before the age of 5. Newborn mor tality requires par ticular attention, with 1 million children a year not surviving their first day of life. ## Mdg 5: Improve Maternal Health Target 5.A: Between 1990 And 2015, Reduce The Maternal Mortality Ratio By Three Quarters. Global Progress: Lagging. Globally the maternal mor tality rate declined by 47% over the past 2 decades, from 400 maternal deaths per 100,000 live bir ths in 1990 to 210 in 2010. All regions have made progress, with the highest reductions in eastern Asia (69%), nor thern Africa (66%) and southern Asia (64%). However, meeting the MDG target of reducing the ratio by three quar ters will require accelerated interventions, improved access to emergency obstetric care, assistance from skilled health personnel at delivery and the provision of antiretroviral therapy to all women who need it. The propor tion of deliveries attended by skilled personnel rose from 55% in 1990 to 66% in 2011. However, in about 46 million of the 135 million live bir ths in 2011, women delivered alone or with inadequate care. Wide disparities are found among regions in the level of skilled attendance at bir th with women in rural areas at a disadvantage. ## Target 5.B: Achieve, By 2015, Universal Access To Reproductive Health. Global Progress: Lagging. The need for family planning is slowly being met for more women, but demand is also increasing at a rapid pace. Worldwide, the unmet need for family planning dropped from 15% in 1990 to 12% in 2011, driven by progress in developing regions. Current levels of unmet need range from 4% in eastern Asia to 25% in Oceania and sub-Saharan Africa. This means that 140 million women (married or in union) would like to delay or avoid pregnancy, but are not using contraception. However, by 2015, total demand for family planning among married women is projected to grow to more than 900 million, mostly due to population growth, and remains a considerable challenge. Expanding access to information, counselling and supplies for a wide range of contraceptive methods is essential to meeting the target of universal access to reproductive health. ## Mdg 6: Combat Hiv/Aids, Malaria And Other Diseases Target 6.A: Have Halted By 2015 And Begun To Reverse The Spread Of Hiv And Aids. Global Progress: Lagging. UNAIDS 2012 data shows that globally there were 1 million fewer infections in 2012 than in 2001. New HIV infections among children have declined by 52% over the same period. However, there were still 2.3 million new infections with an estimated 35 million people living with HIV, 3.3 million of whom are children, in 2012. HIV infection rates are twice as high in young women aged 15–24 compared to young men, and account for 22% of all new HIV infections. Greater effor ts are needed to prevent and treat HIV and TB co-infection, par ticularly in southern and eastern Africa where 50% of tuberculosis (TB) patients are estimated to be living with HIV . ## Target 6.B: Achieve Universal Access To Treatment For Hiv/Aids For All Those Who Need It. Global Progress: Not Met. There has been a 29% decrease in AIDS-related deaths (adults and children) since 2005 due to massive scale-up of antiretroviral therapy. By 2012, nearly 10 million people were on antiretroviral treatment and for many HIV is now a manageable chronic condition. However, due to stigma and discrimination and poorly functioning health systems, at least 16 million people in need of treatment are still not accessing services under new World Health Organization 2013 treatment guidelines. Available treatment for children remains much lower than for adults, with paediatric treatment coverage in sub-Saharan Africa unacceptably low at 34% in 2012. ## Target 6.C: By 2015, To Have Halted And Begun To Reverse The Incidence Of Malaria And Other Major Disease. Global Progress: On Track. Malaria cases are estimated to have reduced by 25% globally and 31% in Africa between 2000 and 2012, and progress is faster in countries with lower numbers of cases. Malaria mor tality rates are estimated to have fallen by 42% in all age groups and by 48% in children aged under 5 years. Globally, the target has been met for TB incidence and continues to decline slowly. All regions except Africa and Europe are on track to achieve the Stop TB Par tnership target of a 50% decline in mor tality by 2015. However, in 2012 there were an estimated 8.6 million new TB cases (including 1.1 million cases with HIV) and an estimated 1.3 million deaths (including 320,000 people with HIV). 3 million people who developed TB are estimated to be missing out on quality care. The spread of drug resistance poses major threat to malaria and TB progress. There were reductions in incidence for many neglected tropical diseases (NTDs). 700 million people received mass drug administration (MDA) for one or more NTDs in 2012, but only 36% of people requiring MDA worldwide received all the drugs they needed. ## Mdg 7: Ensure Environmental Sustainability Target 7.A: Integrate The Principles Of Sustainable Development Into Country Policies And Programmes And Reverse The Loss Of Environmental Resources. Global Progress: Lagging.* Natural resource stocks and flows continue to deteriorate with deforestation and unsustainable fishing practices undermining the health of natural assets and presenting a threat to sustainable development. More integrated approaches between agriculture and forest sectors are needed to make real progress in reversing the loss of natural resources, including forests, and to fulfil international commitments related to climate change mitigation, biodiversity conservation and sustainable land management. Carbon emissions are continuing to increase globally and the rate of growth in global emissions has accelerated, rising 10% from 1990 to 2000 and 33% from 2000 to 2010. Containing the growth in global emissions demands co-ordinated national and international action including concluding negotiations on a global agreement by 2015 to begin implementation in 2020. ## Target 7.B: Reduce Biodiversity Loss, Achieving, By 2010, A Significant Reduction In The Rate Of Loss. Global Progress: Not Met. Significant progress has been made since 1990 in increasing the coverage of protected areas dedicated to safeguarding and maintaining biological diversity and natural resources. From 1990 to 2012, protected terrestrial areas grew from 8.9% to 14.6% of the world's land surface. Over the same period, marine protection has more than doubled in coastal waters, from 4.6% to 9.7%. However, biodiversity loss is continuing. All species groups with known trends are deteriorating in status, moving closer to extinction and away from stable populations. Therefore, continued effor ts are needed, in par ticular to improve the effectiveness of the global protected area network. ## Target 7.C: By 2015, Halve The Proportion Of People Without Sustainable Access To Safe Drinking Water And Basic Sanitation. Global Progress: Water Target Met Ahead Of Schedule. Sanitation Target Lagging. Achieving the water target in 2010 was a major success. Since 1990, 2.1 billion people gained access to improved drinking water sources. Most of the 768 million people without access live in rural areas, with access lowest in sub-Saharan Africa. To meet the sanitation target, another 1 billion people need to gain access by 2015. There has been significant progress with 1.9 billion people gaining access since 1990, leaving 2.5 billion people without access. The propor tion of the global population practising open defecation has reduced from 24% to 15% since 1990, but 1.1 billion people still lack access to any form of toilet. South Asia and sub-Saharan Africa are the regions where access to sanitation is lowest. ## Target 7.D: By 2020, To Have Achieved A Significant Improvement In The Lives Of At Least 100 Million Slum Dwellers. Global Progress: Met. Between 2000 and 2010, over 200 million slum dwellers gained improved water sources, sanitation facilities, durable housing or sufficient living space. The propor tion of slum dwellers in developing regions decreased from 39% in 2000 to 33% in 2012. The decline occurred in most regions with eastern Asia, southern Asia and south-eastern Asia achieving the largest percentage decreases. The high propor tion of slum dwellers in sub-Saharan Africa dropped from 65% in 2000 to 62% in 2012. However, the number of slum dwellers, in absolute terms, continues to grow, due in par t to the fast pace of urbanisation, being estimated at 863 million in 2012 compared with 760 million in 2000. ## Mdg 8: Develop A Global Partnership For Development Target 8.A: Develop Further An Open, Rule-Based, Predictable, Non-Discriminatory Trading And Financial System. Global Progress: Lagging. Market access for developing and least developed countries (LDCs) has continued to improve although average tariffs for clothing and textiles for LDCs still remain relatively high. Over 98% of impor ts from LDCs are admitted duty free into the EU under its Everything But Arms preference scheme. An historic agreement was reached at the World Trade Organization's (WTO) ninth Ministerial Conference in Bali in December on a package wor th $100 billion. This reconfirms the WTO's relevance with the first multilateral deal in 20 years. It will also inject fresh momentum into resolving some of the remaining issues in the Doha Development Agenda (DDA) which are critical for developing countries. ## Target 8.B: Address The Special Needs Of The Least Developed Countries. Global Progress: Lagging. From 2010 to 2012 there had been a year on year reduction in net bilateral official development assistance (ODA) flow to LDCs. This trend has been reversed in 2013 with a 12.3% increase in real terms from 2012 to 2013. This increase is encouraging but it should be noted that there was exceptional debt relief to Burma in 2013. ODA to LDCs had increased from a low of 0.05% of total donors' Gross National Income (GNI) in the late 1990s to 0.11% in 2010. However, the trend has reversed in recent years, decreasing to 0.10% in 2011 and 0.09% in 2012. Figures on ODA to LDCs as a propor tion of donors' GNI are not yet available for 2013. ## Target 8.C: Address The Special Needs Of Landlocked Developing Countries And Small Island Developing States. Global Progress: Lagging. Progress has been mixed on this target. ODA spend on landlocked developing countries fell in 2010 and again in 2011. However, assistance to small island developing states increased substantially. Assistance to sub-Saharan Africa plays a large par t in achieving this MDG since the region hosts 14 of the world's 31 landlocked developing countries. Bilateral aid to this region fell by 4% in real terms from 2012 to 2013. ## Target 8.D: Deal Comprehensively With The Debt Problems Of Developing Countries Through National And International Measures And Make Debt Sustainable In The Long Term. Global Progress: On Track. Of the 39 countries eligible or potentially eligible for Heavily Indebted Poor Country (HIPC) Initiative assistance, 35 have received debt relief from Paris Club bilateral creditors and International Financial Institutions including the IMF and World Bank. This has resulted in reductions in debt ser vicing and increases in pover ty reducing expenditure. The international community is focused on ensuring that the remaining 4 countries are able to access debt relief under HIPC in line with the requirements. The IMF and World Bank have been monitoring and suppor ting debt sustainability in low income countries through the joint Debt Sustainability Framework which helps guide countries and donors in mobilising the financing of low income countries' development needs, while reducing the chances of an excessive build-up of debt in the future. For those countries which have received debt relief the focus must now be on maintaining the gains by keeping debt levels sustainable. DFID has continued to suppor t HM Treasury's lead on debt issues, suppor ting eligible countries' progress through the internationally agreed HIPC Initiative. ## Target 8.E: In Co-Operation With Pharmaceutical Companies, Provide Access To Affordable Essential Drugs In Developing Countries. Global Progress: Lagging. Resources to suppor t the provision of essential medicines through some disease-specific global health funds increased in 2013. Drug donations to treat neglected tropical diseases also increased. However, availability of essential medicines remains low across developing countries with large inequalities in the availability and quality of generics across countries. Data indicates a minor improvement in effor ts to bring the price of essential medicines in developing countries in line with international reference prices. ## Target 8.F: In Co-Operation With The Private Sector, Make Available The Benefits Of New Technologies, Especially Information And Communications. Global Progress: Lagging. Growing infrastructure in information and communications technology, including mobile-broadband networks, along with social media, innovative applications and falling prices for services continue to drive internet uptake in all regions of the world. However, major regional differences remain. In the developing world, 31% of the population are online, compared to 77% in the developed world. Sub-Saharan Africa, where less than 20% of the population are using the internet, remains the region with the lowest penetration rate. Both the number of fixed and mobile-broadband subscriptions in developing countries surpassed those in developed countries. But penetration rates lag seriously behind. While developed countries have fixed and mobile-broadband penetration rates of 27% and 75% respectively, rates for developing countries stood at 6% for fixed and 20% for mobile-broadband subscriptions. In sub-Saharan Africa, fixedbroadband penetration is below 1%. Besides differences in penetration rates, major disparities remain in the coverage, price and quality of broadband services. The limited availability of international internet bandwidth and backbone infrastructure in many developing countries continues to pose challenges. Despite a significant drop in prices, the cost of broadband access in relation to average income remains far too high for most in developing countries. More effor ts must be made to make broadband available, affordable and truly high-speed for all. ## Level 2: Dfid'S Contribution To Development Results 2.8 The indicators in level 2 of DFID's Results Framework measure the outputs that can be directly linked to DFID programmes and projects whether delivered through bilateral country programmes, or through contributions to multilateral organisations. The bilateral indicators were selected primarily through analysis of expected results set out in individual DFID country Operational Plans, while the multilateral indicators capture key outputs as repor ted by the multilateral organisations themselves. The multilateral results are presented alongside the UK's funding share of the multilateral organisation, in order to show the extent of the UK's contribution. 2.9 It is impor tant to note that the indicators in level 2 of the Results Framework reflect those outputs where it is possible to aggregate results across different countries and so do not capture all the results that DFID is delivering. Results that are vital to each country's development may not be covered here simply because they cannot be aggregated across countries. Chapter 3 provides a summary of the headline results delivered through each country and regional programme, reflecting the priorities and operational context in each area. A fuller set of results are set out in the individual country Operational Plans, published on the GOV .UK website. ## Progress Towards Dfid'S Results Commitments 2.10 DFID has made a number of results commitments, setting out the results that UK investment in development will deliver by 2015. These targets were initially set out in 'UK aid: Changing lives, delivering results'7 and in some cases have been updated with subsequent announcements. This repor t presents the progress that has been made towards the 2015 targets. Some highlights are summarised below. 2.11 By 2013–14, the UK had suppor ted: - 6.7 million people with cash transfer programmes, meeting our target of 6 million - 3.6 million bir ths delivered with the help of nurses, midwives or doctors, meeting the target of 2 million - 85.8 million people to hold their authorities to account and have a say in their community's development, meeting the target of 40 million - 54.4 million people with access to financial ser vices, providing the means to help suppor t people to work their way out of pover ty, meeting the target of 50 million - 43.1 million people with access to a water, sanitation or hygiene intervention - 19.3 million children under 5 or pregnant women with nutrition programmes. 2.12 A shor t summary of the results achieved is now presented for each of the following sectors, showing progress towards DFID's commitments for each indicator in level 2 of the Results Framework. - Wealth creation - Pover ty, vulnerability, nutrition and hunger - Education - Water, sanitation and hygiene - Humanitarian assistance - Governance and security - Climate change - Health. Some technical notes to be aware of when using the results estimates are provided in Figure 2.5 and the multilateral acronyms used in the tables are explained in Figure 2.6. ## Results Achieved By Sector - Wealth Creation Two impor tant aspects of wealth creation are an individual's ability to access financial ser vices and their ability to have secure rights over their land and other proper ty. An estimated 2.5 billion adults do not have access to formal financial services. A World Bank-Gallup survey in 148 countries in 2012 repor ted that 76% of adults in sub-Saharan Africa and 67% of adults in south Asia do not have access to formal financial ser vices, compared to only 11% in high income countries. In low income countries, women, on average, are 10% less likely than men to have access to formal financial ser vices while people living in rural areas are nearly 15% less likely to have access than their urban counterpar ts. Lack of access to formal services including borrowing, saving, payments or insurance hinders the ability of poor people to star t or grow small businesses, smooth their consumption, build assets and withstand shocks such as ill health or natural disasters. By improving access to finance, evidence8 shows this can raise incomes and help suppor t people to work their way out of pover ty. Some 75% of the world's population do not hold legally enforceable rights to the land they live and work on. In sub-Saharan Africa alone, over half the population live on less than £1 a day and less than 10% of the rural land is legally registered. There is strong evidence that the responsible governance of tenure of land and other natural resources is an essential component for achieving sustainable development and pover ty eradication. Indeed, findings from a recently published DFID Evidence Paper9 on securing proper ty rights found "evidence of a strong association between secure proper ty rights, long-term economic growth and sustainable pover ty reduction, where impor tant complementary measures (e.g. infrastructure, access to credit and agricultural inputs) were in place". Consequently, as a key economic institution, proper ty rights and their protection sit at the hear t of the UK's 'golden thread' vision for international development and pover ty reduction. ## Dfid Commitment In 'UK aid: Changing lives, delivering results' DFID has a commitment to provide more than 50 million people with access to financial ser vices to help them work their way out of pover ty by March 2015. DFID has also committed to secure the right to land and proper ty for more than 6 million people, of whom 50% will be women, by March 2015. DFID's Strategic Vision for Girls and Women made a fur ther and more ambitious commitment to secure access to land for 4.5 million women. ## Indicators Used To Measure Progress There are 2 wealth creation indicators included in the DFID Results Framework to measure progress: - Number of people with access to financial ser vices as a result of DFID suppor t - Number of people suppor ted through DFID to improve their rights to land and proper ty ## Results Achieved By 2013–14, DFID had achieved the following results: - Supported an estimated 54.4 million people to gain access to financial services - Helped 1.6 million people to secure their land and property rights The results for the financial access indicator come from a variety of financial sector development programmes focusing on direct delivery of financial services to the unbanked and on development of markets for financial ser vices with a view to paving the way for the private sector to ser ve the needs of the poor. The indicator is not a direct measure of pover ty but rather a measure of access to financial services such as credit, savings/deposits, insurance, leasing and transfer payments. The data mainly focuses on bilateral activities but in the case of multidonor funded programmes, results are attributed to DFID on the basis of DFID's share in the total programme cost. DFID is committed to scaling up programmes that improve the security of land tenure rights in developing countries, par ticularly for women and girls. The programmes contributing to this indicator tackle specific challenges to the security of rights to land and proper ty, especially for the poor. For example, the lack of up to date and collectable land use and ownership information; the lack of delimitation or registration of communal land; or the lack of recognition of women's user and ownership rights. All of these make it more difficult for individuals and communities to get a good return from their assets. ## Progress Towards Dfid Results Commitments | Indicator | Indicator | Results achieved up to 2013–14 inclusive | |------------------------------------------------|--------------|---------------------------------------------| | type | | | | Male | Female | Not | | identified | | | | Number of people with access to financial | | | | services as a result of DFID support* | | | | Peak year | 27,073,000 | 26,912,000 | | 54,450,000 | | | | Cumulative | 765,000 | 739,000 | | 1,570,000 | | | | Number of people supported through DFID | | | | programmes to improve their rights to land and | | | | property | | | * Results achieved through both multilateral and bilateral channels. ## Results Achieved By Country The largest contributor to the financial access indicator is DFID's Private Sector Depar tment (PSD) which provides central funding to programmes operating in a wide range of countries. With regard to improvements to land and proper ty rights, the highest number of people suppor ted has been in India and Nepal with 85% of the results delivered in these countries. ## Number Of People With Access To Financial Services As A Result Of Dfid Support Number Of People Supported Through Dfid Programmes To Improve Their Rights To Land And Property *Other refers to departments which contribute <4% of results, and includes Tanzania, Bangladesh, Middle East and North Africa Department Regional, multilateral organisations, Burma, Rwanda, Uganda, South Africa, Sudan, Yemen, Zambia, Zimbabwe, Malawi, Central Asia and Nepal. ## Results Achieved By Multilateral Organisations The following results are delivered by multilateral organisations, and fall broadly within the wealth creation sector. These indicators were included in the multilateral section of DFID's Results Framework. The results presented here are based on all funding that the multilateral receives, not just funding from DFID or the UK. These results are presented alongside DFID's share of core funding to the multilateral organisations, in order to illustrate that DFID contributes a share of those results. | Indicator | Multilateral | Reporting | |--------------------------------------------------------------|-----------------|--------------| | period | | | | Number of microfinance accounts opened or end borrowers | | | | reached | | | | AsDB | 2013 | 831,000 | | | | | | Number of micro/small/medium productive enterprises financed | IADB | 2013 | | Number of active borrowers in microfinance | IFAD | 2012 | | Number of voluntary savers | IFAD | 2012 | | Number of housing loans | IFC | FY 2012–13 | | Number of microfinance and SME loans | IFC | FY 2012–13 | | Number of long term jobs created | PIDG | | | Cumulative | | | | data to 2013 | | | | 188,000 | 67 | | Total | Latest result | |------------------| | contribution | | as a % of | | total core | | funding | ## Results Achieved By Sector - Pover Ty, Vulnerability, Nutrition And Hunger About 700 million fewer people lived in extreme pover ty conditions in 2010 compared to 1990. Despite this fall, around 1.2 billion people live in extreme pover ty.10 If we are to break the cycle of pover ty, we need to address the most pressing need of all - hunger. Today, 1 in 8 people in the world remain chronically undernourished. Hunger and malnutrition rob children of their life chances - making them much more likely to become ill, limiting brain development and stunting growth. The Millennium Development Goals (MDGs) include 2 targets in this area. The first is to halve, by 2015, the propor tion of people whose income is less than $1.25 a day. This target was met 5 years ahead of the deadline, and the global pover ty rate had fallen by 2010 to less than half the rate in 1990. However, more than 1.2 billion people globally still live in extreme pover ty. The second target is to halve, by 2015, the propor tion of people who suffer from hunger. The world is on track to reach the hunger target by 2015, but globally about 870 million people are still estimated to be undernourished, and in sub-Saharan Africa and South Asia hunger and undernutrition remain unacceptably high. ## Dfid Commitment DFID has 3 specific commitments within this sector: - Help more than 6 million of the world's poorest people to escape extreme pover ty by March 2015 - Stop 20 million more children going hungry by December 2015 - Ensure that another 3 million people have enough food throughout the year by March 2015 ## Indicators Used To Measure Progress There are 3 indicators included in the DFID Results Framework to measure progress on results achieved in this sector through DFID suppor t: - Number of people benefiting from DFID-suppor ted cash transfer programmes - Number of children under 5 and pregnant women reached through DFID's nutrition-relevant programmes - Number of people achieving food security through DFID suppor t ## Results Achieved By 2013–14, DFID had achieved the following results: - Supported 6.7 million people with cash transfer programmes - Reached 19.3 million children under 5 and pregnant women through DFID's nutrition-relevant programmes - Provided food security to 2.5 million people For 2 of the indicators in this sector , 'number of people benefiting from DFID-supported cash transfer programmes' and 'number of people achieving food security through DFID support', results have been delivered solely through DFID's bilateral programme. For the indicator 'number of children under 5 and pregnant women reached through DFID's nutrition-relevant programmes', the majority of results have been delivered through DFID's bilateral programme but some have been delivered through core funding to UNICEF and the World Food Programme. ## Progress Towards Dfid Results Commitments | Results achieved up to 2013–14 inclusive | Indicator | Indicator | |--------------------------------------------------|---------------------|--------------| | type | | | | Total | | | | Male | Female | Not | | identified | | | | Number of people benefiting from DFID-supported | | | | cash transfer programmes | | | | Peak year | 2,606,000 3,296,000 | 752,000 | | 6,655,000 | | | | Peak year | 4,496,000 6,148,000 | 8,661,000 | | 19,305,000 | | | | Number of children under 5 and pregnant women | | | | reached through DFID's nutrition-relevant | | | | programmes* | | | | Number of people achieving food security through | | | | DFID support | | | | Peak year | 1,170,000 1,302,000 | 0 | | 2,472,000 | | | * Results achieved through both multilateral and bilateral channels. ## Results Achieved By Country Each of the 3 indicators in this sector has very different geographical coverage. Close to two thirds of all people benefiting from cash transfer programmes lived in Bangladesh, Pakistan or Ethiopia. There were also significant numbers living in Kenya, Uganda, Rwanda and the Occupied Palestinian Territories, as well as smaller numbers in 6 other DFID priority countries, mainly within sub-Saharan Africa. The number of children under 5 and pregnant women who were reached by DFID's nutrition programmes was spread more evenly across countries, mainly in Africa. As well as a significant number of beneficiaries in Nigeria, India, Ethiopia and Mozambique, children and pregnant women in Zambia, Bangladesh and other DFID priority countries (within Africa and Western Asia) also benefited from nutrition programmes. Three quarters of people achieving food security through DFID support lived in Zimbabwe and Bangladesh. The remaining quarter of beneficiaries lived in Burma or Ethiopia. ## Number Of People Benefiting From Dfid-Supported Cash Transfer Programmes Results achieved up to 2013–14 inclusive *Other refers to departments which contribute <4% of results, and includes Zambia, Zimbabwe, Ghana, Mozambique, Yemen and South Sudan. ## Number Of People Achieving Food Security Through Dfid Support Results achieved up to 2013–14 inclusive ## Results Achieved By Multilateral Organisations The following results are delivered by multilateral organisations, and fall broadly within the poverty, vulnerability, nutrition and hunger sector. These indicators were included in the multilateral section of DFID's Results Framework. The results presented here are based on all funding that the multilateral receives, not just funding from DFID or the UK. These results are presented alongside DFID's share of core funding to the multilateral organisations, in order to illustrate that DFID contributes a share of those results. | Indicator | Multilateral | |-------------------------------------------------|----------------| | Reporting | | | period | | | Number of farmers given access to improved | | | agricultural services and investment | | | Number of people receiving services from | | | International Fund for Agricultural Development | | | supported projects | | | Number of people trained in crop production | | | practices/technologies | | | Number of malnourished children provided with | | | special nutritional support | | | Number of people provided with food | WFP | | Number of school children receiving school meal | | | and take home rations | | | Number of women and children provided with food | | | | | | and nutritional support | | ## Number Of Children Under 5 And Pregnant Women Reached Through Dfid'S Nutritionrelevant Programmes Results achieved up to 2013–14 inclusive *Other refers to departments which contribute <4% of results, and includes Yemen, Nepal, Malawi, Somalia, Kenya, Uganda and multilateral organisations. | Latest result | DFID's contribution | |----------------------|------------------------| | as a % of total core | | | funding | | | IADB | 2013 | | IFAD | 2012 | | IFAD | 2012 | | WFP | 2012 | | WFP | 2012 | | WFP | 2012 | | 31 | | ## Results Achieved By Sector - Education A good education is a human right, a global public good and a necessary ingredient for economic development and pover ty reduction. Education enables people to live healthier and more productive lives. The UK government is committed to helping to ensure that every girl and boy can access and complete a good quality basic education.11 The MDGs include a target to ensure by 2015 that children everywhere will be able to complete a full course of primary schooling. Significant progress has been made on getting children into school with the number of children out of school dropping from 108 million in 1999 to 57 million in 2013. This progress shows what sustained national and international investment can achieve but more needs to be done - and done differently - to ensure all girls and boys are not just in school but learning while there. It is estimated that there are at least 250 million children who cannot read or count, even if they have spent 4 years in school. Learning is a vital and measurable dimension of a quality education and is at the hear t of DFID's education programming. ## Dfid Commitments DFID has made the following commitments: - To suppor t 11 million girls and boys in primary and secondary schools by March 2015, including at least 4.5 million in primary12 and 700,000 girls in secondary school13 - To train more than 190,000 teachers14 and improve the quality of education and children's learning15 ## Indicators Used To Measure Progress There are 4 education indicators used to measure progress on ensuring boys and girls can access and complete a good quality basic education: - Number of children suppor ted by DFID in primary education (per annum), by sex16 - Number of children suppor ted by DFID in lower secondary education (per annum), by sex - Number of children completing primary education suppor ted by DFID (per annum), by sex - Number of teachers trained17 The first 2 indicators provide estimates of the number of children which DFID fully funds to be enrolled in primary and lower secondary school, or the number of children which we can demonstrate would not be in school, or not learning at all, without DFID suppor t. ## Results Achieved By 2013–14, DFID had achieved the following results: - Supported 10.2 million children in primary and lower secondary school - including 4.1 million girls in primary school and 729,000 girls in lower secondary school - Supported 1.4 million children, including 710,000 girls, to complete primary school - this result is based on the number of children completing primary school education suppor ted by DFID (per annum) and uses the number of new entrants to the last grade of primary education as an estimate for those completing primary school - Through multilateral channels, DFID supported the training of 123,000 teachers It should be noted that these results do not represent the full reach of DFID's investments in education. Some significant DFID education investments, including (for example) some technical assistance and suppor t for improved education data, as well as training teachers, are not reflected in these results. The results above also do not include children supported through global or multilateral programmes such as the Girls' Education Challenge Fund and the Global Par tnership for Education. ## Progress Towards Dfid Results Commitments | Indicator | Indicator type | Results achieved up to 2013–14 inclusive | |-------------------------------------------------|-------------------|---------------------------------------------| | Number of children supported by DFID in primary | | | | and lower secondary education (per annum) | | | | Peak year | 5,321,000 | 4,874,000 | | 10,195,000 | | | | Number of children completing primary education | | | | supported by DFID (per annum) | | | | Cumulative | 705,000 | 712,000 | | 1,417,000 | | | | Number of teachers trained** | | | | Cumulative | 0 | 0 | | 123,000 | | | ** Results achieved through multilateral channels only. ## Results Achieved By Country The highest numbers of children suppor ted in primary and lower secondary school by the end of 2013–14 were in Ethiopia (2.8 million), India (1.4 million), South Sudan (1.2 million), Pakistan (1.1 million) and Bangladesh (0.8 million). These 5 country programmes accounted for 72% of the overall 10.2 million figure. The remaining 16 country programmes (and one centrally managed programme) each account for around 5% or less of the overall 10 million figure. ## Number Of Children Supported In Primary And Lower Secondary Education By Country Results achieved up to 2013–14 inclusive Ethiopia 27.1% India 13.7% South Sudan 12.2% Pakistan 10.5% Bangladesh 8.1% Malawi 5.0% Tanzania 5.0% Other* 18.4% *Other refers to departments which contribute <4% of results, and includes Sierra Leone, Rwanda, Mozambique, Nigeria, Zimbabwe, Ghana, Vietnam, Zambia, Burundi, the Occupied Palestinian Territories, Nepal, Yemen, Civil Society Department, Uganda and Kenya. ## Results Achieved By Multilateral Organisations The following results are delivered by multilateral organisations, and fall broadly within the education sector. These indicators were included in the multilateral section of DFID's Results Framework. The results presented here are based on all funding that the multilateral receives, not just funding from DFID or the UK. These results are presented alongside DFID's share of core funding to the multilateral organisations, in order to illustrate that DFID contributes a share of those results. Indicator Multilateral Reporting period Number of teachers trained AsDB 2013 515,000 5 Number of teachers trained GPE 2012 61,000 24 Number of teachers trained IADB 2013 120,000 2 Number of teachers recruited or trained IDA FY 2012–13 1,100,000 11 Number of education ministry officials trained and coached in strategic planning and management UNESCO 2012 1,400 6 Total Male Female Not identified Latest result DFID's contribution as a % of total core funding ## Results Achieved By Sector - Water, Sanitation And Hygiene Sustained utilisation of safe drinking water and hygienic latrines together with habitual hand washing with water and soap is effective in reducing diarrhoea and could prevent almost 1.4 million unnecessary child deaths every year.18 The MDGs include a target to halve, by 2015, the propor tion of the population without sustainable access to safe drinking water and basic sanitation. The target has been met for water but an estimated 768 million people still did not use an improved source of drinking water in 2011. The world is off track on the sanitation target and by the end of 2011, 2.5 billion people lacked access to an improved sanitation facility.19 ## Dfid Commitment DFID has a commitment to reach 60 million people through its water, sanitation and hygiene (WASH) programmes by December 2015. This commitment was made at the Sanitation and Water for All (SWA) High Level Meeting in 2012. This superseded 3 separate targets for our water, sanitation and hygiene programmes, which were included in DFID's 'UK aid: Changing lives, delivering results'20 publication. ## Indicators Used To Measure Progress There are 4 WASH indicators included in the DFID Results Framework to measure progress on the number of people reached with these basic services through DFID suppor t: - Number of unique people reached with one or more water, sanitation or hygiene promotion intervention - Number of people with sustainable access to clean drinking water sources through DFID suppor t - Number of people with sustainable access to an improved sanitation facility through DFID suppor t - Number of people reached with access to improved hygiene through DFID suppor t to hygiene promotion The first of these indicators tracks progress on DFID's commitment to reach 60 million through our WASH programmes by December 201521. This provides a measure of the number of people reached through DFID's WASH programmes. Each person may be reached with one, two or all three of water, sanitation or hygiene inter ventions. The indicator methodology ensures that each person is only counted once. ## Results Achieved By 2013–14, DFID had achieved the following: - Supported over 43 million people to access clean water, better sanitation or improved hygiene conditions through DFID's WASH programmes The number of people reached with each of the 3 separate types of intervention by 2013–14 through DFID suppor t were: - 14.8 million people with sustainable access to clean drinking water sources - 14.5 million people with sustainable access to an improved sanitation facility - 29.4 million people with access to improved hygiene The majority of these results contributing to DFID's commitment (around 80%) have been delivered through DFID's bilateral programme but some results are delivered through core funding to multilaterals (around 20%), primarily the World Bank's International Development Association (IDA), but also through the African Development Bank (AfDB), the Asian Development Bank (AsDB) and the Caribbean Development Bank (CDB). ## Progress Towards Dfid Results Commitments | Indicator | Indicator | Results achieved up to 2013–14 inclusive | |------------------------------------------------------|---------------------------------------------------|---------------------------------------------| | type | | | | | Number of unique people reached with one or more | | | water, sanitation or hygiene promotion intervention* | | | | Cumulative | 16,359,000 | 16,058,000 10,681,000 | | 43,099,000 | | | | | Number of people with sustainable access to clean | | | drinking water sources through DFID support *** | | | | Cumulative | 5,722,000 | 5,510,000 | | 14,767,000 | | | | | Number of people with sustainable access to an | | | improved sanitation facility through DFID support*** | | | | Cumulative | | | | 6,452,000 | 6,396,000 | 1,651,000 | | 14,499,000 | | | | | Number of people with access to improved hygiene | | | through DFID support to hygiene promotion*** | | | | Cumulative | 14,175,000 | 14,099,000 | | 29,454,000 | | | * Results achieved through both multilateral and bilateral channels. *** These results reflect bilateral results only. In addition the three sub-indicators do not sum to the headline indicator because of double counts. ## Results Achieved By Country The highest numbers of people reached with one or more water, sanitation or hygiene promotion interventions were in Bangladesh (9.3 million), Nigeria (3.7 million), Zambia (3.3 million), Sierra Leone (3.3 million), Ethiopia (3.1 million), Pakistan (1.9 million), India (1.9 million) and Tanzania (1.6 million). Most of these larger programmes are delivered through UNICEF and par tner governments. The other 10 country programmes, in addition to 2 regional programmes and 4 centrally managed programmes from DFID HQ, each account for around 4% or less of the overall 43 million figure. ## Number Of Unique People Reached With One Or More Water, Sanitation Or Hygiene Promotion Intervention Results Achieved Up To 2013–14 Inclusive Bangladesh 21.5% Multilaterals 15.9% Nigeria 8.5% Zambia 7.7% Sierra Leone 7.6% Ethiopia 7.2% Pakistan 4.5% India 4.3% Other* 22.8% ## Results Achieved By Multilateral Organisations The following results are delivered by multilateral organisations, and fall broadly within the water, sanitation and hygiene sector. The results presented here are based on all funding that the multilateral receives, not just funding from DFID or the UK. These results are presented alongside DFID's share of core funding to the multilateral organisations, in order to illustrate that DFID contributes a share of those results. Indicator Multilateral Reporting period Number of people with new or improved access to water and sanitation AfDB 2013 921,000 12 Number of new households served with water supply AsDB 2013 1,003,000 5 Number of households with access to water supply and sanitation CDB 2013 4,000 22 Number of households with new or upgraded sanitary connections IADB 2013 392,000 2 Number of people with access to clean drinking water IDA FY 2012–13 40,100,000 11 Number of people with access to improved sanitation facilities IDA FY 2012–13 4,300,000 11 Total Male Female Not identified *Other refers to departments which contribute <4% of results, and includes Tanzania, Middle East and North Africa Department Regional, the Democratic Republic of Congo, Sudan, Zimbabwe, Yemen, Nepal, Private Sector Department, Malawi, Human Development Department, Civil Society Department, Africa Regional, Mozambique, Vietnam, Research and Evidence Division, South Sudan and Uganda. | Latest result | |------------------| | contribution | | as a % of total | | core funding | | | | | ## Results Achieved By Sector - Humanitarian Assistance DFID leads the UK government's response to humanitarian emergencies throughout the world, responding rapidly and decisively to save lives. The Humanitarian Emergency Response Review22 (HERR) recommended how the UK could better deliver a response fit to deal with the challenges of the 21st century, based around 7 key themes: Anticipation, Resilience, Leadership, Innovation, Accountability, Par tnership and Humanitarian space. DFID continues to improve and reinforce the UK response to humanitarian emergencies, in line with the recommendations of the HERR. ## Dfid Commitment By its nature, humanitarian assistance is reactive to unplanned events; therefore DFID has no specific targets for the amount of humanitarian assistance to be delivered. Instead, DFID focuses on delivering the best possible humanitarian assistance to people in need. ## Indicators Used To Measure Progress There is one humanitarian assistance indicator included in the DFID Results Framework: - Number of people reached with emergency food assistance through DFID suppor t. ## Results Achieved By 2013–14, DFID had achieved the following: - Reached over 11 million people with emergency food assistance. ## In Addition: - Following Typhoon Haiyan in the Philippines DFID suppor ted more than a million people. - In the Sahel, DFID is providing suppor t to communities facing food insecurity, malnutrition and those affected by conflict. This suppor t is expected to benefit over 1.6 million people across the region in 2013–14. - The UK is providing humanitarian assistance in the Central African Republic in response to a severe escalation in the crisis. Suppor t is provided through the International Committee of the Red Cross (ICRC), non governmental organisations (NGOs) and UN agencies in emergency healthcare, clean water, food security and logistics and is expected to benefit over 100,000 people. - In October 2013 after Cyclone Phailin in Odisha, India, DFID suppor ted 200,000 people with clean water, basic shelter and other essential items such as blankets and cooking utensils, with a focus on the most vulnerable including women and girls. - Following the flooding in Uttarakhand in India in July 2013, DFID provided suppor t to 15,000 of the most vulnerable people including essential food and water, and bedding and basic shelter materials. - In Haiti, DFID provided rental suppor t cash grants to 2,195 households, enabling them to leave camps and return to their communities of origin in a secure and dignified manner. DFID is also helping Haiti to develop greater resilience to natural disasters, so that when the next disaster hits, Haiti will be better able to cope. ## Progress Towards Dfid Results Commitments | | Indicator | Indicator type | Results achieved up to 2013–14 inclusive | |-----------------------------------|--------------|-------------------|---------------------------------------------| | Cumulative | 4,158,000 | 4,234,000 | 2,958,000 | | 11,351,000 | | | | | Number of people reached with | | | | | emergency food assistance through | | | | | DFID support | | | | ## Results Achieved By Country The highest numbers of people have been reached through programmes in Ethiopia (2.6 million), Afghanistan (2.1 million), Pakistan (1.2 million), Somalia (0.7 million) and Malawi (0.5 million). Programmes running in multiple African countries (Africa Regional) have reached a fur ther 2.4 million people (which includes 0.5 million people in Ethiopia, 0.4 million in Malawi, 0.3 million in Kenya and 0.2 million each in Mali and Chad). | Male | |---------| | Total | ## Number Of People Reached With Emergency Food Assistance Through Dfid Support Results achieved up to 2013–14 inclusive Ethiopia 23.0% Africa Regional Department 20.7% Afghanistan 18.3% Pakistan 10.2% Somalia 6.2% Malawi 5.2% Middle East and North Africa Department Regional 4.4% Yemen 4.3% Other* 7.6% *Other refers to departments which contribute <4% of results, and includes Kenya, Uganda, the Democratic Republic of Congo, Bangladesh, Tanzania, South Africa and Civil Society Department. ## Results Achieved By Multilateral Organisations The following results are delivered by multilateral organisations' humanitarian assistance projects, which may also be funded by other countries or agencies. These results are presented alongside DFID's share of core funding to the multilateral organisations, in order to illustrate that DFID contributes a share of those results. | Indicator | Multilateral | Reporting | |-------------------------------------------------------------|-----------------|--------------| | period | | | | Number of people benefiting from disaster preparedness | | | | activities | | | | ECHO | 2013 | 18,000,000 | | Number of people provided with humanitarian assistance | ECHO | 2013 | | Number of civilians provided with essential household items | ICRC | 2013 | | Number of detainees visited | ICRC | 2013 | | Number of migrants, internally displaced persons, refugees | | | | and other vulnerable groups receiving emergency, migration | | | | and durable support (eg shelter) | | | | Number of displaced people (refugees and internally | | | | displaced people) receiving protection or assistance | | | | UNHCR | 2013 | 35,600,000 | | Number of severely malnourished children aged 6–59 | | | | months reached with therapeutic feeding programmes | | | | UNICEF | 2013 | 2,400,000 | | Latest result | DFID's | |------------------|-----------| | contribution | | | as a % of | | | total core | | | funding | | | IOM | 2013 | ## Results Achieved By Sector - Governance And Security DFID will tackle the underlying causes of pover ty by suppor ting strong and inclusive economic, social and political institutions and empowered citizens. Effective policing, a legal system that can be trusted, local ser vices and the right to vote are among the key building blocks of any stable and prosperous society. Without them, it is difficult for a country to educate its children, grow its economy or build a healthcare system. By suppor ting more governments to put them in place, we can help them meet their people's needs. In the long term this means we are spending now to save later, as countries reach a point where they can stand on their own two feet. The impor tance of governance and security is recognised in the Millennium Declaration23 (September 2000): "We will spare no effor t to promote democracy and strengthen the rule of law, as well as respect for all internationally recognized human rights and fundamental freedoms, including the right to development." The May 2013 repor t24 of the High Level Panel on the post-2015 Development Agenda co-chaired by David Cameron has fur ther reinforced this message: "Freedom from fear, conflict and violence is the most fundamental human right, and the essential foundation for building peaceful and prosperous societies. At the same time, people the world over expect their governments to be honest, accountable, and responsive to their needs." ## Dfid Commitments The results commitments relating to this sector were all announced in the publication 'UK aid: Changing lives, delivering results'25 and are as follows. - We will suppor t freer and fairer elections in 13 countries with more than 300 million voters - We will suppor t 40 million people to hold authorities to account - We will help 10 million women to access justice through the cour ts, police and legal assistance In addition the commitment on access to justice for women and girls is reiterated in DFID's Strategic Vision for Girls and Women. The end date for each of the commitments is March 2015. ## Indicators Used To Measure Progress For governance and security there are 4 indicators in level 2 of the DFID Results Framework of which the first 2 are very closely related: - Number of people who vote in elections suppor ted by DFID - Number of countries suppor ted by DFID in freer and fairer elections - Number of people suppor ted to have choice and control over their own development and to hold decision makers to account - Number of women and girls with improved access to security and justice ser vices through DFID suppor t ## Results Achieved By 2013–14 DFID had achieved the following results: - Supported elections in 11 countries in which 144.7 million people voted - Supported 85.8 million people to have choice and control over their own development and to hold decision makers to account - Improved access to security and justice services for 10.8 million women and girls There are 48 projects which suppor t people to have choice and control over their own development and to hold decision makers to account. The suppor t varies by context and includes building awareness among citizens on the services they should be able to expect from their governments, suppor ting people to meet and discuss issues with their elected representatives, and helping men and women to par ticipate in community decision-making processes. Bilateral programmes help to improve access to security and justice services for women by suppor ting nationally owned reform of security and justice institutions such as the police, prosecutions and the judiciary; increasing awareness and availability of community legal services; building par tnerships between communities and service providers; and ensuring effective responses to violence against women and girls. There are no results arising from DFID core funding of multilateral organisations that contribute to these indicators at level 2 of the DFID Results Framework. Neither are there other headline results achieved by multilateral organisations that would relate to this pillar. ## Progress Towards Dfid'S Results Commitments The electoral events suppor ted in 2013–14 were in Mozambique, Zimbabwe (constitutional referendum), Nepal and Pakistan. Progress on this indicator depends significantly on the timing of elections in par tner countries which is not determined by DFID. The target to suppor t 40 million people to hold authorities to account has been exceeded. An impor tant factor in this is the strong performance of a centrally managed project to meet the information needs of the world's poorest people (delivered by BBC Media Action). | Indicator | Indicator | Results achieved up to 2013–14 inclusive | |--------------------------------------------|-----------------------|---------------------------------------------| | type | | | | Male | Female Not identified | | | Total | | | | Number of people who vote in elections | | | | supported by DFID | | | | Cumulative | 43,257,000 | 30,208,000 | | 144,653,000 | | | | Number of countries supported by DFID in | | | | freer and fairer elections | | | | Cumulative | N/A | N/A | | 11 | | | | Peak year | 45,105,000 | 33,688,000 | | 85,806,000 | | | | Number of people supported to have choice | | | | and control over their own development and | | | | to hold decision makers to account | | | | Peak year | N/A | 10,778,000 | | 10,778,000 | | | | Number of women and girls with improved | | | | access to security and justice services | | | | through DFID support | | | ## Results Achieved By Country The elections with most voters have been in Pakistan (47 million) and Nigeria (40 million). The single largest contribution (52 million) to the indicator on suppor ting people to have choice and control is from a centrally managed project delivered by BBC Media Action. Those results are in turn delivered in Bangladesh, Burma, Kenya, Nepal, Nigeria, the Occupied Palestinian Territories and Sierra Leone. In terms of girls' and women's improved access to justice and security, results have been achieved in a number of countries including Bangladesh, Sudan, the Caribbean, the Democratic Republic of Congo, South Sudan, Sierra Leone, Ethiopia, Pakistan, Nepal, Uganda, Zimbabwe and Somalia. ## Number Of People Who Vote In Elections Results achieved up to 2013–14 inclusive *Other refers to departments which contribute <4% of results, and includes Zimbabwe, Zambia, Sierra Leone and Mozambique. ## Number Of Women And Girls With Improved Access To Security And Justice Services Results achieved up to 2013–14 inclusive ## Number Of People Supported To Have Choice And Control Over Their Own Development Results achieved up to 2013–14 inclusive *Other refers to departments which contribute <4% of results, and includes Ethiopia, Rwanda, the Democratic Republic of Congo, Africa Regional, Nigeria, Caribbean, Pakistan, Sudan, Bangladesh, Burma, Ghana, Malawi, Burundi, Nepal, Zambia, Mozambique, Indonesia and Civil Society Department. *Other refers to departments which contribute <2% of results, and includes Ethiopia, Pakistan, Nepal, Uganda, Zimbabwe and Somalia. ## Results Achieved By Sector - Climate Change Climate change threatens to undermine progress to reduce global pover ty. Many poor people already suffer the effects of weather variability and indications are that climate change is increasing the frequency and scale of these events, with floods, famine and droughts already taking their toll. The recent repor ts by the Inter-governmental Panel on Climate Change (IPCC) were unequivocal in assessing that climate change is happening and greenhouse gas emissions caused by human activities are the dominant cause. Concer ted international action is required, as unmitigated climate change poses great risks to human health, global food security and economic development. The £3.87 billion International Climate Fund (ICF) is par t of the UK's international effor t to address the challenge of climate change. It suppor ts programmes that help poor people adapt to the impacts of climate change, promote low carbon growth and protect forests in developing countries. These programmes aim to improve the quality of people's lives - par ticularly women and girls'; suppor t people's livelihoods; and underpin long term economic growth and development. From 2011–16 the ICF is split between 3 UK government depar tments: - Depar tment for International Development (DFID) - contributes £2.4 billion - Depar tment of Energy & Climate Change (DECC) - contributes £1.329 billion - Depar tment for Environment, Food & Rural Affairs (Defra) - contributes £140 million The results presented in the DFID Annual Repor t are for DFID programmes only. The majority, but not all, of these programmes are funded under the ICF . For a summary of overall ICF results please see the ICF results monitoring repor t on the GOV .UK website. ## Dfid Commitments DFID has made a commitment to: - Help millions of poor people to protect their lives and livelihoods from the effects of climate change - Help millions of poor people secure clean energy - Give more protection to the world's forests and the 1.2 billion people who depend on them ## Indicators Used To Measure Progress There are 3 climate change indicators included in the DFID Results Framework to measure progress towards the climate change commitment: - Number of people suppor ted by DFID programmes to cope with the effects of climate change - Number of people with improved access to clean energy as a result of DFID programmes - Number of hectares where deforestation and degradation have been avoided through DFID suppor t ## Results Achieved By 2013–14, DFID had achieved the following results: - Supported nearly 3.4 million people to cope with the effects of climate change - Improved access to clean energy for almost 2.4 million people - Avoided approximately 5,000 hectares of deforestation and degradation ## Progress Towards Dfid Results Commitments | Indicator | Indicator type | Results achieved up to 2013-14 inclusive | |------------------------------------|-------------------|---------------------------------------------| | Male | Female | Not identified | | Total | | | | Cumulative | 709,000 | 738,000 | | 3,396,000 | | | | Number of people supported by | | | | DFID funding to cope with the | | | | effects of climate change | | | | Cumulative | 1,090,000 | 1,060,000 | | 2,393,000 | | | | Number of people with improved | | | | access to clean energy as a result | | | | of DFID funding | | | | Cumulative | N/A | N/A | | 5,000 | | | | Number of hectares where | | | | deforestation and degradation have | | | | been avoided | | | ## Results Achieved By Country The majority of people have been suppor ted to cope with climate change through centrally managed programmes in DFID's Climate and Environment Depar tment (CED) (1.8 million) as well as Nepal (620,000) and Uganda (320,000). Most people with improved access to clean energy have been targeted through programmes in India (1.1 million), Bangladesh (630,000) and Nepal (220,000). Only Nepal has been able to repor t the number of hectares (5,000) where deforestation and degradation have been avoided. This is due to a large number of programmes unable to repor t achieved results for this indicator. For fur ther details please refer to the methodology note published on the GOV.UK website.26 ## The Number Of People Supported To Cope With The Effects Of Climate Change Results achieved up to 2013–14 inclusive *Other refers to departments which contribute <4% of results, and includes Kenya, Malawi and Africa Regional. ## The Number Of People With Improved Access To Clean Energy Results achieved up to 2013–14 inclusive *Other refers to departments which contribute <4% of results, and includes Malawi, Climate and Environment Department, Caribbean and Research and Evidence Division. ## Results Achieved By Sector - Health Poor health is both a cause and a consequence of pover ty, and widens inequities. Globally, health is improving. Yet the poorest people in both low and middle income countries suffer the most from ill health, and women suffer more than men.27 Progress is being made against the 3 MDGs which relate to health: MDG 4 (reduce child mor tality), MDG 5 (improve maternal health) and MDG 6 (combat HIV/AIDS, malaria and other diseases). Since 1990 the number of children under 5 years of age dying from preventable causes has fallen from around 12 million each year to around 7 million.28 Maternal mor tality and under 5 mor tality have both declined by 47% since 1990. In 2010, 63% of women aged 15–49 years who were married or in union were using contraception, while 12% wanted to stop or postpone childbearing but were not using contraception. Fifty-five percent of pregnant women received the recommended minimum of 4 antenatal visits for the period 2005–12. The propor tion of bir ths attended by a skilled bir th attendant is above 90% in 3 of the 6 World Health Organization (WHO) regions, but remains below 50% in the WHO African Region (WHO factsheets 290 and 348). To translate this into lives saved, continued attention to skilled bir th attendance is needed, including ensuring health workers are appropriately trained and have access to the right drugs and equipment. There have been reductions in illness and death due to malaria in the worst-affected countries. Between 2000 and 2012, estimated malaria mor tality rates fell by 42% in all age groups and by 48% in children aged under 5 years. The estimated incidence of malaria per 1,000 persons at risk (which takes into account population growth over time) shows a reduction of 25% globally, and 31% in the African Region, between 2000 and 2012.29 ## Dfid Commitments By March 2015, DFID is committed to: - Saving the lives of 50,000 women in pregnancy and childbir th - Saving the lives of 250,000 thousand newborn babies - Helping halve the number of deaths from malaria in at least 10 high burden countries - Suppor ting 2 million bir ths with skilled bir th attendants - Enabling an additional 10 million couples to access modern methods of family planning, including 1 million young women aged 15-19 years - Helping immunise more than 55 million children against preventable diseases These commitments were made at the MDG summit in 2010 and included in DFID's 2011 'UK aid: Changing lives, delivering results'30 publication. ## Indicators Used To Measure Progress The following indicators are included in the DFID Results Framework to measure progress towards the health commitments: - Number of maternal lives saved through DFID suppor t (modelled) - Number of newborn lives saved through DFID suppor t (modelled) - Malaria attributable deaths (modelled) - Number of insecticide treated bed-nets distributed with DFID suppor t - Number of bir ths delivered with the help of nurses, midwives or doctors through DFID suppor t - Number of additional women using modern methods of family planning through DFID suppor t - Number of children immunised against preventable disease through suppor t to GAVI ## Results Achieved By 2013–14, DFID had achieved the following results: - 36,000 maternal lives saved - 64,000 newborn lives saved - Contribution to a reduction in malaria mortality from 29 malaria attributable deaths per 100,000 at risk worldwide in 2009 to 24 malaria attributable deaths per 100,000 at risk worldwide in 2012 (a 17% reduction). The bulk of these deaths occurred in Africa. In Africa there were an estimated 83 malaria attributable deaths per 100,000 at risk in 2012, down from 103 in 2009 (a 20% reduction)31 - 33.7 million long-lasting insecticide-treated bednets distributed - 3.6 million births attended by a skilled birth attendant - 5.0 million additional women using modern methods of family planning - 40.7 million children immunised against preventable diseases The lives saved indicators are obtained by modelling the impact of health-related programmes (reproductive, maternal and newborn health; HIV; malaria; case management of illness; nutrition; vaccination; and humanitarian assistance), as well as general and health sector budget suppor t, using a software application called the Lives Saved Tool (LiST).32 Malaria programmes operate bilaterally, regionally, multilaterally and through civil society organisations. The multilateral malaria contribution is mainly delivered through the Global Fund to Fight AIDS, Tuberculosis and Malaria. The regional programme 'Strengthening the use of data for malaria decision making in Africa' covers 22 countries in sub-Saharan Africa. 18 DFID focus countries are implementing programmes that contribute to DFID's malaria results. The civil society component includes the Malaria Consor tium. Malaria results are also being delivered through suppor t to malaria focused research and product development, and UNITAID. Programmes for skilled bir th attendance are mainly bilateral, operating in 19 DFID focus countries. A civil society component is delivered through Save the Children. Family planning programmes operate bilaterally, regionally, multilaterally and through civil society organisations. Bilateral family planning programmes operate in 16 DFID focus countries, accounting for half the results. The regional programme Prevention of Maternal Deaths from Unwanted Pregnancy (PMDUP) covers 14 countries in Africa and Asia. The multilateral family planning contribution is delivered through UNFPA's global programme to enhance reproductive health commodity security (GPRHCS). The civil society component is delivered through Marie Stopes International (MSI) and International Planned Parenthood Federation (IPPF). Immunisation programmes are delivered multilaterally by GAVI, to whom DFID provides a core contribution each year. ## Progress Towards Dfid Results Commitments | Results achieved up to 2013–14 inclusive | Indicator | Indicator | |-----------------------------------------------|--------------|--------------| | type | | | | Total | | | | Male | Female | Not | | identified | | | | Modelled | N/A | 36,000 | | 36,000 | | | | Number of maternal lives saved through DFID | | | | support | | | | Modelled | 0 | 0 | | 64,000 | | | | Number of neo-natal lives saved through DFID | | | | support | | | | Number of malaria-specific deaths per | | | | 100,000 persons per year | | | | Modelled | 0 | 0 | | 24 | | | | Number of insecticide treated bed-nets | | | | distributed with DFID support | | | | Cumulative | 0 | 0 | | 33,689,000 | | | | Cumulative | 0 | 0 | | 3,582,000 | | | | Number of births delivered with the help of | | | | nurses, midwives or doctors through DFID | | | | support | | | | Cumulative | N/A | 4,966,000 | | 4,966,000 | | | | Number of additional women using modern | | | | methods of family planning through DFID | | | | support* | | | | Number of children immunised against | | | | preventable disease through support to GAVI** | | | | Cumulative | 0 | 0 | | 40,660,000 | | | * Results achieved through both multilateral and bilateral channels. The approach to measuring the multilateral contribution towards family planning has been changed this year from one based on couple years of protection (CYP) to a more robust methodology based on a country by year analysis of contraceptive prevalence rate (CPR). This has resulted in reduced estimates of additional family planning users in each year. Overall results for 2013–14 are fur ther lowered due to 2013 outputs from GPRHCS not yet having been repor ted. ** Results achieved through multilateral channels only. ## Results Achieved By Country The summaries below cover total results achieved up to 2013–14 inclusive. Due to limited space, the pie char ts can be accessed on the GOV .UK website. For malaria, the highest numbers of long-lasting insecticide treated bed-nets that have been procured and distributed using DFID country bilateral suppor t are in Kenya (6.5 million), Ghana (5.5 million), the Democratic Republic of Congo (4.6 million), Nigeria (4.5 million) and Tanzania (2.8 million). The highest number of maternal lives saved has been in Ethiopia (5,000), Bangladesh (4,000), India (2,000), Pakistan (2,000) and Malawi (1,000). The highest number of newborn lives saved has been in India (20,000), Bangladesh (12,000), Pakistan (9,000), Ethiopia (6,000) and Nigeria (5,000). The highest numbers of bir ths attended by a skilled bir th attendant have been achieved in Pakistan (700,000), India (690,000), Nigeria (430,000), Ethiopia (420,000) and the Democratic Republic of Congo (340,000). For family planning, the highest numbers of additional users have been reached through programmes in Bangladesh (890,000), Uganda (610,000), India (400,000), Kenya (360,000) and Malawi (260,000). ## Results Achieved By Multilateral Organisations The following results are delivered by multilateral organisations, and fall broadly within the health sector. These indicators were included in the multilateral section of DFID's Results Framework. The results presented here are based on all funding that the multilateral receives, not just funding from DFID or the UK. These results are presented alongside DFID's share of core funding to the multilateral organisations, in order to illustrate that DFID contributes a share of those results. | Indicator | Multilateral | |----------------------------------------------------|---------------------| | Reporting | | | period | | | Latest result | DFID's contribution | | as a % of total core | | | funding | | | Number of children immunised against preventable | | | disease | | | GAVI | 2013 | | Number of HIV positive women provided with | | | treatment to prevent transmission to their babies | | | GFATM | 2013 | | Number of insecticide treated bed nets distributed | GFATM | | Number of people provided with treatment for AIDS | GFATM | | Number of tuberculosis cases detected and treated | GFATM | | Number of children immunised | IDA FY 2012–13 | | People provided with a basic package of health, | | | nutrition or population services | | | IDA FY 2012–13 | 34,800,000 | | Number of female condoms procured | UNFPA | | Number of vitamin A treatments procured | UNICEF | | Children benefiting from child-friendly HIV/AIDS | | | medicines | | | UNITAID | 2012 | | Children supplied with TB treatments | UNITAID | ## Figure 2.5: Technical Notes Some Important Points To Note In Relation To The Level 2 Results Data Data Sources - The information on results is collected from DFID country offices, central DFID depar tments and multilateral institutions. The data is collected from a variety of sources, such as representative sample sur veys of households, management information systems held by our par tner country governments and individual project data generated from routine project monitoring by our par tners. ## Reporting - Total results achieved since baseline up to 2013–14 are presented. Baselines were set in March 2011 and may vary across country and indicator reflecting the latest data available at the time. The results are disaggregated by sex where relevant, subject to data availability. - The results estimates are either cumulative indicators or peak year indicators: - Cumulative indicators take the sum of the results achieved across the various years to measure performance. - Peak year indicators aggregate results for each programme in the par ticular year for which the programme achieved the greatest results. This ensures we measure the number of unique individuals reached and avoids any double counting. - DFID results estimates have been rounded to the nearest thousand. Multilateral results are rounded to the nearest thousand except in cases where the multilateral institution uses a different rounding practice. ## Timeliness - The results presented in the 2013–14 Annual Repor t represent the latest data available, and generally represent results as at end March 2014 (unless otherwise specified). - Results for 2013–14 for some programmes have not been included, as they were not available at the time of publication. This means that in some cases results up to 2013–14 are underestimated. Also, for some indicators data is sourced from household sur veys which are only carried out every few years. - Updated estimates will be published in next year's Annual Repor t to take account of fur ther information for 2013–14 and earlier years that was not available at end March 2014. ## Accuracy - Given the range of data sources used, the accuracy of the results data varies and is subject to the quality of the underlying data source. In many cases DFID uses data collected by others (eg par tner country governments, international organisations) and therefore DFID has limited control over the quality of the data. - Statistics Advisers in DFID under take quality assurance of the results data and attempt to minimise the source of any errors although there is a risk that errors may still exist. The types of errors which DFID attempts to minimise include: - Double counting - identifying unique beneficiaries and avoiding duplication in repor ting between programmes. - Attribution - measuring the results which can be associated with DFID inter ventions/funding. - Coverage: to ensure the results are representative there is sometimes a need to overcome challenges in collecting data such as security challenges. This can sometimes jeopardise the completeness and the accuracy of the results estimates. ## Coherence And Comparability - DFID has developed and published methodological guidance on each indicator to help ensure consistency of measurement across countries and permit meaningful aggregation of results. - Where possible, indicators use internationally agreed definitions as outlined in the methodology notes. ## Further Information - For information on the methodology for measuring the results indicators, details of the data sources used and information on the quality of the estimates, please visit the indicator methodology notes on the GOV .UK website at www.gov .uk/government/publications/indicator methodology-notes - For a breakdown of results by sector, country, sex, over time, please visit the Annual Repor t datasets: www.gov .uk/government/publications/dfid-annual-repor t-and-accounts-2013–14 datasets | Abbreviation | Full name | Source | |-------------------------------------------------------|-----------------------------------------------------|-----------| | AfDB | | | | African Development Bank | AfDB Annual Repor | t 2012 | | AsDB | | | | Asian Development Bank | AsDB internal database | | | CDB | | | | Caribbean Development Bank | Caribbean Development Bank: Development | | | Effectiveness Review 2013 | | | | ECHO | | | | European Union budget and Humanitarian Aid and Civil | | | | Protection department of the European Commission | | | | GAVI | | | | Global Alliance for Vaccines and Immunisation | GAVI Alliance mission and strategic goal indicators | | | GFATM | | | | Global Fund to Fight AIDS, Tuberculosis and Malaria | 2013 Global Fund programmatic results | | | GPE | | | | Global Partnership for Education | GPE Results for Learning Report 2013 | | | IADB | | | | Inter-American Development Bank | IADB Development Effectiveness Report 2013 | | | ICRC | | | | International Committee of the Red Cross | ICRC Annual Report 2013 | | | IDA | | | | International Development Assistance | The World Bank Corporate Scorecard | | | IFAD | | | | International Fund for Agricultural Development | 2013 Report on IFAD's Development Effectiveness | | | (RIDE) | | | | IFC | | | | International Finance Corporation | IFC Annual Report 2013 | | | IOM | | | | International Organization for Migration | IOM Annual Report 2013 | | | PIDG | | | | Private Infrastructure Development Group | Results from internal post-completion monitoring | | | database | | | | UNESCO | | | | United Nations Educational, Scientific and Cultural | | | | Organization | | | | UNFPA | | | | United Nations Population Fund | UNFPA (internal) donor support database | | | UNHCR | | | | United Nations High Commissioner for Refugees | UNHCR Global Report 2013 | | | UNICEF | | | | United Nations Children's Fund | Annual Report of the Executive Director 2014 | | | UNITAID | | | | United Nations International Drug Purchasing Facility | UNITAID key performance indicators 2012 | | | WFP | | | | World Food Programme | Annual Performance Report for 2012 | | ECHO internal database UNESCO internal database ## Level 3: Measuring Dfid'S Operational Effectiveness 2.13 Level 3 of the DFID Results Framework monitors how well the Depar tment manages itself to deliver results and ensure value for money. DFID monitors closely the following performance areas: - Pipeline delivery - data on DFID's pipeline of programmes (either approved or under design) to help assess whether DFID has sufficient good quality plans in place to ensure that it will achieve its results commitments and spend its budget effectively. - Por tfolio quality - a measure of the extent to which DFID's inter ventions are on track to deliver their expected outputs and outcomes. - Monitoring and evaluation - data on the extent to which DFID is actively reviewing its programmes and learning lessons for the future. - Structural Reform Plan - data to assess how well DFID is delivering against its corporate objectives and areas prioritised by the UK coalition government. ## Pipeline Of Programmes Approved Or Under Design 2.14 DFID regularly monitors its pipeline of projects at both approved and design stages to ensure it has sufficient plans in place that represent value for money. This was of par ticular impor tance over the last few years as DFID built a strong pipeline of programmes to deliver the increase in its budget from 2013–14. 2.15 Going forward, as DFID's budget levels off, sustaining a strong pipeline of projects will drive choice and competition, ensuring that the best value programmes are implemented. 2.16 Figure 2.7 shows that DFID is in a strong position with programmes of over £8 billion already approved for 2014–15 and almost £3 billion more programmes in the pipeline. Similarly for 2015–16 over £5 billion programmes are approved and nearly £7 billion of programmes are being developed. ## Portfolio Quality 2.17 DFID takes its responsibility to drive efficiency and effectiveness in its programmes very seriously. Every DFID project or programme is underpinned by a business case (approved by ministers if the value is over £5 million). Performance of every programme, irrespective of value, is reviewed in each year of its life to assess whether they are on track to deliver the benefits at the costs expected in the business case. Programmes that fail to deliver expected results and fail to improve will be closed. 2.18 During 2013–14, over 1,100 projects were reviewed, an increase of 40% on the previous year. Those projects scoring A and above represent over 80% of the value and volume of projects scored. This means that over 80% of the por tfolio is achieving or exceeding its objectives. The propor tion of projects scoring A and above has been relatively stable throughout the year, and these programmes are on average higher in value than those projects scoring lower grades. 2.19 DFID's Por tfolio Quality Index provides a weighted measure of how well the por tfolio of projects is performing based on reviews performed in the previous 12 months, with a range from 50 to 150. At the end of March 2014 the Por tfolio Quality Index was 98.1 and remained in the range 97.7 to 99.1 throughout the year. ## Monitoring And Evaluation 2.20 In 2013–14 the Secretary of State introduced new programme management controls. There has been a successful effor t to reduce the volume and value of overdue reviews in the second half of the year, shown in Figure 2.9 below. 2.21 At 31 March 2014 there were 13 annual reviews and one project completion review overdue, compared with 63 annual reviews and 22 project completion reviews at the same time last year. All reviews overdue were less than one month beyond the deadline. Ten of the annual reviews and the project completion review were completed during the first week in April, with 2 of the remaining 3 completed later in April. 2.22 During 2013–14, 30 evaluations were completed, of which 13 have been published on the DFID section of the GOV .UK website. The remaining evaluations are either going through the quality assurance process or are joint evaluations managed by other donors which will be published in tandem with par tners. ## Performance Against Dfid'S Structural Reform Plan 2.23 DFID's structural reform priorities are set out in the Structural Reform Plan in the DFID Business Plan as published in May 2013. The Business Plan (available at http://transparency.number10.gov .uk) outlines the Coalition Government's vision up to 2015, including future reform priorities. It also includes information on results, expenditure and efficiency and transparency measures. 2.24 During 2013–14, DFID performed very strongly in implementing its structural reform priorities. As shown in Table 2.1, 27 actions were completed, 22 of these on time and 5 in advance of deadline. | Structural Reform | No. of actions | No. of actions | Details of actions completed | |------------------------------------------------------------------------|-------------------|-------------------|---------------------------------| | Plan priorities | completed | continuing | | | into 2014–15 | (2013–2015) | during | | | 2013–14 | | | | | | | | | | 1. Boost economic | | | | | 4 | | 10 | | | - | | | | | introduced new web-based tools so people in the developing world | | | | | development | | | | | better understand how trade policy affects them | | | | | | | | | | - | | | | | worked with Cabinet Office to deliver a UK G8 Presidency event to | | | | | increase international awareness of the social impact investment | | | | | market | | | | | | - | | | | established a range of novel public-private partnerships able to | | | | | reach 4 million farmers in India | | | | | | | | | | - | | | | | worked closely with other government departments to develop | | | | | mechanisms by which UK science can have a greater impact on | | | | | international development objectives | | | | | | | | | | 2. Honour | | | | | 4 | 9 | | | | - | | | | | ensured the MDG Countdown event 2013 effectively drew | | | | | international | | | | | international attention to MDG successes and lessons learned and | | | | | commitments | | | | | secured commitment to gender goals | | | | | | | | | | - | | | | | expanded access to schooling and educational outcomes for poor | | | | | children in at least 4 countries | | | | | | | | | | - | | | | | jointly led the Global Partnership for Effective Development | | | | | Co-operation which accelerated action on domestic resource | | | | | mobilisation, transparency, knowledge sharing and the private | | | | | sector's contribution to development | | | | | | | | | | - | | | | | worked effectively across Whitehall and with G8 par | tners to ensure | | | | the UK's G8 Presidency reached ambitious but achievable | | | | | developmental commitments | | | | | | | | | | 5 | | 11 | | | - | | | | | supported a greater number of DFID partner countries to join the | | | | | Open Government Partnership during the UK co-chair tenure | | | | | | | | | | 3. Drive | | | | | transparency, value | | | | | for money and open | | | | | government | | | | | - | | | | | ensured all governance advisers and key finance posts were | | | | | certified to the level required on the anti-corruption and counter- | | | | | fraud accreditation framework | | | | | | | | | | - | | | | | conducted a follow-up report to the Multilateral Aid Review | | | | | | | | | | - | | | | | piloted traceability of DFID aid under the Aid Transparency | | | | | Challenge and proposed roll out plan | | | | | | | | | | - | | | | | introduced new ways to allow poor people to directly monitor and | | | | | comment on aid projects as part of the Global Poverty Action Fund | | | | | | | | | | 4. Strengthen | | | | | 3 | 7 | | | | - | | | | | implemented new security and justice programmes in 12 fragile and | | | | | governance and | | | | | conflict-affected states | | | | | security in fragile | | | | | - | | | | | supported the political transition process in Yemen following the Gulf | | | | | | | | | | | | | | | and conflict-affected | | | | | Cooperation Council Initiative | | | | | | | | | | countries and make | | | | | humanitarian | | | | | - | | | | | supported the Federal Government of Somalia to develop and | | | | | response more | | | | | deliver their priorities: robust public financial management, building | | | | | effective | | | | | political stability and improved security and justice | | | | | Details of actions completed | Structural Reform | |----------------------------------------------------------------------|----------------------| | Plan priorities | | | (2013–2015) | | | No. of actions | | | continuing | | | into 2014–15 | | | No. of actions | | | completed | | | during | | | 2013–14 | | | | | | 6 | 3 | | - | | | worked in partnership with the Nike Foundation to bring private | | | sector expertise into DFID's strategy on gender equality, and | | | stimulated innovative approaches to empowering adolescent girls | | | 5. Lead international | | | action to improve the | | | lives of girls and | | | women | | | | | | - | | | assessed the progress of international organisations on delivering | | | for girls and women where this was identified as a reform priority | | | following the Multilateral Aid Review | | | | | | - | | | ensured Risk Assessments for Violence against Women and Girls are | | | undertaken in all UK funded humanitarian suppor | t | | | | | - | | | conducted a mid-term review of the Reproductive, Maternal and | | | Neonatal Health Framework for Results including progress against | | | results and its commitments to save women and children's lives | | | | | | - | | | designed a programme to contribute to helping 120 million additional | | | women access family planning | | | | | | - | | | established a programme to reduce the practice of female genital | | | mutilation/cutting by 30% in 10 countries over 5 years | | | | | | 6. Combat climate | | | change | | | 5 | 3 | | - | | | supported the future design of the Green Climate Fund to have a | | | clear focus on innovation, effectiveness and results | | | | - | | enhanced developing countries' access to private finance by | | | attracting new private sector investors or sovereign wealth funds to | | | the climate public-private partnership programme | | | | | | - | | | implemented programmes in 6 countries to help at least 1 million | | | people cope with the effects of climate change | | | | | | - | | | supported climate technology innovation centres in 2 countries | | | | | | - | | | ensured that climate change risks and opportunities were identified | | | and addressed across DFID's programmes through the | | | implementation of Strategic Programme Reviews | | ## Level 4: Measuring Organisational Efficiency In Dfid 2.25 In advance of 2013–14, DFID put in place resources and processes to manage effective delivery of the UK's commitment to spend 0.7% of GNI as ODA in 2013 while reducing its administration costs (excluding depreciation) from £131 million in 2010–11 to £102 million in 2013–14. 2.26 During 2013–14, DFID under took an end-to-end review of its programme management cycle. A package of reforms was agreed to improve programme leadership, capability and processes. These were designed to fur ther strengthen its reputation for world class delivery of results and use of evidence; ensure it remains well equipped to address the underlying causes of pover ty and conflict; and enable its staff to build the skills and capabilities which will increasingly be required across the Civil Service. The reforms, including the strengthening of accountability and roles and responsibilities, streamlining processes and accrediting a professional programme management cadre under a new Head of Profession, are all on track to be delivered in 2014–15. This will build on the work to professionalise programme management, which has seen 700 staff receive training. 2.27 As par t of the Civil Service Reform agenda, DFID has put in place an Operational Excellence programme to drive improvement in DFID's business operating model, developing a leaner, more customer-focused approach to business. This programme includes: the modernisation of DFID's finance operating model; the restructuring of DFID's Human Resources operating model; and implementation of DFID's digital strategy. 2.28 DFID has modernised its finance operating model to strengthen the par tnership between core finance and the rest of the organisation and embed financial management throughout the corporate, geographic, policy and global divisions. Finance business par tners have been introduced for each Director General area along with finance managers and financial analysts within individual depar tments. In addition financial transaction processing has been centralised. 2.29 In October 2013, DFID introduced a new Human Resources and Payroll system (HR Passpor t) which delivers an improvement in the efficiency and effectiveness of people management across DFID. The introduction of improved self-service, simpler standardised processes and better access to accurate management information reduces some of the HR transactional work carried out across DFID. This contributes to a more efficient and cost-effective delivery of corporate ser vices and anticipates savings of around £1 million per annum from 2014–15. 2.30 DFID published its Digital Strategy in December 2012 which set out the approach to using digital across the organisation. This includes 3 priorities: how technology can suppor t better delivery of programmes; can make DFID a better organisation to do business with (streamlining systems and business processes); and can suppor t DFID to be more open and engaging, including how digital channels can suppor t gathering feedback which in turn suppor ts better decision making. During 2013–14 the development tracker (which publishes data on how DFID and other government depar tments invest in developing countries) was launched and social media was used to engage with stakeholders and the public on major events such as the Syria crisis and Typhoon Haiyan. A digital advisory panel has been established to provide advice and challenge to DFID on its Digital Strategy. A skills audit was under taken to provide evidence as to current levels of knowledge and experience, and the results of this are informing the development of a programme of work to improve digital capability. 2.31 DFID's Commercial Strategy is driving better value for money through effective and efficient open procurement procedures, increasing commercial capability and better contract management. During 2013–14 DFID's commercial adviser network has been developed. Eleven advisers are now embedded within operational depar tments and offices, responsible for devising, developing and implementing tailored commercial strategies, improving commercial decisions and appraisals in project design, and embedding robust supplier contract and performance management. All senior civil ser vants are undergoing a mandatory commercial leadership course. DFID has also made strong progress in monitoring a range of contracts through its Key Supplier Management (KSM) programme, which involves Contract Performance Reviews and senior level reviews twice a year across DFID's 11 'key' (strategic) suppliers. DFID's inaugural supplier conference was held in July 2013. Over 30 of DFID's key suppliers, including private sector companies, NGOs and SMEs, attended the conference alongside senior DFID representatives for a series of presentations and workshops focusing on the theme Supplying Value. The next conference will be held in July 2014. DFID's Commercial Strategy has delivered savings of £111 million in 2013–14 against a target of £100 million. 2.32 DFID, along with other government depar tments including the Foreign and Commonwealth Office (FCO), British Council and Home Office, has a significant presence overseas. One HMG is a programme of work to streamline the way the UK government operates through the numerous overseas locations in which it is represented. The programme aims to identify the best ways of working and to implement these across other UK government depar tments, removing barriers to better delivery. DFID's work to date has focused on collaboration (to build a stronger single, crossgovernment team at each overseas post behind an overall FCO lead), co-location (now almost complete), regionalisation, consolidation (establishing a single provider of corporate ser vices at each overseas post) and harmonisation (aligning pay, terms and conditions for both locally employed staff in country and UK-based staff serving overseas across government depar tments, with DFID working closely with FCO). ## One Year On From Whitehall Relocation One year on from the relocation of DFID's London office, the approach to space utilisation and use of modern technology has enabled the implementation of a more effective office, with administration running costs reducing by around £7 million per annum between the old and new offices. ## Business Plan Indicators 2.33 A summary of DFID 2013–14 spend by budget type, type of internal operation and type of transaction is shown in Table 2.2 below. This is published quar terly for all government depar tments in a consistent format at www.gist.cabinetoffice.gov .uk/. 2.34 A subset of the level 2 results indicators is repor ted as par t of DFID's Business Plan (impact indicators) along with information relating to the costs of these results (input indicators). Data for 2013–14, alongside data for the previous year, is shown in Table 2.3. 2013–14 spending (A) Spend By budget type (A3) Other expenditure outside DEL and AME £0.00m (A1 + A2 + A3) Total spend £10,089.27m (B) Spend by type of internal operation (B1) Cost of running the estate, sub-total (B2) Cost of running IT , sub-total (B3) Cost of corporate services, sub-total (B4) Policy and policy implementation, sub-total (B1 + B2 + B3 + B4 + B5) Total spend (C ) Spend by type of transaction (C1) Procurement costs, sub-total £1,018.35m (C2) People costs, sub-total £123.35m (C3) Grants, sub-total £7,952.20m (C1 + C2 + C3 + C4) Total spend £10,089.27m Note: Excludes depreciation. | | Actual £m | |---------------------|-------------| | Total spend | £10,089.27m | | (A1) DEL, sub-total | £10,020.27m | | (A2) AME, sub-total | £68.99m | | £11.08m | | | £8.85m | | | £13.93m | | | £9,864.76 | | | (B5) Other costs | £190.66 | | £10,089.27m | | | (C4) Other costs | £995.36m | | | Input indicators[1] | 2012–13 | 2013–14 | |-----------------------------------------------------------------------------------------|---------------------------------------------|----------------|------------| | Cost per child suppor | ted in primary education | $110 | $95 | | Average unit price of long-lasting insecticide treated bed-nets procured[2] | $3.66 | $3.14 | | | Cost per person of providing sustainable access to an improved sanitation facility | £17 | £10 | | | Cost per person of improving access to financial services[3] | Not available | Not available | | | DFID spend on elections - through DFID's bilateral programme[4] | £29 million | £39 million | | | DFID spend on elections - DFID's Imputed Multilateral Share[5] | £15 million | £7 million | | | Cost per birth delivered by a skilled birth attendant[6] | £221 | £261 | | | Spend on climate change adaptation, low carbon development and protecting forests | | | | | - through DFID's bilateral programme | | | | | Spend on climate change adaptation, low carbon development and protecting forests | | | | | - through DFID's multilateral programme | | | | | DFID spend through multilateral organisations | £3,252 million | £4,423 million | | | Impact indicators | 2012–13 | 2013–14 | | | Number of children supported by DFID in primary education[7] | 8.7 million | | | | Number of insecticide treated bed-nets distributed with DFID support - through | | | | | DFID's bilateral programme[8] | | | | | Number of people with sustainable access to an improved sanitation facility as a result | | | | | of DFID programmes | | | | | Number of people with access to financial services as a result of DFID suppor | t - | | | | through DFID's bilateral programme | | | | | Number of people with access to financial services as a result of DFID suppor | t - | | | | through DFID's multilateral programme (IFAD)[9] | | | | | Number of people who vote in elections supported by DFID | 26.0 million | 60.6 million | | | Number of births delivered with the help of nurses, midwives or doctors through DFID | | | | | funding | | | | | Number of people DFID supports to cope with the impacts of climate change | 0.2 million | 2.9 million | | | Other datasets | 2012–13 | 2013–14 | | | UK ODA as a percentage of GNI | 0.56 | 0.72 | | | % share of global ODA of donors who are publishing their aid information in an IATI | | | | | compliant format | | | | | Number of volunteers par | ticipating in International Citizen Service | 1,010 | 2,146 | | Structural Reform Plan actions | 2012–13 | 2013–14 | | | Total number of actions completed during the year | 22 | 27 | | | Total number of actions overdue at the end of the year | 0 | 0 | | | Number of actions overdue that are attributable to external factors | 0 | 0 | | | Total number of actions ongoing | 42 | 43 | | ## Notes [1] The input indicators provide information on the cost effectiveness of DFID's programmes by linking spend to performance. It should be noted that many of the inputs measured are not true unit cost indicators. Instead they show aggregate spend on sectors related to the results. Other results, which are not captured in the impact indicators, are also being delivered through this spending. [2] Data was also provided by UNICEF , the US President's Malaria Initiative, the subset of Global Fund procurements realised through the Voluntary Pooled Procurement mechanism and direct DFID procurement for the calendar year 2013. The average unit price was between $2.97 and 3.10 for 190x180x150 net and $3.06 and 3.16 for all nets. The average unit price for DFID procured nets was £2.23. DFID, GFATM and USPMI reported ex-works (EXW) prices and UNICEF a free carrier (FCA) price. The price of long-lasting insecticidal nets (LLINs) varies significantly depending on a number of market factors, such as availability, capacity and timing of demand, in addition to product factors including size, shape, colour and denier, and logistical factors such as INCOTERMS. [3] It is not currently possible to derive accurate data on direct cost incurred in supporting access to financial services by individuals, given financial access for individuals is often a part of wider financial sector development programmes. [4] Data relates to spend reported against CRS code 15151 (Elections). [5] Data relates to spend reported against CRS code 15151 (Elections) and is repor ted with a one year time lag relating to calendar year ODA expenditure (ie the figure under the 2013–14 column relates to 2012, and the figure under 2012–13 relates to 2011 ODA spend). [6] There is no specific target for this indicator. Improvements in quality and increased efforts to reach the poorest and most vulnerable can lead to increases in unit costs. [7] The figure of 8.7 million represents the total number of children supported in primary education up to 2013–14 inclusive, so includes results achieved in earlier years. It is not appropriate to present data for individual years for this indicator as the data is drawn from national systems and governments' enrolment data may be subject to a time lag of a year or more. [8] Results achieved through DFID's bilateral programme only. Multilateral information associated with DFID's unique efforts is not currently available. [9] Latest results = calendar year 2012; 2013 results not yet available. The figures are reported with a time lag as there is a delay in these being available from the multilateral organisations. | £281 million | £321 million | |-----------------|-----------------| | £31 million | £34 million | | 11.2 million | 9.1 million | | 5.0 million | 5.5 million | | 19.6 million | 26.7 million | | 0.1 million | Not available | | 1.0 million | 0.7 million | | 75% | 83% | ## Results In Dfid Priority Countries And Regions 3.1 This chapter focuses on DFID's work in suppor ting sustainable pover ty reduction through development programmes in DFID's 28 priority countries and DFID's associated regional programmes - Africa, Asia, and the Middle East and Nor th Africa. It also covers DFID's work in the Overseas Territories. 3.2 DFID's priority countries are: Afghanistan, Bangladesh, Burma, Democratic Republic of Congo, Ethiopia, Ghana, India, Kenya, Kyrgyz Republic, Liberia, Malawi, Mozambique, Nepal, Nigeria, Occupied Palestinian Territories, Pakistan, Rwanda, Sierra Leone, Somalia, South Africa, South Sudan, Sudan, Tajikistan, Tanzania, Uganda, Yemen, Zambia and Zimbabwe. 3.3 The country and regional pages within this chapter summarise key priorities, contributions and results (as set out in country and regional Operational Plans), as well as spend by sector. 3.4 In addition, each country page documents the effectiveness of DFID's bilateral programmes in contributing towards the Millennium Development Goals (MDGs). As in previous repor ts, one indicator per MDG is used to illustrate a country's progress.1 3.5 Progress towards the MDGs is monitored annually through the collaborative effor ts of agencies and organisations within the United Nations (UN) and international statistical systems. Data at a global and regional level is published annually. Based on the same international data and in conjunction with Oxford Policy Management, DFID developed its own assessment methodology several years ago to monitor progress towards the MDGs at country level. 3.6 Throughout this chapter the following colour coding is used to illustrate country progress against the specific MDG indicators:2,3 Green Countries have either 'achieved' their target or are 'on track' to achieve their target. They have a rate of progress that, if continued, will mean that they will reach the target by 2015. Amber Countries have made progress, but too slowly to reach the target by 2015. Continuing at the same rate, they will reach the goal by 2040. These countries are rated 'off track'. Red Countries have made very slow progress, no progress at all, or have regressed. These countries are rated 'severely off track'. Countries have insufficient data to be able to monitor progress. Grey 3.7 MDG data was taken from the United Nations Statistical Division (UNSD) website for the MDGs. DFID consulted its country offices on the appropriateness of the UNSD data. Where countries felt that other data sources, such as health, demographic or household sur veys, had more recent data, longer time series or more accurately reflected the position of the country, this data has been used instead. As such, some of the data used here may differ from UNSD data. 3.8 Key country statistics are also presented, using the following sources: - Population: UN prospect4 (2010) unless otherwise quoted - % population living on less than $1.25/day: World Bank5 (year quoted) - Total fer tility rate: UN prospect6 (2005–10) - Annual Gross domestic product (GDP) growth rate: World Bank7 (2012 unless otherwise quoted). 3.9 In a small number of cases, alternative data sources have been used if they provide more recent data or more accurately reflect the position of the country. Details of the sources are referenced on the respective country pages with the year the data relates to included in the brackets. 3.10 Please note the key statistic on the '% living below less than $1.25 a day' is based on 2005 international prices using purchasing power parities (PPPs) to conver t the nominal value of pover ty lines measured in local currencies to USD for international comparisons. These were the latest estimates published by the World Bank at the time of preparing DFID's Annual Repor t, and do not take into account newly released PPPs for 2011. 3.11 A wide range of additional statistics are produced at country level by international organisations and can be accessed online from websites such as the World Bank (http://data.worldbank.org/indicator), the UN (http://unstats.un.org/unsd/databases.htm), the IMF (http://www.imf.org/external/data.htm) and the OECD (http://www.oecd.org/dac/stats/). 3.12 For each country and region, the repor t includes a summary breakdown of programme expenditure by sector in 2013–14. This expenditure reflects programmes managed by DFID country offices and regional teams as described in the published Operational Plans. The data is derived from DFID's input sector code system. This system permits each individual project to be allocated up to 8 codes which correspond to the sector where the relevant funds will be spent. The sector codes are derived largely from those used by the OECD Development Assistance Committee. Some char ts may not sum to exactly 100% due to rounding. 3.13 Figure 3.1 shows the 2013–14 breakdown of all DFID's bilateral expenditure on the same basis. The sector receiving the highest overall amount was health (£1,174 million), followed by humanitarian (£891 million), wealth creation (£730 million) and then governance and security (£724 million). 3.14 More detail on DFID's targets and plans to achieve the targets over the current spending review period 2012–15 can be found in Country Operational Plans. To view an Operational Plan, visit the relevant country page on the GOV .UK website and click 'See all our publications'. Country programme DFID Ethiopia DFID Nigeria DFID Bangladesh DFID Pakistan DFID Afghanistan DFID Tanzania DFID India 169.1 DFID DRC 162.2 DFID South Sudan 139.6 DFID Kenya DFID Zimbabwe DFID Nepal DFID Uganda DFID Occupied Palestinian Territories DFID Ghana DFID Rwanda 85.8 DFID Malawi 85.1 DFID Somalia 83.6 DFID Yemen 81.4 DFID Mozambique DFID Burma DFID Sierra Leone 68.6 DFID Zambia 66.6 DFID Southern Africa 50.3 DFID Sudan 48.0 DFID Liberia 9.0 DFID Tajikistan DFID Kyrgyz Republic Out-turn expenditure (£million) 284.4 266.2 262.2 253.0 182.3 175.2 136.2 106.0 104.7 94.7 93.9 90.8 77.4 69.7 8.8 4.7 ## Afghanistan Country Summary And Top Priorities In 2013–14 Over 30 years of conflict have left Afghanistan one of the poorest countries in the world. While progress has been made over the last decade, Afghanistan has a long way to go to achieve the MDGs and has agreed a 5 year extension until 2020. This year marks an impor tant transition and international troops will withdraw by the end of 2014. DFID's vision is for a more peaceful, stable, viable and prosperous Afghanistan. In suppor of this, the UK has committed to maintain current levels of assistance (£178 million per year) until at least 2017. ## Top Priorities: - suppor ting peace, security and political stability - promoting economic stability, growth and jobs - helping the state to deliver improved ser vices - suppor ting women and girls ## Contribution To The Mdgs UK suppor t has helped make progress on achieving universal primary education and promoting gender equality through suppor t to the Afghanistan Reconstruction Trust Fund (ARTF). DFID assistance helped to get approximately 4.5 million children into primary school in 2011–12, of which 1.8 million were girls - up from less than a million children under the Taliban, vir tually none of whom were girls. 36% of Afghans live below the national pover ty line. Nearly 1 child in 10 dies before their fifth bir thday. DFID provided more than 320,000 people with humanitarian suppor t in 2013–14 and has suppor ted the creation of over 35,000 jobs since 2011. ## Delivery Of Dfid Headline Results Education: DFID assistance has helped to get approximately 4.5 million children into primary school in 2011–12, of which 1.8 million were girls. Wealth creation: DFID assistance has created more than 35,000 jobs since 2011. Wealth creation: DFID has contributed to rehabilitation of more than 500km of rural roads between 2012 and 2013. Humanitarian: DFID reached more than 320,000 people (more than 190,000 females) with lifesaving humanitarian support in 2013–14. This included support to internally displaced people and those affected by natural disaster . Governance and security: The propor tion of the Afghan government's projected budget actually spent by the 10 highest spending ministries has increased from 44% in 2009–10 to 62% in 2013–14. Gender: With DFID suppor t, 55% of women representatives on community development councils are repor ting that they take an active par t in decision making compared to 35% in 2011. Governance and security: With suppor t from DFID and other international par tners through the ARTF , the number of Afghan government ministries completing pay and grading reforms has increased from 8 in 2011 to 21 in 2013–14. ## Progress Towards The Mdgs MDG indicator Current assessment Proportion of population below $1.25 a day Grey Net enrolment in primary education Red Ratio of girls to boys in primary education Amber Under 5 mortality ratio Amber Maternal mortality ratio Amber HIV prevalence, 15–49 years old Grey Improved water source Red ## Key Statistics Population8 27 million % living below $1.25 a day No data Fertility rate 6.3 % annual GDP growth rate 14.4 ## Afghanistan Programmes By Sector 2013–14 Total Spend £182.3 Million ty, hunger and vulnerability 0.1% ## Bangladesh Country Summary And Top Priorities In 2013–14 Bangladesh is a poor and politically fragile country, highly vulnerable to natural disasters and already experiencing the effects of climate change and rapid urbanisation. Good progress has been made on development outcomes; income pover ty and maternal deaths have fallen and more girls are in school. Many challenges remain, however; 1 in 19 children die before they reach 5 years old and around 120,000 newborns die every year . ## Top Priorities: - managing risks to development, including political governance/stability and climate related shocks - targeting off-track MDGs and accelerating progress; helping the country keep pace with its expanding population and urban migration - suppor ting Bangladesh to achieve target growth rates through a strengthened investment climate. Increasing access to jobs and developing skills to increase income for the poorest ## Contribution To The Mdgs Bangladesh is on track to halve income pover ty by 2015, yet large inequalities remain. DFID is targeting the extreme poor, par ticularly women, by giving assets (eg livestock) and providing training to help them set up viable businesses. High levels of under-nutrition among women and children persist. DFID is targeting them with nutritional suppor t. Enrolment in primary education is high, par ticularly among girls, but dropout rates are high too. DFID is improving the quality of teaching in schools and focusing on those who remain excluded. Despite good progress on fer tility and maternal health, over 7,000 pregnant women die each year and there is still unmet need for family planning. DFID focuses on making sure more women can give bir th safely and fewer babies die, as well as ensuring family planning is available for all who need it, using the private sector to help. Bangladesh is off track on water and sanitation targets; 17% of the population lack access to an improved water source and 45% lack access to adequate sanitation facilities. DFID continues to work on providing safe water sources and improved toilets to the poor, par ticularly in urban slums. ## Delivery Of Dfid Headline Results Governance and security: An additional 720,000 registered taxpayers since 2011–12. Wealth creation: A net accumulated increase of $157 million in income for 1.4 million farmers and small businesses since 2012–13. Education: 366,000 children suppor ted to complete primary education since 2011–12, of which 208,000 were girls. Health: 352,000 bir ths attended by skilled personnel since 2010–11. Poverty, hunger and vulnerability: 742,000 people lifted out of extreme pover ty since 2010–11, of which 410,000 were women and girls. Climate change: Since 2011–12, 27 million people have been provided with access to systems for warning and information for floods and cyclones. Water and sanitation: 1.4 million people have been provided with access to clean drinking water since 2010–11 and 4 million people with access to adequate sanitation. ## Progress Towards The Mdgs MDG indicator Current assessment Proportion of population below $1.25 a day Green Net enrolment in primary education Green Ratio of girls to boys in primary education Green Under 5 mortality ratio Green Maternal mortality ratio Green HIV prevalence, 15–49 years old Green Improved water source Red Key statistics Population 150 million 43% % living below $1.25 a day (2010) Fertility rate 2.3 % annual GDP growth rate 6% Bangladesh programmes by sector 2013–14 Total spend £262.2 million ## Burma Country Summary And Top Priorities In 2013–14 Burma's aim is to harness its potential to help create a better governed, more peaceful and prosperous Burma that uses its increased wealth to improve education and health ser vices, and reduce pover ty. The remarkable process of change has given the UK a great oppor tunity to transform the lives of vulnerable people in Burma. ## Top Priorities: - promoting good governance, including improved transparency and the rule of law - promoting inclusive growth and responsible investment - strengthening parliament and elected bodies at sub-national levels - helping the process of peace building and ethnic reconciliation - suppor ting productive and sustainable livelihoods and improved access to better health and education ser vices ## Contribution To The Mdgs Burma is off track to meet most of the MDGs and has some of the worst health indicators in Asia. Programmes to suppor t wealth creation and reduce pover ty, hunger and vulnerability are helping people access much needed credit and produce more food. It is critical that Burma contains the spread of drug resistant malaria and, with DFID suppor t, 500,000 people will receive appropriate treatment to contain the disease. Over the last 3 years, DFID has helped over 170,000 children to star t and complete primary education, and provided humanitarian aid to 349,000 people in conflict affected communities. ## Delivery Of Dfid Headline Results Wealth creation: 3 UK funded development finance organisations (International Finance Corporation, World Bank and Asian Development Bank) have committed capital to Burma to improve the investment environment, more transparent use of public funds, and to suppor t the private sector since 2012–13. Wealth creation: 115,000 women have been provided with access to financial services in 2013–14. Governance and security: DFID Burma contributed to sustaining improvements in political rights and civil liber ties as measured by Freedom House: Burma is still rated 'Not Free' but with improvements and a stable status. Governance and security: Since 2011–12 DFID has suppor ted 120,000 people to have choice and control over their own development. Health: Since 2012–13 80,000 unintended pregnancies have been aver ted. Health: 376,000 women and men have received appropriate treatment to contain the spread of drug-resistant malaria since 2011–12. Education: 170,000 girls and boys assisted to overcome barriers to accessing and completing primary school in 2013–14. Humanitarian: 349,000 people in conflict affected communities provided with DFID humanitarian aid in 2013–14. ## Progress Towards The Mdgs MDG indicator Current assessment Proportion of population below $1.25 a day Grey Net enrolment in primary education Grey Ratio of girls to boys in primary education Green Under 5 mortality ratio Amber Maternal mortality ratio Amber HIV prevalence, 15–49 years old Amber Improved water source Green ## Key Statistics Population 51.9 million No data % living below $1.25 a day 2.1 Fertility rate % annual GDP growth rate9 7.3% Burma programmes by sector 2013–14 Total spend £69.7 million Poverty, hunger and vulnerability 7.7% Reproductive, maternal and newborn health 12.1% Water and sanitation 0.3% Wealth creation 22.3% ## Democratic Republic Of Congo (Drc) Country Summary And Top Priorities In 2013–14 DRC has enormous potential. Decades of poor governance, chronic corruption and civil war have, however , taken their toll and DRC languishes at the bottom of the UN's Human Development Index. But DRC's political environment is more stable than it was a decade ago, and its economy is showing some signs of growth. Armed conflict remains a major challenge. Poor governance and corruption continue to deter foreign investment and stifle economic growth. In 2013–14 DFID spent £162.2 million on its programmes in DRC. ## Top Priorities: - suppor t the establishment of peace and stability in the country and ensure humanitarian needs are met - invest in infrastructure and basic service provision, while promoting better governance to ensure improvements are maintained in the longer term - suppor t sound economic management, with the promotion of a better enabling environment for the private sector ## Contribution To The Mdgs DRC is unlikely to meet any of the MDGs by 2015. DFID's programmes suppor t progress across all MDG areas in DRC, focusing on the delivery of inclusive, quality and sustainable services. DFID's largest investment between 2011 and 2015 in terms of sectors is health, which will help suppor t the reduction of child mor tality, as well as improvements in maternal health and combating malaria. DFID has also increased investment in improving access to water and sanitation (by an additional £63 million from 2011 to 2015), helping to deliver improvements across a number of MDG areas. New programmes continue to be designed in the education and political governance sectors. ## Delivery Of Dfid Headline Results Governance and security: DFID's support has improved access to security and justice services for 378,000 women and girls since 2009; and gave more than 1.7 million people choice and control over their own development in 2012–13. Health: More than 4.6 million insecticide treated bed nets have been distributed since 2011–12 with DFID suppor t; and through DFID health programmes, 334,000 babies have been delivered with the help of nurses, midwives or doctors since 2011. Water, sanitation and hygiene: DFID assistance has given 922,000 people sustainable access to water, sanitation or hygiene since the end of 2008. Humanitarian: DFID suppor t reached more than 152,000 people who were provided with emergency food assistance during a one month period in 2013. Wealth creation: In 2013, 300km of roads were built or upgraded with DFID suppor t. ## Progress Towards The Mdgs MDG indicator Current assessment Proportion of population below $1.25 a day Grey Net enrolment in primary education Red Ratio of girls to boys in primary education Amber Under 5 mortality ratio Amber Maternal mortality ratio Amber HIV prevalence, 15–49 years old Grey Improved water source Red ## Key Statistics Population 62.2 million 87.7 % living below $1.25 a day (2006) Fertility rate 6.5 % annual GDP growth rate 7.2 ## Ethiopia Country Summary And Top Priorities In 2013–14 Ethiopia is populous and poor , with low per capita domestic, donor and other resources. The government's commitment to poverty reduction, economic growth and strengthening financial management is strong. There have been marked improvements in poverty reduction and progress on most economic and social rights is on a broadly positive trend, with the government taking steps to address some persisting inequalities, including on gender . Concerns remain about limitations on other , primarily civil and political, rights. As the government enters its next 5 year planning period, there are important opportunities to: increase economic transformation; improve quality and equality in service delivery; improve good governance; enhance the position of women and girls; and further build resilience to external shocks. ## Top Priorities: - suppor t for economic development and an increased role for the private sector - advance gender equality and empowerment of women and girls - boost Ethiopia's tax collection capability and the accountability of its democratic institutions - build resilience to avoid future humanitarian crises in Ethiopia and enable it to respond better ## Contribution To The Mdgs Star ting from a low base, strong investment, including significant DFID funding, in social ser vices has driven good progress against many of the MDG indicators. The propor tion of the population living below $1.25 a day has fallen to 31% from 35% in 2005; and MDG 5 on child mor tality has already been attained. Despite this progress there remain significant challenges. There are still over 25 million people living in extreme pover ty . DFID suppor t to national programmes in health has contributed to an increase in the propor tion of skilled bir th attendance to 23% in 2013 (from 20% in 2012) yet the maternal mor tality rate remains stubbornly high. Net enrolment rates in primary education have levelled off although the numbers of children in school continue to increase suppor ted by DFID Ethiopia's largest sector investment. ## Delivery Of Dfid Headline Results Education: During 2012–13, DFID suppor ted 2.5 million children in primary education, nearly half of whom were girls. Health: Since 2011–12 DFID funding has ensured over 325,000 bir ths have been delivered by skilled health professionals. Water and sanitation: DFID assistance provided 300,000 more people with access to clean drinking water in 2012–13. Poverty, hunger and vulnerability: Nearly 3 million pregnant women and children were reached by DFID suppor ted nutrition inter ventions in 2012–13. Poverty, hunger and vulnerability: Nearly 270,000 individuals have become more food secure through DFID suppor t to the Productive Safety Nets Programme since 2011–12. Humanitarian: In 2013, DFID Ethiopia provided emergency food assistance for 2.6 million people. ## Progress Towards The Mdgs MDG indicator Current assessment Proportion of population below $1.25 a day Green Net enrolment in primary education Amber Ratio of girls to boys in primary education Green Under 5 mortality ratio Green Maternal mortality ratio Red HIV prevalence, 15–49 years old Amber Improved water source Amber ## Key Statistics Population 87.1 million 30.7 % living below $1.25 a day (2011) Fertility rate 4.8 % annual GDP growth rate 8.5 Ethiopia programmes by sector 2013–14 Total spend £284.4 million Wealth creation 2.4% ## Ghana Country Summary And Top Priorities In 2013–14 Ghana is a stable democracy that has benefited from a long period of political stability and sustained economic growth. Growth has slowed somewhat recently and there are risks in the shor t term, par ticularly around macroeconomic instability. Tackling income and regional inequality, delivering suppor t and ser vices to the most vulnerable, and ensuring shared growth will play a vital role in suppor ting fur ther pover ty reduction. ## Top Priorities: - robust, inclusive and transformational economic growth that will result in more and better jobs, and increase incomes for Ghanaians - ensuring no one is left behind, DFID is suppor ting pover ty reduction and growth in the nor th of Ghana, and helping to improve the lives of women and girls, par ticularly through improved health and increasing their education and economic oppor tunities - moving towards a sustainable self-financed exit from pover ty, including through competent, transparent and accountable governance and improved capacity to deliver ser vices ## Contribution To The Mdgs Ghana is on track to halve income pover ty by 2015, yet large inequalities remain. DFID is suppor ting the Government of Ghana's cash transfer programme for the poorest and most vulnerable. Enrolment in primary education has seen substantial increases but has stagnated in recent years. DFID is suppor ting children's enrolment in school through helping children not in school return to mainstream education, and providing incentive packages for girls to stay in secondary education. DFID is suppor ting the Government of Ghana scheme for universal anti malarial bed net coverage and deepening the private sector's role in preventing malaria. DFID is working to address the unmet need for family planning through purchase of commodities and delivery of family planning ser vices, with a par ticular focus on adolescent girls. ## Delivery Of Dfid Headline Results Wealth creation: DFID has helped nearly 5,000 producers (1,600 women) in the nor th of Ghana to access business services since 2012–13. Health: Since 2011–12, DFID has suppor ted just under 550,000 women users of family planning. Health: DFID suppor t has meant that just under 5.5 million bed nets have been distributed since 2011–12. Poverty reduction: In 2013–14, nearly 160,000 (88,000 women and girls) received DFID suppor ted cash grants. Education: In 2013–14, 24,000 girls received targeted incentives to stay in secondary education. Governance and security: Since 2011–12, 250,000 people (120,000 women) have been suppor ted to influence their own development and to hold decision makers to account. ## Progress Towards The Mdgs MDG indicator Current assessment Proportion of population below $1.25 a day Green Net enrolment in primary education Amber Ratio of girls to boys in primary education Red Under 5 mortality ratio Amber Maternal mortality ratio Amber HIV prevalence, 15–49 years old Amber Improved water source Green ## Key Statistics Population 24.3 million 28.6 % living below $1.25 a day (2006) Fertility rate 4.2 % annual GDP growth rate10 7.1 Ghana programmes by sector 2013–14 Total spend £90.8 million ## India Country Summary And Top Priorities In 2013–14 DFID's par tnership with India is in transition. As par t of the new development relationship DFID stopped approving new financial grant aid in 2012. However , DFID will honour commitments to existing projects, all of which will finish in 2015. After 2015 DFID's par tnership will focus on sharing skills and exper tise and making private sector investments which will help the poorest people and generate returns; and strengthening par tnership on global development issues such as food security and climate change. ## Top Priorities: - catalyse the private sector's potential to combat pover ty in the 8 poorest states using technical assistance and returnable capital mechanism - deepen the UK's engagement with India on global development issues - improve the lives of over 10 million poor women and girls in 3 of the poorest states to help them access quality schooling, healthcare, nutrition and jobs ## Contribution To The Mdgs Pover ty is falling rapidly and India will meet the target to halve the propor tion of people living under $1.25 per day, as well as the targets for education enrolment and maternal mor tality. However, India is off track to meet targets of reducing under 5 mor tality and underweight children. ## Delivery Of Dfid Headline Results Wealth creation: Across 8 low income states, 26 new public private par tnership deals have been awarded since 2011–12. Climate change: Over 600,000 additional people have had access to low carbon energy since 2011–12. Health: Over 310,000 babies have been delivered more safely with the help of nurses, midwives or doctors since 2011–12. Poverty, hunger and vulnerability: Over 3.5 million pregnant women and children under 5 were covered by nutrition programmes in 8 low income states in 2013–14. Water and sanitation: Over 1.2 million people have sustainable access to an improved sanitation facility. Education: Between 2011–12 and 2013–14 DFID has suppor ted over 840,000 children (400,000 girls) in primary school and over 550,000 children (270,000 girls) in junior secondary school. Governance and security: Over 5 million people (3 million women) since 2011–12 have been suppor ted to have choice and control over their own development and to hold decision makers to account. ## Progress Towards The Mdgs MDG indicator Current assessment Proportion of population below $1.25 a day Green Net enrolment in primary education Green Ratio of girls to boys in primary education Amber Under 5 mortality ratio Amber Maternal mortality ratio Green HIV prevalence, 15–49 years old Grey Improved water source Green ## Key Statistics Population 1,210.5 million 32.7 % living below $1.25 a day (2010) Fertility rate 2.7 % annual GDP growth rate 3.2 ## Kenya Country Summary And Top Priorities In 2013–14 Kenya is one of around 10 DFID countries where the number of poor people is thought to be rising, due to low economic growth, rising inequality and high population growth. Although it has the largest and most diversified economy in east Africa, its economic growth is lagging behind its peers due to political and climatic shocks and weak competitiveness. ## Top Priorities: - strengthen democracy through improving the capacity and accountability of national and local government - promote broad based sustainable economic development and job creation through improving the investment climate, market development, trade and access to finance - strengthen systems for delivering health, education and social protection ser vices - ensure that no one is left behind from development processes, including women and girls, the extreme poor living in Kenya's Arid and Semi-Arid Lands (ASALs), and refugees from neighbouring countries ## Contribution To The Mdgs Kenya's progress on the pover ty MDG (the propor tion of people living below $1.25 a day) is lagging. The UK is suppor ting market development and financial inclusion, which are key ingredients to growth, and enabling more people to move out of pover ty, including women and girls. The poorest Kenyans live in climate vulnerable arid and semi-arid areas where a package of DFID programmes (including cash transfers, climate change adaptation and drought management) will strengthen household resilience to shocks and stresses. DFID also has programmes aimed at helping women to access health services, par ticularly maternal health, and providing modern family planning. ## Delivery Of Dfid Headline Results Climate change: In 2013–14, 120,000 Kenyans were suppor ted to cope with the effects of climate change and almost 130,000 were suppor ted to have access to clean energy, half of whom were women. Wealth creation: DFID suppor ted the creation of 3,000 jobs and contributed suppor t enabling 12.4 million people, 5 million of whom were women, to have access to financial services in 2013–14. Poverty, hunger and vulnerability: 100,000 households (665,000 people) benefited from DFID funded cash transfers through the Hunger Safety Net and Orphan and Vulnerable Children programmes in 2013–14. Over two thirds of these households were headed by women. Health: DFID suppor ted 360,000 women to use modern family planning methods in 2013–14 and has suppor ted the distribution of almost 6.5 million bed nets, predominantly to pregnant women, since 2011–12. Education: 97,000 children received suppor t to be in primary education and to improve their learning in 2013–14. ## Progress Towards The Mdgs MDG indicator Current assessment Proportion of population below $1.25 a day Red Net enrolment in primary education Green Ratio of girls to boys in primary education Green Under 5 mortality ratio Green Maternal mortality ratio Amber HIV prevalence, 15–49 years old Red Improved water source Amber ## Key Statistics Population 40.1 million 43.4 % living below $1.25 a day (2005) Fertility rate 4.8 % annual GDP growth rate 4.6 ## Kyrgyz Republic Country Summary And Top Priorities In 2013–14 Kyrgyz Republic is the second poorest country in central Asia with GDP per capita of $880. The economic base is narrow, fragile and dependent on remittances (which represented 35% of GDP in 2012), trade and transit. Social indicators are poor. Ethnic tension, often mobilised by political par ties and other groupings, has periodically derailed economic growth. The national pover ty rate has reduced to 38%, but with negligible improvement since 2009. Economic and democratic gains have not been consolidated and risk reversal. After the 2010 revolution the Kyrgyz Republic established a Parliamentary Democracy, the only one in the former Soviet Central Asia. Political par ties are not yet sufficiently familiar with this model to make it work efficiently. Robust debate and challenge between par ties and factions within Parliament has contributed to delays in enacting much needed reforms. ## Top Priorities: - promote stability and development through improved and more transparent public finance management, including anti-corruption activities, which will drive better delivery of social services - providing advice to parliamentarians on how to operate effectively within the fledgling parliamentary democracy and to hold government better to account for delivery of benefits to citizens - suppor t for an improved business regulatory environment to encourage private sector investment and generate jobs ## Contribution To The Mdgs DFID promotes stability and development through suppor t to governance and ser vice delivery . Investment in public finance management helps deliver efficient budget allocations, in line with development priorities, indirectly improving service delivery Complementary investments in civil society and democratic institutions, including parliament, are holding the government to account for financial management and service delivery, and helping to tackle corruption. DFID suppor t to government monitoring systems is building capacity to track pover ty and development indicators and to increase capacity for analytical work which will inform policy development. A major regional programme aims to improve the benefits from labour migration. ## Delivery Of Dfid Headline Results Governance and security: In 2013–14 the Open Budget Index improved by 25% as a result of a DFID funded project. Wealth creation: Since 2010 a total of 435,000 labour migrants from Kyrgyz Republic were provided with key advice in information centres financed by DFID's Regional Migration programme. Health: The DFID funded EQUITY project has contributed to a decrease in the infant mor tality rate of 11.5% in 2013–14 since the 2009 baseline. ## Progress Towards The Mdgs MDG indicator Current assessment Proportion of population below $1.25 a day Green Net enrolment in primary education Green Ratio of girls to boys in primary education Green Under 5 mortality ratio Green Maternal mortality ratio Green HIV prevalence, 15–49 years old Amber Improved water source Green Key statistics Population 5.3 million 5 % living below $1.25 a day (2011) Fertility rate 2.78 % annual GDP growth rate -0.9 Kyrgyz Republic programmes by sector 2013–14 Total spend £4.7 million ## Liberia Country Summary And Top Priorities In 2013–14 DFID has a small bilateral programme in Liberia focused on a few niche sectors and managed from the Sierra Leone office. Liberia is a highly aided country ($186.59 per capita) but still has a pover ty rate of 56.3%. Economic growth has averaged just over 7% a year since 2004, but the economy remains very small (GDP £1.4 billion in 2014). Liberia is 12th from the bottom of the global Human Development Index and it is ranked 62 out of 86 countries in the 2012 Social Institutions and Gender Index, with some of the worst social indicators in the world. With elections due in 2017, President Sirleaf's 2 terms (a total of 12 years) will end and it will be critical to see whether a smooth transition can be made from post war society to a low-income but politically stable one. ## Top Priorities: - infrastructure rehabilitation focused on roads, water, sanitation and hygiene and solid waste management - reforming the health sector - future focus of DFID's bilateral programme will be infrastructure, natural resources, revenue mobilisation and economic empowerment of girls and women ## Contribution To The Mdgs Liberia has some of the worst infant and maternal mor tality rates in Africa. DFID's suppor t in 2013–14 focused on reforming the health sector and rehabilitating infrastructure, which are essential if Liberia is to continue attracting international private sector investors and fur ther stimulate the economy. ## Delivery Of Dfid Headline Results Water and sanitation: More than 250 tonnes per day of municipal solid waste collected in the capital city Monrovia through proper channels in 2013–14. Health: 4,000 bir ths attended by a skilled bir th attendant in 2012–13; national infant mor tality rate of 54 deaths per 1,000 live bir ths in 2013. Wealth creation: 96km of road rehabilitated and/or reconstructed since 2011–12. ## Progress Towards The Mdgs MDG indicator Current assessment Proportion of population below $1.25 a day Grey Net enrolment in primary education Red Ratio of girls to boys in primary education Red Under 5 mortality ratio Green Maternal mortality ratio Amber HIV prevalence, 15–49 years old Amber Improved water source Green ## Key Statistics Population 4 million 83.8 % living below $1.25 a day (2007) Fertility rate 5.2 % annual GDP growth rate 10.2 ## Malawi Country Summary And Top Priorities In 2013–14 Malawi is a small, landlocked, agriculturally dependent country in Southern Africa. It is also one of the poorest and ranks 170 out of 187 in the Human Development Index. The latest income pover ty survey showed that rural pover ty has increased in the last decade to 57% of the rural population. Although fragile and despite many challenges, Malawi's macro-economy has shown some signs of improvement over the last year. However, poor governance and corruption continue to prevent Malawi from achieving its full potential. ## Top Priorities: - addressing pover ty and inequality through investment in education, health, agriculture, water and sanitation with an emphasis on the rights of girls and women - suppor ting wealth creation and economic growth by expanding DFID's private sector development por tfolio to improve growth in the agricultural sector - promoting an open society and more capable, accountable and responsive governance. DFID's work suppor ts increasing access to justice for women and vulnerable groups, suppor ting accountability and governance reforms and preparing for the 2014 general elections ## Contribution To The Mdgs Progress is off track on several MDGs in Malawi. DFID's work in resilience is helping to improve rural incomes and reduce the vulnerability of farmers to external shocks. More women are being helped to access finance through village savings and loan schemes. DFID's education work is helping to improve gender parity in the last years of primary and secondary school. DFID is increasing its focus on nutrition and by 2015 will have supported 750,000 people to have access to clean water . ## Delivery Of Dfid Headline Results Wealth creation: 26,000 additional people were suppor ted to access credit through DFID suppor t in 2013–14. Out of this 21,000 were women. Poverty, hunger and vulnerability: An additional 74,000 people were suppor ted to cope with natural disasters and the effects of climate change in 2013–14. Girls' education: 13,000 girls have been enrolled in secondary school with DFID suppor ted bursaries since 2012–13. Primary education: 480,000 children were suppor ted by DFID in primary school in 2012–13. Health: An additional 70,000 women were using modern methods of family planning through DFID suppor t in 2013–14. Water and sanitation: An additional 140,000 people were provided with sustainable access to clean drinking water and an improved sanitation facility in 2013–14. ## Progress Towards The Mdgs MDG indicator Current assessment Proportion of population below $1.25 a day Amber Net enrolment in primary education Amber Ratio of girls to boys in primary education Green Under 5 mortality ratio Amber Maternal mortality ratio Amber HIV prevalence, 15–49 years old Red Improved water source Green ## Key Statistics Population 15 million 61.6 % living below $1.25 a day (2010) Fertility rate 5.8 % annual GDP growth rate 1.9 Malawi programmes by sector 2013–14 ## Mozambique Country Summary And Top Priorities In 2013–14 Mozambique remains one of the world's poorest countries: it ranked 185th out of 186 in the 2013 UN Human Development Index, while 60% of Mozambicans live on less than $1.25 day and 55% below the national pover ty line for basic needs. However, Mozambique also has had one of the fastest growing economies in the world with GDP growth averaging 7% over 2001–11. The country will reach a crossroads within the next decade, with the potential to accelerate development as a result of the discovery of large coal and gas reser ves. It also has excellent potential for agriculture and as a gateway country for landlocked countries. ## Top Priorities: - suppor t basic service provision for health, education, water and sanitation - improve the ability of citizens to hold decision makers to account - drive more inclusive economic growth, ensuring that the poorest in Mozambique benefit from the potential in sectors such as agriculture and natural resources ## Contribution To The Mdgs DFID is contributing to Mozambique's efforts on MDG 1 through initiatives to promote economic development and reduce poverty . This includes support for agricultural development, provision of cash transfers for the most vulnerable and projects to increase access to finance. DFID is helping to deliver results in 3 key social sectors (MDGs 2 to 7). In education, there is an emphasis on improving the quality of provision - with support provided for a national assessment survey of basic reading skills during 2013–14. DFID support is being provided to the health sector to address all MDG areas but with an emphasis on maternal and infant health and family planning. DFID support for water and sanitation is targeted on increasing rural access. ## Delivery Of Dfid Headline Results Since 2011–12: Poverty: An average of 61,000 poor people received cash transfers. Education: 33,000 children supported to complete primary school and an annual average of 21,000 children supported to enrol in secondary school. Health: 89,000 assisted bir ths and 30,000 pregnant women suppor ted with malaria treatment. Sanitation: 168,000 additional people suppor ted to receive access to sanitation. Governance: An average of 21,000 people supported to hold decision makers to account. Wealth creation: 67,000 people suppor ted to gain access to land. ## Progress Towards The Mdgs MDG indicator Current assessment Proportion of population below $1.25 a day Grey Net enrolment in primary education Red Ratio of girls to boys in primary education Amber Under 5 mortality ratio Green Maternal mortality ratio Amber HIV prevalence, 15–49 years old Grey Improved water source Red ## Key Statistics Population 25 million 59.6 % living below $1.25 a day (2008) Fertility rate 5.57 % annual GDP growth rate 7.1 Mozambique programmes by sector 2013–14 Total spend £77.4 million ## Nepal Country Summary And Top Priorities In 2013–14 Nepal is among the 20 poorest countries in the world, suffering from high levels of inequality and social exclusion. While there is peace and a return to conflict is unlikely, corruption, poor infrastructure and weak economic policies, as well as political uncer tainty, mean that Nepal tends to lag behind the rest of the region in development terms. Nepal has made progress in some areas, par ticularly in health, and pover ty levels continue to fall. Nepal is also one of the 20 most disaster prone countries in the world with more than 4,000 disaster related fatalities in the last 10 years and economic losses of over £3 billion. ## Top Priorities: - governance and security - make government more effective and able to deliver better services to the poor - help people, par ticularly women, benefit from economic growth - help Nepal tackle climate change and natural disasters ## Contribution To The Mdgs DFID's programmes address poverty and hunger by targeting the most vulnerable with activities such as providing employment in road building programmes and helping farmers improve their incomes. DFID's health programme focuses on maternal health by providing cash incentives and free delivery care to encourage the poorest to give birth in health facilities, free care across a range of health services, and clean water and sanitation. In education, DFID support to date has helped government deliver free basic education for girls as well as boys. DFID's climate change and forestry work ensure poor people's livelihoods are enhanced through forestry development, and vulnerable people are resilient to the impacts of climate change or natural disasters. ## Delivery Of Dfid Headline Results Wealth creation: Between 2011–12 and 2013–14 DFID suppor ted 160,000 jobs to be created, 4,000km of roads to be either built or upgraded, and 440,000 people to improve their land and proper ty rights. Governance and security: In 2013–14 DFID provided substantial election suppor t which contributed to nearly 10 million people voting, of whom over half were women. Human development: Between 2011–12 and 2013–14 DFID suppor ted 450,000 people to access clean drinking water, sanitation or hygiene services, 40,000 children in primary education and 50,000 women to use family planning services. Climate change and disaster risk reduction: Between 2011–12 and 2013–14 DFID suppor ted over 1.4 million people to increase their climate and disaster resilience, 220,000 people with improved access to clean energy, and 5,000 hectares of forest to be brought under community management. ## Progress Towards The Mdgs MDG indicator Current assessment Proportion of population below $1.25 a day Green Net enrolment in primary education Green Ratio of girls to boys in primary education Green Under 5 mortality ratio Green Maternal mortality ratio Green HIV prevalence, 15–49 years old Amber Improved water source Green ## Key Statistics Population 26.8 million 24.8 % living below $1.25 a day (2010) Fertility rate 3 % annual GDP growth rate 4.9 ## Nepal Programmes By Sector 2013–14 Nigeria Country Summary And Top Priorities In 2013–14 Nigeria is home to 160 million people, but more than 100 million live on less than £1 per day. A stable, better governed and prosperous Nigeria would rapidly reduce pover ty. It would also hugely benefit UK trade, energy and security interests, and help reduce crime and illegal migration. 2013–14 has seen a worsening of the security situation for many Nigerians, both in terms of terrorist activity and state response and rising inter communal tensions. ## Top Priorities: - providing more people with better ser vices, including education, healthcare and access to safe water and sanitation - helping Nigeria use its oil revenues to improve the lives of its citizens - help establish an enabling governance environment for tackling corruption and enhancing transparency and accountability ## Contribution To The Mdgs Progress is off track on all MDGs in Nigeria. With massive inequality , effective management of growth plays a significant part in Nigeria's development and is a sector DFID is focusing strongly on. DFID is also supporting the improved delivery of basic services, particularly in northern Nigeria, where the indicators are lagging the most. In health DFID is overachieving on its targets for births attended by skilled health workers. DFID is also overachieving on its target of numbers of people with sustainable access to clean water sources. ## Delivery Of Dfid Headline Results Wealth creation: Since 2012–13 DFID programmes have helped raise the incomes of 470,000 Nigerians by more than 15%. Governance: DFID Nigeria programmes have provided suppor t for almost 440,000 people to have control over their own development and hold decision makers to account since 2011–12. Health: 430,000 bir ths in Nigeria have been attended by skilled health workers since 2011–12. Water, sanitation and hygiene: Between April and December 2013 just over 510,000 Nigerians gained access to clean drinking water. Poverty and hunger: Since 2011–12 over 4 million pregnant women and children under 5 have received interventions to improve nutrition. ## Progress Towards The Mdgs MDG indicator Current assessment Proportion of population below $1.25 a day Red Net enrolment in primary education Red Ratio of girls to boys in primary education Amber Under 5 mortality ratio Amber Maternal mortality ratio Amber HIV prevalence, 15–49 years old Red Improved water source Red ## Key Statistics Population 159.7 million 63.0 % living below $1.25 a day (2010) Fertility rate 6 % annual GDP growth rate 6.5 Nigeria programmes by sector 2013–14 Total spend £266.2 million ## Occupied Palestinian Territories Country Summary DFID's programme in the Occupied Palestinian Territories (OPTs) is suppor ting the UK's Middle East Peace Process (MEPP) policy by building Palestinian institutions and promoting economic growth, so that any future state will be stable, prosperous, well run and an effective par tner for peace with Israel. The OPTs are one of the poorest par ts of the region with a GDP per capita of $1,679 in 2012. After several years of high growth, averaging 8% between 2007 and 2011, the Palestinian economy has slowed. Lack of meaningful progress in the MEPP and continuing movement and access restrictions have dampened private sector investment. The situation in Gaza is par ticularly concerning with the economy shrinking by 17% in the 6 years to 2011. A quar ter of Palestinians are currently unemployed and only 15% of women are in the labour force. ## Top Priorities: - helping the Palestinian Authority to build strong institutions and enable them to deliver essential services including policing, health and education - promoting private sector growth to stimulate the economy and create jobs - providing humanitarian assistance and suppor t to the vulnerable ## Contribution To The Mdgs The OPTs have made positive headway against some MDGs. However , the continuing occupation of the Palestinian territories makes it difficult to make faster progress. The blockade of Gaza has sharply reduced access to the water supply for 1.7 million Palestinians, with only a quarter of households receiving running water on a daily basis. DFID's financial assistance to the Palestinian Authority is enabling it to deliver important education and health services and security to the population. DFID is helping Palestinian communities challenge eviction and demolition orders which threaten livelihoods. The UK also funds the UN Relief and Works Agency to provide basic services and humanitarian supplies to Palestinian refugees in the OPTs, Syria, Jordan and Lebanon. ## Delivery Of Dfid Headline Results Wealth creation: DFID assistance has resulted in 350 enterprises repor ting improved performance in sales or productivity between 2011–12 and 2013–14. Wealth creation: DFID suppor ted just under 70,000 people to improve their rights to land and proper ty between 2011–12 and 2013–14. Poverty, hunger and vulnerability: DFID reached 280,000 individuals through cash transfer programmes in 2013–14. Education: DFID suppor ted 50,000 children in primary education in 2012–13 of whom 50% were girls. ## Progress Towards The Mdgs MDG indicator Current assessment Proportion of population below $1.25 a day Grey Net enrolment in primary education Amber Ratio of girls to boys in primary education Green Under 5 mortality ratio Amber Maternal mortality ratio Green HIV prevalence, 15– 49 years old Grey Improved water source Red ## Key Statistics Population 4 million 26 % living below the national poverty line11 (2011) Fertility rate 4.4 % annual GDP growth rate12 5.9 Occupied Palestinian Territories programmes by sector 2013–14 Total spend £93.9 million ## Pakistan Country Summary And Top Priorities In 2013–14 Approximately 66 million Pakistanis live in poverty and 12 million children are out of school. One in 11 children die before their fifth birthday and 12,000 women die in childbirth every year . The population is set to rise by 50% in less than 40 years. UK development spend in Pakistan is an investment in a more prosperous, more stable country which will not only help millions of poor Pakistanis, but will also improve stability and security in the region, and beyond. ## Top Priorities: - creating jobs and suppor ting economic growth - increasing access to and quality of education - women and children's health - strengthening democracy and governance - building peace and stability ## Contribution To The Mdgs In Pakistan the education challenges are immense, with half the adult population unable to read or write. UK support is focused on improving the quality of and access to education, and building the political and social pressure for access to quality education. Since 2011 UK support has benefited over 9 million primary school children. Pakistan has the fourth highest number of maternal deaths and under 5 mortality rates in the world. Progress has been slow in reducing these rates. UK support aims to increase the number of additional births delivered with trained medical staff to 1 million by 2015, already achieving 700,000. DFID will provide an additional 500,000 couples with access to family planning, and reduce the number of under-nourished children by 340,000. Only 8% of the population have access to microfinance services.13 The UK government through its support to the microfinance sector in Pakistan will help reach 1.23 million people by 2015 (over half of them women). UK support to Pakistan's national social protection programme will help at least 2.5 million people meet their basic needs for food, health and education by 2015. UK support will also help nearly 70,000 people obtain marketable skills to improve their livelihoods, of whom 40% are women. ## Delivery Of Dfid Headline Results Wealth creation: 860,000 additional people have accessed microfinance since 2011–12. 35,000 people had been trained in new skills by the end of 2013–14. Governance and security: 47 million voted in the May 2013 general elections - 10 million more than previous elections. Poverty, hunger and vulnerability: At least 2.5 million people have received DFID supported cash transfers since 2010–11. Education: 9 million children in primary school, 4 million in secondary school and 3 million primary completers benefited from DFID suppor t in 2013–14. Humanitarian: 3.5 million flood-affected individuals had been reached with humanitarian assistance by 2013–14. ## Progress Towards The Mdgs MDG indicator Current assessment Proportion of population below $1.25 a day Green Net enrolment in primary education Red Ratio of girls to boys in primary education Red Under 5 mortality ratio Red Maternal mortality ratio Amber HIV prevalence, 15– 49 years old Green Improved water source Green ## Key Statistics Population 185 million 36 % living below net pover ty line14 (2008) Fertility rate 3.8 % annual GDP growth rate15 4.1 Pakistan programmes by sector 2013–14 Total spend £253.0 million ## Rwanda Country Summary And Top Priorities In 2013–14 Rwanda has achieved significant progress since the devastating genocide of 1994. Pover ty within Rwanda declined by 12% between 2005–06 and 2010–11. Yet 4.7 million people in Rwanda live below the national pover ty line, of whom 2.5 million live in extreme pover ty. Reliance on low income agriculture and agricultural wage labour makes the majority of poor people's livelihoods very fragile. In July and December 2013, the UK agreed with the Government of Rwanda to reprogramme a total of £37 million general budget suppor t into specific sectors using government systems. These funds have been released into the education, social protection and agriculture sectors to directly suppor t some of the poorest people in Rwanda. ## Top Priorities: - transformation from an agricultural economy to private sector led growth - significantly improved services that deliver the MDGs - increased accountability of the state to citizens and empowerment of girls, women and the extreme poor - transition to more open and inclusive politics and enhanced human rights ## Contribution To The Mdgs The UK suppor ted progress towards the MDGs primarily through sector budget suppor t and financial assistance, helping the Government of Rwanda improve its essential services to the poor. UK priorities included suppor ting education (basic and post basic education) and social protection (addressing the pover ty MDG). The UK is also suppor ting Rwanda to strengthen its agriculture productivity; continue its economic growth through private sector development and regional trade; increase people's land ownership; improve access to finance; and combat climate change. ## Delivery Of Dfid Headline Results Wealth creation: Since 2010–11, almost 3.3 million land titles have been issued and in 2013–14, over 120,000 people secured access to financial services as a result of UK suppor t. Poverty, vulnerability, nutrition and hunger: In 2012–13 over 380,000 of the poorest people were suppor ted through cash transfers to meet their basic needs/secure jobs. Governance and security: DFID supported 1.8 million people to have a choice and control over their own development and hold decision makers to account in 2013–14. Education: Since 2010–11, a peak of 245,000 children have been suppor ted by DFID in primary education, of whom 49% were girls. ## Progress Towards The Mdgs MDG indicator Current assessment Proportion of population below $1.25 a day Amber Net enrolment in primary education Green Ratio of girls to boys in primary education Green Under 5 mortality ratio Green Maternal mortality ratio Green HIV prevalence, 15–49 years old Green Improved water source Red ## Key Statistics Population16 10.5 million 63.2 % living below $1.25 a day (2011) Fertility rate 4.0 % annual GDP growth rate 4.6 Rwanda programmes by sector 2013–14 Total spend £85.8 million ## Sierra Leone Country Summary And Top Priorities In 2013–14 Sierra Leone is entering a new phase of growth and development after a largely successful period of post-conflict reconstruction. This transition was formally marked by the closure of the UN peacebuilding mission in March 2014. The signing of a Mutual Accountability Framework by government and development par tners (led by DFID on the donor side) is also an impor tant marker of a change in the terms of international engagement. The country must now tackle a number of deeply rooted structural challenges including corruption, low capacity levels, weaknesses in the rule of law, and high levels of discrimination and social exclusion (par ticularly for women). ## Top Priorities: - improving education (especially for girls, children with disabilities and the most marginalised), water, sanitation and hygiene (WASH) and health services - suppor ting reform and improvement of electricity services - suppor t to the private sector, in par ticular to small and medium sized enterprises and the extractives sector - improving public financial management, revenue collection and accountability - tackling corruption through a new and innovative Pay No Bribe programme - improving access to security and justice - suppor ting the Constitutional Review and the electoral cycle ## Contribution To The Mdgs Progress towards education, health and WASH MDGs has been variable, but slow overall. In education, DFID is increasing primary school access and participation and raising education quality in primary and junior secondary schools. In health, DFID is strengthening health systems, improving reproductive, maternal and newborn health, and works alongside the Ministry of Health and Sanitation in the institutionalisation of free healthcare. In WASH, DFID is strengthening delivery of and access to improved water sources, sanitation and hygiene education, including WASH facilities in schools and primary healthcare units, underpinning progress in education and health. ## Delivery Of Dfid Headline Results Governance and security: Over one fifth of remote communities now with access to mediators and paralegal services; almost 300,000 more women and girls with improved access to security and justice in 2013–14. Water and sanitation: Over 1.1 million people gained access to improved sanitation facilities since 2011–12. Health: Over 50,000 bir ths delivered by skilled health personnel since 2011–12 and almost 40,000 women used a modern method of family planning for the first time in 2013–14. ## Progress Towards The Mdgs MDG indicator Current assessment Proportion of population below $1.25 a day Red Net enrolment in primary education Grey Ratio of girls to boys in primary education Green Under 5 mortality ratio Amber Maternal mortality ratio Amber HIV prevalence, 15–49 years old Red Improved water source Amber ## Key Statistics Population 5.8 million 51.7 % living below $1.25 a day (2011) Fertility rate 5.2 % annual GDP growth rate 15.2 Sierra Leone programmes by sector 2013–14 Total spend £68.6 million ## Somalia Country Summary And Top Priorities In 2013–14 Somalia has suffered from 20 years of conflict leading to severe under-development and humanitarian need. Regional instability threatens the interests of other nations through terrorism, illegal migration and piracy. A new federal government took office in Somalia in September 2012. In addition to its humanitarian programme in Somalia, DFID is working closely on development goals with the new administration. International suppor t for several of the government's development priorities was confirmed at the Somalia Conference in London in May 2013. The programme covers South Central, Puntland and Somaliland, recognising the differences in context and oppor tunities. ## Top Priorities: - investing in strengthening political settlements, accountable governance, security and local reconciliation - addressing immediate social development needs among the most vulnerable populations - expanding work on growth and growth transmission ## Contribution To The Mdgs There is cross-UK government consensus that state building is the right overarching approach for UK support to Somalia. As such DFID Somalia does not contribute to all of the MDGs. From 2014, DFID will scale up its economic development work (MDG1) concentrating on creating jobs and livelihoods; access to finance and business development; strengthening economic governance; and supporting regional trade. DFID is also supporting low cost, low carbon energy (MDG7) to tackle one of the constraints to growth. Somalia has some of the worst MDG indicators on health. DFID is enhancing access to quality health services, in particular focusing on women and girls, including through its flagship work on tackling female genital mutilation (MDG 4 and 5). ## Delivery Of Dfid Headline Results Governance: 7,000 girls and women accessed security and justice ser vices in 2013–14. The UN Joint Programme on Local Governance is now operating in 16 districts in Somalia, helping to develop and cost district development plans and ensure resources are allocated to them. Humanitarian: 378,000 people were provided with emergency food assistance in 2013–14. Nutrition: 55,000 children and pregnant women were reached with nutrition inter ventions and 120,000 children benefited from acute malnutrition prevention programmes in 2013–14, of whom 60,000 were girls. Wealth creation: 27,000 jobs were created in 2013–14, of which 16,000 were for women. Health: 25,000 contraceptives were distributed in 2013–14. 6,000 bir ths were attended by skilled professionals in 2013–14. ## Progress Towards The Mdgs MDG indicator Current assessment Proportion of population below $1.25 a day Grey Net enrolment in primary education Grey Ratio of girls to boys in primary education Grey Under 5 mortality ratio Amber Maternal mortality ratio Red HIV prevalence, 15– 49 years old Amber Improved water source Red ## Key Statistics Population 9.6 million % living below $1.25 a day No data Fertility rate 7.1 % annual GDP growth rate No data Somalia programmes by sector 2013–14 Total spend £83.6 million ## South Africa Country Summary And Top Priorities In 2013–14 South Africa has the largest economy in sub-Saharan Africa. It plays an impor tant role in regional institutions such as the African Union and its presence in the G20 and the BRICS marks its status as an emerging global power . DFID Southern Africa is increasingly working with South Africa on issues which have an impact beyond its borders, such as regional trade and climate change. From 2015, DFID's bilateral programme in South Africa will end, reflecting a new relationship between the UK and South Africa. ## Top Priorities - creating growth and jobs - tackling HIV and reducing maternal and child deaths - promoting inclusive and low carbon growth - preventing violence against women and children ## Contribution To The Mdgs DFID is working with the South African government, civil society and business - helping to translate the country's own resources into better lives for poor people. The UK's suppor t to job creation in South Africa and regional trade integration is helping to create conditions for growth across the region. DFID contributes to maternal and child mor tality reduction through support to the Maternal, Newborn, Child and Women's Strategy, focusing on 25 districts with the worst outcomes. South Africa's response to HIV and AIDS and tuberculosis is being strengthened through the National Aid Council and government reforms to the health sector . DFID is working to suppor t South Africa's response to reduce violence against women and children and improving government's accountability to citizens on service delivery . DFID is suppor ting South Africa in meeting its ambitious international pledges on transition to a low carbon economy, though this will need to accelerate if these pledges are to be fully realised. ## Delivery Of Dfid Headline Results National: Governance: Contributed to the par ticipation of 21,000 people in government or community monitoring since 2011–12. Wealth creation: Suppor ted 98,000 people with access to micro-insurance in 2013–14. ## Regional:17 Wealth creation: 880,000 people benefiting directly from new or improved par ticipation in national and cross-border value chains (eg regional food markets) since 2011–12. Climate change: 710,000 people benefiting from improved management of shared water basins since 2011–12. Climate change: 140,000 people with improved access to low carbon energy since 2011–12. ## Progress Towards The Mdgs MDG indicator Current assessment Proportion of population below $1.25 a day Green Net enrolment in primary education Red Ratio of girls to boys in primary education19 Red Under 5 mortality ratio Amber Maternal mortality ratio Amber HIV prevalence, 15–49 years old Red Improved water source Green ## Key Statistics Population 51.5 million 13.8 % living below $1.25 a day (2009) Fertility rate 2.6 % annual GDP growth rate 2.5 South Africa programmes by sector 2013–14 Total spend £50.3 million newborn health 14.1% Water and sanitation 2.0% Wealth creation 11.4% ## South Sudan Country Summary And Top Priorities In 2013–14 The outbreak of conflict in December 2013 in Juba and subsequently elsewhere in the country was disastrous for South Sudan. Since independence on 9 July 2011, the new country has struggled with huge development challenges. Decades of war have left a legacy of chronic pover ty, inequality, and limited capacity and infrastructure. The first par t of 2013 saw some initial progress towards establishing a more development focused approach. That progress was reversed by the outbreak of conflict. Since the star t of the violence, thousands of people have been killed, and over 1 million have fled their homes, including to neighbouring countries. Despite the signing of a cessation of hostilities agreement, fighting has continued. By April 2014, 4.9 million people were in urgent need of humanitarian aid. In late 2013–14 the UK developed an interim strategy in response to the conflict. This reflects a shift from 'business as usual'. ## Top Priorities: - humanitarian response and strengthening resilience, par ticularly in the area of food security - basic ser vices in health and education, suppor ting the most vulnerable, especially women and girls - focused work on governance where we can suppor t reconciliation and peacebuilding - underpin all programmes with a strong focus on conflict sensitivity ## Contribution To The Mdgs The UK's work in South Sudan is making an impor tant contribution to addressing MDG challenges with a par ticular focus on girls, women and vulnerable groups. DFID's humanitarian programmes address immediate needs, including shelter and food, and improving access to health, nutrition, water and sanitation facilities. The Health Pooled Fund has a strong focus on improving the health status of women and children. DFID's education work suppor ts children in primary and secondary education with a par ticular focus on girls. DFID's livelihoods programmes builds resilience of communities to withstand food security risks and future challenges. ## Delivery Of Dfid Headline Results The ongoing conflict has hampered programme delivery in South Sudan. This has led to lower than expected 2013–14 results for some programmes. Education: Suppor ted just under 7,000 pupils in secondary education, including nearly 2,000 female pupils in 2013–14. Education: Over 6.5 million textbooks printed and distributed since 2012–13. Health: Instrumental in helping just under 20,000 pregnant women give bir th with a nurse, midwife or doctor since 2011–12. Security and justice: Contributed to over 310,000 women and girls with improved access to security and/or justice services in 2013–14. Humanitarian: Reached nearly 2 million people with life-saving health and nutrition suppor t through humanitarian funding in 2012–13. ## Progress Towards The Mdgs MDG indicator Current assessment Proportion of population below $1.25 a day Grey Net enrolment in primary education Amber Ratio of girls to boys in primary education Amber Under 5 mortality ratio Amber Maternal mortality ratio Grey HIV prevalence, 15–49 years old Grey Improved water source Grey ## Key Statistics Population19 11.3 million % living below $1.25 a day No data Fertility rate 5.4 % annual GDP growth rate -47.6 South Sudan programmes by sector 2013–14 Total spend £139.6 million ## Sudan Country Summary And Top Priorities In 2013–14 Sudan is a failing state. The country suffers from chronic underdevelopment following cycles of conflict over the last 5 decades. In 2013, the conflicts within Sudan's borders intensified, and early 2014 has seen the worst humanitarian situation in Darfur since the star t of the conflict 10 years ago. At least 6.1 million people are judged to be in need of humanitarian assistance across the country. The recent crisis in South Sudan has also led to an influx of refugees in the southern border states of Sudan. The country is experiencing political stalemate, and the federal government undermines democratic and accountable governance and drives inequality, focusing its spending on Khar toum to the neglect of peripheral states. Sudan is off track on the majority of the MDGs. ## Top Priorities: - providing protection and life-saving humanitarian support to people affected by conflict, while building the resilience of communities to cope with shocks - improving sustainable access to basic services such as water and sanitation for the most vulnerable - helping vulnerable people to cope with economic instability , such as price increases and cuts to government spending - investing in the private sector and civil society , to lay the foundations for a more democratic, peaceful and prosperous future ## Contribution To The Mdgs The UK's work in Sudan is supporting progress in these areas, with a cross-cutting focus on women and girls, and their potential as drivers for change. DFID's humanitarian programmes address immediate needs including food and shelter , access to nutrition and health. DFID is also improving access to water and sanitation facilities and helping communities to build their ability to cope when a shock has happened, such as conflict or a natural disaster . All of these contribute to improving the livelihoods of Sudan's most vulnerable. DFID's economic programmes aim to mitigate the impacts of the economic adjustment process on the poor and DFID is testing approaches to working with the private sector . ## Delivery Of Dfid Headline Results Drinking water: 910,000 people have obtained access to (sustainable) clean drinking water between 2011 and 2014. Sanitation: 400,000 people have obtained access to an improved sanitation facility between 2011 and 2014. Security and justice: 350,000 people have been suppor ted to have choice and control over their own development and hold decision makers to account between 2011 and 2014. Humanitarian: 220,000 people reached by health and nutrition-related programmes in 2013–14. Humanitarian: 660,000 people reached with food security and livelihoods assistance in 2013–14. ## Progress Towards The Mdgs MDG indicator Current assessment Proportion of population below $1.25 a day Grey Net enrolment in primary education Grey Ratio of girls to boys in primary education Grey Under 5 mortality ratio Amber Maternal mortality ratio Red HIV prevalence, 15–49 years old Red Improved water source Red ## Key Statistics Population 35.7 million 19.8 % living below $1.25 a day (2009) Fertility rate 4.8 % annual GDP growth rate -10.1 Sudan programmes by sector 2013–14 Total spend £48.0 million ## Tajikistan Country Summary Tajikistan is the poorest country in the central Asia region (GDP per capita is $872) and is politically and economically fragile. It has made steady progress since the end of the civil war in 1998: the national pover ty rate has improved from over 80% to 46.7% today (HDR 2013). These gains are, however, at risk: economic growth and pover ty reduction have been driven by migrant workers in Russia, who contributed 47% of GDP in 2012. The Russian economy is, however, slowing and labour oppor tunities and remittances are unlikely to be sustained at current levels. The small private sector is not creating adequate revenues or job oppor tunities to offset the relative decline in remittances. Tajikistan is unlikely to achieve the 9% growth rate needed to keep pace with the burgeoning population. Health and education provision is deteriorating. Pover ty is increasing. ## Top Priorities: - promote economic growth and wealth creation, through regulatory reform and direct suppor t to the private sector - suppor ting transparent and efficient management of public finances and improved government accountability - promoting regional co-operation and trade to stimulate growth and co-operation ## Contribution To The Mdgs DFID's programmes in Tajikistan focus on promoting economic growth and good governance. To stimulate the private sector and create jobs, DFID provides suppor t to develop an improved regulatory and legal environment for business and to strengthen corporate governance. Complementary programmes provide business advice and access to credit for small and medium sized enterprises. Investment in public finance management will deliver more efficient budgetary allocations and expenditure, in line with development priorities. Suppor t to civil society helps to better hold government to account. A major regional programme helps migrant labourers and their families secure maximum benefits from labour migration. ## Delivery Of Dfid Headline Results Wealth creation: In 2013–14 16,000 new clients, of whom 6,000 were female, were provided with access to finance (individual entrepreneurs and small and medium sized businesses). Wealth creation: Since 2010 in total 76,882 migrants have been provided with specific advice (legal, health and social protection) in Information Centres financed from DFID's Regional Migration programme. Governance and security: The new Unified Char t of Accounts introduced in 2014 provides improved budget management, analysis, planning, transparency and scrutiny. Wealth creation: In 2013–14 the monthly average turnover of cross-border markets reached €501,000 after DFID suppor t. Wealth creation: Reduced government regulations and improved private sector management generated efficiency savings of £7 million in 2013–14 through DFID suppor t. ## Progress Towards The Mdgs MDG indicator Current assessment Proportion of population below $1.25 a day Green Net enrolment in primary education Green Ratio of girls to boys in primary education Red Under 5 mortality ratio Amber Maternal mortality ratio Green HIV prevalence, 15– 49 years old Amber Improved water source Amber Key statistics Population 7.6 million 6.6 % living below $1.25 a day (2009) Fertility rate 3.7 % annual GDP growth rate 7.5 Tajikistan programmes by sector 2013–14 Total spend £8.8 million ## Tanzania Country Summary And Top Priorities In 2013–14 Tanzania is politically stable, and is looking ahead to its fifth multi-par ty election in 2015. The country has experienced more than 10 years of 6–7% growth, and made strong progress in access to basic ser vices. However, 30 million people (over two thirds of the population) live below $1.25 a day. If Tanzania is to achieve its goal of reaching middle income status by 2025, it needs to fur ther accelerate its growth rate while also shifting to more equitable broad-based growth to ensure it also delivers a reduction in pover ty. ## Top Priorities: - scaling up wealth creation programmes to suppor t a shift to a greater economic development focus in DFID's programme - delivering the MDGs and improving the effectiveness, quality and equity of service delivery in water, education and health - getting government to work better and helping Tanzanians hold their government to account ## Contribution To The Mdgs Tanzania's progress towards the MDGs is mixed. Under its 2011–15 Operational Plan, DFID provides support through and alongside the government to help Tanzania meet the MDGs particularly in relation to access to water , education, malaria, maternal health and reducing rural poverty . Almost all of DFID's headline results directly target the MDGs and good progress has been made in the past year . The Government of Tanzania's new Big Results Now programme, which DFID is supporting, has also put in place ambitious plans to significantly increase results delivery by 2016 in its initial 6 priority areas: education, water , agriculture, energy , transport and resource mobilisation. ## Delivery Of Dfid Headline Results Wealth creation: Since 2011 DFID has helped over 180,000 rural men and women to raise their incomes. Wealth creation: Since 2011 over 100,000 people have gained access to financial services as a result of DFID suppor t. Water and sanitation: Data for 2012–13 shows that 1.4 million rural people were given new access to an improved water source as a result of DFID's programme. Education: In 2013–14 DFID suppor ted an estimated 290,000 children in primary and lower secondary school. Health: Since 2011, DFID's health programme has provided essential maternal health drugs for the entire country and yielded 1.6 million couple years of protection for Tanzanian women, giving them a choice over pregnancy. Health: Since 2011 DFID has suppor ted the distribution of 2.8 million bed nets to protect against malaria. Climate change: In 2013–14 we assisted over 130,000 people directly and 17.7 million people indirectly to be better able to cope with the effects of climate change. Governance: In 2012–13 over 5 million people were suppor ted to have choice and control over their own development and to hold decision makers to account. ## Progress Towards The Mdgs MDG indicator Current assessment Proportion of population below $1.25 a day Amber Net enrolment in primary education Red Ratio of girls to boys in primary education Green Under 5 mortality ratio Green Maternal mortality ratio Amber HIV prevalence, 15– 49 years old Amber Improved water source Red ## Key Statistics Population 45.0 million 67.9 % living below $1.25 a day (2007) Fertility rate 5.6 % annual GDP growth rate 6.9 Poverty, hunger and vulnerability 0.8% Reproductive, maternal and newborn health 4.3% Water and sanitation 5.4% Wealth creation 21.0% ## Uganda Country Summary And Top Priorities In 2013–14 Over the last 20 years, Uganda has achieved one of the most dramatic reductions in the income pover ty headcount of any country in Africa - from 70% living on less than $1.25 a day in 1992 to 38% in 2009. Economic growth was approximately 6% in 2013–14, and planned public sector infrastructure investment is expected to boost growth fur ther to 6.5% in 2014–15. Uganda's debt continues to be sustainable; however, its revenue to GDP ratio (estimated at 13.7% for 2013–14) remains the lowest in east Africa. Despite high headline growth rates over the last 2 decades, much of this growth has not translated into adequate employment through decent jobs. With high population growth, levels of youth unemployment are increasing. Uganda's policy framework for social ser vices is strong. It prioritises equitable access to quality social services; however, policies are often not well implemented. Governance trends are concerning and corruption is endemic. In 2013, the UK decided to indefinitely suspend budget suppor t to the Government of Uganda following the 2012 corruption scandal in the office of the Prime Minister. ## Top Priorities: - promoting good governance and combating corruption - improving maternal and reproductive health - suppor ting economic development and growth including youth skills and job creation - increasing access to financial services and regional trade - protecting the poorest and most vulnerable ## Contribution To The Mdgs Uganda is making good progress towards a number of the MDGs and is on course to meet targets on: proportion of the population living on less than $1.25 a day; ratio of girls to boys in primary education; under 5 mor tality rate; and increased access to drinking water. DFID is suppor ting progress where Uganda is currently off track, eg on reproductive health, HIV prevalence and malaria. DFID is making a very significant contribution to the national effor t to increase access to family planning ser vices. The UK is also playing a lead role in suppor ting the country's effor ts to provide social protection for the most vulnerable people. ## Delivery Of Dfid Headline Results Health: Since 2011, nearly 390,000 women using modern contraception through DFID suppor t. Health: Nearly 20,000 bir ths attended by a skilled healthcare provider in 2013–14 through DFID suppor t. Wealth creation: In 2013–14,110,000 men and women accessing financial services through DFID suppor t. Poverty reduction: In 2013–14, 450,000 of the most vulnerable people in the country benefited from DFID-suppor ted unconditional monthly cash transfers. Education: Since 2011, almost 15,000 primary school children who had dropped out now returning to school through DFID suppor t. Vulnerability: In 2013–14, 27 million hours were worked on public works projects in Karamoja. ## Progress Towards The Mdgs MDG indicator Current assessment Proportion of population below $1.25 a day Green Net enrolment in primary education Red Ratio of girls to boys in primary education Green Under 5 mortality ratio Green Maternal mortality ratio Red HIV prevalence, 15–49 years old Green Improved water source Green Key statistics Population 34.0 million 38.0 % living below $1.25 a day (2009) Fertility rate 6.4 % annual GDP growth rate 6.0 Uganda programmes by sector 2013–14 Total spend £94.7 million newborn health 11.4% ## Yemen Country Summary And Top Priorities In 2013–14 Yemen faces multiple development challenges compounded by serious political crisis and conflict in 2011. Even before the crisis Yemen was the poorest country in the Middle East with worrying human development indicators and rapid population growth. The crisis led to large scale internal displacement and hunger, with 60% of the population needing humanitarian assistance. Ten million Yemenis do not have enough to eat and 1 million young children suffer from acute malnutrition. Women and girls suffer severe discrimination. ## Top Priorities: - more stable, secure and prosperous Yemen - political transition - early recovery and humanitarian needs ## Contribution To The Mdgs Although Yemen is on track to meet maternal mor tality ratio and HIV prevalence targets, most MDGs are not expected to be achieved by 2015. Yemen was unlikely to achieve most of the MDGs even before the 2011 humanitarian and economic crisis, which has fur ther inhibited progress. DFID's programme aims to suppor t the political transition: increase economic growth, deliver basic services and social protection, and address humanitarian needs in order to build the foundations for progress towards the MDGs. Through its humanitarian, integrated nutrition and Social Fund for Development programmes, DFID provides access to schools, nutrition, healthcare, clean water and improved sanitation for those most in need in the poorest communities. ## Delivery Of Dfid Headline Results Wealth creation: Between 2011–12 and 2013–14, just under 40,000 people were provided with new access to financial services and nearly 6,000 jobs were indirectly created through DFID suppor t. Poverty, hunger and vulnerability: DFID reached 680,000 children and women with an integrated package of malnutrition prevention and screening interventions between 2011 and 2013. Just under 40,000 people received DFID suppor ted cash transfers in 2013–14, including through labour intensive public works employment. Education: Over 30,000 children were suppor ted by DFID in primary education in 2013–14. Water and sanitation: DFID assisted just under 560,000 people to get sustainable access to clean drinking water sources and 20,000 people to sustainable access to an improved sanitation facility between 2011–12 and 2013–14. Humanitarian: DFID reached over 140,000 people with emergency food aid and livelihoods assistance in 2013–14. ## Progress Towards The Mdgs MDG indicator Current assessment Proportion of population below $1.25 a day Grey Net enrolment in primary education Red Ratio of girls to boys in primary education Red Under 5 mortality ratio Amber Maternal mortality ratio Green HIV prevalence, 15– 49 years old Green Improved water source Red Key statistics Population 22.8 million 17.5 % living below $1.25 a day (2005) Fertility rate 4.9 % annual GDP growth rate 6.0 ## Yemen Programmes By Sector 2013–14 Total spend £59.1 million ## Zambia Country Summary And Top Priorities In 2013–14 Sixty percent of Zambia's 13.2 million people (2010) live in pover ty. Inequality is very high and on current trends it will take until 2073 to reduce pover ty to 15%. Weak transmission of Zambia's strong growth to pover ty is the central challenge. DFID's programme includes improving the Government of Zambia's policies, systems and skills, enabling Zambia to increase its tax take and use its resources to deliver better ser vices. DFID also works to directly address the most off track MDGs, including extreme pover ty, gender, maternal mor tality, sanitation and hygiene. DFID is also developing a programme to remove the barriers to wealth creation and investment, to create a sustainable future beyond aid. DFID is working with the government and other donors to empower girls and women, in order to make growth more inclusive and tackle inequality. DFID is replacing general budget suppor t with sector budget suppor t for education and targeted financial aid. ## Top Priorities: - addressing the most off track MDGs - removing barriers to economic development - improving the position of poor women and girls ## Contribution To The Mdgs DFID is working to directly address the most off track MDGs using a combination of cash transfers, maternal and child mor tality interventions, and programmes to improve sanitation and hygiene. DFID is training community health assistants and skilled bir th attendants to boost health centre capacity, helping to reduce vulnerability to HIV infection and malaria and increasing access to safe delivery and family planning. DFID nutrition inter ventions have reached over 1.9 million children under 5 (2011–13). DFID is increasing access to improved sanitation and improving hygiene practices. DFID is also working with government and other donors to reduce gender based violence and empower girls and women, to tackle inequality and make growth more inclusive. ## Delivery Of Dfid Headline Results Poverty: In 2013–14 DFID provided 40,000 recipients with social cash transfers: 82% of recipients are women, and the cash transfers benefited 180,000 family members. DFID's analysis of the programme's success influenced the Government of Zambia to commit to a 700% increase in their financial contribution to the programme. Health: DFID delivered a fur ther 1 million bed nets house to house (2013–14), and 3.2 million people now sleep under nets provided by DFID (2011–13). This includes 140,000 pregnant women and 600,000 children under 5 years of age. Inclusive growth: In 2013–14 DFID provided 30,000 people and small businesses with access to a new financial product. Sanitation and hygiene: Up to 2013–14 inclusive, DFID provided 800,000 people with access to improved sanitation and 3.3 million were provided with access to hygiene knowledge through DFID promotion. ## Progress Towards The Mdgs MDG indicator Current assessment Proportion of population below $1.25 a day Red Net enrolment in primary education Green Ratio of girls to boys in primary education Green Under 5 mortality ratio Amber Maternal mortality ratio Amber HIV prevalence, 15– 49 years old Green Improved water source Amber ## Key Statistics Population 13.2 million 74.5 % living below $1.25 a day (2010) Fertility rate 5.9 % annual GDP growth rate 7.3 Zambia programmes by sector 2013–14 Total spend £66.6 million ## Zimbabwe Country Summary And Top Priorities In 2013–14 Zimbabwe made exemplary progress towards the MDG indicators throughout the 1980s and into the 1990s. The economic and humanitarian crisis from 2000 to 2008 stalled and in some cases starkly reversed many of these gains. Since 2009 Zimbabwe's economy has recovered but that recovery is now looking increasingly fragile. ## Top Priorities: - promoting economic development - suppor t the provision of basic ser vices including access to health, education and water - help to strengthen democracy ## Contribution To The Mdgs With progress towards the MDGs lagging in Zimbabwe, DFID's programme is focused on strengthening access to basic services including health, education and water. DFID is increasing contraception provision for women to reduce unmet need for family planning and decrease maternal mor tality. Through the rehabilitation and drilling of new boreholes DFID is increasing access to clean water in rural areas while our education programme is focused on increasing the number of children, especially girls, who have access to a good quality education. The UK is also playing a leading role in improving household incomes through access to finance, enterprise suppor t and social protection to vulnerable households. DFID's work is also improving food security in rural areas. ## Delivery Of Dfid Headline Results Cash transfers: 165,000 people received cash benefits in 2013–14. Education: 118,000 children suppor ted to attend primary school in 2013–14. Health: 126,000 babies have been delivered with the help of a nurse, midwife or doctor since 2011–12. Almost 3.5 million couples were provided with a year's contraceptive protection in 2013–14 through DFID's family planning programme. Water and sanitation: 790,000 people have achieved access to better hygiene over the last 2 years. 290,000 people have acquired sustainable access to clean drinking water over the last 2 years. Wealth creation: Nearly 90,000 economic oppor tunities created since 2012–13. ## Progress Towards The Mdgs MDG indicator Current assessment Proportion of population below $1.25 a day Grey Net enrolment in primary education Grey Ratio of girls to boys in primary education Grey Under 5 mortality ratio Red Maternal mortality ratio Red HIV prevalence, 15– 49 years old Red Improved water source Red Key statistics Population 13.0 million % living below $1.25 a day No data Fertility rate 3.9 % annual GDP growth rate 3.0 ## Zimbabwe Programmes By Sector 2013–14 Total spend £106.0 million Poverty, hunger and vulnerability 7.9% Reproductive, maternal and newborn health 19.7% Water and sanitation 10.3% Wealth creation 3.3% ## Africa Regional Programme Africa needs rapid economic growth and conducive policies to reduce pover ty. Of the 911 million people in sub-Saharan Africa, 48% still live on less than $1.25 a day. Some 29% live in landlocked countries, relying on their neighbours for access to overseas markets and growth oppor tunities. These continuing challenges cannot be overcome through working at the country level alone. Regional co-operation is essential to join up African economies and improve trade between them and the world, facilitate efficient management of natural resources, and respond to climate change challenges. Regional approaches are also impor tant for addressing neglected or sensitive development issues and improving lesson learning across countries. Contribution to regional priorities The Africa Regional Programme works closely with the African Union, Regional Economic Communities, African Development Bank, African governments and other par tners to help meet a range of regional development objectives. DFID supports regional interventions promoting: wealth creation by reducing trade barriers, suppor ting regional infrastructure development, and increasing par ticipation in regional staple food markets; adaptation to climate change, including improved regional co-operation on forests and water management; strengthened governance and accountability; improved regional evidence and advocacy, par ticularly on maternal health, malaria and democratic governance; and addressing neglected health issues such as unsafe abor tion and female genital mutilation. Helping Africa to make the most of its extractive industries is an impor tant new priority. ## Delivery Of Dfid Headline Results Wealth creation: Construction of one additional one-stop border post completed since 2011–12. The reduction in crossing time will be measured in 2015. Wealth creation: 880,000 people benefiting directly from new or improved par ticipation in national and crossborder value chains (eg regional food markets) since 2011–12. Health: 530,000 unsafe abor tions aver ted since 2011–12. Climate change: 710,000 people benefiting from improved management of shared water basins since 2011–12. Climate change: 140,000 people with improved access to low carbon energy since 2011–12. Governance: 460,000 people suppor ted to have choice and control over their own development and to hold decision makers to account since 2011–12. Humanitarian: 2.3 million people reached with emergency food assistance since 2011–12. ## Asia Regional Programme South Asia is home to 500 million people living below $1.25/day and 900 million living below $2/day . The region has the worst level of gender inequality in the world, including high levels of violence against girls and women, and the lowest rates of economic participation. The region's poorest people are those discriminated against because of their gender, caste, religion or ethnicity . The entire region is vulnerable to the impacts of climate change. More than 750 million people (50% of the population in the Asia region) have been affected by at least one natural disaster over a period of less than 20 years, resulting in 230,000 deaths and $45 billion in damage. Intra -regional trade, at 5% of total trade, is also among the lowest in the world. Contribution to regional priorities The Asia regional programme allows DFID to work across borders and in ways which can be more cost effective than working in individual countries. Priorities include: improving regional connectivity with a focus on trade and power connectivity, and dealing with the negative consequences of improved trade (trafficking and malaria); improving resilience to growth including through co-operation on cross-border rivers and protecting the urban poor from climate risks; and (where appropriate) running regional health and nutrition programmes including programmes that will enable more effective food security and nutrition investments in the region. ## Delivery Of Dfid Headline Results Wealth creation: Support through the South Asia Regional Trade and Integration Project has delivered an agreed new World Bank funded programme to connect electricity produced in central Asia from hydro sources to Pakistan. In 2013–14 these programmes also helped to reduce transit times of goods at key border posts (Nepal/India and Pakistan/India in particular), and identified cross-border investment opportunities to stimulate job creation. Governance and security: During 2013–14, foundations for the 'Work in Freedom' anti-trafficking programme have been laid, including 8 partnership agreements signed, delivery teams recruited, and several pilot community activities and border surveys completed. Poverty, hunger and vulnerability: Through the South Asia Food and Nutrition Security Initiative 16 programmes in different sectors are improving food security and nutrition. Health: Between 2011–12 and 2013–14 the multi-country maternal health programme has averted over 5,000 maternal deaths (modelled). Managing climate risks: By the end of 2013–14 the South Asia Water Governance programme had helped facilitate the signing of agreements between China, India and Nepal to co-operate on securing the waters of the Indus and Brahmaputra rivers. ## Middle East And North Africa Regional Programmes The main purpose of DFID's involvement in the Middle East and North Africa (MENA) is to support a more stable and prosperous region based on open, inclusive political systems and economies. MENAD Regional delivers programming across the region, with a specific focus on countries in transition and experiencing instability (Egypt, Tunisia, Jordan, Lebanon and Libya). MENAD Regional also supports cooperation and dialogue with the Gulf donors in UAE, Saudi Arabia, Kuwait and Qatar . DFID's work is focused on the £125 million Arab Partnership Economic Facility which aims to support increased employment (especially for women and young people), economic growth, and effective and accountable institutions. The majority of funding is being channelled through the international financial institutions to provide technical assistance to governments and the private sector . In 2013–14 DFID played a major role in responding to the humanitarian crisis caused by the ongoing conflict in Syria. DFID contributed £295 million to support those affected by the conflict in Syria and neighbouring countries. MENAD Regional complements DFID's humanitarian response with additional support to host communities in Jordan and Lebanon. UK support in Libya is helping the government to deliver security and justice services and improve its management of public finances. Contribution to regional priorities Since 2011, the MENA region has experienced major changes. The region today faces complex, interlinked political, economic and security challenges, and a large and still growing youth population. DFID's work in the region is a major component of a wider UK government effort to respond to the challenges of short term insecurity while laying the foundations for long term stability and reform. ## Delivery Of Dfid Headline Results Wealth creation: During 2013–14 over 1,300 enterprises have received business advice. Nearly 1,700 loans have been disbursed to small and medium sized enterprises. 19,500 jobs have been created either directly or indirectly. 2,900 people have been trained in new skills. 150,000 micro-loans have been disbursed to new businesses. Global partnerships: During 2013–14 54% of projects by the World Bank and 39% of projects by the African Development Bank in the MENA region were focused on promoting economic and social inclusion. Since its launch in 2012 the Deauville Transition Fund has so far committed $100 million to a total of 28 projects across Egypt, Tunisia, Jordan, Morocco, Yemen and Libya. Humanitarian: In Syria and the wider region approximately half a million people per month have been supported with food aid and up to 600,000 people per month have been provided with clean drinking water. ## Overseas Territories 3.15 A White Paper on the Overseas Territories was published in June 2012. This set out an ambitious vision for the 14 UK Overseas Territories of flourishing communities, growing economies, soundly managed public finances, and strong technical suppor t for development of the Territories provided from a wide range of Whitehall depar tments. 3.16 DFID's Overseas Territories Depar tment's Operational Plan set out how DFID works to achieve these objectives - by meeting the reasonable assistance needs of the 3 'aided' Overseas Territories, accelerating reduction in their aid dependency, and helping manage the government's financial liabilities for non-aided Caribbean Overseas Territories in crisis. 3.17 DFID's direct financial suppor t for the governments of Montserrat, St Helena and Pitcairn again helped to ensure the delivery of adequate public ser vices such as health, education and continued access to the islands by sea. DFID also continued to provide investment in Overseas Territories where the conditions are right for substantial public investments to help stimulate private sector led economic growth. In the past year this has led to impor tant progress, including: - St Helena, where the ear thworks for the new airpor t are now two thirds complete. The airpor t is on schedule to open in early 2016. Preparatory work has also begun on the construction of a new wharf which will allow cargo vessels to dock directly on the island for the first time. - Initial geothermal testing on Montserrat has been completed, allowing work to begin on the design of a power plant and the transmission line which will feed the electricity generated by geothermal power into the island's grid. Geothermal power offers the prospect of cheaper and cleaner energy for Montserrat. It is designed to help attract new businesses to the island, generate revenues for the Montserrat Government and lead to a gradual reduction in the need for UK financial assistance. - In the Turks and Caicos Islands, a UK government loan guarantee of a $239 million continues to save the Turks and Caicos Islands millions of dollars a year. During 2013, technical assistance from DFID helped ensure that the Turks and Caicos Islands Government stayed on track to refinance at a low and sustainable debt level when the current guarantee expires in 2016. 3.18 In return for these major investments from DFID, Overseas Territories governments are committed to doing everything they can to improve the investment climate and to reduce their dependence on UK subsidies. ## Delivering Through Multilateral Organisations 4.1 The following pages in this chapter offer a repor t on the mulitlateral organisations covered by the Multilateral Aid Review (MAR)1 in receipt of at least £20 million per year.2 Each repor t includes: a summary of what the organisation does, including how it contributes to the Millennium Development Goals (MDGs); DFID funding to the organisation; what the organisation spends in each sector; the organisation's main achievements; and the MAR assessment score (2011) and the rating from the MAR Update3 (2013). 4.2 Examples of key achievements by the other multilaterals covered in the MAR are outlined at the end of the chapter in Table 4.1. Some information on administrative costs is included though it should be noted that the classification and repor ting of administrative costs varies across multilaterals and over time within multilaterals. This makes it difficult to compare administrative spend across organisations, and also makes tracking cost changes over time difficult. DFID is working with par tners and organisations to increase the transparency and usefulness of administrative cost data by agreeing a common approach and repor ting method. 4.3 The UK wants to make sure that funding to multilaterals has the greatest possible impact on the lives of the poorest people in the world. That is why, in 2011, the Coalition Government established the Multilateral Aid Review to assess the value for money of DFID's central funding of 43 different multilateral organisations. The review influenced spending decisions and was recognised by the UK Parliamentary International Development Committee as making "a real contribution to the efficiency of the multilateral system". 4.4 In 2013, DFID under took an Update of the MAR to assess progress on specific reform priorities. The Update showed that all the organisations it continued to fund have made improvements over 2 years. Some organisations were asked to make urgent reforms if they wanted investment to continue (known as 'special measures agencies') - and they have all made progress. Other multilaterals, which were already doing well, are doing even better. However, not all organisations have made the changes DFID expected of them. This was the case in areas such as the empowerment of girls and women, driving greater transparency and accountability, and paying sufficient attention to costs and ensuring value for money and the appropriate level of administration costs. Work continues to suppor t improvements in these areas. 4.5 DFID delivered 45% of its total programme expenditure in 2013–14 through central funding to multilateral organisations (£4.4 billion4 out of a total programme spend of £9.9 billion). Provisional figures5 show that in 2013–14 DFID's main multilateral delivery par tners were the European Commission, International Financial Institutions (IFIs, including the World Bank and the African and Asian Development Banks), the Global Funds (including the GAVI Alliance, the Global Fund to Fight AIDS, Tuberculosis and Malaria, and UNITAID) and the United Nations and Commonwealth. Figure 4.1 shows the distribution of DFID's core funding across these organisations. 4.6 Alongside core funding, DFID also provides non-core funding to multilateral organisations to deliver specific programmes, usually within a par ticular country or region, or within a cer tain theme such as sanitation or education. Information on both core and non-core funding is shown in each of the one-page summaries on selected multilaterals later in this chapter. 4.7 Multilateral organisations make a critically impor tant contribution to achieving international development and humanitarian objectives globally, including in countries where DFID has no bilateral presence. As shown in Figure 4.2, the majority of funding from multilaterals goes to Africa and Asia. 4.8 Throughout this chapter the following colour coding is used to indicate which MDGs the multilateral contributes towards, and to what degree. The lighter shade shows that a multilateral contributes to this MDG The darker shade shows where work towards this MDG is a significant part of the multilateral's work No shading indicates that the multilateral has no par ticular focus on this MDG indicator ## 4.9 The Scores Used In The Mar And The Mar Update Are Shown Below. | MAR (2011) summary | Basis for rating | |-----------------------------------------------------------------------------|---------------------| | 4 | | | Very good value for money for UK aid | | | 3 | | | Good value for money for UK aid | | | 2 | | | Adequate value for money for UK aid | | | 1 | | | Poor value for money for UK aid | | | Basis for rating | MAR Update overall | | progress rating | | | Significant progress in all components OR significant progress in most | | | components outweighs reasonable, some or no progress in others | | | 4 | | | 3 | | | Reasonable progress in all components OR reasonable progress in most | | | components outweighs some and no progress in others OR significant progress | | | in some components balances some and no progress in others | | | Some progress in all or most components OR reasonable progress in some | | | components balances no progress in others | | | 2 | | | Little or no progress in most components not balanced by significant, | | | reasonable or some progress elsewhere | | | 1 | | ## African Development Bank Multilateral summary The African Development Bank (AfDB) group is owned and funded by its member countries and provides loans and grants to African governments and private companies investing in Africa's regional member countries. The African Development Fund (AfDF) is the concessional lending arm of the AfDB. The AfDB is committed to reducing pover ty and promoting sustainable economic and social development in Africa. In 2014, donor countries, including the UK, agreed to contribute approximately $7.3 billion to the concessional fund between 2014 and 2016. This money has provided loans and grants to 40 of the poorest African countries. Priority areas for the AfDB are: inclusive growth/ transition to sustainable growth, infrastructure development, regional integration, private sector development with special emphasis given to fragile states, agriculture and food security, and gender . Contribution to the MDGs The AfDB is involved in all 8 MDGs at various levels, par ticularly the reduction of extreme pover ty and hunger . The Bank also focuses on improving the enabling conditions for sustainable growth, including infrastructure and private sector development. Key achievements In 2013, as a result of AfDB's suppor t - 921,000 people have gained access to new or improved water and sanitation - 2.6 million people have new or improved electricity connection - over 7.2 million people have improved access to transport connections ## Multilateral Aid Review 2011 Dfid'S Engagement ## Multilateral Aid Review 2013 2 Some progress on average across reform areas 3 Good value for money for UK aid The UK has around a 1.7% shareholding in the AfDB (the seventh largest non-regional shareholder and 17th largest overall). The UK delegation to the Bank sits within a constituency office comprising of Italy , the Netherlands and the UK. The UK currently holds the Executive Director position in this constituency . Funding to AfDB Between 2010–11 and 2012–13, DFID provided £595 million to AfDB, 94% of which was core funding including for the Multilateral Debt Relief Initiatives (MDRI). DFID provided £205 million to AfDB in 2013–14, 98% of which was core funding. AfDB spend by sector In 2013, the AfDB group approved 202 operations totalling Unit of Account1 (UA) 4.4 billion, with an administrative cost level of 7%. Total approvals for loans and grants amounted to UA 2.3 billion. ## Afdb Approvals, 2013 ## Asian Development Bank Multilateral summary The Asian Development Bank (AsDB) is owned and funded by its member countries and provides loans and grants to governments and private companies investing in its regional member countries in Asia and the Pacific. AsDB is committed to tackling pover ty reduction and delivering the MDGs through the promotion of inclusive economic growth, environmentally sustainable growth, and regional integration. AsDB has a strong focus on infrastructure (transpor t, energy, water and sanitation) and works closely with par tner countries, other multilaterals including the World Bank, and bilateral donors including the UK. The Asian Development Fund (AsDF) is the concessional lending arm of the AsDB. In 2013, donor countries, including the UK, agreed to contribute approximately $4.6 billion between 2013 and 2016. This money will provide loans and grants to the 30 least developed of its 48 regional members. AsDB spend by sector In 2013, AsDB approved operations totalling $21.0 billion, with an administrative cost level of 4% of total approved operations. In 2013, $8.5 billion of loans and grants were disbursed. Contribution to the MDGs AsDB contributes to the MDGs through its focus on pover ty reduction and investment in core MDG sectors such as transpor t, energy, water , financial services and education. It also suppor ts the collection of statistics to monitor progress towards achieving the MDGs in Asia and the Pacific. Key achievements - AsDB assistance in 2013 enabled 92,000 households to get connected to electricity, 1,003,000 to a water supply and 549,000 to sanitation. AsDB also provided microfinance loans to 831,000 borrowers, mostly to women - AsDB provided nearly $900 million in assistance for immediate recovery effor ts and long term reconstruction and rehabilitation following Typhoon Haiyan which struck the Philippines with devastating effect on 8 November 2013 ## Multilateral Aid Review 2011 Dfid'S Engagement Multilateral Aid Review 2013 3 Reasonable progress on average across reform areas 4 Very good value for money for UK aid The UK has around a 2% shareholding in the AsDB (the 7th largest non-regional shareholder and 14th largest overall). The UK delegation to the Bank sits within a constituency office comprising Austria, Germany , Luxembourg and Turkey . The UK currently holds the Alternate Executive Director position in this constituency . Funding to the AsDB Between 2010–11 and 2012–13, DFID provided £171 million to AsDB, 68% of which was core funding. DFID provided £74 million to AsDB in 2013–14, 80% of which was core funding. ## Asdb Loans And Grants, 2013 Water supply and other municipal infrastructure and services 9.1% Multisector 8% Public sector management 5.7% Agriculture and natural resources 5% Education 3.7% Health and social protection 2.6% Industry and trade 0.3% ## Central Emergency Response Fund Multilateral summary The Central Emergency Response Fund (CERF) aims to provide timely and flexible humanitarian funding in the immediate aftermath of rapid onset disasters, and reduces critical gaps in chronically under funded emergencies. Contribution to the MDGs Humanitarian assistance is often a major source of suppor t for pover ty reduction in chronically poor , fragile and conflict-affected countries where progress on the MDGs has been slowest. It can help vulnerable communities reduce vulnerability to crisis, protect their assets during shocks and prevent them from falling into deeper pover ty . ## Key Achievements In 2013, Cerf Provided: - $47.4 million to help people in Sudan affected by heavy rains and flooding. Allocations include distributions of water and sanitation, lifesaving ser vices for the displaced population, health and food - $40.4 million for operations in Syria to suppor t up to 4 million people (including 2 million children), including distribution of food and non-food items, and water and sanitation - $74.5 million to fund humanitarian operations in 13 countries. Allocations include $19.8 million to Somalia to suppor t relief work in poorly funded clusters including food security, nutrition, protection and health, and $10 million to Pakistan for emergency lifesaving nutrition services and emergency shelter ## Multilateral Aid Review 2011 Dfid'S Engagement 4 Very good value for money for UK aid DFID engages with CERF through CERF's Advisory Group (CAG). This is a useful forum to press for the limited number of reforms DFID expects CERF to address and to ensure good progress continues. Multilateral Aid Review 2013 2 Some progress on average across reform areas £141 million to CERF DFID provided £70 million to CERF in 2013–14. CERF spend by sector In 2013, CERF's total expenditure was $482 million, with 10% as administrative costs. Administrative costs are arrived at by aggregating the programme suppor t costs of both implementing par tners and the UN. ## Cerf Disbursement Of Funds, 2013 rule of law 5.1% UN Humanitarian Air Service 2.7% Camp management 2.4% Logistics 1.3% Education 1.1% Mine action 0.7% Telecom and data 0.6% Security 0.4% Economic recovery and infrastructure 0.3% ## Climate Investment Funds Multilateral summary The Climate Investment Funds (CIFs) are trust funds which aim to deliver large scale finance in the form of grants and loans to suppor t developing countries' own plans for low carbon, climate resilient development. Funds are delivered through the multilateral development banks. The CIFs enable developing countries to pilot new, innovative and transformational approaches at scale, and they are increasingly leveraging private finance. Currently 48 developing countries are benefiting Funding to CIFs Between 2010–11 and from CIF suppor t. Approximately $8 billion has been 2012–13, DFID provided pledged to the CIFs by 14 donor countries and over £391 million to CIFs. DFID 50 developing countries are involved as equal par tners provided £13 million to in decision making or as recipients of finance. CIFs in 2013–14. - $839 million for the Clean Technology Fund, of which $10.5 million (1%) was administrative costs Contribution to the MDGs By advancing low carbon and climate resilient development, the CIFs are combating the effects of climate change across many sectors, and thus reducing the threat of the attainment of the MDGs. - $520 million for the Strategic Climate Fund (covering the Pilot Programme for Climate Resilience, the Forest Investment Programme and the Scaling Up Renewable Energy Programme), $30.9 million (6%) of which was administrative costs Key achievements The CIFs' results are expected to be realised over the long term in a 5 to 30 year period. - in 2013, the CIFs approved 44 projects in 27 countries (including one regional programme) which will increase renewable energy, transpor t and energy efficient infrastructure; increase the number of people suppor ted to cope with the effects of climate change; reduce deforestation and degradation; and increase sustainable land management practices. - 2,626 MW of installed renewable energy capacity are repor ted to have been achieved by early implementers. ## Multilateral Aid Review 2011 Dfid'S Engagement Multilateral Aid Review 2013 3 Good value for money for UK aid The UK currently has a single seat on all the committees and sub-committees. There are more donors than donor seats and this is managed informally . The UK successfully ensured that key priorities are reflected in the CIFs, for example securing a strong focus on gender . 3 Reasonable progress on average across reform areas CIFs spend by fund In 2013, the total expenditure for each of the two trust funds which make up the CIFs was: ## European Development Fund Multilateral summary The European Development Fund (EDF) is the main funding instrument for European Commission (EC) development spending in 78 African, Caribbean and Pacific countries (ACPs) and 25 European Union (EU) overseas countries and territories. The EDF is a separate Member State fund that sits outside the EU's budget. The EDF has a strong poverty focus with 80% of funds going to low income countries. Its size, focus on poverty and cross-cutting development impact makes the EDF critical for progress on the MDGs and poverty reduction. Contribution to the MDGs EU co-operation across the world is focused on achieving the MDGs. The 2011 ' Agenda for Change' policy document reaffirmed that the objective of EU assistance is poverty elimination in the context of sustainable development, including pursuit of all of the MDGs. In December 2011, the EC launched an initiative worth €1 billion for projects targeting the most off-track MDGs, including hunger , child mortality , maternal health, and water and sanitation. ## Key Achievements In 2012: - the EDF invested €233 million in health sector projects in 49 countries in Africa, the Caribbean and the Pacific - the European Investment Bank approved operations in Africa, the Caribbean and the Pacific that will help suppor t or create 2.4 million jobs - the EU approved projects that will provide access to electricity to more than 2.6 million people across Africa, the Caribbean and the Pacific ## Multilateral Aid Review 2011 Dfid'S Engagement ## Multilateral Aid Review 2013 2 Some progress on average across reform areas 4 Very good value for money for UK aid The EDF is a fund managed on behalf of EU Member States by the EC. EDF decisions are taken by a Member State committee, by consensus wherever possible. The UK also uses its position in the Council of the EU to influence EU development policy . The UK contribution to the EDF is 14.8%, giving an equivalent voting weight. Funding to EDF Between 2010–11 and 2012–13, DFID provided £1,180 million to the EDF all of which was core funding. DFID provided just over £400 million to the EDF in 2013–14. EDF spend by sector In 2012, the EDF disbursed €3.1 billion wor th of official development assistance. ## Edf Disbursement Of Funds, 2012 European Union Budget, Development And Humanitarian Aid And Civil Protection (Echo) Departments Of The European Commission Multilateral summary Development investment provided through the European Union (EU) budget funds programmes in Asia, Latin America, Eastern Europe, the Middle East and Nor th Africa. It also funds some thematic programmes and the EU's humanitarian assistance, through ECHO. EU budget-development spend In 2012, the EU budget-development (excluding the EDF) disbursed €6.5 billion wor th of official development assistance. Contribution to the MDGs The 2011 'Agenda for Change' policy document reaffirms that the objective of EU aid is pover ty elimination in the context of sustainable development, including pursuit of all of the MDGs. Humanitarian assistance is currently a major source of suppor t for pover ty reduction in chronically poor , fragile and conflict-affected countries where progress on the MDGs has been slowest. Key achievements - disbursed between 2009 and 2011, the EU's €1 billion food facility has improved the lives of over 59 million people in 49 countries through, for example, a livestock vaccination programme that resulted in the inoculation of around 45 million livestock - in 2012, the European Investment Bank approved operations outside the Africa, Caribbean and Pacific regions that will help suppor t or create 900,000 jobs - in 2013, ECHO's humanitarian assistance reached 124 million people ## Multilateral Aid Review 2011 Dfid'S Engagement 4 ECHO Very good value for money for UK aid ## Multilateral Aid Review 2013 2 EU budget Adequate value for money for UK aid The EU budget-development is managed by the EC. Funding is split by regional and thematic lines, with decisions taken by committees for the regional instruments. The UK uses its position in the Council of the EU to influence EU development policy . The UK is a Member State of the EU and contributed 15.6% of the EU budget in 2013. 2 EU budget Some progress on average across reform areas 2 ECHO Some progress on average across reform areas ## Funding To Eu Budget-Development And Echo Between 2010–11 And 2012–13, DFID provided £2.4 billion to the EU budget-development, around 99% of which was core funding. DFID provided approximately £780 million in 2013–14, 97% of which was core funding. ## Ec Budget Oda Disbursements, 2012 ## Food And Agriculture Organisation Multilateral summary The Food and Agriculture Organisation (FAO) provides technical assistance and policy advice at country and global level to support increased food production, rural development, and sustainable use of natural resources. FAO provides the platform to negotiate international treaties and agree normative standards and guidelines on food and agriculture issues. It leads the humanitarian agriculture cluster in response to emergency situations, such as floods, droughts and earthquakes. FAO spend by sector The total FAO budget for the biennium 2012–13 was $2.4 billion, with around 58% provided through voluntary contributions. The largest part of the budget delivered food and agriculture outcomes, with 6% budgeted as administrative costs that include: financial stewardship and reporting, procurement, HR management and facilities management. Contribution to the MDGs The FAO focuses on MDG1, eradicating extreme hunger and poverty by: supporting sustainable management of natural resources to increase productivity and improve food security . This includes supporting gender equity in access to resources, goods, services and decision-making in rural areas; building global partnerships, including through monitoring and assessment of long term trends; provision of information, policy advice, knowledge and statistics; and development of international instruments, norms and standards. Key achievements - following typhoon Haiyan in the Philippines, FAO ensured that affected rice farmers could plant in time for the December planting season. The rice production packages provided to 44,000 affected families in 2013 will yield enough to feed more than 800,000 people for more than a year - in 2013, the FAO supported the enhancement of Kenya's National Livestock Disease Surveillance Coverage using new digital pen technology, enabling disease reports to be incorporated into the national database in a matter of seconds instead of a month ## Multilateral Aid Review 2011 Dfid'S Engagement 1 Poor Value For Money For Uk Aid Multilateral Aid Review 2013 through DFID's UK Permanent Representation to the UN Agencies in Rome. ## 3 Reasonable Progress On Average Across Reform Areas Funding to FAO Between 2010–11 and 2012–13, DFID provided £109 million to FAO, 48% of which was core assessed funding. DFID provided £87 million to FAO in 2013–14, 44% of which was core assessed funding. The UK is a member of the FAO Conference and Council, and co-ordinates positions with the EU group. Direct engagement with FAO is ## Gavi Alliance Multilateral summary The GAVI Alliance is a public-private par tnership which aims to save children's lives and protect people's health by increasing access to immunisation in developing countries. As well as traditional donor contributions, GAVI has raised additional predictable finance for immunisation through the International Finance Facility for Immunisation (IFFIm) and the Advance Market Commitment (AMC). GAVI currently provides suppor t to the 73 least developed countries and most fragile states. Fifty six countries are eligible for new GAVI suppor t based on their gross national income (GNI) per capita being below or equal to $1,570. GAVI spend by sector In 2013, GAVI's total operating expenditure is estimated to be $1.6 billion, including around $49 million (3%) in overhead costs/administrative costs. Contribution to the MDGs Immunisation is impor tant for driving MDG progress. Vaccines prevent over 2.5 million child deaths each year and protect children from disability, enabling families to break out of a cycle of pover ty and ill health (MDG 1). A total of $8.2 billion was committed for programmes between 2000 and 2013. 79% of funds were committed to the procurement of vaccines, which are delivered to country . ## Total Gavi Funds Committed, 2013 GAVI makes its biggest contribution to MDG 4, reducing child mor tality through suppor t for vaccines against pneumococcal and rotavirus diseases. It has an impact on MDG 5: through suppor t for the vaccine to prevent Human Papilloma Virus (HPV) which causes cervical cancer , a leading killer of women in sub-Saharan Africa. ## Key Achievements In 2013, Gavi: - suppor ted the immunisation of over 48 million additional children - contributed to preventing more than 900,000 additional future deaths - reduced the total cost to fully immunise a child with pentavalent, pneumococcal and rotavirus vaccines by 37% from $35 in 2010 to $22 in 2013 ## Multilateral Aid Review 2011 Dfid'S Engagement Multilateral Aid Review 2013 4 Very good value for money for UK aid As par t of the UK/Canada/Ireland donor constituency , DFID sits directly on the GAVI Alliance Board, Governance Committee, Policy and Programme Committee and is represented on the Audit and Finance Committee. The UK provided 32.4% of GAVI funds during 2011–15. 3 Reasonable progress on average across reform areas Funding to GAVI Between 2010–11 and 2012–13, DFID provided £376 million to GAVI (including IFFIm and AMC), 96% of which was core funding. DFID provided £387 million to GAVI in 2013–14, 89% of which was core funding. ## Global Environment Facility Multilateral summary The Global Environment Facility (GEF) is the principal agency suppor ting developing countries in implementing international agreements on climate change, biodiversity, land degradation, international waters, dangerous chemicals and protection of the ozone layer . It provides finance for technical suppor t and training and to meet the incremental costs of innovative pilot investments that yield global and local benefits, for example in renewable energy . GEF finance is channelled through 10 multilateral banks and UN agencies. Currently , 144 countries are eligible for GEF support. Approximately $4.3 billion was pledged by 35 donors for the current, fifth replenishment period (GEF5, 2010–14). Contribution to the MDGs By suppor ting improved environmental management as an integral par t of sustainable development - including climate change, biodiversity and drylands management - the GEF programmes strengthen a range of sectors, including agriculture, forestry and energy which are crucial to achieving and sustaining the MDGs. Key achievements UK funding for GEF5 is contributing to the following results: - demonstration of 3 to 4 innovative energy technologies in 10 to 15 countries - 0.5 gigawatt new renewable energy capacity installed - conser vation and management of 170 hectares of protected areas - sustainable use and management of biodiversity in 60 hectares of production landscapes and/or seascapes - 500 million tonnes of CO2 equivalent avoided ## Multilateral Aid Review 2011 Dfid'S Engagement 3 Good value for money for UK aid The UK is a member of the GEF Council, the main governing body for the GEF . ## Multilateral Aid Review 2013 3 Reasonable progress on average across reform areas Funding to GEF Between 2010–11 and 2012–13, DFID provided £193 million to GEF , all of which was core funding. DFID provided £53 million to GEF in 2013–14. GEF spend by sector The total GEF5 budget for 2010–14 is $4.3 billion, 3% of which is allocated to corporate activities. ## Gef5 Indicative Allocation, 2010–2014 Small grants 3.3% Sustainable Forest Management/ Reducing Emissions from Deforestation and Forest Degradation 5.9% Outreach to private sector 1.9% Corporate budget 2.8% ## Global Fund To Fight Aids, Tuberculosis And Malaria Multilateral summary The Global Fund to Fight AIDS, Tuberculosis and Malaria (GFATM) is a global public-private par tnership that raises and disburses funds to prevent and treat HIV/AIDS, tuberculosis (TB) and malaria. It has suppor ted over 1,000 programmes, and accounts for 20% of all international funding for HIV/ AIDS, 75% of international TB funding, and 66% of international funding for malaria. Contribution to the MDGs Since its creation in 2002, GFATM has become the biggest multilateral funder of health-related MDGs, directly contributing to MDGs 4, 5 and 6. Due to strong country-owned programmes, increased funding and recent scientific advances, the MDG targets for HIV/AIDS, TB and malaria have been achieved. Globally it is estimated that new HIV infections have fallen by 30% between 2001 and 2012; malaria mor tality rates by 42% in all age groups between 2000 and 2012; and the TB mor tality rate has been reduced by 45% between 1990 and 2012. Key achievements In 2013 alone, through GFATM suppor ted programmes: - 1.9 million people received antiretroviral (ARV) therapy - 670,000 HIV positive women received ARV prophylaxis for prevention of mother to child transmission (PMTCT) - 1.5 million new TB cases were detected and treated ## Multilateral Aid Review 2011 Dfid'S Engagement Multilateral Aid Review 2013 4 Very good value for money for UK aid As par t of the UK/Australia constituency , DFID sits on the GFATM Board and will sit on the Strategic Impact and Investment Committee from 2014–15. On average over the 2013–14 period DFID was a 9.4% shareholder . 3 Reasonable progress on average across reform areas Funding to GFATM Between 2010–11 and 2012–13, DFID provided £606 million to GFATM, almost all of which was core funding. DFID provided £543 million to GFATM in 2013–14, all of which was core funding. GFATM spend by sector In 2012, the total GFATM grant expenditure was $1.2 billion, including around $222 million (18%) in human resources, planning and administrative costs; including employment costs, fund agent fees and operating expenses. A total of $25.1 billion was committed for programmes between 2002 and 2013 and allocated by disaese as follows. ## Gfatm Programme Approvals, 2002–2013 ## Global Partnership For Education Multilateral summary The Global Par tnership for Education (GPE) is the only multilateral organisation exclusively focused on suppor ting poor countries to educate children from pre-primary to the end of secondary school. GPE is comprised of nearly 60 developing countries, as well as donor governments, the private sector, civil society, teachers, and multilateral organisations Contribution to the MDGs GPE directly contributes to MDGs 2 and 3, and indirectly suppor ts others. Half the reduction in child mor tality over the past 40 years can be attributed to better education of women, and about 171 million people could be lifted out of pover ty if all students in poor countries left school with basic reading skills. GPE suppor ts this by financing the development and implementation of countries' education sector plans through a co-ordinated process involving donors, developing countries, civil society and teacher representatives. Key achievements - in 2012, GPE suppor ted over 4.5 million children in primary education, including 2.2 million girls - in 2012, GPE suppor ted over 400,000 children in lower secondary school, including approximately 189,000 girls - joining the Par tnership is associated with an average 12% increase in primary completion rate for developing countries and a 10% increase in domestic financing ## Multilateral Aid Review 2011 Dfid'S Engagement ## Multilateral Aid Review 2013 3 Reasonable progress on average across reform areas 4 Very good value for money for UK aid DFID shares a Board constituency with Canada and holds the Board seat. In addition it sits on the Country Grants and Performance Committee and the Co-ordinating Committee, and Canada represents us on the Governance and Finance Committee. Since inception, DFID has contributed around 23% of GPE's funding. Funding to GPE Between 2010–11 and 2012–13, DFID provided £248 million to GPE, all of which was core funding. DFID provided £60 million to GPE in 2013–14, all of which was core funding. GPE spend by country All programme funding to GPE suppor ts education. In 2013, spending on programme implementation grants totalled $335 million. Administrative costs were $16 million in 2013 (5% of programme disbursements). ## Gpe Programme Implementation Grants By Countries, 2013 International Committee Of The Red Cross Multilateral summary The International Committee of the Red Cross (ICRC) is an independent, neutral organisation that directs and co-ordinates the international relief activities of the Red Cross and Red Crescent during armed conflicts. It works in some of the most difficult and fragile conflict environments in the world, providing protection and assistance to those affected. Contribution to the MDGs ICRC's primary objective is to save lives and protect the dignity of victims of armed conflict. ICRC contributes to the MDGs and pover ty reduction through its focus on providing humanitarian assistance in conflict countries. ICRC spend by sector In 2013, ICRC's total expenditure was Swiss Francs (CHF) 1,234 million, with 10% as administrative costs. The total operational activities amounted to CHF1,045 million, with most spent on assistance. Humanitarian assistance is often a major source of suppor t for pover ty reduction in chronically poor , fragile and conflict-affected countries where progress on the MDGs has been slowest. It can help communities reduce their vulnerability to crisis, protect their assets during shocks and prevent them from falling into deeper pover ty . ## Key Achievements In 2013, Icrc: - improved water, sanitation and construction work in 58 countries, helping some 28.7 million people worldwide - provided food aid to 6.8 million people in 55 countries worldwide - enabled 11.5 million people to benefit from ICRC-suppor ted healthcare facilities ## Multilateral Aid Review 2011 Dfid'S Engagement Multilateral Aid Review 2013 3 Reasonable progress on average across reform areas 4 Very good value for money for UK aid The UK is an active member of the Donor Suppor t Group (DSG) which holds annual meetings and is attended by the top donors. The UK also par ticipates in DSG Policy Forum discussions held more regularly during the year . The UK is ranked second of ICRC's donors (in 2013), accounting for 13.4% (CHF163.2 million) of all contributions received by ICRC. Funding to ICRC Between 2010–11 and 2012–13, DFID provided £194 million to ICRC, 46% of which was core funding. DFID provided £117 million to ICRC in 2013–14, 47% of which was core funding. ## Private Infrastructure Development Group Multilateral summary The Private Infrastructure Development Group (PIDG) aims to address market and institutional failures that constrain the private sector's involvement in infrastructure development in order to foster economic growth and reduce pover ty . First established in 2002 to launch the Emerging Africa Infrastructure Fund, the PIDG has developed a por tfolio of companies and facilities. The PIDG currently has 9 members. Contribution to the MDGs PIDG directly contributes to MDG 1 and contributes to MDG 7. PIDG spend by sector PIDG facilities committed a total of $104 million to 19 projects in 2013 and $14 million to 14 technical assistance grants. By the end of 2013, PIDG facilities had committed $1.6 billion to 151 projects and $32 million to 83 technical assistance grants. Cumulative administrative costs from 2002 were 2% of total commitments. Key achievements By the end of 2013, 187,900 permanent jobs had been created by the 46 PIDG suppor ted projects that were operational. - 35 projects suppor ted by PIDG facilities are now operational - These 35 projects are delivering new or improved infrastructure to 98 million people - The 35 projects have attracted $10.2 billion of private sector investment in infrastructure - In addition, the Infrastructure Development Collaboration Par tnership Fund (DevCo) has provided transaction suppor t on another 11 projects that are now operational - These 11 projects are delivering new or improved infrastructure to 15 million people - The 11 projects have attracted £0.8 billion of private sector investment in infrastructure ## Multilateral Aid Review 2011 Dfid'S Engagement ## Multilateral Aid Review 2013 4 Very good value for money for UK aid For 2014, DFID is chairing the PIDG Council which meets every 6 months. DFID has quar terly meetings with all the PIDG facilities that it suppor ts. The National Audit Office is carrying out a value for money study of the PIDG in 2014. 3 Reasonable progress on average across reform areas Funding to PIDG Between 2010–11 and 2012–13, DFID provided £144 million to PIDG facilities. DFID provided £152 million to PIDG in 2013-14, 96% of which was core funding. Since PIDG's inception in 2002, DFID has been the largest contributor . ## Pidg Cumulative Commitments To 2013 Industrial infrastructure 12.7% Agri-infrastructure 4.5% Housing 4.4% Mining 2.4% Multisector 2.1% Water, sewage and sanitation 0.8% Urban development/infrastructure 0.1% ## United Nations Development Programme Multilateral Summary The United Nations Development Programme (Undp) provides assistance to 177 countries and has a leading role across a wide por tfolio, par ticularly in fragile and conflict-affected countries. Its mandate covers pover ty reduction and achieving the MDGs, democratic governance, crisis prevention and recovery, environment and sustainable development. UNDP has a central role in framing and implementing the new post-2015 global development goals. Cross-cutting themes such as gender equality and capacity building are also par t of UNDP's work. As well as delivering development programmes, UNDP is the UN's principal provider of development advice, advocacy and grant suppor t. It has a critical role in suppor ting the UN development system's collective impact. It funds and manages the UN's resident co-ordinators who lead the UN system in developing countries and it administers many of the UN's multidonor trust funds. ## Undp Programme Expenditure, 2012 Contribution to the MDGs UNDP has a direct programmatic role on a number of MDGs and, combined with its role in supporting the international system's understanding of and commitment to MDGs, is central to their delivery . Key achievements - annual repor ting from country offices shows that in 2013 over 43 million new voters were registered as a result of UNDP effor ts in election cycle management, and, across 13 countries, over 96 million additional people voted in elections - in 2013, UNDP suppor t generated 6.5 million jobs and livelihoods in 113 countries, of which 58% were for women ## Multilateral Aid Review 2011 Dfid'S Engagement Multilateral Aid Review 2013 2 Some progress on average across reform areas 3 Good value for money for UK aid UK core funding in 2012–2013 represented 10.3% of total core contributions and makes UK the 3rd largest donor . DFID is a member of the UNDP Executive Board, the Depar tment under takes substantial bilateral engagement through regular programme management and strategic dialogue around the MAR. Funding to UNDP Between 2010–11 and Bar 2012–13, DFID provided £783 million to UNDP , 21% of which was core funding. DFID provided £244 million to UNDP in 2013–14, 23% of which was core funding. UNDP spend by sector In 2012, UNDP's total expenditure was $5.3 billion with $480 million (9%) as administrative costs. Over this period $4.5 billion was spent on development activities. Managing energy and the environment for sustainable development 14.0% Supporting crisis prevention and recovery 24.0% ## United Nations Population Fund Multilateral summary The United Nations Population Fund (UNFPA) is the UN agency mandated to lead on sexual and reproductive health and rights and to suppor t countries in generating and using population data for policies and programmes to reduce pover ty . UNFPA 's task is to ensure that every pregnancy is wanted, every bir th is safe, every young person is free of HIV/AIDS, and every girl and woman is treated with dignity and respect. It works directly with governments and par tners through 128 offices covering 156 countries, and is guided by an internationally agreed framework for population and development. UNFPA spend by sector In 2012, UNFPA 's total expenditure was $810.7 million, of which programme expenses totalled $675.2 million. UNFPA breaks down its spend by outcome area. Contribution to the MDGs UNFPA works on MDG 3 (reduce child mor tality), MDG 5 (improve maternal health and achieve universal access to reproductive health and family planning) and MDG 6 (combat HIV and AIDS, malaria and other diseases). ## Unfpa Programme Spend, 2012 Key achievements - UNFPA met 25 of 27 of its development targets for 2012, covering 7 outcome areas - UNFPA established a secretariat to lead a global review of progress towards achieving the Programme of Action of the 1994 International Conference on Population and Development (ICPD) - the international agreement that guides UNFPA's work worldwide - UNFPA was a key actor in the 2012 Family Planning Summit, which led to $2.6 billion in new commitments from donor nations - with UNFPA suppor t, 47 countries increased their own capacities for financing or providing reproductive health supplies and ser vices in 2012 ## Multilateral Aid Review 2011 Dfid'S Engagement Multilateral Aid Review 2013 2 Adequate value for money for UK aid DFID is a member of the Executive Board which meets three times per year . DFID also under takes significant bilateral engagement as it under takes regular programme management, and follows up on the MAR. 2 Some progress on average across reform areas Funding to UNFPA Between 2010–11 and 2012–13, DFID provided £280 million to UNFPA, 21% of which was core funding. DFID provided £120 million to UNFPA in 2013–14, 17% of which was core funding. HIV - and sexually transmitted infection - prevention services 5.0% Gender equality and reproductive rights 11.4% Young people's sexual and reproductive health and sexuality education 6.5% Data availability and analysis 10.9% Programme co-ordination and assistance 9.9% ## United Nations High Commission For Refugees Multilateral summary The United Nations High Commission for Refugees (UNHCR) leads and co-ordinates international action to protect refugees and resolve refugee problems worldwide. Its main purpose is to safeguard the rights and well-being of refugees. It also has a mandate to help stateless people. Contribution to the MDGs Humanitarian assistance is often a major source of suppor t for pover ty reduction in chronically poor , fragile and conflict-affected countries where progress on the MDGs has been slowest. It can help vulnerable communities reduce vulnerability to crisis, protect their assets during shocks and prevent them from falling into deeper pover ty . UNHCR spend by sector In 2013, the total UNHCR expenditure was $3.0 billion, with $193.5 million (6%) as administrative costs (taken to be the total cost of headquar ters). Detailed information on UNHCR spend by programme in 2012 is shown below. UNHCR's unique mandate and capability on the ground make the agency critical to delivering UK humanitarian priorities against the direct delivery of the MDGs. ## Key Achievements In 2013, Unhcr: - the number of internally displaced people (IDPs) protected/assisted by UNHCR, including people in IDP-like situations, was 23.9 million - 63% of UNHCR operations repor ted having legislation in their countries protecting the rights of HIV-positive asylum seekers, an increase from 51% in 2008 - 94% of UNHCR operations had ensured 24 hour, 7 day a week access to emergency obstetric care for refugees ## Multilateral Aid Review 2011 Dfid'S Engagement 3 Good value for money for UK aid ## Multilateral Aid Review 2013 2 Some progress on average across reform areas Funding to UNHCR Between 2010–11 and 2012–13, DFID provided £173 million to UNHCR, 62% of which was core funding. DFID provided £98 million to UNHCR in 2013–14, 25% of which was core funding. ## Unhcr Programme Expenditure, 2012 The UK is an active member of the Executive Committee (ExCom) which meets once a year . The ExCom's Standing Committee, which the UK also attends, meets several times each year to carry on the body's work between plenary sessions. ## United Nations Children'S Fund Multilateral summary The United Nations Children's Fund (UNICEF) is the UN agency mandated to advocate for the protection and promotion of the rights of the child, to meet children's basic needs and expand their oppor tunities to reach their full potential. It works in more than 150 countries on issues such as improving child and maternal health (including through better nutrition and access to water and sanitation), girls' education, and HIV/AIDS. Its legitimacy, authority and universality are a key strength and its neutrality allows it to play a unique role in humanitarian crises, where it is the cluster lead for nutrition, water, sanitation and hygiene, and co lead for education. UNICEF spend by sector In 2012, UNICEF's total expenditure was $3.9 billion. $3.3 billion was spent on direct programme assistance and 12% as management, administrative and programme suppor t costs. 21% of its income was earmarked for UNICEF's role in humanitarian emergencies in 2012. ## Unicef Programme Assistance Spend, 2012 Contribution to the MDGs UNICEF has a critical role in the delivery of the MDGs. It implements at scale packages of services aimed at maternal, newborn and child survival. It advocates for children's rights and protects them from violence, exploitation and abuse, and puts a child focus on other issues such as HIV/AIDS. Its humanitarian response to shocks and disasters also contributes to the MDGs by maintaining progress in key areas such as reducing child mor tality . UNICEF is also promoting an equity approach to achieving the MDGs, aiming to identify the poorest, most vulnerable children and make them the top priority . ## Key Achievements In 2013, Unicef: - suppor ted vaccination of approximately 2.2 million children under 5 in Syria - helped 3.6 million school-aged children, including adolescents, to access basic education ## Multilateral Aid Review 2011 Dfid'S Engagement Multilateral Aid Review 2013 4 Very good value for money for UK aid The UK is an Executive Board Member and DFID was UNICEF's largest donor in 2012. DFID and UNICEF worked together on a successful Por tfolio Delivery Review, in order to strengthen shared strategic oversight of UNICEF's DFID-funded programme por tfolio. 3 Reasonable progress on average across reform areas Funding to UNICEF Between 2010–12 and 2012–13, DFID provided £631 million to UNICEF , 16% of which was core funding. DFID provided £207 million to UNICEF in 2013–14, 19% of which was core funding. ## Unitaid Multilateral summary UNITAID is a unique organisation seeking to impact markets for drugs, diagnostics and preventive inter ventions in HIV/AIDS, tuberculosis (TB) and malaria. It reduces prices, increases access, and acts as a catalyst for companies to produce innovative treatments and formulations. UNITAID's grants are concentrated in poor countries with high disease burdens. The top 10 recipients of suppor t since its inception in 2006 are: Nigeria, Uganda, Kenya, Zambia, India, Tanzania, Ghana, Mozambique, Democratic Republic of Congo, and Zimbabwe. UNITAID spend by sector In 2013, UNITAID's total operating expenses were $148.8 million, with $20.0 million (13%) as administrative costs. UNITAID grant spend amounted to $128.8 million in 2013, broken down by the following sectors. Contribution to the MDGs UNITAID's overall mission aligns closely with MDG 6. UNITAID also contributes to MDGs 4 and 5 through the innovative products it suppor ts which reduce maternal and under 5 mor tality . For example, UNITAID brought the first ever quality paediatric TB medicines to market and is one of the largest providers of quality childfriendly TB medicines. ## Unitaid Total Grants To Implementers, 2013 Key Achievements In 2012, Unitaid: - achieved 10–24% price reductions for four second line anti-retrovirals (ARVs), 7–9% reductions for two paediatric ARVs and a 16% price reduction for specialised TB treatments - provided 32,000 children living with HIV access to quality paediatric ARVs, and 15 new suppliers received approvals for paediatric formulations to treat HIV - suppor ted 12 new suppliers of multi-disease resistant (MDR) TB to enter the market across the three diseases - provided key suppor t to World Health Organization (WHO) to reduce the median number of days taken to prequalify a medicine from 795 in 2011, to 296 in 2012 ## Multilateral Aid Review 2011 Dfid'S Engagement Multilateral Aid Review 2013 2 Some progress on average across reform areas 3 Good value for money for UK aid DFID chairs the Finance Committee and sits on the Board, Policy Committee and the newly formed Executive Committee. The UK helps suppor t UNITAID reform its governance and strengthen its leadership for improved performance. DFID is a 32% shareholder in UNITAID. Funding to UNITAID Between 2010–11 and 2012–13, DFID provided £151 million to UNITAID, all of which was core funding. DFID provided £53 million to UNITAID in 2013–14, all of which was core funding. HIV/AIDS 35.2% Malaria 33.9% Tuberculosis 21.8% Special projects 3.0% Secretariat initiatives 2.8% ## United Nations Office For The Coordination Of Humanitarian Affairs Multilateral summary The United Nations Office for the Coordination of Humanitarian Affairs (OCHA) co-ordinates UN-led responses to humanitarian crises. This includes facilitating needs assessments, mobilising funding and co-ordinating and monitoring the response. Contribution to the MDGs OCHA's focus is on co-ordinating the provision of humanitarian assistance. Humanitarian assistance is often a major source of support for pover ty reduction in chronically poor, fragile and conflict-affected countries where progress on the MDGs has been the slowest. It can help vulnerable communities to reduce their susceptibility to crisis, protect their assets during shocks and prevent them from falling into deeper pover ty. Key achievements - throughout 2013, OCHA suppor ted the humanitarian system to become more efficient, effective and accountable, including through the roll-out of new tools and guidance for assessing humanitarian needs and strategic planning - in 2013, OCHA responded to humanitarian emergencies affecting millions of people in countries such as Syria, Burma, Central African Republic, South Sudan and the Philippines ## Multilateral Aid Review 2011 Dfid'S Engagement 3 Good value for money for UK aid DFID is a member of the OCHA Donor Suppor t Group which advises OCHA on policy , management, budgetary and financial matters. ## Multilateral Aid Review 2013 2 Reasonable progress on average across reform areas Funding to UNOCHA Between 2010–11 and 2012–13, DFID provided £98 million to OCHA, 55% of which was core funding. DFID provided £36 million to OCHA and OCHA-managed funds in 2013–14, 56% of which was core funding. UNOCHA spend by sector In 2013, total OCHA expenditure was £142 million, with £8.5 million (6%) on executive management and administrative costs. Humanitarian financing suppor t 2.0% ## World Bank Group Multilateral summary The 5 institutions of the World Bank Group (WB Group) work together to achieve their shared goal of reducing pover ty and improving lives. The WB Group comprises: the International Bank for Reconstruction and Development (IBRD), which lends to governments of creditwor thy developing countries; the International Development Association (IDA), which provides interest-free loans and grants to governments of the poorest countries; the International Finance Corporation (IFC), which provides investments and advisory services to businesses and governments focusing exclusively on the private sector; the Multilateral Investment Guarantee Agency (MIGA), which promotes foreign direct investment into developing countries; and the International Centre for Settlement of Investment Disputes (ICSID), which provides international facilities for conciliation and arbitration of investment disputes. Contribution to the MDGs The WB Group focuses on generating sustainable growth, including infrastructure and economic governance, and pover ty reduction in developing countries. ## Ibrd/Ida Commitments, Us Fiscal Year 2013 Key achievements In 2012–13, the WB Group suppor ted: - the construction or rehabilitation of 73,101 km of roads - social safety net programmes which covered 104.9 million people - the provision of access to an improved water source for 40.1 million people ## Multilateral Aid Review 2011 Dfid'S Engagement 3 IFC - Good value for money for UK Aid ## Multilateral Aid Review 2013 4 IDA - Very good value for money for UK Aid As one of the Group's largest shareholders, the UK is represented on the WB Group Boards by a dedicated Executive Director . Boards approve all proposed investments from the Group's core resources. DFID also influences Group strategy when it negotiates its contributions to IDA, and it engages at operational level to monitor performance. 3 Reasonable progress on average across reform areas ## Funding To Wb Group The Uk Has A 4.2% shareholding in IBRD, making it the fifth largest shareholder , and a 5% shareholding in IFC, making it the fifth largest shareholder . It typically provides 10–14% of contributions to IDA. Between 2010–11 and 2012–13, DFID's total core funding to the World Bank was £3.0 billion. In 2013–14, DFID provided a further £1.2 billion. WBG spend by sector IBRD and IDA approved operations wor th $31 billion in US fiscal year 2013. Administrative costs were $2.4 billion (8%) of total approvals. Information on IFC expenditure can be found in the IFC Annual Repor t. Economic management 2% Environmental and natural resource management 8% Financial and private sector development 14% Human development 14% Public sector governance 12% Rule of law 2% Rural development 15% Social development, gender and inclusion 4% Social protection and risk management 13% Trade and integration 9% Urban development 9% ## World Food Programme Multilateral summary The World Food Programme (WFP) is the world's largest humanitarian agency. Its core business is to save lives and protect livelihoods in emergencies by providing food assistance. It is one of the very few agencies capable of delivering humanitarian aid at scale in often difficult or dangerous environments. Funding to WFP Between 2010–11 and 2012–13, DFID provided £319 million to WFP , 13% of which was voluntary core funding. DFID provided £294 million to WHO in 2013–14, 7% of which was core funding. WFP spend by sector In 2013, WFP's total expenditure (excluding administrative and programme suppor t costs) was $4.3 billion. Contribution to the MDGs MDG 1: WFP provided food assistance to 80.9 million people in 75 countries; of these 67.9 million were women and children MDG 2: 18.6 million school children received school meals/take home rations MDG 3: 52% of beneficiaries were women or girls MDG 4: 7.8 million malnourished children received special nutritional suppor t MDG 5: 3.0 million vulnerable women received additional nutritional suppor t MDG 6: 1.3 million people affected by HIV/AIDS received WFP food assistance in 31 countries Key achievements - in 2013, WFP responded to 4 significant emergencies in Central African Republic, South Sudan, Syria and the Philippines - the humanitarian emergency in Syria was WFP's largest operation in 2013. By December, WFP had scaled up its response to meet the needs of 4.5 million people. Food assistance included a voucher-based nutrition programme for pregnant and lactating women and supplementary feeding for all children under 2 - in 2013, cash and vouchers represented 20% of WFP's total programme, reaching 7.9 million beneficiaries in 52 countries. Syria was the largest cash and voucher programme, exceeding $300 million ## Multilateral Aid Review 2011 Dfid'S Engagement 3 Good value for money for UK aid Engagement with WFP is led by the UK Mission in Rome, with suppor t from DFID Headquar ters. The UK has a full time seat on the WFP Executive Board and also takes par t in Board events. Multilateral Aid Review 2013 3 Reasonable progress on average across reform areas ## World Health Organization Multilateral summary The World Health Organization (WHO) plays a critical role in setting health guidelines and standards to help countries address public health issues. The UK Depar tment of Health leads on the government's relations with WHO. DFID provides funding for the WHO's operations to strengthen health systems in developing countries, including its global programmes on malaria, polio, family planning, health workforce and tuberculosis, and in humanitarian settings. WHO spend by sector The Programme budget (total expenses for strategic objectives) at 31 December 2013 was $2 billion, of which enabling and suppor t functions were $180 million (8.9%). Contribution to the MDGs WHO provides global leadership on development and humanitarian health matters and is critical for the delivery of the health MDGs, especially in respect of reducing child mor tality; improving maternal health; and combating HIV/AIDS, malaria and other diseases. It brings together multiple players and provides a platform for engagement with countries in translating global norms and standards into clear policies, strategies and practices. ## Who Programme Budget Total Expenditure, 2013 Key Achievements In 2013, Who Contributed To The Following Results: - ensuring health service delivery for 12.2 million people affected by Typhoon Haiyan - over 1.8 million children between the age of 6 months and 15 years old vaccinated against measles, and 2.2 million children under 5 years old vaccinated against polio - by the end of 2013, provided access for 10 million people to antiretroviral therapy in low and middleincome countries ## Multilateral Aid Review 2011 Dfid'S Engagement ## Multilateral Aid Review 2013 3 Reasonable progress on average across reform areas 2 Adequate value for money for UK Aid WHO is governed by the World Health Assembly with representatives from 194 member states. DFID along with the UK Depar tment of Health actively par ticipates in WHO's governing body meetings. The UK will be a board member of the WHO Executive Board star ting in May 2014 for the next 3 years and a member of the WHO Programme, Budget and Administration Committee for the next 2 years. Funding to WHO Between 2010–11 and 2012–13, DFID provided £259 million to WHO, 15% of which was voluntary core funding. DFID provided £166 million to WHO in 2013–14, 9% of which was core funding. malaria 10% Chronic non-communicable conditions 3% Child, adolescent, maternal, sexual and reproductive 6% Emergencies and disasters 9% Risk factors for health 2% Social/economic determinants of health 1% Healthier environment 2% Nutrition, food safety and food security 2% Health systems and services 8% Medical products and technologies 4% WHO leadership, governance and partnerships 6% Enabling and support functions (captures admin costs) 9% ## Table 4.1: Key Achievements Of Other Multilateral Mar Organisations This table includes key achievements for those multilateral organisations included in the MAR Update but not presented earlier in this chapter. Achievements are based on information available as at 7 May 2014, the date the Annual Report was drafted. In some cases this means that information for an organisation's achievements in 2013 was not available, so information for the latest period available has been provided. This is mentioned in the text where it is the case. | Key achievements | Multilateral | |----------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------------| | organisation | | | UN agencies and Commonwealth | | | OHCHR | The Office of the High Commissioner for Human Rights (OHCHR) suppor | | mandated by the Human Rights Council to Syria and the Democratic People's Republic of Korea and the fact- | | | finding missions to Mali and the Central African Republic. In each case, the COI has been critical in bringing to | | | light a wide range of human rights violations and drawn the attention of the international community to situations | | | and facts which otherwise would have gone unnoticed or not been documented. | | | PBF | - In Burundi, the Peacebuilding Fund (PBF) funded the demobilisation of combatants to transform the National | | Liberation Front into a political par | ty. It also provided crucial support to elections. | | - In Cote d'Ivoire, the PBF enabled the government to re-establish state authority through reform and rehabilitation | | | of policing infrastructure in the capital and rural areas. This was accompanied by training of more than 400 | | | police and 53 traditional leaders in conflict mediation techniques in order to set up a network to support peace. | | | | | | UNAIDS | The UN Joint Programme on HIV/AIDS (UNAIDS) has spearheaded efforts to increase domestic financing of | | the AIDS response, as part of the strategic shift away from traditional development co-operation and funding. | | | Domestic resources now account for more than half of all HIV funding in low and middle-income countries. | | | UNESCO | The United Nations Educational, Scientific and Cultural Organization (UNESCO) trained and coached 900 | | education ministry officials in strategic planning and management. | | | UN Women | In 2012, with UN Women's assistance, women gained seats in 7 national elections. 26 countries reformed laws and | | policies increasing women's access to economic assets and social protection, while 30 improved services | | | for survivors of gender-based violence. 15 nations incorporated gender equality priorities in national plans and | | | budgets. | | | CommSec | The Commonwealth Secretariat (CommSec) enabled the world's smallest and most vulnerable countries to | | share with the G20 Chair and Development Working Group (DWG) members their experiences in addressing | | | their development challenges, and their perspective on key actions needed during the Commonwealth/G20 | | | Development dialogue, held in April 2013. | | | Through its youth programme, the Commonwealth Secretariat has delivered multi-week online interactive training | | | programmes to hundreds of youth workers, officials and youth leaders across Africa, and successfully piloted an | | | on-line Diploma in Youth Development. | | | IFAD | In 2012, the International Fund for Agricultural Development (IFAD) supported the following: | | - 265,000 hectares of constructed or rehabilitated irrigation schemes | | | - 2.5 million people actively borrowing from IFAD's rural financial services | | | - 1.5 million people trained in business and entrepreneurship | | | - 110,000 rural enterprises accessing facilitated non-financial services | | ## Multilateral Development Banks | CDB | The Caribbean Development Bank (CDB) supported: | |-------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------| | - the construction or rehabilitation of more than 233 kilometres of road directly benefiting an estimated 282,000 | | | people | | | - the provision of access to clean water and sanitation for over 4,000 households | | | - over 600 people working in, micro, small and medium size businesses with skills training and technical | | | assistance | | | - improvements in classroom facilities and increased access to finance to over 56,000 students | | | IADB | The Inter-American Development Bank (IADB) supported: | | - 6.0 million people to receive a package of basic health services | | | - 3.9 million students to benefit from education projects | | | - 240,000 households with a new or upgraded water supply | | | Key achievements | Multilateral | |----------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------| | organisation | | | EBRD | Jordan, Morocco and Tunisia became full countries of operation for the European Bank for Reconstruction and | | Development (EBRD). 21 projects to the value of €449 million were signed in 2013 across Jordan, Morocco, | | | Tunisia and Egypt. | | ## Humanitarian Agencies | GFDRR | The Global Facility for Disaster Reduction and Recovery (GFDRR) launched the Pacific Catastrophe Risk Insurance | |----------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------| | Pilot programme which allowed 5 Pacific island states to access market-based catastrophic risk insurance | | | solutions for the first time. The Marshall Islands, Samoa, the Solomon Islands, Tonga and Vanuatu have secured | | | $45 million of ear | thquake, tsunami and tropical cyclone risk coverage from the international insurance markets. | | In India, GFDRR continued to provide technical suppor | t to reform the National Agricultural Insurance Scheme, | | which together with its successor scheme has insured more than 29 million farmers. | | | IFRC | 22.6 million people were reached by disaster response and early recovery programmes and 15.1 million people | | were reached by preparedness and risk reduction programmes (figures from a sample of 37 national societies). | | | IOM | - The International Organisation for Migration (IOM) assisted 6,300 families in need affected or displaced by | | natural disasters in Afghanistan, including with 7,000 NFI (non-food item) kits and 1,600 emergency shelter kits. | | | - In Haiti, IOM provided returns assistance to 22,700 IDP (internally displaced person) households, facilitating the | | | closure of 169 IDP camps. | | | | | | - In Mali, IOM supported 15,700 IDPs in urgent need of shelter and NFIs. Through its Displacement Tracking | | | Matrix (DTM), IOM carried out IDP registration and evaluations, as well as return movements monitoring, | | | reaching 353,500 IDPs and 138,000 returnees throughout the country. | | ## Effective Development Co-Operation 5.1 DFID remains a recognised global leader in improving the value for money and impact of international development co-operation. As the UK meets its international target of investing 0.7% of gross national income in development suppor t and prepares for the post 2015 Millennium Development Goals (MDG) framework, making sure DFID delivers high quality, high impact co-operation is and will continue to be critical. 5.2 This chapter sets out a number of internal reforms DFID has made this year to become more effective and deliver higher value for money through UK spending as well as by influencing broader UK policies that have an impact on development. DFID tackles the long term causes of pover ty by building the 'golden thread' of open economies and open societies. The rule of law, fighting corruption and greater government transparency enable states to deliver for their citizens, and citizens to lead their own development. In general, DFID uses 4 internationally agreed principles to guide its work to become more effective as a development organisation: - focusing on results - giving ownership to developing countries - increasing transparency - suppor ting inclusive development par tnerships Each principle is covered in turn - and includes details of DFID's leadership role in the Global Par tnership for Effective Development Co-operation, which the UK Secretary of State for International Development co-chaired during 2013–14. ## Focusing On Results 5.3 Development suppor t is a means to an end, not an end in itself. That is why results - or impact on the poor - drive everything DFID does. By publishing results commitments and the results DFID has achieved (as set out in Chapter 2), streamlining management processes, innovating in delivery and evidence, strengthening financial controls and influencing UK policies, DFID aims to strengthen the accountability and credibility of its suppor t, and bring sustainable change for the poor. ## Streamlining Dfid Management Processes 5.4 To suppor t the results agenda, DFID has transformed its management structures to embed a results focus throughout its work - from managing, monitoring and evaluating, to communicating progress. Chapter 2 reflects DFID's results framework - which provides a means for senior management to receive regular management information on results, and review por tfolio performance, risks in delivery, and where and how to drive better value. These results flow throughout the organisation, as each DFID country office now publishes a results orientated and country specific Operational Plan. 5.5 In addition, government depar tments have been working together to join up effor ts overseas. In 2013, the UK initiated a 'One HMG team overseas' programme designed to rationalise, streamline and improve the way its 270 overseas locations,1 with varying combinations of government depar tments, function. 5.6 DFID has almost entirely re-engineered the way it manages programmes and increased the level of scrutiny over performance. This includes development of better, clearer guidance on financial control processes and the introduction of a new Finance Operating Model to strengthen financial management and control. Ministers now sign off all projects over £5 million and all new contracts over £1 million. More rigorous design templates and more systematic quality assurance have been introduced, and evaluation has been embedded across the organisation. 5.7 External scrutiny on the value for money and impact of DFID's spend, in par ticular from the National Audit Office (NAO) and the Independent Commission for Aid Impact (ICAI), is also critical in making DFID's development spend more effective and accountable. The NAO audits DFID's financial statements and conducts value for money studies on DFID. For example, the NAO produced a value for money study on DFID's work on malaria in 2013 and DFID is now implementing recommendations from the Public Accounts Committee on this issue. ICAI scrutinises development assistance spending across all UK government depar tments providing official development assistance (ODA) and has so far produced 34 repor ts covering a broad range of development programmes and activities. ICAI's work is overseen by the International Development Committee, who hold regular hearings to discuss their repor ts. 5.8 DFID led on government support for Bill Cash MP's International Development (Gender Equality) Act 2014, which became law on 13 May 2014. The Act makes it law to consider , before providing development assistance, how the assistance will contribute to reducing gender inequality . It also introduces a new annual reporting duty on progress towards achieving Millennium Development Goal 3. ## Innovating In Delivery And Evidence 5.9 Over the last 2 years, DFID has been testing innovative approaches to results, including through linking payments directly to the delivery of results, known as Payment by Results (PbR), and gathering more evidence of what works and does not. 5.10 The most innovative forms of PbR link payments to the delivery of outcomes, providing the foundation for long term, sustainable change to people's lives. PbR can be used to: - Rebalance accountability: in traditional aid, by paying upfront DFID accepts the bulk of the risk of programme failure. PbR redresses this balance by transferring some of the risk for delivery to par tners. This sharpens incentives for the implementing par tner to perform. - Increase innovation and flexibility in delivery: by not specifying how results should be achieved, implementing organisations are free to innovate to improve outcomes. - Increase transparency and accountability for results: through being open about agreed results, everyone is clearer about what is being targeted and whether it actually gets done, driving up empowerment and accountability for results. - Create a strong focus on performance in service providers, which has benefits beyond PbR. By being paid on results, ser vice providers are strongly encouraged to examine what is, and is not, working, driving up performance standards, management and measurement. 5.11 DFID has recently published a strategy that sets out its objectives for PbR and the actions it will take to achieve them. DFID is at the forefront of international activity, mainstreaming more used forms and testing the most innovative forms of PbR, where payments are linked to outcomes. DFID depar tments and countries repor t that as of April 2014 there were 13 outcomes-based programmes that use DFID financing under way, including 7 funds that can be subdivided into around 100 separate projects. DFID also has a growing pipeline of outcomes-based programmes. ## Smart Procurement, Better Value For Money In 2013, DFID won the Char tered Institute of Purchasing and Supply's 'Best international procurement project' for its work to reduce the price of contraceptives in developing countries. Using what is known as the 'advance market commitment mechanism', DFID achieved a price reduction of 50% on Jadelle contraceptive implants which provides access to 27 million units for women in developing countries. ## Piloting Payment By Results In Health In the Health Results Innovation Trust Fund, payments are disbursed on the verified delivery of results, such as the percentage of women receiving antenatal care and having their babies delivered in health facilities. Early results are positive. Between 2010 and 2012, the number of deliveries with skilled bir th attendants suppor ted by the fund in Afghanistan and Burundi increased by 83% from 190,000 to 347,130. 5.12 DFID's Research and Evidence Division (RED) is responsible for suppor ting DFID to become more systematic in the use of evidence and thereby have greater development impact. It combines research, evaluation and the heads of DFID's professional cadres. Its 3 aims are to: - suppor t the development of new technologies and innovations which should have impact on pover ty or the effects of pover ty - find better and more cost effective ways of delivering development to those who need it - improve understanding of key development questions to suppor t best policy choices 5.13 Specifically, DFID has continued to invest in rigorous programme evaluation as a means of learning and enhancing its development impact. The number of evaluations and the evaluation capacity of staff have increased significantly according to a recent review of the decentralised approach to commissioning evaluation. Evidence of the impact of recent evaluations on new programme and policy design has been identified in a number of programmes including those in Burma, Bangladesh, Rwanda and Uganda and regional African programmes. A new evaluation strategy has been designed which will fur ther improve the quality and use of evaluation findings and will increase the extent to which evidence gaps and policy priorities influence a programme's decision to commission an evaluation. 5.14 DFID has expanded its suppor t for strategic evaluation par tnerships with other donors and development agencies, par ticularly in the field of impact evaluation. Par tnerships with the World Bank and the International Initiative for Impact Evaluation (3IE) suppor t leading edge evaluation approaches to DFID's own programmes and those funded by the wider development community and advance the global evidence base in areas where it is most needed. DFID has continued to work with other donors and developing country governments to improve evaluation capacity and has recently published a 5 country study of the demand and supply for evaluation in 5 African countries. ## Strengthening Financial Controls 5.15 DFID continues to implement the recommendations of the ICAI to improve systems to safeguard aid funds from the risk of misuse, and to help countries with which DFID works to tackle often pervasive corruption that undermines their sustainable development, dispropor tionately hur ts poor people and corrodes public institutions. Country specific anti-corruption plans are now operational in all DFID's priority countries. DFID has also recently expanded its internal audit capability to enable an enhancement of its risk based approach. This will ensure that DFID's country offices can be subject to review every 2 years (rather than the current average of 4). 5.16 Cross-DFID co-ordination is led by the Counter Corruption and Counter Fraud Group, chaired at Director General level, which ensures strategic oversight of implementation of reforms. To date, over 750 staff have been trained to under take due diligence reviews of par tners. An online corruption risk management course has been developed and piloted for 40 par ticipants. Over 160 staff have obtained cer tification on anti-corruption exper tise through online training provided by DFID's sponsorship of the multi-donor U4 Anti-Corruption Resource Centre (www.U4.no). 5.17 DFID has a zero tolerance approach to fraud and corruption and actively investigates all suspicions and allegations of fraud, corruption and abuse of DFID resources. DFID takes a robust approach once fraud has been identified (with effective incident investigation and strengthening of controls to prevent recurrence) and has a good record on recovery of lost funds. The results of work on proven fraud on a country by country basis are shown in Table 5.1. The gross loss figure is the initial proven fraud loss to DFID, and the net loss figure is the total/final loss to DFID once a recovery has been made. | Gross | Net | Gross | Net | Gross | Net | |------------------------------|-----------|-----------|---------|----------|---------| | Bangladesh | | | | | | | 700,030 | 700,000 | 700 | 0 | 95,011 | 0 | | Burma | | | | | | | 0 | 0 | 0 | 0 | 344 | 0 | | Burundi | | | | | | | 0 | 0 | 15,000 | 0 | 0 | 0 | | Colombia | | | | | | | 1,786 | 1,786 | 0 | 0 | 0 | 0 | | Democratic Republic of Congo | | | | | | | 0 | 0 | 81 | 0 | 164,733 | 162,794 | | Ethiopia | | | | | | | 0 | 0 | 0 | 0 | 5,500 | 0 | | Ghana | | | | | | | 640 | 540 | 0 | 0 | 0 | 0 | | India | | | | | | | 252,317 | 0 | 0 | 0 | 0 | 0 | | Indonesia | | | | | | | 44,323 | 0 | 326 | 0 | 0 | 0 | | Kenya | | | | | | | 1,147,764 | 0 | 31,867 | 0 | 9,967 | 0 | | Kyrgyz Republic | | | | | | | 0 | 0 | 11,000 | 0 | 0 | 0 | | Malawi | | | | | | | 598,679 | 0 | 350 | 350 | 147,064 | 34,440 | | Mozambique | | | | | | | 0 | 0 | 203,530 | 0 | 193 | 0 | | Nepal | | | | | | | 39,941 | 0 | 0 | 0 | 0 | 0 | | Nigeria | | | | | | | 1,490 | 1,490 | 34,115 | 110 | 10,798 | 10,238 | | Pakistan | | | | | | | 71,050 | 0 | 158 | 0 | 0 | 0 | | Palestine | | | | | | | 0 | 0 | 570 | 0 | 0 | 0 | | Philippines | | | | | | | 0 | | | | | | | 0 | 0 | 0 | 670 | 0 | | | Rwanda | | | | | | | 0 | 0 | 0 | 0 | 883 | 0 | | Sierra Leone | | | | | | | 1,455 | 0 | 523,642 | 0 | 88,267 | 0 | | Somalia | | | | | | | 296,542 | 266,888 | 472,159 | 472,159 | 36,740 | 0 | | South Sudan | | | | | | | 0 | 0 | 0 | 0 | 2,300 | 0 | | Southern Africa | | | | | | | 200 | 200 | 0 | 0 | 0 | 0 | | Tanzania | | | | | | | 9,300 | 0 | 0 | 0 | 12,066 | 0 | | Uganda | | | | | | | 0 | 0 | 2,650 | 0 | 67,444 | 0 | | United Kingdom | | | | | | | 2 | | | | | | | 31,159 | 18,138 | 9,579 | 9,579 | 123,806 | 0 | | USA | | | | | | | 3 | | | | | | | 182,629 | 182,629 | 0 | 0 | 0 | 0 | | Yemen | | | | | | | 0 | 0 | 4,410 | 2,205 | 0 | 0 | | Zambia | | | | | | | 6,401 | 6,401 | 19,461 | 7,852 | 706 | 0 | | Zimbabwe | | | | | | | 9,049 | 0 | 0 | 0 | 5,756 | 0 | | Totals | | | | | | | 3,394,750 | 1,178,071 | 1,329,598 | 492,255 | 772,247 | 207,472 | 5.18 Internationally, DFID continues to par tner with the anti-money laundering technical assistance programmes of both the World Bank and the International Monetary Fund. It works with the United Nations Office of Drugs and Crime to develop a programme to promote better coherence between aid donors and developing country par tner governments on implementing the United Nations Convention Against Corruption (UNCAC). The Par tnering in Anti-Corruption Knowledge (PACK) initiative was launched at the Conference of States Par ties in Panama in November 2013. 2 UK related losses are a mixture of losses from frauds committed by UK based staff and equipment loss/theft involving UK based assets. 3 Losses against the USA relate to humanitarian equipment stolen from a DFID warehouse in Miami storing aid intended for the Caribbean. | 2011–12 | 2012–13 | 2013–14 | |------------|------------|------------| ## Influencing Uk Policies: Policy Coherence For Development 5.19 Although DFID's work to spend UK aid as effectively as possible is critical, DFID also need to consider how its suppor t fits into a bigger picture of all factors which drive development. Non-aid policies often have economic and social impacts abroad - so it is wor th making effor ts to harness them for development. This is known as the 'beyond aid' agenda, or the 'policy coherence' agenda. In the UK, it is seen as delivering development in a joined up manner. 5.20 The UK government is currently designed to suppor t being joined up in 3 specific ways. First, having a separate depar tment with a remit to pursue pover ty reduction is impor tant. DFID has a remit to provide analysis and advice about the impact of UK policies on pover ty reduction, to complement its spending. Second, the Secretary of State for International Development, as a Cabinet Minister, is consulted on the full range of government policies that might impact on development. Third, the Secretary of State's membership of the National Security Council (NSC) and DFID ministers' membership of other specific Cabinet sub-committees, complemented by cross-depar tmental groups at official level, such as; NSC (Emerging Powers), NSC (Threats, Hazards, Resilience and Contingencies); Public Expenditure (Efficiency and Reform); NSC (Afghanistan); and Economic Affairs (Trade and Investment), enable the government to take a comprehensive and strategic approach to a series of policy issues that are critical to international development. 5.21 These 3 structures deliver results. The Centre for Global Development's Commitment to Development Index ranks 27 developed countries on how well they are living up to their potential to help poor countries. The Index scores 7 policy areas (aid, trade, finance, migration, environment, security and technology) and ranks members based on their commitment to promote coherent development policies that go beyond just that of foreign aid. The 2013 Index ranked the UK seventh out of 27 countries, the only G7 member in the top 10. 5.22 More specifically, in 2013–14 DFID sought oppor tunities to deliver development results through UK policies in the following 6 areas: ## (1) Facilitating Trade And Knowledge Transfer 5.23 The joint DFID/Depar tment for Business, Innovation and Skills (BIS) Trade Policy Unit (TPU) ensures that the UK government's development objectives are fully integrated into trade policy. TPU suppor ts developing countries to increase their par ticipation in global trade by improving their market access and strengthening their capacity to trade. For example, there has continued to be strong demand for the work of the Trade Advocacy Fund, which is now active in more than 20 developing countries. In December 2013, the Bali package was agreed through the World Trade Organisation (WTO), the first multilateral trade deal reached in 20 years, and the UK has also continued its work to deliver development outcomes through the EU, for example negotiating greater market access for Pakistan and encouraging progress on Economic Par tnership Agreement negotiations between the EU and regional blocs in Africa and the Pacific. 5.24 DFID funded research is producing a wide range of development outcomes which benefit people in developing countries. In the past year DFID research has helped to produce and test new anti malarial drugs, produce crops with enhanced nutritional content, and improve access to clean drinking water, sanitation and hygiene in some of world's poorest countries. For example, DFID's agriculture research programme is backing new agricultural technologies and practices which are boosting food production, nutrition and incomes benefiting millions of people across the developing world. More than 100,000 farmers in India are now planting flood tolerant rice, and over half a million families in Africa are consuming vitamin A enriched sweet potato. NECT , a new drug for sleeping sickness, is now available in the 12 African countries where 99% of the cases occur. DFID also tests new ways of doing things such as through the joint clinical trials programme with the Medical Research Council (MRC) and Wellcome Trust, which increases impact and value for money, and under takes research to understand the environment in which DFID operates. 5.25 Over the last year, DFID research projects have also attracted independent recognition, winning the Civil Ser vice Award for Operational Excellence, two Climate Week awards, a British Exper tise International Award, a NEF Innovation award, two FT/IFC Sustainable Finance awards and two awards for the Drugs for Neglected Tropical Diseases initiative. ## M-Kopa M-KOPA allows poor consumers who cannot afford an electricity connection to their homes to purchase solar lights and a solar panel by paying a daily charge of around 30p through their mobile phone. In the last 2 years, M-KOPA helped deliver a 47% cost reduction in pay-as-you-go technology (from $15 to $8 per unit). As of April 2014, M-KOPA is actively providing affordable solar power to over 60,000 Kenyan households and adding over 1,000 more every week. ## African Community Access Programme (Afcap) AFCAP works across 7 east African countries to improve the cost effectiveness and sustainability of road construction. The programme has researched road usage and drafted policies and schemes to improve road safety and reduce road traffic accidents, as well as building the capacity of local researchers to help establish a sustainable model for road network improvements. AFCAP is estimated to have already saved £13.7 million in road building costs in par tner African countries, and has potential savings of up to £490 million if rolled out across Kenya alone. ## (2) Encouraging Transparent And Responsible Business 5.26 DFID works closely with other government depar tments - BIS and the Foreign and Commonwealth Office (FCO) in par ticular - to shape measures that influence how business contributes to development results. In 2013, DFID intensified its work on the Trade and Global Value Chains Initiative which works with global businesses to improve working conditions and job oppor tunities in the hor ticulture and garment sectors. Over 700,000 people in Kenya, South Africa and Bangladesh are expected to benefit from this. ## Sharing The World Class Experience Of The London Stock Exchange In east Africa, capital markets are growing, with the 4 regional stock exchanges covering a combined market capitalisation of over $31 billion. In January 2014, DFID entered into par tnership with the London Stock Exchange to suppor t capital market development in sub-Saharan Africa through training for financial sector professionals and government officials from Tanzania, which will be replicated across east Africa and beyond. 5.27 DFID also continued to suppor t the OECD guidelines for multinational enterprises, and the Extractive Industries Transparency Initiative. ## (3) Helping (Non-Aid) Finance Flow For Development 5.28 DFID recognises that low-income countries do not want to be aid dependent. They want to raise more domestic taxes and other financial flows. In 2002 most of the external financing for poor African countries came from aid - today most development finance for African countries comes from domestic revenues, private flows and investment. During the UK G8 Presidency in 2013 DFID worked hard with colleagues across Whitehall - especially HM Treasury - to ensure that the interests of developing countries were put at the centre of an ambitious G8 agenda on trade, transparency and tax reform. At Lough Erne, G8 members made unprecedented commitments to help developing countries to collect the taxes owed to them and to benefit from changing global standards, including the new international standard of automatic exchange of information that will make it easier to find and punish tax evaders. 5.29 In addition, DFID continues to fund units of UK law enforcement in the Metropolitan Police Ser vice to tackle the tracing and recovery of stolen funds from developing countries and in the City of London Police to tackle bribery by UK citizens or companies in developing countries. DFID has agreed to scale up these effor ts. The Metropolitan Police unit has been at the forefront of the UK response to requests from countries in the Arab region for recovery of assets. 5.30 Last but not least, remittances are an impor tant source of capital. An estimated $401 billion in remittances were transferred to developing countries in 2012, rising by 5.3% from 2011. At the same time, the global average cost for remitting $200 or its equivalent in 2012 was estimated at 9%. For sub-Saharan Africa, this cost is estimated to be over 12%. The UK is therefore exploring ways of reducing the cost of remittances through suppor ting the development of technology-enabled payments infrastructure in developing countries. This includes suppor t for regulatory and policy reform; and development of payments infrastructure and scale-up through investment of successful business models. The UK is committed to ensuring remittances continue to flow through secure, accessible and formal channels, following the global withdrawal of banks from the sector, and has established an Action Group on Cross Border Remittances. This group is made up of government, the private sector, regulators and civil society, to identify actions to strengthen the UK's remittance work, such as the development of a safer corridor pilot for UK–Somalia remittances. ## G8 Lough Erne Summit: Fair Taxes, Increased Transparency And Open Trade During the UK Presidency DFID worked hard with its colleagues across Whitehall to ensure that the interests of developing countries were put at the centre of an ambitious G8 agenda on trade, transparency and tax reform. The G8 has always recognised that the fight against pover ty has to be an integral par t of the response to global economic challenges. This has become more impor tant as the development context is changing with new sources of development finance and an increased range of par tners, including emerging economies, the private sector and foundations. In 2002 most of the external financing for poor African countries came from aid - today most development finance for African countries comes from domestic revenues, private flows and investment. It is therefore right that the G8's role in international development is evolving. The G8 has an impor tant role helping to shape the rules which characterise a fair and open global economy, including by putting its own house in order regarding the fair taxes, increased transparency and open trade that are vital drivers of this. Not only are they impor tant for global prosperity, but they will also help lift developing countries out of pover ty by allowing them to raise revenues from trade, taxes and the sale of their natural resources, so that they can fund their own development. The G8 at the Lough Erne Summit has continued to show leadership in transforming the relationship between developed and developing countries to one of global par tnership. Developing and developed countries have a responsibility to work together for global economic growth. ## (4) Supporting Peace-Keeping And Building Resilience 5.31 DFID continues to manage the tri-depar tmental Conflict Pool jointly with FCO and the Ministry of Defence, aimed at preventing conflict and tackling threats to UK interests arising from instability overseas. In the last year, the Pool has invested in programmes to tackle cross-border impacts of the Syrian civil war, including through funding from the Pool's Early Action Facility, the planning of a large programme to improve access to security and justice in Libya, and programmes to address the risks to stability in west Africa and the Sahel. The Pool's Early Action Facility has also provided rapid response funding for Central African Republic and Ukraine. In June 2013 the NSC agreed to reform decision making around countries at risk of instability, creating a clearer, simpler, more strategic framework that will fur ther strengthen cross-government coherence. To reinforce this change, from April 2015, the UK will establish a new £1 billion Conflict, Stability and Security Fund (CSSF), comprising ODA and non-ODA, which will replace the existing cross-government Conflict Pool. DFID is fully engaged in the design of this fund. ## (5) Producing And Consuming Sustainably 5.32 The UK's transition to a low-carbon economy is continuing to help constrain global greenhouse gas emission levels, with benefits for developing countries in par ticular. DFID has worked closely with the Depar tment of Energy and Climate Change (DECC), the Depar tment for Environment, Food and Rural Affairs (DEFRA), FCO and BIS on climate change and food security policy, including on how agriculture is treated in the negotiations for a new global agreement under the UN Framework Convention on Climate Change, and on effor ts to set up a new global alliance on climate-smar t agriculture. DFID has also worked with other depar tments to ensure UK biofuel policy is consistent with UK development objectives, in par ticular to highlight concerns about the potential negative impacts investment in biofuel may have on land rights and food security in developing countries. DFID also works closely with BIS, DEFRA and UK Trade and Investment on the implementation of the UK Agricultural Technologies Strategy. Launched in July 2013, the strategy brings together government, the science base and industry. The strategy aims to ensure UK innovation and exper tise contributes to the development of new technology to increase agricultural productivity in the UK and developing countries. DFID engagement has ensured that the strategy considers the international impact of investment in agricultural technologies. In February 2014, DFID, with the FCO, Home Office and DEFRA organised an international conference, chaired by the Foreign Secretary with attendance from HRH The Prince of Wales and HRH The Duke of Cambridge, to tackle the illegal international wildlife trade. ## (6) Bringing In Talented People And Sharing Knowledge 5.33 The movement of about a billion people around the world generates economic benefits, knowledge sharing and skills acquisition, and makes labour markets more effective. DFID works closely with the Home Office and FCO on these issues. At the UN High Level Dialogue on Migration and Development in October 2013 the UK delegation was composed of representatives of the 3 depar tments who also worked closely together in the preparations for this meeting. The same co-ordinated approach is being taken for the annual meeting of the Global Forum on Migration and Development in Stockholm in May 2014, with DFID leading the delegation. DFID remains fully involved in the governance arrangements for the FCO-managed Returns and Reintegration Fund, jointly sponsored with the FCO, Home Office and Ministry of Justice, with DFID providing suppor t for programme inter ventions that are ODA-eligible. DFID is also working with other government depar tments to ensure a comprehensive and coherent approach to ending female genital mutilation/cutting and child and early forced marriage. The Parliamentary Under Secretary of State for International Development is the Prime Minister-appointed ministerial champion for tackling violence against women and girls overseas, with responsibility for ensuring coherence across Whitehall on this issue. 5.34 DFID provided around 800 awards in 2013 to scholars and young professionals to study with UK institutions at postgraduate level through Commonwealth Scholarships. This is enabling the brightest and best from Commonwealth countries to study in UK postgraduate programmes and apply this learning to build capacity in their own countries. 5.35 The Investment Facility for Utilising UK Specialist Exper tise (IFUSE) is an initiative, established in 2012, to harness the exper tise of UK civil ser vants to suppor t improvements in the business environment of our par tner countries. So far, IFUSE has facilitated UK suppor t on energy policy to the Ethiopian government; micro-insurance sector development in Ghana; building safety in Bangladesh; and competition policy in Burma. ## Giving Ownership To Developing Countries 5.36 Ownership of development co-operation by developing countries is essential for sustainable results. This means developing countries exercising political leadership to drive and demonstrate tangible commitment to their own development. As a provider of development co-operation the UK seeks to provide suppor t in ways that suppor t and strengthen local responsibility and leadership, including through specific instruments and the New Deal for fragile and conflict-affected states. ## Specific Instruments For Working With Governments 5.37 In 2013–14, DFID spent around 44%4 of its development budget in the form of core contributions to multilateral organisations including the World Bank, the European Commission and the United Nations. Bilateral expenditure, accounting for the remainder of the budget, is spent through country programmes managed by DFID's country offices and through programmes managed centrally by DFID that often target a range of countries (such as the Girls' Education Challenge Fund). 5.38 Given the diversity of need and context in DFID's par tner countries, DFID targets the instruments for how it delivers its development co-operation carefully. This is based on a consultative planning process that enables DFID to provide a predictable package of suppor t over typically a 3 year period. The star ting point is, where possible, to align with par tner countries' plans and priorities for pover ty reduction. DFID then takes into account evidence and analysis of what instruments offer the best value for money for achieving the specific results that are being targeted. 5.39 In some countries, DFID provides development suppor t direct to ministries of finance or other ministries so that they can allocate it most efficiently to activities such as education and health for large numbers of poor people. This is known as general or sector budget suppor t - and accounts for around 10% of DFID's total bilateral spend. The benefit of this approach is that these ministries direct ser vices which impact many poor people, and therefore can deliver strong value for money and pover ty reduction gains. For this kind of finance, DFID ensures it is accompanied by sharing of exper tise on strengthening the civil service's effectiveness in setting policy, raising taxes and investing well. 5.40 Overall, sector budget suppor t increased from £337 million in 2012–13 to £445 million in 2013–14, while general budget suppor t fell from £165 million to £107 million. The decline of the latter is for 2 key reasons. First, more recently, many countries have made progress so that they no longer need such direct suppor t to the same extent for macroeconomic stability and are able to fund more recurrent costs. This is a sign of success, and it means bilateral spend is best delivered through other par tners, such as the private sector - as the critical engine for growth, jobs and income - or civil society - to help build accountability and uphold rights and freedoms. In other countries, such as fragile and conflict-affected states, budget suppor t carries too many risks. So DFID uses other forms of financial assistance which is not budget suppor t, but still works in ways which encourage and strengthen government systems to suppor t development and build capacity sustainably (eg the Afghanistan Reconstruction Trust Fund). Multilateral organisations often help mitigate the risks of such funds. 5.41 Whichever form of direct suppor t used, DFID uses a framework called 'Par tnership Principles' to gauge the ownership of par tner governments of development. The framework covers 4 issues: commitment to (i) reducing pover ty and achieving the MDGs; (ii) human rights and other international obligations; (iii) strengthening financial management and accountability, and reducing the risk of funds being misused through weak administration or corruption; and (iv) strengthening domestic accountability with citizens. DFID repor ts all cases where development assistance is reduced, suspended or delayed because of concerns about Par tnership Principles. In 2013–14 there were 4 instances in which programmes were changed as a result of a breach to these principles, shown in Table 5.1. ## Partnership Principles During 2013–14 | Country | Programme | |---------------------------------|-------------------| | Mismanagement of public | | | funds through the government | | | financial systems. | | | Malawi | Health Sector | | Strategic Plan | | | Sector Budget | | | Support (SBS) | | | Mozambique | Poverty Reduction | | Budget Suppor | t | | (PBRS) | | | Concerns over fiscal | | | transparency and investment | | | prioritisation following the | | | granting of a government | | | guarantee to an $850 million | | | bond issue by the newly | | | created state tuna fishing | | | company. | | | Rwanda | General Budget | | Support (GBS) | | | Following assessments of the | | | Partnership Principles in May | | | and November 2013, the | | | Secretary of State | | | reprogrammed GBS into | | | development projects | | | designed to protect the | | | poorest groups. | | | UK funds misappropriated by | | | Office of the Prime Minister of | | | Uganda | GBS, health SBS | | and other direct | | | financial aid | | Uganda. In 2012–13 the Government of Uganda repaid the £1.3 million of UK assistance which was found to have been misappropriated. ## Helping Build Effective Institutions For Ownership 5.42 Countries will own their development when they have inclusive and effective institutions open to everyone and not controlled by the interests of a narrow elite. For DFID this means strategic investment in the institutions which will help create and sustain this future, strengthening the capacity of par tners and taking into account the country context, the desired results, the risks and the added value of UK assistance. However, as development cannot be achieved by governments alone, the UK Prime Minister has made it a priority to suppor t the range of institutions needed for countries to own and lead their own development, in what he has termed the 'golden thread' of development. Over the past 2 years DFID has increased suppor t for building blocks of key institutions, such as the rule of law, the absence of conflict and corruption, transparent tax regimes, free elections, and the presence of fair proper ty rights. To suppor t this, the UK has also increased suppor t for the private sector, as the engine for economic growth, and for civil society (including the media) to build accountability and uphold rights. ## The New Deal For Fragile And Conflict-Affected States 5.43 The UK is a strong suppor ter of the New Deal for Engagement in Fragile States, which provides a framework for development par tners to work with par tner countries in a way that builds mutual trust and suppor ts a country lead and its priorities, plans and systems. DFID is now one of the lead donors implementing the New Deal in Sierra Leone and Somalia (in addition to Afghanistan and South Sudan). Of the £20 million allocated to the Health Sector Strategic Plan, £8 million was paid and used for the purposes intended, and £12 million was withheld. A further £1 million was withheld from a separate HIV programme. PRBS disbursements were suspended in November 2013, until sufficient measures have been taken to address concerns about transparency and investment management. This affected payments scheduled for December 2013 (£12 million) and February 2014 (£7.4 million). This reduced the overall PRBS disbursement in 2013–14 to £24 million rather than £43.4 million as forecast. A total of £42 million GBS was forecast for 2013–14 (£21 million in June, £21 million in December). A £5 million performance tranche reforecast from 2012–13 was not disbursed; the other £37 million was reprogrammed into specific government sectors or programmes to continue to protect the poorest in Rwanda. In 2013–14 DFID indefinitely suspended all budget suppor t to the Government of Uganda. Direct financial aid was also ended with the exception of two projects. £17.5 million of budget support was reprogrammed in 2013–14. ## Increasing Transparency 5.44 In 2013–14 DFID continued to be recognised as a global leader on transparency, culminating in its rating as the most transparent donor in the Global Par tnership for Effective Development Cooperation (GPEDC) Monitoring Repor t, published in April 2014. DFID has also continued to encourage others to improve transparency, for example through the International Aid Transparency Initiative (IATI) Steering Committee and as Chair of the IATI Technical Advisory Group. 5.45 DFID has continued to make progress on the Aid Transparency Challenge launched by the Secretary of State at the end of 2012. DFID is increasing the traceability of all UK ODA, meaning it is now easier to trace money from taxpayer to beneficiary. Some key achievements in 2013–14 include: - launching the Development Tracker, using IATI open data to show what DFID is doing and where (http://devtracker.dfid.gov .uk/). The Tracker enables visitors to the site to find detailed information about DFID projects all over the world, and follow money through the delivery chain from source to outcome. - geocoding - showing on maps where DFID funds are spent locally, with over 1900 locations now mapped. - continuing to pilot beneficiary feedback approaches so that those directly affected by UK aid can input on how funds should best be spent to achieve required results. - piloting the linking of DFID budget data with par tner developing country budget data, to make it easier for recipient governments to plan and budget for use of all resources at their disposal. - ensuring that civil society organisations who receive DFID funds are more open and transparent, including requiring them to publish data to IATI standards on how they spend DFID funds. - working with private sector suppliers to be more transparent with their development co-operation spending, including a successful pilot with a number of DFID's major private sector suppliers to publish data in IATI format which is now being rolled out to private sector suppliers covering 80% of DFID's direct procurement spend. - championing transparency internationally, notably through securing a commitment under the UK's G8 Presidency for all G8 members to publish to the Busan common standard for aid transparency, including IATI, by 2015. ## Complaints To The Parliamentary Ombudsman 5.46 No complaints against DFID were accepted for investigation by the Parliamentary Ombudsman in 2013. One complaint against DFID (carried over from the previous calendar year) was repor ted on by the Parliamentary Ombudsman during 2013–14. This complaint was upheld and the Ombudsman's recommendations were accepted and complied with. ## Supporting Inclusive Development Partnerships 5.47 Inclusive development considers all stakeholders. DFID works with and encourages a diverse set of par tners to improve, including multilateral and civil society organisations, beneficiaries at grassroots level, the UK public, the private sector, philanthropic foundations, local government, researchers, the media and parliamentarians. Openness, trust, mutual respect and learning remain at the hear t of DFID's par tnerships in suppor t of achieving development goals. ## Working With Civil Society And The Private Sector6 To Deliver For Others 5.48 Around 16% of DFID's bilateral programme is carried out by civil society organisations (CSOs), which include NGOs, community-based organisations, media organisations, faith groups and diaspora organisations. In 2013–14 DFID's Civil Society Depar tment in the UK provided funding to: - 112 CSOs through the Global Pover ty Action Fund to deliver the MDGs, benefiting over 10.9 million people in 33 countries - disabled people's organisations in 20 countries through the Disability Rights Fund, to campaign for the rights of disabled people - 1,800 CSOs in 100 countries through the Governance and Transparency Fund, to help citizens hold their government to account - 41 CSOs through Programme Par tnership Arrangements, providing flexible strategic funding to enable them to enhance results, improve accountability and encourage innovation. 5.49 In addition to these centrally funded CSO programmes, DFID suppor ts CSOs in almost all of its focus countries, but the relative impor tance varies widely - from a very small propor tion to around half the value of a country programme. Delivery through civil society is par ticularly high in fragile states. 5.50 DFID continues to place a strong emphasis on value for money, monitoring and evaluation, and transparency in its work with civil society. It has been working closely with BOND, the UK membership body for NGOs working in international development, to improve effectiveness and transparency in the sector. It also suppor ts a learning par tnership of CSOs to share best practice in the sector. 5.51 DFID often uses private suppliers to deliver its programmes. UK companies compete for UK development assistance contracts alongside non-UK competitors in a fair, open and transparent process. DFID does not give UK companies preferential treatment - meaning 100% of DFID assistance is untied and has been so since 2001. Untying means that par tner countries and DFID are able to ensure that goods and services are obtained in the most cost effective way. This gives greater oppor tunity to local providers who can also offer local jobs and employment. Nonetheless British companies have continued to be very successful, winning over 90% of contracts awarded by DFID and also competing successfully for contracts from other international development agencies. To improve value for money from private suppliers DFID has: - improved its procurement processes. This included increasing the use of framework agreements; introducing contracts centred on actual achievements; increasing performance-based payment contract mechanisms and reducing procurement timescales. - strengthened supplier performance management. A Key Supplier Management programme is now in place with DFID working closely with its top 11 suppliers to focus on value for money. - held its first supplier conference in July 2013, with the second scheduled for 9 July 2014. Focusing on key strategic items such as value for money and transparency, attendees are not only DFID's key suppliers but also small and medium-sized enterprises (SMEs) and NGOs. In addition workshops are being held on a regular basis with suppliers (both key and wider SMEs and NGOs) to discuss issues and share lessons which will enable DFID to manage contracts more effectively. - insisted that its suppliers, including NGOs, sign up to a code of conduct, and over 800 have already signed. This statement of priorities and expectations sets out standards DFID expects its suppliers to meet on value for money, transparency and accountability. - under taken ongoing activities to raise commercial awareness across DFID. Within the Depar tmental Improvement Plan, the commitment that 50% of all senior civil servants attend commercial training before April 2014 was achieved, with the intention for the remainder to complete the training during 2014–15. DFID is also working with front line staff to improve commercial practice including contract management in addition to appointing commercial advisors in key strategic spending depar tments to provide commercial exper tise on the ground. - in November 2013 been awarded the Char tered Institute of Purchasing and Supply 'Best international procurement project' for work to reduce the price of contraceptives for women in developing countries. ## Encouraging Emerging Powers To Deliver For Others 5.52 In 2013–14 DFID continued work to strengthen the UK's development par tnerships with emerging powers - maintaining relationships and dialogue on global challenges that have an impact on development, working together to increase their effectiveness through sharing best practice and disseminating innovations. In addition, the National Security Council Emerging Powers sub-committee oversees the UK's strategy for creating deeper relationships with emerging powers across UK policy and programmes. 5.53 DFID has continued to make progress through its network of country teams in Brazil, China, India, South Africa, Colombia and Indonesia. Most notably this year: - co-hosting the 'Nutrition for Growth' event with Brazil in June 2013 - deepening DFID's work as global advocates for combating hunger and under-nutrition - signing a Memorandum of Understanding with the China Development Bank to enhance the impact, quality and sustainability of investments made by the UK and China in Africa - collaborating with India's Development Par tnership Administration through the UK–India Global Development Dialogue - committing in the 2013 UK–South Africa Bilateral Forum Communiqué to work together with South Africa to deliver effective development results both regionally and globally. DFID's **Global Development Partnership Programme** (GDPP) was set up in 2010 to suppor t DFID's new relationships with emerging powers. Through the GDPP , DFID has developed an innovative por tfolio of projects and policy dialogues to catalyse collaboration. This work focuses on global issues that have an impact on the world's poor and regional initiatives, as well as work with specific third countries (including some trilateral co-operation). Continued work with Brazil on climate-smar t agriculture and nutrition in Africa has not only expor ted Brazilian exper tise to a number of African countries, but has also served as the foundation for the UK's global alliance with Brazil on Nutrition for Growth. Collaboration with China will enable low-income countries to learn from China's success in reducing infant, child and maternal mor tality rates, disease prevention and control, and health sector reform. The GDPP has also enabled the scaling up of work with Indian pharmaceutical manufacturers to lower the cost of life-saving medicines across the developing world (saving £1 billion on essential drugs and vaccines). It has suppor ted the sharing of India's model on health financing and the sharing of South African exper tise on health planning and procurement with other African countries. A new GDPP project was also launched in 2013–14 to enable African countries to maximise the advantage of India's trade preferences to low income countries. ## Making Multilaterals More Effective 5.54 Chapter 4 covers DFID's work with multilaterals. DFID continues to drive improved effectiveness in the multilateral system, including through follow-up to the 2011 Multilateral Aid Review (MAR). A MAR update was performed in 2013–14, which found good progress in some areas and organisations, but that more improvements were still needed in others. ## Promoting Effectiveness Internationally: The Global Partnership For Effective Development Co-Operation The Global Par tnership for Effective Development Cooperation (GPEDC) embraces the broad range of development par tners across the globe and the many diverse approaches to development co-operation. It recognises that country context is crucial and that there is no 'one-size-fits-all' approach to reducing pover ty and fostering sustainable development. It suppor ts all development par tners to follow the 4 shared principles of effective co-operation, which have been embedded in DFID, as set out above. In addition, the GPEDC has also brought an impor tant shift from aid effectiveness to development effectiveness, moving the focus from aid flows to a more strategic approach. During 2013–14, the UK played a key role in the GPEDC's establishment, in par ticular through the Secretary of State for International Development's co-chair role alongside ministers from Nigeria and Indonesia. The UK worked hard with others - including the UN, the OECD, private sector par tners and foundations - to suppor t preparation for the GPEDC's first ever High Level Meeting in Mexico City in April 2014, the outcomes of which included the launch of 39 new voluntary initiatives - including concrete commitments to strengthen tax administrations in developing countries, and guidelines to help the philanthropic sector engage with governments and others. DFID will repor t in more detail on the outcomes of this meeting and DFID's fur ther work to suppor t the GPEDC in the 2014–15 Annual Repor t and Accounts. More information on the GPEDC is available at www.effectivecooperation.org. ## Accounts: Department For International Development These accounts have been prepared in accordance with directions given by Her Majesty's Treasury (HM Treasury) in pursuance of the Government Resources and Accounts Act 2000. ## 6.1 Strategic Report 6.1.1 What We Do The Depar tment for International Development (DFID) leads the UK's effor ts to end extreme pover ty globally. An over view of this work and of our strategic priorities, is presented in Chapter 1 of this Annual Repor t. We measure progress by the results we achieve and the difference made to people's lives. The public can find case studies that bring these achievements to life and show how our policies are put into practice at www.gov .uk/government/collections/case-studies. Chapters 1 to 5 of this Repor t provide an in-depth assessment of our results over the past year. ## 6.1.2 Non-Departmental Public Bodies DFID has 2 non-depar tmental public bodies (NDPBs). These are the Commonwealth Scholarship Commission (CSC) and the Independent Commission for Aid Impact (ICAI). The spending of both is consolidated within DFID's accounts. Fur ther information on the activities of CSC and ICAI are presented within the Governance Statement in section 6.7. ## 6.1.3 Other Public Sector Bodies On behalf of the UK government, the Secretary of State for International Development holds 100% of the issued share capital of the CDC Group plc, an investment company which invests in private sector businesses in developing countries. ## 6.1.4 Efficiencies And Savings DFID continues to improve its operational processes to deliver the administrative cost savings required under the current spending review (SR10). This is being achieved through reductions in proper ty, IT , use of consultants and other organisational efficiencies. Alongside this, the Depar tment has increased its investment in front line staffing. In terms of programme expenditure, the Depar tment's budget is set to deliver the UK official development assistance/ Gross National Income (ODA/GNI) target of 0.7% from 2013. The UK announced in March this year that it had met its target of spending 0.7% of GNI on ODA in 2013. More information on the 2013 ODA/GNI target can be found within Chapter 1. Fur ther information on how DFID maximise value for money and overall impact is set out in Chapter 5 of this Repor t. In addition, DFID is working with other government depar tments to reduce costs by sharing facilities and ser vices at overseas posts were possible. ## 6.1.5 Financial Review Resource Budgets DFID has 2 separate budgets controlled through Depar tmental Expenditure Limits (DELs). These are net resource spending (RDEL) and net capital expenditure (CDEL). There is a fur ther separate budget allocation for Annually Managed Expenditure (AME). AME is used to reflect costs which are volatile in a way that cannot be fully controlled by DFID, including the creation and utilisation of provisions reflected within the Consolidated Statement of Financial Position. The DEL and AME budgets are split into voted and non-voted amounts within the Estimate. The DEL budget is fur ther split into total permitted administration costs and programme expenditure. A breakdown and comparison of outturn against the Estimate totals is included within the Statement of Parliamentary Supply. Additional detailed actual spending during 2013–14 against estimate subheads is repor ted in the analysis of net resource outturn by section. Estimates for each sub heading are finalised in the Supplementary Estimate with work to formulate these numbers taking place in December each year. The Depar tmental Board, suppor ted by the Executive Management Committee, controls and monitors expenditure against these targets throughout the year. DFID achieved an underspend of £167.2 million on DEL compared with the voted estimate for the year. This comprised £143.3 million in respect of Voted RDEL and £23.9 million in respect of CDEL. This represents just under 2% of the available DEL budget. The underspends result from the nature of the Depar tment's work which can result in changes to spending plans based on the speed at which programmes are initiated and progress. A fur ther underspend of £122.5 million was recorded against the AME voted estimate. This resulted from a lower than expected provision for DFID's commitments in respect of the International Finance Facility for Immunisation (IFFIm) programme. The UK has pledged to make payments to meet a share of liabilities related to bonds issued to finance vaccine programmes. The Consolidated Statement of Financial Position includes a provision in respect of the UK's share of liabilities related to bonds issued by IFFIm. The provision required at the end of the year was lower than expected due to the value of bonds issued and movements in exchange rates and, as a result the cost, recorded in the accounts was below estimate. A reconciliation of net resource expenditure between estimate, budget and outturn is presented at Note SOPS3. ## Operating Costs Managing growth in its programme budgets whilst achieving significant savings against administration costs is a key challenge for the Depar tment. Within total operating costs, core administration costs are reducing by 33% over the current spending review period, with front line costs growing such that total operating costs remain relatively constant. Administration costs reduced by £11.8 million (9%) compared with 2012–13. ## Capital Expenditure And Consolidated Statement Of Financial Position Movements - Non-current assets - Financial assets increased by £111.2 million to £6,229 million at the end of the year (31 March 2013 restated: £6,118 million). The movement reflects investment additions of £64.3 million related to International Financial Institutions and other Programme Capital Investments and total revaluations of £46.9 million. The value of investments in IFIs reduced by £73.7 million overall, reflecting unrealised exchange rate losses of £211 million, resulting from unfavourable movements between sterling and the US Dollar, offset by increases in the value of underlying assets. The fair value of DFID's interest in CDC increased by £120.9 million over the year. The value of DFID's investment in CDC was repor ted at historical cost in previous years but is now stated at fair value as a result of the change in accounting policy explained at note 11 to the financial statements. - The movement in fixed assets over the course of the year was not significant, with tangible assets reducing by £2.7 million and intangible assets by £0.9 million due to a moderate level of asset additions and replacements offset by depreciation. - Current assets - Trade and other receivables due within 1 year increased by £13.4 million to £138.0 million at 31 March 2014 due principally to movements in amounts due to/from HM Treasury in respect of funding for DFID expenditure offset by an increase in prepayments made to single donor trust funds. - Current liabilities - Trade and Other Payables increased by £865.2 million due largely to an increase of £766 million in the value of promissory notes deposited in line with planned deposit schedules but not yet encashed at the Statement of Financial Position date. - Provisions payable within one year increased by £32.6 million compared with the previous financial year end as a result of the timing of planned payments to IFFIm and the Advance Market Commitment (AMC) programme, reflecting the status of these programmes. - Non-current liabilities - Provisions payable after more than one year reduced by £34.2 million, reflecting the timing of planned payments as mentioned above. - Other payables of £45.0 million in the Statement of Financial Position at 31 March 2013 related to a finance lease in respect of a proper ty held by the Depar tment. The lease expires in July 2014 and, as a result, the liability is now recorded within current liabilities. ## 6.1.6 Remote Contingent Liabilities In addition to contingent liabilities disclosed in accordance with International Accounting Standard 37, Provisions, Contingent Liabilities and Assets, note 16 to these accounts discloses cer tain contingent liabilities where the likelihood of a transfer of economic benefit is remote for parliamentary repor ting and accountability purposes. ## 6.1.7 Future Development DFID continues to improve its systems and processes to analyse results more effectively, aiming to improve the effectiveness of aid and to increase the efficiency of administration processes. DFID will continue to set its budget and strategy towards achieving the Millennium Development Goals and meeting the ODA/GNI targets set out by the Government. Fur ther information on the trends and factors likely to improve future development are set out in Chapter 5 of this Repor t. Information on DFID policy priorities including humanitarian responses, our work across private sectors and future development post 2015 are set out in Chapter 1. Details on current programme management and its impact on future development are set out in Chapter 2. ## 6.1.8 Strategy For Sustainability Climate change is already affecting the world's poorest countries - from increased frequency and severity of flooding in Bangladesh to changing rainfall patterns across Africa, bringing drought and crop failure to countries like Ethiopia, Kenya and Somalia. International suppor t is needed to help communities adapt to the impacts of climate change and to help countries develop infrastructure that suppor ts growth and withstands future climate instability. DFID is committed to addressing both the causes and likely effects of climate change so that progress in tackling pover ty continues. This includes ensuring that DFID is 'climate smar t'. Being climate smar t means both ensuring that all of DFID's development policies and programmes are climate-proofed, and also that our UK and international operations are sustainable. DFID has a Carbon Management Plan (endorsed by the Carbon Trust) which sets out actions to reduce our operational carbon emissions up until 2015. Actions to date include reducing emissions through data server and printer rationalisation projects, estate rationalisation, and a biomass boiler and green roof at our site in East Kilbride, Scotland. We have also extended the Greening Government Commitments (GGC's) to our overseas estate and international travel on a per head basis, and teams across DFID have examined ways of reducing emissions and saving money as par t of their climate change reviews. We remain firmly on track to meet the GGC target to reduce carbon emissions from energy with a 35% reduction against the baseline. The latest decrease in carbon is par tly due to DFID vacating our previous London premises during the year. In the longer term the disposal of our Palace Street premises and move to a smaller office will result in a continued significant decrease in our emissions. ## 6.1.8.1 Sustainability Accounting And Reporting The following section presents more detailed environmental data on our year on year reductions against the GGC baseline and a breakdown of our financial costs. ## Reducing Greenhouse Gas Emissions From Estate/Business Related Transport DFID has implemented a number of initiatives since the GGC baseline year (2009–10) which has resulted in carbon emissions savings of 46%. In the UK we have moved to a smaller office in London which will reduce our carbon emission savings fur ther. The refurbished Whitehall office has achieved a very good Building Research Environmental Assessment Methodology (BREEAM) rating. In addition, any future construction or refurbishment of overseas premises will be subject to a BREEAM assessment with a target to achieve a 'good' rating or above where practicable. ## Energy Usage In Kwh Co2 Emissions | Greenhouse gas emissions | 2009–10 | 2010–11 | 2011–12 | 2012–13 | 2013–14 | |-----------------------------|------------|------------|------------|------------|------------| | Total gross | | | | | | | emissions | 3,860 | 3,409 | 2,690 | 2,803 | 2,055 | | Gross | | | | | | | emissions | | | | | | | Scope 1 | | | | | | | (direct) | 654 | 454 | 255 | 350 | 155 | | Non-financial | | | | | | | indicators | | | | | | | (tCO ) | | | | | | | 2 | | | | | | | Gross | | | | | | | emissions | | | | | | | Scope 2 and | | | | | | | 3 (indirect) | 3,206 | 2,955 | 2,435 | 2,453 | 1,900 | | Electricity: | | | | | | | Non | | | | | | | renewable | 5,930 | 5,455 | 4,121 | 3,959 | 3,712 | | Electricity: | | | | | | | Renewable | - | - | | | | | Related | | | | | | | energy | | | | | | | consumption | | | | | | | (000 Kwh) | Gas | 3,564 | 2,464 | 1,485 | | | LPG | - | - | - | - | - | | Other | - | - | - | - | 105 | | Expenditure | | | | | | | on energy | 479 | 550 | 513 | 604 | 468 | | CRC licence | | | | | | | expenditure | - | - | - | - | - | | Financial | | | | | | | indicators | | | | | | | (£000) | | | | | | | Expenditure | | | | | | | on accredited | | | | | | | offsets | 303 | 121 | 180 | 160 | 53 | | Expenditure | | | | | | | on official | | | | | | | business | | | | | | | travel | 4,437 | 3,938 | 4,050 | 5,611 | 6,418 | ## Travel Related Emissions Since the 2009–10 baseline, DFID has recorded the following emissions from domestic air miles (business related travel): ## Domestic Travel Flights | 2009–10 | 2010–11 | 2011–12 | 2012–13 | 2013–14 | |-----------------------|------------|------------|------------|------------| | Miles | Carbon | Miles | Carbon | | | UK domestic air miles | 496 | 1.5m | 463 | 1.35m | DFID domestic flights have increased by 18% against the 2009–10 baseline. This is due largely to the relocation of a number of programme and policy posts from London and growth in staff numbers in our East Kilbride office. DFID has also now developed a new air miles tracker system which will allow Heads of Depar tments and individuals to monitor and manage staff air miles more systematically . The system will be fur ther developed to include a progress tracker against the GGC target. We are also developing an online tool which will enable staff to volunteer their personal air miles information to other members of DFID staff. Although the GGC does not include international travel, DFID has agreed internal targets to reduce carbon emissions from international air travel in line with the requirements of the GGC targets (see section on promoting sustainable development below for fur ther information on progress towards our overseas targets). | - | - | - | |-------|--------|-------| | 1,891 | 844 | | | Miles | Carbon | Miles | | 410 | 1.34m | 356 | ## Reduce Waste The Greening Government Commitment is to reduce the amount of waste we generate by 25% by 2015, against the 2009–2010 baseline. By the end of 2013–14 DFID was down 33% against the 2009–10 figure. Although there is not a GGC target for recycling rates, DFID has set an internal target of recycling at least 75% of waste. DFID achieved 64% in 2013–14 and hope to improve fur ther by the recent introduction of food waste recycling and better signage on our waste bins. In terms of the 2013–14 total of 214 tonnes shown in the table below, 138 tonnes (64%) was recycled, 70 tonnes (33%) was incinerated with energy recovery (Refuse Derived Fuel) and 6 tonnes (3%) was sent to landfill. ## Waste Reducing Water Consumption DFID currently demonstrates 'good practice' for water consumption as defined under the Greening Government Commitments for water. Water usage decreased in 2013–14 by 37% compared to 2012–13, largely due to the disposal of our second London building. We are currently carrying out an environmental review of the new Whitehall office to identify future oppor tunities for saving water. DFID does not own water reserves in lakes, reservoirs or boreholes so water usage is classified as Scope 2 only. In terms of expenditure on water in 2013–14, this was £16,547, a reduction of 26% on 2009–10. ## Water (Scope 2 Only) Water Usage (Cubic Metres) ar char t. ## 6.1.8.2 Sustainable Procurement DFID has a sustainable procurement strategy which aligns with the latest GGC requirements: - Supplier engagement - targeting corporate suppliers to promote continual sustainability improvement including incentives for suppliers where possible and ensuring compliance with Government sourcing policies. - Policy, strategy and communications - the revised sustainable procurement strategy includes sourcing strategies for key corporate requirements; supplier engagement; training; measurable objectives; risks and a review schedule. The Depar tment of Energy and Climate Change recently issued new sustainable procurement repor ting requirements. DFID will put measures in place to ensure it continues to make strong progress towards these targets. ## 6.1.8.3 Future Projects Though many of the most beneficial and cost-effective building improvements have been made, we are continuing to investigate and implement a number of energy efficiency measures in both East Kilbride and London. Projects which contributed to fur ther improvements during 2013–14 included: - Operating our new biomass boiler which reduced gas usage in our East Kilbride office by 27% - Replacement of local heating/cooling equipment in our London office with more energy efficient units - Roll out of new laptops using 50% less power than previous models - Implementation of a vir tual desktop infrastructure and PCs which use 60% less power - Improvements to the general fabric of our East Kilbride office. The DFID Carbon Management Plan outlines existing energy saving projects and plans for future projects such as the review of the East Kilbride lighting system. ## 6.1.8.4 Promoting Sustainable Development Overseas DFID is committed to integrating climate and environment concerns into all of its development aid under its Climate Smar t Business plan commitment. This committed DFID to address climate change risks and oppor tunities across the Depar tment by the end of 2013. The Climate Smar t programme is delivered through Strategic Programme Reviews (SPR), carried out by each DFID business unit overseas and in the UK. The SPR includes four areas of action on demonstrating leadership: raising awareness; reducing the environmental impact of DFID operations; analysing climate risks; and oppor tunities in DFID programmes. For example, in Bangladesh, the SPR has helped to deliver a 16% reduction in carbon emissions from DFID's estate since 2009–10; initiated the establishment of a more robust national climate finance mechanism, the Bangladesh Climate Change Resilience Fund; and has led to climate resilience being designed into programmes, such as adapting primary schools in vulnerable areas of Bangladesh to double as cyclone shelters. DFID recognises that our overseas estate is a significant par t of our carbon footprint and last year we extended the GGC targets to reduce carbon emissions from our country offices on a per head basis. We are monitoring emissions across all of our overseas estates, and are taking measures to improve data collection. Many country offices are making strong progress in reducing emissions, such as India, Bangladesh and Ethiopia. There is significant scope to harness these ideas and reduce our overseas footprint across the board. We are still in the process of collecting 13–14 data from our Overseas Offices and this will be posted on our website as soon as it is available. ## 6.1.8.5 Biodiversity And Natural Environment DFID does not have any Sites of Specific Scientific interest. ## 6.1.8.6 Procurement Of Food And Catering Services An integral par t of the DFID facilities management contract is to ensure that the procurement of all food meets UK or equivalent production standards, and aims to reduce the environmental impacts of food and catering ser vices and suppor t a healthy balanced diet. ## 6.1.9 Equality And Diversity DFID is committed to creating an inclusive working environment to maximise the potential of all staff, providing equal oppor tunities in all aspects of employment and avoiding unlawful discrimination or bullying and harassment at work. DFID is accredited under the Disability Two Ticks Scheme, which guarantees an interview for suitable applicants with disabilities. DFID's Equality Framework explains how equality and diversity can make improvements in practices and so suppor t the Depar tment's vision and priorities. The framework provides an approach for DFID to carry out equality and diversity, both for service delivery (a generic term used to cover the programme, policy, advisory and developmental roles DFID under takes) and for employment practices. In line with the framework and the Equality Act 2010, DFID has published information to show how it is implementing equality and diversity at home and overseas at https://www.gov .uk/government/ publications/dfid-staff-repor t-on-equality-and-diversity-for-2011. In par ticular, we have published our 5 equality objectives, our equality and diversity repor t and our depar tmental staff repor t. DFID is actively using these to gain a comprehensive picture of progress on equality and diversity. The Act applies to everyone in Great Britain and Nor thern Ireland and to home civil servants based overseas. While it does not apply technically in other countries, DFID applies the general principles of equality and diversity to its overseas offices and has a clear commitment to deliver equality and value diversity in all that is done, while allowing for the fact that practice may vary from office to office to take account of local laws and custom. The following table summarises the number of DFID employees by gender as at 31 March 2014 and 31 March 2013. | | | 31 March 2014 | 31 March 2013 | |-----------|------------|------------------|------------------| | Headcount | Percentage | Headcount | Percentage | | Male | | | | | 906 | 47.38% | 883 | 48.70% | | Female | | | | | 1,006 | 52.62% | 930 | 51.30% | | Total | 1,912 | 1,813 | | Total employees at 31 March 2014 includes 37 female and 55 male Senior Civil Ser vants. At the repor ting date, DFID's Depar tmental Board was comprised of 4 female and 8 male board members. ## 6.1.10 Finance Improvement Plan - 'Finance For All' DFID continues to make good progress in implementing its Finance Improvement Plan which was launched under the 'Finance for All' strategy in September 2011. In 2013–14 the programme focused predominately on implementing the new Finance Operating Model, the framework through which DFID conducts its financial activities. The new model will create a stronger par tnership between core finance and the rest of the business, a stronger embedded financial management function, and deliver efficiencies through centralising invoice payments in the UK. Detailed proposals for the new model were approved by the Finance Improvement Board in April 2013 and implementation of the new structure is well under way. Fur ther recruitment is ongoing and we expect both structural and efficiency changes to be fully in place during 2014–15. Progress was also made in suppor ting management information initiatives, strengthening the development of finance skills, development in non-finance roles and providing input to the organisational review of programme management. Mark Lowcock Accounting Officer for the Depar tment for International Development 4 July 2014 ## 6.2 Directors' Report 6.2.1 Corporate Governance DFID's corporate governance arrangements are set out within the Governance Statement. This sets out the governance framework of the organisation, including information about the Board's committee structure, its attendance records and the coverage of its work. The statement includes the required assessment of compliance with the Corporate Governance Code and provides explanations of any departures. ## 6.2.2 Risk DFID's Risk and Control Framework is described in detail within the Governance Statement. This recognises 3 categories of risk: strategic risk, operational risk and project risk. DFID's approach to managing transactional risks such as currency risk, liquidity risk, interest rate risk and market risk is outlined in note 11 to these accounts. ## 6.2.3 Senior Management Ministers DFID is represented in the Cabinet by the Secretary of State for International Development Justine Greening MP . The Secretary of State is suppor ted in the House of Commons by Minister of State Alan Duncan MP and Parliamentary Under Secretary of State Lynne Featherstone MP . ## Departmental Board The Depar tmental Board is responsible for advising on and monitoring implementation of the Depar tment's strategy and policy priorities. ## Permanent Secretary The Senior Civil Ser vant in DFID is the Permanent Secretary, Mark Lowcock. ## Executive Management Committee (Emc) The EMC is a sub-committee of the Depar tmental Board which is chaired by the Permanent Secretary and which oversees day to day implementation of DFID's strategy and policy priorities. Information on company directorships held by members of the EMC can be obtained from DFID's Public Enquiry Point upon request by email to enquiry@dfid.gov .uk. ## Non-Executive Directors (Neds) NEDs use their experiences and skills from outside DFID to provide objective and constructive challenge on the committee and boards. Details of the composition of the Depar tmental Board, the EMC and associated sub-committees are set out within the Governance Statement in section 6.7. ## 6.2.4 Health, Safety And Well-Being DFID is committed to ensuring the health, safety and well-being of its employees and workers, both Home Civil Servants and staff appointed in country. DFID seeks to create a workplace where we not only protect the health, safety and wellbeing of staff but also promote a healthy workforce, maintain safe systems of work and suppor t the physical and emotional wellbeing of staff. DFID has a counselling service in the form of an EAP (Employee Assistance Provider) for all staff to access if they need personal suppor t. In addition, DFID offers specialist counselling for staff in hostile environments. DFID's maximising attendance policy helps to ensure that sickness absence is effectively managed and ultimately does not detract from DFID's delivery performance. The aim of this policy and its associated procedures is to ensure that all employees are aware of their responsibilities in maximising attendance, to enable the consistent management of attendance issues, and to underline DFID's commitment to the provision of appropriate employee suppor t. This policy applies to all Home Civil Ser vants and staff appointed in country. It does not apply to agency workers, consultants, or any other workers not employed by DFID. The following table summarises sickness absence per full time equivalent days, the basis of the whole of government benchmark, for the calendar year ended 31 December, plus a comparison with the previous calendar year. | | 2013 | 2012 | |------------------------------------------------|---------|---------| | Working days lost (short term absence) | 3,207 | 3,501 | | Working days lost (long term absence) | 5,582 | 5,395 | | Total working days lost | 8,789 | 8,896 | | Number of staff absent as a result of sickness | 653 | 687 | ## 6.2.5 Personal Data Losses No protected personal data-related incidents were repor ted to the Information Commissioner's Office in 2013–14. Owing to the nature of DFID's business and in comparison with many other government depar tments which provide significant citizen-facing services, the Depar tment does not hold large volumes of personal data. DFID does hold a moderate amount of classified information. DFID takes its responsibility for management of all data very seriously. A governance structure compliant with the UK government's Security Policy Framework is in place for information security and risk management. DFID is also independently cer tified as compliant with ISO/IEC 27001:2005, the international standard for information security management systems. DFID has been formally compliant with the standard since 2008 and is committed to maintaining its cer tification in the future. DFID's compliance with the standard is assessed bi-annually which involves physical inspections of UK headquar ters and overseas offices. DFID remains the only ministerial depar tment to hold this cer tification. The Depar tment has a programme of work to ensure continued compliance with the UK government's Security Policy Framework, the Cabinet Office Data Handling Review and ISO/IEC 27001:2005. This includes a training, education and awareness plan to maintain and raise awareness of information security issues across DFID. Directors are responsible for providing assurance on information security in their annual statements of assurance which suppor t this and other elements of the Governance Statement. DFID will continue to monitor and assess its information risks in order to identify and address any weaknesses, and to ensure continuous improvement of its systems. As shown in the table below, there were no incidents which were deemed by the Data Controller not to fall within the criteria for repor t to the Information Commissioner's Office but recorded centrally within the Depar tment. Small, localised incidents are not recorded centrally and are not cited in these figures. | Category | Nature of incident | Total | |----------------------------------------------------------|-------------------------|----------| | 2013–14 | | | | Total | | | | 2012–13 | | | | - | - | I | | paper documents from secured Government premises | | | | - | - | II | | paper documents from outside secured Government premises | | | | - | - | III | | equipment, devices or paper documents | | | | IV | Unauthorised disclosure | - | | V | Other | - | ## 6.2.6 Employee Engagement DFID promotes employee engagement at all levels across the world. DFID operates within an open and honest environment to encourage staff to feed back their views both formally and informally. Staff are given the oppor tunity to contribute their views formally through an annual staffing sur vey, the results of which are reviewed by senior management, heads of depar tment and line managers. Action is taken to address findings, where appropriate. During the year, staff are kept up to date with strategy development, priorities and financial performance through a variety of channels, such as all-staff meetings, use of the intranet and sharing of board minutes summarising key developments within the organisation. Staff are encouraged to obser ve high-level meetings across the organisation such as the Audit Committee and the Executive Management Committee. In addition, DFID has a team dedicated to employee engagement to ensure that all staff receive the most impor tant messages that affect them and their work, and that they have a chance to have their say on changes. Informally, staff can provide feedback through channels such as depar tmental meetings, blogs and other means of knowledge sharing. DFID makes extensive use of new media in order to engage with staff, such as bringing together staff across the organisation through the use of video conferencing. This assists with overcoming the geographical and logistical barriers to effective employee engagement. ## 6.3 Events After The Reporting Date DFID's Annual Repor t and Accounts are laid before the Houses of Parliament by HM Treasury. The Accounting Officer authorised these financial statements for issue on the same date that the Comptroller and Auditor General signed his cer tificate. ## 6.3.1 Non-Adjusting Events After The Reporting Date No non-adjusting events after the repor ting date have been identified. ## 6.4 Auditors These accounts are audited by the Comptroller and Auditor General. The auditors have been provided with all information identified as relevant to the audit. As Accounting Officer I have taken all the steps appropriate to ensure that I am aware of relevant audit information and to establish that the entity's auditors are aware of the information. Mark Lowcock Accounting Officer for the Depar tment for International Development 4 July 2014 ## 6.5 Remuneration Report Remuneration Policy The remuneration of senior civil servants is set by the Prime Minister following independent advice from the Review Body on Senior Salaries. The Review Body also advises the Prime Minister from time to time on the pay and pensions of MPs and their allowances; on peers' allowances; and on the pay, pensions and allowances of ministers and others whose pay is determined by the Ministerial and Other Salaries Act 1975. In reaching its recommendations, the Review Body has regard to the following considerations: - the need to recruit, retain and motivate suitably able and qualified people to exercise their different responsibilities - regional/local variations in labour markets and their effects on the recruitment and retention of staff - government policies for improving the public ser vices, including the requirement on depar tments to meet the output targets for the delivery of depar tmental services - the funds available to depar tments as set out in the government's DELs - the government's inflation target The Review Body takes account of the evidence it receives about wider economic considerations and the affordability of its recommendations. Fur ther information about the work of the Review Body can be found at www.ome.uk.com In line with the Coalition government's transparency commitments, DFID is now publishing salary details of its senior civil servants, in the format agreed with Cabinet Office, on the government's website www.gov .uk ## Service Contracts The Constitutional Reform and Governance Act 2010 requires Civil Service appointments to be made on merit on the basis of fair and open competition. The Recruitment Principles published by the Civil Service Commission specify the circumstances when appointments may be made otherwise. Unless otherwise stated below, the officials covered by this repor t hold appointments which are open-ended. Early termination, other than for misconduct, would result in the individual receiving compensation as set out in the Civil Ser vice Compensation Scheme. Fur ther information about the work of the Civil Ser vice Commission can be found at www.civilser vicecommission.org.uk ## Salary And Pension Entitlements (This Information Has Been Audited) The following sections provide details of the remuneration and pension interests of the ministers and the permanent members of the Executive Management Committee (EMC). ## Remuneration (Salary, Benefits In Kind And Pensions) Ministers Salary £ Benefits in kind (to nearest £100) 2013–14 2012–13 2013–14 2012–13 2013–14 2012–13 2013–14 2012–13 Justine Greening Secretary of State 68,169 [2] 34,413 - - 25,000 11,000 93,000 45,000 Alan Duncan Minister of State 32,344 [3] 33,002 - - 12,000 12,000 44,000 45,000 Lynne Featherstone Parliamentary Under 23,039 [4] 11,849 - - 8,000 4,000 31,000 16,000 Secretary of State [1] The value of pension benefits accrued during the year is calculated as (the real increase in pension multiplied by 20) less (the contributions made by the individual). The real increase excludes increases due to inflation or any increase or decrease due to a transfer of pension rights. [2] £68,169 (full year equivalent) and £79,754 (entitled salary) (2012-13: £68,827 (full year equivalent) and £79,754 (entitled salary)) [3] £32,344 (full year equivalent) and £41,370 (entitled salary) (2012-13: £33,002 (full year equivalent) and £41,370 (entitled salary)) [4] £23,039 (full year equivalent) and £31,401 (entitled salary) (2012-13: £23,697 (full year equivalent) and £31,401 (entitled salary)) Total (to nearest £1,000) Pension benefits (to nearest £1,000) (to nearest £1,000)[1] EMC members Salary (£000) Bonus payments (£000) 2013–14 2012–13 2013–14 2012–13 2013–14 2012–13 2013–14 2012–13 2013–14 2012–13 160–165 155–160 15–20 - - - 15,000 22,000 190–195 180–185 Mark Lowcock Permanent Secretary 120–125 10–15 Richard Calvert Director General 125–130 10–15 - - 8,000 9,000 145–150 145–150 115–120 - Joy Hutcheon Director General 120–125 - - - 14,000 72,000 130–135 190–195 115–120 - - - 12,000 45,000 60–65 165–170 - Michael Anderson Director General (to 31/8/13) 50–55 (120–125 full year equivalent)[2] 115–120 - - - 9,000 145,000 85–90 265–270 - Mark Bowman Director General (to 30/11/13) 75–80 (120–125 full year equivalent)[3] - - - 9,000 - 35–40 - - - Moazzam Malik Director General (from1/11/13 to 31/1/14) 25–30 (100–105 full year equivalent)[4] Nick Dyer Director General (from 1/8/13) - - - 80,000 - 150–155 - - - 70–75 (110–115 full year equivalent)[5] - - - - - - - - - David Kennedy Director General (from 16/6/14) –(125–130 full year equivalent) [1] The value of pension benefits accrued during the year is calculated as (the real increase in pension multiplied by 20) plus (the real increase in any lump sum) less (the contributions made by the individual). The real increases exclude increases due to inflation or any increase or decreases due to a transfer of pension rights. [2] Resigned from DFID with effect from 31/8/13 [3] Transferred to HMT with effect from 18/11/13, paid by DFID until 30/11/13 [4] On temporary promotion from 1/11/13 to 31/1/14. Transferred on loan to FCO with effect from 31/1/14 [5] On temporary promotion from 1/8/13 to 3/11/13 and subsequently promoted on 4/11/13 ## Salary 'Salary' includes gross salary; over time; reserved rights to London weighting or London allowances; recruitment and retention allowances; private office allowances and any other allowance to the extent that it is subject to UK taxation. During 2013–14, the following fees and taxable expenses were paid to non-executive members of the Board: - Vivienne Cox - £20,000 - Richard Keys - £20,466 - Tim Robinson - nil (£15,000 entitled salary) - Eric Salama - nil (£15,000 entitled salary) Pension benefits (to nearest £1,000) Total (£000) Benefits in kind (to nearest £100) [1] This repor t is based on accrued payments made by the Depar tment and thus recorded in these accounts. In respect of ministers in the House of Commons, depar tments bear only the cost of the additional ministerial remuneration; the salary for their ser vices as an MP (£65,738 from 1 April 2010, £66,396 from 1 April 2013) and various allowances to which they are entitled are borne centrally. The following table summarises the number of Senior Civil Ser vice (SCS) staff by pay band as at 31 March 2014 and 31 March 2013. | SCS Pay Band | 31 March 2014 (Headcount) | 31 March 2013 (Headcount) | |-----------------|------------------------------|------------------------------| | 1 | 66 | 63 | | 2 | 14 | 14 | | 3 | 3 | 4 | | Perm Sec | 1 | 1 | | TOTAL | 84 | 82 | ## Benefits In Kind The monetary value of benefits in kind covers any benefits provided by the Depar tment and treated by HM Revenue and Customs as a taxable emolument. No benefits in kind were provided in 2013–14. ## Bonuses All SCS staff are required to use their objectives to capture their contribution to the achievement of DFID's Business Plan, as well as what they will do to leverage progress in achieving DFID's Organisational Vision and Improvement Plan. DFID's system for SCS performance management is based on the Cabinet Office's guidance on SCS performance objectives. This guidance states that each member of the SCS must have at least one objective under each of the following headings: - Business delivery - Finance/efficiency - People/capability - Corporate leadership All SCS must also give consideration to setting objectives that: - capture their role in fostering an ethos of volunteering across their team, unit or depar tment; - incorporate diversity by embedding it in business, finance/efficiency or people/capability objectives; - contribute a propor tion of their time to their wider depar tment/agency, and the Civil Ser vice as a whole. ## Delegated Grade Performance DFID has adopted a best practice performance management framework developed by the Civil Service Employee Policy for use across Government. Objectives are set in discussion with individual line managers at the beginning of the performance year (April) and monitored throughout the year. At the end of the performance year employees are given a 'box marking' to indicate if they have met or exceeded their objectives or to indicate that they must improve. Bonuses are based on performance levels attained and are made as par t of the appraisal process. The bonuses repor ted in 2013–14 relate to performance in 2012–13 and the comparative bonuses repor ted for 2012–13 relate to the performance in 2011–12. ## Pay Multiples Repor ting bodies are required to disclose the relationship between the remuneration of the highest paid director in their organisation and the median remuneration of the organisation's workforce. The banded remuneration of the highest-paid member of the EMC in DFID in the financial year 2013–14 was £175,000–£180,000 (2012–13: £160,000–165,000). This was 3.4 times (2012–13: 2.9) the median remuneration of the workforce, which was £52,901 (2012–13: £54,550). In 2013–14 and 2012–13, no employees received remuneration in excess of the highest-paid member of the EMC. Remuneration ranged from £16,000–£180,000 (2012–13: £15,000–£165,000). Total remuneration includes salary, non-consolidated performance-related pay and benefits in kind as well as severance payments. It does not include employer pension contributions and the cash equivalent transfer value of pensions. ## Pension Benefits Ministerial Pensions | | | |-------------------------------|-------| | Minister | | | | | | | | | | | | Accrued | | | pension at age | | | 65 as at 31/3/14 | | | CETV at | | | 31/3/14 | | | CETV at | | | 31/3/13 | | | Real | | | increase in | | | CETV | | | Real | | | increase in | | | pension at | | | age 65 | | | £000 | £000 | | | 5–10 | | Secretary of State | | | | 0–5 | | Minister of State | | | 0–5 | 0–2.5 | | | | | Lynne Featherstone | | | Parliamentary Under Secretary | | | of State | | Pension benefits for ministers are provided by the Parliamentary Contributory Pension Fund (PCPF). The scheme is made under statute (the regulations are set out in Statutory Instrument SI 1993 No 3253, as amended). Those ministers who are Members of Parliament may also accrue an MP's pension under the PCPF (details of which are not included in this repor t). The accrual rate has been 1/40th since 15 July 2002 (or 5 July 2001 for those that chose to backdate the change) but ministers, in common with all other members of the PCPF , can opt for a 1/50th accrual rate and a lower rate of member contribution. An additional 1/60th accrual rate option (backdated to 1 April 2008) was introduced from 1 January 2010. Benefits for ministers are payable at the same time as MPs' benefits become payable under the PCPF or, for those who are not MPs, on retirement from ministerial office from age 65. Pensions are revalued annually in line with pensions increase legislation. From 1 April 2013 members paid contributions between 7.9% and 16.7% depending on their level of seniority and chosen accrual rate. The contribution rates will increase from April 2014. The accrued pension quoted is the pension the minister is entitled to receive when they reach 65, or immediately on ceasing to be an active member of the scheme if they are already 65. In line with reforms to other public service pension schemes, it is intended to reform the Ministerial Pension Scheme in 2015. ## The Cash Equivalent Transfer Value (Cetv) This is the actuarially assessed capitalised value of the pension scheme benefits accrued by a member at a par ticular point in time. The benefits valued are the member's accrued benefits and any contingent spouse's pension payable from the scheme. A CETV is a payment made by a pension scheme or arrangement to secure pension benefits in another pension scheme or arrangement when the member leaves a scheme and chooses to transfer the pension benefits they have accrued in their former scheme. The pension figures shown relate to the benefits that the individual has accrued as a consequence of their total ministerial ser vice, not just their current appointment as a minister. CETVs are calculated in accordance with The Occupational Pension Schemes (Transfer Values) (Amendment) Regulations 2008 and do not take account of any actual or potential reduction to benefits resulting from Lifetime Allowance Tax which may be due when pension benefits are taken. ## The Real Increase In The Value Of The Cetv This is the element of the increase in accrued pension funded by the Exchequer. It excludes increases due to inflation and contributions paid by the minister. It is worked out using common market valuation factors for the star t and end of the period. ## Civil Service Pensions | EMC members | Accrued pension at | |---------------------|-----------------------| | pension age as at | | | 31/3/14 and related | | | lump sum | | | Real increase | | | in pension and | | | related lump sum | | | at pension age | | | £000 | £000 | | 55–60 plus lump | | | sum of 165–170 | | | 0–2.5 plus lump | | | sum of 2.5–5 | | | Mark Lowcock | | | Permanent | | | Secretary | | | Richard Calvert | | | Director General | | | 45–50 plus lump | | | sum of 140–145 | | | 0–2.5 plus lump | | | sum of 0–2.5 | | | Joy Hutcheon | | | Director General | | | 35–40 plus lump | | | sum of 115–120 | | | 0–2.5 plus lump | | | sum of 2.5–5 | | | 20–25 | 0–2.5 | | Director General | | | (to 31/8/13) | | | 25–30 plus lump | | | sum of 85–90 | | | 0–2.5 plus lump | | | sum of 2.5–5 | | | Mark Bowman | | | Director General | | | (to 30/11/13) | | | Moazzam Malik | | | 15–20 plus lump | 0–2.5 plus lump | | sum of 50–55 | sum of 0–2.5 | | | | | Director General | | | (temporary | | | promotion from | | | 1/11/13 to 31/1/14) | | | 35–40 plus lump | | | sum of 115–120 | | | 2.5–5 plus lump | | | sum of 10–12.5 | | | | | | Nick Dyer | | | Director General | | | (from 1/8/13) | | | - | - | | | | | David Kennedy | | | Director General | | | (from 16/6/14) | | [1] The CETV at 31 March 2013 quoted in the 2012-13 Annual Accounts for Mark Bowman was incorrectly recorded as 388 Pension benefits are provided through the Civil Ser vice pension arrangements. From 30 July 2007, civil ser vants may be in one of four defined benefit schemes: either a final salary scheme (**classic**, premium or **classic plus**): or a whole career scheme (**nuvos**). These statutory arrangements are unfunded with the cost of benefits met by monies voted by Parliament each year. Pensions payable under classic, premium, **classic plus** and **nuvos** are increased annually in line with pensions increase legislation. Members joining from October 2002 may opt for either the appropriate defined benefit arrangement or a 'money purchase' stakeholder pension with an employer contribution (**partnership** pension account). Employee contributions are salary-related and range between 1.5% and 6.25% of pensionable earnings for **classic** and 3.5% and 8.25% for premium, **classic plus** and **nuvos**. Increases to employee contributions will apply from 1 April 2014. Benefits in **classic** accrue at the rate of 1/80th of final pensionable earnings for each year of service. In addition, a lump sum equivalent to 3 years' CETV at 31/3/14 CETV at 31/3/13 Real increase in CETV Employer contribution to partnership pension account 995 924 9 - 872 813 4 - 642 587 6 - 418 338 [1] 7 - 668 573 58 - initial pension is payable on retirement. For **premium**, benefits accrue at the rate of 1/60th of final pensionable earnings for each year of service. Unlike **classic**, there is no automatic lump sum. Classic plus is essentially a hybrid with benefits for ser vice before 1 October 2002 calculated broadly as per **classic** and benefits for service from October 2002 worked out as in **premium**. In nuvos a member builds up a pension based on their pensionable earnings during their period of scheme membership. At the end of the scheme year (31 March) the member's earned pension account is credited with 2.3% of their pensionable earnings in that scheme year and the accrued pension is uprated in line with pensions increase legislation. In all cases members may opt to give up (commute) pension for a lump sum up to the limits set by the Finance Act 2004. The **partnership** pension account is a stakeholder pension arrangement. The employer makes a basic contribution of between 3% and 12.5% (depending on the age of the member) into a stakeholder pension product chosen by the employee from a panel of three providers. The employee does not have to contribute, but where they do make contributions, the employer will match these up to a limit of 3% of pensionable salary (in addition to the employer's basic contribution). Employers also contribute a fur ther 0.8% of pensionable salary to cover the cost of centrally-provided risk benefit cover (death in service and ill health retirement). The accrued pension quoted is the pension the member is entitled to receive when they reach pension age, or immediately on ceasing to be an active member of the scheme if they are already at or over pension age. Pension age is 60 for members of classic, **premium** and **classic plus** and 65 for members of **nuvos**. Fur ther details about the Civil Ser vice pension arrangements can be found at the website www.civilser vice.gov .uk/pensions ## Reporting Of Civil Service And Other Compensation Schemes - Exit Packages Comparative data shown in brackets for previous calendar year | Core Department | Agencies | Departmental Group | |--------------------|--------------|-----------------------| | Total | | | | number | | | | Number of | | | | of exit | | | | | | | | | compulsory | | | | | | | | | | | | packages | | | Exit | | | | package | | | | cost band | redundancies | | | Number of | | | | compulsory | | | | redundancies | | | | Number | | | | of other | | | | departures | | | | agreed | by cost | | | band | | | | <£10,000 | | | | 1(–) | 1(–) | 2(–) | | £10,000– | | | | £25,000 | | | | - (–) | 4(2) | 4(3) | | £25,000– | | | | £50,000 | | | | - (–) | 7(1) | 7(1) | | £50,000– | | | | £100,000 | | | | - (–) | 5(2) | 5(2) | | £100,000– | | | | £150,000 | | | | - (–) | 4(2) | 4(2) | | £150,000– | | | | £200,000 | | | | - (–) | 1(2) | 1(2) | | 1(1) | 22(9) | 23(10) | | Total | | | | number of | | | | exit | | | | packages | | | | | Total cost | | | (£000) | | | | 1,294 (836) | 1,294 (836) | | Redundancy and other departure costs have been paid in accordance with the provisions of the Civil Service Compensation Scheme, a statutory scheme made under the Superannuation Act 1972. Exit costs are accounted for in full in the year of depar ture. Where the department has agreed early retirements, the additional costs are met by the depar tment and not by the Civil Service pension scheme. Ill-health retirement costs are met by the pension scheme and are not included in the table. | | | Total | | |--------------|------------|----------|-----| | Number | | number | | | Number of | | | | | of other | | of exit | | | | | | | | | compulsory | | | | departures | | | | | | | | | | | | | | | | packages | | | | redundancies | | | | | agreed | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | Number | | | | | of other | | | | | departures | | | | | agreed | by cost | | | | Total | | | | | number | | | | | of exit | | | | | packages | | | | | by cost | | | | | band | band | | | | | | | | | | | | | ## Off-Payroll Engagements The table below provides information on the number of off-payroll engagements, or those that reached 6 months in duration between 1 April 2013 and 31 March 2014 at a cost of £220 per day and that existed for longer than 6 months. The number relates to engagements within DFID and entities within its repor ting boundary, but does not include public corporations. | Department | Agencies | ALBs | |----------------------------------------------------|-------------|---------| | 4 | - | - | | Number of new engagements, or those that | | | | reached 6 months in duration, between 1 April 2013 | | | | and 31 March 2014 | | | | 2 | - | - | | clauses giving the department the right to request | | | | assurance in relation to income tax and National | | | | Insurance obligations | | | | Number for whom assurance has been requested | 2 | - | | Of which. | | | | Number for whom assurance has been received | 2 | - | | Number for whom assurance has not been received | - | - | | - | - | - | | | | | | Number that have been terminated as a result of | | | | assurance not being received. | | | The table below provides information on the number of off-payroll engagements of board members and/ or senior officials with significant financial responsibility, between 1 April 2013 and 31 March 2014. | | Main department | Agencies | ALBs | |----------------------------------------------------|--------------------|-------------|---------------------------------------------------| | - | - | - | Number of off-payroll engagements of board | | members, and/or, senior officials with significant | | | | | financial responsibility | | | | | 7 | - | - | Number of individuals that have been deemed board | | members, and/or, senior officials with significant | | | | | financial responsibility | | | | On 31 March 2014, DFID had a total of 3 off-payroll appointments with self-employed contractors earning more than £220 per day. One of these arrangements had been in place for less than 1 year on the repor ting date and 2 had been in place for between 1 and 2 years. All of DFID's off-payroll appointments are made in accordance with Human Resources and Procurement Policies designed to manage the risk of non-compliance with applicable tax regulations. Accounting Officer for the Depar tment for International Development 4 July 2014 ## 6.6 Public Interest And Other Matters 6.6.1 Payment Of Suppliers In accordance with the Prompt Payment Initiative, DFID aims to pay 80% of all valid undisputed invoices within 5 days of receipt. DFID aims to settle the remainder of all valid undisputed invoices within 10 days of receipt. During the year ended 31 March 2014, 82.93% of valid invoices were paid within 5 days of receipt (2012–13: 87.75%). The Depar tment will continue to review its operating practices and systems with a view to re-engineer processes and increase efficiency. This includes improvements in prompt payment of invoices. No amounts were paid in relation to late interest. The trade payable outstanding at 31 March 2014 as a propor tion of DFID total purchases from suppliers during the year was equivalent to 1 day's trading (2012–13: 1 day). ## 6.6.2 Transparency DFID has 2 main transparency initiatives: - UK Government Transparency Drive, which is the promise to the UK taxpayer to make information about depar tmental spend, contracts and staffing across all government depar tments more open and clear. DFID is committed to publishing every financial transaction above £500 for both programme and administration spend. Although the assumption is of automatic disclosure, a small number of exclusions apply in order not to harm DFID's work or staff. Exemption criteria include information that may harm DFID's relations with other governments or institutions, information that may pose a risk to the security or safety of individuals, information that intrudes on the privacy of a person or information that does harm to either DFID or its par tners'/suppliers' commercial interests. - Aid Transparency Guarantee (including the International Aid Transparency Initiative), which is the government's commitment to publish more detailed information on projects, making summary information available in local languages and providing oppor tunities for feedback from people affected by DFID's programmes. For DFID, the transparency initiatives mean greater visibility of our work to people within the UK and also to people in countries we work in. Details of information published under both initiatives are available at https://www.gov .uk/government/publications?depar tments%5B%5D=depar tment-for international-development ## 6.6.3 Estates Review As repor ted last year, the leasehold on our previous London office at 1 Palace Street was formally surrendered in December 2013. Our successful relocation to new freehold premises in Whitehall, coupled with the adoption of modern working practices, has resulted in a significant reduction in our estate running costs. ## 6.6.4 Foreign Exchange Policy Implementation In order to provide an increased level of budget cer tainty for a par ticular programme, a foreign exchange hedging policy was implemented during 2011–12. DFID does not enter forward currency contracts to provide an accounting hedge and, in accordance with HM Treasury guidelines, hedge accounting has not been applied. A purchase of forward contracts to match South African rand exposure was made. Details of the policy are set out in the accounting policy on financial instruments together with details of the unrealised losses and values covered by the policy during 2013–14, which are set out in note 11.2 to these accounts. Additionally, during this year several contracts matured - note 11.2 also sets out details of exchange rate gains or losses realised which are reflected in expenditure within the Consolidated Statement of Comprehensive Net Expenditure. ## 6.6.5 Publicity And Advertising The Cabinet Office marketing and adver tising freeze (from June 2010) remained in place during all of 2013–14. As a result, DFID incurred no adver tising or publicity costs during the year. ## 6.6.6 Donations No political or charitable donations were made during 2013–14. ## 6.6.7 Complaints To The Parliamentary Ombudsman In their annual repor t for 2013 (published May 2014), which is their most recently published repor t, the Parliamentary and Health Service Ombudsman noted that the number of enquiries relating to DFID fell from 3 to 2. The repor t can be found at http://www.ombudsman.org.uk/__data/assets/pdf_ file/0005/25259/FINAL_Government_Complaint_Handling_repor t_2013.pdf During 2013 the Ombudsman accepted a total of nil complaints for formal investigation relating to DFID. One complaint (carried over from the previous calendar year) was upheld; this compares to no complaints upheld against the Depar tment in 2012. The complaint upheld related to the Depar tment's investigation into allegations concerning the inappropriate use of funds and the handling of the complainant's details. There have been no new repor ts on DFID, or arms length bodies published since the 2013 annual repor t. During 2013–14 DFID and its agencies were fully compliant with Ombudsman recommendations. For fur ther information on the Ombudsman complaints process, classification of complaints and recent repor ts and consultations refer to http://www.ombudsman.org.uk/home. ## 6.6.8 Performance Indicators DFID collects information and data to measure the impact of our policies and reforms. The DFID Business Plan includes our input and impact indicators and other datasets. Progress is published regularly on the DFID website: https://www.gov .uk/government/organisations/depar tment-for international-development DFID continues to publish information on our budgetary spend through the Quar terly Data Summary (QDS). Making this information publically available is a key component of the government's transparency agenda and is intended to enable the public to judge the performance of the Depar tment. ## Contextual Information On Spending In January 2012, the Cabinet Office published standard data definitions for common areas of spend. The definitions for the spending figures can be found at https://www.gov .uk/government/publications/ common-areas-of-spend-data-definitions. The QDS presents the total spend of the Depar tment in 3 ways: by budget; by internal operation; and by transaction. ## Contextual Information On Results The measurement annexes for input indicators, impact indicators are available on www.gov .uk. DFID's QDS repor ts can be found at http://www.gist.cabinetoffice.gov .uk/ ## 6.6.9 Recruitment Practice And Senior Civil Service Remuneration An over view of DFID's recruitment practice and disclosure of Senior Civil Ser vice pay band information is presented within the Remuneration repor t in section 6.5. ## 6.6.10 Better Regulation DFID is not responsible for any regulations. However, within the Depar tment, DFID is improving its operational processes in a number of areas in line with Government's Better Regulation framework. It has established a Better Delivery Taskforce to improve programme management, complimenting its commercial capability improvements and is developing refreshed operational guidance to ensure improved clarity over processes, controls and accountabilities. In addition, the Depar tment is improving the way it engages and manages suppliers and is also developing its use of digital technology to improve interaction with programme delivery par tners. ## 6.7 Governance Statement 6.7.1 Introduction As Accounting Officer for the Depar tmental Group, I am responsible for ensuring that the Depar tment for International Development (DFID) has an effective governance framework which provides strategic direction and management of the organisation. In par ticular, I am responsible for ensuring that the suppor ting governance systems function as they are designed; that they oversee delivery of ministerial strategy and policy priorities, ensure value for money, manage risk, and ensure accountability and delivery of efficient and effective organisational performance. This is in suppor t of the achievement of the Depar tmental Business Plan and in accordance with the International Development Acts 2002 and 2006 and HM Treasury's Managing Public Money. ## 6.7.2 Overview To enable me to reach my overall opinion on the governance and control systems for DFID, I have drawn assurance from a range of sources including the work of the depar tment's Internal Audit Depar tment, the scrutiny of the Audit Committee, the Directors' annual statements of assurance, the opinions of the National Audit Office, and the work of the Independent Commission for Aid Impact. Taken together, these have given me a well-rounded and informed view of the Depar tment's governance and control environment. The last year has been a significant one for the Depar tment, as we led delivery of the Government's commitment to spend 0.7% of the UK's Gross National Income (GNI) on Official Development Assistance for the first time. The Depar tment has also played a leading role in shaping the post-2015 development landscape, delivering its results commitments, and responding to emergencies such as Typhoon Haiyan and the impact of the continuing civil war in Syria. The Depar tment has also continued its drive for efficiency and effectiveness in the delivery of our programmes, and has taken fur ther steps to ensure maximum impact and value for money from the Development budget. This has included the continued re-engineering of business processes, as well as growth in our skills and capability, par ticularly in relation to programme management and commercial activity. We have continued to strengthen our corporate functions, building a stronger network of professional skills across the depar tment, while also cutting costs. We have also recruited more technical and specialist skills into front line posts, suppor ting the scaling up of our programmes, par ticularly in fragile and conflict affected states. Looking fur ther ahead, we have also completed work to review our future business model, and to shape continued delivery in future years. This has par ticularly highlighted an increasing focus on economic development and job creation as a route to sustainable pover ty reduction. In relation to the wider reform agenda across the Civil Service, DFID was one of the first depar tments to publish a Depar tmental Improvement Plan. This plan sets out how DFID will build on the conclusions of the 2012 Capability Review and continue to make progress against the civil service reform agenda. In addition to reinforcing the impor tance of programme management and commercial skills, it also highlights the impor tance of the digital agenda to DFID's future programme and delivery work. The plan forms an integral par t of the depar tment's continuous improvement approach, enabling DFID to identify where progress has been made, what's working and where we need to focus more effor t to contribute to the Government's ambitious pover ty reduction commitments. ## 6.7.3 Governance Framework The governance framework comprises the roles and responsibilities of the Depar tmental Board and senior executive committees; the Accounting Officer and other officials and arms-length bodies; the control framework designed and implemented by these individually and collectively; as well as internal and external assurance. Each is described below. The **Secretary of State** for International Development, with suppor t from the depar tment's Minister of State and Parliamentary Under Secretary of State, sets and makes decisions on the Depar tment's strategy and policy. The **Departmental Board** (the Board) is responsible for collectively advising on and monitoring implementation of the Secretary of State's strategy and policy priorities. The Board: - suppor ts and advises ministers in setting DFID's strategic direction, including through oversight of DFID's Business Plan - monitors the implementation of DFID's strategy and policy priorities - monitors progress against the results set out in the Depar tmental Results Framework - monitors and advises on significant risks to implementation - recommends remedial actions if operational or financial performance is off track The Board is chaired by the Secretary of State and meets quar terly in formal session. Its membership, which has due regard to an appropriate balance of skills, experience and diversity, comprises: - The Secretary of State (chair) - The Minister of State - The Parliamentary Under Secretary of State - Four Non-Executive Board Members, including one appointed as Lead Non-Executive Board Member and one as Chair of the Audit Committee - The Permanent Secretary - Directors General covering the separate por tfolios of Finance and Corporate Performance; Policy and Global Programmes and; Country Programmes. In June 2014 a Director General covering Economic Development was also appointed. Fur ther information on the Board's effectiveness and the attendance record is disclosed in Annex A. The Board is suppor ted by the **Executive Management Committee** (EMC), which provides strategic direction to the management of DFID's operations, staff and financial resources. The EMC: - oversees day-to-day implementation of DFID's strategy and policy priorities, in line with the direction set by the Secretary of State and the DFID Business Plan - communicates the vision, direction and priorities of DFID to staff and other stakeholders - assesses and manages risks to delivery - ensures effective allocation and management of DFID's staff and financial resources - monitors and improves DFID's performance and capability The EMC comprises the Permanent Secretary (as chair) and the Directors General. The EMC meets monthly. Fur ther information on the EMC's effectiveness and the attendance record is disclosed in Annex B. The **Accounting Officer** is responsible for maintaining a sound system of internal control that suppor ts the achievement of the policies, aims and objectives of the Depar tment, while safeguarding public funds and depar tmental assets for which he is personally responsible. A number of **subcommittees** provide additional suppor t and assurance. These are: - Audit Committee, chaired by a Non-Executive Director Richard Keys, which meets 5 times a year - Development Policy Committee, chaired by the Director General for Policy and Global Programmes, which meets quar terly - Investment Committee, chaired by the Director General for Finance and Corporate Performance, which meets quar terly - Security Committee, chaired by the Director General for Country Programmes, which meets quar terly - Senior Leadership Committee, chaired by the Permanent Secretary, which meets monthly. The **Audit Committee** is also responsible for assisting the Accounting Officer to review structures and processes designed to ensure a sound system of internal control, including the oversight of the Internal Audit function, and to ensure the integrity of financial repor ting. Over the last year and up to the date of approval of these accounts, the Audit Committee: - approved the Internal Audit Depar tment's char ter and work plan - reviewed Internal Audit Depar tment's assurance repor ts and discussed with management any remedial actions identified - considered key controls, processes and policies including in respect of due diligence, whistleblowing and returnable capital - reviewed National Audit Office country visits repor ts and discussed with management any remedial actions identified - considered the Internal Audit Depar tment's Interim and Annual Repor ts for 2013–14 - considered the Directors' Statements of Assurance as at March 2014 - considered the National Audit Office Audit Completion Repor t and Management Letter for 2013–14 - considered the Annual Repor t and Accounts for the 12 months ended 31 March 2014 Meetings are also held regularly with both the Head of Internal Audit and the National Audit Office without management present. The Permanent Secretary and Director General for Finance and Corporate Performance regularly attend the committee. The **Development Policy Committee** is responsible for the scrutiny and development of significant new policy proposals. This year it covered a broad spectrum of policy areas including governance, fragile states, climate and environment, and engagement with multilaterals. This helped broaden ownership and awareness of policy initiatives. The **Investment Committee** is responsible for ensuring that DFID investments represent good value for money, and that clear systems exist to enable management to take strategic financial decisions on the basis of evidence. This is achieved by reviewing strategic investment decisions and resource allocation, the investment por tfolio and key controls and policies. During the year the Investment Committee: - oversaw work on strengthening DFID's programme management, including a review of the DFID programme management cycle, and reviews of programme design and monitoring - reviewed the performance of specific par ts of the DFID por tfolio - continued to use the improved data and evidence on results and value for money which is now available from DFID systems. Quar terly management information repor ts were improved to include better data on programme performance and por tfolio quality The **Security Committee** is responsible for monitoring the adequacy and effectiveness of all aspects of the Depar tment's security globally. The committee is primarily concerned with people security but it may review all aspects of physical, personnel, information security and health and safety issues as required. During the last year the committee endorsed the development and roll-out of ISO 22301 compliant business continuity plans following an Internal Audit Depar tment review. In addition it commissioned security reviews in selected countries and proposals for a DFID crisis response strategy. The Security Committee also reviewed security training provision for overseas staff. The **Senior Leadership Committee** is responsible for ensuring DFID's Senior Civil Service (SCS) structure and roles are designed to meet our future and changing leadership needs, managing SCS performance and pay/reward, and leading on SCS talent and succession/pipeline management. During the year the Senior Leadership Committee: - integrated the new Civil Service competency framework into SCS leadership expectations (and associated people processes), including increased emphasis on programme management - introduced a combined summary for capturing performance and talent assessment through End of Year Reviews - implemented a leadership transitions programme for new Deputy Directors - established a Talent Board to steer and drive continual improvement in DFID's approach to talent management and development Following the financial year-end, a review of the corporate governance arrangements has made recommendations that build on existing arrangements. The main recommendations are: - that the main point of engagement for the Non-Executive Directors should be through the Depar tmental Board and subcommittees - that the audit committee should repor t to the Depar tmental Board - that the subcommittee structure be rationalised, with the Development Policy Committee no longer forming par t of the formal governance structure These recommendations will be implemented during 2014–15. ## 6.7.4 Assurance Framework In my review of the effectiveness of the system of internal control, I draw on assurance from multiple sources: - **'Front-line' or business operational areas:** DFID has established arrangements that are used to derive assurance on how well objectives are being met and risks managed. These include policy and performance data, monitoring statistics, risk registers, repor ts on the routine system controls, the directors' annual statements of assurance and other management information; - **Management oversight:** separate from the work of those responsible for delivery, this includes work under taken by the Quality Assurance Unit, the central finance and human resource teams, the depar tmental security unit and regular policy reviews and lesson learning exercises; - **Independent and objective assurance:** This includes the work of internal audit, which carries out an annual programme of work specifically designed to provide the Accounting Officer with an independent and objective opinion on the framework of governance, risk management and control. Internal audit places reliance upon front line and management assurance mechanisms, where possible, to enable it to direct its resources most effectively, on areas assessed as at highest risk or where there are gaps or weaknesses in other assurance arrangements. In addition, external independent assurance is provided by: - **The Independent Commission for Aid Impact** (ICAI), which reviews the quality, value for money and impact of DFID's programmes. - **The National Audit Office** (NAO), which reviews DFID's financial repor ting and performance, the regularity of its expenditure and conducts value for money studies. There have been no ministerial directions given during 2013–14. ## 6.7.5 Risk Profile And Developments In The Department'S Approach To Risk And Control DFID's risk profile has increased over recent years. The depar tment's budget has grown substantially, as par t of the government's commitment to deliver 0.7% of GNI as official development assistance from 2013. The government has also set an ambitious strategy for its international development work, built around a clear results framework, a commitment to transparency, and a scaling up of work in fragile and conflict-affected states. Against this background, the Depar tment has ensured successful delivery of the 0.7% commitment in 2013, and remains on track to deliver the specific commitments set out in the Depar tmental Results Framework in 2011. Overall assessments of the Depar tment's work remain very positive: the Depar tment has a strong reputation as one of the world's leading bilateral development organisations; staff engagement remains at the very top end of government depar tments; and peer review, as well as internal and external assessments of the Depar tment and its work, presents a positive picture. At the same time, the Depar tment has recognised the need to strengthen its capability and performance in key areas, both to enable it to maximise its impact and results, and to respond to any weaknesses or capability gaps identified during the year. The key areas on which the Depar tment has focussed in 2013-14 are: ## Strengthening Programme Management: While processes and ways of working have been significantly strengthened since 2010 to suppor t increased value for money, we recognised early in 2013 the need for a review of our capability and culture on programme management, and the associated tools and processes. This aimed to ensure that the Depar tment not only learned lessons from the last 3-4 years, but also to ensure that the Depar tment is equipped for the challenges which it will face in the period ahead. The Depar tment also learned impor tant lessons from the ICAI review of the Trade Mark South Africa (TMSA) programme, which identified weaknesses and inconsistencies in aspects of our programme management in Southern Africa. As a result of this work, we are putting in place a range of reforms which will - streamline and simplify our programme management rules and guidance - establish a clear accreditation and capability building programme for programme managers across DFID - clarify roles, responsibilities and accountabilities, including the appointment of a Senior Responsible Owner for all DFID programmes - improve and standardise management information - strengthen both management assurance and external scrutiny and challenge ## Improving Commercial Capability Building on its commercial reform programme the Depar tment has continued to strengthen the commercial advisers' network across its country offices and other business units, introduced a key supplier management system, under taken procurement collaboration activity and completed commercial exper tise reviews on selected par tners. The Depar tment also committed to putting all senior civil ser vice staff through a 3-day commercial training programme, which is on track for completion by autumn 2014. ## Improving The Identification And Management Of Risk The Depar tment recognises the need to fur ther improve on its ability to identify risks and the year has seen an enhanced level of scrutiny and ministerial challenge, resulting in a clearer focus on risk awareness across the depar tment. In January 2014 the EMC initiated a review of DFID's corporate risk register. It is engaging with both the Government Actuary's Depar tment and external risk professionals to develop a refreshed strategic register, clarify accountability for risk owners and facilitate regular ongoing review and update. In autumn 2013 the depar tment initiated an end to end review of its programme management processes. In January 2014 it established the Better Delivery Taskforce to improve programme leadership and management. In summer 2014 the taskforce will deliver a refreshed operational framework, entitled Smar t Rules, which will enhance clarity on roles, responsibilities and accountabilities. Other suppor ting guidance for programme management is also being refreshed, with updated guidance on risk management being developed. This should ensure that programme risk management is better designed, more systematic and applied more consistently across the Depar tment and its operations. Security assurance mapping work under taken during the year has provided a positive view of staff safety and security risk management. ## Tackling Risks Of Fraud And Corruption Tackling corruption remains a top priority for the Depar tment. Guidance for DFID staff has been produced on anti-corruption procedures such as carrying out due diligence assessments for all organisations that receive UK assistance, and on including more vigorous assessments of corruption risk in business cases written before any organisation is awarded DFID funding. Last year the Depar tment published country specific strategies to explain how it safeguards UK development assistance and contributes to reducing the impact of corruption on development. The Depar tment also works with other relevant UK government agencies to improve access to information about potential threats to DFID programmes and is funding UK law enforcement units until 2016. These units are based within the Metropolitan Police and the City of London Police and are dedicated to pursuing illicit money flows and bribery related to developing countries. During 2013-14 the Internal Audit Depar tment's counter fraud section changed the nature of its engagement with the Depar tment, with a noticeable shift from focusing primarily on reactive fraud response (investigations) to widening its scope and remit to incorporate more structured activities around fraud assurance and proactive analysis and response. Details of the number of losses and their value are included in note 17 to the Accounts. Details of individual cases over £300,000 are disclosed in accordance with "Managing Public Money" requirements. DFID's Whistleblowing Policy has been revised and refreshed during 2013–14. The policy confirms DFID's commitment to protect whistle-blowers. Additionally, significant work is being done to update terms within DFID's template agreements, such as Memorandum of Understanding and Accountable Grants, to include clearer direction, expectations and accountabilities on the action to take in the event of suspicion of misappropriation of funds relating to counter fraud matters. ## 6.7.6 Annual Assurance Opinion The Internal Audit Depar tment (IAD) of the Depar tment is required to comply with Public Sector Internal Audit Standards: Applying the IIA international standards to the public sector (PSIASs). These standards applied from 1 April 2013. These require, at the year end, that the Head of Internal Audit forms an opinion over the adequacy and effectiveness of DFID's frameworks for: governance; risk management; and control. The opinion is based on the audit work performed in the year and up to the date of the finalisation of their Annual Assurance Repor t to the Audit Committee. This includes - the results of internal audits completed (in final or draft) - any follow-up action taken in respect of audits from previous periods - the effects of any significant changes in DFID's control environment - any matters arising from previous IAD annual assurance repor ts to DFID - the results of consultancy work under taken during the year - the consideration of value for money embedded within each review under taken by IAD - formal audit evidence and work - evidence gathered through being par t of DFID as an in-house audit ser vice IAD have repor ted no restrictions that have limited the scope of their work during 2013–14. In the Annual Assurance Repor t 2013–14 the Head of Internal Audit has expressed the opinion that: "We are satisfied that sufficient internal audit and assurance work has been undertaken to allow us to draw a reasonable conclusion as to the adequacy and effectiveness of DFID's frameworks for governance, risk management and control. In the IAD's opinion DFID had adequate and effective frameworks for; governance; risk management; and control, covering the period 1st April 2013 to 31st March 2014, noting that risk management, whilst effective in result, is not well designed and requires systematisation to provide, on a reliable basis, a robust risk mitigation outcome." The measures set out above are designed to improve the framework for risk management. ## 6.7.7 Additional Assurance Information In addition to the annual assurance opinion from the Head of Internal Audit, I also place reliance on Directors' Statements of Assurance (DSAs). Each Director completes an annual DSA, providing the Accounting Officer with assurance that DFID's management systems are being applied consistently and effectively across their respective divisions. The DSA process covers 23 key internal controls and is under taken by all four Directorates and 63 spending units. For 2013–14 all spending units have submitted a return and the Directorates have each provided a consolidated return. This year the main areas identified for improvement are: - Project Management Procedures Action has been taken during the year to ensure that all annual repor ts and project completion repor ts are being submitted by the agreed due dates with specific actions to address those overdue. Spending units have identified remedial actions to minimise the potential for a backlog of reviews to reoccur in future years, such as better planning and monitoring procedures. - Financial Planning and Budgeting The external environment has presented additional challenges to spending units delivering accurate and timely budgets and forecasting, including the introduction of government platforms and conflicts in some locations. Remedial actions proposed include closer management oversight and fur ther staff training. - Data Security The returns show that staff are regularly reminded about the need to be vigilant over data security, and induction materials are being updated to reflect this focus. During the year staff also completed a mandatory course on the new government security classification to suppor t appropriate records security. A self-assessment of cyber security confirmed that DFID is managing its cyber risk in a broadly effective way, recognising the fact that the Depar tment holds only a limited amount of highly classified material. The Depar tment has not repor ted any personal data incidents to the Information Commissioner's Office for the year 2013-14. As Accounting Officer, I also take account of findings from the work of ICAI and the NAO. During the year ICAI has scrutinised and repor ted on a broad range of topics and the 11 published repor ts have covered matters such as the depar tment's use of contractors, humanitarian response to Typhoon Haiyan in the Philippines, and empowerment and accountability programmes in Ghana and Malawi. Only one of these repor ts, 'DFID's Trade Development Work in South Africa', was rated as red. The depar tment has responded robustly to the weaknesses in delivery and oversight of TMSA that this repor t identified. During the year the NAO has scrutinised and repor ted on the Depar tment, under taking the year-end financial audit and performed a number of effectiveness and value for money audits of the Depar tment's expenditure. The Comptroller and Auditor General signed the Depar tment's 2012–13 Annual Repor t and Accounts on 20 June 2013, before the parliamentary recess, and issued an unqualified audit opinion. Published repor ts during the year have covered matters such as malaria and the reliability of performance data and a fur ther major study, concerning the Private Infrastructure Development Group is currently in progress. ## 6.7.8 Arm'S-Length Bodies DFID has 2 Non Depar tmental Public Bodies for which I am responsible as Accounting Officer. ## 6.7.8.1 The Independent Commission For Aid Impact (Icai) ICAI was established in May 2011. Its role is to provide independent scrutiny of UK aid, to promote the delivery of value for money for British taxpayers and to maximise the impact of aid. It repor ts directly to Parliament through the International Development Select Committee. Expenditure by ICAI in 2013–14 was £3.7 million. The Secretary of State is accountable to Parliament for ICAI and, in delivery of this responsibility, the Secretary of State and the Depar tment's EMC respectively meet the ICAI commissioners regularly to ensure that ICAI is able to carry out its work effectively. As required by the Memorandum of Understanding and the Framework Agreement, ICAI Commissioners have approved a Corporate Plan setting out internal control and risk management arrangements. In July 2013 ICAI published its second annual repor t, which provides an outline of its activities during the period from May 2012 to May 2013 and highlights some of the key themes it has identified in under taking its work. In accordance with Cabinet Office requirement for triennial reviews of all Non-Depar tmental Public Bodies, a review of ICAI was under taken in 2013. It was conducted and monitored by a Challenge Group whose terms of reference and membership were agreed by the Cabinet Office. The review provided a robust challenge of the continuing need for ICAI and an assessment of the control and governance arrangements to establish whether or not it complies with recognised principles of good corporate governance. The repor t, published in December 2013, concluded that: - the functions performed by ICAI are still required but need refinement to ensure clarity and maximisation of value for money - ICAI should focus on depth of analysis rather than breadth while retaining the ability to produce shor ter repor ts on topics of par ticular interest to stakeholders - ICAI continues to be the most effective way of delivering these functions - ICAI governance arrangements comply with Cabinet Office guidance on good corporate governance but in some areas documentation needs to be updated and amended in order to fully comply and in other areas documentation must be published - the role of the International Development Committee should be more clearly defined All payments for ICAI are made through DFID systems, which are subject to DFID controls. In addition an annual repor t by the International Development Committee on ICAI, including recommendations, is reviewed by DFID, and DFID responds to recommendations made. ## 6.7.8.2 The Commonwealth Scholarship Commission (Csc) CSC manages the UK contribution to the Commonwealth Scholarship and Fellowship Programme. DFID's grant in aid to CSC in 2013–14 was £24 million. A triennial review of CSC was conducted during the year and the repor t issued in September 2013. The review concluded that CSC meets statutory and technical requirements for delivering the Commonwealth Scholarship Fellowship Programme. It operates a sound selection process and its evaluation and monitoring of the impact of the CSC awards is developing well and indicates a good level of achievement. CSC is cost effective and a successor body would be unable to achieve similar efficiency levels. The organisation has strong suppor t and respect among all its stakeholders. Although there were no weaknesses over the process for delivery or decision-making, there is room for improvement in the governance arrangements to fully meet the requirements of the non-depar tmental public bodies standards. DFID oversees the work of CSC through a dedicated relationship team within DFID. There are also arrangements for DFID representation at Commissioners' meetings and, going forward, CSC is subject to external audit. ## 6.7.9 Other Public Sector Bodies - Cdc Group Plc (Cdc) DFID is also the 100% shareholder of CDC, a public limited company. CDC is governed by a Board of Directors answerable to the shareholder through normal company governance processes. The Secretary of State may appoint up to two non-executive directors of CDC. The company prepares annual accounts to 31 December. The Depar tment is not involved in CDC operations and does not take par t in operational investment decision-taking. Accordingly CDC is not consolidated within the accounts of the Depar tment. ## 6.7.10 Key Risk Areas In 2014–15 Looking ahead to 2014–15, I expect the Depar tment to retain a strong focus on embedding the changes to programme management which were described above. I will also maintain a strong focus on continued implementation of the Finance and Commercial Improvement Plans. During the year DFID will continue to operate in a range of challenging environments, with the focus remaining on our work in fragile and conflict states, as well as on countries undergoing rapid economic growth and social change. Within this context the Depar tment will enhance its focus on managing key risks to ensure we continue to deliver improvement. ## 6.7.11 Closing Statement I am satisfied with DFID's governance arrangements in terms of safeguarding the use of taxpayers' money. Recognising the changing environment for the Depar tment, including heavy engagement in fragile states, DFID will continue to strengthen its governance arrangements. This will ensure we achieve value for money and results from the resources given to us, and achieve our key objective of reducing pover ty. Accordingly CSC is not consolidated within the accounts of the Depar tment. Mark Lowcock Accounting Officer for the Depar tment for International Development 4 July 2014 ## Annex A - Departmental Board A review of the effectiveness of the Depar tmental Board was carried out by a DFID Director, repor ting to the Permanent Secretary and the Lead Non-Executive Director, Vivienne Cox, and was agreed by the Secretary of State. The review confirmed that the Board has made good progress over the last year. In par ticular it confirmed that the Depar tmental Board: - provided strategic direction to DFID strategy and policy and to the management of DFID's operations, staff and financial resources, and monitored and improved DFID's performance and capability - received relevant and well-presented management information - have enough diversity of views and a good mix of skills and experience - prioritised the right issues in the right order and had a good rhythm of meetings across the year. The lead Non-Executive Board Member, Vivienne Cox suppor ts the Secretary of State in her capacity as Chair of the Depar tmental Board, and the Permanent Secretary in his capacity as Chair of the Executive Management Committee (EMC) and Accounting Officer. The Board is required to ensure that it complies with the provisions of the 'Corporate Governance in Central Government Depar tments: Code of Good Practice 2011' or where it has not, explains the reasons for any depar tures from the Code. The Board is satisfied that it has complied with the Code. There have been both appointments to and resignations from the Board during the year: - In June 2013, to strengthen the Board's skills mix, 2 new Non-Executive Board Members were appointed, Tim Robinson and Eric Salama - In July 2013 a Director General, Michael Anderson, resigned - In November 2013 a Director General, Mark Bowman, resigned - In November 2013 a Director General, Moazzam Malik, was appointed on a temporary basis - In November 2013 a Director General, Nick Dyer, was appointed - In June 2014 a Director General, David Kennedy, was appointed There are non-executive members on 2 subcommittees of the EMC (Audit and Investment), bringing additional independent challenge directly to specific areas of the business. In par ticular, the Depar tment's Audit Committee is entirely composed of non-executive members to ensure independent and constructive scrutiny of the Depar tment's activities. The EMC provides an additional level of assurance to the Depar tmental Board. Management information is provided to the Depar tmental Board on a quar terly basis and the EMC on a monthly basis (including data from the Quar terly Data Summary Scorecard sent to HM Treasury). Management information repor ts provide current information and analysis on DFID expenditure, results and impact assessment, risk management and workforce deployment. The EMC is content that this provides sufficient and reliable information for ministers and the EMC to exercise their leadership role. ## Departmental Board Attendance In 2013–14 During the year, the Depar tmental Board met on the following occasions and in addition held 3 away-days in April, May and June 2013: - July 2013 - November 2013 - January 2014 - March 2014 | Departmental Board Member | Meetings attended | |----------------------------------------------------------------------------|----------------------| | Secretary of State | | | Justine Greening MP | | | Minister of State | | | Alan Duncan MP | | | Parliamentary Under Secretary of State | | | Lynne Featherstone MP | | | Lead Non-Executive Board Member | | | Vivienne Cox | | | Non-Executive Board Member | | | Richard Keys | | | Non-Executive Board Member | | | Tim Robinson (appointed June 2013) | | | Non-Executive Board Member | | | Eric Salama (appointed June 2013) | | | Permanent Secretary | | | Mark Lowcock | | | DG, Policy and Global Programmes | | | Michael Anderson | | | [1] | | | (resigned July 2013) | | | DG, Humanitarian, Security and Conflict | | | Mark Bowman (resigned November 2013) | | | DG, Finance and Corporate Performance | | | Richard Calver | t | | DG, Policy and Global Programmes | | | Nick Dyer | | | [2] | | | (appointed November 2013) | | | DG, Country Programmes | | | Joy Hutcheon | | | Acting DG for Humanitarian, Security & Conflict, and International Finance | | | Moazzam Malik (from 1/11/13 to 31/1/14) | | [1] Michael Anderson was the Prime Minister's Special Envoy for the UN Millennium Goals; it was agreed that Nick Dyer would become a member of the Depar tmental Board and Executive Management Committee to cover issues in his absence. [2] Nick Dyer attended the Board throughout the year, as Director, Policy until November 2013 and thereafter as DG for Policy and Global Programmes. | | |---------------| | 7 | | of a possible | | 7 | | 5 | | of a possible | | 7 | | 5 | | of a possible | | 7 | | 4 | | of a possible | | 7 | | 6 | | of a possible | | 7 | | 4 | | of a possible | | 5 | | 4 | | of a possible | | 5 | | 7 | | of a possible | | 7 | | 2 | | of a possible | | 4 | | 4 | | of a possible | | 5 | | 7 | | of a possible | | 7 | | 6 | | of a possible | | 7 | | 7 | | of a possible | | 7 | | - | | of a possible | | 1 | ## Annex B - Executive Management Committee To review its effectiveness the Executive Management Committee (EMC) under took the following actions during the year: - held an EMC away day focused on strategy and horizon scanning in autumn 2013 - reviewed DFID's governance arrangements during the year, par ticularly the subcommittee structure The review of DFID's corporate governance was positive overall as to the effectiveness of the EMC. ## Executive Management Committee Attendance In 2013–14 During the year the Executive Management Committee met 11 times. | Executive Management Committee Member | Meetings attended | |----------------------------------------------------------------------------|----------------------| | Permanent Secretary | | | Mark Lowcock | | | Lead Non-Executive Board Member | | | Vivienne Cox | | | [3] | | | Non-Executive Board Member | | | Richard Keys | | | [3] | | | Non-Executive Board Member | | | Tim Robinson | | | [3] | | | (appointed June 2013) | | | Non-Executive Board Member | | | Eric Salama | | | [3] | | | (appointed June 2013) | | | DG, Policy and Global Programmes | | | Michael Anderson | | | [3] [1] | | | (resigned July 2013) | | | DG, Humanitarian, Security and Conflict | | | Mark Bowman (resigned November 2013) | | | DG, Finance& Corporate Performance | | | Richard Calver | t | | DG, Policy and Global Programmes | | | Nick Dyer | | | [2] | | | (appointed November 2013) | | | DG, Country Programmes | | | Joy Hutcheon | | | Acting DG for Humanitarian, Security & Conflict, and International Finance | | | Moazzam Malik (from 1/11/13 to 31/1/14) | | [1] Michael Anderson was the Prime Minister's Special Envoy for the UN Millennium Goals; it was agreed that Nick Dyer would become a member of the Depar tmental Board and Executive Management Committee to cover issues in his absence. [2] Nick Dyer attended the Board throughout the year, as Director, Policy until November 2013 and thereafter as DG for Policy and Global Programmes. [3] Non-Executive Directors attended EMC meetings for the first 9 months of the year. | | | |---------------|-----| | 11 | | | of a possible | | | 11 | | | 5 | | | of a possible | | | 8 | | | 7 | | | of a possible | | | 8 | | | 5 | | | of a possible | | | 5 | | | 3 | | | of a possible | | | 4 | | | 3 | | | of a possible | | | 4 | | | 6 | | | of a possible | | | 6 | | | 11 | | | of a possible | | | 11 | | | 11 | | | of a possible | | | 11 | | | 10 | 11 | | of a possible | | | 3 | 3 | | of a possible | | ## Statement Of Accounting Officer'S Responsibilities Under the Government Resources and Accounts Act 2000, HM Treasury has directed the Depar tment for International Development to prepare, for each financial year, consolidated resource accounts detailing the resources acquired, held or disposed of during the year and the use of resources by the Depar tment during the year. The accounts are prepared on an accruals basis and must give a true and fair view of the state of affairs of the Depar tment and of its net resource outturn, application of resources, changes in taxpayers' equity and cash flows for the financial year. In preparing the accounts, the principal Accounting Officer is required to comply with the requirements of the Government Financial Repor ting Manual and in par ticular to: - obser ve the Accounts Direction issued by the Treasury, including the relevant accounting and disclosure requirements, and apply suitable accounting policies on a consistent basis - ensure that the depar tment has in place appropriate and reliable systems and procedures to carry out the consolidation process - make judgements and estimates on a reasonable basis - state whether applicable accounting standards as set out in the Government Financial Repor ting Manual have been followed, and disclose and explain any material depar tures in the accounts - prepare the accounts on a going concern basis HM Treasury has appointed the Permanent Head of the Depar tment as Accounting Officer of the Depar tment for International Development. This Accounting Officer is also responsible for the non-depar tmental public bodies within the Depar tmental Group. The responsibilities of an Accounting Officer, including responsibility for the propriety and regularity of the public finances for which the Accounting Officer is answerable, for keeping proper records and for safeguarding the assets of the Depar tment or non-depar tmental public body for which the Accounting Officer is responsible, are set out in *Managing Public Money* published by HM Treasury. Mark Lowcock Accounting Officer for the Depar tment for International Development 4 July 2014 ## The Certificate And Report Of The Comptroller And Auditor General To The House Of Commons I cer tify that I have audited the financial statements of the Depar tment for International Development and of its Depar tmental Group for the year ended 31 March 2014 under the Government Resources and Accounts Act 2000. The Depar tment consists of the Core Depar tment and its non-depar tmental public bodies. The Depar tmental Group consists of the Depar tment and the bodies designated for inclusion under the Government Resources and Accounts Act 2000 (Estimates and Accounts) Order 2013. The financial statements comprise: the Depar tment's and Depar tmental Group's Statements of Comprehensive Net Expenditure, Financial Position, Cash Flows, Changes in Taxpayers' Equity; and the related notes. I have also audited the Statement of Parliamentary Supply and the related notes. These financial statements have been prepared under the accounting policies set out within them. I have also audited the information in the Remuneration Repor t that is described in that repor t as having been audited. ## Respective Responsibilities Of The Accounting Officer And Auditor As explained more fully in the Statement of Accounting Officer's Responsibilities, the Accounting Officer is responsible for the preparation of the financial statements and for being satisfied that they give a true and fair view. My responsibility is to audit, cer tify and repor t on the financial statements in accordance with the Government Resources and Accounts Act 2000. I conducted my audit in accordance with International Standards on Auditing (UK and Ireland). Those standards require me and my staff to comply with the Auditing Practices Board's Ethical Standards for Auditors. ## Scope Of The Audit Of The Financial Statements An audit involves obtaining evidence about the amounts and disclosures in the financial statements sufficient to give reasonable assurance that the financial statements are free from material misstatement, whether caused by fraud or error. This includes an assessment of: whether the accounting policies are appropriate to the Depar tment's and the Depar tmental Group's circumstances and have been consistently applied and adequately disclosed; the reasonableness of significant accounting estimates made by the Accounting Officer; and the overall presentation of the financial statements. In addition I read all the financial and non-financial information in the Annual Repor t to identify material inconsistencies with the audited financial statements and to identify any information that is apparently materially incorrect based on, or materially inconsistent with, the knowledge acquired by me in the course of performing the audit. If I become aware of any apparent material misstatements or inconsistencies I consider the implications for my cer tificate. I am required to obtain evidence sufficient to give reasonable assurance that the Statement of Parliamentary Supply properly presents the outturn against voted Parliamentary control totals and that those totals have not been exceeded. The voted Parliamentary control totals are Depar tmental Expenditure Limits (Resource and Capital), Annually Managed Expenditure (Resource and Capital), Non-Budget (Resource) and Net Cash Requirement. I am also required to obtain evidence sufficient to give reasonable assurance that the expenditure and income recorded in the financial statements have been applied to the purposes intended by Parliament and the financial transactions recorded in the financial statements conform to the authorities which govern them. ## Opinion On Regularity In my opinion, in all material respects: - the Statement of Parliamentary Supply properly presents the outturn against voted Parliamentary control totals for the year ended 31 March 2014 and shows that those totals have not been exceeded; and - the expenditure and income recorded in the financial statements have been applied to the purposes intended by Parliament and the financial transactions recorded in the financial statements conform to the authorities which govern them. ## Opinion On Financial Statements In my opinion: - the financial statements give a true and fair view of the state of the Depar tment's and the Depar tmental Group's affairs as at 31 March 2014 and of the Depar tment's net operating cost and Depar tmental Group's net operating cost for the year then ended; and - the financial statements have been properly prepared in accordance with the Government Resources and Accounts Act 2000 and HM Treasury directions issued thereunder. ## Opinion On Other Matters In my opinion: - the par t of the Remuneration Repor t to be audited has been properly prepared in accordance with HM Treasury directions made under the Government Resources and Accounts Act 2000; and - the information given in the Annual Repor t, Strategic Repor t and Directors' Repor t for the financial year for which the financial statements are prepared is consistent with the financial statements. ## Matters On Which I Report By Exception I have nothing to repor t in respect of the following matters which I repor t to you if, in my opinion: - adequate accounting records have not been kept or returns adequate for my audit have not been received from branches not visited by my staff; or - the financial statements and the par t of the Remuneration Repor t to be audited are not in agreement with the accounting records and returns; or - I have not received all of the information and explanations I require for my audit; or - the Governance Statement does not reflect compliance with HM Treasury's guidance. ## Report I have no obser vations to make on these financial statements. Date: 9 July 2014 Sir Amyas C E Morse Comptroller and Auditor General National Audit Office 157–197 Buckingham Palace Road Victoria London SW1W 9SP ## Statement Of Parliamentary Supply Summary Of Resource And Capital Outturn 2013–14 | | | | | | | | |------------------------------|-----------|-----------|------------|-----------|-----------|------------| | | | | | | | | | | | | | | | | | | Estimate | Outturn | | | | | | outturn | | | | | | | | compared | | | | | | | | with | | | | | | | | Note | Voted | | | | | | | Non- | | | | | | | | voted | Total | Voted | | | | | | | | | | | | | | £000 | £000 | £000 | £000 | £000 | £000 | £000 | | | | | | | | | | Departmental | | | | | | | | Expenditure Limit | | | | | | | | - Resource | 7,559,888 | 910,000 | 8,469,888 | 7,416,541 | 671,838 | 8,088,379 | | - Capital | 1,969,442 | - | 1,969,442 | 1,945,584 | - | 1,945,584 | | | | | | | | | | Annually | | | | | | | | Managed | | | | | | | | Expenditure | | | | | | | | | | | | | | | | - Resource | 191,524 | - | 191,524 | 68,995 | - | 68,995 | | - Capital | - | - | - | - | - | - | | Total budget | 9,720,854 | 910,000 | 10,630,854 | 9,431,120 | 671,838 | 10,102,958 | | | | | | | | | | Non-budget | | | | | | | | | | | | | | | | - Resource | - | - | - | - | - | - | | | | | | | | | | Total | 9,720,854 | 910,000 | 10,630,854 | 9,431,120 | 671,838 | 10,102,958 | | 7,921,465 | | | | | | | | Total resource | SOPS3 | 7,751,412 | 910,000 | 8,661,412 | 7,485,536 | 671,838 | | Total capital | 1,969,442 | - | 1,969,442 | 1,945,584 | - | | | Total | 9,720,854 | 910,000 | 10,630,854 | 9,431,120 | 671,838 | | | Net cash requirement 2013–14 | | | | | | | | | | | | | | | | 2013–14 | | | | | | | | Estimate | | | | | | | | £000 | Note | | | | | | | Net cash | | | | | | | | requirement | | | | | | | | SOPS4 | 9,507,570 | | | | | | | Administration costs 2013–14 | | | | | | | | Administration | | | | | | | | costs | SOPS3.2 | 123,600 | 115,973 | 127,815 | | | Figures in the areas outlined in bold are voted totals or other totals subject to Parliamentary control. In addition, although not a separate voted limit, any breach of the administration budget will also result in an excess vote. Explanations of variances between Estimate and outturn are given in note SOPS2 and in the Management Commentary. | 2013–14 | 2012–13 | |------------|------------| | Voted | | | Outturn | | | Estimate: | | | Non- | | | voted | Total | | saving/ | | | (excess) | Total | | | | | | | | | | | 8,157,374 | 265,876 | | 1,945,584 | 23,858 | | 10,102,958 | 289,734 | | 2013–14 | 2012–13 | | £000 | £000 | | Outturn | | | Outturn | | | compared | | | with | | | Estimate: | | | saving/ | | | (excess) | Outturn | | 8,620,747 | 886,823 | | 2013–14 | | | Estimate | | | 2013–14 | | | Outturn | | | 2012–13 | | | Outturn | | | £000 | £000 | ## Notes To The Departmental Resource Accounts - Statement Of Parliamentary Supply Sops1 Statement Of Accounting Policies The Statement of Parliamentary Supply and suppor ting notes have been prepared in accordance with the 2013–14 Government Financial Repor ting Manual (FReM) issued by HM Treasury. The Statement of Parliamentary Supply accounting policies contained in the FReM are consistent with the requirements set out in the 2013–14 Consolidated Budgeting Guidance and Supply Estimates Guidance Manual. ## Sops1.1 Accounting Convention The Statement of Parliamentary Supply and related notes are presented consistently with HM Treasury budget control and Supply Estimates. The aggregates across government are measured using National Accounts, prepared in accordance with the internationally agreed framework 'European System of Accounts' (ESA95). ESA95 is in turn consistent with the System of National Accounts (SNA93), which is prepared under the auspices of the United Nations. The budgeting system and the consequential presentation of Supply Estimates and the Statement of Parliamentary Supply and related notes have different objectives to IFRS-based accounts. The system suppor ts the achievement of macro-economic stability by ensuring that public expenditure is controlled, with relevant Parliamentary authority, in suppor t of the Government's fiscal framework. The system provides incentives to depar tments to manage spending well so as to provide high quality public ser vices that offer value for money to the taxpayer. The Government's objectives for fiscal policy are set out in the Char ter for Budget Responsibility. These are to: - ensure sustainable public finances that suppor t confidence in the economy, promote intergenerational fairness, and ensure the effectiveness of wider government policy - suppor t and improve the effectiveness of monetary policy in stabilising economic fluctuations ## Sops1.2 Comparison With Ifrs-Based Accounts Many transactions are treated in the same way in National Accounts and IFRS-based accounts, but there are a number of differences as detailed below. A reconciliation of the Depar tment's outturn as recorded in the Statement of Parliamentary Supply compared to the IFRS-based Statement of Comprehensive Net Expenditure is provided in SOPS note 3.1. ## Sops1.3 Capital Grants Grant expenditure used for capital purposes is treated as capital (CDEL) items in the Statement of Parliamentary Supply. Under IFRS, as applied by the FReM, there is no distinction between capital grants and other grants, and they score as an item of expenditure in the Consolidated Statement of Comprehensive Net Expenditure. ## Sops1.4 Non Voted Totals This relates to the United Kingdom's contribution to the European Union's development budget as a member state. It is accounted for in the Consolidated Statement of Parliamentary Supply as the propor tion of the EU attribution that applies to EU development related activity. All cash settlements are made by HM Treasury directly. ## Sops1.5 Prior Period Adjustments (Ppas) PPAs resulting from an error in previous recording, or from an accounting policy change initiated by the Depar tment, need to be voted by Parliament in the current year, whereas in IFRS-based accounts (IAS 8), which includes accounts prepared under the FReM, they are treated as adjustments to previous years. PPAs resulting from a change in accounting policy brought in by a new or modified accounting standard are not included in Estimates, so there is no misalignment. ## Sops1.6 Receipts In Excess Of Hm Treasury Agreement This applies where HM Treasury has agreed a limit to income retainable by the Depar tment, with any excess income scoring outside of budgets, and consequently outside of the Statement of Parliamentary Supply. IFRS-based accounts will record all of the income, regardless of the budgetary limit. This situation may arise in the following areas: (i) profit on disposal of assets; (ii) income generation above depar tment Spending Review settlements; and (iii) income received above netting-off agreements ## Sops1.7 Provisions - Administration And Programme Expenditure Provisions recognised in IFRS-based accounts are not recognised as expenditure for National Accounts purposes until the actual payment of cash (or accrual liability) is recognised. To meet the requirements of both resource accounting and National Accounts, additional data entries are made in the Statement of Parliamentary Supply across AME and DEL control totals, which do not affect the Statement of Comprehensive Net Expenditure. As the Administration control total is a sub-category of DEL, Administration and Programme expenditure repor ted in the Statement of Parliamentary Supply will differ from that repor ted in the IFRS-based accounts. ## Sops2 Net Outturn Sops2.1 Analysis Of Net Resource Outturn By Section Outturn Estimate Outturn Administration Gross Programme Net total compared to Estimate, adjusted for virements Net total compared to Estimate Income Net Gross Income Net Total Net Total Total Spending in Departmental Expenditure Limit Voted: - - - - - - 39,893 39,893 39,893 - A: Depar tmental Unallocated Provision - - 1,769 22,311 - 22,311 24,080 37,454 13,374 1,374 20,633 B: CSC (NDPB) scholarships relating to developing countries 1,769 - - 575,146 (38) 575,108 575,108 697,968 122,860 67,038 419,247 C: Wealth Creation - - - 271,311 271,311 271,311 305,355 34,044 4,044 268,620 D: Climate Change - - - 735,506 (1) 735,505 735,505 663,922 (71,583) - 696,928 E: Governance and Security - - - 4,296,887 (895) 4,295,992 4,295,992 4,377,613 81,621 21,621 2,388,532 F: Direct Delivery of Millennium Development Goals - - - 1,262,056 - 1,262,056 1,262,056 1,157,483 (104,573) - 1,333,672 G: Global Par tnerships - (6,091) 113,728 125,617 (65) 125,552 239,280 247,019 7,739 7,739 236,269 H: Total Operating Costs 119,819 - - (19,858) (2) (19,860) (19,860) 1,675 21,535 1,535 (13,291) I: Central Programmes - - - 29,416 - 29,416 29,416 27,250 (2,166) - 18,892 J: Joint Conflict Pool - - 476 3,177 3,177 3,653 4,256 603 103 2,914 K: Independent Commission for Aid Impact (NDPB) (net) 476 Non–Voted Expenditure: - - 671,838 - 671,838 671,838 910,000 238,162 238,162 757,245 L: European Union Attributed Aid - (6,091) 115,973 7,973,407 (1,001) 7,972,406 8,088,379 8,469,888 381,509 381,509 6,129,661 Total Spending in DEL 122,064 Annually Managed Expenditure Voted - - 38,124 (53) 38,071 38,071 (1,492) (39,563) - (2,084) M: Wealth Creation - - - 3,774 (5) 3,769 3,769 158,105 154,336 114,056 156,067 N: Direct Delivery of Millennium Development Goals - - - (2,722) - (2,722) (2,722) (3,439) (717) - (3,748) O: Total Operating Costs - - - 9,320 - 9,320 9,320 38,350 29,030 8,473 (11,645) P: Central Programmes - - - 20,557 - 20,557 20,557 - (20,557) - - Q: Climate Change - - - 69,053 (58) 68,995 68,995 191,524 122,529 122,529 138,590 Total Spending in AME - (6,091) 115,973 8,042,460 (1,059) 8,041,401 8,157,374 8,661,412 504,038 504,038 6,268,251 Total 122,064 | 2013–14 | 2012–13 | |------------|------------| | £000 | £000 | | | | | | | ## Sops2.2 Analysis Of Net Capital Outturn By Section | | | | | | | 2013–14 | 2012–13 | |--------------------------|-----------------|-----------|-----------|-----------|-----------|-----------|-----------| | | | | | | | £000 | £000 | | | Outturn | Estimate | Outturn | | | | | | Gross | Income | Net | Net | | | | | | Net total | | | | | | | | | compared | | | | | | | | | to Estimate, | | | | | | | | | adjusted for | | | | | | | | | virements | | Net | | | | | | | Spending in | | | | | | | | | Departmental | | | | | | | | | Expenditure Limit | | | | | | | | | | | | | | | | | | | | | | | | | | | Voted: | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | A: | | | | | | | | | | Departmental | | | | | | | | Unallocated Provision | | | | | | | | | - | - | - | - | - | - | - | | | B: | CSC (NDPB) | | | | | | | | scholarships relating to | | | | | | | | | developing countries | | | | | | | | | - | - | - | - | - | - | - | | | C: Wealth Creation | 302,403 | - | 302,403 | 409,044 | 106,641 | 19,409 | 194,279 | | D: Climate Change | 75,354 | - | 75,354 | 107,461 | 32,107 | - | 54,295 | | E: | Governance and | | | | | | | | Security | | | | | | | | | 11,086 | - | 11,086 | 10,271 | (815) | - | 13,808 | | | F: | Direct Delivery | | | | | | | | of Millennium | | | | | | | | | Development Goals | | | | | | | | | 51,483 | - | 51,483 | 62,607 | 11,124 | 124 | 70,115 | | | G: Global Partnerships | 1,508,583 | - | 1,508,583 | 1,379,059 | (129,524) | - | 1,315,993 | | H: Total Operating Costs | - | - | - | - | - | - | - | | I: Central Programmes | 13,716 | (17,041) | (3,325) | 1,000 | 4,325 | 4,325 | 4,724 | | J: Joint Conflict Pool | - | - | - | - | - | - | - | | K: | Independent | | | | | | | | Commission for Aid | | | | | | | | | Impact (NDPB) (net) | - | - | - | - | - | - | - | | | | | | | | | | | | | | | | | | | | Non-Voted | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | L: | European Union | | | | | | | | Attributed Aid | - | - | - | - | - | - | - | | | | | | | | | | | | | | | | | | | | Total Spending in DEL | | | | | | | | | 1,962,625 | (17,041) | 1,945,584 | 1,969,442 | 23,858 | 23,858 | 1,653,214 | | | | | | | | | | | | | | | | | | | | | Annually Managed | | | | | | | | | Expenditure: | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | Voted | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | M: Wealth Creation | - | - | - | - | - | - | - | | N: | Direct Delivery | | | | | | | | of Millennium | | | | | | | | | Development Goals | - | - | - | - | - | - | - | | O: Total Operating Costs | - | - | - | - | - | - | - | | P: Central Programmes | - | - | - | - | | | | | - | - | - | | | | | | | Total spending in AME | | | | | | | | | - | - | - | - | - | - | - | | | | | | | | | | | | | | | | | | | | | Total | 1,962,625 | (17,041) | 1,945,584 | 1,969,442 | 23,858 | 23,858 | 1,653,214 | | | | | | | | | | Net total compared to Estimate ## Sops3 Reconciliation Of Outturn To Net Operating Cost And Against Administration Budget Sops3.1 Reconciliation Of Net Resource Outturn To Net Operating Cost | | Total resource outturn in Statement of | |-----------------------------------------------|-------------------------------------------| | Parliamentary Supply | | | Budget | 8,157,374 | | Non-budget | | | - | - | | Less: | | | Income payable to the Consolidated Fund | (86) | | Programme Capital | 1,813,003 | | Capital Grant in Kind | - | | Gain on disposal of Actis | - | | Non-voted | | | (1) | | | EU attribution | (671,838) | | Net operating costs in consolidated statement | | | of comprehensive net expenditure | 9,298,453 | 1 Non-voted represents EU attribution - in line with FReM rules on activities charged directly, the Consolidated Statement of Comprehensive Net Expenditure does not include amounts attributed to DFID to reflect spending on development activities by the EC from their budget. HM Treasury regulations do, however, require this expenditure to be included as budget outturn and as such it is incorporated within the Statement of Parliamentary Supply as non-voted resource outturn. ## Sops3.2 Outturn Against Final Administration Budget And Administration Net Operating Cost | Estimate - Administration costs limit | 123,600 | |------------------------------------------|------------| | Outturn - Gross Administration Costs | | | Outturn - Gross Income relating to | | | administration Costs | | | Outturn - Net administration costs | 4 | | Reconciliation to operating costs: | | | Less: Non-cash items | | | Administration Net Operating Costs | | | 2013–14 | 2012–13 | |------------|------------| | £000 | £000 | | Note | Outturn | | 8,157,374 | 6,268,251 | | 1,141,079 | 807,206 | | 2013–14 | | | 2012–13 | | | Note | | | £000 | | | Outturn | | | £000 | | | Outturn | | | 122,064 | 134,916 | | (6,091) | (7,101) | | 115,973 | 127,815 | | (2,661) | (16,653) | | 113,312 | 111,162 | ## Sops4 Reconciliation Of Net Resource Outturn To Net Cash Requirement Resource outturn SOPS2.1 8,661,412 8,157,374 504,038 Capital outturn SOPS2.2 1,969,442 1,945,584 23,858 Accruals to cash adjustments: Adjustments to remove non-cash items: Depreciation (21,000) (12,264) (8,736) New Provisions (268,525) (140,091) (128,434) Departmental unallocated provision 1,544 - 1,544 Other non-cash items (38,500) (70,167) 31,667 Adjustments for NDPBs: Remove voted resource and capital (41,710) (27,733) (13,977) Add cash grant-in-aid 41,710 27,733 13,977 Adjustments to reflect movements in working balances Increase in receivables - 106,856 (106,856) Increase in payables - (809,864) 809,864 Use of provisions 113,197 115,157 (1,960) Removal of non-voted budget items: Consolidated Fund Standing Services (910,000) (671,838) (238,162) Net cash requirement 9,507,570 8,620,747 886,823 ## Sops5 Income Payable To The Consolidated Fund In addition to income retained by the Department, the following income relates to the Department and is payable to the Consolidated Fund (cash receipts being shown in italics). Operating income outside the ambit of the Estimate (86) (86) (5,893) (5,893) Excess cash surrenderable to the Consolidated Fund - – – - Total income payable to the Consolidated Fund (86) (86) (5,893) (5,893) | Estimate | Outturn | |-------------------|-----------------| | Net total outturn | | | compared with | | | Estimate: saving/ | | | (excess) | | | Note | £000 | | | | | 10,417,570 | 9,292,585 | | Outturn 2013–14 | Outturn 2012–13 | | £000 | £000 | | Income | | | Receipts | | | Income | | | Receipts | | ## Consolidated Statement Of Comprehensive Net Expenditure For The Year Ended 31 March 2014 | | | | |---------------------------------------|-----------------------------------------|------------------------------------------| | | | | | | | | | | Note | DFID | | | | | | Administration costs | | | | | | | | Staff costs | 3 | 67,548 | | Other costs | 4 | 52,746 | | Income | 6 | (6,091) | | | | | | Programme expenditure | | | | | | | | | | | | Staff costs | 3 | 78,283 | | Other costs | 5 | 9,083,031 | | Income | 6 | (1,144) | | | | | | Grant in aid to NDPBs | | | | | | | | | | | | Administration grant in aid | 23 | 1,761 | | | | | | Programme grant in aid | 23 | 21,948 | | | | | | | | | | Net Operating Cost for the year ended | | | | 31 March | 9,298,082 | 9,298,453 | | | | | | | | | | | | | | | | | | Total expenditure | 9,305,317 | 9,305,688 | | Total income | 6 | (7,235) | | Net Operating Cost for the year ended | | | | 31 March | 9,298,082 | 9,298,453 | | | | | | | | | | | | | | Other Comprehensive Net Expenditure | | | | | | | | | | | | | | | | Net (gain)/loss on: | | | | | | | | | - revaluation of property, vehicles and | | | equipment | 20 | 221 | | | | | | | - revaluation of Programme Capital | | | Investments | 20 | 359 | | | | | | | | - revaluation of International Financial | | Institutions | 20 | 73,669 | | | | | | | | | | - revaluation of investment in CDC | 20 | | | | - openng adjustment as at 1 April 2012 | | | - Current year adustment | (120,900) | | | | | | | | | | | Total Comprehensive Expenditure for | | | | the year ended 31 March | | | | 9,251,431 | 9,251,802 | 5,040,135 | The notes on pages 180 to 221 form par t of these accounts. | 2013–14 | 2012–13 | |--------------|------------| | £000 | £000 | | (Restated) | | | Departmental | (Restated) | | - | - | | (120,900) | (227,800) | ## Consolidated Statement Of Financial Position | 31 March 2014 | 31 March 2013 | 1 April 2012 | |-------------------------------|--------------------------|-----------------| | Departmental | Departmental | | | Departmental | DFID | Group | | | | | | | | | | | | | | | | | | Note | DFID | Group | | £000 | £000 | £000 | | Non-current assets | | | | | | | | Property | , vehicles and equipment | 7 | | Intangible assets | 8 | 21,753 | | Financial assets | 11 | 6,229,249 | | Trade and other receivables | 13 | 69,973 | | | | | | Total non-current assets | | | | 6,441,067 | 6,441,067 | 6,337,984 | | | | | | Current assets | | | | | | | | Financial assets | - | - | | Trade and other receivables | 13 | 138,003 | | Cash and cash equivalents | 12 | 24,109 | | | | | | Total current assets | | | | 162,112 | 162,724 | 126,221 | | | | | | Total assets | 6,603,179 | 6,603,791 | | | | | | | | | | | | | | Current liabilities | | | | | | | | Trade and other payables | 14 | (3,882,589) | | Provisions | 15 | (152,383) | | Bank Overdraft | 12 | - | | | | | | | | | | Total current liabilities | | | | (4,034,972) | (4,035,272) | (3,186,336) | | | | | | Non-current assets less net | | | | current liabilities | 2,568,207 | 2,568,519 | | | | | | | | | | Non-current liabilities | | | | | | | | Provisions | 15 | (1,014,385) | | Other payables | 14 | - | | | | | | Total non-current liabilities | | | | [1] | | | | (1,014,385) | (1,014,385) | (1,093,581) | | | | | | Total assets less liabilities | 1,553,822 | 1,554,134 | | | | | | | | | | | | | | Taxpayers' equity and other | | | | reserves: | | | | | | | | General Fund | | | | [1] | | | | 19 | (2,399,635) | (2,399,323) | | Revaluation reserve | 20 | 3,953,457 | | Total equity | 1,553,822 | 1,554,134 | | | | | [1] The Depar tment's net current liabilities and negative General Fund reflect the inclusion of liabilities falling due in future years. Under the Government Resources and Accounts Act 2000, no money may be drawn from the fund other than that required for the service of the specified year. In common with other government depar tments, the future financing of DFID's liabilities is to be met by future grants of supply and application of future income, both to be approved annually by Parliament. Such approval for 2013–14 amounts has already been provided and there is no reason to believe the allocation for 2014–15, 2015–16 and beyond will not be for thcoming. It has accordingly been considered appropriate to adopt a going concern basis for the preparation of these statements. Mark Lowcock Accounting Officer for the Depar tment for International Development 4 July 2014 The notes on pages 180 to 221 form par t of these accounts. ## Consolidated Statement Of Cash Flows For The Year Ended 31 March 2014 2013–14 £000 2012–13 £000 Note Cash flows from operating activities 21.1 (8,547,871) (6,671,464) Cash flows from investing activities 21.2 (74,223) (82,281) Cash flows from financing activities 21.3 8,699,262 6,716,689 Net increase/(decrease) in cash and cash equivalents in the period before adjustment for receipts and payments to the Consolidated Fund 77,168 (37,056) Payment of amounts due to the Consolidated Fund (5,836) (8,058) Net increase/(decrease) in cash and cash equivalents in the period after adjustment for receipts and payments to the Consolidated Fund 71,332 (45,114) Cash and cash equivalents at the beginning of the period 12 (46,611) (1,497) Cash and cash equivalents at the end of the period 12 24,721 (46,611) The notes on pages 180 to 221 form par t of these accounts. ## Consolidated Statement Of Changes In Taxpayers' Equity For The Year Ended 31 March 2014 | DFID | DFID | DFID | |----------------------------------------|-------------|-----------------------------------| | | | General | | Fund | | | | Revaluation | | | | reserve | | | | Note | | | | £000 | £000 | £000 | | | | | | (Restated) | (Restated) | (Restated) | | | | | | Balance at 31 March 2012 | | (1,403,265) | | | | | | | | | | | | | | Impact of prior year restatement | 20 | - | | | | | | Restated balance at 1 April 2012 | (1,404,031) | 3,708,063 | | 19 | 6,706,813 | - | | 19 | 54,370 | - | | 54,370 | | | | Net Parliamentary Funding - drawn down | | | | Supply payable adjustment | | | | CFERs payable to the Consolidated Fund | | | | 19 | (5,893) | - | | (5,893) | | | | | | | | Comprehensive Net Expenditure for | | | | the year | 19, 20 | (7,075,374) | | Impact of prior year restatement | 20 | - | | | | | | | | | | Non-cash adjustments: | | | | Non-cash charges - auditor's | | | | remuneration | 4 | 265 | | | | | | | | | | Movements in reserves | | | | Realised element to General Fund | 19, 20 | 89 | | | | | | Restated balance at 31 March 2013 | (1,723,761) | 3,908,049 | | | | | | | | | | | | | | Net Parliamentary Funding - drawn down | | | | 19 | 8,699,263 | - | | Net Parliamentary Funding - deemed | | | | (54,370) | - | (54,370) | | Supply payable adjustment | | | | 19 | (24,107) | - | | CFERs payable to the Consolidated | | | | Fund | | | | 19 | (86) | - | | (86) | - | (86) | | | | | | | | Comprehensive Net Expenditure for | | the year | 19, 20 | (9,298,082) | | | | | | Non-cash adjustments: | | | | | | | | Non-cash charges - auditor's | | | | remuneration | 4 | 265 | | | | | | Movements in reserves | | | | | | | | Realised element to General Fund | | | | 19, 20 | 1,243 | (1,243) | | | | | | | | | | Balance at 31 March 2014 | | | | | | | | | | | | (2,399,635) | 3,953,457 | 1,553,822 | The notes on pages 180 to 221 form par t of these accounts. Departmental Group Departmental Group Departmental Group Total reserves Total reserves General Fund Revaluation reserve (Restated) (Restated) (Restated) 1,872,899 469,634 - 1,835,164 1,835,164 (1,403,265) 3,708,063 2,304,798 89 (89) - (1,723,078) 3,908,049 2,184,971 8,699,263 - 8,699,263 (54,370) - (54,370) 1,243 (1,243) - (2,399,323) 3,953,457 1,554,134 ## Notes To The Departmental Accounts 1. Statement Of Accounting Policies These financial statements have been prepared in accordance with the 2013–14 Government Financial Repor ting Manual (FReM), issued by HM Treasury. The accounting policies contained in the FReM apply International Financial Repor ting Standards (IFRS) as adapted or interpreted for the public sector context. Where the FReM permits a choice of accounting policy, the policy which is judged to be most appropriate to the par ticular circumstances of DFID for the purpose of giving a true and fair view has been selected. The par ticular policies adopted by the Depar tment are described below. These have been applied consistently in dealing with items that are considered material to the accounts. In addition to the primary statements prepared under IFRS, the FReM also requires the Depar tment to prepare a Statement of Parliamentary Supply with suppor ting notes show outturn against Estimate in terms of the net resource requirement and the net cash requirement. These financial statements have been prepared in accordance with the Government Resources and Accounts Act 2000. ## 1.1 Accounting Convention These accounts have been prepared on a going concern basis under the historical cost convention, modified to account for the revaluation of non-current assets at their value to DFID by reference to their current costs or fair value as appropriate. The justification for preparing these accounts on a going concern basis is set out within note 19 to these accounts. ## 1.2 Basis Of Consolidation These accounts comprise a consolidation of DFID and those entities which fall within its depar tmental boundary, as defined in the FReM, and make up the Depar tmental Group. Transactions between entities included in the consolidation are eliminated. A list of all those entities within the depar tmental boundary is provided at note 23. ## 1.3 Coverage Of Accounts These accounts cover the activities of DFID and its 2 non-depar tmental public bodies only, the Commonwealth Scholarship Commission (CSC) and Independent Commission for Aid Impact (ICAI). DFID is the sponsor depar tment for CDC Group plc (CDC), a self-financing public corporation, wholly owned by DFID. CDC is not consolidated in these accounts as, under FReM rules, public corporations are outside the depar tmental resource accounting boundary. DFID's 100% ownership interest in CDC is recognised in non-current asset investments. In line with FReM rules on activities which are charged directly to depar tments' expenditure, the primary statements in these accounts do not include amounts attributed to DFID in relation to spending on development activities by the European Union (EU) from the EU budget. The Statement of Parliamentary Supply does, however, include this expenditure when calculating resource outturn for the year under review. As a result this expenditure is included within both note SOPS2 and SOPS3, detailing the calculation between Resource Outturn for the year and the total included in the Consolidated Statement of Comprehensive Net Expenditure. ## 1.4 Operating Income Operating income principally comprises rental income, loan interest and profits on disposal of non-current assets. It includes both income appropriated-in-aid and income to be surrendered to the Consolidated Fund, which HM Treasury has agreed should be treated as operating income under the ambit of the Depar tment. All income is accounted for on an accruals basis. ## 1. Statement Of Accounting Policies (Continued) 1.5 Administration And Programme Expenditure The Consolidated Statement of Comprehensive Net Expenditure is analysed between administration and programme income and expenditure. The classification of expenditure and income as administration or as programme follows the definition of administration costs set out in Consolidated Budgeting Guidelines by HM Treasury. Administration costs and income reflect the costs of running the Depar tment. Programme costs reflect non-administrative costs, including payments of grants and other disbursements by the Depar tment and cer tain staff costs where they relate directly to ser vice delivery. ## 1.6 Grants Payable Grants payable are recorded as expenditure in the period in which the underlying event or activity giving entitlement to the grant occurs. Where the period to which the payments are to be applied is clearly defined, the appropriate resource adjustments are made. Where grants are made to governments or international organisations and UK contributions are pooled and cannot be matched directly with par ticular activities, expenditures are recognised in the period when agreed conditions for payment have been met. In cer tain cases, grant contributions to international organisations are made in the form of promissory notes. The full amount of the promissory note is recognised as an expense in the period in which the note is deposited. Amounts not drawn down in cash from promissory notes at the Consolidated Statement of Financial Position date are included in 'Trade and other payables'. ## 1.7 Research And Development Expenditure by DFID from programme budgets in support of research and development is charged to the Consolidated Statement of Comprehensive Net Expenditure in the period in which it is incurred, unless it meets the criteria for capitalisation as defined in International Accounting Standard 38. ## 1.8 Value Added Tax (Vat) Income and expenditure is shown net of VAT where output tax is charged or input tax is recoverable. Irrecoverable VAT incurred is included within the overall cost of purchases. Amounts owed by HM Revenue and Customs for EC VAT at the Consolidated Statement of Financial Position date are included in 'Trade and other receivables'. ## 1.9 Foreign Exchange Transactions denominated in foreign currency are accounted for at the sterling equivalent at the exchange rate ruling at the date of each transaction. Monetary assets and liabilities denominated in foreign currency are translated into sterling at the exchange rates ruling at the Consolidated Statement of Financial Position date. Differences on translation of realised balances are recognised as operating costs within the Consolidated Statement of Comprehensive Net Expenditure. ## 1.10 Pensions Past and present home civil servants are covered by the provisions of the Principal Civil Service Pension Scheme (PCSPS) which is a multi-employer defined benefit scheme and is unfunded, except in respect of dependants' benefits. DFID recognises the expected cost of these elements on a systematic and rational basis over the period which benefits from employees' services by payment to the PCSPS of amounts calculated on an accruing basis. Liability for payment of future benefits is a charge on the PCSPS. The Depar tment recognises the contributions payable for the year in respect of defined contribution schemes, in accordance with IAS 19. Details of rates and amounts of contributions during the year are given in note 3. The PCSPS is an unfunded multi-employer defined benefit scheme, however, DFID is unable to identify its share of the underlying assets and liabilities. ## 1. Statement Of Accounting Policies (Continued) 1.11 Property, Vehicles And Equipment Title to freehold land and buildings is held in the name of, or on behalf of, the Secretary of State for International Development. Land and buildings are shown at current replacement cost based on professional valuations carried out at not more than 5 year intervals with the exception of the valuation of a leasehold related asset as discussed at note 7. As there are no indices available to update the historic cost between valuation points, land and buildings are held at depreciated revalued cost based on the previous revaluation. Refurbishments to freehold and leasehold proper ties are capitalised at the actual costs incurred, where these extend the useful life or functionality of the underlying leased asset. Equipment used for general administration purposes are recognised as assets, including any costs associated with bringing them into working condition. Therefore, asset costs include salaries and expenses of depar tmental staff arising directly from the development, construction and acquisition of the asset. Proper ty, vehicles and equipment do not include items purchased from programme expenditure to benefit overseas governments and others where the intention is that ownership will fall to the third par ties. Proper ty, vehicles and equipment are capitalised above a threshold of £1,000 for individual assets. Items of office and domestic furniture and IT equipment, some of which may individually cost less than £1,000, are capitalised on a grouped basis. Assets under construction are capitalised on the basis of actual costs incurred during the period until the work is completed when the asset is deemed available for use and reclassified accordingly. Non-current assets are valued at current replacement cost, which is deemed representative of fair value. Current replacement cost is updated quar terly based on monthly indices provided by the Office for National Statistics website, except in relation to freehold land and buildings, for which appropriate indices are not available. As explained above, any surplus on revaluation is recognised directly in the revaluation reser ve, except to the extent that the surplus reverses a previous revaluation deficit on the same asset which was previously recognised in the Consolidated Statement of Comprehensive Net Expenditure. In such circumstances the resulting credit is recognised in the Consolidated Statement of Comprehensive Net Expenditure. Any deficit on revaluation is recognised in the Consolidated Statement of Comprehensive Net Expenditure, except to the extent that it reverses a previous revaluation surplus on the same asset, in which case it is taken directly to the revaluation reser ve. ## 1.12 Depreciation Freehold land is not depreciated. Depreciation is provided on other proper ty, vehicles and equipment on a straight line basis over the remaining useful lives of the assets. Depreciation on assets under construction, including improvements to leaseholds, is provided from the point at which these come into use. The useful lives for main asset categories are as follows: | | Office accommodation (freeholds) | 30 years | |---------------------------|--------------------------------------|-------------| | Domestic proper | ty (freeholds) | 20 years | | Improvements to freeholds | 15 years | | | Leasehold-related assets | Over the remaining term of the lease | | | Motor vehicles | 5 years | | | Furniture and equipment | Mainly at 5 and 10 years | | | IT equipment | 1 to 8 years | | ## 1.13 Intangible Assets Intangible assets comprise software licences and IT systems, and are valued at current replacement cost, which is deemed representative of fair value. Any surplus on revaluation is recognised directly in the revaluation reser ve, except to the extent that the surplus reverses a previous revaluation deficit on the same asset which was previously recognised in the Consolidated Statement of Comprehensive Net Expenditure. In this circumstance, the credit to that extent is recognised in the ## 1. Statement Of Accounting Policies (Continued) 1.13 Intangible Assets (Continued) Consolidated Statement of Comprehensive Net Expenditure. Any deficit on revaluation is recognised in the Consolidated Statement of Comprehensive Net Expenditure, except to the extent that it reverses a previous revaluation surplus on the same asset, in which case it is taken directly to the revaluation reser ve. Amor tisation is provided on a straight line basis as follows: | Software licences | Over the life of the licence (1 to 8 years) | |-----------------------|---------------------------------------------------| | IT systems | Over individually assessed estimated useful lives | | (1 to 8 years) | | ## 1.14 Financial Instruments IFRS 7 *Financial Instruments: Disclosures* requires disclosures in the accounts that enable users to evaluate the significance of financial instruments to the financial position and performance. Fur thermore, it requires the disclosure of the nature and extent of risks arising from financial instruments to which DFID is exposed during the year and at the financial year end, and requires the explanation of how those risks are managed. Financial assets and liabilities are recognised when the Depar tment becomes par ty to the contracts that give rise to them and conditions satisfying recognition are met. These are derecognised when the right to receive cash flows has expired or where the Depar tment has transferred substantially all the risks and rewards of ownership or control of the asset. In order to gain greater budget cer tainty in relation to a par ticular programme, DFID mitigates the effects of potential falls in the value of sterling by taking out forward contracts to meet future currency requirements where considered appropriate. Such contracts are held in the Consolidated Statement of Financial Position at fair value, based on external valuations at the Statement of Financial Position date. Gains or losses in respect of forward currency purchases are recognised through the Consolidated Statement of Comprehensive Expenditure. DFID does not enter forward currency contracts to provide an accounting hedge and, in accordance with Treasury guidelines, hedge accounting has not been applied. All other financial assets and liabilities that are not separately disclosed in the accounting policy are recorded at amor tised cost using the effective interest method. ## 1.15 Investments International Financial Institutions (Ifis) Investments include the United Kingdom interest in cer tain International Financial Institutions (IFIs). Shares in these bodies are not traded securities. IFIs play an integral role in delivering DFID's objectives and as such, the value of the Depar tment's interest in these institutions is qualitative rather than quantitative. These investments are recognised at cost and subsequently measured at fair value. In the absence of market values an approximation of the fair value of DFID's interests in IFIs has been assessed as the amount that DFID would receive if the institutions ceased to operate. For all IFIs, this would be DFID's share of the audited net assets of the IFI, based on shareholdings at the time of dissolution. It is considered that the net assets shown on the Statement of Financial Position of each IFI, at the date closest to year end, adjusted for known changes in ownership, represent the best estimate of the net realisable value. Increases in the value of investments, including those arising from translation to sterling of underlying values of foreign currency denominated investments or from market movements affecting the valuation, are taken to the revaluation reser ve. Reductions in value are taken to the revaluation reser ve to the extent that value is no lower than that the carrying amount at initial recognition to the Statement of Financial Position. Impairments below this cost are charged to the Consolidated Statement of Comprehensive Net Expenditure. ## 1. Statement Of Accounting Policies (Continued) 1.15 Investments (Continued) Public Corporations For financial years ending prior to 31 March 2012, in accordance with the FReM, investments in public corporations falling outside the resource accounting boundary were recognised at historical cost less any impairment. Impairments were assessed by comparing the historic cost to DFID's share of net assets, with any impairment being taken to the Consolidated Statement of Comprehensive Net Expenditure. For financial periods ending on or after 31 March 2012, in accordance with the FReM, investments in public corporations falling outside the resource accounting boundary are recognised at fair value. Subsequent to the initial recognition, gains and losses on the fair value of the investment at each Statement of Financial Position date are repor ted through the revaluation reser ve, with any impairment to the fair value and foreign exchange losses recognised immediately within the Consolidated Statement of Comprehensive Net Expenditure. As at 31 March 2014, DFID elected to retrospectively apply the change in accounting policy for the financial years ending 31 March 2012 and 31 March 2013. ## Other Investments Other equity investments and cer tain 'returnable grant' arrangements are recognised at fair value at the Statement of Financial Poistion date. Subsequent gains and losses on the fair value at each Statement of Financial Position date are repor ted through the revaluation reser ve, with any impairment to the fair value and foreign exchange losses recognised within the Consolidated Statement of Comprehensive Net Expenditure. The valuation methodology for programme funded investments depends on the nature of the investment and will vary from programme to programme. ## 1.16 Long Term Loans In accordance with IAS 39, long term loans and receivables have been valued at amor tised cost based on expected future cash flows, net of provisions. The discount rate applied to future cash flows to calculate amor tised cost is the higher of the long term interest rate set by HM Treasury or the rate intrinsic to each agreement. Provisions applied include amounts which the UK has formally agreed will not be repaid. Repayments forecast to be made within one year are included in current assets (note 13.1). ## 1.17 Impairment Of Financial Assets The Depar tment assesses at each Statement of Financial Position date whether there is objective evidence that financial assets are impaired as a result of events that occurred after the initial recognition of the asset and prior to the Statement of Financial Position date. If such events are considered to have an impact on the estimated future cash flows of the financial instrument then the asset is impaired. For the purposes of a collective evaluation of impairment, financial assets are grouped on the basis of similar risk characteristics, taking into account instrument types and other relevant factors. These characteristics are relevant to the estimation of future cash flows for groups of such assets by being indicative of the counterpar ty's ability to pay all amounts due according to the terms of the asset being evaluated. The amount of impairment loss is measured as the difference between the asset's carrying amount and the present value of estimated future cash flows discounted at the effective interest rate set at inception. Future cash flows for a group of financial instruments that are collectively evaluated for impairment are estimated on the basis of expected cash flows for the assets and historical loss experience for assets with credit risk characteristics similar to those in the group. Where the time value of money is material, financial assets are stated at discounted amounts using the real discount rate, adjusted for inflation, set by HM Treasury. ## 1. Statement Of Accounting Policies (Continued) 1.18 Leases Where substantially all risks and rewards of ownership of a leased asset are borne by DFID, the asset is recorded as a non-current asset with a corresponding liability recorded representing the net present value of the payments obligation to the lessor. Net present value is calculated as the value of the minimum lease payments discounted by the interest rate implicit in the lease. The interest element of the finance lease payment is charged to the Consolidated Statement of Comprehensive Net Expenditure over the period of the lease at a constant rate in relation to the balance outstanding. Other leases are classed as operating leases and the rentals are charged to the Consolidated Statement of Comprehensive Net Expenditure over the term of the lease. No ownership rights are awarded and therefore no assets or liabilities are recorded within the Consolidated Statement of Financial Position. ## 1.19 Cash And Cash Equivalents Cash comprises cash on hand with UK and overseas banks and demand deposits at the Statement of Financial Position date. Cash equivalents comprise any assets considered by management to be readily conver tible to cash, due to their highly liquid and shor t term nature, by way of a readily available market for sale. ## 1.20 Provisions DFID provides for legal and constructive obligations, related to past events, where the obligations are of uncer tain timing or value at the Statement of Financial Position date. Such provisions are based on the best estimate of the expenditure required to settle the obligation. Where the time value of money is material, provisions are stated at discounted amounts using the real discount rate, adjusted for inflation, set by HM Treasury. ## 1.21 Early Retirement Costs DFID meets the additional costs of benefits, beyond the normal PCSPS benefits in respect of employees who retire early, by paying the required amounts annually to the PCSPS, over the period between early retirement and normal retirement date. These costs are provided in full as an expense in the Consolidated Statement of Comprehensive Net Expenditure (within programme costs) when early retirements have been agreed and arrangements are binding. Liability for future payments is shown under provisions. Where the provision for employee exit costs is significant/material, the FReM requires that the cash flows are discounted. Amounts provided in year and held within the provisions balance at year end are neither significant nor material. ## 1.22 Contingent Assets And Liabilities In addition to contingent liabilities disclosed in accordance with IAS 37, the Depar tment discloses for Parliamentary repor ting and accountability purposes cer tain statutory and non-statutory contingent liabilities where the likelihood of a transfer of economic benefit is remote, but which have been repor ted to Parliament in accordance with the requirements of 'Managing Public Money'. Where the time value of money is material, contingent liabilities which are required to be disclosed under IAS 37 are stated at discounted amounts and the amount repor ted to Parliament separately noted. Contingent liabilities that are not required to be disclosed by IAS 37 are stated at the amounts repor ted to Parliament. The Depar tment discloses a contingent asset where it is probable there will be an inflow of economic benefits from a past event, but where the outcome (timing and/or value) is uncer tain. An estimate of the financial effect is indicated, where possible. ## 1. Statement Of Accounting Policies (Continued) 1.23 Third Party Assets Cash balances in the primary statements exclude amounts held for third par ties as custodian or trustee but in which neither DFID nor the UK government more generally has a direct beneficial interest. Amounts of this nature held at the Statement of Financial Position date are disclosed in note 22. ## 1.24 Critical Accounting Judgements The Accounting Officer, in preparing the Accounts, is required to select suitable accounting policies, apply them consistently and make estimates and assumptions that are reasonable and prudent. These judgements and estimates are based on historical experience and other factors considered relevant. Actual results may differ from these estimates and assumptions. Critical accounting estimates are those which involve the most complex or subjective judgements or assessments. The areas of DFID's business that typically require such estimates in implementing the accounting policies set out above are explained in more detail below. ## (A) Useful Lives Of Property, Vehicles And Equipment And Intangible Non-Current Assets DFID's management annually reviews and re-affirms the appropriateness of the useful lives of tangible and intangible assets for the purposes of applying depreciation. ## (B) Impairment Review Of Property, Vehicles And Equipment And Intangible Assets Assets categorised as Land, Buildings and Dwellings, Leasehold Proper ty and Assets under Construction are recorded at depreciated historic cost. All other assets are recorded at depreciated current cost. Indexation factors are obtained from the Office for National Statistics for those assets recorded at current cost. Each year DFID carries out a review of carrying value to assess indications of impairment. ## (C) Impairment Review Of Financial Assets DFID carries out an annual impairment review of the carrying value of its financial assets. Details of this policy are set out in note 1.17. ## (D) Provisions Against Long Term Loans And Receivables Long term loan balances are held with a number of overseas governments and organisations. DFID carries out an annual review to assess the expected amounts receivable against the carrying value of loans outstanding, giving consideration to factors affecting recoverability such as political matters, for example stability within the recipient country, or economic developments and progress towards debt reduction initiatives such as the Paris Club or the Heavily Indebted Poor Countries (HIPC) Initiative. Where there is a likelihood that the full carrying value may not be received, a provision is made against the carrying value of the amount due and balances repor ted in the accounts to the extent that the outstanding amount will not be recovered. Details of this policy are set out in note 1.17. ## 1.25 Effects Of Future Accounting Policies The following is a list of changes to IFRS that have been issued but which were not effective in the repor ting period: Annual improvements to IFRS (including IFRS 13 Fair value measurement, IAS 16 Proper ty , plant and equipment and IAS 24 Related party disclosures) will be effective for financial repor ting periods beginning on or after 1 July 2014. The Depar tment is currently assessing the impact of these improvements but, based on preliminary analysis, it is not expected to be material. IFRS 9 Financial Instruments is expected to be effective for financial repor ting periods beginning on or after 1 January 2018. The new standard simplifies the classification and measurement of financial assets, previously repor ted under *IAS 39 Financial Instruments: Recognition and Measurement*, and will have a material effect on the disclosure and measurement of financial assets. ## 1. Statement Of Accounting Policies (Continued) 1.26 Operating Segments IFRS 8 defines an operating segment as a component of an entity: - that engages in business activities from which it earns revenues and incurs expenditure - whose operating results are reviewed regularly by the entity's decision-makers to make decisions about resources to be allocated to the segment and assess its performance - for which discrete financial information is available DFID's structure comprises a number of divisions which are individually, and collectively, responsible for delivering the Depar tment's expected output and objectives. Each division repor ts through a Director to a Director General, who is a member of the Executive Management Committee. Budgets and resources are allocated to divisions based on operational plans. These are reviewed and signed off, firstly by the responsible Director then ultimately by the responsible Director General. The Executive Management Committee reviews a monthly finance repor t as a standing item on its agenda. This aggregates financial data for all divisions and summarises financial performance, both historical and forecast, by Director General area. As such, the divisions are considered the most appropriate operating segments for disclosure in note 2, which sets out the income and expenditure for each operating segment. ## 1.27 Changes In Accounting Policy Except for the change of accounting policy set out in note 1.15, DFID has consistently applied the accounting policies referred to above to all periods presented in these financial statements. ## 2. Statement Of Operating Costs By Operating Segment IFRS 8 requires disclosure of income and expenditure by operating segment. The basis for defining operating segments is set out in note 1.26. The standard also includes a requirement to show net assets per operating segment. The structure of DFID means that all assets included in the Statement of Financial Position are used for the general administration and benefit of DFID as a whole. As such, DFID considers the Statement of Financial Position to be centrally maintained and monitored by the Finance and Corporate Performance Division and it would therefore all fall under the repor ting line of the Director General for Corporate Performance. During 2013–14, there was a restructure carried out of divisions and as a result the operating segments differ from the prior year. ## For The Year Ended 31 March 2014 | Director General | Division | |-----------------------------------------------------------------------------|----------------------| | Corporate Performance | | | Central Department Division | | | 13,199 | (1,037) | | Business Change and Strategy Division | | | 549 | - | | Business Solutions Division Level | | | 13,583 | - | | Communications Division | | | 50,992 | - | | Finance and Corporate Performance Division | | | 10,140 | - | | Group Operations | | | 27,022 | (5,715) | | Human Resources | | | 10,897 | (31) | | Internal Audit | | | 1,426 | - | | Non-Departmental Public Body | 3,653 | | - | 3,653 | | Corporate Performance | 131,461 | | Permanent Secretary | Top Management Group | | Permanent Secretary | 3,990 | | | | | Policy and Global Programmes | Global Funds | | International Relations Division | 767,191 | | Policy Division | 755,567 | | Research and Evidence Division | 337,933 | | Policy and Global Programmes | 2,983,319 | | | | | Asia, Caribbean and Overseas Territories | | | Africa, South & East Asia, Western | | | Hemisphere | | | East and Central Africa | | | West and Southern Africa | 1,023,795 | | Western Asia Division | 471,495 | | Africa, South & East Asia, Western | | | Hemisphere | 3,546,956 | | | | | Economic Development | | | Growth and Resilience Division | 62,098 | | International Finance Division | 1,623,491 | | Trade for Development Division | 9,599 | | Economic Development | 1,695,188 | | Middle East, Humanitarian and Security Middle East, Humanitarian & Security | | | Division | 944,774 | | Humanitarian, Security and Conflict | 944,774 | | Total | 9,305,688 | Gross expenditure Income 2013–14 Net expenditure £000 £000 £000 819,688 (11) 819,677 1,231,978 (10) 1,231,968 ## 2. Statement Of Operating Costs By Operating Segment (Continued) For the year ended 31 March 2013 | Director General | Division | |-------------------------------------|----------------------------------| | e | Finance and Corporate Performanc | | Central Department Division | | | Corporate Hub | 1,378 | | Business Solutions Division Level | 16,357 | | Finance and Corporate | | | Performance Division | 14,383 | | Human Resources, Security and | | | Facilities Division | 36,721 | | Communications Division | 39,480 | | Internal Audit | 1,419 | | Non-departmental public body | | | 2,914 | - | | Finance and Corporate Performance | 209,885 | | Permanent Secretary | Top Management Group | | Permanent Secretary | | | | | | Policy and Global Programmes | International Finance Division | | Policy Division | | | International Relations Division | | | Research and Evidence Division | | | Joint Trade Policy Division | | | Policy and Global Programmes | | | | | | Country Programmes | Asia, Caribbean and Overseas | | Territories | | | East and Central Africa | | | West and Southern Africa | | | Country Programmes | | | | | | Humanitarian, Security and Conflict | Conflict, Humanitarian and | | Security Division | | | Middle East and North Africa | | | Division (MENAD) | | | Western Asia and Stabilisation | | | Division | | | Humanitarian, Security and Conflict | | | Total | | Gross expenditure Income 2012–13 Net expenditure £000 £000 £000 97,233 (51,450) 45,783 4,093 (1) 4,092 1,893,618 (125) 1,893,493 654,717 - 654,717 669,244 (2) 669,242 244,710 - 244,710 10,245 - 10,245 3,472,534 (127) 3,472,407 718,682 (49) 718,633 1,050,575 (41) 1,050,534 863,658 (186) 863,472 2,632,915 (276) 2,632,639 133,617 - 133,617 251,458 - 251,458 429,398 (44) 429,354 814,473 (44) 814,429 7,133,900 (58,443) 7,075,457 ## 3. Staff Numbers And Related Costs 3.1 Staff Costs Permanently employed staff Others Ministers Special advisers Total 2013–14 Total 2012-13 £000 £000 £000 £000 £000 £000 Wages and salaries 117,174 1,904 - - 119,078 108,639 Social security costs 6,698 - - - 6,698 6,067 Other pension costs 20,055 - - - 20,055 19,239 Subtotal 143,927 1,904 - - 145,831 133,945 Less recoveries in respect of outward secondments (111) - - - (111) (31) Total net costs 143,816 1,904 - - 145,720 133,914 Analysis of total Charged to Charged to Charged Administration Programme to Capital Budget Budget Budget Total £000 £000 £000 £000 DFID 65,400 78,283 2,037 145,720 Agencies - - - - Other designated bodies - - - - Total 65,400 78,283 2,037 145,720 All staff costs relate to the Core Depar tment and ICAI only. CSC does not have any staff as it uses administrators to carry out its day-to-day operations. The Principal Civil Service Pension Scheme (PCSPS) is an unfunded multi-employer defined benefit scheme. DFID is unable to identify its share of the underlying assets and liabilities, therefore sufficient information is unavailable to enable DFID to account for the plan as a defined benefit plan. A full actuarial valuation was carried out as at 31 March 2007. Details can be found in the accounts of the Cabinet Office: Civil Superannuation (www.civilser vice.gov .uk/pensions). For 2013–14, employers' contributions of £18,420,743 were payable to the PCSPS (2012–13: £16,789,140) at 1 of 4 rates in the range 16.7% to 24.3% of pensionable pay, based on salary bands. The Scheme's Actuary reviews employer contributions every 4 years following a full scheme valuation. The contribution rates are set to meet the cost of the benefits accruing during 2013–14 to be paid when the member retires and not the benefits paid during this period to existing pensioners. Employees can opt to open a par tnership pension account, a stakeholder pension with an employer contribution. Employers' contributions of £240,384 (2012–13: £193,945) were paid to 1 or more of a panel of 3 appointed stakeholder pension providers. Employer contributions are age-related and range from 3% to 12.5% of pensionable pay. Employers also match employee contributions up to 3% of pensionable pay. In addition, employer contributions of £17,049 (2012–13: £13,883), 0.8% of pensionable pay, were payable to the PCSPS to cover the cost of the future provision of lump sum benefits on death in service and ill health retirement of these employees. No contributions were due to the par tnership pension providers at the Statement of Financial Position date. Contributions prepaid at that date were nil. 2 individuals retired early on ill-health grounds; the total additional accrued pension liabilities in the year amounted to £16,088. ## 3. Staff Numbers And Related Costs (Continued) 3.2 Average Number Of Persons Employed The average number of whole-time equivalent persons employed during the year was as follows. These relate to the Core Depar tment only. Permanently employed staff Others[1] Ministers Staff engaged on capital projects Corporate Performance 29 54 - - 83 29 Total 29 54 - - 83 29 Division Corporate Performance 482 – – – 482 458 Permanent Secretary 36 - 3 3 42 47 Policy and International Relations 507 – – – 507 483 Africa, South and East Asia and Western Hemisphere 1,339 - - - 1,339 1,265 Western Asia and Stabilisation, MENAD, CHASE and International Finance 519 – – – 519 488 Total 2,912 54 3 3 2,972 2,770 [1] Others have been recorded under Corporate Performance as more detailed information is not available ## 3.3 Reporting Of Civil Service And Other Compensation Schemes - Exit Packages | 2013–14 | 2012–13 | |------------------------|--------------------| | Departmental Group | Departmental Group | | Exit package cost band | Number of | | compulsory | | | redundancies | | | Total number of | | | exit packages | | | by cost band | | | Number | | | of other | | | departures | | | agreed | | | <£10,000 | | | 1 | 1 | | £10,000 - £25,000 | | | - | 4 | | £25,001 - £50,000 | | | - | 7 | | £50,001 - £100,000 | | | - | 5 | | £100,001 - £150,000 | | | - | 4 | | £150,001 - £200,000 | | | - | 1 | | £200,001+ | | | - | - | | Total number of exit | | | packages | 1 | | Total cost £000 | | | 1,294 | 836 | All exit packages above relate to DFID. Redundancy and other depar ture costs have been paid in accordance with the provisions of the Civil Ser vice Compensation Scheme, a statutory scheme made under the Superannuation Act 1972. Exit costs are accounted for in full in the year of depar ture. Where the Depar tment has agreed early retirements, the additional costs are met by the Depar tment and not by the Civil Ser vice Pension Scheme. Ill health retirement costs are met by the pension scheme and are not included in the table. | 2013–14 | 2012–13 | |-----------------|------------| | Special | | | advisers | | | Number | | | Total | | | Number | | | Total | | | | | | | | | Number of | | | compulsory | | | redundancies | | | Total number of | | | exit packages | | | by cost band | | | Number | | | of other | | | departures | | | agreed | | ## 4. Other Administration Costs Note £000 £000 £000 £000 Rentals under operating leases 12,758 12,758 16,480 16,480 Charges under finance leases 8,742 8,742 8,912 8,912 Other current expenditure 21,393 23,163 27,693 29,805 Non–cash items Depreciation: property, vehicles and equipment 7 8,459 8,459 15,130 15,130 Amortisation: intangible assets 8 3,806 3,806 3,874 3,874 Revaluation of IT equipment 9 425 425 (571) (571) Impairment of furniture and fittings 9 1,011 1,011 191 191 Loss on disposal of proper ty, vehicles and equipment 9 1,148 1,148 590 590 Loss on disposal of intangible assets 9 48 48 - - Auditors' remuneration and expenses[1] 265 265 265 265 Movement in provisions (5,309) (5,309) (2,825) (2,825) Staff costs 3 67,548 67,548 63,065 63,065 Grant in aid 23 1,761 - 1,980 - Administration income 6 (6,091) (6,091) (7,101) (7,101) Total 115,964 115,973 127,683 127,815 [1] In addition, the National Audit Office received cash fees indirectly from DFID via other organisations to which it is a sub-contractor for carrying out audited-related services. Indirect fees totalled £208,200 in 2013–14 (2012–13: £168,247). Cash fees directly received from DFID during 2013–14 were Nil (2012–13: Nil). | 2013–14 | 2012–13 | |--------------|------------| | DFID | | | Departmental | | | Group | DFID | | Departmental | | | Group | | | 21,500 | 21,500 | | 52,746 | 54,516 | ## 5. Programme Costs Note 7,140,277 Grants and current expenditure 14.2 1,935,517 Contributions to International Financial Institutions: promissory notes Loss on foreign exchange Non–cash items Movements in provisions 15 Gain on disposal of Actis 9,083,031 9,105,341 6,911,530 6,930,541 Staff costs 3 78,283 78,283 68,443 68,443 Grant in aid 23 21,948 - 19,060 - Programme income 6 (1,144) (1,144) (51,342) (51,342) Total net programme costs 9,182,118 9,182,480 6,947,691 6,947,642 ## 6. Income Administrative income Rents from non–government bodies Other Subtotal (6,091) (6,091) (7,101) (7,101) Programme income Non–capital operating income (69) (69) (149) (149) Capital grant in kind to finance transfer of property - – (44,145) (44,145) Sale of investment - - (5,721) (5,721) Grant in aid funding (450) (450) (490) (490) Other operating income (86) (86) (136) (136) Loan interest (539) (539) (701) (701) Subtotal (1,144) (1,144) (51,342) (51,342) Total (7,235) (7,235) (58,443) (58,443) | 2013–14 | 2012–13 | |--------------|------------| | DFID | | | Departmental | | | Group | DFID | | Departmental | | | Group | | | £000 | £000 | | 7,162,587 | 5,353,552 | | 1,935,517 | 1,408,547 | | 3,473 | 3,473 | | 3,764 | 3,764 | | - | - | | 2013–14 | 2012–13 | | Departmental | | | Group | DFID | | Departmental | | | Group | | | DFID | | | £000 | £000 | | £000 | | | (5,301) | (5,301) | | (790) | (790) | ## 7. Property, Vehicles And Equipment Consolidated 2013–14 Land, buildings Leasehold- Furniture Assets and related and IT under dwellings assets Vehicles equipment equipment construction Total £000 £000 £000 £000 £000 £000 £000 Cost or valuation At 1 April 2013 69,018 48,278 7,580 20,787 18,369 18,246 182,278 Additions 208 1,544 1,176 966 2,478 2,109 8,481 Revaluation - - (387) (1,530) (1,000) – (2,917) Brought into use/reclassifications - - - - 48 - 48 Disposals – (544) (346) (2,206) (207) – (3,303) At 31 March 2014 69,226 49,278 8,023 18,017 19,688 20,355 184,587 Depreciation At 1 April 2013 (3,062) (25,218) (5,374) (11,466) (14,330) (1) (59,451) Charged in year (1,906) (2,185) (776) (1,391) (2,201) – (8,459) Depreciation on revaluation - - 166 519 575 - 1,260 Reclassifications - - - - - - - Disposals - 454 326 1,225 150 - 2,155 At 31 March 2014 (4,968) (26,949) (5,658) (11,113) (15,806) (1) (64,495) Carrying amount at 31 March 2014 64,258 22,329 2,365 6,904 3,882 20,354 120,092 Carrying amount at 31 March 2013 65,956 23,060 2,206 9,321 4,039 18,245 122,827 Asset financing Owned 64,258 1,073 2,365 6,904 3,882 20,354 98,836 Finance-leased - 21,256 - - - - 21,256 Carrying amount at 31 March 2013 64,258 22,329 2,365 6,904 3,882 20,354 120,092 8,481 Additions (accruals basis) Movement in capital payable (15,704) As shown in cash flow (7,223) ## 7. Property, Vehicles And Equipment (Continued) The above relates to assets held by DFID. CSC and ICAI do not hold any assets. The Depar tment's freehold proper ty in East Kilbride was valued at 31 March 2011 by GVA Grimley LLP International Proper ty Advisers using Royal Institution of Char tered Sur veyors (RICS) guidelines. A revised existing use valuation of £6.2 million (land £1.24 million, buildings £4.96 million) was repor ted. Overseas proper ties were valued during 2011–12 as follows: Zambia proper ties were revalued at 13 February 2012 by Pam Golding Proper ties; Zimbabwe proper ties were revalued at 6 February 2012 by SEEF Proper ties; Uganda proper ty was valued at 17 January 2012 by Eastlands Agency Real Estate; Malawi proper ties were valued at 9 March 2012 by MPICO Limited; Pakistan proper ty was valued at 22 February 2012 by W W Engineering Services (Pvt) Limited; Ethiopia proper ty was valued at 31 January 2012 by CPMS. Included in leasehold related assets, is a proper ty held under a finance lease, entered into by a former executive agency of the Depar tment. The proper ty is now sublet through an operating lease to the University of Greenwich, which occupies the building and took on the work of this agency. The last formal valuation of the proper ty using RICS guidelines was performed at 31 March 2008 by DTZ Debenham Tie Leung Limited. An informal professional valuation was conducted in October 2011 to suppor t the Depar tment's consideration of options for the future management of the proper ty after the expiry of the finance lease. The value identified through the informal review is not significantly different from the formal valuation conducted in 2008. The formal valuation of the proper ty was not updated during the year to avoid replication of work in advance of the decision over future management of the proper ty. Included in buildings, is 22/26 Whitehall which was transferred to DFID from Cabinet Office during 2012–13 at a total value of £44.145 million. The valuation was provided by DVS on 12 October 2012. DVS is the proper ty arm of the Valuation Office Agency and provides professional proper ty advice across the public sector. Subsequently, DFID has under taken refurbishments to bring the proper ty up to a suitable standard for occupation and use by the Depar tment. This was completed during February 2013 and DFID commenced operations from the premises during February 2013. ## 7. Property, Vehicles And Equipment (Continued) Consolidated 2012–13 Land, buildings Leasehold- Furniture and related and IT Assets under dwellings assets Vehicles equipment equipment construction Total £000 £000 £000 £000 £000 £000 £000 Cost or valuation At 1 April 2012 20,035 62,282 6,709 18,356 15,682 13,942 137,006 Additions 2,836 1,116 1,202 3,313 1,413 51,052 60,932 Revaluation – (15,373) 73 (353) 1,379 – (14,274) Brought into use/reclassifications 46,147 488 - - - (46,747) (112) Disposals – (235) (404) (529) (105) (1) (1,274) At 31 March 2013 69,018 48,278 7,580 20,787 18,369 18,246 182,278 Depreciation At 1 April 2012 (1,941) (25,142) (4,830) (10,422) (11,505) - (53,840) Charged in year (1,121) (9,621) (806) (1,475) (2,107) - (15,130) Depreciation on revaluation - 9,510 (29) 161 (808) - 8,834 Reclassifications - 1 - - - (1) - Disposals - 34 291 270 90 - 685 At 31 March 2013 (3,062) (25,218) (5,374) (11,466) (14,330) (1) (59,451) Carrying amount at 31 March 2013 65,956 23,060 2,206 9,321 4,039 18,245 122,827 Carrying amount at 31 March 2012 18,094 37,140 1,879 7,934 4,177 13,942 83,166 Asset financing Owned 65,956 1,074 2,206 9,321 4,039 18,245 100,841 Finance-leased - 21,986 - - - - 21,986 Carrying amount at 31 March 2013 65,956 23,060 2,206 9,321 4,039 18,245 122,827 Additions (accruals basis) 60,932 Movement in capital payable (970) As shown in cash flow 59,962 ## 8. Intangible Assets Consolidated 2013–14 Software Intangible licences and IT assets under systems construction Total £000 £000 £000 Cost or valuation At 1 April 2013 39,738 11,224 50,962 Additions 380 2,600 2,980 Brought into use/reclassifications – (48) (48) Disposals (24) (48) (72) At 31 March 2014 40,094 13,728 53,822 Amortisation At 1 April 2013 (28,287) – (28,287) Charged in year (3,806) – (3,806) Disposals 24 - 24 At 31 March 2014 (32,069) – (32,069) Carrying amount at 31 March 2014 8,025 13,728 21,753 Carrying amount at 31 March 2013 11,451 11,224 22,675 Asset financing Owned 8,025 13,728 21,753 Carrying amount at 31 March 2014 8,025 13,728 21,753 The above relates to assets held by DFID. CSC and ICAI do not hold any assets. ## 8. Intangible Assets (Continued) Consolidated 2012–13 Software Intangible licences and IT assets under systems construction Total £000 £000 £000 Cost or valuation At 1 April 2012 38,428 7,365 45,793 Additions 1,310 3,746 5,056 Brought into use/reclassifications - 113 113 At 31 March 2013 39,738 11,224 50,962 Amortisation At 1 April 2012 (24,413) - (24,413) Charged in year (3,874) - (3,874) At 31 March 2013 (28,287) - (28,287) Carrying amount at 31 March 2013 11,451 11,224 22,675 Carrying amount at 31 March 2012 14,015 7,365 21,380 Asset financing Owned 11,451 11,224 22,675 Carrying amount at 31 March 2013 11,451 11,224 22,675 The above relates to assets held by DFID. CSC and ICAI do not hold any assets. ## 9. Revaluation, Impairments And Disposals This note summarises the impact of all revaluations, impairments and disposals on the Statement of Comprehensive Net Expenditure and the Revaluation Reserve. | Statement of | Statement of | |--------------------------------------------|---------------------------| | Comprehensive Revaluation | Comprehensive Revaluation | | Net Expenditure | reserve | | Note | £000 | | | | | Impairment/(revaluation) of of | | | IT equipment | 7 | | Impairment of furniture and fittings | 7 | | Impairment/(revaluation) of vehicles | 7 | | Impairment of leasehold-related assets | 7 | | Loss on disposal of property, vehicles and | | | equipment | 4 | | Loss on disposal of intangible assets | 4 | | Gain on disposal of Actis | 5 | | Realised element to General Fund | 19 | | Impairment of International Financial | | | Institutions | 11 | | Impairment of capital project investments | 11 | | Revaluation of investment in CDC | | | - opening adjustment as at 1 April 2012 | 11 | | - current year revaluation | 11 | | Total | 2,633 | As discussed at Note 11, DFID have retrospectively applied a change in accounting policy related to the investment in CDC Group plc. DFID have elected to restate the financial statement comparatives for the years ending 31 March 2012 and 31 March 2013. The result of the change in accounting policy increased the revaluation reserve in relation to the investment in CDC by £1,835 million and £228 million for the years ending 31 March 2012 and 31 March 2013 respectively. No impairment was recognised on this investment during these financial years. | 2013–14 | 2012–13 | |------------|------------| | (restated) | (restated) | ## 10. Capital And Other Commitments 10.1 Capital Commitments | 31 March 2014 | 31 March 2013 | |--------------------------------------------------------------------------------------|----------------------------| | £000 | £000 | | Contracted capital commitments at 31 March not otherwise included in these financial | | | statements | | | Proper | ty, vehicles and equipment | | Intangible assets | - | | 287 | 56 | ## 10.2 Commitments Under Leases 10.2.1 Operating Leases Total future minimum lease payments under operating leases are given in the table below for each of the following periods. | 31 March 2014 | 31 March 2013 | |------------------------------------------------------------------------|------------------| | £000 | £000 | | Obligations under operating leases for the following periods comprise: | | | Land, buildings and dwellings | | | Not later than 1 year | 11,479 | | Later than 1 year and not later than 5 years | | | 8,934 | 11,833 | | 416 | | | Later than 5 years | 1,553 | | Total | 21,966 | ## 10.2.2 Finance Leases Total future minimum lease payments under finance leases are given in the table below for each of the following periods. | 31 March 2014 | 31 March 2013 | |----------------------------------------------------------------------|------------------| | £000 | £000 | | Obligations under finance leases for the following periods comprise: | | | Land, buildings and dwellings | | | Not later than 1 year | 47,156 | | Later than 1 year and not later than 5 years | - | | 47,156 | 57,097 | | Less interest element | (2,146) | | Present value of obligations | | | 45,010 | 46,211 | ## 10.2.3 Operating Leases Receivables Total future minimum lease receivables under operating leases are given in the table below for each of the following periods. | 31 March 2014 | 31 March 2013 | |----------------------------------------------|------------------| | £000 | £000 | | Receivables under operating leases comprise: | | | Land, buildings and dwellings | | | Not later than 1 year | 1,688 | | Later than 1 year and not later than 5 years | - | | Total | 1,688 | The above relates to commitments payable to DFID. CSC does not hold any commitments requiring disclosure. ## 11. Financial Instruments 11.1 Non-Current Financial Assets - Equity Investments Programme Capital Investments International Financial Institutions £000 At 1 April 2012 3,283,828 - Additions - Revaluations – At 31 March 2013 - 3,290,062 2,828,000 - 6,118,062 At 1 April 2013 3,290,062 2,828,000 - 6,118,062 Additions 26,364 37,951 - - 64,315 Revaluations (359) (73,669) 120,900 - 46,872 At 31 March 2014 26,005 3,254,344 2,948,900 - 6,229,249 ## Current Financial Assets - Available For Sale Equity Investment | At 1 April 2012 | 1,678 | 1,678 | |---------------------------|----------|----------| | Additions | - | - | | Revaluations | - | - | | Disposal | (1,678) | (1,678) | | At 31 March 2013 and 2014 | - | - | The above non-current and current financial assets relates to assets held by DFID. CSC do not hold any assets. ## Subsidiaries And Associates: Key Data From Last Audited Financial Accounts | CDC Group plc - ordinary shares | £m | £m | |------------------------------------|---------|---------| | Portfolio return (before tax) | 170.2 | 250.6 | | Total return after tax | 130.7 | 223.4 | | Total net assets (valuation basis) | 2,948.9 | 2,831.6 | ## Programme Capital Investments Programme Capital Investments include investments made by DFID to achieve defined development objectives whilst retaining an ongoing, recoverable, interest in the assets funded. These include equity investments and 'returnable grant' arrangements, the terms of which will vary depending on programme circumstances. Such investments are classified as 'available for sale financial assets' and are measured at fair value at the Statement of Financial Position date. | CDC Group plc | Actis LLP | Total | |------------------|--------------|----------| | £000 | £000 | £000 | | (Restated) | | | | £000 | | | | (Restated) | | | | 2,600,200 | 5,884,028 | | | - | | | | 34,003 | - | - | | (27,769) | 227,800 | - | | Actis LLP | Total | | | £000 | £000 | | | 31 December | 31 December | | | 2013 | 2012 | | ## 11. Financial Instruments (Continued) 11.1 Non-Current Financial Assets (Continued) Public Sector Bodies DFID, on behalf of the government, owns 100% of the issued ordinary share capital of CDC Group plc. In 2004, fund management activities previously carried out by CDC were transferred to a newly formed limited liability par tnership (Actis LLP). As a result DFID, on behalf of the Government, owned 40% of the members capital of Actis LLP . The decision was taken to dispose of this 40% members capital and full binding agreement was reached during the year to 31 March 2013. Prior to 31 March 2012, in accordance with the FReM, investments in public corporations falling outside the resource accounting boundary, such as CDC and Actis LLP , were recognised at historical cost less any impairment. Impairments were assessed by comparing the historic cost to DFID's share of net assets, with any impairment being taken to the Consolidated Statement of Comprehensive Net Expenditure. For each Statement of Financial Position date subsequent to 31 March 2012, in accordance with the FReM, investments in public corporations falling outside the resource accounting boundary should be recognised at fair value. Subsequent to the initial recognition, gains and losses on the fair value of the investment at each Statement of Financial Position date are reported through the revaluation reserve, with any impairment to the fair value and foreign exchange losses recognised immediately within the Consolidated Statement of Comprehensive Net Expenditure. As at 31 March 2014, DFID retrospectively applied the change in accounting policy for the financial years ending 31 March 2012 and 31 March 2013. DFID has labelled the restated comparative information with the heading 'restated' to highlight that the comparative information has been changed from the prior year's financial statements. HMT further requires that self financing public corporations achieve a rate of return, described as 'cost of capital', to ensure that the opportunity cost of departments' investments is covered. If the corporation does not meet its rate of return over each CSR period, then the shareholding department may face a fur ther charge to the extent that such a return has not been met. The impact of the restatement on the investment of CDC Group plc is as follows: | At 31 March 2012 | 765,036 | 765,036 | |---------------------|------------|------------| | Revaluation | - | | | 1,835,164 | | | | At 1 April 2012 | 765,036 | 2,600,200 | | Revaluation | - | 227,800 | | At 31 March 2013 | 765,036 | 2,828,000 | As a result of the restatement, an amount of £2,063 million was recorded as a revaluation reserve effective March 31, 2013. ## International Financial Institutions Investments in International Financial Institutions (IFIs) are valued at fair value. There is no market in these investments - all shareholders are sovereign states. Fair value has been assessed as DFID's share of the net assets of the IFIs, based on the number of shares subscribed by DFID. The Articles of Agreement of all the IFIs specify that this is the value that DFID would receive on the dissolution of the IFIs. All investments in IFIs are denominated in a currency other then sterling. DFID is therefore exposed to currency risk if the value of these currencies was to fall against sterling. DFID is also exposed to market risk, as the value of each investment is dependent upon the net assets of the IFIs. Base currencies of investments in IFIs are shown below. Figures in US dollars include those bodies for which the US dollar is used as the working equivalent for units of account formally expressed in Special Drawing Rights (SDRs). Revaluations for IFIs include £211 million (net) of unrealised losses (2012–13: unrealised gains of £108 million) arising from changes in exchange rates. Impact of changes in accounting policies As previously reported As restated £000 £000 ## 11. Financial Instruments (Continued) | | | | Currency | Currency | |-------------------------------------------------------|------------|-----------|-------------|------------| | International Bank for Reconstruction and Development | $1,688,843 | 1,012,935 | $1,627,856 | 1,068,638 | | International Finance Corporation | $1,121,667 | 672,754 | $1,050,000 | 689,293 | | European Bank for Reconstruction and Development | €1,281,677 | 1,058,874 | € 1,209,965 | 1,020,465 | | Asian Development Bank | $351,426 | 210,778 | $335,370 | 220,160 | | Inter-American Development Bank | $221,650 | 132,941 | $193,202 | 126,831 | | African Development Bank (in Units of Account) | 98,638 | 94,981 | 90,297 | 87,152 | | Caribbean Development Bank | $74,471 | 44,666 | $74,288 | 48,768 | | Multilateral Investment Guarantee Agency | $44,041 | 26,415 | $43,803 | 28,755 | ## 11.2 Forward Currency Contracts During the year ended 31 March 2014, DFID entered into the purchase of forward purchases to cover its forecast net exposures in relation to a significant currency transaction in an area where the Department operates. During the period under review, 13 contracts matured. The value of these contracts undertaken was 484,677,154 South African Rand (sterling equivalent - £38.1 million) and the losses recognised on these contracts to maturity were £3.9 million. These losses are recognised within the Statement of Comprehensive Net Expenditure for the year ended 31 March 2014. Forecast unrealised losses on forward purchases maturing in future periods, based on the actual exchange rates at the reporting period date, are analysed as follows: Foreign currency value Sterling value £000 Current assets and liabilities South African Rand 243,103,976 18,443 – (4,921) 2014–15 ## 11.3 Interest Rate Exposure Fixed rate £000 2013–14 financial assets: cash Sterling US dollars Other currencies Total - 7,430 16,679 24,109 - 2013–14 financial assets: loans and receivables Sterling 3,009 8,289 27,149 38,447 2.79% Euro - - 45,507 45,507 - Total 3,009 8,289 72,656 83,954 2.79% | | | 2013–14 | 2012–13 | |-----------|-----------|------------|------------| | 000 | £000 | 000 | £000 | | 3,254,344 | 3,290,062 | | | Maturing in Unrealised gains £000 Unrealised losses £000 Fixed rate weighted average interest rate Floating rate £000 No interest £000 Total £000 - 437 16,679 17,116 - - 640 - 640 - - 6,353 - 6,353 - ## 11. Financial Instruments (Continued) 11.3 Interest Rate Exposure (Continued) Fixed rate weighted average Fixed rate Floating rate No interest Total interest rate £000 £000 £000 £000 2013–14 financial assets: available for sale Sterling - - 2,974,905 2,974,905 - US dollars - - 2,100,489 2,100,489 - Euro - - 1,058,874 1,058,874 - Other currencies - - 94,981 94,981 - Total - - 6,229,249 6,229,249 - 2013–14 financial liabilities: promissory notes at amortised cost Sterling - - 3,510,172 3,510,172 - US dollars - - 9,971 9,971 - Total - - 3,520,143 3,520,143 - 2013–14 financial liabilities: other payables at amortised cost Sterling - - 338,337 338,337 - Total - - 338,337 338,337 - 2012–13 financial assets/(liabilities): cash Sterling - 252 (50,226) (49,974) - US dollars - 582 - 582 - Euro - 47 - 47 - Other currencies - 715 - 715 - Total - 1,596 (50,226) (48,630) - 2012–13 financial assets: loans and receivables Sterling 4,130 10,519 16,705 31,354 2.75% Euro - - 60,186 60,186 - Total 4,130 10,519 76,891 91,540 2.75% ## 11. Financial Instruments (Continued) 11.3 Interest Rate Exposure (Continued) Fixed rate weighted average Fixed rate Floating rate No interest Total interest rate £000 £000 £000 £000 2012–13 financial assets: available for sale US dollars - - 2,182,445 2,182,445 - Euro - - 1,020,465 1,020,465 - Other currencies - - 87,152 87,152 - Total - - 3,290,062 3,290,062 - 2012–13 financial liabilities: promissory notes at amortised cost Sterling - - 2,742,176 2,742,176 - US dollars - - 11,918 11,918 - Total - - 2,754,094 2,754,094 - 2012–13 financial liabilities: other payables at amortised cost Sterling - - 301,533 301,533 - Total - - 301,533 301,533 - ## 11.4 Currency Risk Exposures The tables below show the Department's currency exposures that give rise to exchange rate gains and losses that are recognised in the Statement of Comprehensive Net Expenditure. Such exposures comprise those monetary assets and liabilities that are not denominated in the Department's functional currency of sterling. | 31 March | 31 March | |------------------------------------|-------------| | 2014 | 2013 | | £000 | £000 | | Financial assets: maturity profile | | | US dollars | 640 | | Euro | 45,507 | | Other currencies | 6,353 | | Total | 52,500 | The table below shows the functional currency of the Department's investments classed as available for sale. | 31 March | 31 March | |--------------------------------------------|-------------| | 2014 | 2013 | | £000 | £000 | | US dollars | 2,100,489 | | Euro | 1,058,874 | | Unit of account (African Development Bank) | 94,981 | | Total | 3,254,344 | ## 11. Financial Instruments (Continued) 11.5 Liquidity Risk The following tables show the maturity profile of the Department's financial assets and liabilities other than cash and equity investments Financial assets: maturity profile Due on demand Due within 1 year, but not on demand Due within 1 to 2 years Due within 2 to 3 years Due within 3 to 4 years Due within 4 to 5 years Due after 5 years Total Financial liabilities: maturity profile Due on demand 3,520,143 2,754,094 Due within 1 year, but not on demand 338,337 256,523 Due within 1 to 5 years - 47,156 Less interest element of finance lease (2,146) (10,886) Total 3,856,334 3,046,887 ## 11.6 Credit Risk The carrying amount of financial assets represents the maximum credit exposure. The maximum exposure to credit risk was as follows Fair value financial assets Loans and receivables Cash and cash equivalents Total | | 31 March | |-----------|-------------| | 2014 | | | 31 March | | | 2013 | | | Note | £000 | | - | - | | 11.1 | 13,981 | | 12,355 | 14,397 | | 10,947 | 12,633 | | 9,388 | 9,029 | | 8,285 | 6,758 | | 28,998 | 31,604 | | 83,954 | 91,540 | | 31 March | 31 March | | 2014 | 2013 | | £000 | £000 | | 31 March | | | 2014 | | | 31 March | | | 2013 | | | Note | £000 | | 11.1 | 3,254,344 | | 11.5 | 83,954 | | 12 | 24,109 | | 3,362,407 | 3,332,984 | ## 11. Financial Instruments (Continued) 11.6 Credit Risk (Continued) The Department's ageing analysis was as follows: Not past due Past due not provided against Total The movement in provisions against loans and receivables was as follows: Balance at 31 March 2012 Reversal of provision Utilisation of provision Balance at 31 March 2013 Reversal of provision Utilisation of provision Balance at 31 March 2014 Bilateral loans, and loans formerly managed by Actis, are made directly with sovereign states; multilateral loans are made with sovereign states through multilateral bodies such as the European Investment Bank. Assessments of credit risk are based on default history, political risks and the potential future granting of debt relief. Credit risk on the Department's cash balances held within the Government Banking Service is considered to be very low. Imprest balances are held with various institutions, all of which are major global banks with high credit ratings. Investments in fair value financial assets are made through International Financial Institutions. Assessments of credit risk are based on audited financial statements provided by each institution on an annual basis. ## 11.7 Market Risk Interest Rate Risk The Department's interest rate risk arises primarily from loans made at a floating rate, and cash balances held overseas. Neither of these represent a significant source of income for the Department - total loan interest in 2013–14 amounted to £0.539m (2012–13: £0.701m). ## Foreign Currency Risk | | | | | | | |-----|-----|-----|-----|-----|-----| The Department's largest exposure in terms of net assets is in US dollar and Euro. On the statement of financial position, exchange gains on investments are taken to the revaluation reserve. Exchange losses are also charged to the revaluation reserve where a previously accumulated reserve is available; losses in excess of this reserve are charged to operating costs. As at 31 March 2014, £2.100m (2013: £2.177m) of the Depar tment's investments were denominated in US dollars and £1.058m (2013: £1.001m) in Euros. Exchange gains and losses on other financial assets and liabilities are charged to operating costs and are minimal based on the composition of assets and liabilities in foreign currency. At 31 March 2014, if sterling had weakened by 10% against the US dollar, with all other variables held constant, net assets would have decreased by £223.4m (2013: £243.3m). Net operating costs would have reduced by £1.021m (2013: £0.140m). At the same date if sterling had weakened by 10% against the Euro, with all other variables held constant, net assets would have decreased by £0.118m (2013: £0.113m) with an effect on net operating costs of nil (2013: £0.005m). During the year under review DFID did enter into arrangements to mitigate its exposure to currency risk on a large programme denominated in South African Rand where forward contracts were purchased to match milestone payments. At 31 March 2014 note 11.2 shows unrealised losses of £4.9m. In addition to this, as noted in 11.2, contracts matured during the year with realised losses of £3.9m which were reflected in operating costs. Net loans and receivables 31 March 31 March 2014 2013 £000 £000 Note (Restated) 83,954 91,539 - - 83,954 91,539 £000 (108,312) 15,375 5,183 (87,754) 5,846 13.1 4,309 (77,599) ## 11. Financial Instruments (Continued) 11.7 Market Risk (Continued) Other Price Risk The Department's investments in IFIs are based on share of the net assets of each IFI. Although there is no public traded market for these investments, changes in the underlying net asset values of the IFIs would impact on the investment value shown in these accounts. As at 31 March 2014, a 10% reduction in net asset values of the IFIs, with all other variables held constant, would result in the Department's net assets being reduced by £325m (2013: £315m). The Department's investment in CDC is based on the net assets. As at 31 March 2014, a 10% reduction in the net asset value of this organisation, with all other variables held constant, would result in the Department's net assets being reduced by £295m (2013: 283m). ## 12. Cash And Cash Equivalents 31 March 2013 Departmental Group £000 31 March 2014 Departmental Group £000 DFID £000 DFID £000 Balance at 1 April 2013 (48,618) (46,611) (3,029) (1,497) Net change in cash and cash equivalent balances 72,727 71,332 (45,589) (45,114) Balance at 31 March 2014 24,109 24,721 (48,618) (46,611) The following balances at 31 March 2014 were held at: | Government Banking Service - Core Department | 16,677 | 16,677 | (50,226) | (50,226) | |-------------------------------------------------|-----------|-----------|------------|--------------| | Government Banking Service - NDPBs | - | 612 | - | 2,007 | | Commercial banks | 7,432 | 7,432 | 1,608 | 1,608 | | Balance at 31 March 2014 | 24,109 | 24,721 | (48,618) | (46,611) | Cash balances at the Government Banking Service were held in sterling. No interest is earned on cash balances held at the Government Banking Service. Imprest balances are held in a variety of local currencies. ## 13. Trade And Other Receivables 13.1 Gross Value Less Provisions For Debt Relief And Non-Payment Bilateral and Project capital multilateral loans loans Other loans Total £000 £000 £000 £000 At 1 April 2013 - 80,775 10,765 91,540 Issued in the year 13,000 - - 13,000 Repaid - (15,378) (1,369) (16,747) Decrease in provision - 5,846 - 5,846 Utilisation of provision - 4,309 20 4,329 Written off - (9,497) - (9,497) Foreign exchange loss - (1,702) - (1,702) Increase in borrowing costs (33) (1,859) (923) (2,815) At 31 March 2014 12,967 62,494 8,493 83,954 Due within 1 year - (12,110) (1,871) (13,981) Total: other receivables falling due after more than 12 months* 12,967 50,384 6,622 69,973 * Of which Falling due after 1 year and less than 2 years - 10,129 2,226 12,355 Falling due after 2 years and less than 3 years 2,137 7,290 1,520 10,947 Falling due after 3 years and less than 4 years 2,830 5,875 683 9,388 Falling due after 4 years and less than 5 years 2,705 4,888 692 8,285 Falling due after 5 years 5,295 22,202 1,501 28,998 12,967 50,384 6,622 69,973 Repayments included above – (15,378) (1,369) (16,747) Repayments included in non-operating income – (3,528) (1,369) (4,897) Principal repayments accrued 2013–14 – (11,850) – (11,850) Included in statements of cash flow - note 21.2 - (15,378) (1,369) (16,747) All receivables relate to DFID. CSC and ICAI do not hold any receivables. ## 13. Trade And Other Receivables (Continued) 13.1 Gross Value Less Provisions For Debt Relief And Non-Payment (Continued) Bilateral and multilateral loans Other loans Total £000 £000 £000 At 1 April 2012 80,542 11,329 91,871 Repaid (15,975) (1,145) (17,120) Decrease in provision 15,375 - 15,375 Utilisation of provision 5,183 12,976 18,159 Written off (18,368) (12,976) (31,344) Foreign exchange (loss)/gain 1,470 - 1,470 Decrease in borrowing costs 12,548 581 13,129 At 31 March 2013 80,775 10,765 91,540 Due within 1 year (15,186) (1,934) (17,120) Total: other receivables falling due after more than 12 months* 65,589 8,831 74,420 * Of which Falling due after 1 year and less than 2 years 12,326 2,071 14,397 Falling due after 2 years and less than 3 years 10,394 2,239 12,633 Falling due after 3 years and less than 4 years 7,495 1,534 9,029 Falling due after 4 years and less than 5 years 6,067 691 6,758 Falling due after 5 years 29,307 2,296 31,603 65,589 8,831 74,420 Repayments included above (27,780) (1,145) (28,925) Repayments included in non-operating income Principal repayments accrued 2012–13 (11,805) – (11,805) Included in statement of cash flows - note 21.4 (15,975) (1,145) (17,120) ## 13. Trade And Other Receivables (Continued) 13.2 Current Trade And Other Receivables - Analysis By Type Loans repayable within 1 year Deposits and advances Prepayments and accrued income* Amounts due from the Consolidated Fund in respect of supply Total * Of which Nil relates to principal repayments on loans accrued ( 2012–13: £11.805 million). ## 13.3 Intra-Government Balances Amounts falling due within one year 31 March 2014 31 March 2013 Balances with other central government bodies 965 55,385 - - Balances with local authorities - - - - Balances with NHS bodies - - - - Balances with public corporations and trading funds - - - - Subtotal: intra-government balances 965 55,385 - - Balances with bodies external to government 137,038 69,228 69,973 79,703 Total receivable 138,003 124,613 69,973 79,703 The above relates to assets held by DFID. CSC and ICAI do not hold any assets. | 31 March 2014 | 31 March 2013 | |--------------------------|------------------| | £000 | £000 | | 13,981 | 17,120 | | 26,076 | 9,312 | | 97,946 | 43,811 | | - | 54,370 | | 138,003 | 124,613 | | Amounts falling due | | | after more than one year | | | 31 March 2014 | 31 March 2013 | | £000 | £000 | ## 14. Trade Payables And Other Liabilities 14.1 Analysis By Type | 31 March | 31 March | |---------------------------------------------------------|---------------------| | 2014 | 2013 | | Departmental | Departmental | | DFID | Group | | £000 | £000 | | Amounts falling due within one year | | | Taxation | 2,825 | | Other taxation and social security | 943 | | Other payables | 19,112 | | Accruals and deferred income | 270,495 | | Current par | t of finance leases | | 338,337 | 338,637 | | Promissory notes: due on demand | 3,520,143 | | Amounts issued from the Consolidated Fund | | | for supply but not spent at year end | 24,107 | | Consolidated Fund extra receipts due to be paid to | | | the Consolidated Fund | | | | Received | | Receivable | - | | 3,882,589 | 3,882,889 | | Amounts falling due after more than one year | | | Finance leases | - | | - | - | | 14.2 Promissory notes payable: movement during the year | | | £000 | £000 | | Balance at 1 April 2012 | | | (2,588,734) | | | Charge to operating costs in 2012–13 - new deposits | (1,408,547) | | Cash drawn down against notes previously issued | 1,243,895 | | Foreign exchange losses | (707) | | (165,359) | | | Balance at 31 March 2013 | | | (2,754,093) | | | Charge to operating costs in 2013–14 - new deposits | (1,903,072) | | Cash drawn down against notes previously issued | 1,136,030 | | Foreign exchange gains | 992 | | (766,050) | | | Balance at 31 March 2014 | | | (3,520,143) | | Promissory notes payable have been classified as financial liabilities measured at amortised cost. They have been shown as due within 1 year, as they are legally payable on demand, so the maturity profile in the statement of financial position, and in note 11.5, shows the earliest date at which they could be payable. ## 14. Trade Payables And Other Liabilities (Continued) 14.2 Promissory Notes Payable: Movement During The Year (Continued) Promissory notes payable: analysis by institution at 31 March 2014 31 March 31 March 2014 2013 Capital Resource Capital Resource £000 £000 £000 £000 Other capital (Caribbean Development Bank and Asia Development Bank) 23,072 - 17,688 - International Development Association - 1,957,508 - 1,693,146 African Development Fund - 504,364 - 471,457 Global Environment Fund - 127,927 - 116,116 Asian Development Fund - 88,958 - 78,833 Global Fund to Fight AIDS, TB and Malaria - 415,000 - 20,000 Environmental Transformation Fund - 249,113 - 236,113 Comic Relief - - - 1,397 Caribbean Development Bank - 9,000 - 8,839 International Fund for Agricultural Development - 122,368 - 100,000 International Fund for Agricultural Development - 8,681 - 10,504 German Development Corporation - 14,152 - - Total 23,072 3,497,071 17,688 2,736,405 DFID, being a central government department financed from the Consolidated Fund, does not face any significant liquidity risk on these liabilities. There are no material balances denominated in foreign currencies, so currency risk on these liabilities is not significant. Note 11 gives further details on these risks. ## 14.3 Intra-Government Balances | Amounts falling due | Amounts falling due after | | | |----------------------------------------|------------------------------|---------------|---------------| | within one year | more than one year | | | | 31 March 2014 | 31 March 2013 | 31 March 2014 | 31 March 2013 | | £000 | £000 | £000 | £000 | | Balances with other central government | | | | | bodies | (30,096) | (10,166) | - | | Balances with local authorities | - | - | - | | Balances with NHS bodies | - | - | - | | Balances with public corporations and | | | | | trading funds | - | - | - | | Subtotal: intra-government balances | | | | | (30,096) | (10,166) | - | - | | Balances with bodies external to | | | | | government | (3,852,493) | (3,006,202) | - | | Total payables | (3,882,589) | (3,016,368) | - | ## 15. Provisions IFFIm £000 AMC £000 Balance at 1 April 2012 901,296 92,734 Provided in the year 46,359 Release of provision (8,826) Provision utilised in the year (53,605) (11,343) Borrowing costs 172,904 10,577 Balance at 31 March 2013 1,058,128 91,968 Provided in the year 63,892 72,780 Release of provision - Provision utilised in the year (63,341) (43,554) Borrowing costs/unwinding of discount (11,720) (14,293) Balance at 31 March 2014 1,046,959 106,901 Analysis of expected timing of discounted flows at 31 March 2014[1] IFFIm £000 AMC £000 No later than 1 year 75,003 66,500 Later than 1 year and not later than 5 years 499,038 40,401 Later than 5 years 472,918 1,046,959 106,901 929 3,193 8,786 1,166,768 Analysis of expected timing of discounted flows at 31 March 2013[1] IFFIm £000 AMC £000 No later than one year 64,901 41,000 Later than 1 year and not later than 5 years 354,600 50,968 Later than 5 years 638,627 1,058,128 91,968 2,887 4,226 11,104 1,168,313 [1] Only the provisions for IFFIm and AMC have been discounted on the basis that the impact of discounting would not be material on any of the other provisions. Provision for the International Finance Facility for Immunisations (IFFIm) represents the net present value of committed payments to cover the UK share of currently issued bonds. The discount rate used to generate the net present value is the real discount rate set by HM Treasury. IFFIm is an international development financing institution that is supported by sovereign donors. IFFIm will borrow operating funds in the international capital markets over the 10 years from 2006–07 backed by these pledges. The UK has pledged a total of £1,315 million through to 2026 with a fur ther £250 million through to 2030, representing 44.73% of the total amounts pledged at 31 March 2014. To date, 29 bond issues have now been made, giving a total liability including interest of £1,411 million. The UK is therefore liable for £1,047 million in net present value terms at 31 March 2014 (after deducting payments made), which will be covered by payment obligations through to 2023. Provision for Advance Market Commitments (AMC) represents the net present value of the UK share of supplier agreements signed. The discount rate used to generate the net present value is the real discount rate adjusted for inflation, set by HM Treasury . The UK has pledged a total of $485 million, through to 2021. At 31st March 2014 this represented 32.3% of commitments made. Supplier agreements to facilitate vaccine demands have been signed with a value of $1,095 million, the UK share of this is $350.4 million. The net present value of this value after deducting payments already made is £107m, which will be covered by payment obligations up to 2015. Provisions for ATP agreements represent sums which DFID is committed to pay to the Export Credit Guarantees Depar tment (ECGD) for interest make-up and insurance premiums under former mixed credit agreements (Aid and Trade Provision) projects. The ATP scheme is effectively closed and will not significantly affect the amount of the provision. | | ATP | |------------|---------| | agreements | | | £000 | | | Early | | | retirement | | | costs | | | £000 | | | Other | | | £000 | | | Total | | | £000 | | | 4,970 | 5,400 | | - | 161 | | - | (165) | | (2,079) | (2,121) | | - | | | | | | 2,887 | 4,226 | | - | 1,444 | | - | - | | (1,492) | (2,477) | | (466) | - | | 929 | 3,193 | | ATP | | | agreements | | | £000 | | | Early | | | retirement | | | costs | | | £000 | | | Other | | | £000 | | | Total | | | £000 | | | 929 | 1,165 | | - | 2,020 | | - | - | | ATP | | | agreements | | | £000 | | | Early | | | retirement | | | costs | | | £000 | | | Other | | | £000 | | | Total | | | £000 | | | 1,492 | 1,245 | | 1,395 | 2,975 | | - | - | ## 15. Provisions (Continued) Provisions for early retirement represent the full estimated cost of payments to be made by DFID to early retirees up to the normal retirement age. The timing of calls on the provision can be forecast with reasonable accuracy. The amount provided is uncer tain only to the extent that adjustments may need to be made for up-rating of benefits and for unexpected changes in the number of beneficiaries. Amounts provided are likely to be used within at most 10 years. Other provisions represent: (a) sums for rents payable by the University of Greenwich for property occupied by a former Executive Agency of the Department, when the work of the Agency was taken over by the University. The main lease by the Department is treated as a finance lease. The rent received is lower than the finance charges incurred by the Department under the main lease. The provision covers the shortfall of rents receivable against finance charges payable over the main lease period to 2014. (b) certain non-statutory pension obligations (most pension obligations for which DFID is responsible are included in the separate overseas superannuation account). (c) estimated liabilities at the 31st March 2014 of overseas offices in respect of terminal benefit payments to staff appointed in country . The above relates to liabilities held by DFID. CSC do not hold any liabilities requiring disclosure. ## 16. Contingent Assets And Contingent Liabilities 16.1 Contingent Assets The Department has the following contingent assets. On 30 April 2012, DFID signed a binding sale agreement with Actis management in relation to disposing of its 40% shareholding in Actis LLP . This sale agreement confirmed DFID's intention to dispose of this shareholding to the management of Actis LLP , in exchange for cash payments totalling $13 million and a 10% interest in Actis managements' carried interest in Actis Fund 3 and a 7.5% interest in Actis managements' carried interest in Actis Fund 4. Carried interest refers to profits generated by the funds over the period only from the sale agreement date until the expiry of the funds. This is based on the performance of the fund as a whole but will only become payable once a predetermined hurdle rate (the minimum rate of return) has been achieved. As this target is based on investment market performance, in the future, it is not felt that the carried interest element of the sale proceeds can be valued reliably. As a result, DFID will recognise carried interest as additional sales revenue only when it has been calculated as payable and confirmed by an external audit of Actis LLP and the associated funds. ## 16.2 Contingent Liabilities Contingent liabilities of £489.9 million (2012–13: £1,862 million) exist in respect of contributions due to international organisations which have been subject to formal approval by Parliament but which are not yet supported either by promissory notes or cash payments. In addition to contingent liabilities disclosed above in accordance with IAS 37, the department discloses for parliamentary repor ting and accountability purposes certain contingent liabilities where the likelihood of a transfer of economic benefit is remote. These amount to £10,791.8 million (2012–13: £11,384.9 million) and comprise: Q £10,672.8 million (2012–13: £11,047.7 million) in respect of callable capital on investments in International Financial Institutions. Q £108.3 million (2012–13: £113.7 million) in respect of for the UK share of EU member states' collective guarantees of the European Investment Bank's lending under the Lome conventions and the parallel Council decisions on the Association of Overseas Countries and Territories. Q Maintenance of the value of subscriptions paid to capital stock of regional development banks and funds (unquantifiable); Q Indemnities in respect of the transfer of ownership of the Natural Resources Institute (unquantifiable); Q £10.7 million (2012–13: £223.5 million) in respect of other items over £100,000 (or lower, where required by specific statute) that do not arise in the normal course of business and which are repor ted to Parliament by departmental Minute prior to the Department entering into the arrangement. This includes a guarantee over a borrowing facility undertaken by a non UK overseas territory. It is not possible to quantify the financial impact of the above contingent liabilities at the Statement of Financial Position date due to uncer tain factors including the timings of outflows. DFID do not expect any reimbursements to occur in relation to the contingent liabilities identified. ## 17. Losses And Special Payments 17.1 Losses Statement 2013–14 Number of cases Total 52 404 55 1,201 Details of cases over £300,000 Cash losses - - - - Claims abandoned - - - - Administrative write-offs - - - - Fruitless payments - - 2 737 Store losses - - - - The Department did not write off any losses greater than £300,000 during the year. A number of DFID-funded assets related to programmes located in South Sudan that have been lost as a result of the conflict which commenced in the country in December 2013. It is not currently safe to access all areas of the country due to the on-going instability and therefore the value of assets lost has not yet been quantified. We expect to evaluate the extent of the losses incurred once it is possible to access the areas of the country where the assets are located. It is likely that this will result in a write-off in a future accounting period. ## 17.2 Special Payments 2013–14 Number of cases Total value of special payments 1 2 - - Details of cases over £300,000 - - - - ## 18. Related-Party Transactions DFID is the 100 per cent shareholder in CDC Group plc. DFID had no material transactions with CDC during the year. DFID had a 40 per cent interest in Actis LLP until 30 April 2012 at which point the Department entered into a binding sales agreement to dispose of this interest. This explained that DFID is entitled to a fixed amount which was payable on 1 May 2012 and 1 May 2013 plus an element of carried interest dependant on the future performance of certain Actis funds. The fixed element still to be paid is included within prepayments and accrued income set out within note 14. The carried interest element is reflected as a contingent asset within note 16. DFID had no other transactions with Actis LLP during the financial year to 31 March 2013 and 2014. DFID has had a number of transactions with other government departments and other central government bodies. These are undertaken under normal trading circumstances, at arms length, and are repor ted within DFID's net resource outturn. Amounts due to and from other government departments are disclosed separately in notes 13 and 14. No amounts have been written off during 2013–14 to or from other government departments. The largest volume of transactions, in frequency and value, have been with the Foreign and Commonwealth Office. A related par ty transaction took place during the year between the Depar tment and a staff member who is a related party of the Department by virtue of being a close family member of Mark Lowcock. The transaction related to salary costs which have been paid in accordance with civil service guidelines. To ensure this relationship was managed objectively, Mark Lowcock had no direct or indirect involvement in determining pay, position or promotion for the individual involved. The Department has put in place a process whereby should a situation arise in which the Accounting Officer would otherwise be involved in a decision that would directly affect this individual, he would play no role, but two Directors-General and a senior Cabinet Office official would agree on the course of action. Further to this, no minister, board member, key manager or other related party has undertaken any material transactions with the Department during the year. | 2013–14 | 2012–13 | |------------|------------| | £000 | | | 2012–13 | | | Number of | | | cases | £000 | | 2013–14 | 2012–13 | |------------|------------| | £000 | | | 2012–13 | | | Number of | | | cases | £000 | ## 19. General Fund The General Fund reflects the realised and unrealised balance of the cumulative difference between net operating costs and financing, provided by Parliament, adjusted for amounts payable to the Consolidated Fund. | General Fund at 31 March 2012 | (1,404,031) | (1,403,265) | |---------------------------------------------------|----------------|-----------------| | Net operating cost for the year | | | | Net Parliamentary Funding | | | | 6,706,813 | | | | Supply reissued | | | | Payable for supply | | | | Financing provided | | | | Notional cost within operating costs | | | | Realised element of revaluation reserve | | | | Operating income payable to the Consolidated Fund | | | | CFERs payable to the Consolidated Fund | | | | Net decrease in the General Fund | | | | (319,730) | (319,813) | | | General Fund at 31 March 2013 | (1,723,761) | (1,723,078) | | Net operating cost for the year | | | | Net Parliamentary Funding | 8,699,263 | | | Net Parliamentary Funding - deemed | | | | Supply reissued | | | | Payable for supply | | | | Financing provided | | | | Notional cost within operating costs | | | | Realised element of revaluation reserve | | | | Operating income payable to the Consolidated Fund | | | | CFERs payable to the Consolidated Fund | | | | Net decrease in the General Fund | (675,874) | (676,245) | | General Fund at 31 March 2014 | (2,399,635) | (2,399,323) | [1] The Depar tment's total non-current liabilities and negative General Fund reflect the inclusion of liabilities falling due in future years. Under the Government Resources and Accounts Act 2000, no money may be drawn from the Consolidated Fund other than that required for the service of the | | | Departmental | Departmental | |-------------|-------------|-----------------|-----------------| | DFID | DFID | Group | Group | | £000 | £000 | £000 | £000 | | (7,075,374) | (7,075,457) | | | | 6,706,813 | | | | | - | - | | | | 54,370 | 54,370 | | | | 6,761,183 | 6,761,183 | | | | 265 | 265 | | | | 89 | 89 | | | | (184) | (184) | | | | (5,709) | (5,709) | | | | (9,298,082) | (9,298,453) | | | | 8,699,263 | | | | | (54,370) | (54,370) | | | | - | - | | | | (24,107) | (24,107) | | | | 8,620,786 | 8,620,786 | | | | 265 | 265 | | | | 1,243 | 1,243 | | | | (86) | (86) | | | | - | - | | | ## 20. Revaluation Reserve £000 (Restated) Balance at 1 April 2012 3,708,063 Loss on revaluation - International Financial Institutions (27,769) Gain on revaluation - CDC 227,800 Gain on vehicles 44 Realised element to General Fund (89) Balance at 31 March 2013 3,908,049 Loss on revaluation - International Financial Institutions (73,669) Loss on vehicles (221) Gain on revaluation - CDC 120,900 Loss on revaluation - capital project investments (359) Realised element to General Fund (1,243) Balance at 31 March 2014 3,953,457 As discussed at Note 11, DFID have retrospectively applied a change in accounting policy related to the investment in CDC Group plc. DFID have elected to restate the financial statement comparatives for the years ending 31 March 2012 and 31 March 2013. The impact of the restatement on the revaluation reserve is as follows: As previously reported £000 As restated £000 Revaluation reserve as at 31 March 2012 1,872,899 1,872,899 Gain on revaluation - CDC - 1,835,164 At 1 April 2012 1,872,899 3,708,063 At 1 April 2012 1,872,899 3,708,063 Gain on revaluation - CDC - 227,800 At 31 March 2013 1,872,899 3,935,863 ## 21. Notes To The Statement Of Cash Flows 21.1 Reconciliation Of Comprehensive Net Expenditure To Operating Cash Flows | 31 March | 31 March | |------------------------------------------------------------------------|-------------| | 2014 | 2013 | | (restated) | | | £000 | £000 | | Net operating cost | (9,298,082) | | Adjustments for non-cash transactions | 162,360 | | (Increase)/decrease in trade and other receivables | (161,225) | | | | | Movement in receivables for items not passing through the Statement of | | | Comprehensive Net Expenditure | 54,370 | | Decrease/(increase) in trade payables | 795,709 | | | | | Movement in payables for items not passing through the Statement of | | | Comprehensive Net Expenditure | 29,858 | | Working capital movement: capital items | (15,704) | | Use of provisions | (115,157) | | Net cash outflow from operating activities | (8,547,871) | ## 21.2 Cash Flows From Investing Activities | 31 March | 31 March | |----------------------------------------------|----------------------------| | 2014 | 2013 | | £000 | £000 | | Purchase of intangible assets | (2,982) | | Purchase of property, vehicles and equipment | (8,481) | | Proceeds of disposal of proper | ty, vehicles and equipment | | Additions to investments | (63,956) | | Repayments from other bodies | - | | Net cash outflow from investing activities | (74,223) | ## 21.3 Cash Flows From Financing Activities | 31 March | 31 March | |----------------------------------------------------|-------------| | 2014 | 2013 | | £000 | £000 | | From the Consolidated Fund (supply) - current year | 8,644,893 | | From the Consolidated Fund (supply) - prior year | 54,370 | | Net financing | 8,699,263 | ## 21. Notes To The Statement Of Cash Flows (Continued) 21.4 Analysis of capital expenditure, financial investments and associated Consolidated funds in excess of receipts (CFERs) Property, vehicles and equipment, and intangible assets Administration 11,462 - - 11,462 Programme: long term loans - - (28,597) (28,597) Programme: investments - 37,951 - 37,951 Other receipts - - (1,196) (1,196) Total 11,462 37,951 (29,793) 19,620 Property, vehicles and equipment, and intangible assets Administration 65,986 - - 65,986 Programme: long term loans - - (40,730) (40,730) Programme: investments - 34,003 - 34,003 Other receipts - - (590) (590) Total 65,986 34,003 (41,320) 58,669 ## 22. Third Party Assets The Department held the amounts shown below, which relate to cash provided to DFID by other development agencies as part of jointly funded programmes. These funds are held in the capacity of project manager/lead donor and are disbursed when required by the programme. These are not held in DFID's name and as such are not included in cash held by the Core Depar tment, as set out in note 12. The reduction in the balance from 31 March 2013 to the present is due to the contract for third party money being transferred from DFID to Crown Agents, who have taken on the responsibility for managing and controlling these funds; in place of DFID. The majority of projects and associated funds have now been transferred; however there is a residual balance remaining with DFID where the projects are due for completion within the next couple of months. | Amounts held in third party account | 1,469 | 2,138 | |----------------------------------------|----------|----------| 2013–14 Investments and loans Appropriations in aid Net total £000 £000 £000 £000 2012–13 Investments and loans Appropriations in aid Net total £000 £000 £000 £000 31 March 2013 £000 £000 ## 23. Entities Within The Departmental Accounting Boundary The entities within the boundary during 2013–14 were as follows. DFID income and expenditure incorporated financing of the following non-departmental public bodies (NDPBs), in full or in part, in the current financial year: ## Executive Ndpb Commonwealth Scholarship Commission (Csc) Advisory Ndpb Independent Commission For Aid Impact (Icai) Reconciliation of grant in aid to CSC from Core Department and other departments 2013–14 2012–13 £000 £000 Core Department 23,259 20,550 Other depar tments 450 490 Total grant in aid to CSC 23,709 21,040 Of which Administration grant in aid 1,761 1,980 Programme grant in aid 21,948 19,060 23,709 21,040 CSC administrative expenditure 1,769 2,112 CSC programme expenditure 22,311 19,011 Total CSC expenditure 24,080 21,123 Increase in cash and cash equivalents (1,395) 475 Increase in trade payables 1,046 (558) Decrease in receivables (22) - 23,709 21,040 DFID income from other government departments to fund grant in aid payment (450) (490) ICAI is an advisory NDPB, whose spend is included within DFID's expenditure and is not required to be repor ted separately. ## 24. Events After The Reporting Date No non-adjusting events after the reporting date have been identified. These financial statements were authorised for issue on the same date that the Comptroller and Auditor General signed his certificate. ## Analysis Of Departmental Expenditure Common Core Tables (Unaudited) In line with Her Majesty's Treasury Public Expenditure System (PES) guidance on the preparation of 2013–14 Annual Repor t and Accounts, DFID has produced the following common core tables. Tables 7.1, 7.3 and 7.4 cover the required period 2009–10 to 2015–16. Table 7.2 is required to cover 2013–14 alone. These tables summarise key performance information against prior years, budget and forecast information. The figures up to and including 2013–14 show the actual resource outturn for that year, and for 2014–15 onwards indicative planning figures are presented. These figures were informed by the spending review 2010 and revisions to provisional allocations made within the Autumn Statement. These provisional plans may be subject to revision, as DFID strategy is continually reviewed to ensure that aid is used most effectively. DFID's available programme resources are allocated to country or regional specific aid programmes, international aid programmes or other programmes in the annual resource round. This establishes an aid framework allocation, approved by the Secretary of State, which provides divisions within DFID with a firm budget for the current year. For full details on what the outturn for 2013–14 represents and how this was delivered, reference should be made to other narrative within the Annual Repor t and Accounts. An Excel version of these tables, as required by HM Treasury regulations, is included on DFID's external website. ## Table 7.1: Public Spending This table summarises Budgets and Outturn on a basis consistent with the Estimate Par t II section headings. One adjustment has been made for the period 2009–10 to 2010–11 where capital grants are reflected in outturn as resource but are funded by capital. The revised format of note 2 now reflects this change to the Accounts. As a result of the new ministers appointed during 2010–11, a new basis of assessing aid delivery was formed. This allocates aid across 5 pillars. As outturn for the prior year was not based on this methodology it is not appropriate to restate these figures on this basis. As a result the original Estimate headings are displayed for outturn from 2009–10 to 2010–11, with only Plan data shown on the new basis. This is consistent with information available on Online System for Central Accounting and Repor ting (OSCAR). £000 2009–10 2010–11 Basis for 2009–10 to 2010–11 Outturn Outturn Resources (excluding capital grants) 5,003,799 5,318,663 RfR1: Eliminating Poverty in Poorer Countries Of which: Spending in Departmental Expenditure Limits 4,624,050 5,004,383 A: Bilateral Aid to Africa 1,480,352 1,557,019 B: Bilateral Aid to South Asia 735,452 759,785 C: Bilateral Aid to the Rest of the World 389,997 369,988 D: Improve the Effectiveness of Multilateral Aid 1,247,422 1,599,045 E: Develop a Global Par tnership for Development 355,850 385,239 F: Central Departments 314,977 83,307 G: Environment Transformation Fund 100,000 250,000 Multiple Objectives - - Gibraltar Social Insurance Fund - - Spending in Annually Managed Expenditure 379,749 314,280 H: Programmes Contributing to Multiple Objectives 145,931 6,020 I: Grants to the International Finance Facility for Immunisation 233,818 224,481 J: Provision for Advance Market Commitment - 83,779 Central departments - - EU Research Grants - - RfR2: Conflict Prevention 16,715 15,652 A: Conflict Prevention and Stabilisation 16,715 15,652 Total 5,020,514 5,334,315 ## Table 7.1: Public Spending (*Continued*) | | | | New basis from 2011–12 | £000 | |------------------------------------------------------------------|-----------|-----------|---------------------------|-----------| | 2011–12 | 2012–13 | 2013–14 | 2014–15 | 2015–16 | | Outturn | Outturn | Outturn | Plans | Plans | | 1 | | | | | | Resources (excluding capital grants) | | | | | | Of which: | | | | | | Spending in Departmental Expenditure Limits | 6,183,532 | 6,129,662 | 8,088,379 | 7,870,142 | | A: CSC (NDPB) (net) scholarship relating to developing countries | 18,189 | 20,633 | 24,080 | 27,284 | | | | | | | | B: Wealth Creation | 421,231 | 419,247 | 575,108 | 646,608 | | C: Climate Change | 157,831 | 268,620 | 271,311 | 285,555 | | D: Governance and Security | 720,291 | 696,928 | 735,505 | 725,796 | | E: Direct Delivery of Millennium Development Goals | 2,183,444 | 2,388,532 | 4,295,992 | 4,066,601 | | F: Global Partnerships | 1,529,331 | 1,333,672 | 1,262,056 | 895,972 | | G: Total Operating Costs | 207,944 | 236,269 | 239,280 | 234,396 | | H: Central Programmes | (13,128) | (13,290) | (19,860) | 17,500 | | I: Joint Conflict Pool | 21,570 | 18,892 | 29,416 | 39,150 | | J: Independent Commission for Aid Impact (NDPB) (net) | 2,116 | 2,914 | 3,653 | 4,280 | | | | | | | | K: CSC (NDPB) (net) scholarship relating to developed countries | 588 | - | - | - | | No Specific Pillar | - | - | - | - | | Departmental Unallocated Provision | - | - | - | - | | Non-voted | | | | | | L: European Union Attributed Aid | 934,125 | 757,245 | 671,838 | 927,000 | | Spending in Annually Managed Expenditure | 43,960 | 138,590 | 68,995 | 339,985 | | Voted | | | | | | - | | | | | | M: Wealth Creation | (2,723) | (2,084) | 38,071 | (927) | | N: Direct Delivery of Millennium Development Goals | 41,052 | 156,067 | 3,769 | 314,866 | | O: Total Operating Costs | (3,927) | (3,748) | (2,722) | (1,154) | | P: Central Programmes | 9,558 | (11,645) | 9,320 | 27,200 | | Q: Climate Change | - | - | 20,557 | - | | | | | | | | No Specific Pillar | - | - | - | - | | Total | 6,227,492 | 6,268,252 | 8,157,374 | 8,210,127 | | | | | | | 1 DFID is in the process of conducting a resource allocation round for 2015–16 and beyond. As this is still underway, we are unable to provide a detailed breakdown of the categories that budget will be allocated to. ## Table 7.1: Public Spending (*Continued*) | | CAPITAL | |------------------------------------------------------------------|--------------------------| | Basis for 2009–10 to 2010–11 | | | Resources (including capital grants) | | | RfR1: Eliminating Poverty in Poorer Countries | | | Of which: | | | Spending in Departmental Expenditure Limits | | | A: Bilateral Aid to Africa | 110,313 | | B: Bilateral Aid to South Asia | 55,796 | | C: Bilateral Aid to the Rest of the World | 13,631 | | D: Improve the Effectiveness of Multilateral Aid | 1,060,382 | | E: Develop a Global Par | tnership for Development | | F: Central Departments | (12,044) | | G: Environment Transformation Fund | - | | Multiple Objectives | | | Gibraltar Social Insurance Fund | - | | Spending in Annually Managed Expenditure | - | | H: Programmes Contributing to Multiple Objectives | - | | I: Grants to the International Finance Facility for Immunisation | - | | J: Provision for Advance Market Commitment | - | | | | | Central Departments | | | EU Research Grants | - | | RfR2: Conflict Prevention | - | | A: Conflict Prevention and Stabilisation | - | | Total | 1,352,642 | £000 2009–10 2010–11 Outturn Outturn 1,352,642 1,758,696 1,352,642 1,758,696 ## Table 7.1: Public Spending (*Continued*) | CAPITAL | £000 | | |------------------------------------------------------------------|-----------|-----------| | New basis from 2011–12 | | | | 2011–12 | 2012–13 | 2013–14 | | Outturn | Outturn | Outturn | | Resources (including capital grants) | | | | Of which: | | | | Spending in Departmental Expenditure Limits | 1,645,907 | 1,653,213 | | A: CSC (NDPB) (net) scholarship relating to developing countries | - | - | | B: Wealth Creation | 127,995 | 194,279 | | C: Climate Change | 67,084 | 54,295 | | D: Governance and Security | 18,508 | 13,808 | | E: Direct Delivery of Millennium Development Goals | 117,353 | 70,115 | | F: Global Partnerships | 1,323,535 | 1,315,993 | | G: Total Operating Costs | - | - | | H: Central Programmes | (8,568) | 4,724 | | I: Joint Conflict Pool | - | - | | J: Independent Commission for Aid Impact (NDPB) (net) | - | - | | | | | | K: CSC (NDPB) (net) scholarship relating to developing countries | - | - | | No Specific Pillar | - | - | | Departmental Unallocated Provision | - | - | | Non-voted | | | | L: European Union Attributed Aid | - | - | | Spending in Annually Managed Expenditure | | | | - | - | - | | Voted | | | | M: Wealth Creation | - | - | | N: Direct Delivery of Millennium Development Goals | - | - | | O: Total Operating Costs | - | - | | P: Central Programmes | - | - | | Total | 1,645,907 | 1,653,214 | ## Table 7.2: Public Spending Control This table sets out DFID's outturn for 2013–14, by subhead detail against the total budgetary control limits approved by Parliament at Main Estimate and at final Supplementary Estimate. £000 Resources Main Estimate Supplementary Forecast Variance from Variance from Estimate outturn Main Estimate Supplementary Estimate Voted Expenditure 8,576,500 8,469,888 8,088,379 488,121 381,509 A: CSC (NDPB) (net) scholarship 37,454 37,454 24,080 13,374 13,374 relating to developing countries B: Wealth Creation 754,407 697,968 575,108 179,299 122,860 C: Climate Change 457,444 305,355 271,311 186,133 34,044 D: Governance and Security 684,608 663,922 735,505 (50,897) (71,583) E: Direct Delivery of Millennium 3,246,161 4,377,613 4,295,992 (1,049,831) 81,621 Development Goals F: Global Par tnerships 1,887,249 1,157,483 1,262,056 625,193 (104,573) G: Total Operating Costs 247,419 247,019 239,280 8,139 7,739 H: Central Programmes 5,675 1,675 (19,860) 25,535 21,535 I: Joint Conflict Pool 34,500 27,250 29,416 5,084 (2,166) J: Independent Commission for Aid 4,256 4,256 3,653 603 603 Impact (NDPB) (net) K: No Specific Pillar 208,871 - – 208,871 - Departmental Unallocated Provision 98,456 39,893 – 98,456 39,893 Non-voted L: European Union Attributed Aid 910,000 910,000 671,838 238,162 238,162 Spending in Annually Managed Expenditure Voted 291,600 191,524 68,995 222,605 122,529 M: Wealth Creation (1,492) (1,492) 38,071 (39,563) (39,563) N: Direct Delivery of Millennium 269,035 158,105 3,769 265,266 154,336 Development Goals O: Total Operating Costs (3,743) (3,439) (2,722) (1,021) (717) P: Central Programmes 27,800 38,350 9,320 18,480 29,030 Q: Climate Change - – 20,557 (20,557) (20,557) Total 8,868,100 8,661,412 8,157,374 710,726 504,038 ## Table 7.2: Public Spending Control (*Continued*) | Capital | Main Estimate Supplementary | Forecast | Variance from | Variance from | |------------------------------------|--------------------------------|-------------|------------------|------------------| | Voted Expenditure | | | | | | 1,925,000 | 1,969,442 | 1,945,584 | (20,584) | 23,858 | | A: CSC (NDPB) (net) scholarship | - | - | - | - | | relating to developing countries | | | | | | B: Wealth Creation | 274,417 | 409,044 | 302,403 | (27,986) | | C: Climate Change | 76,550 | 107,461 | 75,354 | 1,196 | | D: Governance and Security | 1,094 | 10,271 | 11,086 | (9,992) | | E: Direct Delivery of Millennium | 93,388 | 62,607 | 51,483 | 41,905 | | Development Goals | | | | | | F: Global Par | tnerships | 1,471,160 | 1,379,059 | 1,508,583 | | G: Total Operating Costs | - | - | - | - | | H: Central Programmes | 1,000 | 1,000 | (3,325) | 4,325 | | I: Joint Conflict Pool | - | - | - | - | | J: | Independent Commission for Aid | - | - | - | | Impact (NDPB) (net) | | | | | | K: No Specific Pillar | 7,391 | - | - | 7,391 | | Departmental Unallocated Provision | - | - | - | - | | Non-voted | | | | | | L: European Union Attributed Aid | - | - | - | - | | Spending in Annually Managed | - | - | - | - | | Expenditure | | | | | | Voted | | | | | | M: Wealth Creation | - | - | - | - | | N: Direct Delivery of Millennium | - | - | - | - | | Development Goals | | | | | | O: Total Operating Costs | - | - | - | - | | P: Central Programmes | - | - | - | - | | Q: Climate Change | - | - | - | - | | Total | 1,925,000 | 1,969,442 | 1,945,584 | (20,584) | £000 Estimate outturn Main Estimate Supplementary Estimate ## Table 7.3: Capital Employed The table below summarises DFID's Statement of Financial Position. PES (2012) 17 requires depar tments to publish plan data for the next 2 years. The most significant values on DFID's Statement of Financial Position are based on values provided by external par ties, such as investment values. No plan information relating to future performance of these factors is available. In addition, other areas such as provisions and payables <1 year (including promissory notes) will vary depending on the programmes funded over the next 4 years and funding mechanisms used. As a result DFID has had to make assumptions to determine a future value for a number of areas within the Statement of Financial Position. Consistent with the preparation of the 2013-14 Annual Repor t and Accounts, 2012-2013 Outturn has been restated to reflect a change in accounting policy relating to CDC Group plc. £000 2009–10 2010–11 2011–12 2012–13 2013–14 2014–15 2015–16 Outturn Outturn Outturn Outturn Outturn Plans Plans (Restated) Assets and liabilities on the Statement of Financial Position at end of year: Assets Non-current assets Property, vehicles and equipment 92,724 87,085 83,166 122,827 120,092 34,747 22,440 Of which: Land and buildings (including leasehold 61,111 61,796 55,234 89,016 86,587 15,570 4,960 improvements) Vehicles 2,748 2,256 1,879 2,206 2,365 1,183 591 Office and domestic furniture and 8,885 8,815 7,934 9,321 6,904 5,523 4,419 equipment IT equipment and systems 11,205 6,617 4,177 4,039 3,882 7,382 8,654 Assets in the course of construction 8,775 7,601 13,942 18,245 20,354 5,089 3,816 Intangible 24,602 21,867 21,380 22,675 21,753 17,947 14,141 Investments 3,813,655 3,867,211 4,048,864 6,118,062 6,229,249 8,272,249 10,886,249 Trade and other receivables > 1 year 128,964 111,419 79,703 74,420 69,973 58,000 46,000 Current assets Financial assets - - 1,678 - - - - Trade and other receivables < 1 year 361,771 157,344 71,768 124,613 138,003 138,000 138,000 Cash and cash equivalents 4,199 3,605 2,880 1,608 24,109 9,109 9,000 Liabilities Current < 1 year (1,758,952) (2,505,030) (2,855,959) (3,186,336) (4,034,972) (3,990,000) (3,945,000) Non-current > 1 year (46,454) (46,766) (46,210) (45,010) - - - Provisions (674,280) (914,826) (938,402) (1,048,571) (1,014,385) (988,000) (961,500) Capital employed within the main 1,946,229 781,909 468,868 2,184,288 1,553,822 3,552,052 6,209,330 Department NDPB net assets - - 766 683 334 300 300 Total capital employed in Departmental 1,946,229 781,909 469,634 2,184,971 1,554,156 3,552,352 6,209,630 Group ## Table 7.4: Administration Budgets The table below shows published Administration Budget outturn for the past 5 years (including year just ended) and Spending Review plans for the next 2 years. In accordance with the Business Plan and Structural Reform Plan, DFID has moved its internal basis of monitoring to a 5 pillar approach. The headings on the Estimate and focus of plans have been aligned to these pillars. It is not considered appropriate to restate prior years' outturns on this basis as these pillars were not used for strategic decision-making. | 2009–10 | 2010–11 | |--------------------------------------------------|--------------------------------------------------| | Outturn | Outturn | | Headings for 2009–10 to 2010–11 | | | Eliminating Poverty in Poorer Countries | | | A: Bilateral Aid to Africa | 19,370 | | B: Bilateral Aid to South Asia | 12,203 | | C: Bilateral Aid to the Rest of the World | 12,679 | | D: Improve the Effectiveness of Multilateral Aid | 14,603 | | E: Develop a Global Partnership for Development | 19,978 | | F: Central Departments | 76,220 | | | | | G: Environment Transformation Fund | - | | | | | Spending In Annually Managed Expenditure | | | - | - | | Objectives | | | - | - | | | | | I: | Grants to the International Finance Facility for | | Immunisation | | | J: Provision for Advance Market Commitment | - | | | | | Central Departments | - | | | | | Total RfR1 | 155,053 | | Conflict Prevention | | | A: Conflict Prevention and Stabilisation | 3,996 | | Total RfR2 | 3,996 | | Total RfR 1 and 2 | 159,049 | ## Table 7.4: Administration Budgets (*Continued*) | 2009–10 | 2010–11 | 2011–12 | 2012–13 | 2013–14 | 2014–15 | 2015–16 | |----------------------------------------------|------------|------------|------------|------------|------------|------------| | Outturn | Outturn | Outturn | Outturn | Outturn | Plans | Plans | | | | | | | | | | New basis from 2011–12 | | | | | | | | Resources | | | | | | | | Of which: | | | | | | | | Spending in Departmental Expenditure Limits | | | | | | | | - | - | | | | | | | 123,345 | 127,815 | 115,973 | 115,200 | | | | | 112,700 | | | | | | | | A: CSC (NDPB) (net) scholarship relating | | | | | | | | - | - | | | | | | | 1,942 | 2,112 | 1,769 | 1,724 | - | | | | to developing countries | | | | | | | | B: Wealth Creation | - | - | - | | | | | - | - | - | | | | | | - | | | | | | | | C: Climate Change | - | - | - | | | | | - | - | - | | | | | | - | | | | | | | | D: Governance and Security | - | - | - | | | | | - | - | - | | | | | | - | | | | | | | | E: Direct Delivery of Millennium Development | - | - | - | | | | | - | - | - | | | | | | - | | | | | | | | Goals | | | | | | | | F: Global Partnerships | - | - | - | | | | | - | - | - | | | | | | - | | | | | | | | G: Total Operating Costs | - | - | 120,989 | 125,298 | 113,728 | 95,496 | | H: Central Programmes | - | - | - | | | | | - | - | | | | | | | 17,500 | 18,000 | | | | | | | I: Joint Conflict Pool | - | - | - | | | | | - | - | - | | | | | | - | | | | | | | | J: Independent Commission for Aid Impact | - | - | 303 | 405 | 476 | 480 | | | | | | | | | | (NDPB) (net) | | | | | | | | K: CSC (NDPB) (net) scholarship relating to | - | - | 111 | | | | | - | - | - | | | | | | - | | | | | | | | developing countries | | | | | | | | Non-voted | | | | | | | | L: European Union Attributed Aid | - | - | - | | | | | - | - | - | | | | | | - | | | | | | | | Spending in Annually Managed Expenditure | | | | | | | | - | - | - | | | | | | - | - | - | | | | | | - | | | | | | | | Voted | | | | | | | | M: Wealth Creation | - | - | - | | | | | - | - | - | | | | | | - | | | | | | | | N: Direct Delivery of Millennium Development | - | - | - | | | | | - | - | - | | | | | | - | | | | | | | | Goals | | | | | | | | O: Total Operating Costs | - | - | - | | | | | - | - | - | | | | | | - | | | | | | | | P: Central Programmes | - | - | - | | | | | - | - | - | | | | | | - | | | | | | | | Total | | | | | | | | - | - | | | | | | | 123,345 | 127,815 | 115,973 | 115,200 | 112,700 | | | £000 ## Table 7.5: Staff In Post | | Mar-09 | Mar-10 | Mar-11 | Mar-12 | Mar-13 | Mar-14 | |---------------------|-----------|-----------|-----------|-----------|-----------|-----------| | Home civil servants | 1,600 | 1,573 | 1,567 | 1,562 | 1,764 | 1,863 | Table 7.5 shows the number of full-time equivalent Civil Ser vice staff employed by DFID in the UK and overseas, including those working overseas on aid projects. Par t-time staff are counted according to percentage of time worked. Note 3 to the Accounts shows the average number of full-time equivalents employed during the year and includes locally engaged staff overseas, as required by the 2013–14 Government Financial Repor ting Manual. This is why the totals differ. ## Administration Consulting And Administration Temporary Staff Total spend by DFID during 2013–14 on administration consultancy was £82,011 (2012–13: £4,588,616), and the spend on other administration temporary staff was £1,903,506 (2012–13: £1,875,482). The numbers in the table and note above consist of Core Depar tment only. No staff are employed by the Depar tment's NDPBs. ## Dfid Allocations By Programme DFID's available programme resources are allocated to country or regional specific aid programmes, international aid programmes or other programmes in the annual resources and results cycle. This establishes an aid framework allocation, approved by the Secretary of State, which provides divisions within DFID with a firm budget for the current year and indicative budgets for future years. Table A.1 sets out the Depar tment's actual programme resource outturn for 2013–14, and for 2014–15 indicative planning figures are presented. These plans may be subject to revision as, by its nature, the Depar tment's work is dynamic. The precise way in which DFID spends will reflect changing demands and the speed at which different projects are implemented and new projects developed. Figures may not sum exactly to totals due to rounding. DFID's par tnership with India and South Africa is in transition; DFID will honour commitments to existing projects, all of which will finish in 2015. AFRICA East and Central Africa Africa Regional Department 183,981 2,855 147,269 DFID Burundi 10 – – DFID Ethiopia 288,335 3,975 341,690 DFID Kenya 139,309 3,147 108,431 DFID Rwanda 88,099 2,311 74,218 DFID Tanzania 178,828 3,651 165,591 DFID Uganda 97,417 2,699 86,337 DFID Sudan 50,582 2,538 48,400 DFID South Sudan 143,088 3,441 137,651 DFID Somalia 87,113 3,488 107,331 East and Central Africa TOTAL 1,256,762 28,105 1,216,917 West and Southern Africa Africa Directorate 1,399 1,013 18,125 DFID DRC 167,266 5,100 159,039 DFID Malawi 87,158 2,021 61,867 DFID Mozambique 80,123 2,724 66,627 DFID Southern Africa 53,208 2,904 64,937 DFID Zambia 68,999 2,377 62,137 DFID Zimbabwe 108,643 2,649 75,998 DFID Ghana 92,962 2,117 73,885 DFID Nigeria 274,745 8,584 233,900 DFID Sierra Leone and Liberia 80,194 2,592 66,420 West and Southern Africa Total 1,014,697 32,080 882,934 Africa TOTAL 2,271,459 60,185 2,099,851 | 2013–14 | 2013–14 | 2014–15 | |-----------------|------------|------------| | Total | | | | programme | | | | outturn | | | | Of which: Front | | | | line delivery | | | | outturn | Plans | | | (£000) | (£000) | (£000) | | 2013–14 | 2013–14 | 2014–15 | |--------------------------------------------------------|---------------------|------------| | Total | | | | programme | | | | outturn | | | | Of which: Front | | | | line delivery | | | | outturn | Plans | | | (£000) | (£000) | (£000) | | Asia, Caribbean and Overseas Territories | | | | DFID Cambodia | 4,891 | - | | DFID Bangladesh | 265,679 | 3,528 | | DFID Burma | 71,417 | 1,732 | | DFID India | 173,514 | 4,365 | | DFID Nepal | 107,376 | 2,652 | | DFID Vietnam | 16,995 | 1,068 | | DFID Indonesia | 14,476 | 988 | | Asia Division London | 263 | 263 | | DFID Caribbean | 16,176 | 1,851 | | Overseas Territories Depar | tment | 118,937 | | Asia Regional Team | 29,642 | 626 | | Global Development Par | tnerships Programme | 6,402 | | Global Development Partnerships Programme - India | 8,512 | - | | Asia, Caribbean and Overseas Territories TOTAL | 834,281 | 20,645 | | Western Asia and Stabilisation Division | | | | West Asia Department | 265 | 265 | | DFID Afghanistan | 193,586 | 11,331 | | DFID Pakistan | 259,512 | 6,522 | | Stabilisation Unit | 15,919 | 4,279 | | DFID Tajikistan | 9,709 | 930 | | DFID Kyrgyz Republic | 4,683 | - | | DFID Ukraine | - | - | | Western Asia and Stabilisation Division TOTAL | 483,674 | 23,328 | | Middle East and North Africa Division | | | | DFID Jerusalem and Palestinian Programme | 95,369 | 1,510 | | DFID Syria | 294,960 | 445 | | DFID MENAD Regional | 50,481 | 2,541 | | DFID Yemen | 82,232 | 857 | | Middle East Humanitarian and Conflict Directors Office | - | - | | Middle East and North Africa Division TOTAL | 523,041 | 5,353 | | Conflict, Humanitarian and Security Division | | | | Conflict Funds | 3,550 | - | | Conflict, Humanitarian and Security Department | 395,105 | 2,333 | | Conflict, Humanitarian and Security Division TOTAL | | | | 398,655 | 2,333 | 312,771 | | Country/Regional Programme TOTAL | | | | 4,511,109 | 111,844 | 4,111,696 | | International Finance Division | | | | Multilateral Effectiveness Department | 1,376 | 161 | | Private Sector Department | 212,900 | 262 | | World Bank Programme | 1,105,000 | - | | Regional Development Banks | 286,379 | - | | HIPC, Debt Relief | 81,773 | - | | IMF | 9,900 | - | | Global Funds Department | 1,121,945 | 108 | | International Finance Division TOTAL | 2,819,273 | 604 | | 2013–14 | 2013–14 | 2014–15 | |-----------------------------------------------------------|------------|------------| | Total | | | | programme | | | | outturn | | | | Of which: Front | | | | line delivery | | | | outturn | Plans | | | (£000) | (£000) | (£000) | | International Relations Division | | | | European Commission Attribution | 671,838 | - | | United Nations and Commonwealth Department | 347,211 | 133 | | Global Partnerships Department | 4,164 | 1,063 | | Europe Department | 409,830 | - | | International Relations Division Total | 1,433,043 | 1,196 | | International Divisions TOTAL | 4,252,389 | 1,800 | | Policy Division | | | | Civil Society Department | 188,396 | 367 | | Policy and Research Cabinet | 19,453 | - | | Governance, Open Societies and Anti-Corruption Department | 45,645 | 943 | | Growth and Resilience Depar | tment | 56,110 | | Human Development Group | 293,958 | 1,771 | | Climate and Environment Group | 212,213 | 1,661 | | Trade Policy Unit | 8,576 | 32 | | Policy Division TOTAL | 824,352 | 5,668 | | Research and Evidence Division | | | | Evaluation Department | 18,389 | - | | Research and Evidence | 308,541 | 5,934 | | Chief Economist Office | 5,853 | 595 | | Research and Evidence Division TOTAL | 332,783 | 6,529 | | Policy and Research TOTAL | 1,157,135 | 12,197 | | Corporate Performance Group TOTAL | 64,313 | 2,760 | | Central costs | -63,630 | 1,230 | | TOTAL | 9,921,316 | 129,831 | ## Annual Reporting Of Statistical Information B.1 The International Development (Repor ting and Transparency) Act 2006 requires the Secretary of State for International Development to repor t to Parliament on an annual basis. The schedule to the Act sets out the statistical repor ting that is required. This information is published each autumn for the preceding year in DFID's publication Statistics on International Development. Provisional figures for 2013 are provided in the following tables. B.2 The statistical repor ting requirements of the Act are itemised below with the tables within this Annex showing where the corresponding information can be located. Information is included for the most recent period and each of the four periods before. Figures may not sum exactly to totals due to rounding. | Act schedule | Table number | |------------------------------------------------------------------------------------|-----------------| | Total UK bilateral aid broken down by: | | | Debt relief, in turn split by cancelled expor | t credits | | Region | Table B.2 | | Country including humanitarian assistance breakdown | Table B.2 | | Sector | Table B.3 | | Country as a percentage of UK bilateral aid | Table B.2 | | Percentage and amount to low income countries | Table B.2 | | Percentage of gross national income (GNI) | Table A.6 | | UK multilateral aid broken down by: | | | European Union | Table B.1 | | World Bank | Table B.1 | | United Nations and its agencies | Table B.1 | | Other multilateral organisations | Table B.1 | | UK imputed share | | | 1 | | | of the aggregate amount of multilateral official development assistance (ODA) | | | provided by the bodies to which the UK contributed such assistance broken down by: | | | Country | Table B.4 | | Percentage and amount to low income countries | Table B.4 | [1] UK imputed share is the share of all multilateral expenditure in developing countries which can be attributed to the UK. £ millions 2009 2010 2011 2012 2013[1] Total bilateral ODA 4,732 5,191 5,286 5,524 6,666 as a % of GNI 0.33 0.35 0.34 0.36 0.42 of which: Administration costs[2] 254 238 258 333 232 Debt relief 27 106 113 71 36 Export Credit Guarantee Agency 7 54 91 20 30 Total multilateral ODA 2,491 3,261 3,343 3,242 4,771 as a % of GNI 0.18 0.22 0.22 0.21 0.30 of which: Total European Commission 1,245 1,301 1,184 1,169 1,274 Total World Bank 555 933 1,086 797 1,609 Total UN agencies 297 371 367 419 443 Total other organisations[3] 394 656 706 858 1,445 TOTAL ODA 7,223 8,452 8,629 8,766 11,437 as a % of GNI 0.51 0.57 0.56 0.56 0.72 [1] 2013 data is provisional. Final 2013 ODA will be published in Statistics on International Development 2014 in October. [2] Includes front line delivery costs. This is in line with OECD Development Assistance Committee (DAC) Statistical Repor ting Directives. [3] Includes Regional Development Banks and other multilateral agencies on the DAC List of Multilateral Organisations. | | £ thousands | | | |---------------------------------------|----------------------|---------|---------| | Africa | | | | | Algeria | UK Net Bilateral ODA | 2,311 | 1,425 | | of which Humanitarian Assistance | - | - | - | | Percentage of Total Net Bilateral ODA | 0.05 | 0.03 | 0.02 | | Angola | | | | | [1] | | | | | UK Net Bilateral ODA | 2,842 | 10,800 | 428 | | of which Humanitarian Assistance | - | - | - | | Percentage of Total Net Bilateral ODA | 0.06 | 0.21 | 0.01 | | Benin | | | | | [1] | | | | | UK Net Bilateral ODA | 19 | - | 45 | | of which Humanitarian Assistance | - | - | 45 | | Percentage of Total Net Bilateral ODA | 0.00 | - | 0.00 | | Botswana | UK Net Bilateral ODA | 589 | 686 | | of which Humanitarian Assistance | - | - | - | | Percentage of Total Net Bilateral ODA | 0.01 | 0.01 | 0.02 | | Burkina Faso | | | | | [1] | | | | | UK Net Bilateral ODA | 128 | 65 | 510 | | of which Humanitarian Assistance | - | - | - | | Percentage of Total Net Bilateral ODA | 0.00 | 0.00 | 0.01 | | Burundi | | | | | [1] | | | | | UK Net Bilateral ODA | 9,232 | 13,041 | 11,055 | | of which Humanitarian Assistance | 1,101 | 2,286 | 372 | | Percentage of Total Net Bilateral ODA | 0.20 | 0.25 | 0.21 | | Cameroon | UK Net Bilateral ODA | 1,447 | 667 | | of which Humanitarian Assistance | - | - | - | | Percentage of Total Net Bilateral ODA | | | | | 0.03 | 0.01 | 0.01 | 0.02 | | Cape Verde | | | | | UK Net Bilateral ODA | 461 | 583 | 19 | | of which Humanitarian Assistance | - | - | - | | Percentage of Total Net Bilateral ODA | 0.01 | 0.01 | 0.00 | | Central African | | | | | UK Net Bilateral ODA | 1,562 | 1,955 | - | | Republic | | | | | [1] | | | | | of which Humanitarian Assistance | 1,511 | 1,502 | - | | Percentage of Total Net Bilateral ODA | 0.03 | 0.04 | - | | Chad | | | | | [1] | | | | | UK Net Bilateral ODA | 3,566 | 1,852 | 240 | | of which Humanitarian Assistance | 3,566 | 1,839 | 240 | | Percentage of Total Net Bilateral ODA | 0.08 | 0.04 | 0.00 | | Comoros | | | | | [1] | | | | | UK Net Bilateral ODA | - | 78 | 75 | | of which Humanitarian Assistance | - | - | - | | Percentage of Total Net Bilateral ODA | - | 0.00 | 0.00 | | Congo (Rep) | UK Net Bilateral ODA | - | 50,991 | | of which Humanitarian Assistance | - | 751 | - | | Percentage of Total Net Bilateral ODA | - | 0.98 | - | | Congo | | | | | UK Net Bilateral ODA | 144,340 | 162,380 | 238,946 | | (Dem Rep) | | | | | [1] | | | | | of which Humanitarian Assistance | 61,978 | 42,482 | 31,266 | | Percentage of Total Net Bilateral ODA | 3.05 | 3.13 | 4.52 | | Cote d'Ivoire | UK Net Bilateral ODA | 96 | 16,809 | | of which Humanitarian Assistance | - | - | 7,950 | | Percentage of Total Net Bilateral ODA | 0.00 | 0.32 | 0.13 | | Djibouti | | | | | [1] | | | | | UK Net Bilateral ODA | 1,504 | 6 | 12 | | of which Humanitarian Assistance | - | - | - | | Percentage of Total Net Bilateral ODA | 0.03 | 0.00 | 0.00 | | Egypt | UK Net Bilateral ODA | 22,817 | 5,821 | | of which Humanitarian Assistance | - | - | 24 | | Percentage of Total Net Bilateral ODA | 0.48 | 0.11 | 0.21 | | Eritrea | | | | | [1] | | | | | UK Net Bilateral ODA | 4,129 | 3,568 | 5,220 | | of which Humanitarian Assistance | 4,084 | 3,296 | 5,202 | | Percentage of Total Net Bilateral ODA | 0.09 | 0.07 | 0.10 | | Ethiopia | | | | | [1] | | | | | UK Net Bilateral ODA | 219,537 | 263,500 | 344,491 | | of which Humanitarian Assistance | 42,721 | 28,607 | 53,630 | | Percentage of Total Net Bilateral ODA | 4.64 | 5.08 | 6.52 | | Gabon | UK Net Bilateral ODA | - | 104 | | of which Humanitarian Assistance | - | - | - | | Percentage of Total Net Bilateral ODA | - | 0.00 | 0.00 | | 2009 | |---------| | [2] | ## Table B.2: Total Uk Net Oda And Humanitarian Assistance By Recipient Country (Continued) | | £ thousands | |---------------------------------------|----------------------| | Gambia | | | [1] | | | UK Net Bilateral ODA | 2,388 | | of which Humanitarian Assistance | - | | Percentage of Total Net Bilateral ODA | 0.05 | | Ghana | UK Net Bilateral ODA | | of which Humanitarian Assistance | 403 | | Percentage of Total Net Bilateral ODA | 2.08 | | Guinea | | | [1] | | | UK Net Bilateral ODA | 557 | | of which Humanitarian Assistance | 115 | | Percentage of Total Net Bilateral ODA | 0.01 | | Guinea-Bissau | | | [1] | | | UK Net Bilateral ODA | 83 | | of which Humanitarian Assistance | - | | Percentage of Total Net Bilateral ODA | 0.00 | | Kenya | | | [1] | | | UK Net Bilateral ODA | 84,007 | | of which Humanitarian Assistance | 15,192 | | Percentage of Total Net Bilateral ODA | 1.78 | | Lesotho | | | [1] | | | UK Net Bilateral ODA | 5,224 | | of which Humanitarian Assistance | - | | Percentage of Total Net Bilateral ODA | 0.11 | | Liberia | | | [1] | | | UK Net Bilateral ODA | 21,383 | | of which Humanitarian Assistance | - | | Percentage of Total Net Bilateral ODA | 0.45 | | Libya | | | [10] | | | UK Net Bilateral ODA | 1,191 | | of which Humanitarian Assistance | - | | Percentage of Total Net Bilateral ODA | 0.03 | | Madagascar | | | [1] | | | UK Net Bilateral ODA | 832 | | of which Humanitarian Assistance | 832 | | Percentage of Total Net Bilateral ODA | 0.02 | | Malawi | | | [1] | | | UK Net Bilateral ODA | 71,510 | | of which Humanitarian Assistance | 813 | | Percentage of Total Net Bilateral ODA | 1.51 | | Mali | | | [1] | | | UK Net Bilateral ODA | 19 | | of which Humanitarian Assistance | - | | Percentage of Total Net Bilateral ODA | 0.00 | | Mauritania | | | [1] | | | UK Net Bilateral ODA | 499 | | of which Humanitarian Assistance | - | | Percentage of Total Net Bilateral ODA | 0.01 | | Mauritius | UK Net Bilateral ODA | | of which Humanitarian Assistance | - | | Percentage of Total Net Bilateral ODA | 0.28 | | Morocco | UK Net Bilateral ODA | | of which Humanitarian Assistance | - | | - | | | Percentage of Total Net Bilateral ODA | 0.06 | | Mozambique | | | [1] | | | UK Net Bilateral ODA | 35,141 | | of which Humanitarian Assistance | 499 | | Percentage of Total Net Bilateral ODA | 0.74 | | Namibia | UK Net Bilateral ODA | | of which Humanitarian Assistance | - | | Percentage of Total Net Bilateral ODA | 0.01 | | Niger | | | [1] | | | UK Net Bilateral ODA | 3,969 | | of which Humanitarian Assistance | 2,074 | | Percentage of Total Net Bilateral ODA | 0.08 | | Nigeria | UK Net Bilateral ODA | | of which Humanitarian Assistance | - | | Percentage of Total Net Bilateral ODA | 2.56 | | Rwanda | | | [1] | | | UK Net Bilateral ODA | 57,522 | | of which Humanitarian Assistance | - | | Percentage of Total Net Bilateral ODA | 1.22 | | 2009 | |---------| | [2] | ## Table B.2: Total Uk Net Oda And Humanitarian Assistance By Recipient Country (Continued) | | £ thousands | |---------------------------------------|-----------------------------------| | Senegal | | | [1] | | | UK Net Bilateral ODA | 4,174 | | of which Humanitarian Assistance | - | | Percentage of Total Net Bilateral ODA | 0.09 | | Seychelles | UK Net Bilateral ODA | | of which Humanitarian Assistance | - | | Percentage of Total Net Bilateral ODA | 0.00 | | Sierra Leone | | | [1] | | | UK Net Bilateral ODA | 51,389 | | of which Humanitarian Assistance | - | | Percentage of Total Net Bilateral ODA | 1.09 | | Somalia | | | [1] | | | UK Net Bilateral ODA | 28,009 | | of which Humanitarian Assistance | 13,790 | | Percentage of Total Net Bilateral ODA | 0.59 | | South Africa | | | [4] | | | UK Net Bilateral ODA | 43,105 | | of which Humanitarian Assistance | -13 | | Percentage of Total Net Bilateral ODA | 0.91 | | St. Helena and | UK Net Bilateral ODA | | Dependencies | | | of which Humanitarian Assistance | 2,401 | | Percentage of Total Net Bilateral ODA | 0.45 | | South Sudan | | | [1] | | | UK Net Bilateral ODA | - | | of which Humanitarian Assistance | - | | Percentage of Total Net Bilateral ODA | - | | Sudan | | | [1] | | | UK Net Bilateral ODA | 187,207 | | of which Humanitarian Assistance | 80,454 | | Percentage of Total Net Bilateral ODA | 3.96 | | Swaziland | | | [4] | | | UK Net Bilateral ODA | -2,426 | | of which Humanitarian Assistance | - | | Percentage of Total Net Bilateral ODA | -0.05 | | Tanzania | | | [1] | | | UK Net Bilateral ODA | 138,700 | | of which Humanitarian Assistance | 3,752 | | Percentage of Total Net Bilateral ODA | 2.93 | | Togo | | | [1] | | | UK Net Bilateral ODA | 6,671 | | of which Humanitarian Assistance | - | | Percentage of Total Net Bilateral ODA | 0.14 | | Tunisia | UK Net Bilateral ODA | | of which Humanitarian Assistance | - | | Percentage of Total Net Bilateral ODA | 0.05 | | Uganda | | | [1] | | | UK Net Bilateral ODA | 75,127 | | of which Humanitarian Assistance | 12,772 | | Percentage of Total Net Bilateral ODA | 1.59 | | Zambia | | | [1] | | | UK Net Bilateral ODA | 47,074 | | of which Humanitarian Assistance | 3,015 | | Percentage of Total Net Bilateral ODA | 0.99 | | Zimbabwe | | | [1] | | | UK Net Bilateral ODA | 70,332 | | of which Humanitarian Assistance | 15,832 | | Percentage of Total Net Bilateral ODA | 1.49 | | Africa Regional | | | Nor | th of Sahara UK Net Bilateral ODA | | Regional | | | of which Humanitarian Assistance | - | | Percentage of Total Net Bilateral ODA | 0.02 | | South of Sahara UK Net Bilateral ODA | 26,748 | | Regional | | | of which Humanitarian Assistance | - | | Percentage of Total Net Bilateral ODA | 0.57 | | Africa Regional | UK Net Bilateral ODA | | of which Humanitarian Assistance | 4,936 | | Percentage of Total Net Bilateral ODA | 3.24 | | 2009 | |---------| | [2] | ## Table B.2: Total Uk Net Oda And Humanitarian Assistance By Recipient Country (Continued) | | £ thousands | |---------------------------------------|----------------------| | Asia and Middle East | | | Afghanistan | | | [1] | | | UK Net Bilateral ODA | 207,675 | | of which Humanitarian Assistance | 6,748 | | Percentage of Total Net Bilateral ODA | 4.39 | | Armenia | | | [8] | | | UK Net Bilateral ODA | 653 | | of which Humanitarian Assistance | - | | Percentage of Total Net Bilateral ODA | 0.01 | | Azerbaijan | | | [8] | | | UK Net Bilateral ODA | 903 | | of which Humanitarian Assistance | - | | Percentage of Total Net Bilateral ODA | 0.02 | | Bangladesh | | | [1] | | | UK Net Bilateral ODA | 160,101 | | of which Humanitarian Assistance | 2,081 | | Percentage of Total Net Bilateral ODA | 3.38 | | Bhutan | UK Net Bilateral ODA | | of which Humanitarian Assistance | - | | Percentage of Total Net Bilateral ODA | - | | Cambodia | | | [1] | | | UK Net Bilateral ODA | 20,685 | | of which Humanitarian Assistance | - | | Percentage of Total Net Bilateral ODA | 0.44 | | China | UK Net Bilateral ODA | | of which Humanitarian Assistance | 1,165 | | Percentage of Total Net Bilateral ODA | | | 1.57 | 1.08 | | Georgia | | | [8] | | | UK Net Bilateral ODA | 4,641 | | of which Humanitarian Assistance | 218 | | Percentage of Total Net Bilateral ODA | 0.10 | | India | UK Net Bilateral ODA | | of which Humanitarian Assistance | 13 | | Percentage of Total Net Bilateral ODA | 8.53 | | Indonesia | UK Net Bilateral ODA | | of which Humanitarian Assistance | 16,338 | | Percentage of Total Net Bilateral ODA | 0.93 | | Iran | UK Net Bilateral ODA | | of which Humanitarian Assistance | - | | Percentage of Total Net Bilateral ODA | 0.01 | | Iraq | UK Net Bilateral ODA | | of which Humanitarian Assistance | 8,003 | | Percentage of Total Net Bilateral ODA | 0.66 | | Jordan | UK Net Bilateral ODA | | of which Humanitarian Assistance | - | | Percentage of Total Net Bilateral ODA | 0.02 | | Kazakhstan | UK Net Bilateral ODA | | of which Humanitarian Assistance | - | | Percentage of Total Net Bilateral ODA | 0.09 | | 0.00 | 0.03 | | Korea Dem | | | UK Net Bilateral ODA | 32 | | Rep | | | [1] | | | of which Humanitarian Assistance | - | | Percentage of Total Net Bilateral ODA | 0.00 | | Kyrgyz | | | UK Net Bilateral ODA | 5,723 | | Republic | | | [1], [7] | | | of which Humanitarian Assistance | 653 | | Percentage of Total Net Bilateral ODA | 0.12 | | Laos | | | [1] | | | UK Net Bilateral ODA | 192 | | of which Humanitarian Assistance | - | | Percentage of Total Net Bilateral ODA | 0.00 | | Lebanon | UK Net Bilateral ODA | | of which Humanitarian Assistance | - | | Percentage of Total Net Bilateral ODA | 0.07 | | Malaysia | | | [4] | | | UK Net Bilateral ODA | 2,676 | | of which Humanitarian Assistance | - | | Percentage of Total Net Bilateral ODA | 0.06 | | 2009 | |---------| | [2] | | | ## Table B.2: Total Uk Net Oda And Humanitarian Assistance By Recipient Country (Continued) | | | | | | | £ thousands | |---------------------------------------|----------------------|---------|---------|---------|---------|----------------| | Maldives | UK Net Bilateral ODA | 243 | 168 | 167 | 221 | - | | of which Humanitarian Assistance | - | - | - | - | - | | | Percentage of Total Net Bilateral ODA | 0.01 | 0.00 | 0.00 | 0.00 | - | | | Mongolia | UK Net Bilateral ODA | 455 | 537 | 111 | 2,933 | - | | of which Humanitarian Assistance | - | - | - | - | - | | | Percentage of Total Net Bilateral ODA | 0.01 | 0.01 | 0.00 | 0.05 | - | | | | | | | | | | | Myanmar | | | | | | | | [1], [5] | | | | | | | | UK Net Bilateral ODA | 34,020 | 28,600 | 38,803 | 30,324 | 71,134 | | | of which Humanitarian Assistance | 17,586 | 3,930 | 6,571 | 4,024 | 10,445 | | | Percentage of Total Net Bilateral ODA | 0.72 | 0.55 | 0.73 | 0.55 | 1.07 | | | Nepal | | | | | | | | [1] | | | | | | | | UK Net Bilateral ODA | 66,081 | 68,111 | 64,917 | 69,502 | 90,399 | | | of which Humanitarian Assistance | 10,397 | 78 | - | 5,047 | - | | | Percentage of Total Net Bilateral ODA | 1.40 | 1.31 | 1.23 | 1.26 | 1.36 | | | Oman | UK Net Bilateral ODA | 410 | 602 | - | - | - | | of which Humanitarian Assistance | - | - | - | - | - | | | Percentage of Total Net Bilateral ODA | 0.01 | 0.01 | - | - | - | | | Pakistan | UK Net Bilateral ODA | 139,250 | 193,285 | 206,849 | 189,218 | 317,027 | | of which Humanitarian Assistance | 21,101 | 102,668 | 73,218 | 28,859 | 30,922 | | | Percentage of Total Net Bilateral ODA | 2.94 | 3.72 | 3.91 | 3.43 | 4.76 | | | Philippines | UK Net Bilateral ODA | 2,810 | 376 | 1,294 | 1,664 | 32,214 | | of which Humanitarian Assistance | 499 | - | 3 | | | | | 2 | 32,214 | | | | | | | Percentage of Total Net Bilateral ODA | 0.06 | 0.01 | 0.02 | 0.03 | 0.48 | | | Sri Lanka | | | | | | | | [4] | | | | | | | | UK Net Bilateral ODA | 11,620 | -5,504 | 2,633 | 5,460 | 1,384 | | | of which Humanitarian Assistance | 8,675 | 3,775 | 394 | - | - | | | Percentage of Total Net Bilateral ODA | 0.25 | -0.11 | 0.05 | 0.10 | 0.02 | | | Syria | UK Net Bilateral ODA | 672 | 1,263 | 1,268 | 39,547 | 127,240 | | of which Humanitarian Assistance | 6 | - | - | 36,565 | 126,093 | | | Percentage of Total Net Bilateral ODA | 0.01 | 0.02 | 0.02 | 0.72 | 1.91 | | | Tajikistan | | | | | | | | [1] | | | | | | | | UK Net Bilateral ODA | 2,868 | 8,107 | 10,290 | 8,627 | 6,631 | | | of which Humanitarian Assistance | 602 | 259 | 7 | 102 | 396 | | | Percentage of Total Net Bilateral ODA | 0.06 | 0.16 | 0.19 | 0.16 | 0.10 | | | Thailand | | | | | | | | [4] | | | | | | | | UK Net Bilateral ODA | 6,351 | 4,668 | -4,756 | -13,397 | - | | | of which Humanitarian Assistance | - | - | - | - | - | | | Percentage of Total Net Bilateral ODA | 0.13 | 0.09 | -0.09 | -0.24 | - | | | Timor-Leste | | | | | | | | [1], [6] | | | | | | | | UK Net Bilateral ODA | 70 | - | 46 | 131 | - | | | of which Humanitarian Assistance | - | - | - | - | - | | | Percentage of Total Net Bilateral ODA | 0.00 | - | 0.00 | 0.00 | - | | | Turkmenistan | UK Net Bilateral ODA | 218 | 39 | 92 | 416 | - | | of which Humanitarian Assistance | - | - | - | - | - | | | Percentage of Total Net Bilateral ODA | 0.00 | 0.00 | 0.00 | 0.01 | - | | | Uzbekistan | UK Net Bilateral ODA | 1,178 | 796 | 524 | 1 636 | - | | of which Humanitarian Assistance | - | - | - | - | | | | - | | | | | | | | Percentage of Total Net Bilateral ODA | 0.02 | 0.02 | 0.01 | 0.03 | - | | | Vietnam | UK Net Bilateral ODA | 60,044 | 53,225 | 21,832 | 51,664 | 19,987 | | of which Humanitarian Assistance | - | - | - | - | - | | | Percentage of Total Net Bilateral ODA | 1.27 | 1.03 | 0.41 | 0.94 | 0.30 | | | UK Net Bilateral ODA | 60,742 | 63,215 | 75,549 | 42,884 | 59,335 | | | West Bank and | | | | | | | | Gaza Strip | | | | | | | | [3] | | | | | | | | of which Humanitarian Assistance | 22,010 | 7,537 | 1,736 | 1,508 | 519 | | | Percentage of Total Net Bilateral ODA | 1.28 | 1.22 | 1.43 | 0.78 | 0.89 | | | Yemen | | | | | | | | [1] | | | | | | | | UK Net Bilateral ODA | 22,970 | 41,388 | 39,057 | 39,555 | 93,406 | | | of which Humanitarian Assistance | 1,684 | 7,874 | 16,446 | 18,469 | 36,457 | | | Percentage of Total Net Bilateral ODA | 0.49 | 0.80 | 0.74 | 0.72 | 1.40 | | | 2009 | |---------| | [2] | ## (Continued) | | £ thousands | |---------------------------------------|----------------------| | Asia and Middle East Regional | | | Middle East | UK Net Bilateral ODA | | Regional | | | of which Humanitarian Assistance | - | | Percentage of Total Net Bilateral ODA | 0.08 | | Asia Regional | UK Net Bilateral ODA | | (includes South | | | of which Humanitarian Assistance | - | | Asia Regional) | | | Percentage of Total Net Bilateral ODA | 0.10 | | Rest of the World | | | Albania | UK Net Bilateral ODA | | of which Humanitarian Assistance | - | | Percentage of Total Net Bilateral ODA | 0.03 | | Anguilla | UK Net Bilateral ODA | | of which Humanitarian Assistance | 13 | | Percentage of Total Net Bilateral ODA | 0.00 | | Antigua and | UK Net Bilateral ODA | | Barbuda | | | of which Humanitarian Assistance | - | | Percentage of Total Net Bilateral ODA | 0.00 | | Argentina | | | [11] | | | UK Net Bilateral ODA | 634 | | of which Humanitarian Assistance | - | | Percentage of Total Net Bilateral ODA | 0.01 | | Barbados | UK Net Bilateral ODA | | of which Humanitarian Assistance | | | - | - | | Percentage of Total Net Bilateral ODA | 0.01 | | Belarus | UK Net Bilateral ODA | | of which Humanitarian Assistance | - | | Percentage of Total Net Bilateral ODA | 0.01 | | Belize | UK Net Bilateral ODA | | of which Humanitarian Assistance | - | | Percentage of Total Net Bilateral ODA | 0.00 | | Bolivia | UK Net Bilateral ODA | | of which Humanitarian Assistance | - | | Percentage of Total Net Bilateral ODA | 0.01 | | Bosnia- | UK Net Bilateral ODA | | Herzegovina | | | of which Humanitarian Assistance | - | | Percentage of Total Net Bilateral ODA | 0.13 | | Brazil | UK Net Bilateral ODA | | of which Humanitarian Assistance | 6 | | Percentage of Total Net Bilateral ODA | 0.18 | | Chile | UK Net Bilateral ODA | | of which Humanitarian Assistance | - | | Percentage of Total Net Bilateral ODA | 0.01 | | Colombia | UK Net Bilateral ODA | | of which Humanitarian Assistance | | | - | - | | Percentage of Total Net Bilateral ODA | 0.10 | | Croatia | UK Net Bilateral ODA | | of which Humanitarian Assistance | - | | Percentage of Total Net Bilateral ODA | 0.03 | | Costa Rica | UK Net Bilateral ODA | | of which Humanitarian Assistance | - | | Percentage of Total Net Bilateral ODA | 0.03 | | Cuba | UK Net Bilateral ODA | | of which Humanitarian Assistance | 250 | | Percentage of Total Net Bilateral ODA | 0.01 | | Dominica | UK Net Bilateral ODA | | of which Humanitarian Assistance | - | | Percentage of Total Net Bilateral ODA | - | | 2009 | |---------| | [2] | ## Table B.2: Total Uk Net Oda And Humanitarian Assistance By Recipient Country (Continued) | | | | | | | £ thousands | |---------------------------------------|----------------------|---------|--------|--------|--------|----------------| | UK Net Bilateral ODA | 64 | 39 | 96 | 145 | - | Dominican | | Republic | | | | | | | | of which Humanitarian Assistance | - | 6 | - | - | - | | | Percentage of Total Net Bilateral ODA | 0.00 | 0.00 | 0.00 | 0.00 | - | | | Ecuador | | | | | | | | [4] | | | | | | | | UK Net Bilateral ODA | -102 | -19 | 138 | 340 | - | | | of which Humanitarian Assistance | - | - | - | - | - | | | Percentage of Total Net Bilateral ODA | -0.00 | -0.00 | 0.00 | 0.01 | - | | | El Salvador | | | | | | | | [4] | | | | | | | | UK Net Bilateral ODA | 19 | -31,611 | 6 | -82 | - | | | of which Humanitarian Assistance | - | - | - | - | - | | | Percentage of Total Net Bilateral ODA | 0.00 | -0.61 | 0.00 | -0.00 | - | | | Fiji | UK Net Bilateral ODA | 371 | 343 | 130 | 667 | - | | of which Humanitarian Assistance | 6 | 97 | 6 | 24 | - | | | Percentage of Total Net Bilateral ODA | 0.01 | 0.01 | 0.00 | 0.01 | - | | | Grenada | UK Net Bilateral ODA | 19 | - | 1 | 11 | - | | of which Humanitarian Assistance | - | - | - | - | - | | | Percentage of Total Net Bilateral ODA | 0.00 | - | 0.00 | 0.00 | - | | | Guatemala | UK Net Bilateral ODA | 461 | 149 | 58 | 9,478 | - | | of which Humanitarian Assistance | - | 97 | - | - | - | | | Percentage of Total Net Bilateral ODA | 0.01 | 0.00 | 0.00 | 0.17 | - | | | Guyana | UK Net Bilateral ODA | 1,376 | 1,049 | 367 | 563 | 0 | | of which Humanitarian Assistance | - | - | - | | | | | - | - | | | | | | | Percentage of Total Net Bilateral ODA | 0.03 | 0.02 | 0.01 | 0.01 | 0.00 | | | Haiti | | | | | | | | [1] | | | | | | | | UK Net Bilateral ODA | 5,102 | 16,945 | 9,714 | 3,264 | 9,585 | | | of which Humanitarian Assistance | 5,083 | 15,909 | 6,723 | 2,954 | 9,585 | | | Percentage of Total Net Bilateral ODA | 0.11 | 0.33 | 0.18 | 0.06 | 0.14 | | | Honduras | UK Net Bilateral ODA | 64 | 16,356 | 12 | 6,875 | - | | of which Humanitarian Assistance | - | - | - | - | - | | | Percentage of Total Net Bilateral ODA | 0.00 | 0.32 | 0.00 | 0.12 | - | | | Jamaica | UK Net Bilateral ODA | 5,307 | 2,538 | 6,446 | 8,979 | 5,690 | | of which Humanitarian Assistance | - | - | - | - | - | | | Percentage of Total Net Bilateral ODA | 0.11 | 0.05 | 0.12 | 0.16 | 0.09 | | | Kiribati | | | | | | | | [1] | | | | | | | | UK Net Bilateral ODA | 19 | 39 | 16 | 17 | - | | | of which Humanitarian Assistance | - | - | - | - | - | | | Percentage of Total Net Bilateral ODA | 0.00 | 0.00 | 0.00 | 0.00 | - | | | Kosovo | UK Net Bilateral ODA | 7,535 | 6,145 | 7,607 | 10,291 | 181 | | of which Humanitarian Assistance | - | - | - | - | - | | | Percentage of Total Net Bilateral ODA | 0.16 | 0.12 | 0.14 | 0.19 | 0.00 | | | UK Net Bilateral ODA | 1,248 | 745 | 620 | 1,373 | - | Macedonia | | (FYR of) | | | | | | | | of which Humanitarian Assistance | - | - | - | 13 | - | | | Percentage of Total Net Bilateral ODA | 0.03 | 0.01 | 0.01 | 0.02 | - | | | Marshall Islands UK Net Bilateral ODA | - | - | - | 5 | - | | | of which Humanitarian Assistance | - | - | - | - | | | | - | | | | | | | | Percentage of Total Net Bilateral ODA | - | - | - | 0.00 | - | | | Mexico | UK Net Bilateral ODA | 7,452 | 6,093 | 3,590 | 3,713 | - | | of which Humanitarian Assistance | - | - | - | - | - | | | Percentage of Total Net Bilateral ODA | 0.16 | 0.12 | 0.07 | 0.07 | - | | | Moldova | UK Net Bilateral ODA | 2,061 | 9,363 | 1,516 | 1,181 | - | | of which Humanitarian Assistance | - | 45 | - | - | - | | | Percentage of Total Net Bilateral ODA | 0.04 | 0.18 | 0.03 | 0.02 | - | | | Montenegro | UK Net Bilateral ODA | 294 | 134 | 203 | 488 | - | | of which Humanitarian Assistance | - | - | - | - | - | | | Percentage of Total Net Bilateral ODA | 0.01 | 0.00 | 0.00 | 0.01 | - | | | Montserrat | UK Net Bilateral ODA | 23,860 | 10,736 | 27,744 | 21,265 | 30,629 | | of which Humanitarian Assistance | 38 | 91 | - | 587 | - | | | Percentage of Total Net Bilateral ODA | 0.50 | 0.21 | 0.52 | 0.38 | 0.46 | | | Nauru | UK Net Bilateral ODA | - | 6 | - | - | - | | of which Humanitarian Assistance | - | - | - | - | - | | | Percentage of Total Net Bilateral ODA | - | 0.00 | - | - | - | | | 2009 | |---------| | [2] | ## Table B.2: Total Uk Net Oda And Humanitarian Assistance By Recipient Country (Continued) | | | | | | | £ thousands | |---------------------------------------|----------------------|-------|-------|-------|--------|----------------| | Nicaragua | UK Net Bilateral ODA | 4,520 | 4,694 | 18 | 11,404 | - | | of which Humanitarian Assistance | 391 | - | - | - | - | | | Percentage of Total Net Bilateral ODA | 0.10 | 0.09 | 0.00 | 0.21 | - | | | Palau | UK Net Bilateral ODA | - | 13 | - | - | - | | of which Humanitarian Assistance | - | - | - | - | - | | | Percentage of Total Net Bilateral ODA | - | 0.00 | - | - | - | | | Panama | UK Net Bilateral ODA | 45 | 26 | 123 | 434 | - | | of which Humanitarian Assistance | - | - | - | 10 | - | | | Percentage of Total Net Bilateral ODA | 0.00 | 0.00 | 0.00 | 0.01 | - | | | UK Net Bilateral ODA | 627 | 667 | -200 | 1,328 | - | | | Papua New | | | | | | | | Guinea | | | | | | | | [4] | | | | | | | | of which Humanitarian Assistance | - | - | - | - | - | | | Percentage of Total Net Bilateral ODA | 0.01 | 0.01 | -0.00 | 0.02 | - | | | Paraguay | UK Net Bilateral ODA | 26 | 6 | 29 | 76 | - | | of which Humanitarian Assistance | - | - | - | - | - | | | Percentage of Total Net Bilateral ODA | 0.00 | 0.00 | 0.00 | 0.00 | - | | | Peru | UK Net Bilateral ODA | 685 | 822 | 372 | 2,717 | - | | of which Humanitarian Assistance | - | - | - | - | - | | | Percentage of Total Net Bilateral ODA | 0.01 | 0.02 | 0.01 | 0.05 | - | | | Samoa | | | | | | | | [1] | | | | | | | | UK Net Bilateral ODA | 115 | 149 | 254 | - | 166 | | | of which Humanitarian Assistance | - | - | - | - | - | | | Percentage of Total Net Bilateral ODA | 0.00 | 0.00 | 0.00 | - | 0.00 | | | Serbia | UK Net Bilateral ODA | 4,942 | 3,497 | 1,517 | 3,280 | - | | of which Humanitarian Assistance | - | - | - | - | - | | | Percentage of Total Net Bilateral ODA | 0.10 | 0.07 | 0.03 | 0.06 | - | | | UK Net Bilateral ODA | 147 | 142 | 116 | 227 | 150 | | | Solomon | | | | | | | | Islands | | | | | | | | [1] | | | | | | | | of which Humanitarian Assistance | - | - | - | - | 150 | | | Percentage of Total Net Bilateral ODA | 0.00 | 0.00 | 0.00 | 0.00 | 0.00 | | | UK Net Bilateral ODA | 1 | - | 0 | 2,354 | - | St Kitts and | | Nevis | | | | | | | | of which Humanitarian Assistance | - | - | - | - | - | | | Percentage of Total Net Bilateral ODA | 0.00 | - | 0.00 | 0.04 | - | | | St Lucia | UK Net Bilateral ODA | 6 | 13 | 230 | 161 | - | | of which Humanitarian Assistance | - | - | 209 | - | | | | Percentage of Total Net Bilateral ODA | 0.00 | 0.00 | 0.00 | 0.00 | - | | | UK Net Bilateral ODA | - | 13 | 27 | 48 | - | St Vincent and | | the Grenadines | | | | | | | | of which Humanitarian Assistance | - | - | - | - | - | | | Percentage of Total Net Bilateral ODA | - | 0.00 | 0.00 | 0.00 | - | | | Tonga | UK Net Bilateral ODA | 6 | 97 | 21 | 19 | - | | of which Humanitarian Assistance | - | - | - | - | - | | | Percentage of Total Net Bilateral ODA | 0.00 | 0.00 | 0.00 | 0.00 | - | | | UK Net Bilateral ODA | 282 | 155 | - | - | - | Trinidad and | | Tobago | | | | | | | | of which Humanitarian Assistance | - | - | - | - | - | | | Percentage of Total Net Bilateral ODA | 0.01 | 0.00 | - | - | - | | | Turkey | UK Net Bilateral ODA | 1,428 | 2,428 | 3,438 | 8,617 | - | | of which Humanitarian Assistance | - | - | 215 | 224 | - | | | Percentage of Total Net Bilateral ODA | 0.03 | 0.05 | 0.07 | 0.16 | - | | | Tuvalu | | | | | | | | [1] | | | | | | | | UK Net Bilateral ODA | - | 26 | 31 | 20 | - | | | of which Humanitarian Assistance | - | - | - | - | - | | | Percentage of Total Net Bilateral ODA | - | 0.00 | 0.00 | 0.00 | - | | | Ukraine | UK Net Bilateral ODA | 1,517 | 544 | 829 | 3,041 | - | | of which Humanitarian Assistance | - | - | - | - | - | | | Percentage of Total Net Bilateral ODA | 0.03 | 0.01 | 0.02 | 0.06 | - | | | Uruguay | UK Net Bilateral ODA | 26 | 45 | 59 | 123 | - | | of which Humanitarian Assistance | - | - | - | 7 | - | | | Percentage of Total Net Bilateral ODA | 0.00 | 0.00 | 0.00 | 0.00 | - | | | Vanuatu | | | | | | | | [1] | | | | | | | | UK Net Bilateral ODA | 64 | 58 | 67 | 20 | 44 | | | of which Humanitarian Assistance | - | - | - | - | - | | | Percentage of Total Net Bilateral ODA | 0.00 | 0.00 | 0.00 | 0.00 | 0.00 | | | 2009 | |---------| | [2] | | | ## (Continued) | | | | | £ thousands | |--------------------------------------------------|----------------------|----------------------|-----------|----------------| | 2009 | 2010 | 2011 | 2012 | 2013 | | [2] | | | | | | Venezuela | UK Net Bilateral ODA | 1,383 | 706 | 487 | | of which Humanitarian Assistance | - | - | 14 | 9 | | Percentage of Total Net Bilateral ODA | 0.03 | 0.01 | 0.01 | 0.02 | | Rest of the World Regional | | | | | | Nor | th and | UK Net Bilateral ODA | 851 | 304 | | Central America of which Humanitarian Assistance | | | | | | - | - | - | - | - | | Regional | | | | | | Percentage of Total Net Bilateral ODA | 0.02 | 0.01 | 0.07 | 0.03 | | West Indies | | | | | | UK Net Bilateral ODA | 12,145 | 16,136 | 13,363 | 11,190 | | Regional | | | | | | [9] | | | | | | of which Humanitarian Assistance | -1,761 | 803 | 100 | 66 | | Percentage of Total Net Bilateral ODA | 0.26 | 0.31 | 0.25 | 0.20 | | Americas | UK Net Bilateral ODA | - | 6,333 | 89 | | Regional | | | | | | of which Humanitarian Assistance | - | - | - | - | | Percentage of Total Net Bilateral ODA | - | 0.12 | 0.00 | 0.00 | | Europe Regional UK Net Bilateral ODA | 2,561 | 6,106 | 131 | 139 | | of which Humanitarian Assistance | - | - | - | - | | Percentage of Total Net Bilateral ODA | 0.05 | 0.12 | 0.00 | 0.00 | | Oceania | UK Net Bilateral ODA | 2,362 | 2,959 | 2,045 | | Regional | | | | | | of which Humanitarian Assistance | 102 | - | - | - | | Percentage of Total Net Bilateral ODA | 0.05 | 0.06 | 0.04 | 0.06 | | Total Africa | UK Net Bilateral ODA | 1,789,442 | 1,991,348 | 2,126,292 | | Percentage of Total Net Bilateral ODA | 37.82 | 38.36 | 40.23 | 39.35 | | Percentage of Gross National Income | 0.12 | 0.13 | 0.14 | 0.14 | | Total Asia | UK Net Bilateral ODA | 1,383,930 | 1,334,164 | 1,339,085 | | Percentage of Total Net Bilateral ODA | 29.25 | 25.70 | 25.33 | 24.85 | | Percentage of Gross National Income | 0.10 | 0.09 | 0.09 | 0.09 | | | | | | | | Total Rest of | UK Net Bilateral ODA | 115,419 | 122,759 | 123,922 | | the World | | | | | | Percentage of Total Net Bilateral ODA | 2.44 | 2.36 | 2.34 | 3.64 | | Percentage of Gross National Income | 0.01 | 0.01 | 0.01 | 0.01 | | Unspecified | | | | | | UK Net Bilateral ODA | 1,443,286 | 1,742,604 | 1,696,489 | 1,776,137 | | Region | | | | | | [3] | | | | | | Percentage of Total Net Bilateral ODA | 30.50 | 33.57 | 32.10 | 32.16 | | Percentage of Gross National Income | 0.10 | 0.12 | 0.11 | 0.11 | | TOTAL UK NET UK Net Bilateral ODA | 4,732,077 | 5,190,875 | 5,285,789 | 5,523,660 | | BILATERAL | | | | | | Percentage of Total Net Bilateral ODA | 100 | 100 | 100 | 100 | | | | | | | | | | | | | | ODA | | | | | | Percentage of Gross National Income | 0.33 | 0.35 | 0.34 | 0.36 | | LOW INCOME | | | | | | UK Net Bilateral ODA | 1,804,540 | 1,832,111 | 2,240,917 | 2,172,324 | | COUNTRIES | | | | | | [2] | | | | | | Percentage of Total Net Bilateral ODA | 38.13 | 35.30 | 42.40 | 39.33 | | Percentage of Gross National Income | 0.13 | 0.12 | 0.15 | 0.14 | | TOTAL UK NET UK Net Multilateral ODA | 2,491,069 | 3,260,959 | 3,342,828 | 3,241,840 | | | | | | | | MULTILATERAL | | | | | | ODA | | | | | | Percentage of Gross National Income | 0.18 | 0.22 | 0.22 | 0.21 | ## Key - Nil [1] Income groups are classified using 2012 GNI per capita thresholds. Low income countries are based on those with a GNI per capita in 2012 of US$1,035 or less. Figures for previous years have been revised on this basis. [2] Data for 2013 is provisional and final figures will be published later in the year in Statistics on International Development (SID) 2014. [3] These figures include spend from other government departments which have not yet been broken down by country. Final data will have less 'Unspecified Region' ODA, therefore comparisons with previous year's statistics should be made with caution. [4] ODA can be negative as it is repor ted net of any inflows. Percentages were not previously shown when net ODA was negative. In this table, they have been shown to ensure that percentages total 100%. [5] In previous Annual Reports this was labelled as Burma. This has been changed to align with DAC repor ting. [6] In previous Annual Reports this was labelled as East Timor. This has been changed to align with DAC repor ting. [7] In previous Annual Reports this was labelled as Kyrgyzstan. This has been changed to align with DAC reporting. [8] In previous Annual Reports these countries were reported under Rest of the World. They are now being repor ted under Asia to align with DAC repor ting. [9] In previous Annual Reports this was repor ted under Caribbean Regional. This has been changed to align with DAC repor ting. [10] In previous Annual Reports this was labelled as Libyan Arab Republic. This has been changed to align with DAC repor ting. [11] In previous Annual Reports this was labelled as Argentine Republic. This has been changed to align with DAC repor ting. £ thousands Sector description 2009 2010 2011 2012 2013[2] Social Infrastructure and Services Education 523,321 486,350 652,627 632,140 797,431 Health 393,393 452,243 555,495 654,090 906,735 Population policies/programmes and reproductive 303,602 333,604 387,671 424,524 373,010 health Water supply and sanitation 73,183 101,616 106,329 107,735 136,358 Government and civil society 761,568 734,528 813,835 793,721 670,395 Other social infrastructure and services 204,053 260,949 236,178 210,226 310,163 Economic Infrastructure and Services Transport and storage 90,284 115,836 93,200 170,427 146,154 Communications 47,629 72,899 59,768 21,584 2,377 Energy 51,782 86,461 160,088 291,420 74,092 Banking and financial services 450,989 127,669 150,657 155,691 97,373 Business and other services 18,010 35,806 31,305 30,854 51,463 Production sectors Agriculture, forestry and fishing 91,748 98,991 142,044 182,734 141,138 Industry, mining and construction 22,428 101,766 99,538 51,459 35,803 Trade policies and regulations 47,321 135,108 48,055 60,298 55,611 Tourism 807 10,497 3,002 1,745 962 Multi-sector/cross cutting General environmental protection 360,117 577,807 123,565 286,360 270,256 Other multi-sector 102,422 247,077 229,610 210,288 301,384 Non-sector allocable General budget suppor t 346,086 420,637 278,966 220,033 135,080 Developmental food aid/food security assistance 9,224 107,001 94,908 65,555 94,017 Action relating to debt 27,266 106,062 113,914 70,958 7,426 Humanitarian assistance 484,464 369,243 439,505 426,250 824,135 Administrative costs of donors 254,186 237,811 286,146 333,254 245,272 Suppor t to non-governmental organisations 207,000 108,812 263,044 246,738 205,176 Refugees in donor countries 7,355 11,700 19,527 28,370 - Non-sector allocable 3 58,665 75,278 109,624 47,742 1,080,731 Total UK gross bilateral ODA 4,936,903 5,415,753 5,498,600 5,724,194 6,962,544 ## Key - Nil [1] DFID projects can be allocated up to eight input sector codes. In this table, only the largest contributing input sector code per project is included. This is in line with OECD DAC Statistical Repor ting Directives. [2] 2013 figures are provisional. Final ODA will be published in Statistics on International Development 2014 in October. [3] These figures include some spend from other government depar tments which has not yet been broken down by sector. Final data will have less 'Non-sector allocable' ODA therefore comparisons with previous year's statistics should be made with caution. | Country | 2008 | 2009 | 2010 | 2011 | 2012 | |----------------------|---------|---------|---------|---------|---------| | Afghanistan | 26,754 | 42,331 | 55,968 | 68,387 | 40,186 | | Albania | 11,447 | 8,416 | 12,912 | - | - | | Algeria | 1,658 | 5,994 | 10,173 | - | - | | Angola | 13,407 | 2,266 | 10,845 | 16,662 | 8,518 | | Anguilla | - | | - | | - | | Antigua and Barbuda | - | 476 | 1,313 | - | 45 | | Argentina | 1,216 | 1,698 | 3,662 | 2,025 | 6,473 | | Armenia | 4,281 | 13,284 | 4,898 | 9,794 | 11,582 | | Azerbaijan | 8,814 | 4,975 | 7,269 | - | - | | Bangladesh | 91,874 | 23,928 | 79,981 | 259,868 | 64,419 | | Barbados | 897 | 256 | 2,196 | - | - | | Belarus | 1,481 | 1,904 | 3,768 | 3,407 | 3,216 | | Belize | 932 | 2,831 | 3,514 | - | - | | Benin | 16,644 | 13,450 | 25,873 | 23,902 | 17,656 | | Bhutan | 668 | 1,020 | 4,437 | 1,719 | 4,183 | | Bolivia | 4,198 | 7,059 | 7,950 | 27,229 | 9,250 | | Bosnia-Herzegovina | 9,020 | 11,900 | 23,015 | - | - | | Botswana | 927 | 7,520 | 1,865 | 1,732 | 1,647 | | Brazil | 2,786 | 3,944 | 3,492 | 4,606 | 17,595 | | Burkina Faso | 49,385 | 18,167 | 36,099 | 54,404 | 31,563 | | Burundi | 13,564 | 13,926 | 16,800 | 25,075 | 20,848 | | Cambodia | | | | | | | 9,654 | 4,182 | 21,200 | 9,372 | 5,976 | | | Cameroon | 17,156 | 19,607 | 25,182 | 20,782 | 21,925 | | Cape Verde | 7,796 | 2,191 | 3,966 | 2,502 | 3,701 | | Central African Rep. | 6,104 | 12,153 | 10,125 | 10,712 | 15,458 | | Chad | 7,413 | 11,589 | 22,484 | 28,472 | 17,208 | | Chile | 765 | 220 | 1,473 | 276 | 784 | | China | 13,470 | 21,768 | 24,503 | - | - | | Colombia | 4,413 | 3,354 | 11,575 | - | - | | Comoros | 780 | 3,544 | 2,472 | 763 | 2,870 | | Congo, Dem. Rep. | 41,012 | 63,825 | 88,195 | 107,769 | 69,989 | | Congo, Rep. | 8,190 | 3,246 | 6,429 | 6,854 | 6,094 | | Cook Islands | 38 | 105 | 53 | 86 | 11 | | Costa Rica | 939 | 886 | 1,613 | 3,489 | 628 | | Cote d'Ivoire | 30,196 | 21,939 | 21,432 | - | - | | Croatia | 14,893 | 15,754 | 21,283 | - | - | | Cuba | 500 | 4,334 | 2,030 | 1,814 | 1,461 | | Djibouti | 2,558 | 713 | 2,331 | 2,746 | 5,809 | | Dominica | 466 | 6 | 778 | 6 | 1,707 | | Dominican Republic | 1,628 | 4,549 | 14,744 | - | - | | Ecuador | 5,377 | 4,191 | 2,148 | - | - | | Egypt | 16,005 | 17,327 | 29,033 | 17,247 | 48,161 | | El Salvador | 665 | 5,938 | 4,866 | 7,422 | 335 | | Equatorial Guinea | 296 | 491 | | | | | 134 | 159 | 277 | | | | | Eritrea | 3,035 | 9,005 | 5,380 | 5,993 | 2,948 | | Ethiopia | 65,418 | 70,522 | 105,665 | 74,259 | 188,474 | | Fiji | 2,301 | 564 | 1,992 | - | - | | Gabon | 509 | 1,286 | 2,585 | 1,778 | 746 | | Gambia | 980 | 2,070 | 7,945 | 7,134 | 10,945 | | Georgia | 21,583 | 20,044 | 18,583 | 15,130 | 34,896 | | Ghana | 57,678 | 35,418 | 52,059 | - | - | | Grenada | 437 | 797 | 745 | 1,843 | 1,406 | | Guatemala | 2,360 | 5,008 | 4,888 | 7,037 | 2,246 | £ thousands | Country | 2008 | 2009 | 2010 | 2011 | 2012 | |----------------------------|---------|---------|---------|---------|---------| | Guinea | 1,901 | 1,645 | 2,684 | 26,179 | 8,821 | | Guinea-Bissau | 3,886 | 4,054 | 4,761 | 2,651 | 968 | | Guyana | 2,584 | 2,810 | 4,865 | 6,949 | 2,212 | | Haiti | 9,233 | 35,598 | 43,543 | 35,356 | 17,497 | | Honduras | 12,904 | 2,917 | 11,633 | 19,345 | 10,486 | | India | 78,593 | 33,085 | 273,161 | 222,879 | 122,792 | | Indonesia | 26,011 | 23,989 | 17,359 | 11,026 | 10,585 | | Iran | 2,179 | 1,110 | 2,057 | - | - | | Iraq | 14,887 | 7,276 | 6,202 | 4,196 | 5,808 | | Jamaica | 8,872 | 2,614 | 7,314 | 7,512 | 1,332 | | Jordan | 9,140 | 7,929 | 10,911 | - | - | | Kazakhstan | 1,736 | 1,677 | 5,190 | 2,396 | 2,607 | | Kenya | 5,229 | 46,288 | 67,636 | 84,680 | 150,253 | | Kiribati | 76 | 582 | 708 | 3,700 | 596 | | Korea, Dem. Rep. | 993 | 1,211 | 4,832 | 1,832 | 2,097 | | Kosovo | - | 25,302 | 24,135 | 31,342 | 15,371 | | Kyrgyz Republic | 6,095 | 4,871 | 11,716 | 13,936 | 8,108 | | Laos | 6,091 | 2,662 | 11,248 | 8,189 | 8,747 | | Lebanon | 9,750 | 5,440 | 7,859 | 7,996 | 16,686 | | Lesotho | 3,832 | 4,236 | 14,246 | 12,515 | 1,282 | | Liberia | 8,350 | 16,528 | 17,005 | 22,434 | 23,903 | | Libya | | | | | | | 734 | 70 | 1,833 | 4,168 | 3,361 | | | Macedonia, FYR | 6,411 | 8,897 | 13,538 | - | - | | Madagascar | 54,261 | 2,439 | 11,328 | 7,608 | 31,593 | | Malawi | 15,288 | 27,200 | 40,549 | 32,585 | 63,731 | | Malaysia | 1,058 | 363 | 1,556 | 472 | 1,517 | | Maldives | 1,366 | 726 | 1,478 | - | - | | Mali | 41,086 | 25,794 | 14,640 | 33,093 | 7,251 | | Marshall Islands | 42 | 496 | 128 | 4 | 4 | | Mauritania | 2,395 | 595 | 4,721 | 10,834 | 5,431 | | Mauritius | 5,239 | 12,090 | 2,128 | 8,550 | 5,496 | | Mexico | 2,239 | 1,837 | 5,967 | 950 | 4,932 | | Micronesia, Federal States | 62 | 821 | - | 10 | 16 | | Moldova | 9,849 | 9,335 | 38,444 | 17,881 | 25,840 | | Mongolia | 1,603 | 2,222 | 6,488 | 5,779 | 2,458 | | Montenegro | 2,832 | 3,596 | 4,817 | 4,113 | 4,421 | | Montserrat | - | 2 | 6 | - | 1,096 | | Morocco | 24,801 | 17,064 | 23,527 | 21,631 | 70,494 | | Mozambique | 53,544 | 12,757 | 41,569 | 49,446 | 34,565 | | Myanmar | 5,931 | 4,998 | 13,113 | 6,952 | 21,377 | | Namibia | 3,107 | 563 | 14,384 | - | - | | Nauru | 17 | 278 | - | 67 | 6 | | Nepal | 11,737 | 14,091 | 27,723 | 36,613 | 30,973 | | Nicaragua | 7,568 | 5,185 | | | | | 8,077 | 9,200 | 7,472 | | | | | Niger | 31,424 | 5,599 | 16,213 | 40,241 | 35,862 | | Nigeria | 57,596 | 81,790 | 52,330 | - | - | | Niue | - | 372 | 3 | - | - | | Oman | 35 | 23 | 20 | - | - | | Pakistan | 21,854 | 94,459 | 69,800 | - | - | | Palau | 21 | 274 | - | 1 | 4 | | Panama | 288 | 1,473 | 241 | 625 | 318 | £ thousands | Country | 2008 | 2009 | 2010 | 2011 | 2012 | |-------------------------------|---------|---------|---------|---------|---------| | Papua New Guinea | 2,710 | 3,096 | 9,731 | - | - | | Paraguay | 5,936 | 602 | 1,823 | 4,356 | 882 | | Peru | 1,236 | 9,103 | 2,694 | - | - | | Philippines | 5,140 | 8,728 | 13,079 | 4,588 | 9,967 | | Rwanda | 27,004 | 21,655 | 46,524 | 40,600 | 30,769 | | Samoa | 608 | 1,911 | 3,806 | 2,054 | 1,975 | | Sao Tome and Principe | 729 | 1,923 | 342 | 3,408 | 972 | | Senegal | 24,289 | 18,644 | 19,179 | 27,237 | 23,541 | | Serbia | 43,646 | 46,061 | 28,945 | 24,493 | 59,458 | | Seychelles | 28 | 2,144 | 231 | 85 | 953 | | Sierra Leone | 10,092 | 5,114 | 21,642 | 18,612 | 13,931 | | Solomon Islands | 269 | 1,217 | 3,793 | 561 | 1,240 | | Somalia | 12,953 | 9,603 | 8,746 | 27,195 | 16,217 | | South Africa | 14,685 | 14,811 | 29,147 | 26,247 | 17,241 | | Sri Lanka | 18,694 | 13,094 | 17,795 | 31,398 | 3,696 | | St Helena | - | - | - | 2,087 | - | | St Kitts and Nevis | 788 | 1,318 | 2,811 | - | 1,122 | | St Lucia | 816 | 124 | 513 | 2,782 | 2,595 | | St Vincent and the Grenadines | 368 | 202 | 990 | 1,466 | 1,252 | | Sudan | 24,898 | 14,520 | 27,805 | 46,427 | 14,423 | | Suriname | 349 | 2,013 | 389 | 950 | 685 | | Swaziland | | | | | | | 3,776 | 3,269 | 5,015 | 12,543 | 1,775 | | | Syria | 3,165 | 5,840 | 9,810 | 1,803 | 18,533 | | Tajikistan | 3221 | 4,587 | 11,247 | 4,625 | 10,096 | | Tanzania | 55,505 | 86,433 | 87,596 | 78,524 | 78,629 | | Thailand | 2,402 | 4,159 | 3,741 | - | - | | Timor-Leste | 1,820 | 1,299 | 7,537 | 5,836 | 3,903 | | Togo | 11,912 | 7,485 | 15,136 | 17,607 | 10,602 | | Tokelau | - | 13 | | 9 | 2 | | Tonga | 266 | 198 | 1,462 | 4,595 | 900 | | Trinidad and Tobago | 1,032 | 1,222 | 4,826 | - | - | | Tunisia | 11,579 | 9,460 | 13,083 | - | - | | Turkey | 165,710 | 58,526 | 95,661 | 99,419 | 211,152 | | Turkmenistan | 799 | 127 | 2,718 | 874 | 441 | | Tuvalu | 50 | 507 | 219 | 1,841 | 180 | | Uganda | 47,558 | 42,388 | 35,868 | 38,633 | 44,048 | | Ukraine | 14,968 | 19,372 | 22,349 | 29,584 | 40,605 | | Uruguay | 407 | 187 | 233 | 1,141 | 1,315 | | Uzbekistan | 5,042 | 7,993 | 9,252 | - | - | | Vanuatu | 110 | 990 | 60 | 256 | 280 | | Venezuela | 1,338 | 1,649 | 467 | 234 | 320 | | Vietnam | 69,623 | 55,770 | 87,161 | - | - | | West Bank and Gaza | 54,113 | 67,369 | 77,309 | 78,895 | 50,691 | | Yemen | 9,792 | 12,015 | | | | | 21,851 | 11,966 | 14,128 | | | | | Yugoslavia, Sts Ex-Yugo. | 25 | - | 233 | - | - | | Zambia | 46,032 | 10,563 | 18,779 | 38,019 | 25,249 | | Zimbabwe | 2,812 | 7,519 | 10,185 | 7,141 | 23,705 | £ thousands ## (Continued) | | Region | 2008 | 2009 | 2010 | 2011 | 2012 | |----------------------------------------------|----------------------------------|-----------|-----------|-----------|-----------|---------| | Nor | th Africa, Regional | 4,924 | 24,134 | 21,469 | 15,831 | 4,660 | | South of Sahara, Regional | 42,224 | 63,789 | 42,212 | 44,474 | 53,471 | | | Africa, Regional | 1,201 | 133,601 | 38,581 | 54,276 | 95,847 | | | Nor | th and Central America, Regional | 1,945 | 6,243 | 1,499 | 1,957 | 7,967 | | West Indies, Regional | 52 | 142 | 4,210 | 11,547 | 5,769 | | | South America, Regional | 7,134 | 3,482 | 11,405 | 6,815 | 2,296 | | | America, Regional | 6,551 | 17,334 | 30,535 | 21,932 | 10,509 | | | Middle East, Regional | 1,040 | 2,037 | 7,234 | 4,534 | 2,825 | | | Central Asia, Regional | 2,822 | 3,609 | 3,866 | 3,049 | 4,619 | | | South and Central Asia, Regional | - | 1,018 | 2,702 | 3,803 | 1,951 | | | South Asia, Regional | 190 | 450 | 12 | 40 | 706 | | | Far East, Regional | - | - | 2,787 | 9,923 | 1,061 | | | Asia, Regional | 7,608 | 33,410 | 26,266 | 51,341 | 42,986 | | | Europe, Regional | 29,233 | 43,002 | 56,887 | 61,583 | 36,296 | | | Oceania, Regional | 504 | 3,270 | 7,391 | 305 | 3,883 | | | Unspecified country/region | | | | | | | | Unspecified | 315,291 | 476,824 | 521,020 | 704,946 | 779,094 | | | Total net multilateral ODA | 2,308,312 | 2,516,372 | 3,357,468 | 3,342,828 | 3,241,840 | | | Low Income Countries | | | | | | | | Total imputed multilateral ODA to Low Income | 890,552 | 752,703 | 1,184,484 | 1,492,894 | 1,274,270 | | | Countries | | | | | | | | % of country specific total | 47.2% | 44.2% | 45.9% | 63.6% | 58.2% | | | Key | | | | | | | | - Nil | | | | | | | [1] UK funding to multilateral organisations cannot be directly attributed to any country; the estimates above are imputed shares based on each multilateral's distribution of ODA and the UK's total core funding for each organisation. [2] ODA is defined as flows administered with the promotion of economic development and welfare of developing countries as their main objective, which are concessional in character and convey a grant element of at least 25%. Aid to countries on the DAC list of ODA recipients is eligible to be recorded as ODA. [3] Only some multilaterals provide the DAC with detailed information about their distribution of funds and the list of multilateral organisations that provide detailed information to the DAC may change from year to year. Assumptions have been made for other multilaterals recognised by the DAC and funding has been allocated to regions or 'unspecified country' if necessary. [4] Countries are defined as low income based on their Gross National Income (GNI) per head. In the table above countries are defined as low income if they have a GNI per capita of less than US$1,035 in 2012. Figures for previous years have been revised on this basis. ## £ thousands

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## The National Archives Gender Pay Gap Report 31 March 2018 In 2017, the Government introduced world-leading legislation that made it statutory for organisations with 250 or more employees to report annually on their gender pay gap. Government departments are covered by the Equality Act 2010 (Specific Duties and Public Authorities) Regulations 2017 that came into force on 31 March 2017. These regulations underpin the Public Sector Equality Duty and require relevant organisations to publish their gender pay gap by 30 March annually. This includes the mean and median gender pay gaps; the mean and median gender bonus gaps; the proportion of men and women who received bonuses; and the proportions of male and female employees in each pay quartile. The gender pay gap shows the difference in the average pay between all men and women in a workforce. If a workforce has a particularly high gender pay gap, this can indicate there may be a number of issues to deal with, and the individual calculations may help to identify what those issues are. The gender pay gap is different to equal pay. Equal pay deals with the pay differences between men and women who carry out the same jobs, similar jobs or work of equal value. It is unlawful to pay people unequally because they are a man or a woman. ## Difference In Hourly Rate Women's mean hourly rate is 0.80% lower than men's Women's median hourly rate is 4.94% higher than men's ## Proportion Of Women In Each Pay Quartile Who Received Bonus Pay ## Difference In Bonus Pay Women's mean bonus pay is 10.64% higher than men's Women's median bonus pay is 0% lower than men's ## What Our Data Shows The mean difference in hourly rate suggests that we have a gender pay gap in favour of men that is near zero and this is virtually unchanged on last year. The median difference indicates a larger gap in favour of women, and this has increased by 2.96% on last year. The proportion of women in each quartile helps to explain this. There are more men in the lowest quartile and there are more women in both the middle quartiles. This has the effect of increasing the middle or median value for women. Our lowest grade, in which roles are generally more physical in nature, is mostly undertaken by men. The mean bonus pay for women is higher than for men because a bonus was paid to a member of the Senior Civil Service. If this bonus were not paid, the mean difference in bonus pay would be 0%. ## Action We Are Taking The main factors we believe influence our relatively low gender pay gap are the availability of flexible working patterns, in particular those that do not have an impact on pay such as compressed hours and the ability to work from home. These are popular with those returning from maternity or with caring responsibilities. In addition, we operate 'blind recruitment' at the application stage and offer all roles with the option of flexible working to ensure an inclusive recruitment experience. We hold moderation meetings to guard against discrimination or favouritism and to help ensure all markings are fair and consistent. We are continuing to develop our diversity and inclusion training and awareness weeks and offer wellbeing initiatives throughout the year. Our Employee Assistance Programme, which is well used by our employees, gives advice and support on a range of issues and provides a professional counselling service.

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th ## Policies The Cps Have Implemented For Prosecutors Request What Policies Has The Cps Implemented That Have Encourage Prosecutors To Cherry Pick Cases (Such As Performance Targets) That Have Led Inevitably To A Detrimental Affect On The Course Of Justice (Over The Last 10 Years). Response The Crown Prosecution Service (Cps) Does Not Encourage Prosecutors To Cherry Pick Cases (Such As Performance Targets) That Have Led Inevitably To A Detrimental Effect On The Course Of Justice. All Charging Decisions Are Made In Accordance With The Same Two-Stage Test As Set Out In The Code For Crown Prosecutors: 1. Does the evidence provide a realistic prospect of conviction? and; 2. Is it in the public interest to prosecute? Information Management Unit 020 3357 0788 IMU@cps.gov.uk Crown Prosecution Service, Information Management Unit, Floor 8, 102 Petty France, London SW1H 9AJ

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BETTER ENVIRONMENT, BETTER HEALTH A GLA guide for London's Boroughs London Borough of Barking and Dagenham ## Copyright Greater London Authority November 2013 Published by Greater London Authority City Hall The Queen's Walk More London London SE1 2AA www.london.gov.uk enquiries 020 7983 4100 minicom 020 7983 4458 ISBN Photographs © Copies of this report are available from www.london.gov.uk ## Please Print And Circulate Widely Contents CONTENTS 1 FOREWORD 2 INTRODUCTION 3 GREEN SPACES 5 ACTIVE TRAVEL & TRANSPORT 8 SURFACE WATER FLOOD RISK 11 AIR QUALITY 14 HEALTHY FOOD 17 FUEL POVERTY 20 OVERHEATING 23 REFERENCES 27 FURTHER READING 30 PUBLIC HEALTH OUTCOMES FRAMEWORK 31 DATA APPENDIX 34 ACKNOWLEDGEMENTS 41 ## Foreword The Mayor's vision is for London to be the 'greatest city on earth' - this means making the city a great place for Londoners to live, relax, work and raise a family, whilst being attractive to investors. However there are significant inequalities in the health and quality of Londoners' lives. 2009-11 ONS figures show that average *healthy* life expectancy reduces by almost one year for every stop eastwards on the District Line between the boroughs of Richmond and Tower Hamlets - a difference of 18 years. The reasons for this are complex but the evidence points strongly to the important impact of the wider determinants of health. This inequality means some Londoners are unable to benefit from and contribute to the city's dynamism because of preventable health problems. The Mayor wants to ensure all Londoners have the chance to participate in what London has to offer. Furthermore, if we are to maintain and improve London's position as the attractive world city it is, we need to create a resilient city, able to deal with extreme weather events, and a city that offers a high quality of life with green spaces, a fantastic public realm and a pleasant, healthy environment. Local authorities have a unique role to play in achieving these goals, and with their new responsibilities for public health they have a new set of capabilities and levers for catalysing change. Better Environment, Better Health offers a bespoke guide to each of London's thirty three boroughs, describing the impact of seven wider environmental determinants of health on their specific populations and highlighting possible actions that could be taken to promote a better environment leading to better health and well-being, overall, for Londoners. For example we know that by encouraging walking and cycling we are not only helping to improve London's air quality but also cardiovascular health, whilst reducing levels of obesity. The guides demonstrate how such an approach can be taken on a range of issues, without necessarily adding to the financial burden on boroughs' already squeezed budgets, just by doing things differently. We hope you will find value in the guide and will use it to drive improvements locally to create strong environments which promote health and well-being, and are resilient. Finally, we would like to thank the project team for writing the guides and their drive in taking this project forward. Victoria Borwick Matthew Pencharz Deputy Mayor of London Senior Advisor for Environment and Mayoral Health Advisor and Energy ## Introduction What is likely to shape the health of our communities over the next twenty or thirty years? What will improve quality of life? What will help people live longer, particularly those most likely to die early? What will improve people's quality of life, reducing years lost to disability and poor mental and physical health? What will improve the health and wellbeing of children and young people? The United States Center for Disease Control and Prevention (CDC) has argued that in the 20th century public health measures added 25 years to the life of an average American.1 In its list of top ten interventions half are closely connected to the environment. The same list would be likely to apply to the UK and London. In the 21st century public health measures, including measures seeking to improve the environment, are likely to be as important in supporting good health as improvements in healthcare. We need to prepare, assess and plan for extreme weather events and their impacts not just to improve Londoners' health and wellbeing but to increase economic prosperity, for business and service continuity and to strengthen community resilience. In this guide we focus on seven environmental issues and their relationship to health: - Green spaces - Active travel & transport - Surface water flood risk - Air quality - Healthy food - Fuel poverty - Overheating For each of these we ask certain questions: - What is the issue and how do we measure it? - What is its impact on health? What is the evidence? - Who will experience the impact most? - What is the local borough picture? - What are the key actions to promote good health? We also provide links to the Public Health Outcomes Framework and suggested further reading. The aim of the bespoke borough guides is to maximise opportunities for improving health and wellbeing, as well as enhancing community resilience. They are aimed at professionals working in health, environment, regeneration, economic development or any aspect of shaping local places, as well as local people interested in improving the quality of life in their communities. Where issues are locally relevant we hope this document will help to start a conversation which enables them to be identified and addressed in borough Joint Strategic Needs Assessments (JSNA) and health and wellbeing strategies. These guides do not cover all of the wider environmental determinants of health. For example, they do not look at some aspects of housing (such as overcrowding), workplace health, wider resource use, access to services, water resource management or noise pollution. More broadly, issues of planning and environmental control tie many of these areas together. How we shape ongoing development and use of our town centres, neighbourhoods and business districts presents opportunities to maximise the health of users: residents, employees and visitors. Similarly, environmental consideration provides the scope to address potential risk to resilience, health and wellbeing as well as promoting good practice amongst, for example, businesses, landlords and facilities managers. ## Green Spaces Accessible green space has long been recognised as a wider environmental determinant of good health. Wide ranging research shows strong evidence that outdoor spaces have a beneficial impact on both physical and mental well-being2. When considering green space it is helpful to think about both access and **use:** availability being a necessary but insufficient indicator and determinant of use. A range of data are available on both access and use including the Natural England MENE survey (frequency, mode of access, reasons3); London.gov.data: 'Access to Public Open Space and Access to Nature by Ward'4; and Sport England: Active people Survey (physical activity rate)5. What is the impact on health? Accessible, safe green space is shown to reduce mental distress, depression and Attention Deficit- Hyperactivity Disorder (ADHD) symptoms in children. Access to a garden or living a short distance to/from green areas, as well as having the potential to lead to improvements in the environment, are associated with a general improvement in mental health and wellbeing.6 Both the Marmot Review and NICE have highlighted evidence that the presence of good quality outdoor green spaces encourages physical activity7 which is important across a wide range of health issues such as cardiovascular diseases, obesity, type 2 diabetes and mental/physical health. Increasing and improving the proportion of green spaces in urban centres also has a secondary positive impact on health through other wider environment determinants of health such as urban heat-island effect, surface flood risk and air quality. Who will experience the greatest impact?  Urban residents (through impact on quality of life)  Older people and children  People suffering from obesity, cardio-vascular diseases, diabetes  People suffering from mental distress and depression. ## The Barking & Dagenham Picture - 34 per cent of the borough surface has green space coverage.8 - Within Barking & Dagenham, more than 50 per cent of households in 4 out of 17 wards have deficient access to nature.9 - 15 per cent of Barking & Dagenham's population participate 5 times per week in physical activity for at least 30 minutes and nearly 45 per cent participate once a week.10 - Barking & Dagenham's adult obesity prevalence is 29 per cent, which is significantly higher than the London rate, 21 per cent, and the national rate, 24 per cent.11 Pink coloured areas are defined as area of deficiency in access to local, small and pocket parks. Proximity rate is +/- 400m from households. http://www.gigl.org.uk/Ourdatasets/Openspace/tabid/117/Default.aspx Potential actions: Given the significant relationship between health and green spaces in the urban environment some key actions can be identified to improve quality and proximity in order to enhance access and use. This includes considering: - All London Green Grid Supplementary Planning Guidance to improve *biodiversity* function and connectivity of green spaces;12 - The Green Flag Award system to improve quality and promote access to green spaces.13 - Promoting physical activity in outdoor spaces through "outdoor gyms" and "guided walking exercise prescription" as a way to recover from cardiovascular diseases and illness.14 See also sections on surface water flood risk and healthy food. Case Study: Regenerating Burgess Park, London Borough of Southwark The regeneration of Burgess Park, in Southwark, was underpinned by a comprehensive plan that made the focus of the park a place for healthy living, showing how to combine ' natural' regeneration with health promotion15. This has also included opportunities for investment, growth and jobs. For example improved access to, and routes through, the park, alongside enhancements to the lakes, planting, lighting and on-site facilities, has made the park a much more attractive and welcoming place, encouraging play and informal recreation. The park also has over 10 km of running, cycling and fitness routes and a new BMX track, to cater for more formal sport and physical activity. Contact: Ruth Miller, Burgess Park Project Manager ruth.miller@southwark.gov.uk ## Suggested Further Reading Links To Public Health Outcomes Framework - Planning for Health (2009) HUDU - The Marmot review (2010) www.instituteofhealthequity.org - www.nice.org.uk - Benefit of Urban Parks, IFpra (2013): - www.ecehh.org ## Primary 1.16 Utilisation Of Outdoor Space For Exercise/Health Reasons Additional (For Example) 2.6 Excess Weight In 4-5 And 10-11 Year Olds 2.13 Proportion Of Physically Active And Inactive Adults 2.23 Self-Reported Well-Being - www.naturalengland.org.uk - www.hphpcentral.com - CMO (2011) Start Active, Stay Active ## Active Travel & Transport Travel is essential for connecting people to employment, recreation, education and health and community services. Most people travel in some way every day, making it part of everyday life and therefore a factor that can greatly affect the health of all London's citizens16. Travel includes walking and cycling, use of private vehicles, public transport and goods vehicles. In London more than 80 per cent of journeys take place on roads either by motor vehicle, bike or on foot; therefore road transport and street environments have a very significant impact on health and wellbeing17. There are inequalities in the impact of transport upon health, with the most deprived people and those using the most heavily trafficked roads experiencing the most negative health impacts18. Only a few London boroughs include a dedicated transport focus in their Joint Strategic Needs Assessment (JSNA), suggesting the impact of travel on health may be underestimated. What is its impact on health? A comprehensive public transport network provides many health benefits including access to services, reducing social isolation and increasing work and social opportunities. A major benefit of travel in London is that it enables people to maintain regular physical activity via walking (particularly as part of public transport trips) and cycling. Only around 20 per cent of Londoners currently meet the minimum recommendation for physical activity of 150 minutes per week19. Everyday physical activity is essential for good physical and mental health, contributing to the prevention of over 20 diseases including obesity, type 2 diabetes, cardiovascular disease and some cancers20. Cycling and walking can be easily incorporated into daily routines to meet physical activity needs. In London, approximately 4.3 million trips currently made by car or public transport have been identified as easily cyclable21. Creating opportunities which enable Londoners to walk and cycle has other potential health benefits including access to safe, green spaces. This could lead to reductions in congestion which, in turn, may reduce overheating and improve air quality. The negative impacts of transport in London are concentrated in the London's most heavily trafficked streets, where high concentrations of vehicles contribute to air and noise pollution and increased injury risk22. This can create the impression of a hostile environment for walking and cycling and can exacerbate health inequalities. Motor vehicles are responsible for 41-60 per cent of air pollutants in the UK, which have an impact on cardiovascular and respiratory diseases. People who live on or use heavily trafficked streets are the most adversely affected. ## The Barking & Dagenham Picture  On average 280,000 trips per day are made by people originating in Barking & Dagenham.23  Low numbers of people participate in active travel, with the percentage of people cycling to work below the Greater London average.  Use of motor vehicles is 7 per cent above the Greater London average.24  There was an average of 604 casualties and 5 fatalities per year on Barking & Dagenham's roads between 2005 and 2009: below the Greater London average.  The most heavily used road (excluding motorways) is the A13 with an average daily flow of 115,000 motor vehicles.25  There is currently one cycle super highway in the Borough.26 ## Source: London Travel Demand Survey Potential Actions: - Designing Street Environments To Encourage Walking And Cycling. - Designing And Engineering Roads To Reduce Motor Vehicle Speed And Implement 20Mph Zones where appropriate. - Promoting a network of roads and paths that are safe and convenient for cycling and walking. - Supporting walking and cycling by ensuring that, where possible, the needs of cyclists and pedestrians are considered before other road users. - Promoting cycling through information, maps and cycle hire schemes. - Improving safety of heavily trafficked streets where most traffic related health risk is concentrated. See also section on air quality. Case Study: Cycling across Hackney Hackney has the highest levels of cycling in London. There are more cyclists than motorists in many parts of the borough. This is evidenced by the fact that 6 per cent of journey's originating from Hackney are on bike, higher than any other borough in London23. Since 2001 the Council has sought to increase the areas that are cycle friendly by improving the design and increasing the accessibility of the road network for cyclists.27 - Road safety has been improved by reducing motor traffic speeds and volumes. The aim is to enforce 20 mph speed limits across the borough on all residential roads.27 - Systematic improvements have been made to the public realm for pedestrians, cyclists and public transport users and a number of designated cycle routes such as the Hackney Park cycle route have been created.27 - Hackney has invested in a range of cycle parking bays including lockers in estates, hangars (on street bike/storage lockers), on residential streets and large bike ports at transport hubs such as railway stations and town centres. - A comprehensive free cycling training programme has targeted a range of audiences.27 Contact: Ben Kennedy, Hackney Council, ben.kennedy@hackney.gov.uk Example of a cycling improvement scheme Wordsworth Road/Palatine Road, Hackney ## Links To Public Health Outcomes Framework Suggested Further Reading - Healthy Transport Healthy Lives, British Medical Association (BMA) - NICE Walking and Cycling, Local Government Briefing - Mayors Vision for Cycling, 2013 GLA - London Borough of Hackney Sample of Schemes for cycling & public realm (2013) - What are the health benefits of active Primary 2.13 Proportion of physically active and inactive adults Additional (for example) 1.16 Utilisation of outdoor space for exercise/health reasons 2.7 Hospital admissions caused by unintentional and deliberate injuries in under 18s 3.1 Fraction of mortality attributable to particulate air pollution travel: A systematic review of trials and cohort studies, PloSOne, 8 ## Surface Water Flood Risk Surface water flooding describes flooding on the land surface from sewers, drains, groundwater and runoff from land after a heavy rainfall event28. Surface water flooding events are difficult to predict but can cause significant disruptions to local populations and to health and other services. London is vulnerable to surface water flooding because some areas have poor drainage systems and large areas of impervious surfaces29. Approximately 480,000 London properties and ten hospitals are at risk of surface water flooding in London30. Surface water flooding is already a considerable risk and one that, without action, will increase in London due to population growth, urban expansion and ageing of drainage systems. In addition, changing climate patterns are likely to increase the number and intensity of large magnitude precipitation events leading to a likelihood of more frequent and larger magnitude surface water flooding events. Local Flood Authorities are responsible for mapping, assessing and managing local flood risks, identifying whom and what is at risk and the vulnerability of services such as hospitals and schools to surface water flooding. The Mayor's Regional Flood Risk Appraisal identifies surface water flood risk as the most likely cause of flooding in London. The GLA, Thames Water, the Environment Agency and London Councils have been developing and delivering a programme to manage this risk, known as Drain London. There are multiple ways in which flooding can create health risks: - Fast flowing water has multiple potential hazards such as moving debris which can cause physical injury and even death. Contaminated flood water containing pollutants such as chemicals and sewage can cause disease. - Flooding of health facilities results in disruption to access to healthcare facilities, with increased difficulty providing routine medical care and increased patient admissions in neighbouring facilities. - Exhaust emissions from machinery operating in the clean-up process and recovery from a flood can cause carbon monoxide poisoning31. - Disruptions in flood recovery, fear of repeat events and added effects of stress due to insurance claims and refurbishing properties can cause mental health problems. Up to 25 per cent of people who experienced flooding in their homes in the major UK floods in 2007 experienced mental health issues after the event32. Who might experience the greatest impact? Some areas in London are at risk of surface water flooding particularly where there is inadequate sewer/drainage capacity, and some groups are at greater risk4. These include people with limited mobility or/and those who are dependent on medication and/or regular healthcare at home or at a health/social care facility. Those with less flood awareness due to weak social networks and limited or no access to public warning systems and/or information are also at risk. The Barking and Dagenham Picture The Environment Agency will be releasing a national surface water flood risk map for each London borough in December 2013. Whilst this will show the areas at risk it should also be noted that any low lying area could also potentially be affected but may not be visible on the maps because of the difficulty in assessing surface water flood risk. The maps will provide borough-specific assessments. Potential actions: - Developing emergency plans to reduce effects of surface water flood risk. - Including integrated emergency planning for priority groups/services. Developing land management strategies such as green roofs to reduce likelihood of surface water flooding. - Incorporating Sustainable Urban Drainage Systems (SuDS) as an alternative to traditional approaches to managing runoff. - Identifying vulnerable and isolated people and implementing early warning systems and evacuation plans. - Planning for disruption of infrastructure and increase in patient volumes at health and social care facilities. See also section on green spaces and healthy food. ## Case Studies: Purley (Lb Croydon) Community Flood Plan 6 - Purley is vulnerable to flooding and experienced a large flood event in 2007. In response the community developed a Community Flood Plan. - The flood plan is developed and owned by the community, and aims to reduce the impact of flooding. - It advises the community on how to prevent flooding and what to do if it happens. - It is a low cost but effective way of reducing a wide range of impacts of flooding. - The community has created a number of flood wardens who play a central role in advising local citizens and businesses on the flood risk and actions they can take to reduce the impact and nature of flood events. ## Surface Water Flooding Event, London, July 2007 7 - In July 2007, 121mm of rainfall fell in London, mostly on July 20th, causing some significant surface water flooding. - Approximately 400 properties were flooded, 158 schools affected and two hospitals were closed as a result. - The closure of St George's Hospital caused major disruption.8 ## Suggested Further Reading Links To Public Health Outcomes Framework - GLA Regional Flood Risk Appraisal, 2013 - Drain Londonhttp://www.london.gov.uk/priorities/environment/loo king-after-londons-water/drain-london Programme London Climate Change Adaptation Strategy - Multi-Agency Flood Plan, LB Havering, 2012 - Floods in the European Union, Health effects and their prevention (2013), World Health Organisation (WHO) ## Primary: 3.7 Comprehensive, Agreed Interagency Plans For Responding To Public Health Incidents And Emergencies Additional (For Example) 3.6 Public Sector Organisations With A Board-Approved Sustainable Development Management Plan Air Quality Good air quality has long been recognised a basic requirement for good health. The UK Air Quality Standards Regulations 2000, updated in 2010, set standards for a variety of pollutants that are considered harmful to human health and the environment. These are based on EU limit values and are for a range of air pollutants: sulphur dioxide, nitrogen dioxide, oxides of nitrogen, particulate matter (PM10 and PM2.5), lead, benzene, carbon monoxide, benzo(a)pyrene and ozone. Much of the focus of air quality action is on nitrogen dioxide (NO2) and particulate matter (PM). Particulate matter (PM10 and PM2.5) refers to a complex mixture of non-gaseous particles of varied physical and chemical composition. It is categorised by the size of the particulate. In London, road traffic is a significant source of PM mainly from exhaust emissions and wear, tyre and brake wear and dust from road surfaces. In addition, older furnaces and boilers may have an impact on the overall air quality environment within a house. Poor air quality could potentially compromise health and well-being. It should be noted that exceedences apply across the whole of London, particularly near built up areas and major roads. What is the impact on health? What is the evidence? Long-term exposure to poor air quality can contribute to the development of chronic diseases and can increase the risk of respiratory illness. In Greater London it is estimated that the equivalent of 4,267 deaths in London in 2008 were attributable to long-term exposure to PM2.5. It should be noted that this does not relate to real individuals, but is a statistical construct whereby all health impact associated with air pollution are amalgamated. Since everyone breathes the air where they are, a more realistic interpretation is that the risks are distributed across the whole population, with a total mortality impact of the concentrations equivalent to that number of deaths. At high concentrations NO2 can result in inflammation of a person's airways; long-term exposure can affect lung function and respiratory symptoms and can increase asthma symptoms. PM aggravates respiratory and cardiovascular conditions. The smaller the particle, the deeper it will deposit within the respiratory tract. The impact of PM2.5 on health is especially significant. Who may experience the greatest impact? - People who live or work close to areas with poor air quality - People with respiratory problems - People with heart problems ## The Barking & Dagenham Picture. - On Some Of Barking & Dagenham'S Roads There Are High Concentrations Of No2 (See Map) Which are above the recommended limits. - Statistical tools are used by public health specialists to try to understand the comparative impact of different factors on mortality. Using these techniques, Barking & Dagenham is the 14th least affected area by poor air quality in London. - In 2011 GLA identified three Air Quality Focus Areas within Barking & Dagenham. ## Potential Actions: - Promoting A Modal Shift To Encourage Higher Proportions Of Walking, Cycling And Use Of Public transport and less use of cars. This could include a wide range of measures from systemic action within the planning and transport system to one-off events such as car free days. Such measures could lead to significant improvements in air quality. - Promoting energy efficiency in homes, public and commercial offices. For more information see the Energy Company Obligation33. - Individual steps could be taken to: a) reduce personal contribution to air pollution such as engine idling; and, b) reduce risk of exposure where it is potentially hazardous to health (particularly for people with underlying vulnerabilities) through systems such as airText. See also section on active travel and transport. ## Case Studies: Reducing Exposure - City Air Mitigating Impact - Croydon Air Text 'CityAir' was launched in May 2011 in the City of London to encourage businesses to help to improve local air quality. Best practice guidance and case studies were produced to provide advice to City businesses on reducing emissions from buildings, encouraging staff to walk and cycle in the City, using purchase contracts to require low polluting vehicles and building air quality targets into environmental reporting. Information is available at www.cityoflondon.gov.uk/cityair. To date over 50 businesses have been engaged, representing over 40,000 employees. CityAir employee walking campaigns have been very popular. Contact: Ruth Calderwood ruth.calderwood@cityoflondon.gov.uk In 2005 the London Borough of Croydon developed with the European Space Agency and Cambridge Environment Research Consultants an air quality forecasting service called 'airTEXT'. AirTEXT provides information on pollution levels in the borough using 'low', 'moderate' and 'high' bandings. Whenever moderate or high pollution levels are expected, subscribers to airTEXT receive a text message, call or voicemail. This enables recipients to respond, if necessary, for example by taking a different route/mode of transport to work, keeping their medication with them or not exercising outside on certain days. In 2012 a new airTEXT app was developed which provides information on four health-relevant alerts: UV, pollen, air quality and temperature. Currently around 10,000 people use the airTEXT service through text, Twitter or the website. ## Suggested Further Reading Links To Public Health Outcomes Framework - GLA Local Authority Air Quality Guides - www.londonair.org.uk - www.comeap.org.uk - NICE Guidance PH41 Walking and cycling: local measures to promote walking forms of travel or recreation - Kilbane-Dawe (2012) 14 Cost Effective Primary 3.1 Fraction of mortality attributable to particulate air pollution Additional (for example) 2.13 Proportion of physically active and inactive adults 1.14 The percentage of the population affected by noise Actions to Cut Central London Air Pollution ## Healthy Food Access to healthy food is an important wider environmental determinant of health. Improving the food environment means enhancing the availability of affordable and nutritious food and recognising the relationship between the geography of food retailing and dietary patterns34. It also means considering sustainable production, processing and delivery. Policy attention has focused on the role of local planning measures and the impact of large supermarkets, provision of food growing places, the physical environment and education on a healthy diet. Many factors influence the availability of healthy food. The predominance of unhealthy food and low income may interact with environmental factors to limit access. Access to healthy food can be measured through the following indicators: cost, quality, geography, mode of transportation, physical proximity and socio-economic variables. What is the impact on health? What is the evidence? Reduced access to healthy food and the ready and cheap availability of unhealthy foods (such as fastfood and takeaway outlets) increases the risk of a diet based on high consumption of sugar, saturated fat and salt and low in vegetables and fruit35. This could lead to obesity, cardiovascular disease, type 2 diabetes and some cancers associated with obesity. The National Obesity Observatory estimated the cost to the UK economy of overweight and obesity to be £15.8 billion per year (2007). This has an impact on children as well as adults. Studies have also found that an increased density of fast food restaurants is directly related to increased Body Mass Index (mass index showing body fat based on height and weight) and that having a fast food outlet within 160m of a school is associated with a 5 per cent increase in obesity36 The Barking & Dagenham Picture  Barking & Dagenham's adult obesity rate is 29 per cent. This is significantly higher than the London average (21 per cent), and the national average (24 per cent).37  Barking & Dagenham's obesity rate among primary school children (year 6) is 27 per cent. This is significantly higher than the national and London rates (19 and 23 per cent respectively).38  In 8 of the 22 Middle Super Output Areas (two darkest blue areas on map), 25-31 per cent of the total population consume five portions of fruits and vegetables a day.39  15 per cent of Barking & Dagenham's population participate five times per week in physical activity for at least 30 minutes and nearly 45 per cent participate once a week.40 ## Figure 4 Healthy Food Consumption In Barking & Dagenham Model Based Consumption Of Fruit And Vegetables In Barking And Dagenham By Ward, 2006-8 La Population Consuming Five Portions Of Fruits And Vegetables A Day. ## Potential Actions - Developing Schemes To Promote Local And Easily Accessible Healthy Food From Retailers (For Example www.cieh.org/healthier-catering-commitment.html). - Using planning controls to manage proliferation of fast-food outlets on high streets and near schools. - Promoting the GLA Healthy Schools London Awards Initiative (www.healthyschoolslondon.org.uk). Healthy food choice in schools is recognised as a way to tackle obesity and chronic diseases caused by poor nutrition. This includes diet, education, and healthy meals provided at schools and accessible from nearby areas. - Capital Growth (www.capitalgrowth.org) initiatives have the potential to promote community food growing. These activities reconnect people to the food system, engages them in issues such as where their food comes from, seasonality, healthy eating, and food security. - Procuring from local food suppliers and retailers, signed up to the Healthier Catering Commitment Plan. See also section on green spaces and surface flood risk. Case Study: Fast-food Fix - LB Waltham Forest - Tackling the Takeaways: Making an Impact - Community engagement on 'takeaways' in the borough identified dissatisfaction with the number and location of 241 local hot food takeaways (HFT). This included schools, concerned that the proximity of HFTs to schools had a negative impact on healthy eating programmes. - A HFT corporate steering group was established to: - Ensure existing HFT businesses operated as responsibly as possible; - Develop strategies to tackle the wider social, environmental and economic issues associated with the proliferation of HFTs in the borough. Achievements: - Supplementary planning documents were developed restricting the opening of new HFT shops. So far, 20 applications have been refused planning permission and only 4 HFTs have been given planning permission. ## - Hfts In The Borough Have Been Reduced From 241 To 194 Contact: Gordon Glenday, Head Of Planning Policy And Regeneration Gordon.Glenday@Walthamforest.Gov.Uk Links To Public Health Outcomes Framework Suggested Further Reading  NICE guidance: www.nice.org.uk  Takeaways Toolkit (2012): see www.london.gov.uk  District Action on Public Health: http://districtcouncils.info/;  CIEH Food Policy, (2013): www.cieh.org  Healthy People, Healthy Lives, (2011);  Good planning for Good Food: see ## Primary: 2.11 Diet Additional (For Example): 2.6 Excess Weight In 4-5 And 10-11 Year Olds 2.12 Excess Weight In Adults 2.17 Recorded Diabetes www.sustainweb.org/publications/?id=192 ## Fuel Poverty There are three factors that can result in fuel poverty, often in combination: low income, poor energy efficiency in homes and increasing energy prices. A household is now defined as 'fuel-poor' if its total income is below the poverty line (taking into account housing energy costs) and its energy costs are higher than typical for its household type.41 Data on fuel poverty is collected from the English Housing Survey Domestic Fuel Inquiry and published annually by the Department of Energy and Climate Change (DECC). More than 560,000 households in London are estimated to be spending more than ten per cent of their basic income on energy (the previous official definition of fuel poverty).42. Fuel poverty has the potential to have an adverse impact on children already in poverty as well as to increase the numbers of children living in poverty. Fuel poverty is also known to have an impact on well-being as indicated in self-reported well-being surveys.43 What is the impact on health? What is the evidence? Fuel poverty can have a negative impact on health, especially on people with pre-existing medical conditions. Fuel poverty results in cold homes, exacerbating cardiovascular and respiratory conditions, rheumatoid arthritis and influenza, and negatively affects mental health.42 The effects of fuel poverty may be compounded by social isolation, poor emotional well-being, reduced mobility and poor diet. Cold homes are also known to affect cognitive performance. However, actual deaths are only one part of the problem. Age UK estimates the cost to the NHS of cold homes as £1.36 billion per year (not including additional costs to social services for subsequent care).44 The recent DECC fuel poverty framework attempts to monetise the health impacts of fuel poverty. It refers to a model estimating changes in people's health from the installation of energy efficiency measures (resulting from changes in the indoor temperature and pollutant exposure).45 Who might experience the greatest impact? Fuel poverty affects vulnerable groups such as older people, the group most likely to suffer excess winter deaths. Children, people with disabilities and/or those living in deprivation are also at greater risk of suffering from the effects of fuel poverty as they often need to spend longer time indoors and require heating for longer periods of time. Additionally, private sector tenants are at significantly greater risk of encountering the worst housing quality and are also least likely to access support or feel empowered to do anything about the issue. The Barking and Dagenham Picture - The older population of Barking and Dagenham is projected to rise from 19,700 (2012) to 24,700 (2025) and 35,900 (2040). 46 - A Fuel Poverty Risk score has been developed. Although there are no stark disparities between wards, none are at low risk; Gascoigne ward is 606th out of 625 wards and at significantly greater risk. - Six Barking and Dagenham wards are at high risk of fuel poverty and the ward of Village, in particular, show a significant downward trend.47 The Fuel Poverty Risk Index was developed by the London Assembly Health and Public Services Committee in their investigation into fuel poverty in London. It is calculated on the basis of twelve indicators across four sections: Housing Dwellings without central heating Uninsulated cavity walls Lofts with less than 150mm insulation Health Health Deprivation & Disability domain (ID2010) Standardised Mortality Ratio Incapacity benefit claimant rate Older people People aged 60 and over Older people claiming pension credit Worklessness Unemployment Poverty Income support claimant rate Child Poverty rates Households classified 'fuel poor' Source: GLA (2013) Fuel Poverty Risk Indicators Tool, available on London Datastore Potential actions: The first key step to any intervention is to identify vulnerable areas/individuals and map the extent of the problem. Vulnerable individuals and households can be identified and supported through: - Close collaboration with third-sector organisations which are working with vulnerable groups/isolated populations/people to refer or inform them of available support. - Home energy improvements as a vital sustainable solution to fuel poverty. There are opportunities through initiatives such as the Green Deal and Energy Company Obligation48. The Mayor's RE:NEW Programme support team49 can offer advice on funding, procurement and best practice to partner with energy efficiency providers. In addition, the issue of overheating should be taken into account when implementing any energy efficiency works especially wall and loft insulation. Whilst take up of the Green Deal to date has not been significant, it remains an important delivery mechanism to reduce fuel poverty in London. (See section on overheating). - Promoting collaboration between local authorities and private landlords in line with upcoming energy efficiency legislation (2018 energy efficiency requirements50). - Raising awareness of benefits entitlement and support through public health campaigns, working with third sector organisations and the local community. ## Suggested Further Reading See also section on overheating and air quality. Case Study: Barts Health in Tower Hamlets - Reducing Fuel Poverty Barts Health has recently established a partnership project with British Gas and Global Action Plan that aims to reduce fuel poverty in Tower Hamlets. Hospital staff, GPs and community groups refer patients from vulnerable groups or those people living in hard-to-treat homes to the Energy Companies Obligation, supporting the installation of energy efficiency measures in low-income households. The project will train and support 40 health professionals (GPs, outpatient care staff and community nurses) plus community groups. The partnership initially aims to target 200 homes. The initiative is not just a referral mechanism but will raise awareness among vulnerable groups, medical practitioners and the wider community on what steps could be taken to address fuel poverty. Such an initiative could be linked with other seasonal health initiatives such as winter flu jab promotion. Contact: Fiona Daly, Barts Health NHS Trust, fiona.daly@bartshealth.nhs.uk Links to Public Health Outcomes Framework - Marmot Review Team, 2011 - The Health Impacts of Cold Homes and Fuel Poverty Primary 1.17 Fuel poverty Additional (for example) 1.1 Children in poverty 2.23 Self-reported well-being 4.15 Excess winter deaths - Age UK, 2012 - The Cost of Cold - Hills, 2012, Getting the measure of fuel poverty - DECC, 2013, Helping-households-to-cut-their-energy-bills - DECC, 2013, Fuel Poverty, A Framework for future action. - London Assembly, 2012, In from the cold? Tackling fuel poverty in London, GLA ## Overheating What do we mean by overheating? How do we measure it? Extreme weather events are more likely to be a factor affecting people's health in future years51. Heatwaves, such as the one in the summer of 2003 which caused the death of 2000 people, could become more frequent (London had an excess mortality of 42%, compared to England of 17%). The Urban Heat Island (UHI) effect means that urban areas tend to be hotter than rural areas. This is due to increased absorption of the sun on concrete compared with green or brown spaces, reduced cooling from breezes due to buildings and increased heat production from houses, industry, businesses and vehicles. This is especially relevant for London with its densely built-up central boroughs and high concentration of traffic and people. The UHI effect is not universally experienced across the city as it relates to availability of green space/water bodies, building density, amount of traffic and energy consumption. However there are particularly vulnerable spots in each borough, as well as vulnerable people across areas. (See maps below). When considering London as a whole, the costs associated with overheating mortality are expected to be around £7-78 million in the 2030s (473-712 heatattributable deaths); by the 2050s, this could rise to £13-149 million (1200-1838 heat-attributable deaths).52 What is the impact on health? Overheating53 can cause heat strokes, exacerbates existing cardiovascular and respiratory conditions and affects people with respiratory conditions due to a combination of overheating and poor air quality. A heatwave can also affect mental health with peak suicide and homicide rates reported during previous heatwaves in the UK. Research has shown a direct link between a temperature rise to more than 24˚C and risk of death.54 Additionally, people may suffer from heat-related illnesses, such as heat cramps, heat rash and heat syncope (fainting as a result of overheating). Overheating may lead to dehydration, especially in older people, and there is a strong link between high temperatures, dehydration and blood stream infections, also particularly in older people.55 Who will experience the greatest impact? Certain housing conditions (older and small top floor, purpose built flats because of the low solar protection offered by the top floor of poorly insulated flats; and newly constructed houses not suitably designed for extreme heat events, and the quality of the built environment could potentially contribute to the overheating of an environment. Certain groups such as children have less efficient body cooling mechanisms and are therefore at greater risk. Similarly, the body's thermoregulatory mechanisms could be impaired in older people and those with chronic health conditions. Those considered vulnerable to overheating may not always perceive themselves to be at risk. Simple measures to reduce the negative impacts of overheating are not always implemented which could place these groups at even greater risk. The Barking and Dagenham Picture The map below shows temperature differences across the borough and also shows the effects of existing infrastructure and green space on overheating risk. Combined with data on vulnerable populations, this will provide a more precise picture of the biggest risk areas. 2010). London Average Screen Temperatures in degrees Celsius for the period 26 May-19 July 2006 Equal count mapping method: each interval; contains 7% of the total number of grid points Potential actions: The NHS Heatwave Plan for England 2013 suggests actions to mitigate and/ or ameliorate some of the effects of future heatwaves and hot weather.56 Short term actions include:  Modifying surface properties and integrating green infrastructure, for example, 'cool roofs', 'green roofs' and 'cool pavements' (paving materials that tend to reflect, provide cooler surfaces and increase water evaporation ratio).  Planting trees and vegetation and creating green spaces to enhance evaporation and shading, (temperatures in and around green spaces can be several degrees lower than their surroundings). The development of 'green spaces' can not only help to alleviate the impact of the UIH effect but has been shown to have other positive health benefits such as improving mental health and wellbeing. Increasing green infrastructure also improves air quality.  Insulating homes. This protects against hot weather as well as reducing heating needs in the winter.  Introducing an active transport plan or car-sharing schemes. These will reduce numbers of vehicles used leading to improvements in air quality, whist promoting healthy living.  Using reflective paint on south-facing walls and roofs. - Taking fuel poverty into account when implementing any energy efficiency works. - Considering using the planning process to influence planning decisions on housing and commercial properties' heat thresholds. - Retrofitting public buildings with energy-saving technology - including low-energy lighting and high-efficiency boilers. This presents one of a number of opportunities to improve on infrastructure, growth and support local job creation. The Plan makes the case for a medium term (10–30 years) and long term approach (30+ years). See also section on fuel poverty and air quality. Case Study: London Borough of Islington and the CRISP Project CRISP is a joint project between Islington Council and North London Cares that took place in the beginning of 2013. Research among residents aged 65+ concluded that the majority of elderly people did not take hot weather issues as seriously as cold weather issues. Although levels of information were generally found to be good, there were some everyday actions being taken that might exacerbate the risk of overheating. The project identified the need for a widespread information campaign on proper use of windows, curtains and fans. The research identified challenges of communicating information about overheating. The findings and recommendations will inform Islington's Council Seasonal Resilience Plan and the work of the Seasonal Health Interventions Network (SHINE). Contact: John Kolm-Murray, Islington Council john.kolm-murray@islington.gov.uk Links to Public Health Outcomes Framework ## Suggested Further Reading  NHS Heatwave Plan for England  RE:FIT is the Mayor of London's innovative scheme to reduce carbon emissions in Greater London, www.refit.org.uk  GLA (2011) London Climate Change Adaptation Strategy  London Climate Change Partnership (2012) Heat Thresholds Project: Final Report  Built Infrastructure for Older People in Conditions of Climate Change (BIOPICCC)  Design and Delivery of Robust Hospital Environments in a Changing Climate (De2RHECC) Primary: 3.7 Comprehensive, agreed inter-agency plans for responding to public health incidents and emergencies Additional (for example) 3.6 Public sector organisations with a board-approved sustainable development management plan ## References 1Centre for Disease Control and Prevention (CDC), 2013,from CDC (USA); www.cdc.gov/about/history/tengpha.htm 2 Evidence demonstrating links between access to green spaces and health: Coombes, E., Jones, A P, & Hillsdon, M. (2010). The relationship of physical activity and overweight to objectively measured green space accessibility and use. *Social science & medicine*, 70(6), 816-822; Maas, J., Verheij, R. A.,et al (2006). Green space, urbanity, and health: how strong is the relation? Journal of epidemiology and community health, 60(7), 587-592; Nielsen, T. S., & Hansen, K. B. (2007). Do green areas affect health? Results from a Danish survey on the use of green areas and health indicators. *Health & place*, 13(4), 839-850; Schipperijn, J., Bentsen, P et al (2013). Associations between physical activity and characteristics of urban green space. *Urban Forestry & Urban Greening*, 12(1), 109-116. Mitchell, R., & Popham, F. (2008). Effect of exposure to natural environment on health inequalities: an observational population study. The Lancet, 372(9650), 1655-1660. 3MENE Survey evidencing frequency, mode and motivation in access to Green Space, (2012-2013), from Natural England www.naturalengland.org.uk/ourwork/research/mene.aspx 4Local access to public open spaces, taken from Access to Public Open Space, (2012), London Data Store http://data.london.gov.uk/datastore/package/access-public-open-space-and-nature-ward ; 5Survey showing number of people participating in sport in local communities, taken from Active People Survey (2013), Sport England www.sportengland.org/research/active_people_survey.aspx 6 Use of small public urban green spaces and health benefits, Peschardt, K. K., Schipperijn, J., & Stigsdotter, U. K. (2012) Use of small public urban green spaces (SPUGS). *Urban Forestry & Urban Greening*, 11 (3), 235-244 7 Physical Activity and the Environment, taken from "Marmot Review (2010) Fair Society, Healthy Lives"; NICE (2008). Physical activity and the environment., PH Guidance 8 12GLA All London Green Grid Supplementary Planning Guidance ,(2012) taken from, www.london.gov.uk/priorities/planning/publications/all-london-green-grid-spg; Datasets to support this guidance, taken fromwww.gigl.org.uk/Ourdatasets/Openspace/tabid/117/Default.aspx; 13 Green flag award system for green spaces, taken from Keep Britain Tidy, http://greenflag.keepbritaintidy.org/ 14 Southwark Council outdoor gym, taken from www.southwark.gov.uk/info/200435/free_outdoor_activities/2611/outdoor_gyms/1 15 Burgess Park regeneration project July 2012, taken from www.southwark.gov.uk/news/article/792/burgess_park_to_reopen_after_8_million_transformation) 16 London Travel Demand Survey (LTDS),2011,taken from Transport for London, Travel in London, Supplementary Report: ,www.tfl.gov.uk 17 Evidence demonstrating link between transport and health, March 2013, Keeping well in hard times: Protecting and improving health & well-being in an income shortfall: taken from, London Health Inequalities Network. 18 Link between heavily trafficked streets and health impacts, 2005, taken from Health Development Agency Making the case: Improving health through transport. 19 Data showing physical activity rates in London, 2010, taken from Public Health England: Physical Activity in London: Key Facts. www.lho.org.uk/LHO_Topics/Health_Topics/Lifestyle_and_Behaviour/PhysicalActivity.aspx 20 Link between active travel and health, 2012, taken from British Medical Association, Healthy Transport= Healthy Lives, BMA,www.bma.org.uk 21 Analysis of cycling potential, 2010, taken from Transport for London, December Analysis of Cycling Potential, Travel in London, www.tfl.org.uk 22 Report showing negative impacts of transport in London, 2011, taken from Mackett, R.L. & Brown, R. ; Transport, Physical Activity and Health. Present knowledge and the way around. Centre for Transport Studies, University College London, www.cege.ucl.ac.uk 23 Number of travel trip by each modal share, 2011, taken from London Travel Demand Survey. Transport for London, www.tfl.org.uk 24 Reported road casualties in Great Britain, annual report 2011, taken from www.gov.uk 25 Most heavily vehicular used roads, 2000-2012, taken from Traffic Statistics, Department of Transport 26 The Mayor's proposed cycle superhighways for London, 2013, taken from Mayor's Vision for Cycling, GLA, www.tfl.gov.uk 27 Hackney's case study showing cycling promoting measures, 2013, taken from London Borough of Hackney Sample of Schemes for cycling & public realm. www.hackney.gov.uk ( 28 Surface Water Management Plan (SWMP), 2010, taken from, Technical Guidance. DEFRA www.defra.gov.uk 29 London Regional Flood Risk Appraisal, October 2009, taken from GLA, ; , www.london.gov.uk 30 Overall strategic plan for London, the London Plan, 2011, taken from GLA, www.london.gov.uk 31 Secondary impact of floods on health, 2013, World Health Organisation ; Floods in the WHO European Union, Health effects and their prevention. Edited by Bettina Menne and Virginia Murray, taken from Public Health England's website, www.gov.uk/government/organisations/public-health-england 32 Effects of floods on mental health, 2011, taken from Murray, V, Caldin et al (2011); The Effects of Floods on Mental Health, Health Protection Agency,www.hpa.org.uk 33 https://www.gov.uk/green-deal-energy-saving-measures/how-the-green-deal-works 34Access to healthy food, taken from, White (2007), Food Access and Obesity, *Obesity reviews*, 8 (s1), 99- 107. ; Chartered Institute for Environment and Health, 2013, taken from Chartered Institute for Environment and Health Food Policy: http://cieh.org/. 35 Takeaways Toolkit, 2012, taken from, London Food Board and Chartered Institute of Environmental Health http://www.london.gov.uk/priorities/environment/promoting-healthy-sustainable-food/londonboroughs/takeaways-toolkit; 36 Effect of fast food restaurants on obesity and weight gain, taken from, Currie, J., Vigna, SD et al (2010), The effect of fast food restaurants on obesity and weight gain. American Economic Journal: Economic Policy, 32-63. 41 New Fuel Poverty Definition 2013, taken from Department of Energy and Climate Change (DECC), taken from Fuel Poverty, A Framework for future action. www.decc.gov.uk 42Tackling fuel poverty in London 2012, taken from GLA - London Assembly In from the cold? www.london.gov.uk 43 Fuel poverty impact on wellbeing, 2011, taken from, Marmot Review Team, The Health Impacts of Cold Homes and Fuel Poverty, www.gov.uk/government/organisations/public-health-england 44 Cost of fuel poverty to the NHS, 2012, taken from AgeUK, The Cost of Cold www.ageuk.org.uk/latestnews/archive/cold-homes-cost-nhs-1-point-36-billion 45 Monetising health impacts of fuel poverty, 2013, taken from Department of Energy and Climate Change, Fuel Poverty, a Framework for Future Action- Analytical Annex 52 Potential costs of overheating including data, 2013, taken from Department for Environment, Food and Rural Affairs, The Economics of Climate Resilience: Health and Well-being Theme CA0401 www.defra.gov.uk 53 Overheating and health, 2011, taken from Health Protection Agency, Overheating and health: a review into the physiological response to heat and identification of indoor heat thresholds www.hpa.org.uk/webc/HPAwebFile/HPAweb_C/1317133912939 54Association of mortality with high temperatures in a temperate climate: England and Wales, Armstrong et al. (2010) Association of mortality with high temperatures in a temperate climate: England and Wales, Journal of Epidemiology and Health, vol.65:4, 340-345 55 Heatwave Plan 2013, taken from Public Health England, Making the case: the impact of heat on health - now and in the future www.gov.uk/government/organisations/public-health-england 56 Heatwave Plan 2013, taken from Public Health England, Making the case: the impact of heat on health - now and in the future www.gov.uk/government/organisations/public-health-england ## Further Reading  Local Authorities' strategies (e.g. Planning, Transport) are monitored on an annual basis and PHOF indicators may be relevant additions to these strategies and a way of spreading a public health approach across the Council: www.phoutcomes.info provides useful borough summaries for this approach.  The Index of Multiple Deprivation (IMD) highlights the impact of wider environmental determinants most adversely on those in more deprived areas: www.gov.uk/government/organisations/department-for-communities-and-localgovernment/series/english-indices-of-deprivation  Public Health has an important role in reminding other departments about health inequalities and intra borough inequalities. Basic summaries can be found at: www.apho.org.uk/?QN=P_HEALTH_PROFILES  The local authority planning process offers the opportunity to mainstream some of these issues through planning guidance. The Town & Country Planning Association offers a useful guide: www.tcpa.org.uk/data/files/TCPA_FINAL_Reuniting-health-planning.pdf  The NHS London Healthy Urban Development Unit www.healthyurbandevelopment.nhs.uk and their Watch Out for Health Checklist and the Health Impact Assessment Gateway http://www.apho.org.uk/default.aspx?QN=P_HIA offers useful insight across many fields including regeneration, social infrastructure planning, housing, policy development, planning advocacy and negotiations, planning obligations, development management, master planning, environmental and health impact assessment.  Some themes in this Guide, for example, (food, fuel poverty, active travel) are addressed in Keeping Well in Hard Times hwww.lho.org.uk/Download/Public/17975/1/Keeping per cent20well per cent20in per cent20hard per cent20times.pdf  There is a useful guide for developers on maximising environmental benefits at: www.environment-agency.gov.uk/research/planning/147852.aspx  Effect of exposure to natural environment on health inequalities: an observational population study http://eprints.gla.ac.uk/4767/1/4767.pdf  Great Outdoors: How Our Natural Health Service Uses Green Space To Improve Wellbeing www.fph.org.uk/uploads/bs_great_outdoors.pdf ## Public Health Outcomes Framework Mapping Environmental Determinants To The 2013-2016 Public Health Outcomes Framework | Primary | Improvements or worsening will have a direct impact on the indicator | | |-------------|-------------------------------------------------------------------------|-----| | Secondary | Improvements or worsening may have an impact on this indicator | | | | AQ - Air Quality | AT - Active Travel and Transport | GS - Access to Green Space | |-----------------------|-------------------------|--------------------------------------|------------------------------------| | FR - Surface Flooding | | OH - Overheating | FP - Fuel Poverty | | HF - Healthy Food | | | | | AQ AT | GS | FR | OH HF | FP | Domain 1 | |--------------------------------------------------------|-------|-------|----------|-------|--------------| | Improving the wider determinants of health | | | | | | | | | | | | | | 1.1 Children in poverty | | | | | | | 1.2 School readiness | | | | | | | 1.3 Pupil absence | | | | | | | 1.4 First time entrants to the youth justice system | | | | | | | | | | | | | | training | | | | | | | | | | | | | | secondary mental health services who live in stable | | | | | | | and appropriate accommodation | | | | | | | | | | | | | | significant mental illness | | | | | | | | | | | | | | conditions including adults with a learning disability | | | | | | | or who are in contact with secondary mental health | | | | | | | services | | | | | | | 1.9 Sickness absence rate | | | | | | | | | | | | | | England's roads | | | | | | | 1.11 Domestic abuse | | | | | | | 1.12 Violent crime (including sexual violence) | | | | | | | 1.13 Re-offending levels | | | | | | | | | | | | | | noise | | | | | | | 1.15 Statutory homelessness | | | | | | | | | | | | | | reasons | | | | | | | 1.17 Fuel poverty | | | | | | | 1.18 Social isolation | | | | | | | 1.19 Older people's perception of community safety | | | | | | | Primary | Improvements or worsening will have a direct impact on the indicator | | |-------------|-------------------------------------------------------------------------|-----| | Secondary | Improvements or worsening may have an impact on this indicator | | | | AQ - Air Quality | AT - Active Travel and Transport | GS - Access to Green Space | |-------------------------------------------------------|-------------------------|-------------------------------------|------------------------------------| | FR - Surface Flooding | | OH - Overheating | FP - Fuel Poverty | | HF - Healthy Food | | | | | | | | | | Domain 2 | | | | | Health Improvement | | | | | | | | | | | | | | | 2.1 Low birth weight of term babies | | | | | 2.2 Breastfeeding | | | | | 2.3 Smoking status at time of delivery | | | | | 2.4 Under 18 conceptions | | | | | 2.5 Child development at 2-21/2 years | | | | | 2.6 Excess weight in 4-5 and 10-11 year olds | | | | | 2.7 Hospital admissions caused by unintentional and | | | | | deliberate injuries in under 18s | | | | | 2.8 Emotional well-being of looked after children | | | | | 2.9 Smoking prevalence - 15 year olds | | | | | 2.10 Self-harm | | | | | 2.11 Diet | | | | | 2.12 Excess weight in adults | | | | | 2.13 Proportion of physically active and inactive | | | | | adults | | | | | 2.14 Smoking prevalence - adults (over 18s) | | | | | 2.15 Successful completion of drug treatment | | | | | 2.16 People entering prison with substance | | | | | dependence issues who are previously not known to | | | | | community treatment | | | | | 2.17 Recorded diabetes | | | | | 2.18 Alcohol-related admissions to hospital | | | | | 2.19 Cancer diagnosed at stage 1 and 2 | | | | | 2.20 Cancer screening coverage | | | | | 2.21 Access to non-cancer screening programmes | | | | | 2.22 Take up of the NHS Health Check programme - | | | | | by those eligible | | | | | 2.23 Self-reported well-being | | | | | 2.24 Injuries due to falls in people aged 65 and over | | | | | | | | | | | | AQ AT | GS | FR | OH HF | FP | |----|----|----------|-------|-------|----------|-------| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | Primary | Improvements or worsening will have a direct impact on the indicator | | |-------------|-------------------------------------------------------------------------|-----| | Secondary | Improvements or worsening may have an impact on this indicator | | | AQ - Air Quality | AT - Active Travel and Transport | GS - Access to Green Space | |-----------------------------------------------------------|-------------------------------------|------------------------------------| | OH - Overheating | FP - Fuel Poverty | FR - Surface | | Flooding | | | | HF - Healthy Food | | | | | | | | Domain 3 | | | | Health Protection | | | | | | | | 3.1 Fraction of mortality attributable to particulate air | | | | pollution | | | | 3.2 Chlamydia diagnoses (15-24 year olds) | | | | 3.3 Population vaccination coverage | | | | 3.4 People presenting with HIV at a late stage of | | | | infection | | | | 3.5 Treatment completion for Tuberculosis (TB) | | | | 3.6 Public sector organisations with a board approved | | | | sustainable development management plan | | | | 3.7 Comprehensive, agreed inter-agency plans for | | | | responding to public health incidents and emergencies | | | | | | | | Domain 4 | | | | Healthcare public health and preventing | | | | premature mortality | | | | | | | | 4.1 Infant mortality | | | | 4.2 Tooth decay in children aged 5 | | | | 4.3 Mortality rate from causes considered preventable | | | | 4.4 Under 75 mortality rate from all cardiovascular | | | | diseases (including heart disease and stroke) | | | | 4.5 Under 75 mortality rate from cancer | | | | 4.6 Under 75 mortality rate from liver disease | | | | 4.7 Under 75 mortality rate from respiratory diseases | | | | 4.8 Mortality rate from infectious and parasitic | | | | diseases | | | | 4.9 Excess under 75 mortality rate in adults with | | | | serious mental illness | | | | 4.10 Suicide rate | | | | 4.11 Emergency readmissions within 30 days of | | | | discharge from hospital | | | | 4.12 Preventable sight loss | | | | 4.13 Health-related quality of life for older people | | | | 4.14 Hip fractures in people aged 65 and over | | | | 4.15 Excess winter deaths | | | | 4.16 Estimated diagnosis rate for people with | | | | dementia | | | | | | | | AQ | AT | GS | FR | OH | HF | FP | |-------|-------|-------|-------|-------|-------|-------| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | AQ | Tr | GS | FR | OH | HF | FP | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | Participation in Physical Green Space Access Deficiency (% value Activity % per week - Adult Obesity Prevalence Adult Obesity per Ward) Obesity - Borough Green Space Surface Total Ward N. Ward with Access Deficiency % Households 1 time a week 5 times per week LA London England Barking & Dagenham 33.6 17.0 4.0 over 50% 45.1 15.4 28.7 Barnet 41.3 21.0 4.0 over 40% 54.9 17.6 17.9 Bexley 31.7 21.0 4.0 over 40% 60.8 20.0 26.4 Brent 21.9 21.0 4.0 over 40% 49.4 16.3 21.2 Bromley 57.8 22.0 2.0 over 50% 62.4 21.1 21.8 Camden 24.8 18.0 5.0 over 50% 65.1 26.0 15.5 City of London 4.8 0.0 0.0 1.0 52.8 28.7 City of Westminster 21.5 20.0 4.0 over 50% 59.3 25.4 15.0 20.7 24.2 Croydon 37.1 24.0 7.0 over 50% 58.9 19.8 24.3 Ealing 30.9 23.0 6.0 over 50% 48.2 14.6 18.1 Enfield 45.6 21.0 8.0 over 50% 50.7 18.6 23.2 Greenwich 34.4 17.0 1.0 over 40% 55.4 19.5 22.6 Hackney 23.2 19.0 5.0 over 40% 58.9 24.0 22.6 Hammersmith & Fulham 19.1 16.0 5.0 over 50% 66.4 27.6 15.6 Haringey 25.5 19.0 6.0 over 40% 54.9 17.7 20.1 Harrow 34.6 21.0 8.0 over 50% 51.7 17.1 19.2 Havering 59.3 18.0 7.0 over 50% 52.5 16.4 27.3 Participation in Physical Green Space Access Deficiency (% value Activity % per week - Adult Obesity Prevalence Adult Obesity per Ward) Obesity - Borough Green Space Surface Total Ward N. Ward with Access Deficiency % Households 1 time a week 5 times per week LA London England Hillingdon 49.2 22.0 2.0 over 50% 48.9 14.1 23.2 Hounslow 39.6 20.0 5.0 over 40% 52.4 17.8 20.5 Islington 12.4 16.0 4.0 over 50% 61.3 22.4 18.0 Kensington & Chelsea 15.1 18.0 1.0 over 50% 63.5 21.5 13.9 Kingston upon Thames 36.4 16.0 5.0 over 50% 61.2 23.1 16.7 Lambeth 17.3 21.0 7.0 over 50% 62.0 30.2 20.7 20.7 24.2 Lewisham 22.5 18.0 3.0 over 40% 56.4 21.3 23.7 20.7 24.2 Merton 34.6 20.0 3.0 over 40% 55.0 17.5 19.1 20.7 24.2 Newham 23.9 20.0 9.0 over 50% 45.7 17.3 25.3 20.7 24.2 Redbridge 40.6 21.0 5.0 over 40% 54.5 19.4 22.3 20.7 24.2 Richmond upon Thames 50.8 18.0 1.0 over 50% 69.3 27.4 14.9 20.7 24.2 Southwark 24.9 20.0 7.0 over 50% 59.5 19.5 22.5 20.7 24.2 Sutton & Merton 32.0 18.0 4.0 over 50% 64.2 19.7 21.6 20.7 24.2 Tower Hamlets 15.2 17.0 5.0 over 50% 55.9 19.7 19.4 20.7 24.2 Waltham Forest 31.4 20.0 8.0 over 40% 56.2 20.3 23.4 20.7 24.2 Wandsworth 26.9 20.0 2.0 over 50% 66.4 26.9 15.0 20.7 24.2 ## Active Travel And Transport Data | | Number of | Annual Casualties on | |----------------------|-------------------------------------------------|-------------------------| | | 'Travels per | the Road, 2005- | | day' (000's) | 2009 average | | | Barking & Dagenham | | | | 280 | 604 | 1 | | Barnet | | | | 769 | 1,344 | 3 | | Bexley | | | | 357 | 644 | -12 | | Brent | | | | 592 | 918 | -2 | | Bromley | | | | 691 | 929 | -6 | | Camden | | | | 744 | 902 | 3 | | City of London | | | | 262 | 369 | 11 | | Croydon | | | | 720 | 1,208 | 2 | | Ealing | | | | 633 | 1,155 | -15 | | Enfield | | | | 594 | 1,033 | 7 | | Greenwich | | | | 428 | 919 | 1 | | Hackney | | | | 404 | 948 | -8 | | Hammersmith & Fulham | 494 | 745 | | Haringey | | | | 483 | 830 | 10 | | Harrow | | | | 422 | 534 | -21 | | Havering | | | | 477 | 903 | -10 | | Hillingdon | | | | 563 | 1,028 | -8 | | Hounslow | | | | 488 | 959 | 4 | | Islington | | | | 486 | 742 | 33 | | Kensington & Chelsea | | | | 472 | 818 | -2 | | Kingston upon Thames | | | | 378 | 430 | 3 | | Lambeth | | | | 614 | 1,234 | 6 | | Lewisham | | | | 476 | 968 | 10 | | Merton | | | | 431 | 522 | -2 | | Newham | | | | 590 | 1,014 | -10 | | Redbridge | | | | 524 | 866 | 9 | | Richmond upon Thames | | | | 447 | 486 | 7 | | Southwark | | | | 582 | 1,137 | 0 | | Sutton | | | | 393 | 576 | -7 | | Tower Hamlets | | | | 561 | 977 | -3 | | Waltham Forest | | | | 387 | 865 | -6 | | Wandsworth | | | | 621 | 925 | 14 | | Westminster | | | | 1168 | 1,695 | -3 | | Average | | | | 531 | 886 | | | Source | | | | London Travel | | | | Demand Survey | Reported Road Casualties, Great Britain, gov.uk | | % Change 2005-2009 to Average Fatalities Number of 2011 2005-2009 Vehicles 6 95634 ## Air Quality Data Fraction (%) of mortality attributable to long term exposure to PM2.5 Rank Barking & Dagenham 7.1 14 27% 3 Barnet 6.8 10 21% 15 Bexley 6.6 7 18% 1 Brent 7.2 17 29% 6 Bromley 6.3 1 13% 1 Camden 7.7 24 38% 5 City of London 9 33 61% 2 Croydon 6.5 5 16% 5 Ealing 7.2 17 29% 5 Enfield 6.6 7 18% 10 Greenwich 7.2 17 29% 7 Hackney 7.8 26 39% 8 Hammersmith and Fulham 7.9 27 41% 5 Haringey 7.1 14 27% 9 Harrow 6.4 3 14% 5 Havering 6.3 1 13% 3 Hillingdon 6.5 5 16% 8 Hounslow 7.1 14 27% 10 Islington 7.9 27 41% 3 Kensington and Chelsea 8.3 31 48% 3 Kingston upon Thames 6.7 9 20% 2 Lambeth 7.7 24 38% 9 Lewisham 7.2 17 29% 9 Merton 6.9 12 23% 4 Newham 7.6 23 36% 6 Redbridge 7 13 25% 4 Richmond upon Thames 6.8 10 21% 4 Southwark 7.9 27 41% 7 Sutton 6.4 3 14% 3 Tower Hamlets 8.1 30 45% 6 Waltham Forest 7.3 21 30% 7 Wandsworth 7.3 21 30% 4 Westminster 8.3 31 48% 8 Source: % different from UK average Number of Air Quality Focus Areas ## Table 4 Healthy Food Data Childhood Adult Participation in Physical Obesity % Consumption of 5 portions of fruits and Obesity Activity % per week Prevalence (6yrs vegetables a day Prevalence old) LA Once a week 5 times per week LA Total MSOA N. Areas (MSOA) with highest % of consumption % Intervals Barking & Dagenham 28.7 45.1 15.4 22 8 (25.40 - 31.20) Barnet 17.9 54.9 17.6 41 16 (43.90 - 56-10) Bexley 26.4 60.8 20 28 10 (31.20 - 37.20) Brent 21.2 49.4 16.3 34 13 (38.20 - 45.30) Bromley 21.8 62.4 21.1 39 15 (27.20 - 45.30) Camden 15.5 65.1 26 28 10 (44.60 - 55.10) City of London 52.8 28.7 48 City of Westminster 15 59.3 25.4 24 10 (48.60 - 52.10) Croydon 24.3 58.9 19.8 44 17 (35.50 - 48.8) Ealing 18.1 48.2 14.6 39 15 (41.10 - 55.40) Enfield 23.2 50.7 18.6 36 14 (33.90 - 41.90) Greenwich 22.6 55.4 19.5 32 12 (32.70 - 42.20) Hackney 22.6 58.9 24 27 10 (34.90 - 41.60) Hammersmith & Fulham 15.6 66.4 27.6 25 10 (41.70 - 48.20) Haringey 20.1 54.9 17.7 36 14 (39.20 - 48.00) Harrow 19.2 51.7 17.1 31 12 (39.70 - 47.60) Havering 27.3 52.5 16.4 30 12 (30.80 - 37.30) Hillingdon 23.2 48.9 14.1 32 12 (34.20 - 45.40) Hounslow 20.5 52.4 17.8 28 10 (36.90 - 47.20) Islington 18 61.3 22.4 23 7 (27.60 - 40.80) Kensington & Chelsea 13.9 63.5 21.5 21 8 (50.70 - 54.30) Kingston upon Thames 16.7 61.2 23.1 20 8 (41.90 - 49.40) Lambeth 20.7 62 30.2 35 13 (36.00 - 42.90) Lewisham 23.7 56.4 21.3 36 14 (36.00 - 42.90) Merton 19.1 55 17.5 25 10 (41.40 - 55.40) Newham 25.3 45.7 17.3 37 13 (32.60 - 36.60) Redbridge 22.3 54.5 19.4 33 12 (35.50 - 43.30) Richmond upon Thames 14.9 69.3 27.4 23 8 (44.70 - 48.30) Southwark 22.5 59.5 19.5 33 11 (37.50% - 43.30) Sutton 21.6 64.2 19.7 24 9 (35.20 - 44.30) Tower Hamlets 19.4 55.9 19.7 31 12 ( 29.70 - 42.90) Waltham Forest 23.4 56.2 20.3 28 10 (33.70 - 37.40) Wandsworth 15 66.4 26.9 37 15 (42.30 - 46.80) Average 20.6 57.0 20.7 30.7 11.6 48.0 London 20.7 22.53 England 24.2 19.2 Source Health Needs Assessment Toolkit National Obesity Observatory (2010-2011) Health Needs Assessment Toolkit ## Table 5 Fuel Poverty Data Excess winter deaths 2010/11 Population Aged 65 Households in privatelyrented 2011 Percentage in privately-rented 2011 2012 2025 2040 Barking and Dagenham 60 19,700 24,700 35,900 17,000 22.9 Barnet 90 49,400 65,600 88,100 28,000 20.5 Bexley 90 38,500 45,100 56,300 10,000 10.9 Brent 40 33,800 46,300 61,100 26,000 29.2 Bromley 190 54,200 64,200 79,500 17,000 12.6 Camden 70 24,800 30,200 39,300 29,000 26.8 City of London 10 1,100 1,700 2,800 1,000 8.6 Croydon 70 46,200 61,200 84,100 19,000 13.9 Ealing 90 37,500 49,000 65,300 29,000 24.3 Enfield 150 40,000 49,900 64,300 27,000 22.7 Greenwich 70 27,300 38,200 54,100 18,000 19.7 Hackney 30 17,900 23,900 34,500 21,000 22.8 Hammersmith and Fulham 40 16,900 20,200 26,100 21,000 26.4 Haringey 60 23,000 29,000 38,600 20,000 23.3 Harrow 60 34,800 43,700 50,000 18,000 22.2 Havering 130 44,000 53,800 64,600 10,000 9.4 Hillingdon 120 36,400 44,300 56,100 21,000 19.8 Hounslow 110 27,800 35,500 45,900 25,000 27.9 Islington 30 18,400 22,500 31,000 22,000 24.2 Kensington and Chelsea 50 20,100 26,600 33,500 18,000 23.0 Kingston upon Thames 70 21,100 26,600 34,100 16,000 22.6 Lambeth 60 23,700 31,200 45,600 29,000 23.2 Lewisham 90 26,600 32,100 44,800 25,000 21.7 Merton 60 23,800 29,800 39,800 19,000 24.4 Newham 70 21,300 30,900 44,300 29,000 35.4 Redbridge 80 34,300 41,200 51,400 25,000 25.8 Richmond upon Thames 40 26,500 33,100 42,000 17,000 21.5 Southwark 90 22,900 30,200 43,500 29,000 22.4 Sutton 60 28,600 34,500 44,100 14,000 16.9 Tower Hamlets 40 15,800 20,600 31,200 32,000 33.9 Waltham Forest 110 26,500 34,600 48,100 24,000 26.6 Wandsworth 150 27,700 33,000 43,600 41,000 34.6 Westminster 20 25,200 30,400 39,400 44,000 35.9 75.8 28357.6 35872.7 47363.6 22454.5 22.9 Source: ## Acknowledgements Project Team-Responsible for project management, project delivery and writing the guides: Annette Figueiredo- Principal Policy & Programme Officer, Resilience and Quality of Life Team-GLA; Jason Strelitz, Public Health Specialist, GLA Alena Ivanova; Elena Guidorzi; Joe Parsons- MA/MSc postgraduate students-University of London, Kings College, GLA work placements Dr Angie Bone-Consultant in Public Health Medicine, Extreme Events and Health Protection, Public Health England The Project Team would like to thank everyone who has been involved in the project and contributed to the production of the guides. Particular thanks go to: GLA Staff Helen Walters, Head of Health Alex Nickson, Policy & Programmes Manager, Resilience and Quality of Life Team Peter Massini, Principal Policy & Programme Officer, Resilience and Quality of Life Team Lucy Saunders, Public Health Specialist, Health Team Jonathan Pauling, Principal Policy Officer, Food, Economic & Business Policy Team Mark Ainsbury, Senior Policy Officer, Food, Economic & Business Policy Team Elliot Treharne, Principal Policy & Programme Officer, Resilience and Quality of Life Team Liz Prosser, Senior Project Officer, Healthy Schools London, Health Team Kat McKinlay, Policy Officer, Transport Team Gareth Baker, GIS Officer, GIS and Infrastructure Team Michael Jeffreys. GIS Officer, GIS and Infrastructure Team Alison Murray, Programme Officer, Regeneration Team Emma Williamson, Principal Strategic Planner, Planning Team Susan Pape, Internal Communications Officer, HR & Organisational Development, Communications Team Una Buckley, Employee Engagement Manager, HR & Organisational Development Charlotte Hall, Health Inequalities Programme Leader, Health Team Larissa Bulla, Principal Policy & Programme Officer, Energy & Waste Team Kevin Reid, Principal Policy & Programme Officer, Resilience and Quality of Life Team Rebecca Roper, Childhood Obesity and Health Team Support Officer, Health Team GLA Design Team Other Colleagues Alex Trouton, Policy and Information Officer, Lambeth and Southwark Public Health Department Jonathan Hiderbrand, Director of Public Health, London Borough of Kingston Caroline Hancock, Senior Public Health Analyst - Public Health England Thomas Abeling, PhD Researcher, UNITED NATIONS UNIVERSITY, Institute for Environment and Human Security (UNU,EHS) Paul James, Director of the United Nations Global Compact, Cities Programme John Kolm-Murray, Seasonal Health Officer, Islington Council Fiona Daly - Environmental Manager, Barts Health NHS Trust Gordon Deuchars, Policy and Campaigns Manager, Age UK London Dr Anna Mavrogianni, Lecturer in Environmental Design and Engineering, UCL Jonathon Taylor, Research Associate, UCL Professor Virginia Murray, Head of Extreme Events and Health Protection, PHE Professor Sue Grimmond - Department of Meteorology, University of Reading Other formats and languages For a large print, Braille, disc, sign language video or audio-tape version of this document, please contact us at the address below: Public Liaison Unit Greater London Authority Telephone **020 7983 4100** City Hall Minicom **020 7983 4458** The Queen's Walk www.london.gov.uk More London London SE1 2AA You will need to supply your name, your postal address and state the format and title of the publication you require. If you would like a summary of this document in your language, please phone the number or contact us at the address above. | Chinese | Hindi | |------------|----------| | | | | | | | Vietnamese | Bengali | | | | | | | | Greek | Urdu | | | | | | | | Turkish | Arabic | | | | | | | | Punjabi | Gujarati | | | | | | | | | |

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th ## Information Regarding The Prosecution Of Mrs M Ecclestone For Murder Request Request, Numbered For Ease Of Reference: 1. The total cost of the prosecution of MRS MAVIS ECCLESTON for the murder of her terminally ill husband. 2. Who gave the final decision to prosecute. Response In response to point one, generally, where a request is made regarding prosecution costs, the Crown Prosecution Service (CPS) will endeavour to provide counsel's costs only. This is because the CPS does not record time spent by internal lawyers, paralegals and administrative staff on a case by case basis. We can therefore only provide counsel costs regarding the prosecution referred to in part one of your request. CPS West Midlands confirm that the total recorded prosecution costs were £38,567.10. In response to point two, the name of the Prosecutor who made the decision to charge in the matter referred to is withheld, under section 40(2) of the Freedom of Information Act - Personal Information. For a more detailed explanation of this exemption please see the attached section 17 refusal notice. Information Management Unit 020 3357 0788 IMU@cps.gov.uk Crown Prosecution Service, Information Management Unit, Floor 8, 102 Petty France, London SW1H 9AJ

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## Department For Business, Innovation And Skills 01 July 2014 - 30 September 2014 GIFTS GIVEN OVER £140 Secretary of State for Business, Innovation & Skills and President of the Board of Trade, Rt Hon Vincent Cable MP Date gift given To Gift Value (over £140) Nil return Minister of State, (Universities and Science), Rt Hon David Willetts MP (01 July - 14 July 2014) Date gift given To Gift Value (over £140) Nil return Minister of State for Cabinet Office (Cities and Constitution) and Minister of State for Universities and Science, Rt Hon Greg Clark MP (15 July 2014 - September 2014) Date gift given To Gift Value (over £140) Nil return Minister of State (Trade and Investment), Lord Livingston Date gift given To Gift Value (over £140) Nil return Parliamentary Secretary for Business, Innovation and Skills Parliamentary Under Secretary of State, Viscount Younger (01 July - 14 July 2014) Date gift given To Gift Value (over £140) Nil return Parliamentary Under-Secretary of State for Business, Innovation and Skills and Minister for Intellectual Property, Baroness Neville-Rolfe DBE (15 July - 30 September 2014) Date gift given To Gift Value (over £140) Nil return Parliamentary Under Secretary of State, (Employment Relations, Consumer Affairs), Jo Swinson MP Date gift given To Gift Value (over £140) Nil return Parliamentary Under Secretary of State, (Skills jointly with the Department for Education), Matthew Hancock MP (01 July - 14 July 2014) Date gift given To Gift Value (over £140) Nil return Minister of State for Skills and Equalities working jointly with the Department for Education, Nick Boles MP (15 July 2014 - 30 September 2014) Date gift given To Gift Value (over £140) Nil return Minister of State, (Business and Enterprise), Rt Hon Michael Fallon MP (01 July - 14 July 2014) Date gift given To Gift Value (over £140) Nil return Minister of State for Business and Enterprise and Energy working jointly with the Department of Energy and Climate Change, Rt Hon Matthew Hancock MP (15 July 2014 - 30 September 2014) Date gift given To Gift Value (over £140) Nil return Parliamentary Under Secretary of State for Life Sciences working jointly with the Department of Health, George Freeman MP (15 July 2014 - September 2014) Date gift given To Gift Value (over £140) Nil return From Gift Value Outcome GIFTS RECEIVED OVER £140 Secretary of State for Business, Innovation & Skills and President of the Board of Trade, Rt Hon Vincent Cable MP Date gift received Nil return From Gift Value Outcome Minister of State, (Universities and Science), Rt Hon David Willetts MP (01 July - 14 July 2014) Date gift received Nil return From Gift Value Outcome Minister of State for Cabinet Office (Cities and Constitution) and Minister of State for Universities and Science, Rt Hon Greg Clark MP (15 July 2014 - September 2014) Date gift received Nil return Minister of State (Trade and Investment), Lord Livingston | From | Gift | Value | Outcome | Date gift | |---------------------------------------------------------------------------|---------|-----------|--------------|--------------| | received | | | | | | | | | | | | From | Gift | Value | Outcome | | | | | | | | | Parliamentary Secretary for Business, Innovation and Skills | | | | | | Parliamentary Under Secretary of State, Viscount Younger (01 July - 14 | | | | | | July 2014) | | | | | | Date gift | | | | | | received | | | | | | Nil return | | | | | | From | Gift | Value | Outcome | | | | | | | | | Parliamentary Under-Secretary of State for Business, Innovation and | | | | | | Skills and Minister for Intellectual Property, Baroness Neville-Rolfe DBE | | | | | | (15 July - 30 September 2014) | | | | | | Date gift | | | | | | received | | | | | | Nil return | | | | | | From | Gift | Value | Outcome | | | | | | | | | Parliamentary Under Secretary of State, (Employment Relations, | | | | | | Consumer Affairs), Jo Swinson MP | | | | | | Date gift | | | | | | received | | | | | | Nil return | | | | | | From | Gift | Value | Outcome | | | | | | | | | Parliamentary Under Secretary of State, (Skills jointly with the | | | | | | Department for Education), Matthew Hancock MP (01 July - 14 July | | | | | | 2014) | | | | | | | | | | | | Date gift | | | | | | received | | | | | | Nil return | | | | | | From | Gift | Value | Outcome | | | | | | | | | Minister of State for Skills and Equalities working jointly with the | | | | | | Department for Education, Nick Boles MP (15 July 2014 - 30 September | | | | | | 2014) | | | | | | | | | | | | Date gift | | | | | | received | | | | | | Nil return | | | | | | From | Gift | Value | Outcome | | | | | | | | | Minister of State, (Business and Enterprise), Rt Hon Michael Fallon MP | | | | | | (01 July - 14 July 2014) | | | | | | Date gift | | | | | | received | | | | | | Nil return | | | | | | From | Gift | Value | Outcome | | | | | | | | | Minister of State for Business and Enterprise and Energy working | | | | | | jointly with the Department of Energy and Climate Change, Rt Hon | | | | | | Matthew Hancock MP (15 July 2014 - 30 September 2014) | | | | | | Date gift | | | | | | received | | | | | | Nil return | | | | | | | | | | | | | | | | | | From | Gift | Value | Outcome | |----------------------------------------------------------------------------------------------|-------------|-----------|--------------| | Parliamentary Under Secretary of State for Life Sciences working jointly | | | | | with the Department of Health, George Freeman MP (15 July 2014 - | | | | | September 2014) | | | | | Date gift | | | | | received | | | | | Nil return | | | | | | | | | | | | | | | OVERSEAS TRAVEL | | | | | | | | | | | | | | | | | | | | Date(s) of | | | | | trip | | | | | Destination Purpose of trip | 'Scheduled' | | | | or No 32 | | | | | (The Royal) | | | | | Squadron' | | | | | or 'other | | | | | RAF' or | | | | | 'Charter' or | | | | | 'Eurostar' | | | | | Secretary of State for Business, Innovation & Skills and President of the Board of Trade, Rt | | | | | Hon Vincent Cable MP | | | | | Nil return | | | | | Minister of State, (Universities and Science), Rt Hon David Willetts MP (01 July - 14 July | | | | | 2014) | | | | | Nil return | | | | | Belgium, | | | | | Brussels | | | | | To attend | | | | | Competitiveness | | | | | Council | | | | | Minister of State for Cabinet Office (Cities and Constitution) and Minister of State for | | | | | Universities and Science, Rt Hon Greg Clark MP (15 July 2014 - September 2014) | | | | | 25 | | | | | September | | | | | - 26 | | | | | September | | | | | Minister of State (Trade and Investment), Lord Livingston | | | | | | | | | | 11 July - | | | | | 21 July | | | | | New | | | | | Zealand, | | | | | Auckland, | | | | | Christchurch, | | | | | Australia, | | | | | Sydney | | | | | To promote UK | | | | | trade and | | | | | investment, meet | | | | | with senior | | | | | Government | | | | | Ministers | | | | | represent the UK | | | | | at the G20 | | | | | meeting in | | | | | Sydney | | | | | Azerbaijan, | | | | | Baku | | | | | 19 | | | | | September | | | | | - 20 | | | | | September | | | | | Attend 20th | | | | | anniversary of the | | | | | Azeri-Chirag- | | | | | Guneshli (ACG) | | | | | oil project event | | | | | and the Southern | | | | | Gas Corridor | | | | | Groundbreaking | | | | | Ceremony. | | | | | Germany, | | | | | Dusseldorf | | | | | 30 | | | | | September | | | | | - 01 | | | | | Open new British | | | | | Consulate- | | | | | General office | | | | | Total cost | | | | | including travel | | | | | and | | | | | accommodation | | | | | of Minister only | | | | | Number of | | | | | officials | | | | | accompanying | | | | | Minister, | | | | | where non- | | | | | scheduled | | | | | travel is used | | | | | N/A | £372 | Eurostar, | | | Scheduled | | | | | Scheduled | N/A | £7,691 | | | Scheduled | N/A | £3,977 | | | Scheduled | N/A | £636 | | | October | meet prominent | |------------------------------------------------------------------------------------------------|-------------------------------| | figures from | | | politics and | | | industry | | | Parliamentary Secretary for Business, Innovation and Skills | | | Parliamentary Under Secretary of State, Viscount Younger (01 July - 14 July 2014) | | | Nil return | | | Belgium, | | | Brussels | | | To attend EU | | | Competitiveness | | | Council | | | Parliamentary Under-Secretary of State for Business, Innovation and Skills and Minister for | | | Intellectual Property, Baroness Neville-Rolfe DBE (15 July - 30 September 2014) | | | 24 | | | September | | | - 25 | | | September | | | Parliamentary Under Secretary of State, (Employment Relations, Consumer Affairs), Jo | | | Swinson MP | | | Nil return | | | Parliamentary Under Secretary of State, (Skills jointly with the Department for Education), | | | Matthew Hancock MP (01 July - 14 July 2014) | | | Nil return | | | Minister of State for Skills and Equalities working jointly with the Department for Education, | | | Nick Boles MP (15 July 2014 - 30 September 2014) | | | | | | Nil return | | | Minister of State, (Business and Enterprise), Rt Hon Michael Fallon MP (01 July - 14 July | | | 2014) | | | Nil return | | | Minister of State for Business and Enterprise and Energy working jointly with the | | | Department of Energy and Climate Change, Rt Hon Matthew Hancock MP (15 July 2014 - 30 | | | September 2014) | | | 22 July | Belgium, | | Brussels | | | To attend the EEF | | | MEPs reception, | | | and to meet the | | | Commissioner to | | | negotiate the UK | | | Partnership | | | Agreement | | | Parliamentary Under Secretary of State for Life Sciences working jointly with the | | | Department of Health, George Freeman MP (15 July 2014 - September 2014) | | | Nil Return | | | Name of organisation | Type of hospitality received¹ | | | | | | | | HOSPITALITY | | | | | | Date of | | | hospitality | | | Secretary of State for Business, Innovation & Skills and President of the | | | Board of Trade, Rt Hon Vincent Cable MP | | | | | | 17 July | Sunday Times | | 21 July | The Guardian | | 03 September | The Times | | 11 September | BBC and The Today | | Programme | | | Lunch | | | 16 September | The Times | | Minister of State, (Universities and Science), Rt Hon David Willetts MP | | | (01 July - 14 July 2014) | | | Eurostar | N/A | | Scheduled | N/A | | 01 July | Daily Mail and The Times | Lunch | |---------------------------------------------------------------------------|-----------------------------|------------------| | 03 July | The Telegraph | Breakfast | | Minister of State for Cabinet Office (Cities and Constitution) and | | | | Minister of State for Universities and Science, Rt Hon Greg Clark MP (15 | | | | July 2014 - September 2014) | | | | 15 July | Lockheed Martin | Dinner | | Dinner | 24 July | Royal Society of | | Edinburgh | | | | 13 August | UCAS | Dinner | | 09 September | Universities UK | Dinner | | Dinner | | | | Minister of State (Trade and Investment), Lord Livingston | | | | 01 July | EEF The Manufacturers' | | | Organisation | | | | 16 September | PricewaterhouseCoopers | Breakfast | | 22 September | Hong Kong Association | Lunch | | 23 September | Arup | Breakfast | | 16 September | PricewaterhouseCoopers | Breakfast | | 10 September | KPMG | Breakfast | | Parliamentary Secretary for Business, Innovation and Skills | | | | Parliamentary Under Secretary of State, Viscount Younger (01 July - 14 | | | | July 2014) | | | | | | | | Nil return | | | | Parliamentary Under-Secretary of State for Business, Innovation and | | | | Skills and Minister for Intellectual Property, Baroness Neville-Rolfe DBE | | | | (14 July - 30 September 2014) | | | | Nil return | | | | Parliamentary Under Secretary of State, (Employment Relations, | | | | Consumer Affairs), Jo Swinson MP | | | | | | | | Nil return | | | | Parliamentary Under Secretary of State, (Skills jointly with the | | | | Department for Education), Matthew Hancock MP (01 July - 14 July | | | | 2014) | | | | | | | | 01 July | Daily Mail | Lunch | | Minister of State for Skills and Equalities working jointly with the | | | | Department for Education, Nick Boles MP (15 July 2014 - 30 September | | | | 2014) | | | | | | | | Nil return | | | | Minister of State, (Business and Enterprise), Rt Hon Michael Fallon MP | | | | (01 July - 14 July 2014) | | | | Nil return | | | | Lunch | | | | Minister of State for Business and Enterprise and Energy working jointly | | | | with the Department of Energy and Climate Change, Rt Hon Matthew | | | | Hancock MP (15 July 2014 - 30 September 2014) | | | | 04 September | Bank of America Merrill | | | Lynch | | | | Parliamentary Under Secretary of State for Life Sciences working jointly | | | | with the Department of Health, George Freeman MP (15 July 2014 - | | | | September 2014) | | | | Nil return | | | | | | | | | | | | | | | ¹Does not normally include attendance at functions hosted by HM Government; 'diplomatic' functions in the UK or abroad, hosted by overseas governments; minor refreshments at meetings, receptions, conferences, and seminars; and offers of hospitality which were declined. * Indicates if accompanied by spouse/partner or other family member or friend. MEETINGS WITH EXTERNAL ORGANISATIONS Date of Meeting Name of External Organisation1 Purpose of Meeting Secretary of State for Business, Innovation & Skills and President of the Board of Trade, Rt Hon Vincent Cable MP July 2014 London Evening Standard General catch up July 2014 Creative Industries Council To discuss the creative industry July 2014 The FT To discuss takeovers July 2014 Royal Bank of Scotland To discuss banking July 2014 Ministerial Bio-Pharmaceutical Industry Group To discuss the pharmaceutical industry July 2014 Ian Swales MP, Sirius Minerals To discuss business July 2014 The FT General catch up July 2014 The Institute of Directors Regular meeting July 2014 Trade Unions Congress Regular meeting July 2014 Bank of England General catch up July 2014 National Union of Students To discuss higher education July 2014 AgustaWestland, David Laws MP General catch up July 2014 Shell To discuss business July 2014 Federation of Small Businesses Regular meeting July 2014 ShareAction To discuss the Kay Review July 2014 High Value Manufacturing Catapult To discuss innovation August 2014 The Times General catch up September 2014 City AM, Buzzfeed General catch up September 2014 General Electric To discuss mergers & takeovers September 2014 BP Regular meeting September 2014 The Sunday Telegraph General catch up September 2014 KfW Group To discuss banking September 2014 Santander To discuss banking September 2014 Crossrail To discuss apprenticeships, skills, innovation in the construction and transport industries September 2014 Amadeus Capital To discuss catapults September 2014 Royal Bank of Scotland To discuss banking issues To discuss the construction industry September 2014 Tata Steel, Ibstock, Marshalls plc, Cemex Hanson Building Products, BASF, Construction Products Association, Lafarge Tarmac, Knauf Insulation, Wienerberger September 2014 The Guardian General catch up September 2014 BBC General catch up September 2014 Confederation of British Industry Regular meeting September 2014 Bentley To discuss the automotive industry September 2014 Hinduja Group To discuss manufacturing To discuss upcoming trip to India September 2014 National Asian Business Association, Bedfordshire Asian Business Association, Middlesex Asian Business Association, Asian Business Association - London Chamber, North East Asian Business Association, Hertfordshire Asian Business Association, Leicestershire Asian Business Association Minister of State, (Universities and Science), Rt Hon David Willetts MP (01 July - 14 July 2014) July 2014 Information Economy Council To discuss information economy July 2014 Cyber Growth Partnership To discuss cyber July 2014 Heppell.net To discuss higher education July 2014 Bull Information Systems To discuss research July 2014 Synthetic Biology Leadership Council To discuss science and research To discuss higher education July 2014 Lancaster University, Warwick Institute for Employment, University of Cambridge, Institute for Fiscal Studies, Cambridge Econometrics, Higher Education Policy Institute, Higher Education Statistics Agency, Higher Education Funding Council for England July 2014 E-infrastructure Leadership Council To discuss technology and innovation July 2014 Econometrica To discuss space To discuss higher education July 2014 Universities and College Admissions Service, Supporting Professionalism in Admissions Programme, Guild Higher Education July 2014 Ministerial Bio-Pharmaceutical Industry Strategy Group To discuss the pharmaceutical industry July 2014 Quality Assurance Agency To discuss higher education To discuss higher education July 2014 National Children's Bureau, Disability Rights UK, The Dyslexia-Special Learning Difficulties Trust, Royal National Institute of Blind People, Equality Challenge Unit July 2014 National Union of Students To discuss higher education July 2014 British Venture Capital Association To discuss innovation Minister of State for Cabinet Office (Cities and Constitution) and Minister of State for Universities and Science, Rt Hon Greg Clark MP (15 July 2014 - September 2014) July 2014 Universities UK To discuss higher education July 2014 High Value Manufacturing Catapult To discuss innovation July 2014 Amadeus Capital Partners To discuss innovation July 2014 Royal Society To discuss science July 2014 Royal Society To discuss science August 2014 UCAS, Ofqual To discuss higher education September 2014 Space Leadership Council To discuss space September 2014 Universities UK To discuss higher education To discuss higher education September 2014 Association of Managers of Student Services in Higher Education, National Association of Disability Practitioners, National Association of Student Money Advisers, University Mental Health Advisers Network September 2014 National Union of Students To discuss higher education September 2014 IBM To discuss science September 2014 Arts Council England To discuss science September 2014 Amadeus Capital Partners To discuss innovation September 2014 OECD To discuss education Minister of State (Trade and Investment), Lord Livingston July 2014 Mace Group Introductory meeting and discuss the relationship with UK Trade & Investment July 2014 National Air Traffic Control Service To discuss UK Trade & Investment engagement with NATs and to discuss air traffic control July 2014 TheCityUk To discuss trade and investment in the finance sector To discuss trade & investment in the finance sector July 2014 Aberdeen Asset Management, Alliance Trust, Allianz Global Investors GmbH, Association of British Insurers, Aviva, Bank of America Merrill Lynch, Bank of Ireland, Bank of New York Mellon, BlackRock, BNP Paribas UK, British Bankers Association, Canary Wharf Group, Cass Business School, Confederation of British industry, Chartered Institute for Securities and Investment, Citigroup, Clifford Chance, Deloitte, Deutsche Bank UK, Ernest & Young, Freshfields Bruckhaus Deringer, Friends Life Group, Goldman Sachs International, Henderson Global Investors, Hibu, HSBC, ICE Benchmark Administration, Jersey Finance, JP Morgan UK, KPMG, Legal & General, Linklaters , Lloyds Banking Group, Lloyd's of London, London Stock Exchange, Mayer Brown International, Morgan Stanley, Nomura International & Nomura Europe Holdings, NYSE Liffe, Old Mutual Group, Permira Advisers, PricewaterhouseCoopers, Prudential , RBS, Santander UK, Scottish Financial Enterprise, St James's Place, Standard Life, Starr Companies, Thomson Reuters, UBS Investment Bank, Willis July 2014 Alliance Trust To discuss engagement with the financial sector July 2014 Kingfisher To discuss UK Trade and Investment and international retail strategy July 2014 UK China Business Association To discuss trade & investment opportunities in the UK & China A roundtable lunch organised by UKTI for 14 Queen's Award 2014 winners July 2014 Nikwax, Emulate3D, Optasense, CSB Holdings Plc, Electronic Temperature, Instruments Ltd, Kiln Flame Systems Ltd, Leverton-Clarke Ltd, Marco Ltd, Oxford Technologies Ltd, Quorum Technologies Ltd, Sysco Guest Supply Europe Ltd, Design Blue Ltd, D30 Elekta, Aspen Pumps Ltd July 2014 G3 To discuss trade and investment in the defence and security sector July 2014 Network Rail To discuss contract recently signed by Network Rail and trade and invest opportunities July 2014 Xpelair Group Company visit and round table meeting to discuss trade and investment July 2014 Xaar Company visit and round table meeting to discuss trade and investment July 2014 Mcquarie capital To discuss G20 trade Ministers meeting and trade and investment August 2014 British Airways To discuss BA support for UK exports August 2014 Alexander Dennis Ltd Company visit and round table meeting to discuss trade and investment August 2014 Surrey Satellite Technology Ltd Company visit and round table meeting to discuss trade and investment August 2014 Sesame access Company visit and round table meeting to discuss trade and investment September 2014 G4S To discuss trade and investment in the African security sector September 2014 Eversheds To discuss nuclear development and the role of women in Japan September 2014 Alliance Global Group To discuss trade and investment opportunities with the Far East Asia market September 2014 The Institute of Chartered Accountants in England and Wales Introductory meeting and to discuss export strategy Roundtable meeting to discuss export strategy and relationship with UK Export Finance and UK Trade & Investment September 2014 The Institute of Chartered Accountants in England and Wales, FD Solutions, Grace Foods, E2V Technologies, Deloitte, Grant Thornton, PWC, Laird Technologies, The Bristol Ports Company September 2014 Amnesty International, Campaign Against Arms Trade, Greenpeace, To discuss UK Export Finance and | Friends of the Earth | Transatlantic Trade | |---------------------------------------------------------------------------|----------------------------------| | and Investment | | | Partnership | | | September 2014 | Professional Business Services | | Council | | | To discuss | | | Professional Business | | | Services Council | | | relationship with UK | | | Trade & Investment | | | and BIS | | | September 2014 Grant Thornton, Fortnum & | | | Mason, Ian Macleod Distillers | | | To discuss exports | | | September 2014 | GE | | relationship with UK | | | Trade & Investment | | | September 2014 | BP | | opportunities in the | | | South Caucasus | | | September 2014 | eSkills, techUK | | development of the IT / | | | technology and | | | services sector | | | September 2014 | DIAGEO | | and Investment | | | relationship with | | | Diageo | | | September 2014 | Crossrail | | and infrastructure | | | opportunities | | | September 2014 | Alliance Trust | | business ambassadors | | | programme | | | Parliamentary Secretary for Business, Innovation and Skills | | | Parliamentary Under Secretary of State, Viscount Younger (01 July - 14 | | | July 2014) | | | | | | July 2014 | Trade Marks & Designs | | Intellectual Property Office | | | Introductory meeting | | | Parliamentary Under-Secretary of State for Business, Innovation and | | | Skills and Minister for Intellectual Property, Baroness Neville-Rolfe DBE | | | (14 July - 30 September 2014) | | | July 2014 | UK Music | | and to discuss | | | copyright exceptions | | | August 2014 | Chartered Institute of Patent | | Attorneys | | | Introductory meeting | | | To discuss extractives | | | transparency | | | Parliamentary Under Secretary of State, (Employment Relations, | | | Consumer Affairs), Jo Swinson MP | | | July 2014 | University of Exeter, Shell, BP, | | ExxonMobil, Publish What You | | | Pay, Global Witness, Natural | | | Resource Governance Institute, | | | HMRC, Oil & Gas UK, Mineral | | | Products Association, ONE, HM | | | Treasury, Department for | | | International Development, | | Chevron July 2014 Post Office Ltd Introductory meeting July 2014 National Federation of Subpostmasters Introductory meeting July 2014 Which? To discuss consumer issues July 2014 Shell To discuss extractives reporting July 2014 Ofcom To discuss regulations Parliamentary Under Secretary of State, (Skills jointly with the Department for Education), Matthew Hancock MP (01 July - 14 July 2014) July 2014 Holts Group To discuss business reforms July 2014 National Hairdressers Federation To discuss apprenticeships To discuss tourism July 2014 Hilton Worldwide, Visit Britain, Visit England, Northern Ireland Tourist Board, Visit Wales, Tourism Alliance, Intercontinental Hotel Group, EasyJet Group, First Group, English Lakes Hotels, Dudley Zoo, Expedia, Google, Parkdean Holidays, JAC Travel, West Dorset Leisure Holidays Ltd, Shepherd Neame, Continuum Group, TUI Travel July 2014 Sixth Form College Association To discuss sixth form colleges July 2014 Confederation of British Industry To discuss enterprise July 2014 Small Business Saturday To discuss small business Minister of State for Skills and Equalities working jointly with the Department for Education, Nick Boles MP (15 July 2014 - 30 September 2014) July 2014 Deirdre Hughes To discuss careers July 2014 Association of Colleges Introductory meeting July 2014 Dr David Collins Introductory meeting July 2014 Stonewall To discuss equalities July 2014 Apprenticeship Ambassador Network To discuss apprenticeships July 2014 Rabbi Neuberger To discuss equalities August 2014 Teach First To discuss teaching August 2014 Alison Wolf Introductory meeting August 2014 Baker Dearing Trust Introductory meeting To discuss equal marriage August 2014 Jakki Livesey-van Dorst, Shelia Livesey-van Dorst, Sophie Ward, Rev David Coles To discuss skills September 2014 BAE Systems, National Grid, GSK, Jaguar Landrover, Airbus, Accenture, Crossrail, Channel 4 September 2014 Association of Employment and Learning Providers Introductory meeting September 2014 Confederation of Bristish Industry Introductory meeting September 2014 Federation of Small Business Introductory meeting | September 2014 Claire Perry MP, constituent | To discuss | |-------------------------------------------------|-----------------------------------| | Apprenticeships | | | September 2014 Trades Union Congress | Introductory meeting | | September 2014 | Education Training Foundation | | September 2014 Crossrail | To discuss rail industry | | September 2014 | OECD | | September 2014 | Sixth Form Colleges Association | | September 2014 | British Retail Consortium | | To discuss careers | | | September 2014 | National Careers Council, Ofsted, | | Career Academies UK, Business | | | in the Community, Education | | | Select Committee, Greater | | | London Authority, Deloitte, Teach | | | First, Nestle, CfBT Education | | | Trust, North Yorkshire Business | | | Education Partnership, Edge | | | Foundation, National Grid, Adviza, | | | Careers England, National | | | Governors' Association, | | | Engineering UK, The Good | | | Careers Guide, Barclays, | | | Association of Colleges, Google, | | | Career Development Institute, | | | Prospects Services, North | | | Warwickshire and Hinckley | | | College, South Leicestershire | | | College, Federation of Small | | | Businesses, Baroness Margaret | | | Prosser, Centre for Economic and | | | Social Inclusion, Further | | | Education Trust for Leadership, | | | Confederation of British Industry, | | | National Institute for Adult | | | Continuing Education, Penna Ltd | | | To discuss | | | construction | | | September 2014 | Construction Industry Council, | | Sweett Group, Skanska, | | | Sustainable by Design, Marks and | | | Spencer, Anglian Water, Willmott | | | Dixon, UK Green Building | | | Company, Hammerson, | | | Infrastructure UK, Murphy Group, | | | H&H Group, Phillips, WRAP | | | To discuss education | | | September 2014 | Ofsted, 157 Group, University | | Vocational Awards Council, | | | UKCES, Association of Colleges, | | | Association of Employment and | | | Learning Providers, Association of | | | School and College Leaders, | | | Sector Skills Alliances, Federation | | | of Small Businesses, Tertiary | | | Colleges Group, Education and | | | Training Foundation, | | | Manufacturing Technology | | | Centre, Education Funding | | Agency, Skills Funding Agency, BAM Nuttall, Capgemini, City and Islington College, Local Education Authorities Forum for the Education of Adults, Local Government Association, National Institute of Adult Continuing Education, Sixth Form Colleges Association, National Union of Students, Third Sector National Learning Alliance, Association of National Specialist Colleges, Confederation of British Industry, University and College Union September 2014 Crossrail To discuss rail industry September 2014 Construction Skills Certification To discuss construction Scheme, Construction Industry Training Board Minister of State, (Business and Enterprise), Rt Hon Michael Fallon MP (01 July - 14 July 2014) July 2014 The Times To discuss regulation on business Minister of State for Business and Enterprise and Energy working jointly with the Department of Energy and Climate Change, Rt Hon Matthew Hancock MP (15 July 2014 - 30 September 2014) July 2014 Federation of Small Businesses To discuss late payments, export support and broadband July 2014 Sunday Times To discuss enterprise September 2014 Vodafone To discuss Vodafone priorities September 2014 Jaguar Land Rover Introductory meeting and discuss future plans of JLR September 2014 London Taxi Company To discuss funding and opportunities September 2014 GKN Land Systems Introductory meeting to discuss Aerospace Growth Partnership September 2014 Boeing UK Introductory meeting Parliamentary Under Secretary of State for Life Sciences working jointly with the Department of Health, George Freeman MP (15 July 2014 - September 2014) September 2014 Cancer Research UK Introductory meeting September 2014 The Wellcome Trust Introductory meeting September 2014 Aegate Holdings Ltd To discuss pharmaceutical tracking September 2014 AstraZeneca Introductory meeting September 2014 The Association of the British Pharmaceutical Industry Introductory meeting September 2014 Association of British Healthcare Industries Introductory meeting 1Does not normally include meetings with Government bodies such as other Government Departments, members of the Royal Household, NDPBs, Non-Ministerial Departments, Agencies, Government reviews and representatives of Parliament, devolved or foreign governments. Visits, attendance at seminars, conferences, receptions, media, interviews etc would not normally be classed as meetings.

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| SUPPLIER NAME | PORTFOLIO | COST CENTRE | EXPENDITURE CLASS | POST. DATE | AMOUNT | |-----------------------------------------------------------------------|--------------------------------|--------------------------------|------------------------------|--------------|-----------| | | IRRECOVERABLE VAT | | | | | | PROCLASS | | | | | | | REF. | | | | | | | 1ST CHOICE PROPERTY MAINTENANCE COMMERCIAL | Finance, Efficiency & Assets | Council Offices & Land | Rea: Building | 20/01/2016 | 1,860.00 | | ABRITAS | Community Services | Choice Based Lettings | Professional Services | 21/01/2016 | 7,424.00 | | ADN CONSTRUCTION LTD. | Other | General Fund Balance Sheet | Nwldc - Dfg Agency Account | 28/01/2016 | 7,000.00 | | ADN CONSTRUCTION LTD. | Other | General Fund Balance Sheet | Nwldc - Dfg Agency Account | 28/01/2016 | 5,000.00 | | ALL SAINTS CHURCH | N'Hood & Env. Health Services | Car Parks | Rent Payments | 21/01/2016 | 1,500.00 | | ALL THINGS TRAINING | Perform., People & S. Projects | Staff Training And Development | Hired Services | 14/01/2016 | 2,781.00 | | ALLPAY LIMITED DIRECT DEBIT ACCOUNT Finance, Efficiency & Assets | Banking Charges | Transaction Costs - All Pay | 14/01/2016 | 1,236.86 | 0.00 | | AMENITY HORTICULTURAL SERVICES LTD. | N'Hood & Env. Health Services | Grounds Maintenance Service | Equipment R & M | 20/01/2016 | 391.50 | | ANCHORPRINT GROUP LIMITED | Health Improvement & Leisure | The Pavilion | Publicity & Promotion | 07/01/2016 | 334.07 | | ANCHORPRINT GROUP LIMITED | Partnerships & Corp. Services | Reprographics | Print Mats (Int. Print Room) | 25/01/2016 | 559.00 | | BOTTOMLINE TECHNOLOGIES | Other | General Fund Balance Sheet | In Year Capital Additions | 12/01/2016 | 3,562.50 | | BOTTOMLINE TECHNOLOGIES | Other | General Fund Balance Sheet | In Year Capital Additions | 12/01/2016 | 1,000.00 | | BRAUNSTONE TOWN COUNCIL | Partnerships & Corp. Services | Customer Services | Rent Payments | 28/01/2016 | 44,272.00 | | BROOK STREET UK LIMITED | Partnerships & Corp. Services | Local Land Charges | Gross Pay | 06/01/2016 | 315.91 | | BROOK STREET UK LIMITED | Planning, Econ. Dev. & Housing | Planning Delivery | Gross Pay | 11/01/2016 | 226.12 | | BROOK STREET UK LIMITED | Planning, Econ. Dev. & Housing | Planning Delivery | Gross Pay | 11/01/2016 | 371.85 | | BROOK STREET UK LIMITED | Planning, Econ. Dev. & Housing | Planning Delivery | Gross Pay | 27/01/2016 | 371.85 | | BROWNE JACOBSON LLP | Partnerships & Corp. Services | External Legal Fees | Legal Fees | 14/01/2016 | 366.20 | | BRUEL & KJAER UK LTD | N'Hood & Env. Health Services | Noise Pollution | Equipment R & M | 27/01/2016 | 1,028.50 | | CANON (UK) LTD | Partnerships & Corp. Services | Reprographics | Printroom Copy Charge | 14/01/2016 | 472.08 | | CANON (UK) LTD | Partnerships & Corp. Services | Reprographics | Printroom Equipment Rental | 19/01/2016 | 225.16 | | CANON UK LTD | Partnerships & Corp. Services | Reprographics | Printroom Copy Charge | 14/01/2016 | 886.91 | | CAPITA BUSINESS SERVICESLTD | Finance, Efficiency & Assets | Banking Charges | Transaction Costs - Cards | 21/01/2016 | 2,064.42 | | CAPITA TREASURY SOLUTIONS LIMITED | N'Hood & Env. Health Services | Fleet Management | Miscellaneous Income | 14/01/2016 | 900.38 | | CENTRAL STONE REPAIRS | Finance, Efficiency & Assets | Open Spaces Management | Open Space Development | 07/01/2016 | 800.00 | | CIPFA BUSINESS | Finance, Efficiency & Assets | Financial Services | Books, Newspapers And Pubs | 14/01/2016 | 870.00 | | CLOCKWISE | Other | General Fund Balance Sheet | Deductions - Clockwise | 28/01/2016 | 630.00 | | COLLEGE GARTH KENNELS | N'Hood & Env. Health Services | Control Of Dogs | Professional Fees | 21/01/2016 | 2,078.33 | | COMPASS MINERALS | N'Hood & Env. Health Services | Grounds Maintenance Service | Materials - Purchase | 26/01/2016 | 1,044.64 | | CRAEMER UK LTD | N'Hood & Env. Health Services | Refuse Coll & Domestic Recyc | Bins - Domestic | 28/01/2016 | 1,350.00 | | CRAEMER UK LTD | N'Hood & Env. Health Services | Refuse Coll & Domestic Recyc | Bins - Domestic | 28/01/2016 | 2,700.00 | | CRAEMER UK LTD | N'Hood & Env. Health Services | Refuse Coll & Domestic Recyc | Bins - Domestic | 28/01/2016 | 2,700.00 | | DAISY COMMUNICATIONS LIMITED | Partnerships & Corp. Services | Ict Services | Telecoms - Calls | 14/01/2016 | 1,028.55 | | DAVID KIRTON DESIGNS | Other | General Fund Balance Sheet | Nwldc - Dfg Agency Account | 27/01/2016 | 1,132.00 | | DENNIS EAGLE LTD | N'Hood & Env. Health Services | Vehicle Maintenance | Normal Repairs | 12/01/2016 | 2,006.14 | | DENNIS EAGLE LTD | N'Hood & Env. Health Services | Vehicle Maintenance | Normal Repairs | 29/01/2016 | 1,643.04 | | DETECTOR ALARMS LIMITED | Other | General Fund Balance Sheet | In Year Capital Additions | 15/01/2016 | 1,695.00 | | DIGRAPH TRANSPORT SUPPLIES LIMITED | N'Hood & Env. Health Services | Vehicle Maintenance | Normal Repairs | 14/01/2016 | 495.00 | | SUPPLIER NAME | PORTFOLIO | COST CENTRE | EXPENDITURE CLASS | POST. DATE | AMOUNT | |----------------------------------------------------------------------|--------------------------------|--------------------------------|--------------------------------|--------------|----------| | | IRRECOVERABLE VAT | | | | | | PROCLASS | | | | | | | REF. | | | | | | | DURA SPORT (LEISURE CARE) LIMITED | Finance, Efficiency & Assets | The Pavillion - Land And Build | Pla: All Weather Pitch Works | 11/01/2016 | 350.00 | | EDEN BROWN SYNERGY LIMITED | Finance, Efficiency & Assets | Bubble Project | Temporary/Casual Staff | 21/01/2016 | 216.75 | | EDEN BROWN SYNERGY LIMITED | Finance, Efficiency & Assets | Bubble Project | Temporary/Casual Staff | 21/01/2016 | 969.00 | | EDEN BROWN SYNERGY LIMITED | Finance, Efficiency & Assets | Bubble Project | Temporary/Casual Staff | 21/01/2016 | 682.13 | | EDEN BROWN SYNERGY LIMITED | Finance, Efficiency & Assets | Bubble Project | Temporary/Casual Staff | 21/01/2016 | 541.88 | | EDEN BROWN SYNERGY LIMITED | Finance, Efficiency & Assets | Bubble Project | Temporary/Casual Staff | 21/01/2016 | 726.75 | | ELECTORAL REFORM SERVICES | Finance, Efficiency & Assets | Register Of Electors | Hired Services | 12/01/2016 | 242.26 | | ENDERBY TENNIS CLUB | Partnerships & Corp. Services | Youth Council | Grants - Other Small Grants | 07/01/2016 | 873.00 | | ENVIRONMENT ANALYST LTD | N'Hood & Env. Health Services | Environmental Health | Subscriptions | 15/01/2016 | 257.00 | | ENVTEC SERVICES | Finance, Efficiency & Assets | The Pavillion - Land And Build | Cyc: Gas Boiler Servicing | 19/01/2016 | 230.00 | | ESPO | Finance, Efficiency & Assets | Council Offices & Land | Gas | 07/01/2016 | 1,350.82 | | ESPO | Finance, Efficiency & Assets | Littlethorpe Depot | Gas | 27/01/2016 | 469.11 | | FAROL LIMITED | N'Hood & Env. Health Services | Grounds Maintenance Service | Accidental Damage Repair Costs | 27/01/2016 | 834.12 | | FAROL LIMITED | N'Hood & Env. Health Services | Vehicle Maintenance | Normal Repairs | 27/01/2016 | 822.93 | | FIRST CALL BUSINESS COMMUNICATION | Finance, Efficiency & Assets | Emergency Planning & Bus. Cont | Out Of Hours Service | 20/01/2016 | 473.81 | | FORD & SLATER | N'Hood & Env. Health Services | Vehicle Maintenance | Normal Repairs | 11/01/2016 | 510.12 | | FRANK MAWBY & COMPANY | Finance, Efficiency & Assets | Council Offices & Land | Rea: Plumbing | 20/01/2016 | 454.00 | | GAE SMITH HOLDINGS LIMITED | N'Hood & Env. Health Services | Refuse Coll & Domestic Recyc | Disposal Fees | 19/01/2016 | 5,092.36 | | GEOTECHNICAL INSTRUMENTS UK LIMITED | N'Hood & Env. Health Services | Contaminated Land (Cont & Mon) | Equipment R & M | 12/01/2016 | 490.00 | | GLADSTONE MRM | Other | General Fund Balance Sheet | In Year Capital Additions | 21/01/2016 | 6,205.30 | | H20 DESIGN | N'Hood & Env. Health Services | Grounds Maintenance Service | Sub-Contractors | 07/01/2016 | 1,000.00 | | HAYMARKET PUBLISHING SERVICES LIMITED Planning, Econ. Dev. & Housing | Planning Delivery | Books, Newspapers And Pubs | 26/01/2016 | 810.00 | 0.00 | | HAYMARKET PUBLISHING SERVICES LIMITED Planning, Econ. Dev. & Housing | Planning Delivery | Books, Newspapers And Pubs | 26/01/2016 | 1,159.00 | 0.00 | | HAYS SPECIALIST RECRUITMENT | Community Services | Light Bulb Project | Temporary/Casual Staff | 12/01/2016 | 664.91 | | HAYS SPECIALIST RECRUITMENT | Community Services | Light Bulb Project | Temporary/Casual Staff | 21/01/2016 | 332.46 | | HAYS SPECIALIST RECRUITMENT | Community Services | Light Bulb Project | Temporary/Casual Staff | 27/01/2016 | 664.91 | | HEALTH MANAGEMENT LIMITED | Perform., People & S. Projects | Human Res. Train & Development | Occupational Health | 28/01/2016 | 1,166.76 | | HERITAGE HOTEL | Community Services | Homelessness | Homelessness | 07/01/2016 | 1,041.67 | | HERITAGE HOTEL | Community Services | Homelessness | Homelessness | 07/01/2016 | 235.00 | | HFX LIMITED | Finance, Efficiency & Assets | Council Offices & Land | Rea: Electrical | 26/01/2016 | 600.00 | | HYDRO-X WATER TREATMENT LIMITED | Finance, Efficiency & Assets | Council Offices & Land | Pla: Stock Condition Surveys | 14/01/2016 | 795.00 | | IDOX SOFTWARE LIMITED | Partnerships & Corp. Services | Ict Services | Infrastructure - Servers | 19/01/2016 | 950.00 | | IMPERIAL POLYTHENE PRODUCTS LIMITED | N'Hood & Env. Health Services | Refuse Coll & Domestic Recyc | Refuse Sacks | 27/01/2016 | 7,325.51 | | INFORM CPI LIMITED | Finance, Efficiency & Assets | Nndr Billing & Coll Costs | Professional Fees | 14/01/2016 | 2,705.00 | | INSTANT CLEANING UK | Finance, Efficiency & Assets | Council Offices & Land | Temporary/Casual Staff | 07/01/2016 | 1,751.40 | | IRRV | Finance, Efficiency & Assets | C.Tax Billing, Coll & Recovery | Subscriptions | 13/01/2016 | 1,050.00 | | JAM PERSONNEL MIDLANDS LIMITED | N'Hood & Env. Health Services | Refuse Coll & Domestic Recyc | Temporary/Casual Staff | 20/01/2016 | 295.80 | | JAM PERSONNEL MIDLANDS LIMITED | N'Hood & Env. Health Services | Refuse Coll & Domestic Recyc | Temporary/Casual Staff | 19/01/2016 | 581.74 | | SUPPLIER NAME | PORTFOLIO | COST CENTRE | EXPENDITURE CLASS | POST. DATE | AMOUNT | |------------------------------------------|--------------------------------|--------------------------------|--------------------------------|--------------|-----------| | | IRRECOVERABLE VAT | | | | | | PROCLASS | | | | | | | REF. | | | | | | | JAM PERSONNEL MIDLANDS LIMITED | N'Hood & Env. Health Services | Refuse Coll & Domestic Recyc | Temporary/Casual Staff | 19/01/2016 | 1,376.18 | | JAM PERSONNEL MIDLANDS LIMITED | N'Hood & Env. Health Services | Refuse Coll & Domestic Recyc | Temporary/Casual Staff | 21/01/2016 | 433.84 | | JAM PERSONNEL MIDLANDS LIMITED | N'Hood & Env. Health Services | Refuse Coll & Domestic Recyc | Temporary/Casual Staff | 21/01/2016 | 2,088.60 | | JAM PERSONNEL MIDLANDS LIMITED | N'Hood & Env. Health Services | Refuse Coll & Domestic Recyc | Temporary/Casual Staff | 29/01/2016 | 581.74 | | JAM PERSONNEL MIDLANDS LIMITED | N'Hood & Env. Health Services | Refuse Coll & Domestic Recyc | Temporary/Casual Staff | 29/01/2016 | 2,747.93 | | JOHNSTON SWEEPERS LTD | N'Hood & Env. Health Services | Cleansing Services | Accidental Damage Repair Costs | 12/01/2016 | 442.22 | | JOHNSTON SWEEPERS LTD | N'Hood & Env. Health Services | Cleansing Services | Other Equipment | 21/01/2016 | 510.30 | | JOHNSTON SWEEPERS LTD | N'Hood & Env. Health Services | Vehicle Maintenance | Normal Repairs | 21/01/2016 | 442.22 | | JOHNSTON SWEEPERS LTD | N'Hood & Env. Health Services | Vehicle Maintenance | Equipment R & M | 29/01/2016 | 299.57 | | KINGS ARMOURED SECURITY SERVICES LIMITED | N'Hood & Env. Health Services | Car Parks | Security Services | 20/01/2016 | 248.57 | | KINGS ARMOURED SECURITY SERVICES LIMITED | N'Hood & Env. Health Services | Car Parks | Security Services | 27/01/2016 | 235.64 | | KINGS ARMOURED SECURITY SERVICES LIMITED | Partnerships & Corp. Services | Customer Services | Security Services | 11/01/2016 | 503.08 | | KINGS ARMOURED SECURITY SERVICES LIMITED | Partnerships & Corp. Services | Customer Services | Security Services | 28/01/2016 | 503.08 | | LEAWOOD BUILDERS | Other | General Fund Balance Sheet | Nwldc - Dfg Agency Account | 27/01/2016 | 4,957.00 | | LEICESTER CITY COUNCIL | Community Services | Hospital Discharge Project | Casual Mileage & Travel Exp. | 21/01/2016 | 474.85 | | LEICESTER CITY COUNCIL | Community Services | Housing Support - Bradgate Mhu | Other Local Authorities | 14/01/2016 | 5,241.50 | | LEICESTER CITY COUNCIL | Community Services | Housing Support - Bradgate Mhu | Other Local Authorities | 14/01/2016 | 5,241.50 | | LEICESTER CITY COUNCIL | Partnerships & Corp. Services | External Legal Fees | Legal Fees | 14/01/2016 | 600.00 | | LEICESTERSHIRE COUNTY COUNCIL | Community Services | Light Bulb Project | Gross Pay | 26/01/2016 | 34,924.00 | | LEICESTERSHIRE COUNTY COUNCIL | Community Services | Blaby Employment & Training | Project/Initiatives Fees | 11/01/2016 | 1,325.00 | | LEICESTERSHIRE COUNTY COUNCIL | Finance, Efficiency & Assets | The Pavillion - Land And Build | Rea: Grounds Maintenace Repair | 25/01/2016 | 488.18 | | LEICESTERSHIRE COUNTY COUNCIL | N'Hood & Env. Health Services | Refuse Coll & Domestic Recyc | Commercial Waste Fees | 14/01/2016 | 413.22 | | LEICESTERSHIRE COUNTY COUNCIL | N'Hood & Env. Health Services | Refuse Coll & Domestic Recyc | Commercial Waste Fees | 14/01/2016 | 797.34 | | LEICESTERSHIRE COUNTY COUNCIL | N'Hood & Env. Health Services | Refuse Coll & Domestic Recyc | Commercial Waste Fees | 14/01/2016 | 818.68 | | LEICESTERSHIRE COUNTY COUNCIL | N'Hood & Env. Health Services | Refuse Coll & Domestic Recyc | Commercial Waste Fees | 14/01/2016 | 855.54 | | LEICESTERSHIRE COUNTY COUNCIL | N'Hood & Env. Health Services | Refuse Coll & Domestic Recyc | Commercial Waste Fees | 14/01/2016 | 938.96 | | LEICESTERSHIRE COUNTY COUNCIL | N'Hood & Env. Health Services | Refuse Coll & Domestic Recyc | Commercial Waste Fees | 14/01/2016 | 942.84 | | LEICESTERSHIRE COUNTY COUNCIL | N'Hood & Env. Health Services | Refuse Coll & Domestic Recyc | Commercial Waste Fees | 14/01/2016 | 221.16 | | LEICESTERSHIRE COUNTY COUNCIL | N'Hood & Env. Health Services | Refuse Coll & Domestic Recyc | Commercial Waste Fees | 14/01/2016 | 494.70 | | LEICESTERSHIRE COUNTY COUNCIL | N'Hood & Env. Health Services | Refuse Coll & Domestic Recyc | Commercial Waste Fees | 14/01/2016 | 535.44 | | LEICESTERSHIRE COUNTY COUNCIL | N'Hood & Env. Health Services | Refuse Coll & Domestic Recyc | Commercial Waste Fees | 14/01/2016 | 595.58 | | LEICESTERSHIRE COUNTY COUNCIL | N'Hood & Env. Health Services | Refuse Coll & Domestic Recyc | Commercial Waste Fees | 14/01/2016 | 632.44 | | LEICESTERSHIRE COUNTY COUNCIL | N'Hood & Env. Health Services | Car Parks | Professional Fees | 22/01/2016 | 4,151.00 | | LEICESTERSHIRE COUNTY COUNCIL | Partnerships & Corp. Services | Local Land Charges | Lcc Fees | 06/01/2016 | 1,939.00 | | LEICESTERSHIRE COUNTY COUNCIL | Partnerships & Corp. Services | Local Land Charges | Lcc Fees | 06/01/2016 | 1,561.00 | | LEICESTERSHIRE COUNTY COUNCIL | Partnerships & Corp. Services | Local Land Charges | Lcc Fees | 27/01/2016 | 1,456.00 | | LEICESTERSHIRE COUNTY COUNCIL | Partnerships & Corp. Services | Local Land Charges | Lcc Fees | 27/01/2016 | 1,225.00 | | LEICESTERSHIRE COUNTY COUNCIL | Planning, Econ. Dev. & Housing | Planning Delivery | Consultant'S Fees | 12/01/2016 | 2,580.00 | | SUPPLIER NAME | PORTFOLIO | COST CENTRE | EXPENDITURE CLASS | POST. DATE | AMOUNT | |--------------------------------------------|--------------------------------|--------------------------------|--------------------------------|--------------|------------| | | IRRECOVERABLE VAT | | | | | | PROCLASS | | | | | | | REF. | | | | | | | LEICESTERSHIRE COUNTY COUNCIL | N'Hood & Env. Health Services | Grounds Maintenance Service | Tree Maintenance | 14/01/2016 | 570.00 | | LEICESTERSHIRE COUNTY COUNCIL | N'Hood & Env. Health Services | Grounds Maintenance Service | Tree Maintenance | 14/01/2016 | 802.81 | | LEICESTERSHIRE COUNTY COUNCIL | Other | General Fund Balance Sheet | In Year Capital Additions | 20/01/2016 | 8,845.00 | | LEICESTERSHIRE COUNTY COUNCIL | Other | General Fund Balance Sheet | In Year Capital Additions | 20/01/2016 | 1,627.75 | | LEICESTERSHIRE COUNTY COUNCIL | Other | General Fund Balance Sheet | Nwldc - Dfg Agency Account | 21/01/2016 | 1,984.55 | | LEICESTERSHIRE COUNTY COUNCIL | Other | General Fund Balance Sheet | In Year Capital Additions | 21/01/2016 | 1,994.80 | | LEICESTERSHIRE COUNTY COUNCIL | Other | General Fund Balance Sheet | Nwldc - Dfg Agency Account | 21/01/2016 | 6,100.00 | | LEICESTERSHIRE COUNTY COUNCIL | Other | General Fund Balance Sheet | Nwldc - Dfg Agency Account | 27/01/2016 | 2,050.00 | | LEICESTERSHIRE COUNTY COUNCIL | Other | General Fund Balance Sheet | Creditors -County-Superann Ees | 28/01/2016 | 18,500.00 | | LEICESTERSHIRE COUNTY COUNCIL | Other | General Fund Balance Sheet | Creditors -County-Superann Ees | 28/01/2016 | 132,560.58 | | LOCAL WORLD LIMITED | Planning, Econ. Dev. & Housing | Planning Delivery | Advertising - Notices | 07/01/2016 | 288.15 | | LOCAL WORLD LIMITED | Planning, Econ. Dev. & Housing | Planning Delivery | Advertising - Notices | 14/01/2016 | 288.15 | | LOCAL WORLD LIMITED | Planning, Econ. Dev. & Housing | Planning Delivery | Advertising - Notices | 27/01/2016 | 230.12 | | LOCAL WORLD LIMITED | Planning, Econ. Dev. & Housing | Planning Delivery | Advertising - Notices | 27/01/2016 | 432.22 | | LODGE TYRES CO LTD | N'Hood & Env. Health Services | Refuse Coll & Domestic Recyc | Accidental Damage Repair Costs | 15/01/2016 | 753.00 | | LODGE TYRES CO LTD | N'Hood & Env. Health Services | Refuse Coll & Domestic Recyc | Accidental Damage Repair Costs | 19/01/2016 | 376.50 | | LODGE TYRES CO LTD | N'Hood & Env. Health Services | Vehicle Maintenance | Tyres | 15/01/2016 | 1,258.04 | | MARRONS SOLICITORS | Planning, Econ. Dev. & Housing | Planning Delivery | Legal Fees | 14/01/2016 | 525.00 | | MARRONS SOLICITORS | Planning, Econ. Dev. & Housing | Planning Delivery | Legal Fees | 19/01/2016 | 225.00 | | MARS DRINKS UK | Finance, Efficiency & Assets | Council Offices & Land | Water&Vending Hire & Purchases | 21/01/2016 | 259.98 | | MATRIX PRINT CONSULTANTS LIMITED | Partnerships & Corp. Services | Communications | District Magazine Publication | 25/01/2016 | 4,045.00 | | MATTRESS MAN | Community Services | Housing Support - Bradgate Mhu | Project/Initiatives Fees | 28/01/2016 | 315.00 | | MATTRESS MAN | Community Services | Housing Support - Bradgate Mhu | Project/Initiatives Fees | 28/01/2016 | 330.00 | | MATTRESS MAN | Community Services | Housing Support - Bradgate Mhu | Project/Initiatives Fees | 28/01/2016 | 225.00 | | MATTS MONITORS LTD | N'Hood & Env. Health Services | At. Poll. (Enforce & Mon) | Equipment R & M | 14/01/2016 | 7,795.00 | | MERTRUX LTD | N'Hood & Env. Health Services | Refuse Coll & Domestic Recyc | Accidental Damage Repair Costs | 25/01/2016 | 234.20 | | MICHAEL PAGE INTERNATIONAL RECRUITMENT LTD | Partnerships & Corp. Services | External Legal Fees | Legal Fees | 14/01/2016 | 375.00 | | MICHAEL PAGE INTERNATIONAL RECRUITMENT LTD | Partnerships & Corp. Services | External Legal Fees | Legal Fees | 14/01/2016 | 315.00 | | MICHAEL PAGE INTERNATIONAL RECRUITMENT LTD | Partnerships & Corp. Services | External Legal Fees | Legal Fees | 14/01/2016 | 937.50 | | MICHAEL PAGE INTERNATIONAL RECRUITMENT LTD | Partnerships & Corp. Services | External Legal Fees | Legal Fees | 14/01/2016 | 562.50 | | MICHAEL PAGE INTERNATIONAL RECRUITMENT LTD | Partnerships & Corp. Services | External Legal Fees | Legal Fees | 07/01/2016 | 630.00 | | MICHAEL PAGE INTERNATIONAL RECRUITMENT LTD | Partnerships & Corp. Services | External Legal Fees | Legal Fees | 14/01/2016 | 315.00 | | MICHAEL PAGE INTERNATIONAL RECRUITMENT LTD | Partnerships & Corp. Services | External Legal Fees | Legal Fees | 21/01/2016 | 315.00 | | MICHAEL PAGE INTERNATIONAL RECRUITMENT LTD | Partnerships & Corp. Services | External Legal Fees | Legal Fees | 27/01/2016 | 315.00 | | MIDLAND HR | Partnerships & Corp. Services | Ict Services | Applications - Business | 19/01/2016 | 679.93 | | NAGELS UK LIMITED | N'Hood & Env. Health Services | Car Parks | Pay & Display M/Cs | 21/01/2016 | 1,130.88 | | NEW AUTO LIMITED T/AS MOGO UK | N'Hood & Env. Health Services | Licencing - Hack Carr/Pvt Hire | Other Equipment | 14/01/2016 | 244.00 | | NORTH WEST LEICESTERSHIRE DISTRICT COUNCIL | Finance, Efficiency & Assets | Internal Audit | Other Local Authorities | 14/01/2016 | 12,772.19 | | SUPPLIER NAME | PORTFOLIO | COST CENTRE | EXPENDITURE CLASS | POST. DATE | AMOUNT | |-------------------------------------------|--------------------------------|--------------------------------|--------------------------------|--------------|-----------| | | IRRECOVERABLE VAT | | | | | | PROCLASS | | | | | | | REF. | | | | | | | NORTHGATE PUBLIC SERVICES | Community Services | Benefits Section | Software Maintenance | 07/01/2016 | 27,338.00 | | NORTHGATE PUBLIC SERVICES | Partnerships & Corp. Services | Ict Services | Infrastructure - Servers | 27/01/2016 | 1,000.00 | | NOTTINGHAM CITY COUNCIL | Perform., People & S. Projects | Recruitment Costs | Staff Advertising | 14/01/2016 | 536.82 | | NVIRON LIMITED | Partnerships & Corp. Services | Ict Services | Infrastructure - Os Licence | 19/01/2016 | 1,924.60 | | NVIRON LIMITED | Partnerships & Corp. Services | Ict Services | Infrastructure - Servers | 19/01/2016 | 835.63 | | NVIRON LIMITED | Partnerships & Corp. Services | Ict Services | Infrastructure - Servers | 19/01/2016 | 2,886.90 | | OCE FINANCE | Partnerships & Corp. Services | Reprographics | Printroom Equipment Rental | 07/01/2016 | 3,406.77 | | OFFICE FURNITURE TEAM GB LIMITED | Finance, Efficiency & Assets | Bubble Project | Equipment R & M | 28/01/2016 | 609.25 | | OFFICE FURNITURE TEAM GB LIMITED | Finance, Efficiency & Assets | Council Offices & Land | Office Furniture | 15/01/2016 | 555.80 | | OYSTER PARTNERSHIP | Planning, Econ. Dev. & Housing | Planning Delivery | Gross Pay | 19/01/2016 | 801.00 | | OYSTER PARTNERSHIP | Planning, Econ. Dev. & Housing | Planning Delivery | Gross Pay | 27/01/2016 | 869.09 | | P&MM LIMITED | Perform., People & S. Projects | Human Resources Emp Provisions | Provision Amounts | 14/01/2016 | 890.90 | | P&MM LIMITED - DIRECT DEBIT ONLY | Other | General Fund Balance Sheet | Deductions - Childcare Voucher | 14/01/2016 | 3,546.73 | | PALMER & HARVEY MCLANE LIMITED | Health Improvement & Leisure | The Pavilion | Water&Vending Hire & Purchases | 28/01/2016 | 277.80 | | POLYCOPY | Partnerships & Corp. Services | Reprographics | Print Mats (Int. Print Room) | 14/01/2016 | 720.00 | | PRATT & CHESTERTON ELECTRICAL | Finance, Efficiency & Assets | Blaby Joint Service Shop | Security Systems Inc Cctv | 14/01/2016 | 2,175.00 | | PRATT & CHESTERTON ELECTRICAL | N'Hood & Env. Health Services | Car Parks | Security Systems Inc Cctv | 21/01/2016 | 330.00 | | RADIODETECTION LIMITED | N'Hood & Env. Health Services | Land Drainage & Flood Prev. | Other Equipment | 25/01/2016 | 302.98 | | REGENT OFFICE CARE LIMITED | Finance, Efficiency & Assets | The Pavillion - Land And Build | Security Services | 14/01/2016 | 552.08 | | REGENT OFFICE CARE LIMITED | Finance, Efficiency & Assets | Council Offices & Land | Security Services | 11/01/2016 | 552.08 | | REGENT OFFICE CARE LIMITED | Finance, Efficiency & Assets | Blaby Joint Service Shop | Security Services | 12/01/2016 | 617.08 | | REGENT OFFICE CARE LIMITED | Finance, Efficiency & Assets | Littlethorpe Depot | Security Services | 28/01/2016 | 325.89 | | REGENT OFFICE CARE LIMITED | Finance, Efficiency & Assets | Littlethorpe Depot | Security Services | 11/01/2016 | 552.08 | | REGENT OFFICE CARE LIMITED | Finance, Efficiency & Assets | Littlethorpe Depot | Security Services | 21/01/2016 | 310.00 | | REGENT OFFICE CARE LIMITED | Finance, Efficiency & Assets | Littlethorpe Depot | Security Services | 28/01/2016 | -325.89 | | REGENT OFFICE CARE LIMITED | N'Hood & Env. Health Services | Grounds Maintenance Service | Security Services | 14/01/2016 | 912.51 | | REIDS PLAYGROUND MAINTENACE LIMITED | N'Hood & Env. Health Services | Grounds Maintenance Service | Equipment R & M | 27/01/2016 | 398.00 | | REIDS PLAYGROUND MAINTENACE LIMITED | N'Hood & Env. Health Services | Grounds Maintenance Service | Equipment R & M | 27/01/2016 | 650.00 | | REIDS PLAYGROUND MAINTENACE LIMITED | N'Hood & Env. Health Services | Grounds Maintenance Service | Equipment R & M | 27/01/2016 | 270.00 | | RICHARD SIMMONS LIMITED | Other | General Fund Balance Sheet | In Year Capital Additions | 12/01/2016 | 4,680.00 | | RICHARD SIMMONS LIMITED | Other | General Fund Balance Sheet | In Year Capital Additions | 12/01/2016 | 7,140.00 | | RIGHTTRACK CONSULTANCY LTD | Finance, Efficiency & Assets | Financial Services | Hired Services | 07/01/2016 | 1,975.00 | | ROYAL MAIL | Finance, Efficiency & Assets | Register Of Electors | Postages | 14/01/2016 | 1,021.83 | | RURAL COMMUNITY COUNCIL (LEICS & RUTLAND) | Partnerships & Corp. Services | Grant Aid & Access Activities | Grants - Rcc | 07/01/2016 | 5,300.00 | | S.G. CLEANERS LTD | Community Services | Hospital Discharge Project | Project/Initiatives Fees | 07/01/2016 | 480.00 | | SHARNFORD PARISH COUNCIL | Other | General Fund Balance Sheet | In Year Capital Additions | 07/01/2016 | 1,470.50 | | SHARNFORD TRACTORS LTD | N'Hood & Env. Health Services | Vehicle Maintenance | Normal Repairs | 11/01/2016 | 212.89 | | SHARNFORD TRACTORS LTD | N'Hood & Env. Health Services | Vehicle Maintenance | Normal Repairs | 11/01/2016 | 814.85 | | SUPPLIER NAME | PORTFOLIO | COST CENTRE | EXPENDITURE CLASS | POST. DATE | AMOUNT | |---------------------------------------------|--------------------------------|--------------------------------|-------------------------------|--------------|------------| | | IRRECOVERABLE VAT | | | | | | PROCLASS | | | | | | | REF. | | | | | | | SIEMENS FINANCIAL SERVICES LIMITED | N'Hood & Env. Health Services | Fleet Management | Miscellaneous Income | 07/01/2016 | 17,757.54 | | SIEMENS FINANCIAL SERVICES LIMITED | N'Hood & Env. Health Services | Fleet Management | Miscellaneous Income | 07/01/2016 | -17,757.54 | | SIGHT AND SOUND TECHNOLOGY | Partnerships & Corp. Services | Ict Services | Software Maintenance | 14/01/2016 | 337.00 | | SKY BUSINESS | Health Improvement & Leisure | The Pavilion | Licences | 21/01/2016 | 426.00 | | SKY BUSINESS | Health Improvement & Leisure | The Pavilion | Licences | 28/01/2016 | 233.00 | | SLM BUILDING CONTRACTORS | Finance, Efficiency & Assets | Council Offices & Land | Pla: Redecoration - Internal | 19/01/2016 | 4,812.50 | | SMART DISTRIBUTION | Partnerships & Corp. Services | Communications | District Magazine Publication | 07/01/2016 | 2,411.59 | | SOLOPROTECT LIMITED | Other | General Fund Balance Sheet | Control A/C - Solo Protect | 21/01/2016 | 764.69 | | SOUTHERN ELECTRIC | Finance, Efficiency & Assets | The Pavillion - Land And Build | Electricity | 14/01/2016 | 1,175.46 | | SOUTHERN ELECTRIC | Finance, Efficiency & Assets | Public Conveniences | Electricity | 06/01/2016 | 210.12 | | SOUTHERN ELECTRIC | Finance, Efficiency & Assets | Public Conveniences | Electricity | 06/01/2016 | -210.12 | | SOUTHERN ELECTRIC | Finance, Efficiency & Assets | Public Conveniences | Electricity | 06/01/2016 | -209.79 | | SOUTHERN ELECTRIC | Finance, Efficiency & Assets | Public Conveniences | Electricity | 06/01/2016 | -209.79 | | SOUTHERN ELECTRIC | Finance, Efficiency & Assets | Public Conveniences | Electricity | 06/01/2016 | -209.79 | | SOUTHERN ELECTRIC | Finance, Efficiency & Assets | Council Offices & Land | Electricity | 14/01/2016 | 2,692.58 | | SOUTHERN ELECTRIC | Finance, Efficiency & Assets | Littlethorpe Depot | Electricity | 21/01/2016 | 2,447.54 | | SPALDINGS UK LIMITED | N'Hood & Env. Health Services | Vehicle Maintenance | Normal Repairs | 12/01/2016 | 329.38 | | SPALDINGS UK LIMITED | N'Hood & Env. Health Services | Vehicle Maintenance | Normal Repairs | 27/01/2016 | 535.80 | | STATUTORY NUISANCE SOLUTIONS | N'Hood & Env. Health Services | Noise Pollution | Consultant Fees | 12/01/2016 | 1,995.00 | | STATUTORY NUISANCE SOLUTIONS | N'Hood & Env. Health Services | Noise Pollution | Consultant Fees | 28/01/2016 | 1,795.00 | | THE ASSOCIATION OF ELECTORAL ADMINISTRATORS | Finance, Efficiency & Assets | Corporate Management | Seminars & Short Training | 14/01/2016 | 299.00 | | THE ASSOCIATION OF ELECTORAL ADMINISTRATORS | Finance, Efficiency & Assets | Register Of Electors | Seminars & Short Training | 11/01/2016 | 244.00 | | THE ASSOCIATION OF ELECTORAL ADMINISTRATORS | Finance, Efficiency & Assets | National Election Expenses | Seminars & Short Training | 27/01/2016 | 244.00 | | THE PRUDENTIAL ASSURANCE COMPANY LIMITED | Other | General Fund Balance Sheet | Deductions - Avc | 28/01/2016 | 3,861.78 | | TWOFOLD LIMITED | Partnerships & Corp. Services | Reprographics | Print Mats (Int. Print Room) | 14/01/2016 | 522.00 | | UNISON | Other | General Fund Balance Sheet | Deductions - Unison | 07/01/2016 | 384.94 | | VEHICLE WEIGHING SOLUTIONS | N'Hood & Env. Health Services | Vehicle Maintenance | Normal Repairs | 12/01/2016 | 610.62 | | VENN GROUP LTD | Finance, Efficiency & Assets | Bubble Project | Temporary/Casual Staff | 15/01/2016 | 1,127.78 | | VENN GROUP LTD | Finance, Efficiency & Assets | Bubble Project | Temporary/Casual Staff | 15/01/2016 | 776.88 | | VENN GROUP LTD | Finance, Efficiency & Assets | Bubble Project | Temporary/Casual Staff | 14/01/2016 | 360.53 | | VENN GROUP LTD | Finance, Efficiency & Assets | Bubble Project | Temporary/Casual Staff | 14/01/2016 | 370.08 | | VENN GROUP LTD | Finance, Efficiency & Assets | Bubble Project | Temporary/Casual Staff | 15/01/2016 | 708.40 | | VENN GROUP LTD | Finance, Efficiency & Assets | Bubble Project | Temporary/Casual Staff | 25/01/2016 | 763.92 | | VENN GROUP LTD | Finance, Efficiency & Assets | Bubble Project | Temporary/Casual Staff | 21/01/2016 | 1,017.23 | | VENN GROUP LTD | Finance, Efficiency & Assets | Bubble Project | Temporary/Casual Staff | 29/01/2016 | 1,155.28 | | VENN GROUP LTD | Finance, Efficiency & Assets | Bubble Project | Temporary/Casual Staff | 29/01/2016 | 1,148.13 | | VODAFONE LIMITED | Partnerships & Corp. Services | Ict Services | Telecoms - Internal | 28/01/2016 | 2,532.72 | | W T CLARKE & SON | N'Hood & Env. Health Services | Refuse Coll & Domestic Recyc | Composting Fees | 07/01/2016 | 1,184.84 | | SUPPLIER NAME | PORTFOLIO | COST CENTRE | EXPENDITURE CLASS | POST. DATE | AMOUNT | |----------------------------------|--------------------------------|--------------------------------|----------------------------|--------------|----------| | | IRRECOVERABLE VAT | | | | | | PROCLASS | | | | | | | REF. | | | | | | | WANS HOUSE | Other | General Fund Balance Sheet | Debtors Suspense | 21/01/2016 | 270.23 | | WHETSTONE UNITED REFORMED CHURCH | Other | General Fund Balance Sheet | In Year Capital Additions | 14/01/2016 | 2,000.00 | | WHISTL NORTH LIMITED | Other | General Fund Balance Sheet | Misc - Postage Meter - Tnt | 07/01/2016 | 793.79 | | WHISTL NORTH LIMITED | Other | General Fund Balance Sheet | Misc - Postage Meter - Tnt | 07/01/2016 | 222.88 | | WHISTL NORTH LIMITED | Other | General Fund Balance Sheet | Misc - Postage Meter - Tnt | 28/01/2016 | 828.45 | | WHISTL NORTH LIMITED | Other | General Fund Balance Sheet | Misc - Postage Meter - Tnt | 28/01/2016 | 873.69 | | WHISTL NORTH LIMITED | Other | General Fund Balance Sheet | Misc - Postage Meter - Tnt | 28/01/2016 | 1,139.18 | | WILLIAM FREER LTD | Finance, Efficiency & Assets | The Pavillion - Land And Build | Cyc: Gas Boiler Servicing | 14/01/2016 | 628.34 | | ZOELLER SYSTEMS LIMITED | N'Hood & Env. Health Services | Vehicle Maintenance | Normal Repairs | 11/01/2016 | 450.00 | | ZOELLER SYSTEMS LIMITED | N'Hood & Env. Health Services | Vehicle Maintenance | Normal Repairs | 11/01/2016 | 688.56 |

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management and care of charities and voluntary organisations' archives and records or who are involved with them more generally. CHARM membership is open to anyone interested in the sector and its records and archives. CHARM provides a forum where issues of interest can be discussed and action taken. Its members form a network allowing them to draw support from each other and benefit from others expertise and experience. CHARM's main outward looking aim is to promote the importance of charity and voluntary sector records and archives and to raise the profile of the role of archivists and records managers within both the charity and voluntary sector and the archive, records management and information professions. Meetings are held four times a year and consist of a mixture of business, discussion and presentations on specific issues. In addition, CHARM-online, the group's e-mail discussion list allows a greater degree of communication, information exchange and participation than is possible via meetings alone and allows members who find it difficult to travel to be involved. For more information about CHARM see http://www.charmonline.org.uk/

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## An Archive Tour Of Stornoway Stornoway Historical Society 30 January 2012 Project Overview [Powerpoint Slide 1 - Title Slide] Tasglann nan Eilean Siar is a three year project established in 2010 and funded by the European Regional Development Fund, the Comhairle and Comunn na Gàidhlig. Consisting of a staff of three: there is myself as Project Manager and Archivist, Donna Morrison as our Gaelic-speaking Archive Assistant and Katie Anne Maciver as the Project Assistant. Our roll is to help identify and promote the archival holdings of the islands to as wide a research audience as possible. This not only includes the historical records of the Comhairle but also the other public authorities in the Western Isles such as the health board, police and fire. It further extends to mapping the location and content of archives held in private hands. This includes the Comainn Eachdraidhs of the Islands, businesses, trade associations and pretty much any organisation or individual who holds historical records. We are not actively collecting records, but identifying their whereabouts and offering advice and assistance on their care and management. A rather large distraction for the project is the Lews Castle Museum & Archive project. This would see a professionally staffed, international standards compliant archive store and service being established within the new museum complex at Lews Castle. It would provide a home for the archival records of the public authorities of the Islands and a potential home to the records of key businesses, organisations and individuals who are willing to make the content of their records publicly available. Significantly, it would also see the return of government records relating to the islands that are currently held in the National Archives in Edinburgh including Customs and Excise, fisheries and church records. The new facility isn't to duplicate, usurp or step on the toes of the important role of the Historical Societies of the Western Isles, but would offer a continuous advice and support role in a similar way to that undertaken by Museum nan Eilean since its establishment. Along with all of this, we're developing a website to point out to archive collections held in the communities of the Western Isles, offering programmes of training, exhibitions and events and generally promoting access to archive material to all. ## Talk It's within that promotional aspect of the project that I am delighted to have been invited to talk to you this evening. As you can tell, I'm English but my entire professional life as an archivist has been spent in Scotland. I'm an archivist but I would not call myself a historian. The job of the archivist is to identify, select and preserve records to be held permanently as historical records and to facilitate access to these. It is our researchers who are the historians. Obviously, an archivist needs a broad overview of the history of the area in which they work and the records in their care in order to add context and value to the collections and to help direct researchers to records of interest. That is not to say I don't have a strong interest in history but in the same way as you wouldn't expect a librarian to have read every book in their care, an archivist will not necessarily know every document in their care. In preparing this tour of Stornoway, it has given Donna, Katie Anne and I an excuse to go and delve into the historical records of the town and get to know them better. Many of the tales I will depart have been researched by them and credit is due to Donna and Katie Anne for their invaluable contribution to this paper. I've called this talk An Archive Tour of Stornoway. I want to take you on a meander around the Burgh and wider Parish of Stornoway looking at the areas history from information gleaned from archive records. As an incomer to the area, I have obviously read various local history publications, attended talks, seen TV programmes and spoken with people which have all helped to expand my knowledge of the area. But for the purposes of this talk I'm trying to avoid that knowledge and instead focus on what can be learnt from the recorded history held in the archives. This, I hope, will allow me to introduce you all to collections of archive records held by the Comhairle, other public authorities, businesses and records held in private hands. Through highlighting some of the stories that can be gleaned from these documents I hope it will encourage you all to investigate them further to help expand the collective knowledge and understanding of the areas development. Some of these records you will already be aware off and have used, but I hope that many will be new to you and hopefully inspire new research. ## Starting The Tour [Power Point Slide 2: View Of Stornoway From Gallowshill Featuring Remains Of Stornoway Castle. Washington Wilson? Held By Stornoway Library] Everyone visiting the islands before the development of the airport would have come to Stornoway by boat and so the harbour and piers of Stornoway seem a good place to start this tour. Stornoway Pier & Harbour Commission was established in 1865 and has a beautiful collection of archives in Amity House. The first minute book of the authority is the only document I have seen that appears to have suffered in the Town Hall fire of 1918 - it being badly burnt and scorched. Significant conservation work has been undertaken on the minute book but large parts of it are sadly illegible. As well as the minutes of the Port Authority surviving through to the present day, detailed operational records of the port have survived. Sailing and mooring records survive from 1865 along with fishing boat registration and detailed financial records. Notably, property deeds for many Stornoway properties around South and North Beach survive dating back into the 1790s that have the potential for researchers to find out more about individuals properties in the town. Catherine Mackay's book, It Must be Stornoway, makes great use of these records to provide the fascinating history of the port. Thankfully, the Port Authority is pleased to make records available to researchers. The Tasglann team have also undertaken a detailed survey listing of the collection although there is far more detailed work to do on this important collection. Assuming the Lews Castle Archive goes ahead, the repatriation of Customs & Excise Records from Edinburgh dating from 1765 will make a fascinating complementary resource for these records. ## [Powerpoint Slide 3: Postcard - View Of Stornoway From The Castle. Postcard Held In Private Hands] I'm always interested on people's first impressions of the town of Stornoway, especially when they turn up in primary source archive material. Postcards are a brilliant source for these. Mainly traded these days by dealers for the images on their front, the text on the back can be hugely revealing. A postcard that is held in private hands of which the Tasglann team became aware has a fantastic letter on its reverse from an army man serving in Stornoway in 1944 to his sweetheart. As well as a brief account of his day to day work and the showing of films in the mess he discusses his impression of the town: ## [Powerpoint Slide 4: Postcard - View Of Stornoway From The Castle. Text Side. Postcard Held In Private Hands] "I did not find Stornoway quite as busy a town as I expected... A few very ordinary shops, a few hotels, two or three churches and house that vary in size from medium to very small. About two thirds of the people appear to be middle class looking people of a sturdy build and the remaining one third appear to be a rather poor class of crofter who live in tiny hovels with perhaps a cow or a few sheep as company. The women folk dress in black or dark colours and appear to make clothes last far beyond their normal span of life." ## Hotels - Meetings Of Parish As we walk down from Amity House to Castle Street we come to meet several hotels - Caledonian, Lewis and Crown. Prior to the establishment of the town hall and other rooms, these were often venues for the meeting of Stornoway's Parochial Board and later Parish Council. Until 1845, government interference with the Islands was minimal, but the Poor Law Act of 1845 saw the establishment of parochial boards in the four parishes of Stornoway, Lochs, Uig and Barvas to over see the raising of the poor rate to help the most needy and destitute of the area. The Stornoway Board was made up of representatives from the Kirk Session, local property owners and elected members. It assessed land and heritages to levy a poor rate on owners and occupiers. The board appointed an Inspector of the Poor who managed the collection and distribution of poor relief. The Inspector visited the poor and brought reasonable applications before the Board who then determined whether aid was to be given and how much. The Poor were the problem of the Parish in which they were born unless they had the right of settlement in the place they found themselves living. Determining settlement (i.e. whether an individual was the responsibility of the parish or another parish) gave rise to detailed record keeping. For Stornoway, we have an almost complete run of parish and poor law records for 1845 through to the Public Assistance Committee that was eventually abolished with the coming of the Welfare State. If your own research uncovers individuals listed in birth, marriage, death or census records as being a pauper or being the poor house in the Western isles we're likely to have records relating to them. A browse through the applications for poor relief make for sad reading. In the 1920s, there is an application by a mother on behalf of her daughter, Mary. The Poor Law inspector notes that Mary has always lived in Stornoway with her mother, but that she is weak minded and not fit for any work. The Parish Council provide financial relief and also fund medical attention for Mary. Help was not only given in the form of cash payments. In December 1921 a local fisherman is awarded ½ ball meal and groceries rather than money. In another case, a 66 year old crofter in the town recently lost her son to infections from a skin disease and as a result the bedding all had to be destroyed - she is provided with a new blanket and bed covers. In 1914 see a wife leaving her husband due to his ill treatment of her and she takes shelter in the recreation rooms on North Beach Street. The family has no food but apply to the inspector for medical attention for the youngest child who is down with measles - help is granted. Often it is possible to find detailed records of individual cases. In May 1894, Harrisborn Alexander Morrison came to the attention of the Inspector in Stornoway, living on Keith Street. His application for help details that had lived in Stornoway for 32 years taking work on coastal smacks. Aged 67 and already widowed twice, he was sole carer for his gravely ill third wife, Mary, and struggling financially. The Inspector records details of the Morrison's situation and notes that a small life assurance policy is held for them both by Alexander. The case goes to the Parochial Board who admit Alexander onto the Poor Roll and he received 1 shilling a week in aid, raising it to 3/- a few months later. Recognising that the Morrison's are unlikely to work or be able to support themselves again, the Board also decide to look into cashing in their small life policy valued at £2, the money to be retained by the Board. The Morrison's entry on the Poor Roll records further details about Alexander's children including their names and ages. One who had moved to Australia, another is married in Harris, whilst three others are in Glasgow working as a blacksmith, labourer and riveter respectfully. Detailed records of the financial help received from the Board are recorded along with other changes in circumstance. This includes the sad news of the death of Mary in November 1894. A few months later, the Board reduce Alexander's aid to 1/6 accordingly but do pay his yearly £3 rent. Three years late, Alexander is living with an Anne Macleod on Scotland Street and both are offered places as "test cases" in the new Lewis Combination Poorhouse that had just recently opened. Anne goes, but Alexander refuses although he is admitted the following month. Life in the poorhouse wasn't easy, and Alexander absconded within 48 hours. As punishment for refusing help he was struck off the Poor Roll. What happened over the winter and spring to Alexander is unknown from the records but in August he is readmitted to the Poorhouse. This time he doesn't abscond but in November dies in the poorhouse aged around 71. Alex's story came about as a result of a family history enquiry who knew that Alex had dies in the poorhouse. Working backwards through the records, we were able to trace Alex's story and the enquirer was thrilled with the detail of this information. The Australian daughter link opened up a whole new avenue of research for the enquirer! ## Point Street [PowerPoint slide 5: View of Point Street, featuring fishing rod with fish! Image held by Stornoway Historical Society] Continuing our walk down Point Street we get to the original site of the Lews Coffee House Company, established in 1878. The establishment served tea, coffee and hot chocolate to the people of Stornoway and was deliberately set up as a temperate alternative to the licensed premises across the town. Here you could enjoy newspapers and meet with friends. In 1884, the coffee shop moved to what is now the Star Inn before winding up in 1911, ironically only a few years before Stornoway went dry. The minute book and a ledger survive for the shop, casting detail on its history and operation. ## Town Hall/Burgh Burgh Of Stornoway [Powerpoint Slide 6 - Sale Of Work, Stornoway Town Hall, 1910. Image Held By Stornoway Library] Further down Point Street we reach Stornoway Town Hall, the home until 1975 of the Burgh of Stornoway. The Burgh was established under a charter from James VI in 1607, entitling the inhabitants to be free burgesses and to elect Bailies. Despite the Charter, no steps were taken to establish these new rights. The surviving records of the Burgh don't begin until 1863 when a Police Burgh was created under the Police (Scotland) Act 1862. The complete minutes of the burgh from 1863 until 1975 survive in over 37 volumes of hand written detail that are invaluable for the study of the Burg's history. The first minute book details the definition of the Burgh's boundaries. This is drawn in great detail in words but a map would have been so much more useful. [A map from c1930s is held in Stornoway library showing the outline of the Burgh in its original setting with its various expansions up until 1934] The minute book also details the election of the town's Police Commissioners held at the Court House on 27 January 1864 with the first full meeting of Commissioners sitting 1 February. 64 people turned were eligible to cast votes in the election in which 12 individuals stood from which 9 were elected. Amongst the unsuccessful was Donald Munro, Chamberlain of the Lews and Sir James Matheson's right hand man, who only polled 39 votes where most others were hitting the 60 mark. He did however manage to make his way onto the Commissioners by 1865. In its first years, the Burgh looked at naming roads and numbering houses as well as dealing with issues relating to cleansing and street lighting. The cleansing committee reports can be quite fun. An 1864 report relating to a Mrs Mackenzie's property on South Beach Street. Here, the reporting inspector states he "Found 3 pigs in a filthy state in a confined backyard most offensive and injurious to health and must be particularly so to the Lewis Hotel. Order pig sty to be moved to corner of the Town Garden". Other reports talk of choked drains, a slaughterhouse on Cromwell Street that was order to be removed and a recommendation in April 1864 for the inhabitants of Stornoway "to take more care in throwing out their dirt etc, on the streets." By the 1870s, we start to see the Burgh records becoming more formalised and modern committee structures and departments evolving. These included a Magistrates and Drill Hall Committee; a Works & Water Standing Committee; Lights and Cleansing Committee; and a finance committee. The 1870s onwards sees discussion regarding the establishment of a hospital in the area, arrangements for the water supply, maintenance of footpaths, postal arrangements and public toilets. Records that have survived relating to the burgh cover all aspects of its operations: these are recorded in letter books, accounts, assessment rolls and rates collection, public health minutes, housing records, roads maintenance and a Police Court Minute book. This latter document records the Burgh Police Court activities from 1957-1979. It lists the defendant, their crime and punishments which could range from fines to imprisonment. The most common crime is listed as being under the Licensing Act 1903 Section 70 (1) - further research shows this to be individuals walking the streets alone when under the influence of drink. The Burgh, or Town Council as it become known, also administered several charitable funds. ## [Powerpoint Slide 7: Image Of The Highlands & Islands Medical Committee, 1912, Featuring Jl Robertson. Image Found On Google] One notable bequest came from the noted Lewis man, JL Robertson. Having risen to the ranks of the Chief Inspector of School in the Highlands, he was also a member of the Dewar committee who investigate medical provision in the Highlands that reported in 1912. He was educated in the General Assembly School in Lewis himself and upon his death in Inverness in 1927 his body was brought back to Stornoway for what newspaper reports indicate was one of the most well attended funerals in many years. Like many of Stornoway's great and good, he now lies in Sandwick Cemetery. Under the terms of his will he left a bequest to the people of Stornoway to help those most in need. Applications to the fund are held by the Comhairle and these include people looking for help with funeral expenses and for financial aid due to their personal circumstances. Interestingly, the fund also provided grants of between £15 and £25 and for a small number of people to emigrate to New Zealand and Canada. An application was also made to the fund by the Stornoway Burgh District Nursing Association for a nurse to attend the sick and the poor out with the burgh. After consideration, the Trustees resolved that a contribution of £40 per annum be made to the Association. Considering the fire of 1918, a remarkable amount of records survive for Lewis and Stornoway. James Shaw Grant records that his own father was involved in rescuing the Parish Records from the building but notes that much was lost. It's unclear sadly as to what actually was lost, but I know on Lewis the general excuse for anything that can't be found is that it must have gone in the Town Hall fire. This is a fair enough statement, but possibly not when I've heard the excuse applied to records that would have been created after 1918! ## Utilities Standing at the cross roads of Point Street and Cromwell Street, you are in a well lit section of the town with adequate drainage and sewerage works. Utilities companies on the island are some of the earliest business records available to researchers for the island and are worth noting. The Gas Works were situated at the edge of Newton with records appearing to be held by the National Archives of Scotland dating back into the early to mid 1800s. Records of the Stornoway Gas Light Co Ltd incorporated in 1888 are also held there. The Stornoway Water Company was established in 1848 and its minute book survives on the island. Born out of a public meeting at the Masonic hall in 1842 the book mentions that at this point a gas company was already established. The Water Company was to set pipe work to bring fresh water into the town and to provide water filtration works. In a moment of foresight possibly never seen again by utility companies, the Water Company looked to work with the gas company as far as possible to reduce costs and disruption when laying pipe work. The Gas Company's manager, Mr Wilson, was to superintend the opening of drains, laying of pipes and collection of water dues with the Water Company paying one-third of his salary. The company laid the mains pipes but connection to the mains from individual properties needed to be paid for by the householder. In 1870 the Burgh Commissioners of Stornoway tendered the sum of £750 to purchase the water plant of the company which was refused. The Company wanting £1300 seeing as the outlay to that date had exceeded £2000. In December 1870 it was agreed by the shareholders however to accept the Burgh's offer of £750 for the plant. It was agreed to wind up the company with its powers and services transferring to the Burgh of Stornoway. ## Stornoway Gazette / James Shaw Grant Moving a little up point street from the cross roads we reach the offices of the Stornoway gazette. Now owned by Johnston Press, we are all familiar with the wealth of historical evidence to be found in its pages. ## [Powerpoint Slide 8: James Shaw Grant And His Wife Cathie Dancing At A Party. Image Held In James Shaw Grant Collection, Tasglann Nan Eilean Siar] The personal papers of one of its former editors, James Shaw Grant, have lain within Stornoway Library for a number of years but have been little exploited by researchers. Donna from the Tasglann team has undertaken the monumental task of sorting and cataloguing these papers and a catalogue will be available soon. His papers cover his time as editor of the Stornoway Gazette for 31 years from 1932, taking overt the paper his father founded. It also gives us records from the other aspects of his professional life such as his work with the Crofter's Commission and roles with the Highlands and Islands Development Board. The records include speeches, memorandums and annual reports but also more personal documents relating to his more creative side. This includes plays and short stories which were performed in partnership with the Pitlochry Festival Theatre of which he was a Board Member. He had a large interest in local history and islanders who had left the island and made an impact in various parts of the world. These include writings on Roderick Smith of Borve who lead the search for Louis Riel in Red River (now Manitoba) during the 1885 rebellion. Or James Morrison who was boatswain's mate on HMS Bounty and who was involved in the infamous mutiny. As editor of the paper, the records contain correspondence sent to him regarding many subjects. This includes a letter from a Mainland gent who had met an Island lass on the Loch Ness and, unsure of whom he could turn to for help in finding her again, wrote to Grant to ask if he could place an appeal in the Gazette. In another letter of 1957, a local man wrote asking if it is possible to place an advert in the paper as he was in search of a wife. We're not sure if the advert was placed but it does sound like the Gazette could run a lonely hearts column without too many problems! ## Cromwell Street [Powerpoint Slide 9: Image Of Hugh Matheson'S Lewis Bakery & Provisions Store [Original Held Privately)] Moving back down to Cromwell Street we meet the sites of many well known shops including Roderick Smith's chemist and Hugh Matheson's bakery. I won't dwell on these as they were covered in depth by Malcolm, Norrie and Sandy at the hugely successful old shops of Stornoway event last year. The exhibition panels on the shop are still up in the foyer of the library. One shop the Tasglann team has worked with on Cromwell Street is KJ Macdonald's who allowed us to view and catalogue their archives. ## [Powerpoint Slide 10: Kj Macdonald Ltd. Image From Google Street View] A pharmacist's had occupied the site at 29 Cromwell Street since at least 1899 when it was occupied by Samuel Lawrence. In 1904, W J Tolmie is listed in the valuation rolls for Stornoway as the pharmacist with Hugh Martin taking over in 1910. It is believed Kenneth John Macdonald, or Kenny Froggans as he was better know, came to work either with or for Hugh Martin and by 1921 he had acquired the shop outright. The records of the shop are amazing: prescription records from 1899 until the 1970s document pretty much every pill and potion dispensed. Customer accounts show their dealings with various Stornoway and island doctors and buildings, such as the poorhouse. Sadly, data protection restrictions mean it may be some years before these records can be fully exploited and researched but they are a valuable addition to Stornoway's archival heritage. Many of Stornoway's bank mangers were major figures in the town holding places on the Burgh or with the school boards. All of the Stornoway banks are branches of banks who maintain formal archives on the mainland. For example, the Bank of Scotland and Royal Bank of Scotland have significant archive holdings in Edinburgh staffed by a gang of professional archivists. I do not know to what extent individual account records for islanders exist but I somehow doubt it is many. Stornoway and the Isle of Lewis was the home of the first mobile bank in the UK. ## [Powerpoint Slide 11: National Bank Of Scotland Mobile Banks On Lewis. Images Held By Royal Bank Of Scotland Group Archives] The National Bank of Scotland, now absorbed into the RBS, faced the problem of how to provide banking facilities in remote areas, where the population was too scattered to warrant the establishment of a sub-office. Late in 1946 the idea of introducing a 'Travelling Bank' on the Isle of Lewis was suggested to serve in particular the island's crofter weavers who previously had to take a day off work to use the National Bank branch in Stornoway. Accordingly the mobile bank, based at Stornoway branch under the charge of the local agent Donald McIver, went into service on Tuesday 5 November 1946. The Studebaker van, converted for the bank's own use had three desks with adjustable swivel seats, shelving, cash boxes 'and many of the other appurtenances of normal bank offices'. The van was on the road for four days one week and five the next and travelled, on average, some fifty miles per day.1 ## Looking Out To The Castle From Cromwell Street, Lews Castle can easily been seen standing over the town, the seat of the Islands lairds for many years. [PowerPoint slide 12: Lewis Castle staff photograph taken in the glasshouses c1900- 1910. Image held privately] As a general rule of thumb, the oldest archives that survive anywhere tend to relate to land ownership, property, taxation or rights and this is certainly true in the case of the ownership and management of Stornoway and Lewis. We all know the ownership history of the islands but where is the proof of this ownership? As I am sure you are aware, the oldest records of the Mackenzie Seaforth papers held in the National Archives in Edinburgh (reference GD46) documenting their ownership and management of the Island of Lewis until 1844 when they sold up to the Matheson's. The collection totals over 20 linear metres of records. The records held in Edinburgh relate to land management and ownership: rents, leases and other financial issues. A small selection of these records have been copied and are available within Stornoway library and pretty much every Comann Eachdraidh in Lewis has copies of the rental pages for their areas which can be an aid to family history. There is a wealth of research material here but the records being in Edinburgh is something of a barrier to their full exploitation for looking into the history of the Islands and Stornoway. Sadly for us, as the Mackenzies held estates in other areas of Scotland that are documented within these records, they are not scheduled for return to Lewis if and when the Lewis Castle Museum & Archive is established. However, a detailed catalogue of the collection is available online at allowing us to interrogate remotely to make the most of any research trips to Edinburgh. With the transfer of the Island to the Matheson family we have to look elsewhere for information on the islands ownership and management. Estate records from the time of the Matheson's are few and far between. The most historically important I'd hope now form part of the Stornoway Trust's own records but this requires further research and the Tasglann Project has yet to undertake a survey of what is actually held there. Some material may be held in with the records of Jardine, Matheson & Co Ltd whose records survive at the University of Cambridge although these predominantly are concerned with the business that made Matheson's fortune rather than the personal papers based around how he spent his money. One surviving document we do have relating to the Matheson period is a letter to Lady Matheson in August 1862 from NMG Hutchison at Soval lodge concerning arrangements for a visiting fishing party. In the letter, he suggests options for entertaining the party but points out the issues of midges and whether it's suitable bathing weather. He also discusses the menu for the evening meal consisting of "Mutton top and bottom / salmon to quarters - Entrees of soup / Trout frites. Venison steaks (assuming they are able to catch a stag) and, my personal favourite, "Sautee á la Squeak de Bubble". ## [Powerpoint Slide 13: Extract Of Letter To Lady Matheson Featuring The Words "Squeak De Bubble". Original Held By Tasglann Nan Eilean Siar, Accn 2011/002] Another document in the care of Stornoway Library is a legal memorial compiled in 1861 by Matheson's factor, Donald Munro. There appears to have been a conflict between the Matheson Estate and town at this point regarding ownership of the shoreline and piers. The volume pulls together transcriptions of legal charters dating from 1610 supporting the Matheson case for ownership leading up to Legal Counsel's opinion in 1961 supporting the case. It's a document worthy of further investigation. With the Matheson sale to Lord Leverhulme in 1918 the estate management papers were transferred to him which were then passed onto the Stornoway Trust in 1925. Like the Matheson's, few of Leverhulme's personal papers have survived having been destroyed under the terms of his Will. A few boxes of uncatalogued material are held by the Unilever archives in Port Sunlight on the Wirral, including I believe inventories of the contents of Lews Castle. His business papers relating to MacFisheries etc. are also held in the archive in Port Sunlight. No online catalogue is available but the Tasglann do have rough box lists of what is held there. A delightful legacy that is held from the Leverhulme period is a small private publication "Loose Leaves from the Lews" published by his son in 1918 after the families first visit as owners of the island. Full of photographs and writings from his friends, it also includes some Leverhulme's own poetry: ## [Powerpoint Slide 14: Pages From "Loose Leaves Of The Lews" Published In 1918. Held By Stornoway Library] "There's a lovely bright island names Lews, Of all spots in the world I would choose, To live there for ever; Midst its people I'll tether, Myself, and leave never, The lads strong and clever, Lassies bonnie as heather, Hearts light as a feather, A smile like the morning, Their faces adorning; What more need one say. So here ends my lay. May deeds and not words in love our hearts fuse. Compare this to the message he sent in his Christmas Card to friends in 1920. Inside there is a poem by Helen Sevrez which seems to hint at those who stand in the way of 'progress' ## [Powerpoint Slide 15: Poem Included In Lord Leverhulme'S Christmas Card, 1920. Held By Stornoway Library] There's a sunny side to the darkest road On the difficult journey of life There are golden hours when we slip of the load Of the blackest hours of strife Yet some queer folk seem to the like the gloom And the discord of strain and stress They look upon life as a step the tomb And the world as a wilderness It is not a big stretch to imagine that he is referring to inhabitants of Lewis following the land raids of Gress and general resistance to some of his more progressive ideas. ## Up Onto Kenneth Street As we come up onto Kenneth Street via Church Street, we come to Stornoway Police Station. As a public authority with its HQ in Inverness, many of the islands policing records have been transferred for archive storage to Inverness. Discussions have been held that will hopefully see the Lewis records returned to the new archive at Stornoway where they can be made more easily accessible to islanders. The key records held appear to be the individual station log books which must shed great light onto the day-to-day activities of the police on the Islands. ## Masonic Lodge [PowerPoint 16: Masonic lodge survey being undertaken by the Tasglann. ## Image Of Their Library And Of David Looking Through A Cupboard Of Archives. Images Held By Tasglann Nan Eilean Siar] Kenneth Street is also the home of the oldest and probably largest collection of historical records still held on the island - the records of the Lodge Fortrose No 108. The records of the Masonic Lodge are complete from its foundation in 1767 and record every member and meeting held. The archives also include membership records and records relating to the lodges' charitable work, especially including its benevolent assistance work to individuals who were in need of financial assistance. The lodge has also become a natural and trusted resting home for historical records not related to the lodge. A recent survey of the lodges records undertaken by the Tasglann uncovered papers relating to the Stornoway Choral Society of the 1860s and collections of letterheads of Stornoway and Island businesses past and present. Access to these records is at the discretion of the Lodge but there is a wealth of material to be discovered. As well as being a home for the lodge, the Lodge Building was also the site of many of Stornoway's most important public meetings, including the first meetings of the Burgh's Commissioners. It was also the home of several clubs and societies. ## Debating By 1871, the Young Mans Mutual Improvement Association was in full swing. The only surviving record held is the minute book of the Association from 1871-1878. I was always intrigued when I saw this volume in the list of Comhairle-held archives as I hadn't a clue as to what the organisation did or was about. I had visions of some sort of YMCA and was almost disappointed to see it was a debating society when we looked at the records. Debating subject included: 'Were the Southern States justified in their attempts to separate themselves from the union?' 'Is novel reading beneficial?' But matters weren't always just about debate. Essays were also submitted for public reading and discussion. The Association appears to have ceased by the 1880s but a new group, the Stornoway Literary and Debating Society, was established on 23 January 1901 in a meeting at the Lewis Coffee House. The group met weekly with its first month of meetings being held in the Secondary Department of the Nicolson Institute. However, the minute of 6 February 1901 notes that "owing to the exorbitant remuneration expected by the janitor of the Nicolson Institute …it was decided at a meeting of the Business Committee to reopen negotiations with the Fortrose Lodge of freemasons with the view of securing the reading room…for a meeting place." This approach was accepted and their next meeting was held there and I strongly suspect that the bulk of the membership were lodge members anyway. Similarly to the Young Men's Mutual Improvement Association, the evenings were a mixture of readings and debate. Debate topics were wide and varied. "Is the present Government worthy of the confidence of the Country?" seems to be a regular debate undertaken through the short history of the society. Other topics debated include "Are the colonies as source of strength to the mother nation" and "Have we reached our zenith of Power and fame as a nation"? "Hat nights" were also held where short debates were held on random topics pulled from a hat. In November 1907 such a night was held where the topics included Should the land be nationalised? Is the religious novel advisable? Is the Gaelic movement doomed to failure of destined to succeed? Should the railways be nationalised? Should we like to live our lives over again if we could? Is universal suffrage desirable? Last week, I scoured the pages of the minutes to try and find a reference to Robert Burns for our blog site and was surprised to see that he is never mentioned and no Burns Suppers were held, although other debates for the week of 25 January included debates on Shakespeare and Tennyson. What struck me looking at the topics is that the debates were sophisticated topics - concerned with more worldly matters and there is little discussion of the island's own economy, fishing and crofting. Debates did occasionally look at issues closer to home, such as in 1902 when a session was held on the "Development of Lewis as a Holiday Resort". ## [Powerpoint Slide 17: Dinner Menu And Programme As Pasted Into Stornoway Literary And Debating Society Minute Book. Held By Stornoway Library] The Society did institute a formal dinner, the first being held 17 March 1903. The event and speeches were reported verbatim in the Highland News, a copy of which is pasted into the minute book, which allows us to see some of the membership who attended along with a raft of civic dignitaries. It seems a shame that the society finally wound up in 1909 after 8 active years, ultimately, due to a lack of interest by the membership. ## Stagg Road Moving north, we reach Stagg Road. Here, in 1893, Parochial Board Buildings for lodging the poor appear to have resided. One of the delights of working with archives is finding the completely unexpected. When looking at one of the Parish Council minute books we found it included a press clipping of a sheriff court case centred on these buildings. A Miss Isabella Ferguson struck her sister, Mary Pink, around the head with a pan. ## [Powerpoint Slide 18: Press Cutting Recording The Event Pasted Into Cover Of Stornoway Parish Minute Book Reference R1.231. Held By Tasglann Nan Eilean Siar] The case is recorded almost verbatim in the news cutting with commentary from the reporter, who, on understanding that she was charged with breach of the peach at Stag road comments "which we might remark is rather a difficult task to perform for "the public peace" has practically no existence in the salubrious vicinity of Stag road." The Sheriff admonishes Isabella, who is going to work as a gutter, but also criticises the Parochial Board, calling the Parochial Board Building a "perfect disgrace" and that it was scandalous to "have so many people of immoral character housed there". ## [Powerpoint Slide 19: Stornoway Poorhouse Visible On The Outskirts Of Town. Aerial Survey Of Stornoway C1970S. Images Held By Stornoway Library] The actual Poorhouse of Stornoway was to be found at the top end of what is now Westview Terrace outside the border of the Burgh itself. The 1845 poor Law Act enabled the construction by parishes or combination of parishes of poorhouses. Pressure was put on the four Lewis Parochial Boards for many years to build a poorhouse but the boards resisted until the building of the Lewis Combination Poorhouse in Stornoway in 1894-6. The minutes of the Poorhouse exist for 1893 through until 1970 by which point it was the Management Committee for Dun Berisay and Coulregrein Home. The Poorhouse was jointly erected by the four parochial boards of Lewis and from the outset there were the usually inter parish arguments you would expect from any decision taken in Lewis! The proportion each parish was to pay towards its establishment, building and maintenance was based upon the number of beds allocated per parish. Needless to say, Stornoway had the largest share but this was increased when Barvas, Lochs and Uig complained that they didn't need so many beds. The poorhouse is clearly visible in aerial photographs of Stornoway. [PowerPoint slide 20: Close up view of Lewis Combination Stornoway Poorhouse. Image from www.workhouses.org.uk] As well as being the home of last resort for the most need it also a place of refuge in times of crisis. When the SS Norge sank of the coast of Lewis in 1904, the minute book records: 'During this quarter we had a very busy time with the ship wrecked folk from the 'SS Norge' - this having reference to the admission to house on 4th July of 52 men, women and children as some of the survivors of from the Scandinavian- American emigrant SS Norge lost at Rockall on 28th June…" A thank you letter was received from Mr Gundal, latterly Master of the *Norge*, which was also copied into the minute book "Allow me to convey the sincerest and warmest thanks to you and all the inhabitants of Stornoway for your kindness, hospitality and goodwill to all of us poor shipwrecked and sick persons. We all feel deeply indebted and thankful. I cannot find words to explain my gratitude to all. Everyone (rich and poor) have done so much, and been so kind to us foreigners. The children and sick have been nursed as careful by your ladies as if they were children of their own. Everyone had a kind word to us. I think no other place in the world would have done what you have done to us. All my life I will think of you with the highest esteem, gratitude and thankfulness. God reward you for all. With sincerest of high estimation and thankfulness for the survivors of SS Norge landed at Stornoway. ## [Powerpoint Slide 21. Crop Rotation Records For Coulregrein House 1940. Original Held By Tasglann Nan Eilean Siar Ref Accn 2011/004] From 1939, the poorhouse took part in the war effort, turning over its gardens to producing vegetables for their own needs. The crop rotation book for the gardens exists showing the vegetables being grown, their rotation and even the varieties being planted for their use. Parts of this have now been digitised for use in an education pack for schools as part of the Soil Association's Crofting Connections project so that they can study the use and purpose of crop rotation. ## Iolaire As well as the sinking of the Norge, we cannot forget the tragic loss of the *Iolaire* in 1919. A local fund was established to aid the bereaved and the Council holds the applications to this fund. An application to the fund casts light of a family situation. The deceased sailor, Malcolm, had two relatives who made applications to the relief fund. One is his father and the other his Aunt. The deceased was sent to live with his aunt when he was a child as his mother has passed away. From an attached letter to the Fund application, the father states that Malcolm gave a portion of his earnings to his aunt rather than his father. However the father feels he deserved a portion of the relief fund as he was, I quote 'looking forward to him as my first help and if he was spared he would do that for me as a dutiful son to me.' The father is unemployed due to ill health, but has a pension of 11/9 a week. The aunt is widowed with no children and has no income. It appears that the aunt is awarded a portion of the fund, while the father receives nothing. ## Lewis Hospital / Health Board Across from the poorhouse closer to town stood the Lewis hospital. Margaret Dobson has covered the history of the hospital in her fascinating account in previous sessions of the Society so I need not go into that here. In writing these, I believe she drew on the annual reports of hospital held by the health board but there must be many more historical records relating to the hospitals and medical activities of Lewis held by the modern NHS Board. The whereabouts of these are currently under investigation by the Tasglann and the Health board. However, it is interesting to note that reference to the maintenance of a Lewis Hospital is raised in the Burgh of Stornoway records and also the Lewis District Committee and later Lewis District Council records should anyone wish to come and have a delve through them. ## Matheson Road If we drop down Robertson Road towards Matheson Road we find the fire station. Similar to the police, it is hoped that relevant records from their mainland HQ will be returned to Stornoway in the future. This includes, I believe, plans for many Stornoway buildings that no longer exist - a hugely valuable resource for understanding the history of Stornoway buildings and the town's development. ## Church Records As we walk up Matheson Road we reach the High Church of Stornoway having also passed near to St Columba's Church and the Free Presbyterian Church on the way. The complex history of the Church in Scotland could fill up several evening of presentations in itself. The Church of Scotland's Presbytery of Lewis Records are housed in Edinburgh. These consists of 5 volumes of minutes of the Presbytery dating from 1742-1919, the more modern records presumably still being held by the presbytery office. Under a formal agreement between the Established Church and the Scottish Government, all Church of Scotland records are housed at the National Archive of Scotland. While this centralisation has been undertaken for the Presbytery records in the Islands, individual kirk session records have never been transferred and still sit within the individual churches to which they belong. It has been intimated by the National Archives that the Lewis Presbytery records will be returned to the Islands in the new archive facility at Lews Castle for local study as part of their realisation that records relating to localities really are better placed within those localities. ## [Powerpoint Slide 22: Stornoway High Church Manse On Goathill Road. Original Held By Stornoway Library] While the Tasglann isn't going out of its way to do a full mapping of church records across the islands we have looked at the records of the High Church in Stornoway. The church has an interesting and detailed history documented in its records from 1887. In 1900, the Free Church joined with the United Presbyterian church becoming the United Free High congregation of the United Free Church of Scotland based on Kenneth Street. The congregation was evicted from their Kenneth Street church in 1907 following the Law Lords ruling that the Free Church congregations who hadn't joined the 1900 union were the true owners of the property. This lead to the new church was built on the junction of what of Matheson and Goathill Roads. Ultimately, the church returned to the Established Church of Scotland. As well as the Kirk session and Deacon's court minutes, communion rolls from the 1890s onwards survive which will be of interest to family historians. ## Nicolson And Schools [Powerpoint Slide 23: Os Map C1850S Showing The Location Of The Various School In Stornoway] At the bottom of Matheson Road is the Nicolson Institute, or Institution as it was originally known. Education didn't become a government concern until the passing of the Education Act of 1872. Before this time Stornoway had several schools: A Parish School was already in operation at the rear of St Columba's Church, a Free Church School was operating on Francis Street, another Free school was situated on Keith Street and there was the Lady Matheson school at the junction of Scotland Street and Keith Street. The Nicolson itself had also been founded through charitable bequest prior to the coming of Government intervention in education. The Education Act saw the establishment of the Stornoway School Board in 1873 and a complete run of records of it and the education authorities that followed run all the way through the Education Committee of the Comhairle today. Our schools are amazingly well documented as a result. The School Board was responsible for the management of schools within the Parish of Stornoway. Once of its first acts was to identify where new schools were to be built. This included the three school on Point, and new schools at Laxdale, Tong, Tolsta and Sandwickhill. The board appointed teachers which at times proved challenging. While a district levy was raised through the poor inspector to help fund schools, the appointment of a certified teacher to a school brought with it a government grant of around £80 a year. This was valuable income but appointing teachers often meant bringing in teachers from outside of the islands. In the case of Sandwickhill School, recruiting certified staff was hugely problematic. The school was due to open in January 1880 and in autumn 1979 an advert was placed for a teacher. A succession of 5 people were offered the job all of whom declined and one of whom was poached at the last minute to go to Bayble school. It was October 1880 before William Fraser was appointed; 5 months after the school had opened. The School boards were also responsible for attendance and appointed the Compulsory officer, or whipper in, for each school. Parents who failed to send their children to school could be summoned before the Board to explain themselves and in severe cases a prosecution could be put to the sheriff. The Stornoway School board records give some of the excuses provided by parents for the non-attendance of their children. For example: a Mr Macdonald of Coll had failed to send his two daughters to school. He explained to the Board his wife had been bed ridden for 18 months and that the eldest child required to attend her mother. He promised to send youngest daughter to School. There are two cases I found where the parent claims their child leaves for school every day but they had received no intimation from the school that the child wasn't attending. Where this is true or a case of the parent's creating excuses is unclear but the Board threatened prosecution if things didn't improve. The school log books maintained by each school provide an invaluable insight into daily life in the schools. The Bayble school log for 1907 records an outbreak of Scarlett fever which closed the school for 6 weeks over Christmas and also spread to Air School. Others records incidents of Truancy - at Bayble again the teacher complains of boys not attending school as they are out fishing on the rocks. Absence is also lamented by the teacher for children helping with spring work, peat cutting and potato gathering. The Nicolson Institution remained independent of the School Board until c1880. The Trustees minute book of the Nicolson survives in Stornoway library and covers the period 1870-1888. As well as dealing with the administration of the School and its ultimate transfer to the School Board, this is one of those delightful records that show you some of the more personal politics of the town of Stornoway. The Clerk to the trustees until 1874 was the town's chamberlain and general master of all things, Donald Munro (who incidentally was also chairman of all 4 island school boards at this point). In order to save money, the Trustees decided that the head teacher of the Nicolson would also be the Clerk thus relieving Donald Munro of his paid position and influence over the trustees. The minutes record the unwillingness of Munro to hand over the official papers of the trustees, including the minute book, to the new clerk. Copies of correspondence are copied into the volume in which Munro tries to justify not handing over the records and essentially it all gets very petty. Eventually, the records are handed over and the new clerk starts his job. ## [Powerpoint Slide 24: Nicolson Institution Minute Book 1870-1888 Showing The Unauthorised Entry By Donald Munro And The Clerk'S Comments. Original Held By Stornoway Library.] Somehow, Munro manages to get hold of the minute book again and enters a four page rant about his treatment and situation into its pages. A handwritten note in the margin of the rant states "The above statement has been inserted by Mr Don Munro without the consent of the Trustees. John Sutherland, Clerk". Donald Munro's career is well documented in James Shaw Grant's book "A shilling for your scowl" and his ultimate demise is recorded in detail but his presence is littered through out the official records of the town. ## Garden Road [Powerpoint Slide 25: Image Of Women Waulking Cloth] From the Nicolson, we can walk down Garden Road to the offices of the Harris Tweed Authority. Their home for 40 years, the Authorities first offices were in London and then Inverness. Last year, Donna and Katie Anne spent a couple of days undertaking a detailed survey of the archives held by the Authority. The records on site dated back to 1935 but older records are held by Highland Archive which would be repatriated to Stornoway if a new archive is built. While the minutes are an important source for the history of the organisation, the gems are the trademark records and legal files that relate to the numerous legal battles over the years that both helped define what Harris Tweed is, and challenged those who aimed to copy it. Hidden within the collections are small collections of records relating to now defunct mills that are ripe for research but my personal favourite items are the small weavers books listing the individual crofters and the amount they were paid for their piecework. This collection is hugely important not only to the island, but I can't believe an individual can research trademark law anywhere in the world without reference to the Harris Tweed Authority. I'm delighted to say that the surveyed material, consisting of 26 boxes of records, has been deposited with the Tasglann in the last few weeks with a box list are available of what is held so that we can begin to provide access to this valuable collection. ## Lewis Street [Powerpoint 26: Image Of Stornoway Sheriff Court. Google Images] My final stop on this tour is one place which Donald Munro was no stranger - Stornoway Sheriff Court. Located on the site of the town jail and also the site of the first Council offices, the records of the court date back to 1788 and are held in the National Archives of Edinburgh. 35 metres of fascinating records relating to the legal struggles are held and what a marvellous research resource these must be for the islands history. It is unclear whether these records would return to the island if the Lews Castle archive is built, but I sincerely hope they will. So that finishes the tour of Stornoway. It has been a bit whistle-stop and there are many more stories and collections of records I could have spoken about. The Tasglann are able to provide public access through our office in Stornoway Library to many of these that are held by public authorities and we can help to broker access to records held privately. More detailed information on the content of individual collections will be made available through our website due for launch later this year to help open up these resources to researchers the world over. What I hope this tour has shown is that Stornoway is very lucky in both the quality and quantity of the historical archives that have survived that tell the history of the town and that these are screaming our for researchers to come and use them. [PowerPoint slide 27: Contact details] David Powell January 2012 Tasglann nan Eilean Siar 6 Kenneth Street, Stornoway, HS1 2DP 01851 822750 tasglann@cne-siar.gov.uk

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What is the date of the source? Who wrote/created it? Do you know anything about the author? What type of source is it? (Letter, report or newspaper, war diary, pension record, medical record, map, diagram, photograph.) What is the source saying/showing? Write down and check the meaning of any words you are unsure about. How useful is this information, does it support what you know already? What can you infer? (What information is not directly stated?) ## What Type Of Enquiry Would Be This Record Be Useful For? Does the document show the writer's opinions/values? Are there any clues about the intended audience for the document? Why was the document created? Does it have any limitations or gaps? Does it link to other sources in this group? Does it share the same ideas, attitudes and arguments? How would you explain any differences between these documents?

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LGDC local government delivery council Improvement ## Developing A Customer Classification Tool Guidance Document For Local Authorities Contents | Executive summary | 3 | |----------------------------------------------------------|-----| | Introduction | 6 | | Background | 7 | | Developing a free bespoke customer classification system | 15 | | | | ## Executive Summary • allocate resources, through understanding where and when investment in services delivers the most benefit • inform service design, through better understanding how customer prefer to access services and understand what mix of services meet customer needs • manage performance, through offering external feedback and benchmarks against which performance can be measured The purpose of this guidance is to describe a methodology local authorities can use to develop their own customer classification model using data which is freely available to them. The guidance uses the terms 'segmentation' and 'profiling' to refer to the same 'classification' process. 'Segmentation' is "the process of sub dividing customers with distinctive shared needs and characteristics into reachable groups based on who they are (also known as socio demographics), what they do (behaviours) and how they think and feel (attitudes)." (Extract from 'Guide to Segmentation', HM Government) • market services, through better understanding customer needs and communication preferences - and the messages that are likely to be effective Segmentation is a key component of local authorities Customer Insight initiatives. • manage demand and determine what services to deliver and the channels to use to increase levels of self-service • change behaviours, though better understanding needs and behaviours and the interventions that are likely to prove effective. Customer segmentation provides local authorities and their partners with a strategic management tool which can support and enhance public services in a range of ways. By providing insight into the economic and social status of residents, as well as their behaviours and attitudes, segmentation can help local authorities to: • manage and anticipate customer need, through understanding how the need for one service may indicate the need for others, and by understanding how the needs of customer groups differ 'Customer Insight' derives from the strategic analysis of qualitative and quantitative data information including; demographics, surveys, operational data, customer and frontline feedback and community engagement activities. Segmentation often provides the foundation for further, primary research such as Customer Journey Mapping and Ethnographic Interviewing. • plan for the long-term, through understanding demographic trends and how demand will evolve over time The guidance then describes some of the challenges and limitations relating to the use of 'off-the-shelf' segmentation products, and the free-to-use Output Area Classification (OAC) profiling tool. In both these cases, the assumptions used to map national samples to local communities can result in loss of accuracy and reliability as the characteristics of the original samples do not reflect the characteristics of a local community. This methodology has been developed by Hull City Council, with input and support from Rushmoor Borough Council (representing the Hampshire and Isle of Wight Customer Insight Partnership) and Leicester City Council in support of their Capital and Asset Pathfinder Projects. The work was funded by the LGA's Customer-Led Transformation Programme, which aims to embed the use of customer insight techniques as a strategic management capability across the public sector. ## Proposed Alternative The range of public services delivered, the complexity of the outcomes and behaviours public sector organisations are seeking to influence, as well as the different nature of the relationship between service user and service provider in the public sector (whereby providers are legally obliged to offer services to customers who may reject them) mean that methodologies developed in the commercial sector may not be as relevant or readily applicable to the public sector. Hence, when considering their approach to segmentation local authorities should ask themselves the following questions: The guidance then describes the approach Hull City Council took on its Capital and Asset Pathfinder to developing a local segmentation based on freely available data sources - including census data and service data. The methodology creates unique segments based on a statistical analysis of the 'clusters' contained in the census data. Since the census survey employs postcodes, any post-coded data available to the service providers can be matched to these segments. Hence, the socio demographic data in the census can be augmented with transactional data (eg council tax payments) or attitudinal data (eg customer surveys). | Key question | |----------------| | using… | ## Key Steps Social demographic segmentation Who lives in the district, town or city? What the residents say and think about things? The guidance then outlines the key steps in developing a classification system for your local area based on freely available data. This is the main body of the document. The key steps are: Attitudinal segmentation based on market research, focus groups and surveys Usage segmentation, based on transactional and operational data from services 1. 'Knowing Your Area'. Research your areas key socio economic and demographic statistics and begin to identify how your area is both similar and different to regional and national averages. What's information services to Customers use across the council? ## Skills And Knowledge 2. 'Gathering Census Data'. Census data from 2001, and the first release of the 2011 census data, can be downloaded from http://www.ons.gov.uk The guidance then describes the range of skills required to develop a classification, highlighting that the two main skill sets are applied statistics and Geographical Information Systems mapping. 3. 'Logging and Standardising the Data'. The guidance outlines the mathematical methodologies that can be used to reduce the effect of extreme values and differing scales across the data sets. ## Costs And Resources 4. 'Choosing Your Variables'. The guidance describes a methodology for ensuring that the classification offers the most insight possible from the fewest number of variables. For example, a variable could be 'ethnic group' or 'level of qualification'. These will depend on whether the work can be delivered in-house, by employing a statistical consultant, or by partnering with other public service organisations. The guidance compares the license and maintenance costs of developing a classification, using OAC and procuring an 'off-the-shelf solution'. ## Tools And Applications 5. 'Clustering and Initial Mapping'. The guidance describes the iterative process of identifying patterns within the data, and verifying the findings using local knowledge. 6. 'Clustering'. This comprises reviewing the number of variables, subsets of clusters and clusters - and involving a wider group of people to review and challenge the results. The guidance then outlines how the classification can be applied by local authorities, highlighting both 'strategic' (eg welfare reform, troubled families) and 'operational' (eg waste management, libraries provision) examples. ## Making It Work 7. 'Signing-Off'. This involves wider engagement of stakeholders and community representatives to collect informal feedback, and refine the clustering further if necessary. 8. 'Labelling'. The guidance describes how Hull developed a short description detailing the key characteristics of each segment. Ensuring that these are brief but evocative is important to encourage the adoption of the segmentation by practitioners. The guidance concludes by highlighting several key factors local authorities should consider before embarking on the development of a customer classification. For example, these include establishing whether there is political buy-in at a high level to deliver a classification, and whether the organisation is sufficiently customer centric to make best use of the output. 9. 'Integrating Data'. By using the postcoded data, local authorities can use the classification to build a wider picture by attaching usage and attitudinal data. ## Introduction Purpose Of This Document This guidance document details an approach to developing a customer classification system using wholly freely available data at a local level. The context for the development of the classification system was the use of customer insight to drive a capital and asset rationalisation programme at Hull City Council. ## Who Should Read This Document? This document is highly relevant to any local authority who is interested in or in the process of reviewing tools and techniques in customer classification, profiling and customer segmentation. Specifically local authorities who are looking to: • be part of or already are a capital and asset pathfinder • develop a customer classification system as part of business operation • identify key customer datasets as part of a data integration exercise. ## Background The LGA's Customer Led Transformation programme funded the customer insight element of Hull City Council's Capital and Assets Pathfinder. The Customer Led Transformation Programme fund set out to embed the use of Customer Insight techniques as strategic management capabilities across the public sector family in order to support place-based working. The Customer Led Transformation programme is overseen by the Local Government Delivery Council (supported by the Local Government Association). The funding enabled Hull City Council to map their customers' usage and demand for public sector buildings and thereby better assess which buildings and assets could be decommissioned, sold or re-purposed. ## The Capital And Assets Pathfinder Programme Councils are facing financial challenges as a result of the cuts in local government funding, announced in the 2010 Comprehensive Spending Review. They need to make savings while continuing to provide services that meet their customers' needs and deliver on-going improvements. In 2010, the Department for Communities and Local Government (DCLG) initiated the Capital and Assets Pathfinder programme, the aim of which is: "…to test how a customer-centric and place-based approach to asset management and capital investment could improve local outcomes and generate significant savings." The pathfinder explores methods to use capital (funding that results in a tangible asset with a defined life span) and assets (in this case usually buildings and land) across the public sector, in a more joined up way using customer information to determine what and where services should be delivered. Based on an estimate that the size of public estate is valued at around £370bn, and that around two-thirds of this is owned by local authorities, DCLG estimate that this approach could release £35 billion in capital receipts over ten years, reducing revenue expenditure by £1.5 billion per annum through reduced running costs and delivering 10 per cent savings on procurement. Therefore this document presents an approach showing how any local authority can develop their own customer classification system using free data which is bespoke to its own area without compromising on quality. ## Definition In Context The fund was established specifically to support collaborative working between local authorities and their partners focused on using customer insight techniques to improve service outcomes. These approaches offer public services bodies the opportunity to engage customers, work more effectively with partners and gather insight into their preferences and needs, and thereby provide the evidence and intelligence needed to redesign services to be more targeted, effective and efficient. What do we mean by customer classification, profiling or segmentation? Classification is about recognising that not all people are the same or need the same services. As part of the wave 1 Capital and Asset pathfinder, many Local authorities involved felt they didn't have the ability, infrastructure or key skills to develop a customer led approach to their work. Whilst many Local authorities had success in mapping their assets, many felt that a gap existed in understanding customers, their needs and how to engage them in order to use this insight to help develop their property strategy. By classification we mean the process of sub dividing customers with distinctive shared needs and characteristics into reachable groups based on who they are (also known as socio demographics), what they do (behaviours) and how they think and feel (attitudes). (Guide to Segmentation, HM Government.) The aim of developing customer classification is to understand the differences between communities to enable more effective targeting and tailoring of local service delivery and, ultimately, improved life outcomes. One of the local authorities who received funding from DCLG to develop a customer classification system was Leicester City Council, who was supported by Hull and Hampshire using their experience in developing and integrating customer segmentation into their respective pathfinder projects to help Leicester develop their own bespoke segmentation to inform their CAP. A key part of any segmentation approach should be to understand the behavioural/ attitudinal elements of a group or segment. It allows organisations to understand who their customers are, and how they use services, giving an insight into the structure of how your organisation should operate in terms of the current status and needs of the customer groups that comprise it, as well as flagging up potential opportunities and threats faced by wider political, economic, social or technological issues in the near future. A key objective for Leicester's work was to commission a guidance document as part of a skills transfer initiative with Hull and Hampshire on how segmentation can be developed in house. However it was felt that this document could be an extremely valuable resource for other local authorities who have the same needs regarding the development of their customer insight capability. ## Different Ways To Segment Customers A priori method A priori segmentation approach is the most basic way of creating segments. In A-priori segmentation, the population is split according to pre-existing demographic criteria such as age, sex or social economic status. More sophisticated versions include life stage (which combines information about age, presence of children and working status. In context to a Capital and Asset programme customer classification is twofold; a) understand the demand for services delivered from a particular building or space and being able to decipher if different types of customers are using a facility over and above others; b) using a customer classification system to review the different needs of a particular area or neighbourhood in relation to how those needs are currently catered for in terms of the services being delivered from a building or space. What do we mean by customer insight? Therefore customer insight is defined as 'a deep truth about the customer, based on their behaviour, experiences, beliefs, needs or desires that is relevant to the tasks or issue and rings bells with target people' Government Communications Network's Engage Programme. A priori segments are easy to define and easy to target with communications and wider community/neighbourhood based services. For some sectors, for instance technology, there are such strong relationships between age and use, that a priori segments are all that are needed. However in other sectors, particularly local government it can be much more difficult to use pre-existing variables for segmentation whilst trying understand the complex set of services on offer from the public sector. Customer insight is more than just raw data and research. It's a multi-dimensional view of customers derived from strategic analysis of qualitative and quantitative data and information that local authorities and their partners collect about their customers, including: demographic data, surveys and consultation, actual operational data, front line staff feedback, formal and informal correspondence and customer feedback. This approach however is often described as step 1 on the segmentation ladder, it is the simplest approach to apply and use. A database can be flagged or sorted on the pre-existing data and that data used to drive different interventions for each group. The segments can be easily mapped and a geographic view of the different segments that make up a city, town or neighbourhood can be achieved. Customer insight can be used to inform strategy and policy, to allocate resources, to manage performance, to market services, to change behaviours, to anticipate customer need and to inform service design. However, it should always be noted that even the most sophisticated a priori systems are quite crude. There is the assumption that you behave or think the same way as your demographic 'neighbour' which is clearly not always the case. This information can then be used to target groups by what they think and how they feel, rather than just who they are and can be a very powerful tool in how different public services need to cater for different cohorts within the population. However, attitudinal groupings can suffer from some problems with regard to their robustness and if they can be replicated. A usage segmentation approach The main way to carry out a usage segmentation, is to split customers according to their weight of use. - heavy users being more important targets than light users, or in some cases for local government light users being the key target of a service that they should be using more (eg smoking cessation). This segmentation can be carried out directly on customer databases and can be extremely powerful in focusing activity based on the value to the organisation. Once you have established a set of attitudinal segments via a questionnaire, many struggle with rolling out the questions to larger number of people. The survey used to collect the attitudes of the customer may have had a sample size of 1,000 people, yet if you want to understand and segment a particularly cohort then everyone would need to complete the survey, which can become expensive dependant on the survey method and the size of the cohort. Needs based segmentation This method aims to determine fundamental drivers for the decision to create what is known as a needs based segmentation. Often usage segmentation is used to try and establish underlying driving forces from other demographic variables. So if women are more likely to be heavy users would it be easier to convert more light users who are female, rather than target their male counterparts. This focusing of market activity on groups that are similar to heavy users gives rise to measures such as 'uplift' - the improvement possible over a purely random. Most needs-based segmentation uses Conjoint Analysis to split a category into different levels of functional performance (see Conjoint Design). By understanding what elements are key drivers for individuals, specific needs and requirements can be identified from the trade-offs that each person makes. Using cluster analysis, this information can be drawn together to find different segments with similar preferences and needs from the service category in question. Attitudinal segmentation When market research is used for usage studies, it is also often accompanied by attitudinal research - what do customers think or believe about the category in question. This is commonly achieved through questionnaires and by asking people their opinion about certain issues. The aim of these studies is not just to understand commonalities in opinion, but also what makes one group of users different from another. Therefore local government cannot leave behind those that 'reject' the services on offer or that they require (eg safeguarding issues etc.) Needs based segments are typically the most actionable forms of segments as you know what drivers the performance of the service you are delivering. These are normally more stable than attitudinal groups as they should directly reflect and predict consumer behaviour and their propensity to respond to certain interventions. This means no one method of segmentation used in isolation will be enough to describe the complexities of customer behaviour and their interaction with public services. A hybrid of approaches is most useful and the below is a helpful way of understanding what is the best approach for local authorities to pursue: ## Which Is The Best Approach For Local Government? Local authorities should ask themselves whether they know the following: Unlike a commercial organisation, local government provide a multitude of different services, advice, help and information to a wide variety of different customers. Many private sector organisations sell a product or service and diversify their propositions around a particular market (eg chocolate and confectionary). Who lives in the district, town or city - One of the easiest ways to do this is to understand the demographic and socio economic make up of an area and compare this to a regional or national average. This helps identify the key differences that make an area unique or similar to others. A **priori segmentation** of demographic data would be an appropriate way to segment an area to answer the 'who lives in the area question'. When a particular segment is identified as 'rejecting' the product or service, commercially little time or money is spent trying to persuade the consumer (eg if a customer segment is identified as hating chocolate, no further marketing spend would be made on this segment). This is a major issue for local government and is one of the fundamental differences between which segmentation approach is most appropriate in the public sector. What do residents say and think about things - Market research, consultation or any other form of feedback are the main mechanisms that help a local authority understand what customers are thinking, their opinions on key issues and their rating of services. This helps identify how customers are different in their opinions and can be linked to different demographics (as above). Is all of this activity held centrally? Many of the high need/highly dependent customers of a local authority will inevitably be the 'rejecter' segment of society, in that they follow life choices which lead to negative outcomes. This means a key segment for local government will always be the rejecter segment (context in relation to 'troubled families) and is where significant investment is made in delivery acute services responding to those needs. In considering all the segmentation approaches, this means local authorities are best considering how they link a priori segmentation of their demographic and socio economic data (providing a view of who lives in the district/town or city) to other key data sources such as attitudinal and transactional data. Whilst an **attitudinal segmentation** approach could be applied here, due to the sheer number of services provided by the council, for wider use an attitudinal segmentation approach would be needed for every service the opinions where sought. This means you would need hundreds of attitudinal segmentations where the interdependencies would be extremely difficult to identify, let alone the cost of development. Therefore local authorities should carefully consider how they would develop a priori approach to segmenting their population and link this to other data sources. ## The National Segmentation Problem There isn't a gap in the market for public sector segmentation tools, as many exist as 'off the shelve products'. These tools will use a combination of segmentation approaches, using a priori method for classifying a population into segments based on demographics and socio economic groups and link large national datasets to describe attitudes and transactions. What information and services do customers use across the council - Most of this information is stored as 'transactional' data and is often found in customer databases. Many local authorities use a central customer relationship management database (CRM) to log all contacts with customers stored in a database. However, some councils use a range of different CRM's and many councils will find that different services store customer transaction data on different databases. However this is rich data as it can be matched (by a common record such as an address) to link together transactions across the council. These tools often use transaction data from consumer databases alongside national surveys to create hundreds of UK segments. These segments can then be mapped across the UK, using an address file to 'predict' which household is best described by one of the several hundred groups nationally. Mapped geographically each household can then be seen on a map with a best fit segment assigned to it, linked to a detailed description of the type of person or household that is likely to be behind the door. Whilst a **usage segmentation** approach would help to identify different usage patterns of a variety of council services, without matching this data to attitudinal information it's difficult to understand why people are using or not using particular services, and without matching to demographics it's difficult to determine who the customers are using or not using a service. Therefore usage segmentation in this context isn't as useful unless it's linked to other information sources. In Hull, when applying a national profiling tool to public housing, one distinct large segment was identified ('Blue Collar') yet a local segmentation model applied showed four distinctly different public housing segments, of varying age groups, health and housing types. These tools offer an appealing proposition as they strive to answer the 3 main areas of interest, who lives in an area, what are their opinions and what services do they use. Many local authorities currently have licences for these products in the market and they have been used for service re-design projects and wider engagement programmes. The assumptions built into a national profiling tool can be quite wide as whilst at a national level there are often similarities between towns, cities and regions, at a local level there are more factors which can make an area 'different', 'special' or 'distinct' compared to others. If local authorities didn't want to pay for a license for commercial segmentation tool, the Output Area Classification (OAC) profiling tool is an alternative that is available free to use. This uses a priori segmentation approach on the UK census data, creating a multitude of UK segments and again mapped across the UK. This enables local authorities to see which segments best fit their areas with a description of each of the segments available as a guide. Whilst this doesn't include attitudinal or transactional data it is a helpful tool to see how large areas of a town, district or city are different demographically and socio economically. Census data has the largest coverage of any data source, and is the most highly regarded source of reliable intelligence available. Hull City Council used Census 2001 data, with mid-year estimates). Furthermore, population estimates based on the 2011 Census are now available - with more details of local characteristics (ie sex and age by ethnic group, sex and age by economic activity) being made available in later releases. Working with this data locally will be incredibly accurate at the time of collection, mid-year estimates and other local intelligence sources help to identify where changes are occurring between the censuses. However, whether using the free OAC classification or a purchased commercial tool, applying Nationally collected data modelled to local areas will not always describe an area as accurately as you know it to be. Often these tools won't identify how certain neighbourhoods differ to the national average eg a national classification for Leicester using the national OAC model identified a large ethnically mixed segment which was evident across Leicester, yet when developing a local segmentation for the area, four groups existed with much more detail around religion, ethnicity and life stage. Nationally collected attitudinal survey data can become less reliable, as sampling error and confidence intervals can become large when looking at the sample size for your town, district or city. For example, if a national sports survey had been used to model attitudes to participation in sport and added to a profiling tool, the sample size collected nationally may have been 200,000 (small sampling error). However when linked to a national set of segments and modelled down to a local area the actual sample size for that particular area, town or city may have only been 300 (large sampling error). This means it becomes difficult to predict with accuracy the attitudes of a customer when a national survey is modelled down to lower geographies. The best most accurate data would be an areas/towns or cities own survey data where sample sizes are likely to be much higher with smaller sampling error. A similar problem exists for transactional data taken from large national consumer datasets, whilst the sample sizes are likely to be higher for certain data sources, local factors can often outweigh the accuracy of the model and what it is trying to predict about the population. For example a large consumer dataset on shopping and which supermarkets residents choose to shop at is often added to commercial profiling tools. This can predict with some accuracy which households in your area, town or city are most likely to shop at which supermarket. However in Hull, this data may indicate that several thousand people shop at a particular supermarket that doesn't actually exist within the city as the supermarket doesn't actually have a site within the city. These problems have been the main reason to focus our attention on how we develop a better solution. At a time of financial constraint amongst local authority budgets and when evidence based policy has never been as important, we have developed a low or no cost solution, which significantly increases the level of accuracy of a combined approach to segmentation. ## Developing A Free Bespoke Customer Classification System The proposed alternative model (in summary) Once complete, any local authority using this approach will therefore have a list of all post codes in their area with a segment number attached, mapped to census output area. (See appendix). This then allows for other post coded data to be matched to these segments, building on top of the a priori method of demographic/socio economic segments with real local attitudinal and transactional data. As part of Hull's work on its Capital and Asset Pathfinder and supporting Leicester with the development of a customer insight tool, an alternative way of segmenting customers has been developed which pulls together key data sources. This approach moves away from national profiled data and uses entirely free local data, built around a local classification of local census data. This is not based on a commercial tool nor the national OAC classification. The alternative approach somewhat alleviates the issues associated with the national profiling problem and increases the level of accuracy of this type of work going forwards, particularly with new census data to be realised within the next twelve months. Use local data its free The most accurate information local authorities have access to, is their own data about their citizens. The public sector sits on a vast array of data and information about its neighbourhoods and the people who live within them. Councils are often information rich but intelligence poor, as much of this data is often not integrated, used for service planning or shaped in a way which allows people to access it. However if this information can be sourced and be put into databases for analysis it can form a significant chunk of a highly successful customer insight tool. Consider the following data sources and think about where and who has this data in your organisation. Hull's model takes census data, creating unique clusters (segments) relevant to the area in question. Each clustered group is built upon 40-50 factors which are contained within the Census survey. This ensures that the classification of an area is built around the main issues which describe each area accurately depending on how the area is different to others. Other useful data sources: Key data sources you'll need: • Census data - has this been downloaded for your area, town or city, who has access to it? • council tax band + payment method data - an understanding of the properties you have and how people pay bills, essential for channel shift • council tax housing benefits - who is in need of help paying their bills • Customer relationship management data - which services are people requesting, is this in a central database or a number of separate databases? • blue badge - who requires blue badges and when • Survey data, all market research data, where is it stored who does it? Key skills you'll need: • ASB/crime data - where is crime happening, which groups of people are affected • **mathematics** - required to develop the data logging and standardisation • school census or tell us survey - what are young people saying about education provision health data - where is health poor, what are the issues people are dealing with • **applied statistics** - Needed to undertake the cluster analysis, choosing data variables and data integration, preferably someone with SPSS skills • cultural data - leisure centres, theatres, libraries, • **database skills** - Needed to be able to manoeuvre, store and merge all the datasets involved in developing the system • commercial data - detailing permits/ licences • voluntary sector information - • **GIS** - needed in order to map the cluster groups and any other thematic data included • adult education data - list of addresses of people using which courses • **influencing skills** - needed to be able to convince stakeholders of the value of the product/tool • NEET data - details of postcodes of young people not in education, employment or training. • **quantitative data analysis** - needed for analysing key datasets and ensuring the data being used for integration is meaningful and robust. ## Socio Economic The Key Steps In Developing A Free Classification System • deprivation • occupational structure ## Step 1 - Know Your Area, Exploratory Analysis Of Local Data • income levels • worklessness • levels of health • levels of educational attainment and qualifications. Examples: Task: Spend several hours, researching the key statistics in your area and start to identify where your area is different, unique or maybe similar to regional and national averages. Also consider where geographic differences occur within the target area on key statistics. In Hull… The key to any profiling exercise is to ensure that the profiles developed describe the area in the way you know it to be. It is critically important that you understand where your area/city/town differs to the national average on key demographic/socio economic indicators. This allows you to understand which local factors are most likely to play an influential role in the profiling exercise. We'd recommend looking at the following indicators and compare them to regional and national averages. ## Demographics: Hull's economic make up is significantly different to other parts of the country and any predictive data around this is often not as accurate as the real picture. Hull is significantly different on employment sectors, as the city functions around a port economy and has a higher proportion of lower skilled/semi routine jobs than other areas. This leads to significant differences in the housing stock, with many differences occurring across the city between size of house, ownership and tenure. Therefore the segmentation of Hull's census data found that this would be and was a key variable to include in the clustering process. • age profiles • ethnicity • housing tenure and type • household composition. In Leicester… Log the data Logging the data or 'Log transformation' is a process of reducing the effect of extreme values that may exist within the data set. Clustering or creating segments is most effective with data that has a normal distribution. However there maybe variables within the census dataset that have highly skewed distributions or a large number of 'outliers' at the high or lower end of the value scale, which will affect the quality of the clustering process. Consider the age breakdown of a city. Most of the data will fall into a normal range of age groups (eg normally distributed) however there may be 'outliers' who break the normal distributions around age and are heavily skewed, this maybe that there are a number of people aged over 100. Leicester has significant levels of diversity compared to others, with many different levels of deprivation attached to different ethnic groups. The OAC classification tool showed 1 main segment describing BME populations, yet locally there were a number of sub groups that existed across other factors such as race, religion and faith and belief. For Leicester major differences within their census data occurs around ethnic diversity and these are factors which would not be needed in the model for an area like Hull. Therefore an early analysis of what makes Leicester unique helps shape the way a segmentation approach would be undertaken. This means that the logging process will reduce the effects of large gaps between outlying values (people aged over a 100) and the values contained within the middle of the age scale (where most of the data will be found), essentially squashing the end of the data series and expanding the middle. Step 2 - Gathering your census data Many Local authorities will already have downloaded their own census file covering their area; however this has not been undertaken, this is a key requirement of being able to develop a bespoke segmentation tool. The data is available to download from http://www.ons.gov.uk/ ons/guide-method/census/2011/censusdata/2001-census-data/index.html The data should ideally be downloaded into a useable data base software package such as Microsoft Excel. Step 3 - Logging and standardising the data Once the census data has been downloaded, a mathematical exercise is required to log and standardise the data to ensure it's in a usable format that will deliver the highest levels of accuracy for creating the segments. To enable converting the data to a logged scale, all variables within the census dataset must have a value of at least one. This means that if within a city there were no residents from a particular ethnic group, eg people of an Indian, Pakistani, Bangladesh ethnic background living within any output area, they would be represented in the census file as zero. Attempting to log data with a value of zero is not possible, therefore where zero arises within the dataset for any variable this must be converted to one. However it should be noted that all variables within the dataset must have one added not just those with a zero value for the logging process to work effectively. In order to undertake the logging of the data, an exercise of logarithm is undertaken. This can be done as a function in Excel, SPSS or other statistical packages. Therefore to correct this all scales within the dataset need to be standardised within a common range. This requires the application of a formula which can be seen in the appendix. Standardise the data Range standardisation is a key process which aligns all the variables within the dataset to remove problems where differing scales or magnitudes may exist within the data. In general variables with larger values and greater variation will have higher impact in the final measures when looking for similarities between clusters. This means that you may get a different clustering result (of different segments) on data that hasn't been range standardised compared to data that has. This makes it imperative that in order to provide accurate segments that truly describe an area that this process is undertaken correctly. Step 4 - Choosing your variables With a logged and standardised census data file, the next step is to choose which variables will be included for the clustering process. The aim of this step is get the most information possible from the fewest number of variables. Each variable that is included should add something that the other variables do not. This means that many variables are intrinsically linked to each other such as ethnicity and religion. It then becomes difficult to describe what impact they have individually on the classification (or creating of segments) due to their correlations with each other. Therefore the more variables added to the list for clustering doesn't necessarily add new information and can just repeat existing information already collected. Before the clustering process all variables need to be standardised over the same range that's to ensure that all the data has the same weighting in the clustering process. Different types of data within the census file use different scales, eg population density gives the number of people within an area, (An actual number) whereas the variable describing the number of retired people in an area is given is a per cent figure (A per cent not an actual number). Variables need to be considered carefully in the context to the work undertaken at step 1 and with an understanding of how each variable correlates with each other. Running correlation analysis between variables is a key step and will require an element of trial and error to establish which variables are best to use for the clustering phase which will adequately describe your neighbourhoods. To undertake correlation analysis between variables, you will need access to SPSS or any other statistical software. ## Therefore the figure for those who maybe retired in an area can only be between 0-1 (a decimal figure of a per cent, eg 50 per cent would be 0.5). Whereas the figure for population density could be a value of 30 (in Hull its 34 people per square hector). 30 is clearly a higher value than 0.5 (which describes 50 per cent). This creates a problem in that the clustering process would be wholly dominated in this scenario by population density as it has higher value ranges. • single pension households • lone parent households • two adults no children • households with non-dependent children. ## Housing: The national OAC classification identified 41 variables for the initial clustering phase which have been used at a national level. This is a good starting point for choosing your variables for clustering and to help think about whether they would or would not need to be considered. Below are the 41 variables included: • rent from the public sector • rent from private sector • terraced housing • detached housing • all flats Task: take a look at each of these variables and compare back to step 1, in which of these variables is your area, town or city distinctly different to national averages? • no central heating • rooms per household Variables including in the OAC classification. • people per room. ## Age: Qualifications And Jobs: • 0-4 • higher education qualification • 5-15 • routine or semi routine occupations • 25-44 • work from home • 45-64 • students full time • 65+. • unemployed • working part time ## Ethnicity: • economically inactive looking after family • Indian • agriculture and fishing • Pakistani • mining quarrying or construction • Bangladeshi • manufacturing • Black African • hotel and catering • Black Caribbean • health and social work • other Black born outside the UK. • finance Population: • wholesale and retail. • population density • marital status • single person households (not pension) ## Transport: • two car+ households • public transport to work. Health and care: • long term illness or disability • provide unpaid care. Whereas In Hull specific employment sector information was removed from the variable list as it didn't have any significant difference to the clustering process. This was due to Hull's unique port functioning economy which heavily drives above average levels of manufacturing based employment. Adding wider employment sector data didn't add value to the clustering process and sectors like 'agriculture' where removed. Hull only has one farm within its boundaries. Having reviewed the above variable list, you may find that after considering your area, town or city that there are key variables missing or that need removing, or have found that certain variables correlate highly with each other and be clear on which ones to pick for clustering. Step 5 - phase 1 clustering and initial mapping With the correlation analysis of variables complete (for now) and a list of chosen variables, the next step is to begin designing the segments and undertake cluster analysis. To see the full list of variables collected by the census see the 2001 Census website at http://www.ons.gov.uk/ons/guide-method/ census/census-2001/index.html. Cluster analysis is the task of assigning cases (in this case, census output areas) into groups (called clusters) so that the cases within each cluster are more similar to each other than to those in other clusters. The approach undertaken is to follow the K-means method of clustering - a process of assigning each of the output areas to a cluster. An example of this is the work undertaken in Leicester; they knew that ethnicity would be a key factor in describing the make-up of many neighbourhoods across the city. It would make sense to then consider variables in the census such as religion, faith and belief, as they would give more information than simply using ethnicity. K-means clustering works well with large sample sizes and standardised scales (continuous) data, and clusters do not overlap (no individual case falls into more than one cluster). However, the procedure does not define the ideal number of clusters for you. However following correlation analysis between the two variables ethnicity and religion are highly correlated, therefore adding both into the clustering process doesn't enhance the level of information of the clustering. In the case of Leicester religion was chosen as the proxy for ethnicity (to give the information with the most value) over ethnicity. Finding a good cluster solution involves trial and error together with examination of the data and looking for patterns. A good solution has as few clusters as possible and produces clusters which are all useful - eg sample sizes are large enough to work with and meaningful as a group. Some segments will have an unemployment rate higher than the average and others will have lower rates of unemployment. This is very powerful information when mapped to lower geographies, as it can show you at neighbourhood level which clusters are present and how each of the chosen variables (eg unemployment), perform against the average level for the whole population. Cluster analysis will need to be run in SPSS or an equivalent Statistical software package. The process begins by creating initial cluster centres, and then assigns each case (Output Area) to a cluster based on the distance from that centre. The centres are continuously adjusted and cases reassigned until the best solution is reached. Until any reassignment causes clusters to become more similar. Although the solution given may be the best for the number of clusters defined, if you have chosen the wrong number, or the wrong variables, the solution will not be useful. Task: Local knowledge is key to sense check the initial findings after the first clustering phase, involve colleagues who work at a community level, undertake a virtual walk through of certain areas using Google Street View. The procedure is repeated several times, each time with a different number of clusters defined. For Hull data the cluster analysis was performed for 3, 4, 5, 6, 7, 8, 9, and 10 clusters. The results for each of these was compared and an initial 3 cluster solution chosen. The data was then split into 3 separate datasets and the procedure repeated for each one. It is important to note that it's unlikely that after the 1st phase of clustering that the segments created will be the final output. The testing phase should produce a significant amount of learning and local intelligence which will require re-clustering of further groups, or different variables to be included in the clustering process. Step 6 - phase 2 clustering Using the knowledge and feedback ascertained from step 5, any further exploration or tweaks to clusters should now be undertaken. There are a number of things which you may need to consider from the output of the first clustering phase: Once the best solution has been chosen, it is best to map the clusters to census output area using GIS software. Using the mapped clusters in parallel with a 'spider diagram' can help visualise how each cluster differs from others (and from the average). For example consider a city where the average unemployment level is 6per cent, this diagram will show how far from the average of 6per cent the unemployment rate is, for each segment. • Variable list - do you need to review the variables used for clustering in light of feedback? • community wardens • community health workers • other data teams (epidemiology teams, other insight teams). • Sub sets of clusters - Is there a particular cluster where large numbers of people fall within and a sub set of clusters could be produced to understand the group in more detail? Does the data indicate that hierarchal clustering would work better?1 • Increase/decrease the number of clustered groups - Review whether the number of cluster groups is correct from the onset and consider increasing or decreasing the number of groups as part of the process. The final part of this process should involve a 'walk through' of every area describing every cluster that has been created, eg if 10 cluster groups were created, visit areas of the town/ district/city where each of the 10 clusters are mapped to. This final exercise will help to confirm that the clusters largely describe the physical structure of an area such as housing types, and signs of affluence/poverty. Once this has been re-run and refined, the new or tweaked cluster groups should be remapped to census output area and a repeat of step 5 should be undertaken. However in addition, it may be useful to extend the number of people involved to review and challenge the new segments Step 8 - labelling and group descriptions Once the final groups have been developed, each group needs to have a short description (and possibly a name) which details the key characteristics of the group. The easiest way to do this would be to have an individual spider diagram for each group with a short written summary that shows how this group differs from the town/district/city average level of each variable. This can be presented alongside a map of where each segment resides in the town/ district/city and can include photographs of actual areas in which represent the group. Step 7 - final cluster sign off Step 6 may be repeated numerous times until the best possible solution has been achieved with each cluster describing the area to an acceptable level. This process now involves wider engagement with stakeholders and community representatives to ascertain final feedback and sign off that the clustering approach has developed an adequate description of the town/district or city. Some of the stakeholders to consider as part of this engagement would be: • neighbourhood managers This is a key step as it forms the basis for other stakeholders to develop a simple understanding of each group and where it is mapped to. • area committees • community development workers • front line service managers • housing managers/officers • neighbourhood policing teams Below are screen shots of Hull's group descriptions: ## Screen Shot From Segment C2 - Hull Once the above has been replicated for all groups that have been created (eg in Hull, 10 group descriptions have been completed) the classification process has been completed. A visual representation is now available to describe the groups that have been created as part of the clustering process. The population of the town/district or city can then be matched to all the groups created which means that for every ward, a per cent of each created cluster can be identified, eg ward x may have 5 clusters present whereas ward y may have only 2 clusters present. This presents a different way of viewing ward population as it provides a view of where different groups live within a ward and where natural neighbourhoods occur. This then allows any other dataset or customer information to be matched to the cluster file providing a post code is present. Step 9 - data integration With a final set of cluster groups established this then allows for other data sets to be matched to the newly created groups and will help to build a wider picture around the service usage patterns and different attitudes each cluster or group may have. However before this can happen it's important to ensure that the original census file which contains all the census output area codes is then 'flagged' with the new cluster groups. This means that every Census Output Area (COA) code will have a cluster group assigned. The screen shot below shows the census file in excel with COA codes assigned to cluster groups and then how this can be translated to ward populations by cluster group. This will identify which groups typically use the wide range of council services on offer. If your local authority collects survey data with large sample sizes (sample sizes over 2,000) this can also be matched by post code to each cluster group. Therefore when analysing the information from the survey, it can be analysed by each group showing how each one differs attitudinally. With a data file that contains output areas and cluster group codes, this provides the basis for matching other datasets. Any dataset that contains a postcode can be matched which emphasises the need to collect post coded data as many times as possible when engaging with customers. The Public Sector sits on a wealth of post coded data and its important at this stage to be clear on what objective you're seeking to achieve and how that translates to the data you need to match. For example, if the customer groupings were to be used to help understand where key adult education courses should be deployed, then the data required will be adult education usage data (by postcode). A clear objective of what projects or programmes this classification is being used for will help identify its scope. The process of data integration involves taking raw data from either the CRM database or survey files and exporting them (if needed) to a database package Excel or SPPS. The fields which describe the data (eg people satisfied with their neighbourhood, or number of calls for council tax) are then matched by post code to the cluster groups. This means that every post code attached to the filed you're matching will then be linked to which cluster group that particular post code falls into (eg fig 1). The below shows an excel output of calls into a call centre by call type matched to each cluster group. However, there are two main datasets which are useful starting points. If your local authority has a central CRM and logs all customer contact, service requests, complaints, information requests with a post code, this can be matched against each cluster group. Once data has been integrated with the cluster groups, and more information is now linked to each cluster group, it's useful to consider adding this to the group descriptions outlined in step 8, as this helps to visually present the additional information linked to each group. Below are screen shots showing CRM analysis and survey analysis. Other datasets which local authorities may find useful to consider: A full skills list can be seen below, text marked in red are the skills fundamental to the actual development of the cluster groups: • plotting assets and property data over the segment map • mathematics - required to develop the data logging and standardisation • health and crime statistics • NEET's data • cultural data, leisure centre usage, museums, libraries, galleries or theatres • applied statistics - needed to undertake the cluster analysis, choosing data variables and data integration, preferably someone with SPSS skills • adult education course usage • any survey data with large sample sizes. • database skills - needed to be able to manoeuvre, store and merge all the datasets involved in developing the system ## Skills And Knowledge Required • GIS - needed in order to map the cluster groups and any other thematic data included • influencing skills - needed to be able to convince stakeholders of the value of the product/tool In order to develop and build a customer classification system and integrate various datasets to the overall groupings, a wide variety of skills are required within the organisation in order to successfully develop this type of project. • quantitative data analysis - needed for analysing key datasets and ensuring the data being used for integration is meaningful and robust The two main skill sets required are applied statistics and GIS mapping. ## Costs And Resources • business analysis skills - needed to understand the organisation and its priorities eg spotting where the tool can add value • qualitative skills - being able to translate and align softer qualitative data or feedback alongside the cluster groups This is highly dependent on the level of skills that reside within the organisation. A trained statistician would be able to develop the initial cluster groups for a town/district or city within three to four weeks. Further data integration would take longer depending on the current form of the data and what data was to be matched. • marketing and communication skills - being able to present the tool in a way others can understand it and make it visible within the organisation • project management skills - needed to ensure the tool follows appropriate timelines and can be used as part of service design and delivery aligned to business planning cycles The work undertaken for Leicester took 6 weeks which included the development of their own 14 unique cluster groups and the matching of 5 additional datasets. This work is primarily undertaken by a Data Analyst (statistician) a GIS practitioner and a project manager. • partnership working skills - need to be able to link the tool to other partner agencies and add value by sourcing other projects it can be applied to The costs of the work are dependent on whether this is delivered in house, via a statistical consultant or working with a local authority who has already developed their own classification using this approach. • access to local knowledge - must be able to test the tool with front-line staff, elected members, partners, and residents. If delivered in house, the only costs that should be incurred are those of staff time alone, hence a free classification system with no on-going maintenance or licence costs. In considering the skills list, local authorities should look at where these skills are currently located within the council and whether capacity is available in using people from various teams to work on this project. If a local authority doesn't have access to the skills marked in red text, it's unlikely that they will be able to develop this classification system in the way described in this document. Many local authorities often find they have some but not all the skills required. Below are some comparable/outline costs for the various methods/alternative products on the market: | Product | Method | Licence | |---------------------------|----------|-------------| | costs | | | | Ongoing | | | | maintenance | | | | Costs | | | | Delivered in house | | | | using existing staff time | | | | £0 | £0 | £0 | | Local classification | | | | system (as | | | | outlined in this | | | | document | | | | £0 | £0 | £12,500 (25 | | days @£500 per | | | | day rate) | | | | Delivered using a | | | | statistical consultant | | | | (doesn't include data | | | | integration) | | | | Delivered using Hull | | | | (tool established of the | | | | tool) | | | | 2 | | | | £0 | £0 | £12,500 | | £25,000 (with | | | | data integration | | | | and training/ | | | | support) | | | | £0 | £0 | £0 | | National output | | | | area classification | | | | Use the current national | | | | free classification | | | | (note national profiling | | | | problem p.6) | | | | Range from | | | | £2-50k | | | | Range from | | | | £10-100k | | | | Range | | | | from | | | | £1-15k | | | | Commercial | | | | classification tools | | | | Using one of the | | | | existing tools on the | | | | market (note p.6) | | | ## The Tools Applications Strategically - The tool can work guide the policy responses to: The development of an integrated customer insight tool has many applications across a number of key programmes.2 • welfare reform and model who and how key groups and cohorts will be affected, using geographic maps to show exactly where focused support would be needed The tool can work both strategically and play an important role in modelling the impact of wider pressures and the external environment or at an operational level, used in support for service design, planning and targeted interventions. • capital and assets programme, matched with usage data the tool shows how and what to rationalise ensuring decisions are centred on customer need and are future proof facility that's within easy access. Helps to drive new marketing programmes to offer different packages for new users • troubled families - matching troubled families with key segments, showing where troubled families are most likely to come from and overlaying early intervention support in the key areas needed. • waste management - shows which cluster groups have issues with Bulky collections/ fly tipping etc, and highlights where more information is needed to help people get rid of their rubbish (eg students who are often unaware that councils offer a bulky service). • economic/retail development - having a clear view of the make-up of consumers and their socio economic make up, identifying where local job initiatives need to be delivered, plotting the success of new developments and planning policy. ## Making It Work For The Organisation Operationally - The tool can support many service areas with an evidence base behind delivery, some examples include: The final part to consider in order to develop an effective customer classification that adds value to your organisation is: • does Customer Insight have political buy in at both cabinet and local level? • housing allocations policy - understanding the make-up of customers and their household composition linked to potential demand in certain areas of a region • is there a Senior Manager who would sponsor the project or advocates this agenda? • street gritting priorities - helping to identify where older people live who will have most difficulty walking in bad weather conditions, gritting can be targeted to those areas and cover journeys to shops etc. • is your organisation structured around customers, is it customer centric or more silo based? • do you have access to key data sources? Is data in a format in which it can be extracted or manipulated? • libraries provision - understanding who and where library customers currently come from and whether sites are located in the right place offering the right services. Co-location of libraries can be an effective outcome using this tool • is there a research, consultation or customer insight team? Who would you go to in your organisation for statistics on demographics etc. ## Key Contacts: • adult education provision - matching usage of adult education courses by segment shows if certain courses being delivered are missing the key groups they are designed for. More effective deployment of courses can be delivered using the tool Kingston Upon Hull City Council The Guildhall, Alfred Gelder Street HU1 2AA Tel: +44 01482 613336 Fax: +44 01482 613340 • leisure/cultural provision - Leisure Centre usage shows who is using/not using leisure facilities linked to the levels of health, highlights key groups who need to be exercising and may not be using a Local Government Association Local Government House Smith Square London SW1P 3HZ Telephone 020 7664 3000 Fax 020 7664 3030 Email info@local.gov.uk www.local.gov.uk For a copy in Braille, larger print or audio, please contact us on 020 7664 3000. We consider requests on an individual basis.

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## Other Papers General Notes NB: If the space for notes is inadequate, please continue on a separate sheet ## Records Examination: Companies & Larger Unincorporated Concerns | Name | File No. | Enquiry No. | |----------------------------------------------------|-----------------------|---------------| | Date Records received | Date Records returned | | | / | / | / | | Date(s) examined | | | | / | / | / | | | | | | | | | | / | / | / | | Records Seen | Sample size | Tests applied | | (including the period covered by records examined) | | | | Nominal ledger | | | | Private ledger | | | | if not part of Nominal | | | | Cash book | | | | including petty cash | | | | Sales ledger | | | | Sales Day Book | | | | Purchases Ledger | | | | Purchases Day Book | | | | Stock Records | | | | Wages Records | | | | Other | | | | Please specify | | | NB: If the space for notes is inadequate, please continue on a separate sheet | Records Seen | Sample size | Tests applied | Comments | |----------------------------------------------------|-------------|---------------|-------------| | (including the period covered by records examined) | | | | | Invoices Seen | Sample size | Tests applied | Comments | | | | | | | (including the period covered by records examined) | | | | | Company Bank Accounts | | | | | (specify the name of the account) | | | | | Sales | | | | | Sales Returns/ | | | | | Credit Notes | | | | | Purchases | | | | | Purchase Returns/ | | | | | Debit Notes | | | | | Paid Cheques | | | | | (specify the name of the account) | | | | | Expenses/Assets | | | | | Non-financial | Sample size | Tests applied | Comments | | (including the period covered by records examined) | | | | | Records | | | | | Sales Order Notes | | | | | Private Bank Accounts | | | | | (specify the name of the account) | | | | | "Booking-in" Diaries | | | | | Copy Purchases orders | | | | | Job Cards/ | | | | | Time Sheets | | | | | Paid Cheques | | | | | (specify the name of the account) | | | | | Goods Outwards Book | | | | | Good Inwards Book | | | | NB

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## During the month of February 2014, the following exceptions to the recruitment and consultancy freeze have been considered by the Chief Executive, in his capacity as Accounting Officer: Decision Approval date Ref: No. & Directorate Summary of application Consultancy / recruitment 27/02/2014 1R Recruitment Approved Team Administrator RPP (8 weeks) Requests for consultancy valued at <£20,000 considered by the Director of Corporate Operations: Consultancy Approved 21/02/2014 1C Strategy The best practice lessons from similar public utility

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# Monthly Report: Surveillance Project Sb4008 Ifng Tests For Bovine Tuberculosis (Tc0651 And Tc0751) Number 156 # Report Period 1St - 31St August 2019 ## Operational Notes On Terminology, Definitions, Re-Test And Re-Samples Test Outcomes: - "Samples" refers to an individual tube of blood taken from an individual animal which is subsequently submitted for testing. It is generally assumed that the number of samples and the number of animals are analogous as any duplicate sample blood tube from the same animal will not be tested. However, minor discrepancies may occur where the same animal is tested more than once due to a request for a resample or the animal is tested twice under different categories (for example, as a PAR-RAPID and then as part of a PAR-HERD-S). - "Submissions" refers to an individual batch or set of samples received for testing. Submissions may comprise 1 or more samples (for example, if an entire herd is being tested it is usually sent as 1 submission). It is generally assumed that the number of submissions and the number of herds are analogous. - Retests are samples where the first ELISA assay fails and the same sample is retested on a new ELISA plate. Each sample can be retested only once. A retest is not a reportable test outcome. - Resamples are where a sample has been retested and failed a second time, so that the lab requests a new sample. This is a reportable test outcome. - Rejects are samples that are not tested by the lab for one of the following reasons: blood collected into wrong type of vacutainer, samples that have not been maintained at the appropriate temperature range (22±5C), unlabelled samples, broken or cracked tubes, blood that is extensively clotted (small clots are OK), samples received after 4pm on the day after sample collection. Such samples are reported separately in the tables and in figure 5. - POS (pokeweed mitogen) is a sample positive control reagent which provides a measure of the quality/viability of the blood sample. A POS fail (< 0.45 optical density reading) may indicate compromised blood quality as a result of collection/transportation conditions or due the animal having an unusually low/suppressed cellular immune response. - NEG (no-antigen control) is a sample negative control which provides a measure of the background antigen-independent IFN- responses. A NEG fail (> 0.3 optical density reading) may indicate a laboratory procedures problem (normally resolved during re-test) or that an animal has unusually high background levels of IFN-g. ## Test Criteria | Submission Reason | Explanation | |-----------------------------------------------------|----------------------| | Possible Herd Slaughter | | | (PAR-HERD-S) | | | Parallel interferon-gamma blood testing of skin | | | test negative cattle to inform whole or partial | | | herd slaughters decisions | | | Parallel blood testing of skin test-negative cattle | | | in persistently infected herds that have failed to | | | resolve by repeated short-interval skin testing | | | and fulfill a minimum of biosecurity standards. | | | Persistent TB breakdowns | | | (OTF status withdrawn) | | | (PAR-P-CONF) N.B. | | | PAR-PERSIS from 1st April | | | 2017 | | | Parallel - Low Incidence | | | (PAR-LOW-IN) N.B. | | | PAR-NEW-IN from 1st April | | | 2017 | | | Parallel blood testing to maximise the | | | probability of removing all infected cattle in a | | | new herd breakdown as soon as possible after | | | confirmation of TB. | | | Rapid Testing of twice IR's | | | (PAR-RAPID) | | | Parallel blood testing of two-times IRs identified | | | under the severe interpretation of the skin test | | | used in Wales. | | | PAR-CUL-N | | | Parallel blood testing to maximise the | | | probability of removing all infected cattle in a | | | new breakdown as soon as possible after | | | confirmation of TB where herd is situated in | | | badger control areas of England that have | | | completed at least 2 effective culls. | | | PAR-CUL-P | | | Parallel blood testing to maximise the | | | probability of removing all infected cattle in a | | | persistent confirmed breakdown where herd is | | | situated within badger control areas of England | | | that have completed at least 2 effective culls | | | Parallel Other | | | (PAR-OTHER) | | | Other parallel blood testing not covered in any | | | of the other scenarios | | | NO (APHA discretion) | | | 'NSR' Herds (SER-NSR) | | | Modified serial blood testing of individual skin | | | test reactors and/or IRs in unconfirmed TB | | | breakdown herds to clarify their infection status | | | where there is evidence of non-specific | | | sensitisation to bovine tuberculin (the | | | "non-specific reactor" procedure) | | | Suspected Fraud | | | (SER-FRAUD) | | | Modified serial blood test of suspected | | | fraudulent reactors to the skin test (animals with | | | abnormal skin swellings), in confirmed or | | | unconfirmed TB incidents. | | | Serial Other | | | (SER-OTHER) | | | Serial test - other reasons | NO (APHA Discretion) | | SER-FLEXI | | | Extended blood test to provide flexible test | | | readout in a confirmed M. bovis-infected herd | | | where Johne's (M. a. paratuberculosis) infection | | | or vaccination is suspected to be interferring | | | with M. bovis infection detection | | | YES, if APHA are | | | contemplating a herd | | | slaughter | | | NO (APHA discretion) | | | YES in Area of Low | | | Incidence | | | YES (Wales only) | | | YES (in eligible badger | | | control areas of England) | | | NO (APHA discretion) | | | NO (APHA discretion) | | | NO (APHA discretion to | | | firm up or rule out any | | | suspicion of fraud and | | | support any | | | investigations) | | | NO (APHA discretion) | | ## Table 1. Monthly Totals For August 2019 | % | Total 2019 | % | |-------------------------|--------------------------|----------| | Num | | | | samples | | | | August 2019 | | | | Submissions | 262 | 2422 | | Samples | Total (%) | 21887 | | England | 18297 | 83.60 % | | Wales | 3236 | 14.79 % | | Scotland | 354 | 1.62 % | | Parallel Tests | PAR-CUL-N | 4947 | | PAR-CUL-P | 2479 | 11.33 % | | PAR-HERD-S | 358 | 1.64 % | | PAR-NEW-IN | 8098 | 37.00 % | | PAR-OTHER | 226 | 1.03 % | | PAR-PERSIS | 5286 | 24.15 % | | PAR-RAPID | 77 | 0.35 % | | Total(% of all samples) | 21471 | 98.10 % | | Serial/Extended Tests | SER-FLEXI | 416 | | SER-FRAUD | 0 | 0.00 % | | SER-NSR | 0 | 0.00 % | | SER-OTHER | 0 | 0.00 % | | Total(% of all samples) | 416 | 1.90 % | | Total | 21887 | 100.00 % | | Retests | Total (% of all samples) | 2044 | | England | 1837 | 8.39 % | | Wales | 195 | 0.89 % | | Scotland | 12 | 0.05 % | | Resamples | Total (% of all samples) | 1513 | | England | 1393 | 6.36 % | | Wales | 111 | 0.51 % | | Scotland | 9 | 0.04 % | | Rejects | Total (% of all samples) | 96 | | England | 93 | 0.42 % | | Wales | 3 | 0.01 % | | Scotland | 0 | 0.00 % | PAR-HERD-S: potential herd slaughter, PAR-P-CONF (PAR-PERSIS from 1 April 2017): persistent TB breakdown OTFW, PAR-LOW-IN (PAR-NEW-IN from 1 April 2017): parallel low incidence, PAR-RAPID: rapid testing of twice IRs, PAR-CUL-N: new infection in cull area, PAR-CUL-P: persistent infection in cull area, PAR-OTHER: parallel other, SER-FLEXI: flexible extended test in confirmed herds with concurrent Johne's infection/vaccination, SER-NSR: serial non-specific reactor, SER-FRAUD: serial potential fraud, SER-OTHER: serial other | PAR-CUL-N | 4947 | 22.6 % | |-------------|--------|----------| | PAR-CUL-P | 2479 | 11.3 % | | PAR-HERD-S | 358 | 1.6 % | | PAR-NEW-IN | 8098 | 37.0 % | | PAR-OTHER | 226 | 1.0 % | | PAR-PERSIS | 5286 | 24.2 % | | PAR-RAPID | 77 | 0.4 % | | SER-FLEXI | 416 | 1.9 % | | Total | 21887 | 100.00 % | Breakdown of Samples submitted by County Johne's infection/vaccination, SER-NSR: serial non-specific reactor, SER-FRAUD: serial potential fraud, SER-OTHER: serial other ## Table 2A. Summary By County For August 2019 | Country | County | |-----------------|----------------| | Submission | | | Reasons* | | | No. | | | subs | | | Samples | Gamma Positive | | n | % of total | | England - HRA | Avon | | Corn & Scilly | PAR-CUL-N | | PAR-NEW-IN | 2 | | PAR-PERSIS | 5 | | Devon | PAR-CUL-N | | PAR-CUL-P | 2 | | Dorset | PAR-CUL-N | | PAR-CUL-P | 3 | | Gloucestershire | PAR-NEW-IN | | Gloucs | PAR-CUL-N | | PAR-CUL-P | 2 | | Heref | PAR-CUL-N | | PAR-PERSIS | 2 | | Shropshire | PAR-PERSIS | | Somerset excl N | PAR-CUL-N | | Staffs | PAR-OTHER | | Wiltshire | PAR-CUL-N | | PAR-CUL-P | 4 | | PAR-NEW-IN | 2 | | PAR-PERSIS | 2 | | England - Edge | Berks | | Bucks | PAR-NEW-IN | | Cheshire | PAR-NEW-IN | | Derbyshire | PAR-NEW-IN | | Hampshire | PAR-NEW-IN | | Leics & Rut | PAR-NEW-IN | * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. | Country | County | |-----------------|----------------| | Submission | | | Reasons* | | | No. | | | subs | | | Samples | Gamma Positive | | n | % of total | | Northants | PAR-NEW-IN | | Oxon | PAR-NEW-IN | | Warks | PAR-NEW-IN | | England - LRA | Cumbria | | Gr London | PAR-NEW-IN | | Northumb | PAR-NEW-IN | | PAR-PERSIS | 3 | | N Yorks | PAR-PERSIS | | W Sussex | PAR-NEW-IN | | England | | | 143 | 18297 | | Wales - High TB | Carms | | PAR-OTHER | 2 | | PAR-PERSIS | 7 | | PAR-RAPID | 6 | | SER-FLEXI | 7 | | Ceredigion | PAR-OTHER | | PAR-PERSIS | 3 | | PAR-RAPID | 2 | | SER-FLEXI | 2 | | Gwent | PAR-PERSIS | | PAR-RAPID | 2 | | Pembs | PAR-HERD-S | | PAR-NEW-IN | 3 | | PAR-PERSIS | 16 | | PAR-RAPID | 7 | | SER-FLEXI | 7 | | Powys | PAR-HERD-S | | PAR-NEW-IN | 6 | * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. | Country | County | |-------------------------|----------------| | Submission | | | Reasons* | | | No. | | | subs | | | Samples | Gamma Positive | | n | % of total | | PAR-PERSIS | 2 | | PAR-RAPID | 7 | | SER-FLEXI | 2 | | Wales - Intermediate TB | Carms | | Ceredigion | PAR-RAPID | | NE Wales | PAR-NEW-IN | | PAR-OTHER | 2 | | PAR-PERSIS | 1 | | SER-FLEXI | 5 | | W Glamorgan | PAR-OTHER | | PAR-RAPID | 1 | | Wales - Low TB | NE Wales | | PAR-OTHER | 2 | | SER-FLEXI | 1 | | Wales | | | 117 | 3236 | | Scotland - Scotland | Dumfries & G | | Kirkcudbright | PAR-PERSIS | | Scotland | | | 2 | 354 | | Grand Total | Sum: | *For test criteria please refer to Operational notes. * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. | Country | County | |-----------------|----------------| | Submission | | | Reasons* | | | No. | | | subs | | | Samples | Gamma Positive | | n | % of total | | England - HRA | Avon | | PAR-OTHER | 3 | | PAR-PERSIS | 9 | | SER-FRAUD | 2 | | Corn & Scilly | PAR-CUL-N | | PAR-CUL-P | 4 | | PAR-NEW-IN | 4 | | PAR-PERSIS | 29 | | SER-FLEXI | 2 | | Devon | PAR-CUL-N | | PAR-CUL-P | 22 | | PAR-NEW-IN | 4 | | PAR-OTHER | 7 | | PAR-PERSIS | 19 | | SER-FLEXI | 8 | | Dorset | PAR-CUL-N | | PAR-CUL-P | 13 | | PAR-NEW-IN | 2 | | SER-FLEXI | 4 | | Gloucestershire | PAR-NEW-IN | | Gloucs | PAR-CUL-N | | PAR-CUL-P | 8 | | PAR-HERD-S | 4 | | SER-FLEXI | 2 | | Heref | PAR-CUL-N | | PAR-CUL-P | 2 | * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. PAR-HERD-S: potential herd slaughter, PAR-P-CONF (PAR-PERSIS from 1 April 2017): persistent TB breakdown OTFW, PAR-LOW-IN (PAR-NEW-IN from 1 April 2017): parallel low incidence, PAR-RAPID: rapid testing of twice IRs, PAR-CUL-N: new infection in cull area, PAR-CUL-P: persistent infection in cull area, PAR-OTHER: parallel other, SER-FLEXI: flexible extended test in confirmed herds with concurrent Johne's infection/vaccination, SER-NSR: serial non-specific reactor, SER-FRAUD: serial potential fraud, SER-OTHER: serial other ## Table 2B. Summary By County For 2019 Cont. | Country | County | |-----------------|----------------| | Submission | | | Reasons* | | | No. | | | subs | | | Samples | Gamma Positive | | n | % of total | | PAR-NEW-IN | 1 | | PAR-OTHER | 1 | | PAR-PERSIS | 25 | | Shropshire | PAR-CUL-P | | PAR-NEW-IN | 1 | | PAR-OTHER | 4 | | PAR-PERSIS | 10 | | SER-FLEXI | 5 | | Somerset excl N | PAR-CUL-N | | PAR-OTHER | 2 | | PAR-PERSIS | 13 | | Staffs | PAR-OTHER | | PAR-PERSIS | 7 | | Wiltshire | PAR-CUL-N | | PAR-CUL-P | 15 | | PAR-NEW-IN | 6 | | PAR-OTHER | 2 | | PAR-PERSIS | 6 | | SER-FLEXI | 1 | | England - Edge | Berks | | PAR-PERSIS | 3 | | Bucks | PAR-NEW-IN | | Cheshire | PAR-CUL-N | | PAR-NEW-IN | 160 | | PAR-PERSIS | 5 | | Derbyshire | PAR-NEW-IN | | E Sussex | PAR-NEW-IN | | Hampshire | PAR-NEW-IN | * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. PAR-HERD-S: potential herd slaughter, PAR-P-CONF (PAR-PERSIS from 1 April 2017): persistent TB breakdown OTFW, PAR-LOW-IN (PAR-NEW-IN from 1 April 2017): parallel low incidence, PAR-RAPID: rapid testing of twice IRs, PAR-CUL-N: new infection in cull area, PAR-CUL-P: persistent infection in cull area, PAR-OTHER: parallel other, SER-FLEXI: flexible extended test in confirmed herds with concurrent Johne's infection/vaccination, SER-NSR: serial non-specific reactor, SER-FRAUD: serial potential fraud, SER-OTHER: serial other ## Table 2B. Summary By County For 2019 Cont. | Country | County | |--------------------|----------------| | Submission | | | Reasons* | | | No. | | | subs | | | Samples | Gamma Positive | | n | % of total | | SER-NSR | 2 | | Leicestershire and | | | Rutland | | | PAR-NEW-IN | 1 | | Leics & Rut | PAR-NEW-IN | | Northants | PAR-NEW-IN | | Notts | PAR-NEW-IN | | Oxon | PAR-NEW-IN | | Warks | PAR-NEW-IN | | PAR-PERSIS | 6 | | England - LRA | Cambs | | Cumbria | PAR-NEW-IN | | Essex | PAR-NEW-IN | | Gr London | PAR-NEW-IN | | Gr Manchester | PAR-NEW-IN | | Herts | PAR-NEW-IN | | I of Wight | PAR-NEW-IN | | Kent | PAR-NEW-IN | | Lancashire | PAR-NEW-IN | | Lincs | PAR-NEW-IN | | Northumb | PAR-NEW-IN | | PAR-PERSIS | 3 | | N Yorks | PAR-NEW-IN | | PAR-PERSIS | 2 | | SER-FLEXI | 2 | | S Yorks | PAR-NEW-IN | | W Sussex | PAR-NEW-IN | | W Yorks | PAR-HERD-S | | England | | | 1431 | 179993 | * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. PAR-HERD-S: potential herd slaughter, PAR-P-CONF (PAR-PERSIS from 1 April 2017): persistent TB breakdown OTFW, PAR-LOW-IN (PAR-NEW-IN from 1 April 2017): parallel low incidence, PAR-RAPID: rapid testing of twice IRs, PAR-CUL-N: new infection in cull area, PAR-CUL-P: persistent infection in cull area, PAR-OTHER: parallel other, SER-FLEXI: flexible extended test in confirmed herds with concurrent Johne's infection/vaccination, SER-NSR: serial non-specific reactor, SER-FRAUD: serial potential fraud, SER-OTHER: serial other ## Table 2B. Summary By County For 2019 Cont. | Country | County | |-----------------|----------------| | Submission | | | Reasons* | | | No. | | | subs | | | Samples | Gamma Positive | | n | % of total | | Wales - High TB | Carms | | PAR-NEW-IN | 3 | | PAR-OTHER | 13 | | PAR-PERSIS | 59 | | PAR-RAPID | 59 | | SER-FLEXI | 35 | | Ceredigion | PAR-HERD-S | | PAR-NEW-IN | 2 | | PAR-OTHER | 3 | | PAR-PERSIS | 22 | | PAR-RAPID | 35 | | SER-FLEXI | 5 | | Gwent | PAR-HERD-S | | PAR-OTHER | 1 | | PAR-PERSIS | 16 | | PAR-RAPID | 24 | | SER-FLEXI | 1 | | Pembs | PAR-HERD-S | | PAR-NEW-IN | 3 | | PAR-OTHER | 14 | | PAR-PERSIS | 105 | | PAR-RAPID | 92 | | SER-FLEXI | 38 | | Powys | PAR-HERD-S | | PAR-NEW-IN | 21 | | PAR-OTHER | 1 | | PAR-PERSIS | 29 | | PAR-RAPID | 51 | * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. | Country | County | |-------------------------|----------------| | Submission | | | Reasons* | | | No. | | | subs | | | Samples | Gamma Positive | | n | % of total | | SER-FLEXI | 11 | | S Wales | PAR-HERD-S | | PAR-OTHER | 1 | | PAR-PERSIS | 3 | | PAR-RAPID | 1 | | SER-FLEXI | 3 | | W Glamorgan | PAR-HERD-S | | PAR-PERSIS | 1 | | PAR-RAPID | 3 | | Wales - Intermediate TB | Carms | | PAR-NEW-IN | 1 | | PAR-OTHER | 6 | | PAR-PERSIS | 7 | | PAR-RAPID | 10 | | SER-FLEXI | 1 | | Ceredigion | PAR-HERD-S | | PAR-OTHER | 2 | | PAR-PERSIS | 4 | | PAR-RAPID | 3 | | SER-FLEXI | 2 | | NE Wales | PAR-NEW-IN | | PAR-OTHER | 4 | | PAR-PERSIS | 3 | | PAR-RAPID | 12 | | SER-FLEXI | 31 | | Powys | PAR-NEW-IN | | PAR-RAPID | 1 | | S Glamorgan | PAR-RAPID | * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. | Country | County | |---------------------|----------------| | Submission | | | Reasons* | | | No. | | | subs | | | Samples | Gamma Positive | | n | % of total | | SER-FLEXI | 3 | | S Wales | PAR-RAPID | | W Glamorgan | PAR-HERD-S | | PAR-OTHER | 2 | | PAR-RAPID | 3 | | Wales - Low TB | Gwynedd | | PAR-RAPID | 1 | | NE Wales | PAR-NEW-IN | | PAR-OTHER | 2 | | PAR-PERSIS | 2 | | PAR-RAPID | 1 | | SER-FLEXI | 2 | | Wales | | | 976 | 42378 | | Scotland - Scotland | Argyll & Bute | | Ayrshire | PAR-NEW-IN | | Dumfries & G | PAR-NEW-IN | | Kirkcudbright | PAR-NEW-IN | | PAR-PERSIS | 1 | | Wigtown | PAR-NEW-IN | | Scotland | | | 15 | 2210 | | Grand Total | Sum: | *For test criteria please refer to Operational notes. * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. ## Of Twice Irs, Par-Cul-N: New Infection In Cull Area, Par-Cul-P: Persistent Infection In Cull Area, Par-Other: Parallel Other, Ser-Flexi: Flexible Extended Test In Confirmed Herds With Concurrent Johne'S Infection/Vaccination, Ser-Nsr: Serial Non-Specific Reactor, Ser-Fraud: Serial Potential Fraud, Ser-Other: Serial Other Table 3A. Summary Of Ifn Gamma Results By Country And Protocol August 2019 | Country | Protocol | |-----------------|--------------| | No | | | submissions | Samples | | n | % of total n | | England | Parallel | | Serial/Extended | 0 | | Total | 143 | | Scotland | Parallel | | Serial/Extended | 0 | | Total | 2 | | Wales | Parallel | | Serial/Extended | 24 | | Total | 117 | | GB | Parallel | | Serial/Extended | 24 | | Total | 262 | | 143.00 | | | 117.00 | | | 2.00 | | * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. ## Table 3B. Summary Of Ifn Gamma Results By Country And Protocol (Total 2019) | Country | Protocol | |-----------------|--------------| | No | | | submissions | Samples | | n | % of total n | | England | Parallel | | Serial/Extended | 28 | | Total | 1431 179993 | | Scotland | Parallel | | Serial/Extended | 0 | | Total | 15 | | Wales | Parallel | | Serial/Extended | 132 | | Total | 976 | | GB | Parallel | | Serial/Extended | 160 | | Total | 2422 224581 | ####### 976.00 15.00 * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. ## Table 4A. Summaryof Ifn Gamma Results By Submission Reason (August 2019) Submission Reason No submissions Samples Gamma Positive Gamma Negatives Retest Resample Reject n % of total n % n % n % n % n % GB Extended Flexible IFN-GAMMA test 24 416 1.9% 28 6.7% 368 88.5% 25 6.0 % 19 4.6 % 1 0.2 % Parallel - Herd or Group Slaughter 10 358 1.6% 24 6.7% 326 91.1% 28 7.8 % 8 2.2 % 0 Parallel New Infection 81 8098 37.0% 190 2.3% 7282 89.9% 863 10.7 % 627 7.7 % 1 0.0 % Parallel - new infection cull area 47 4947 22.6% 201 4.1% 4366 88.3% 478 9.7 % 380 7.7 % 0 Parallel - Other 11 226 1.0% 9 4.0% 198 87.6% 24 10.6 % 19 8.4 % 0 Parallel Persistent Infection 49 5286 24.2% 136 2.6% 4752 89.9% 392 7.4 % 305 5.8 % 93 1.8 % Parallel - persistent infection cull area 11 2479 11.3% 119 4.8% 2207 89.0% 230 9.3 % 153 6.2 % 0 Parallel - Rapid Testing Two-times IRs 29 77 0.4% 17 22.1% 57 74.0% 4 5.2 % 2 2.6 % 1 1.3 % Total 262 21887 100.0% 724 3.3% 19556 89.3% 2044 9.3 % 1513 6.9 % 96 0.4 % England - HRA Parallel New Infection 5 361 1.6% 8 2.2% 304 84.2% 62 17.2 % 49 13.6 % 0 Parallel - new infection cull area 47 4947 22.6% 201 4.1% 4366 88.3% 478 9.7 % 380 7.7 % 0 Parallel - Other 3 188 0.9% 3 1.6% 169 89.9% 18 9.6 % 16 8.5 % 0 Parallel Persistent Infection 12 2376 10.9% 32 1.3% 2190 92.2% 199 8.4 % 154 6.5 % 0 Parallel - persistent infection cull area 11 2479 11.3% 119 4.8% 2207 89.0% 230 9.3 % 153 6.2 % 0 England - HRA 78 10351 47.3% 363 3.5% 9236 89.2% 987 9.5 % 752 7.3 % 0 England - Edge Parallel New Infection 55 6907 31.6% 145 2.1% 6287 91.0% 663 9.6 % 477 6.9 % 0 England - Edge 55 6907 31.6% 145 2.1% 6287 91.0% 663 9.6 % 477 6.9 % 0 England - LRA Parallel New Infection 5 303 1.4% 0 0.0 % 218 71.9% 98 32.3 % 85 28.1 % 0 Parallel Persistent Infection 5 736 3.4% 3 0.4% 561 76.2% 89 12.1 % 79 10.7 % 93 12.6 % England - LRA 10 1039 4.7% 3 0.3% 779 75.0% 187 18.0 % 164 15.8 % 93 9.0 % Wales - High TB Extended Flexible IFN-GAMMA test 18 315 1.4% 23 7.3% 277 87.9% 18 5.7 % 14 4.4 % 1 0.3 % Parallel - Herd or Group Slaughter 10 358 1.6% 24 6.7% 326 91.1% 28 7.8 % 8 2.2 % 0 Parallel New Infection 9 212 1.0% 13 6.1% 190 89.6% 14 6.6 % 8 3.8 % 1 0.5 % Parallel - Other 3 15 0.1% 5 33.3% 10 66.7% 2 13.3 % 0 0 Parallel Persistent Infection 30 1602 7.3% 88 5.5% 1455 90.8% 81 5.1 % 59 3.7 % 0 Parallel - Rapid Testing Two-times IRs 24 69 0.3% 14 20.3% 52 75.4% 4 5.8 % 2 2.9 % 1 1.4 % Wales - High TB 94 2571 11.7% 167 6.5% 2310 89.8% 147 5.7 % 91 3.5 % 3 0.1 % Wales - Intermediate TB Extended Flexible IFN-GAMMA test 5 99 0.5% 5 5.1% 90 90.9% 6 6.1 % 4 4.0 % 0 Parallel New Infection 5 247 1.1% 22 8.9% 220 89.1% 17 6.9 % 5 2.0 % 0 Parallel - Other 3 5 0.0% 0 0.0 % 4 80.0% 1 20.0 % 1 20.0 % 0 Parallel Persistent Infection 1 234 1.1% 11 4.7% 217 92.7% 16 6.8 % 6 2.6 % 0 Parallel - Rapid Testing Two-times IRs 5 8 0.0% 3 37.5% 5 62.5% 0 0 0 Wales - Intermediate TB 19 593 2.7% 41 6.9% 536 90.4% 40 6.7 % 16 2.7 % 0 Wales - Low TB Extended Flexible IFN-GAMMA test 1 2 0.0% 0 0.0 % 1 50.0% 1 50.0 % 1 50.0 % 0 Parallel New Infection 1 52 0.2% 2 3.8% 49 94.2% 4 7.7 % 1 1.9 % 0 Parallel - Other 2 18 0.1% 1 5.6% 15 83.3% 3 16.7 % 2 11.1 % 0 Wales - Low TB 4 72 0.3% 3 4.2% 65 90.3% 8 11.1 % 4 5.6 % 0 Scotland - Scotland Parallel New Infection 1 16 0.1% 0 0.0 % 14 87.5% 5 31.3 % 2 12.5 % 0 Parallel Persistent Infection 1 338 1.5% 2 0.6% 329 97.3% 7 2.1 % 7 2.1 % 0 Scotland - Scotland 2 354 1.6% 2 0.6% 343 96.9% 12 3.4 % 9 2.5 % 0 Submission Reason No submissions Samples Gamma Positive Gamma Negatives Retest Resample Reject n % of total n % n % n % n % n % GB Extended Flexible IFN-GAMMA test 156 5402 2.4% 367 6.8% 4733 87.6% 276 5.1 % 201 3.7 % 101 1.9 % Parallel - Herd or Group Slaughter 119 4435 2.0% 352 7.9% 3806 85.8% 345 7.8 % 270 6.1 % 8 0.2 % Parallel New Infection 899 103483 46.1% 3628 3.5% 93027 89.9% 7677 7.4 % 6054 5.9 % 792 0.8 % Parallel - new infection cull area 413 47094 21.0% 2383 5.1% 41822 88.8% 3240 6.9 % 2525 5.4 % 364 0.8 % Parallel - Other 69 3959 1.8% 257 6.5% 3283 82.9% 457 11.5 % 377 9.5 % 42 1.1 % Parallel Persistent Infection 389 45324 20.2% 1946 4.3% 40523 89.4% 2877 6.3 % 2216 4.9 % 642 1.4 % Parallel - persistent infection cull area 68 13972 6.2% 778 5.6% 12399 88.7% 1007 7.2 % 788 5.6 % 7 0.1 % Parallel - Rapid Testing Two-times IRs 305 886 0.4% 183 20.7% 633 71.4% 61 6.9 % 43 4.9 % 27 3.0 % Serial - Anomalous Reaction 2 18 0.0% 0 0.0 % 17 94.4% 1 5.6 % 1 5.6 % 0 Serial - Suspected NSR Herd 2 8 0.0% 0 0.0 % 8 100.0% 0 0 0 Total 2422 224581 100.0% 9894 4.4% 200251 89.2% 15941 7.1 % 12475 5.6 % 1983 0.9 % England - HRA Extended Flexible IFN-GAMMA test 22 1606 0.7% 79 4.9% 1422 88.5% 95 5.9 % 60 3.7 % 45 2.8 % Parallel - Herd or Group Slaughter 4 33 0.0% 0 0.0 % 31 93.9% 3 9.1 % 2 6.1 % 0 Parallel New Infection 19 1643 0.7% 136 8.3% 1325 80.6% 228 13.9 % 182 11.1 % 0 Parallel - new infection cull area 412 46834 20.9% 2364 5.0% 41593 88.8% 3228 6.9 % 2513 5.4 % 364 0.8 % Parallel - Other 20 1542 0.7% 83 5.4% 1172 76.0% 284 18.4 % 245 15.9 % 42 2.7 % Parallel Persistent Infection 118 19743 8.8% 950 4.8% 17268 87.5% 1320 6.7 % 998 5.1 % 528 2.7 % Parallel - persistent infection cull area 68 13972 6.2% 778 5.6% 12399 88.7% 1007 7.2 % 788 5.6 % 7 0.1 % Serial - Anomalous Reaction 2 18 0.0% 0 0.0 % 17 94.4% 1 5.6 % 1 5.6 % 0 England - Edge Parallel New Infection 674 84045 37.4% 2881 3.4% 75695 90.1% 6113 7.3 % 4802 5.7 % 685 0.8 % Parallel - new infection cull area 1 260 0.1% 19 7.3% 229 88.1% 12 4.6 % 12 4.6 % 0 Parallel Persistent Infection 14 1314 0.6% 27 2.1% 1234 93.9% 66 5.0 % 53 4.0 % 0 Serial - Suspected NSR Herd 2 8 0.0% 0 0.0 % 8 100.0% 0 0 0 England - LRA Extended Flexible IFN-GAMMA test 2 50 0.0% 1 2.0% 48 96.0% 3 6.0 % 1 2.0 % 0 Parallel - Herd or Group Slaughter 2 24 0.0% 8 33.3% 14 58.3% 2 8.3 % 2 8.3 % 0 Parallel New Infection 66 8165 3.6% 257 3.1% 7252 88.8% 758 9.3 % 618 7.6 % 38 0.5 % Parallel Persistent Infection 5 736 0.3% 3 0.4% 561 76.2% 89 12.1 % 79 10.7 % 93 12.6 % ## Table 4B. Summaryof Ifn Gamma Results By Submission Reason (Total 2019) Cont. England 1431 179993 80.1% 7586 4.2% 160268 89.0% 13209 7.3 % 10356 5.8 % 1802 1.0 % Wales - High TB Extended Flexible IFN-GAMMA test 93 2726 1.2% 194 7.1% 2434 89.3% 123 4.5 % 95 3.5 % 3 0.1 % Parallel - Herd or Group Slaughter 107 4277 1.9% 327 7.6% 3689 86.3% 327 7.6 % 254 5.9 % 8 0.2 % Parallel New Infection 29 1009 0.4% 56 5.6% 905 89.7% 55 5.5 % 47 4.7 % 1 0.1 % Parallel - Other 33 1840 0.8% 122 6.6% 1619 88.0% 133 7.2 % 99 5.4 % 0 Parallel Persistent Infection 235 21183 9.4% 883 4.2% 19268 91.0% 1293 6.1 % 1013 4.8 % 21 0.1 % Parallel - Rapid Testing Two-times IRs 265 773 0.3% 164 21.2% 542 70.1% 58 7.5 % 40 5.2 % 27 3.5 % Wales - Intermediate TB Extended Flexible IFN-GAMMA test 37 931 0.4% 89 9.6% 747 80.2% 51 5.5 % 42 4.5 % 53 5.7 % Parallel - Herd or Group Slaughter 6 101 0.0% 17 16.8% 72 71.3% 13 12.9 % 12 11.9 % 0 Parallel New Infection 75 6018 2.7% 199 3.3% 5460 90.7% 395 6.6 % 307 5.1 % 52 0.9 % Parallel - Other 14 559 0.2% 51 9.1% 477 85.3% 37 6.6 % 31 5.5 % 0 Parallel Persistent Infection 14 1581 0.7% 74 4.7% 1454 92.0% 85 5.4 % 53 3.4 % 0 Parallel - Rapid Testing Two-times IRs 38 111 0.0% 19 17.1% 89 80.2% 3 2.7 % 3 2.7 % 0 Wales - Low TB Extended Flexible IFN-GAMMA test 2 89 0.0% 4 4.5% 82 92.1% 4 4.5 % 3 3.4 % 0 Parallel New Infection 22 731 0.3% 18 2.5% 674 92.2% 35 4.8 % 23 3.1 % 16 2.2 % Parallel - Other 2 18 0.0% 1 5.6% 15 83.3% 3 16.7 % 2 11.1 % 0 Parallel Persistent Infection 2 429 0.2% 7 1.6% 409 95.3% 17 4.0 % 13 3.0 % 0 Parallel - Rapid Testing Two-times IRs 2 2 0.0% 0 0.0 % 2 100.0% 0 0 0 Wales 976 42378 18.9% 2225 5.3% 37938 89.5% 2632 6.2 % 2037 4.8 % 181 0.4 % Scotland - Scotland Parallel New Infection 14 1872 0.8% 81 4.3% 1716 91.7% 93 5.0 % 75 4.0 % 0 Parallel Persistent Infection 1 338 0.2% 2 0.6% 329 97.3% 7 2.1 % 7 2.1 % 0 Scotland 15 2210 1.0% 83 3.8% 2045 92.5% 100 4.5 % 82 3.7 % 0 | Year | Month | |--------------|-----------| | Herds | | | sampled | | | Samples | | | tested | | | IFNg+ | | | samples | | | Wrong | | | Eartags | | | VL No | | | Cult | | | Herds | | | with | | | positives | | | No PM | | | No | | | Cult | | | No PM | | | Cult | | | Pend | | | No PM | | | Cult | | | Neg | | | No PM | | | Cult | | | Mb | | | VL | | | Cult | | | Neg | | | VL | | | Cult | | | Pend | | | VL | | | Cult | | | Mb | | | VL | | | Cult | | | Other | | | NVL | | | No | | | Cult | | | NVL | | | Cult | | | Pend | | | NVL | | | Cult | | | Neg | | | NVL | | | Cult | | | Mb | | | NVL | | | Cult | | | Other | | | No | | | PM | | | Cult | | | Other | | | 2018 | September | | October | 274 | | November | 282 | | December | 228 | | 2019 | January | | February | 320 | | March | 315 | | April | 269 | | May | 364 | | June | 287 | | July | 316 | | August | 262 | | Totals (last | | | 12 months) | | | 3422 | 316122 | Country Herds sampled Samples tested IFNg+ samples VL No Cult Herds with positives No PM No Cult No PM Cult Pend No PM Cult Neg No PM Cult Mb VL Cult Neg VL Cult Pend VL Cult Mb VL Cult Other NVL No Cult NVL Cult Pend NVL Cult Neg NVL Cult Mb NVL Cult Other No PM Cult Other England 1994 249158 1311 11207 179 0 0 0 0 928 13 11 35 3 9845 13 94 0 2 Scotland 17 2225 10 83 0 0 0 0 0 12 0 0 2 0 61 1 4 0 0 Wales 1411 64739 725 3788 71 0 0 0 0 162 8 3 16 1 2715 117 608 3 26 Totals 3422 316122 2046 15078 250 0 0 0 0 1102 21 14 53 4 12621 131 706 3 28 *Includes all animals with IFNg test negative, resample and reject outcomes | | County | %Resampled %Retested | |-----------------|----------|------------------------| | Avon | 6.67 % | 6.67 % | | Berks | 10.00 % | 10.77 % | | Bucks | 20.43 % | 22.58 % | | Carms | 3.11 % | 4.67 % | | Ceredigion | 3.98 % | 6.42 % | | Cheshire | 5.07 % | 7.93 % | | Corn & Scilly | 6.47 % | 8.47 % | | Cumbria | 33.33 % | 44.44 % | | Derbyshire | 6.73 % | 9.57 % | | Devon | 7.71 % | 10.26 % | | Dorset | 4.33 % | 7.09 % | | Dumfries & G | 12.50 % | 31.25 % | | Gloucestershire | 5.36 % | 6.25 % | | Gloucs | 37.39 % | 39.13 % | | Gr London | 4.65 % | 9.30 % | | Gwent | 22.22 % | 22.22 % | | Hampshire | 9.93 % | 13.79 % | | Heref | 3.00 % | 3.67 % | | Kirkcudbright | 2.07 % | 2.07 % | | Leics & Rut | 5.88 % | 17.65 % | | NE Wales | 3.05 % | 7.32 % | | Northants | | | | Northumb | 28.09 % | 30.41 % | | N Yorks | 3.98 % | 5.61 % | | Oxon | 9.34 % | 11.98 % | |-----------------|----------|-----------| | Pembs | 3.55 % | 6.09 % | | Powys | 3.45 % | 6.03 % | | Shropshire | 17.81 % | 20.55 % | | Somerset excl N | 3.92 % | 5.81 % | | Staffs | 9.38 % | 10.94 % | | Warks | 4.92 % | 6.03 % | | W Glamorgan | | | | Wiltshire | 7.90 % | 10.14 % | | W Sussex | 60.87 % | 65.22 % | Country No. animals No of IFHg+ animals % Positive animals No. samples No of IFHg+ samples England 17871 511 2.9% 18297 511 2.8% Wales 3203 211 6.6% 3236 211 6.5% Scotland 354 2 0.6% 354 2 0.6% GB 21428 724 3.4% 21887 724 3.3% Country No. animals No of IFHg+ animals % Positive animals No. samples No of IFHg+ samples England 15428 592 3.8% 15697 592 3.8% Wales 3771 87 2.3% 3849 87 2.3% Scotland 49 3 6.1% 53 3 5.7% GB 19248 682 3.5% 19599 682 3.5% Country No. animals No of IFHg+ animals % Positive animals No. samples No of IFHg+ samples England 165650 7586 4.6% 179993 7586 4.2% Wales 38635 2225 5.8% 42378 2225 5.3% Scotland 1889 83 4.4% 2210 83 3.8% GB 206170 9894 4.8% 224581 9894 4.4% Country No. animals No of IFHg+ animals % Positive animals No. samples No of IFHg+ samples England 110791 5999 5.4% 124473 5999 4.8% Wales 31928 1306 4.1% 35246 1306 3.7% Scotland 2066 181 8.8% 2226 181 8.1% GB 144772 7486 5.2% 161945 7486 4.6% % Positive samples % Positive samples % Positive samples % Positive samples * Test type Num Submissions Num Samples Num Positives Private % Positive Devon PRV-SP 1 1 0 0 Total 1 1 0 Isle of Man SER-IOM 7 64 0 0 | % Positive | * Test type | |---------------------|---------------| | Num | | | Submissions | | | Num | | | Samples | | | Num | | | Positives | | | Private | | | Devon | PRV-SE | | PRV-SP | 1 | | Gloucestershire | PRV-SP | | Herefordshire | PRV-SP | | Somerset excl North | PRV-SE | | PRV-SP | 3 | | Wiltshire | PRV-SP | | Worcestershire | SER-OTHER | | Total | | | 13 | | | 65 | | | 15 | 23.08 % | | Isle of Man | SER-IOM | *SER-IOM: Serial High Specificity test - Isle of Man; PRV-SE: Private High Sensitivity test - England; PRV-SP: Private High Specificity test - England | | Test | County | Num Submissions | Num Samples Tested | Num Positive Samples % Positive | |------------------|-----------------|----------|-------------------|----------------------|-----------------------------------| | TC0077 | Carmarthenshire | 4 | 146 | 12 | 8.2% | | Ceredigion | 2 | 343 | 10 | 2.9% | | | North East Wales | 7 | 270 | 37 | 13.7% | | | Pembrokeshire | 2 | 70 | 6 | 8.6% | | | Powys | 2 | 45 | 4 | 8.9% | | | South Wales | 1 | 9 | 0 | 0 | | | Wiltshire | 1 | 248 | 9 | 3.6% | | | TC0077 | Sum: | 1,131 | 78 | 6.9 % | | | | Test | County | Num Submissions | Num Samples Tested | Num Positive Samples % Positive | |------------------|-----------------|----------|-------------------|----------------------|-----------------------------------| | TC0077 | Carmarthenshire | 12 | 427 | 34 | 8.0% | | Ceredigion | 3 | 372 | 17 | 4.6% | | | North East Wales | 19 | 737 | 103 | 14.0% | | | Pembrokeshire | 14 | 465 | 27 | 5.8% | | | Powys | 6 | 313 | 18 | 5.8% | | | South Wales | 5 | 196 | 16 | 8.2% | | | Wiltshire | 1 | 248 | 9 | 3.6% | | | TC0077 | Sum: | 2,758 | 224 | 8.1 % | |

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## Hm Revenue & Customs Business Expenses: 1 July 2014 - 30 September 2014 Please note: these figures may not include some costs that have yet to be invoiced and will be updated to reflect any additional spend ## Lin Homer, Chief Executive TRAVEL DATES DESTINATION PURPOSE OTHER (including Accommodation/ hospitality given) Total Cost Air Rail Taxi/Car/ Other Meals 24/07/14 Bradford Office Visit £150.31 £150.31 28/08/14 Reading Office Visit £58.12 £58.12 04/09/14-05/09/14 Edinburgh Speaking Engagement £387.11 £49.45 £436.56 25/09/14-26/09/14 Lincoln Staff Event £88.18 £62.10 £150.28 EDWARD TROUP, TAX ASSURANCE COMMISSIONER TRAVEL OTHER (including DATES DESTINATION PURPOSE Accommodation/ hospitality given) Total Cost Air Rail Taxi/Car/ Other Meals 01/07/14 Edinburgh Office Visit £141.66 £79.90 £221.56 10/07/14 Ashridge Senior Leaders £27.35 £27.35 11/07/14 Colchester Office Visit £47.72 £47.72 14/07/14 Berkhamsted Board Event £27.74 £357.46 £385.20 23/07/14 Manchester Staff Event £148.26 £148.26 29/08/14 Nottingham Office Visit £98.94 £98.94 05/09/14 Cambridge IFS Conference £43.84 £43.84 12/09/14-24/09/14 Aus / NZ / China ATO £8,074.54 £35.55 £229.33 £1,644.59 £169.01 £10,153.02 RUTH OWEN, DIRECTOR GENERAL FOR PERSONAL TAX DATES DESTINATION PURPOSE Air Rail Taxi/Car/ 03/07/14 Lincoln & Bradford Spring School & Staff Event £94.00 £40.00 £134.00 08/07/14-11/07/14 Edinburgh Tax Credit Peak £134.50 £312.60 £447.10 14/07/14-15/07/14 Berkhamsted Board Event £29.64 £29.64 23/07/14-24/07/14 Nottingham Leadership Meeting £88.74 £68.00 £156.74 30/07/14-31/07/14 Peterlee Office Visit £198.77 £49.55 £70.00 £318.32 04/08/14-05/08/14 Bathgate Office Visit £201.22 £52.30 £102.84 £356.36 06/08/14-07/08/14 Enniskillen & Belfast Office Visit £339.40 £21.11 £48.14 £67.30 £475.95 13/08/14-14/08/14 Newcastle Office Visit £254.75 £8.50 £69.00 £332.25 18/08/14-19/08/14 Glasgow Staff Event £310.63 £51.70 £141.25 £503.58 03/09/14 Leicester Office Visit £92.11 £92.11 04/09/14-05/09/14 Bridport External Visit £85.03 £34.00 £97.25 £216.28 12/09/14 Stockton Office Visit £110.93 £5.00 £115.93 25/09/14-26/09/14 Linclon Staff Event £107.63 £38.00 £145.63 30/09/14-01/10/14 Manchester Leadership Meeting £170.17 £7.60 £77.00 £254.77 JIM HARRA, DIRECTOR GENERAL BUSINESS TAX DATES DESTINATION PURPOSE Air Rail Taxi/Car/ 14/07/14 Berkhamsted Board Event £29.64 £29.64 31/07/2014 Liverpool Office Visit £139.50 £139.50 04/08/14 Belfast Office Visit £292.02 £292.02 19/08/14 Aberdeen Office Visit £256.34 £256.34 16/09/14 Manchester Office Visit £62.50 £62.50 19/09/2014 Brussels DG Comp, mtng with Commission £199.00 £199.00 25/09/14-26/09/14 Lincoln Staff Event £52.70 £22.10 £74.80 OTHER (including Accommodation/ hospitality given) Total Cost Other Meals TRAVEL OTHER (including Accommodation/ hospitality given) Total Cost Other Meals JENNIE GRANGER, DIRECTOR GENERAL ENFORCEMENT & COMPLIANCE OTHER (including DATES DESTINATION PURPOSE Accommodation/ hospitality given) Total Cost Air Rail Taxi/Car/ Other Meals 14/07/14-15/07/14 Berkhamstead Board Event £29.30 £357.46 £386.76 24/07/14-25/07/14 Washington (USA) Departmental Business £5,311.25 £425.55 £5,736.80 31/07/14 Newcastle Office Visit £235.29 £70.82 £306.11 02/09/14 Cambridge Speaking Engagement £46.02 £46.02 04/09/14 Tolworth Speaking Engagement £9.63 £9.63 25/09/14 Lincoln Conference £134.52 £134.52 NICK LODGE, DIRECTOR GENERAL BENEFITS AND CREDITS TRAVEL OTHER (including DATES DESTINATION PURPOSE Accommodation/ hospitality given) Total Cost Air Rail Taxi/Car/ Other Meals 02/07/14 London Staff Event £4.40 £4.40 09/07/14 Merryhill/Birmingham Office Visit £18.20 £5.70 £23.90 14/07/14-15/07/14 Berkhamsted Board Event £29.64 £29.64 23/07/14 Southend Office Visit £5.65 £5.65 24/07/14-25/07/14 Stockton/Grimsby Office Visit £119.14 £14.15 £86.45 £219.74 03/9/14-04/09/14 Preston Staff Event £132.14 £10.20 £90.00 £232.34 24/09/14 London Staff Event £2.20 £2.20 25/09/14-26/09/14 Lincoln Staff Event £69.57 £102.41 £2.45 £174.43 MARK DEARNLEY CHIEF DIGITAL AND INFORMATION OFFICER OTHER (including DATES DESTINATION PURPOSE Accommodation/ hospitality given) Total Cost Air Rail Taxi/Car/ Other Meals 02/07/2014-4/7/14 Newcastle Civil Service Live £300.69 £5.00 £174.70 £480.39 14/7/14-15/7/14 Berkhamstead Board Event £27.74 £27.74 25/07/14 Durrington Office Visit £26.19 £10.00 £36.19 29/07/14 Newcastle Office Visit £168.59 £29.40 £197.99 25/9/14-26/9/14 Lincoln Staff Event £146.43 £60.00 £206.43 WILLIAM HAGUE, CHIEF PEOPLE OFFICER TRAVEL OTHER (including DATES DESTINATION PURPOSE Accommodation/ hospitality given) Total Cost Air Rail Taxi/Car/ Other Meals 04/07/14 Manchester Office Visit £134.79 £18.00 £152.79 14/07/14 Berkhamsted Board Event £29.64 £357.45 £387.09 04/09/14 Manchester Meeting £145.69 £56.65 £202.34 05/09/14 Wolverhampton Office Visit £85.80 £85.80 11/09/14-12/09/14 Canterbury HR Away £35.66 £140.00 £175.66 24/09/14 Horsley Conference £22.52 £8.00 £30.52 25/09/14 Lincoln Speaking Engagement £146.43 £35.00 £181.43 GILL AITKEN, GENERAL COUNSEL AND SOLICITOR TRAVEL OTHER (including DATES DESTINATION PURPOSE Accommodation/ hospitality given) Total Cost Air Rail Taxi/Car/ Other Meals 14/07/14 Berkhamsted Board Event £29.64 £29.64 08/09/14 Manchester Staff Event £145.94 £21.00 £166.94 25/09/14-26/09/14 Lincoln Staff Event £132.40 £16.80 £149.20 SIMON BOWLES, CHIEF FINANCE OFFICER OTHER (including DATES DESTINATION PURPOSE Accommodation/ hospitality given) Total Cost Air Rail Taxi/Car/ Other Meals 14/07/14-15/07/14 Berkhamsted Board Event £29.25 £357.46 £386.71 IAN BARLOW, NON-EXECUTIVE DIRECTOR TRAVEL OTHER (including DATES DESTINATION PURPOSE Accommodation/ hospitality given) Total Cost Air Rail Taxi/Car/ Other Meals Nil Return VOLKER BECKERS, NON-EXECUTIVE DIRECTOR TRAVEL OTHER (including DATES DESTINATION PURPOSE Accommodation/ hospitality given) Total Cost Air Rail Taxi/Car/ Other Meals Nil Return DIANE HERBERT, NON-EXECUTIVE DIRECTOR TRAVEL OTHER (including DATES DESTINATION PURPOSE Accommodation/ hospitality given) Total Cost Air Rail Taxi/Car/ Other Meals Nil Return SIMON RICKETTS, NON-EXECUTIVE DIRECTOR OTHER (including DATES DESTINATION PURPOSE Accommodation/ hospitality given) Total Cost Air Rail Taxi/Car/ Other Meals Nil Return JOHN WHITING, NON-EXECUTIVE DIRECTOR TRAVEL OTHER (including DATES DESTINATION PURPOSE Accommodation/ hospitality given) Total Cost Air Rail Taxi/Car/ Other Meals Nil Return EDWINA DUNN, NON-EXECUTIVE DIRECTOR TRAVEL OTHER (including DATES DESTINATION PURPOSE Accommodation/ hospitality given) Total Cost Air Rail Taxi/Car/ Other Meals Nil Return PAUL SMITH, NON-EXECUTIVE DIRECTOR TRAVEL OTHER (including DATES DESTINATION PURPOSE Accommodation/ hospitality given) Total Cost Air Rail Taxi/Car/ Other Meals Nil Return LESLIE FERRAR, NON-EXECUTIVE DIRECTOR OTHER (including DATES DESTINATION PURPOSE Accommodation/ hospitality given) Total Cost Air Rail Taxi/Car/ Other Meals Nil Return MERVYN WALKER, NON-EXECUTIVE DIRECTOR TRAVEL OTHER (including DATES DESTINATION PURPOSE Accommodation/ hospitality given) Total Cost Air Rail Taxi/Car/ Other Meals Nil Return NORMAN PICKAVANCE, NON-EXECUTIVE DIRECTOR TRAVEL OTHER (including DATES DESTINATION PURPOSE Accommodation/ hospitality given) Total Cost Air Rail Taxi/Car/ Other Meals Nil Return

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## Ethics For Public Health Research In Africa Social Science Academy of Nigeria # Ethics For Public Health Research In Africa Proceedings of an International Workshop in collaboration with the Special Programme for Research and Training in Tropical Diseases (TDR) of the World Health Organisation, with the support of the Federal Ministry of Health, Abuja, Nigeria, April 21-23, 2008 Edited by Olayiwola Erinosho Department of Sociology, Olabisi Onabanjo University, Ago-Iwoye, Nigeria Social Science Academy of Nigeria Crescent 12 Flat 99 Kado Estate, Wuse PO Box 8026, Abuja, Nigeria sscn@skannet.com www.ssanigeria.org © Social Science Academy of Nigeria First Published 2008-10-10 All rights reserved. No part of this publication may be reproduced or transmitted in any form or by any means, electronic, mechanic, photocopying, or recording or otherwise or stored in any retrieval system of any nature without prior written permission of the copyright holder. ISBN: 978-978-48193-4-3 ## Contents Contents (1) Preface (ii) Acknowledgements (iii) Contributors (iv) 1. Introduction Olayiwola Erinosho………………………………………………………………………..1 2. Developing Ethical Oversight of Research in Developing Countries: Case Study of Nigeria Clement A. Adebamowo, Margaret A. Mafe, Aminu A. Yakubu, Julie M. Adekeye, and Jonathan Y. Jiya…………………………………………………………………………….7 3. Ethical Issues in Scientific Research Adebayo O. Adejumo……………………………………………………………………...16 4. Consent Seeking and Principles of Distributive Justice in Field Laboratory Health Projects in Non-Literate Societies Adeyinka Falusi……………………………………………………………………………21 5. Consent Seeking in Social and Behavioural Research in Non-Literate Communities Ayodele Samuel Jegede……………………………………………………………………27 6. Ethical Challenges and Code in Study Design in Social and Behavioural Research in Vaccine Testing in Non-Literate Communities Abraham Alabi……………………………………………………………………………33 7. Ethical Issues and Research Code in Social Science Methodology in the Context of Africa Olayiwola Erinosho……………………………………………………………………….37 8. Ethical Issues in Qualitative Research in Public Health in Africa Paul Nchoji Nkwi…………………………………………………………………………43 9. HIV/AIDS in Nigeria and Its Ethical Challenges Babatunde Osotimehin…………………………………………………………………...49 10. Ethical Issues in USAID Applied Health Research in Nigeria Stalin E. Ewoigbokhan……………………………………………………………………55 11. Perspective of the WHO Research Ethics Review Committee on Socio-Behavioural Research Projects in Public Health Abha Saxena……………………………………………………………………………..63 Appendix: Participants……………………………………………………………………………67 ## Preface While researchers increasingly recognise the need to protect the participants that are targeted in social and behavioural research in public health, available literature is bereft of ample examination of the key ethical issues and challenges most especially in largely non-literate populations in Africa. Thus, the need for sound frameworks in ethical research practice at the global level most especially in developing countries is at the top of the agenda of health promotion and research today. The existence of viable and active ethical review committees in developing countries is a prerequisite for investment in research. Developing countries must appreciate and establish a system that ensures that the participants in research are protected from potential exploitation, injuries, and harm in order to attract investment in research as well as derive its benefits. The commitment to the promotion and investment in health research on HIV/AIDS, Tuberculosis, Malaria, and Reproductive Health in developing countries prompted the establishment of Nigeria's National Health Research Ethics Committees and/or other mechanisms that would ensure a sound system for promoting and ensuring the protection of human subjects in research. Several countries have developed their codes of ethics for health research. Nigeria is one of the leaders in health research in Africa and it is in furtherance of its leadership role and commitment to health research that the Federal Ministry of Health established Nigeria's National Health Research Ethics Committee (NHREC). The Nigerian Code has been developed while NHREC is currently training the members of ethics committees in our institutions. The Committee is about to register institutional ethics committees in order to ensure standardisation and a common understanding in the application of the Code. Finally, NHREC will classify the country's ethics committees according to type and the complexity of the research that they are permitted to review. The Federal Ministry of Health is aware of the significant gap in the knowledge and application of sound ethical principles among researchers which is affecting their ability to attract funds from international funding agencies for otherwise well conceived and written research proposals. The Social Science Academy of Nigeria (SSAN) organised a capacity building workshop for Nigerians and others from the West African sub-Region on ethics and codes in applied social and behavioural research in public health. The inclusion of participants from countries in West African is in accordance with Nigeria's commitment towards the promotion of health in the ECOWAS subregion. Our sincere gratitude to the Tropical Diseases Research Programme of the World Health Organisation (TDR/WHO) for providing a substantial part of the funds for the workshop and also to the local and international collaborators for assisting to build the capacity of African scientists. It is also a delight to collaborate again with Professor Layi Erinosho with whom we have had a long history of combining efforts to promote health research, policy, and programmes in Nigeria. Dr. Shehu Sule, *MFR, mni* Acting Permanent Secretary, Federal Ministry of Health, Shehu Shagari Way, Abuja, Nigeria. ## Acknowledgements The very important area of ethics in research involving human subjects is often mentioned and discussed in research proposals by African scholars in Africa. But the discussions are often superficial because token attention is paid to its imperatives and requirements by applied social scientists, particularly those that are working in public health in Africa. The ever evolving codes and ethics in this area are least understood and appreciated by Africa's researchers working in many of Africa's institutions. This lack of appreciation is connected to the contexts where research is undertaken; - contexts that appear not to be as strict and as demanding as those in high income countries whose ethical codes are well articulated. This weakness is also reflected in what is taught to students who are being prepared for careers that include research. Consequently, most researchers in Africa particularly those who apply social science knowledge to public health lack the capacity to handle ethical requirements in proposals. The Social Science Academy of Nigeria is aware of, and concerned with this problem and is determined to improve the situation. The workshop provided a window of opportunity to enhance the competence of researchers in this critical area. Founded as the Social Science Council of Nigeria in 1983, the Academy is mandated to harness and develop the capacity of Nigerian social scientists; promote the advancement of social science knowledge; and engender cross-disciplinary discourse. On behalf of the Academy, I thank the following for their support for this extremely important workshop: Institutions: 1. Tropical Diseases Research Programme, World Health Organisation, Geneva, Switzerland. 2. Federal Ministry of Health, Abuja, Nigeria. 3. Nuffield Bioethics Council, United Kingdom. ## Individuals: 1. Dr. Johannes Sommerfeld, TDR, World Health Organisation, Geneva, Switzerland. 2. Dr. Ayo Oduola, TDR, World Health Organisation, Geneva, Switzerland. 3. Dr. Amos Petu, World Health Organisation, Abuja, Nigeria. 4. Dr. Harald Schmidt, Nuffield Bioethics Council, United Kingdom. 5. Professor Adenike Grange, Former Hon. Minister of Health, Federal Ministry of Health, Abuja, Nigeria. 6. Dr. Shehu Sule, Acting Permanent Secretary, Federal Ministry of Health, Abuja, Nigeria. 7. Dr. Tolu Fakeye, Consultant Special Grade, Department of Planning Research & Statistics, Federal Ministry of Health, Abuja, Nigeria. 8. Dr. Margaret Mafe, Head, Department of Planning, Research and Statistics, Federal Ministry of Health, Abuja, Nigeria. Professor Uvie A. Igun, President, Social Science Academy of Nigeria, Abuja, Nigeria. ## Contributors Clement Adebayo Adebamowo, BM ChB Hons. (Jos), FWACS, FACS, D.Sc. (Harvard), professor of surgery and Lecturer in nutrition epidemiology and bioethics, University of Ibadan; Director of the Institute for Advanced Medical Research and Training at same; Director, West African Bioethics Training Programme; Chairman, Nigeria National Health Research Ethics Committee; Chairman, Advisory Committee of TRREE, University of Neuchatel, Switzerland; Member, External Advisory Committee, Joint Centre for Bioethics, University of Toronto; and Member, IRENSA, University of Cape Town, South Africa. He conducts research in bioethics, medical education, surgery, and oncology. Julie M. Adekeye, MB BS, former focal person on ethics at the Federal Ministry of Health, Abuja, Nigeria. Adebayo Adejumo, B.Sc. Nursing, M.Sc. Clinical Psychology Ph.D. Developmental Psychology (Ibadan), M.HSc. Bioethics (Toronto) is a recipient of awards of the: Joint Centre for Bioethics, Institute of Medical Science, University of Toronto, Canada (2005); Fogarty Foundation; and Union of Africa Population Studies. He is a faculty Member at the Centre for West African Bioethics; Member, National Health Research Ethics Committee of Nigeria. He teaches in the Department of Psychology, University of Ibadan, Nigeria. Abraham Alabi, B.Sc. Microbiology (Obafemi Awolowo University, Ile-Ife), M.Sc., Ph.D. Medical Microbiology, (Lagos), formerly of the Nigerian Institute of Medical Research, Yaba, Lagos, Nigeria is Senior Scientific Officer, Medical Research Council (MRC), Banjul, The Gambia. Olayiwola Erinosho, B.Sc. (Ibadan), M.A., Ph.D. (Toronto), professor of health sociology, Olabisi Onabanjo University, Ago-Iwoye, Ogun State, Nigeria. Former Head, Department of Sociology and Dean, Faculty of Social and Management Sciences; Member, Executive Committee, International Sociological Association (1994-2002); Member, Steering Committee, Tropical Diseases Programme, World Health Organization; and Consultant to Bilateral and Multilateral Organisations. Former Executive Secretary, Social Science Academy of Nigeria (1998-2005), and currently the President, African Sociological Association. Stalin E. Ewoigbokhan, B.Sc. Biochemistry (Ife), M.P.H. (Ibadan) recipient of Certificates in international public health of the Boston (USA), Hokkaido (Japan) Universities, and Diploma in Journalism (Lagos). He is currently the Monitoring and Evaluation Advisor, Polio Eradication Team COMPASS/ USAID, Abuja, Nigeria. Adeyinka Falusi, B.Sc. Hons. Chemistry, M.Phil., Ph.D Haematology (Ibadan), professor of heamatology and Head of the Genetic & Bioethics Research Unit at the Institute for Advanced Medical Research & Training, College of Medicine, University of Ibadan and Acting Director/Chair of University of Ibadan/University College Hospital Ethics Review Committee of same University (2001-2005). She is a recipient of L'OREAL/UNESCO Award for Outstanding Woman of Science (Africa 2001) and the Rare Gem Award in Science & Technology in 2003. Professor Falusi is currently the President of the Sickle Cell Association of Nigeria (SCAN) and the Protem President of the Nigerian Bioethics Initiative (NIBIN). Uvie A. Igun, B.Sc., M.Sc., (Ibadan), Ph.D. (Manchester), professor of medical anthropology, former Head of Department of Sociology, University of Maiduguri and Vice-Chancellor, Delta State University, Abraka. He is currently the Chairman and the Executive Board, Action AIDS and President, Social Science Academy of Nigeria. Ayodele Samuel Jegede, B.Sc. (Ife), M.Sc., Ph.D. Medical Sociology/Anthropology (Ibadan), M.HSc. Bioethics (Toronto), Reader in medical anthropology/sociology and bioethics, University of Ibadan, and Faculty Member of the West African Bioethics Training Programme, College of Medicine, University of Ibadan, Nigeria. His areas of interest include health technology delivery and utilisation, research ethics, genomic and biotechnology policy, reproductive health including HIV/AIDS, tropical diseases including malaria and tuberculosis and qualitative methodology. Jonathan Y. Jiya, MB BS, M.P.H., mni, was until recently, Director, Department of Planning, Research, and Statistics, Federal Ministry of Health, Abuja, Nigeria. Margaret A. Mafe, Ph.D., public health specialist and former the focal person for ethics at the Nigerian Federal Ministry of Health, is Director, the Nigerian Institute of Medical Research, Yaba, Lagos, Nigeria. Paul Nchoji Nkwi, born in Wombong, Northwest Province of Cameroon, studied in Nigeria, Italy and Switzerland graduating with degrees in philosophy and anthropology. Served as a teaching assistant at the University of Fribourg in Switzerland, and taught medical anthropology for over thirty years at the University of Yaoundé, rising to the post of full professor in 1980. Professor Nkwi previously served in different capacities in the Ministry of Higher Education and Scientific Research, returning to full time teaching in 1992. Founding president, Pan African Anthropological Association; former Vice President, African Academy of Sciences; and founding Executive Secretary, Cameroon Academy of Sciences. He is a permanent member of the International Union of Anthropological and Ethnological Sciences (IUAES). Babtunde Osotimehin, MB BS (Ibadan), MD (Birmingham), Member of the Royal College of Physicians (UK), Fellow in Endocrinology, Cornell University Graduate School of Medicine, New York, USA (1979-1980); Fellow, Nigerian Postgraduate Medical College (1982); Fellow, West African Postgraduate Medical College (1982); Fellow, Royal College of Physicians, London (1989); and Fellow, Nigerian Academy of Science (2006). He was a Distinguished Visitor to the John D and Catherine T MacArthur Foundation, Chicago USA (1996) and Visiting Fellow, Harvard Centre for Population and Development Studies, Cambridge Massachusetts, USA (1996- 1997). Previously Head of Department and Provost, College of Medicine, University of Ibadan (1990-1994), now Director General, National Agency for the Control of AIDS. Abha Saxena, Staff Scientist, WHO ERC, Geneva, Switzerland. Aminu A. Yakubu, M.P.H. is a biochemist and public health specialist and a health research officer at the Federal Ministry of Health, Abuja, Nigeria. ## 1 Introduction Olayiwola Erinosho Introduction Ethics, the science of morality, has always loomed large in the various time-honoured professions such as law, priesthood, medicine, and the military. However, globalization has invigorated interest in ethics and it now transcends all human endeavours. Ethics is now taken seriously in governance, business, academia, and other walks of life. But concepts like ethics, democracy, justice, and freedom have different meanings in different contexts and cultures. What is ethical in a culture might be unethical in others. For example, traditional healers in Africa could be paid in kind by their clients rather than cash (*e.g.,* marriage, or farm products *etc.*). This sort of exchange for professional services is unethical in western-style medicine and/or societies. The on-going "strife" between the West and sections of the Arab population and/or countries over the meaning of freedom, democracy, and/or human rights can also be cited as an example. There is remarkable diversity across cultures, religions, national boundaries, ethnicity on the meaning of these concepts. For instance, quite a number of theocratic Arab/Muslim states that draw inspiration from the Holy Qur'an differ from Europeans on their meanings. Consequently, the challenge facing humankind is to share a common understanding of these cherished human values. The challenge is equally evident in the context of health care research in which individuals, groups, and communities are targeted. As an example, the right and proper way in which animals are handled in Euro-American societies is not necessarily the case in other contexts such as Nigeria where animal *rights* are not recognised. Similarly, patriarchy which is the foundation of social structure in most parts of Africa is a significant determinant of social relationship between researchers and their targeted communities and respondents. Oral cultures such as those in various parts of Africa attach importance to personal social relation in contrast to literate and technologically developed ones where relations are impersonal, highly segmented, and formal. The requirement of informed consent in writing does not go down very well in African societies that are still steeped in oral tradition unlike in European contexts where this is embraced and/or demanded. There is therefore a divergence between the technologically developed and developing countries on the importance of ethics in socio-medical research. While the former have established effective mechanisms for reviewing and implementing research projects on human/animal subjects, the latter especially in Africa are just about doing so. As a result, many researchers in Africa always have a hard time getting approval for their protocols from international ethical review boards due to their failure to address sticking ethical issues in their protocols. Support for foregoing assertion lies in a recent study of 670 researchers in developing countries which concluded that 44 per cent of their projects were not reviewed by their Institutional Review Boards (IRBs) even though a third of the studies was funded by United States organisations. The study also found that the IRBs in US institutions raised questions on consent forms in local languages and the protection of confidentiality than the IRBs in the host countries (Hyder *et. al.*, (2004). Another survey of fourteen African countries found most of them in transition. Quite a number are just establishing the mechanisms for ethical clearance while the National Ethical Committees in many contexts are either not functioning or not abreast of their responsibilities (NEBRA, 2006). One of the tasks facing African countries is to put in place effective structure and process for ethical review and implementation of research protocols and/or projects and also ensure that any system that is put in place is functioning optimally. It is also vital to enhance the capacity of scholars to show appreciation for ethics in the implementation of their research projects. The significance of research code in extant methods in the social, behavioural, and clinical sciences cannot also be ignored. Research code is about adherence to the rules of engagement in scientific research. As readers may well know, scientific inquiry is about observation, objectivity, rigorous interrogation, analysis, and interpretation of data on the basis of probability theory. Testable propositions are expected to be confirmed and/or refuted on the basis of carefully assembled verifiable facts. Every outcome of scientific enquiry has a character of hypothesis because today's outcomes are refutable tomorrow if newly discovered facts indicate otherwise. Scientists are expected to be detached in the course of their study of human behaviour (*i.e.,* valuefree) as well as display *open* rather a *closed mind* to the outcomes of their studies. Outcomes could be modified or rejected depending on new facts and data. These core principles in science methodology transcend all human societies. The quest to strengthen the capacity of Africa's researchers in Africa on ethics and research code is recognised by the WHO and other bodies that have committed significant resources to their training with commendable success. But one or two capacity building workshops are too few to achieve the desired impact in a continent that boasts of a vibrant community of scholars that are spread all over the more than three hundred and fifty universities and research institutions. A regional workshop on ethics and research code in the social and behavioural aspects of public health research was organised to: 1. outline ethics in scientific research; 2. examine the ethical dilemmas and challenges in social and behavioural research in public health in non-literate populations; 3. analyse the factors which act as barriers to accessing grants with particular reference to ethics and code for research; 4. develop capacity on ethics and code in social and behavioural research in public health in largely non-literate populations, and 5. document and disseminate the outcomes of the meeting. ## Participants The Participants Were Drawn From English Speaking Countries In The West And Central Africa Subregion, Notably, Nigeria, Ghana, And Cameroons With Most Of Them From Nigeria For Understandable Reasons While The Resource Persons Were Recruited From Cameroons, United Kingdom, India, And The World Health Organisation. It was conceived as a Trainer of Trainers' (TOT) workshop because the organisers believed that the mostly senior level participants could in turn organise in-house capacity enhancement workshops on ethics and research code in their respective institutions after training. Forty-three senior and mid-career scholars in the legal, social, biological, and clinical sciences including others in the field of public health were selected to participate in the workshop from about one hundred and fifty (150) applicants. Workshop Format The workshop was interactive and participatory. Scientific sessions at which the resource persons presented papers preceded small group discussions, followed by plenary sessions at which the groups tabled their respective reports and recommendations for discussion. Presentations Ten papers that are grouped under four thematic issues were presented. The first of papers focus historical and conceptual issues. Adebamowo provides a historical overview of ethics from the general (*i.e.,* at the global level) to the specific with reference to Nigeria, tracing as well the evolution of the work of Nigeria's National Committee on Ethics and Research Code. The authors argue that the Nigeria experience could be a template for other countries in Africa. Adejumo on the hand outlines the key issues in ethics in scientific work. Chapters 4,5, and 6are about consent seeking in diverse contexts, - social, behavioural and clinical research. Falusi's contribution which is about consent seeking and the principles of distributive justice in laboratory projects highlights the key challenges especially when those that are targeted are non-literate. Further discussion of consent seeking from the social and behavioural science research standpoint is by Jegede while Alabi's examines the ethical challenges in study design in social and behavioural research in vaccine testing in Africa. The usual targets in social science research are individuals, groups, and communities. But social scientists collaborate with experts in public health and/or clinicians in various projects. There is however, little evidence that ethics is given as much emphasis in the training of social scientists as in the animal and human sciences. The outcomes of the pre- and post evaluation of the workshop which are discussed later on bear testimony to this assertion because most of the participants who previously received training on ethics and research code are in the fields of public health, biological and clinical sciences rather than in the social. The data also indicate that nearly all faculties with the exception of the social science faculties had established the mechanisms including the structure (*i.e.,* ethics review committee) for reviewing research proposals. Erinosho (see Chapter 7) outlines the sticking ethical issues in quantitative and qualitative social research methods, using ample examples in this regard while the paper by Nkwi in Chapter 8 complements the former. Here the author examines ethics in the context of ethnographic studies. One of the two case reports in Chapter 10 highlights ethical challenges in applied research in nonliterate communities while the other focuses on ethical dilemmas around the HIV/AIDS epidemic in Nigeria. Osotimehin argues that there are no easy answers especially where there is conflict over the concern for "public good" (*i.e.,* where the aim is to protect the well-being of next of kin and the public at large) *vis-à-vis* the protection of individual rights on the debate on voluntary versus compulsory testing for HIV/AIDS (see Chapter 10). Similarly, the dilemmas which Nigerian researchers faced during the implementation of USAID supported applied research projects are amply examined in Chapter 9 by Ewoigbokhan. The writer argues that the critical issue is the pull between local mores and demands and those of the sponsors of research in Africa. The key point is that developing country researchers are caught in this web and they are unable to by-pass internationally stipulated rules and regulations on ethics in public health research. Finally, Saxena sheds considerable light in Chapter 11 on the queries on social science protocols that are submitted to the World Health Organisation for ethical review and approval. The author concludes that social scientists that are working in public health often take a lot for granted in their write-ups. Evaluation Pre- and post evaluation surveys were conducted in order to provide insight into knowledge and the state of ethics and research code among the participants prior to workshop as well as assess the impact of training on them. About 67 per cent of them had never participated in capacity enhancement training workshop/programme on ethics code in health research. More than fifty per cent of them were from institutions with no functioning ethical review committees. Although 61 per cent are aware of Nigeria's national code, only a third of them (27.3 per cent) previously processed their protocols through the national review board. Only 58 per cent said that their institutions offer formal courses on ethics. Nearly all of those who made this claim are from the faculties of science, public health, and medicine in contrast to those from the social sciences whose faculties had not introduced formal courses on ethics. The outcomes of evaluation at the end of training indicate unanimous support for the introduction of formal courses on ethics and training programme for researchers across Nigeria and the West Africa sub-region. There is evidence from the responses that the participants benefited greatly from the presentations and the ample materials that were provided. The participants proffered the following observations and recommendations: Observations 1. The key ethical issues in quantitative and qualitative research are privacy, confidentiality, consent, gender sensitivity, feedback, and response to cultural specificities. 2. Informed consent in writing is viewed with deep suspicion in oral societies due to past experiences dating back to the colonial era. 3. Many institutions lack functioning ethical review boards. 4. Exploitation is distinguishable from inducement. While incentives for participants are not illegal, manipulative inducements are unethical. 5. Effective communication between researchers and largely non-literate participants is always a problem. 6. Ethical issues are not given adequate consideration in proposals and they are as such poorly articulated, indicating that researchers are not sufficiently skilled in proposal writing. There is also limited opportunity for guidance on project development. 7. Although IRBs are constituted, they do not function effectively because they lack the expertise to review and monitor ethical lapses in research proposals. 8. There is conflict between the cultural perspectives of the members of national ethics committees and the presumably superior viewpoints of the international funders of research that are inclined to perceive local cultures as `bad'. For example, international funding agencies/IRBs are not inclined to take local cultures into consideration in ethical issues concerning consent seeking. 9. Drug companies work with those who do not know their rights or those who have the capacity to negotiate appropriate long-term benefits for their communities in comparison to the risks that are involved. The sponsors and collaborators often times promise to make the products that are tested and found efficacious available to the community but later abandon such ideas. 10. There is generally a poor grasp of statistical methods and the calculation of sample size. 11. The handling, processing, and analysis of qualitative social science data in parts of Africa are weak/poor. 12. Researchers hardly extend the benefits of research to the targeted participants/communities in Africa. Neither do they share the outcomes of their work with them. 13. Field laboratory assistants in Africa are not well remunerated. 14. International organisations that are conducting drug trials are not fully monitored to ensure that they comply with standard operating procedures. 15. Lip service is paid to the translation of questionnaires into local languages that are administered in studies in Africa. 16. There are currently no effective and functional regulatory and monitoring policies that oversee appropriate storage and disposal of micro-organisms and biohazard waste in most parts of Africa. ## Recommendations 1. National and institutional committees that monitor the activities of ethical review boards and researchers should be constituted and made to function effectively. 2. National ethical guidelines and code should be developed and adhered to. 3. There is a need for capacity building programmes for ethical review committees in order for them to function effectively. 4. Investigators should be equipped with the knowledge and skills on proposal/project writing such that the recognition and adoption of local and ethical guidelines are integrated into protocols. 5. Feedback should be given to researchers whose proposals are turned down in order for them to have further insight into reasons for the decision and also to be able to improve their work. 6. Local IRBs should ensure that the protocols that are approved by foreign IRBs should be reviewed by them in order to ensure the practicability of the studies and the extent to which they recognise/address socio-cultural implications. 7. Local researchers should be empowered to negotiate their needs and the benefits to local situation, especially where the validity of the results will be affected by the conditions that are advocated by donor agencies.. 8. IRBs should be interdisciplinary in order to protect participants from issues that may be culturally and emotionally damaging. In addition, proposals should be sent to more than one expert representing the various disciplines for inputs. 9. The degree of risks in research should be commensurate to their benefits. 10. There is need to design curriculum for training in ethics in social and behavioural research in higher institutions. 11. There is also a need to build capacity of ethics review committees to review social science research. 12. Institutional ethical review committees for social and behavioural research issues should be constituted where none are currently in place. 13. There is need to operationalise consent seeking in view of the compelling cultural realities in Africa. 14. African researchers should be trained to be aware of the fact that they can influence research. 15. Local culture and traditions should be recognised in study design. 16. International agencies that are conducting drug trials should be monitored to ensure that the standard operating procedures are followed. 17. National and institutional ethical committees should protect the population by putting clause that makes it mandatory for the benefits of research to be available and affordable to their targeted participants and communities. 18. Proper agreement should be made from the beginning of research. Patent should be part of agreement prior to testing. 19. There is need to make concepts easier for the participants to understand (*e.g.,* the concept of placebo) so that they can willingly participate in research. 20. There is need to demystify the belief that doctors are all-knowing and require absolute submission on issues of health in Africa. 21. Education and proper dissemination of information to communities are essential. 22. Every institution should have the mechanisms for the storage and disposal of their waste. 23. Each institution should have bio-safety officers. 24. High level risk research should be restricted to institutions that have the capacity to handle them. Such institutions must comply with the policies of the environmental impact agencies (*i.e.,* the EIAs). 25. There is need for capacity building on the handling of toxic wastes *etc.* in laboratories. Conclusion There is ample evidence from the deliberations/recommendations at the Abuja (Nigeria) workshop that much more could be done to develop the capacity of scholars in the Africa sub-region on ethics and research code. Many scholars in the continent are at the receiving end because they are inclined to seek funding for their projects from well-endowed Euro-America funding and other multi-lateral and bilateral agencies. Yet obtaining support for worthwhile projects depends on meeting the stringent conditions for approval and showing how ethics will be effectively addressed in project implementation. It is undeniable that these issues cannot be effectively addressed unless researchers are competent on research code and also know how to handle their animal and human subjects. The foregoing recommendations indicate that there is a window of opportunity for training African scholars on research ethics and code. However, one or two workshops will not do in view of the large community of scholars on the continent. Consequently, it is desirable to sustain the momentum of the Abuja workshop by funding several workshops in order to ensure that as many scholars as possible grasp the essence of research code and ethics. It is being proposed the World Health Organisation and responsible national authorities should support such workshops. References Hyder *et. al.*, A.A. (2004) Ethical Review of Health Research: A Perspective from Developing Country Researcher, *Journal of Medical Ethics*, 30: 68-72. NEBRA, (2006) *Final Report Networking For Ethics on Biomedical Research in Africa*, Sixth Framework Programme (2002-2006), Science and Society, November 2006, Check www.trree.org/site. # 2 Developing Ethical Oversight Of Research In Developing Countries: Case Study Of Nigeria Clement A. Adebamowo, Margaret A. Mafe, Aminu A. Yakubu, Julie M. Adekeye, and Jonathan Y. Jiya Introduction In recent decades, there has been an increase in research and programmatic intervention to combat diseases that are prevalent in developing countries. With this rise have come increased reports of unethical research and scientific misconduct. These allegations highlight limited development and reach of programmes that are designed to ensure ethical oversight of health research in developing countries. We consider the creation of a national ethics regulatory infrastructure one of the necessary responses to address current and future health research ethics issues such as those already reported. In this paper, we use Nigeria as a case study for the development of such regulatory infrastructure and opine that the Nigerian examples may be suitable for other countries with a significant level of existing research ethics activities. To this end, we outline the history and development of the Nigerian Code for Health Research Ethics (NCHRE) and its successes, problems, and prospects. We suggest that the public-private partnership model that was used in Nigeria based on an innovation systems approach should be more widely adopted despite its limitations of greater cost and slower rollout of activities. The benefits of such as institutionalisation of research ethics, potentially greater impact and sustainability outweigh these limitations. Nigeria is the most populous country in Africa. With a population of 140 million people, Nigeria is home to every 4 Africans. The health profile of Nigeria is characterised by twin epidemics of communicable diseases such as malaria, tuberculosis and HIV/AIDS and non-communicable diseases like obesity, hypertension, diabetes, cancers, and mental health disorders. In this respect, it is similar to most other developing countries.1,2 In the past decade, there has been increased funding of the health sector from the government, donor agencies, and development partners such as the WHO, the United Nations and its agencies, the Roll Back Malaria project, President Bush's emergency Plan for AIDS Relief and the William J. Clinton Presidential Foundation. These have either provided or increased funding for treatment of diseases, particularly HIV/AIDS, tuberculosis, and malaria.3,4 Additionally, health research in Nigeria is increasing in response to the needs of the population. This is being driven by the need to find more effective treatments and public health interventions for persistent infectious diseases epidemics.5 The emergence of old diseases like tuberculosis and leprosy in ever more virulent forms is also driving the need for increased research.6 With the completion of the Human Genome and the International Haplotype Mapping Projects,7 researchers have been conducting research in Africa in order to better understand the genomic basis of diseases and human history8 as well as differential responses to drug treatments.9 Furthermore, more clinical trials are being conducted in order to take advantage of the low-cost, poorly regulated and less litigious health research environment.10 This growth in research activities is desirable and is to be encouraged. Research and clinical trials have the potential to improve the quality of health care services that are offered to the population. Research also increases countries' abilities to participate in international research enterprise, thereby enhancing their potential to contribute to economic development and growth by providing employment, equipment, training and income for local researchers and their institutions. It transfers skills and helps to retain talented individuals who otherwise may be tempted to join the brain drain and leave developing countries.11 However, the increase in treatment and research programmes has revealed the dearth of functioning ethics committees in most developing countries, including Nigeria. Programmes to effectively protect research participants are nonexistent, weak or non-functional. 12-14 In response, local and international organisations have sought to strengthen health research ethics in developing countries. International organisations like the WHO15 and UNESCO16 have developed guidelines for the functioning of ethics committees while the European and Developing Countries Clinical Trials Partnership (EDCTP)17 and the United Nations Institutes of Health (NIH) 18 have awarded grants to support training of members of research ethics committees and biomedical researchers. In addition, researchers within countries have also increased interest and are demanding ethics regulatory infrastructure to augment these internationally funded activities. In general, these programmes have functioned as stand-alone training programmes that equip individuals with the ability to function effectively as members of ethics' committees, as ethically aware members of the research team, or as individuals who are capable of teaching or conducting research in bioethics. In countries that already have a relatively strong tradition of research ethics, this model works by training members of ethics committees who return to fit into existing structures.19 However, in most African countries where ethics regulatory bodies (if they exist at all) are of more recent origin, this model may not work.20 Studies of ethics review committees in Africa have shown that besides training, political commitment and funding are the most serious challenges that they face.21-22 Trainees may therefore return to environments where their ability to practice their skills is severely compromised by institutional and infrastructural limitations. In view of these realities, we believe the development of national ethics regulatory infrastructure should occur alongside increased training. Such bodies will: 1. set legally enforceable norms and guidelines for ethical review of protocols; 2. set training standards for members of health research ethics committees, and 3. develop strategies for adequately funding them. In this paper, we describe how the Nigerian system is being set up; its successes and challenges. We propose this model for other African countries intent on developing ethics regulatory infrastructure. History of National Health Research Ethics Regulation in Nigeria The earliest attempts to set up a national ethics regulatory infrastructure in Nigeria took place in 1980. However, this effort faltered largely because of lack of sustained interest and funding. Subsequent attempts were also unsuccessful because the decades of the 1980s and 1990s were marked by military misrule and socio-economic dislocation. The advent of civilian democracy in Nigeria in 1999 coincided with a period of increased international attention to the problems of unethical health research that occurred particularly in developing countries.23 By 2004, several Nigerians had graduated from the older U.S. National Institutes of Health/Fogarty International Centre (NIH/FIC) funded international research ethics training programmes in the United States, Canada, and South Africa, and they increased pressure on their institutions to set up ethics committees where there were none and strengthen existing ones even as they started to provide local bioethics training. These efforts gathered momentum such that during a 2006 Presidential Retreat on the Health of Nigerians, the fact that Nigeria needed an ethics regulatory infrastructure for health research to meet its United Nations Millennium Development Goals targets, was strongly highlighted. In response, the Federal Government of Nigeria reconstituted and strengthened the National Health Research Ethics Committee (NHREC)24 and backed it with legislation to: 1. Determine guidelines for the functioning of health research ethics committees (HREC) in Nigeria; 2. Register and audit HRECs; 3. Set norms and standards for conducting research on humans and animals, and for conducting clinical trials; 4. Adjudicate in complaints about the functioning of HRECs and hear any complaint by a researcher who believes that he has been discriminated against by HREC; 5. Refer to the relevant statutory health professional council, matters involving the violation or potential violation of an ethical or a professional rule by a health care provider; 6. Institute such disciplinary action as may be prescribed against any person found to be in violation of any norms and standards, or guidelines, set for the conduct of research under this Act, and 7. Advise the Federal and State Ministries of Health on any ethical issues concerning research. In order to expeditiously pursue these objectives, the Federal Ministry of Health signed a technical cooperation agreement with the West African Bioethics Training Programme (WAB), 25 a United States NIH/FIC funded programme located in Nigeria with a mission to train biomedical researchers and train bioethics in Nigeria and West Africa. The terms of the technical agreement included the provision of training and support for members of the National Health Research Ethics Committee and relevant members of staff of the Federal Ministry of Health. The WAB was also to help the Ministry to draft a national code for health research ethics, develop standard operating procedures for ethics committees, and other relevant documents and activities with the aim of strengthening health research ethics in Nigeria. In fulfilment of the terms of this technical agreement, the WAB set up a multidisciplinary, multiinstitutional technical consultation committee comprising individuals with backgrounds in health and social sciences in addition to postgraduate training in bioethics. This committee was charged with the responsibility for reviewing current research ethics codes and developing an appropriate code for Nigeria that takes account of the existing guidelines and recent developments in international health research ethics. In doing its work, the committee was enjoined to take account of the Nigerian Constitution and the Federal structure of the country, other relevant laws, the history of research and research ethics in Nigeria as well as the needs of local and international researchers. Previous bioethics needs' assessment studies had indicated that the potential for bureaucratic delays, corruption, and obstructionism were the most important concerns that biomedical researchers in Nigeria have about a national ethics committee. The committee was therefore asked to keep these concerns in mind as it develops the guidelines. The draft code developed by the committee was submitted to NHREC in 2006 and it was adopted after amendments. The Code was then published on the NHREC website and disseminated within and outside the country for consultation and comments by the research community and stakeholders. Appropriate comments, suggestions and corrections that were received were incorporated by NHREC into the code after which it was submitted to the government for adoption as the first domestic legal regulation establishing ethical review of research in Nigeria. The Code has now been released for implementation by Nigeria HRECs and biomedical researchers. It sets the norms and standards that must be applied for the ethical review of research in Nigeria. Enforcement of Ethics Regulations Prior to the development of the National Code in Nigeria, interested parties and institutions in Nigeria set up ethical committees according to institutional and international guidelines. There was therefore the lack of uniformity and minimum standards. There was also no coordinating and legally binding enforcement mechanism. More recently, largely in response to increased research funding from foreign governments and organisations, institutions have either established or remodelled their committees after the U.S. institutional review boards systems and in accordance with the U. S. Common Rule.26 This often occurred at the behest of international collaborators who needed to satisfy their home countries' regulatory agencies.22 While such collaborative studies underwent ethical oversight, the same was often not true of locally funded and local-investigator led domestic research. Therefore, much undocumented unethical research continues to be conducted in Nigeria as in other developing countries, outside the purview of ethics committees. In addition, there was no systematic and sustained development of a culture of ethical health research in national institutions. Where research is conducted with foreign funds, non-compliance with ethical standards can lead to the withdrawal of funding and the debarment of researchers from receiving additional funds from such sources in the future. Given that there is little international cooperation in enforcement of ethical conduct of research, such researchers may be able to access other research funds and, in the absence of domestic legal regulation of ethical research, there are few or no sanctions available against non-compliance with ethical standards. Litigation as a method of enforcing ethical standards has not been uniformly successful. This is partly because of weak judicial systems, the absence of enabling laws, and unenforceability of international guidelines such as the Nuremberg Code, Belmont principles, Helsinki Declaration, and CIOMS guidelines. The latter have been described as non-legally binding declarative statements that lack the specificity required for legal action.27 They are therefore not legally enforceable and their contravention in developing countries carries minimal risk to researchers. Highlights of the Nigerian Code for Health Research Ethics The Nigerian Code for Health Research Ethics resembles most of the current international health research ethics guidelines, but it differs from them in some important aspects. In order to ensure minimum standards in ethical evaluation of research, the Code requires all ethics committees in the country to be registered. This registration is renewable every two years and gives the NHREC the opportunity to conduct oversight over institutional ethics committees. Institutions setting up ethics committees are also expected to agree to provide equipment, office space and personnel for these committees, otherwise they risk losing their registration.28 Ethics committee members and biomedical researchers are also mandated to undergo at least biennial NHREC-approved training in informed consent.29 The Code requires institutions to appoint HREC administrators, an essential role that has hitherto been largely ignored in many of the efforts to promote health research ethics in developing countries.30 While HREC members are often rotated, administrators remain the backbone of sustainable ethics committees by ensuring continuity and providing support. A system of categorisation of committees has also been created so that institutions are motivated to support their HREC and improve them in order to maintain their status or attain a higher one. Categories are also linked to the types of research that institutions' committees can approve and, by implication, the types of research that can be conducted in institutions. The Code allows institutions to have more than one ethics committee but limits the authority of the ethics committees to their geographical location or the research activities of the institution's permanent staff only. This is to prevent "ethics committee shopping" by researchers seeking to avoid rigorous ethical oversight.31 In view of the high cost of setting up ethics committees and the need for there to be a steady stream of research proposals in order for a committee to acquire competence and experience in protocol review, the Code assumes that there may be institutions that cannot sustain the establishment and continual functioning of ethics committees. In order for research to be conducted in such institutions, the Code provides for the establishment of cooperative agreements between institutions that have and those that do not have ethics committees so that ethical oversight in the latter institutions is possible. Central and regional review of protocols has been widely discussed in the research community as a method of providing ethical oversight of multicentre studies in a timely and an efficient manner. This avoids duplication of effort and discordant outcomes of multiple ethics committees' review of same protocols.32, 33 The Code provides opportunities for principal investigators to seek central review of their protocol by the National Ethics Committee at their own discretion or upon referral from their local ethics committees. This is recommended where the research involves multiple centres or is taking place in institutions or localities where there is no ethics committee. The ethics committee of an institution may also refer research to the National Committee for review, if, for example, the research is of such sophistication that no one institution in Nigeria has all the relevant expertise to adequately review and provide oversight function for it. Individual researchers may also petition the National Committee to review a study where there has been inordinate delay or dispute with the institutional ethics committee. In such instances, the National Committee may assign the protocol to any institutional committee to review the protocol on its behalf as the "Committee of Record" after which local institutional committees provide continuing ethical oversight if the protocol is approved. Additionally, the National Committee may set up an ad hoc ethics committee made-up of experts from different institutions within Nigeria or the National Committee can constitute itself into a reviewing ethics committee and exercise all the authorities therein. Institutional ethics committees were preferred to regional ones. Though the latter are likely to be more efficient, they carry the risk that ethical review will not be seen as part of the cultural fabric of institutional research programmes and may not adequately support the growth of an ethical research environment within institutions.33 In order to monitor the transfer of biological materials and protect the interests of local researchers in international collaborative research that exploits local bio-diversity and resources, the Code requires a Materials Transfer Agreement between collaborating researchers, monitored by the institutional ethics committee and recorded at the National Committee. Where appropriate, other agreements such as Clinical Trials Agreements, Community Assent, Community Benefits Agreements or Intellectual Property Rights Agreements, may also be required by the institutional ethics committees before studies are approved. Ethics committees are encouraged to consult each other when reviewing multicentre studies and researchers must submit ethics review of protocols from different sites to their institutional HREAC for resolution, particularly where outcome of review is discordant. The Code also outlines clear processes for ethics committees to provide continuing ethics oversight of studies, suspend studies, resolve concerns and issues arising from ethics oversight and recommend termination of studies to the National Committee. There are also procedures for the investigators to appeal to the local institutional ethics committees and independently to the National Committee in cases of disputes with the institutional committee. Several studies have shown that funding is the most important limitation facing ethical committees in developing countries.34, 35 Several options have been suggested to resolve this problem including charging for review of protocols, institutional or government support, external funding, or grant support. The NHREC took the view that while ethical review of protocols is a public good that should be supported by the government, this is not a viable option for governments still struggling to meet their commitment to the provision of basic healthcare.36 Dependence on external grants alone was not considered a sustainable long-term option for funding ethics committees. Institutional ethics committees are therefore permitted to charge fees commensurate with the sophistication of the research protocol, source of research funds, and the expected amount of work that would need to be done in order to provide satisfactory ethics oversight. These fees can vary according to availability of additional support provided by institutions and other sources to the institutional ethics committees.35 Ethics committees and independent ethicists can conduct both ethics consultations and ethics training programmes taking due care to avoid conflicts of interest. For quality assurance purposes, ethics education programmes must submit their curriculum and a list of lecturers/resource persons, and their qualifications to the NHREC for vetting to ensure that these meet the minimum requirements for education in research ethics that is mandated for members of ethics committees and biomedical researchers in the National Code at least once every two years. Existing ethics guidelines have been criticised as having arisen partly or wholly in response to research ethics crises. For example, the Nuremberg Code was a result of the trial of doctors and scientists that conducted unethical research during the Second World War. They are also believed to be unbalanced because they accord excessive weight to the principle of autonomy and fail to meet current challenges in research ethics such as community concerns, use of placebos, conflicts about standard of care, resource availability when research is over, and quality of an adequate informed consent process.37-39 The Nigerian Code reflects these new paradigms in ethics guidelines and includes explicit information about protecting communities and their interests as well as the application of the ICH-GCP guidelines in clinical trials. 38-40 The National Committee believes that biomedical researchers and ethics committees' adherence to the code and other guidelines will depend on the provision of educational programmes as well as enforcement of compliance by the National Committee. This will wean ethics committee members off the guidelines and processes with which they are already familiar. Many members of ethics committees lack adequate foundation in modern research ethics and this may explain the common complaints about the quality of ethics review, the types of issues that ethics committee members raise, and their concentration on minutiae of the informed consent form to the neglect of other prospects of research protocols. The National Committee therefore charged the WAB to continue to provide education for members of ethics committees in Nigeria on a continuing basis. Problems and Prospects Domesticating international research ethics guidelines, backing them with legislation, and setting up a national ethics regulatory body are necessary to advance the cause of ethical research in developing countries. Developing countries cannot develop modern research programmes or host health research conducted by international companies and organisations without transparent and effective research ethics regulatory infrastructure. In its absence, attempts to ensure compliance with ethics regulations are likely to remain superficial and falter over time. The exact mode for developing such an infrastructure will vary from country to country depending on constitutional arrangements, historical, social, economic, and educational factors, as well as the size of its research and ethics community.41 The Nigerian experience demonstrates the value of working with the government using a public-private partnership model. Using a dynamically interactive systems approach, Nigeria has developed an in-country partnership between the public service and a private initiative to set up an ethics regulatory infrastructure that advances the objective of all partners. The government benefits from expertise that is not readily available within the public service and obtains support for the training of staff and the provision of books, computers, and electronic documents while providing the legal authority and institutional support for the framework. The private partner is able to further the objective of providing training in bioethics and producing graduates who will have opportunities to deploy their skills effectively within the system. We believe that this approach enhances the capacity of the country to have a sustainable ethics programme in the long run. This innovations systems concept for capacity development has been used in other areas of science and technology in Africa.42 The systems approach to capacity building requires a shift in conceptualisation of partnerships from just producing personnel to the development of systems of interactive actors that are able to generate and apply knowledge needed within their local environment. This slows down the process and requires greater investment of time and effort because of the need to build a team, debate and resolve competing priorities, and mobilise resources. Trust must be built and barriers to partnership gently lowered.42 Demand for services must also be stimulated in consonance with development of delivery systems. This approach is eminently suitable for the bioethics expertise in developing countries because while the principles of biomedical ethics are global, their application is local and requires local knowledge and expertise. Training programmes that produce personnel without taking account of the environment and infrastructural requirements for effective functioning are not likely to have sustainable impact in the long run. The model we have used is probably more suited to large countries with several research institutes and universities, some of which may already have health research ethics programs.43 Other countries have used other models. For example, some developing countries have centralised all ethics review and located it in the Health Ministry. This provides the Ministry the ability to monitor all research on-going in the country, negotiate with research partners, and allow only those studies that the Ministry considers relevant to the health needs of the population. There is no systematic evidence that this model is more efficient than alternative models. Rather, anecdotal reports suggest that it is plagued by delays in approval, political interference in scientific research, and bureaucracy. Yet this model may be suitable for small countries with few research institutions and limited resources. Conclusion There is nothing substantially unethical about research that are conducted in developing countries; in fact, efforts to discourage research in developing countries are themselves inherently unethical because, among other factors, they deny the citizens of these countries a potential benefit on account of uncertain risks. Ethics development programmes need to move beyond the mere training of individuals towards a systems approach that takes account of the eventual working environment of their trainees. Programmes should extend their activities to include a closer working relationship with national authorities in order to institutionalise the ethics review process. Where they do not exist, development of legal instruments within countries to support ethics review of all research, whether sponsored or local-investigator led should be considered an urgent task. Existing codes and guidelines represent a distillate of current standards that can be modified and gradually built upon. There is also a need for international cooperation in monitoring health research ethics given the globalisation of health research. While the recent ruling by the United States Office for Public Health and Science, Department of Health and Human Services stating that non-U.S. institutions must satisfy its regulations as it has not found any that is equivalent to the common rule is understandable, there is a need to move beyond this and consider development of common minimum standards and compliance procedures accompanied by greater cooperation between ethics regulatory agencies throughout the world. ## References 1. Van der Sande MAB, Inskip HM, Jaiteh KO, et al. "Changing Causes of Death in the West African Town of Banjul", 1942-97. Bull WHO 2001; 79:133-41. 2. Heuveline P, Guillot M, Gwarkin DR. 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Clarification Notice; 2006. ## Ethical Issues In Scientific Research Adebayo O Adejumo Introduction Scientists use the scientific method to explain the relationship between cause and effect in nature. Such investigations could be conducted in all aspects of human life - clinical, social, and technology sciences. Scientists ask questions; construct and test hypotheses; conduct experiment; analyse data; draw conclusions; and disseminate the outcomes of their studies. The challenges facing humankind make the need for scientific enquiry imperative. Considerable efforts are therefore made to subdue human and environmental problems which have resulted in tremendous improvement in the quality of life in various societies (Lenhard, Lawrence, and Makenna, 1995). The process of conducting scientific research is guided by regulations (Slutsman, Buchanan, and Grady, 2007). But quite a number of studies have, by historical accounts, resulted in harm to those that are targeted. As an example, the method of recruiting those who will participate in studies including the research process could be coercive and exploitative (Barry, 1988). All of these and others have necessitated the development of the various ethical codes that guide scientific studies today. Historical Overview The history of research ethics could be traced to the tragic abuse by Nazi doctors during World War II. Sixteen German physicians conducted unethical medical experiments, using Jews, gypsies, and political prisoners. Out of these horrors came the Nuremberg Code and other international codes of ethics written to protect the participants in research. The Nazi doctors were convicted of crimes against humanity under this Code. The trial introduced standards, part of which underscores voluntary participation in research and the avoidance of risks (Katz, 1996). The scandal over the 40 year Tuskegee Syphilis Study by the US Public Health Service in Macon County (Alabama) which came to light in 1932 is another milestone in the study of research ethics. The American Government promised 400 African American men free treatment for "bad blood" which had become an epidemic in the county. However, the government did not provide the standard treatment for them despite the fact that penicillin was available in the course of the study. The participants were also not fully briefed on the research design and the possible risks to them. There is also the experiment by Milgram (1961) on the conflict between obedience to authority and one's personal conviction. The researcher examined the justification for acts of genocide by those who were accused at the post-world war II Nuremberg trials who claimed that they acted under orders from their superiors (Jones, 1981). Thirdly, a group of children with mental retardation who lived at Willowbrook State Hospital in Staten Island in New York were made to participate in the "Willowbrook Study" between 1963 and 1966. These innocent children/subjects were fed with extracts of stools from infected individuals and later injected with more purified virus preparations. The children were deliberately infected with the hepatitis virus. However, the researchers claimed in defense of their investigation that the vast majority of them would have in any case acquired the infection while at Willowbrook, and it was better for them to be infected under carefully controlled research conditions (Rothman, 1991; Katz, 1972). Humphreys, a sociologist, conducted a research tagged "Tearoom Sex" study in the mid-1960s. He hypothesised that the public and the law enforcement agents and agencies held stereotypical beliefs about men who committed impersonal sexual acts with one another in public restrooms. "Tearoom sex", as fellatio in public restrooms, accounted for majority of homosexual arrests in the US. Humphreys argued that it was important for society to gain a better understanding of the identity of the men as well as what motivated them to seek quick impersonal sexual gratification. He set out to answer this question by the methods of participant/observation and structured interviews. Humphreys stationed himself in "tearooms" and offered to serve as a "watchqueen". The "watchqueen" had the duty to be on the lookout for law enforcement agents or deliberately cough if strangers were approaching the area. During the study, he observed hundreds of acts of "tea-room sex" and gained the confidence of some of the men he observed. He disclosed his role as a scientist and persuaded them to tell him about their personal lives and motives. To avoid bias, Humphreys secretly followed some men and recorded the license numbers on their vehicles. A year later, Humphreys showed up at their private homes and claimed to be a health service interviewer. He asked them questions about their marital status, race, job, and other personal questions (Seiber, 2001). Humphreys' findings destroyed many stereotypes. He found that 54 per cent of the men were married and 38 per cent were neither bisexual nor homosexual. Most of the men were successful, well educated, economically stable, and highly praised in the community. Only 14 per cent of the men that he observed were homosexuals and part of the gay community. Humphrey's research was carried out in the mid-1960's before the existence of Institutional Review Boards (IRB). These studies led to the creation of the Belmont Report and the Institutional Review Board (IRB) for the protection of human subjects that are targeted in research. Ethical Issues in Scientific Research Virtually every scandal in research involving humans has been followed by attempts to codify the rules that should govern research. Whereas human experimentations can be traced back to several centuries, organised efforts to protect human subjects who participate in experiments started only 60 years ago (Caballero, 2002). Emanuel *et. al.*, (2000) identified the benchmarks for determining the ethical validity of research. Considerations were given to: 1. socio-cultural value; 2. contributions to science; 3. informed consent process; 4. ethical review process, and 5. risk-benefits ratio. But Nigeria's National Code for Health Research (NCHR) offers a more practical and culturally adaptive dimension. Section F of the Code contains a detailed analysis of what clinical investigators should consider when conducting human research (Federal Ministry of Health, 2007). The guidelines are readily applicable in social science research. The document stresses that ethical research must have social or scientific value to the: - participants; - population they represent; - local community, and - host country or the world in order to justify the use of finite resources and avoid exposing the participants to harm. ## Key Issues 1. Research should evaluate issues that lead to improvements in the socio-psychological and health conditions of participants and the research community. It must also contribute meaningfully to knowledge. Such knowledge should be disseminated to all the relevant stakeholders during and after research. Research that lacks the following is unethical: - clear scientific objective(s); - valid methodology; - equipoise (in clinical studies); - adequate operational plans within the context of the environment where research is to be conducted; - plausible data analysis plan (including a specific role for a Data and Safety Monitoring Board [DSMB] in clinical trials), and - unbiased measurement(s) of outcome(s). 2. There must be fairness in the selection of participants, based on the scientific objective(s) of the research while minimising risks. This requirement refers to those who are included/excluded and the strategies for recruiting participants (including the choice of research sites and communities). Regardless of this requirement, participants who are at excessively increased risk of harm should be excluded. Children, pregnant women, socially, culturally, economically, politically, educationally, physically and psychologically disadvantaged sub-groups or those with constrained autonomy and other vulnerable subgroups in the populations should not be excluded from research without explicit reasons for doing so from studies that can advance their health and wellbeing. However, specific safeguards should be included to protect the vulnerable appropriate to degree of risks. Groups, communities, participants, and researchers who bear the burden of research should share in the benefits 3. Effort must be made to minimise risks and maximise health related benefits. Harm can be defined as both physical and psychological. There are two standards that are applied in order to protect the privacy of research participants: confidentiality and anonymity. Researchers must assure that information that identifies the subject is not made available to anyone who is not directly involved in the study. Anonymity implies that the participant will remain anonymous throughout the study in order to guarantee the privacy of participants. This is sometimes difficult to accomplish in situations where participants are seen at multiple time points (*e.g.,* a pre-post study). 4. Protocol/project must undergo independent review. A research ethics committee or independent review board is a panel of persons who reviews grant proposals with respect to ethical implications and decides whether additional actions should be taken to assure the safety and rights of the participants. By reviewing proposals for research, the committee protects the organisation and the researcher against potential legal implications of neglecting important ethical issues. 5. Informed consent which provides adequate information at an educational level that is not higher than that of individuals with at most 9 years of education is required. Essentially, this means that prospective research participants must be fully briefed about the procedures and the risks that are involved in research and must also give their consent to participate. 6. Respect for potential and enrolled participants should be guaranteed. This is related to informed consent. It requires that participants should not be coerced to participate in studies. This is especially relevant where researchers previously relied on 'captive audiences' for their subjects (*e.g.,* prisons, universities). 7. A trust relationship between investigator(s) and potential participants should be assured. This necessitates transparency in all matters relating to the research enterprise including a clear description of the goals, risks, benefits, alternatives to participation and voluntariness. This trust principle encourages the engagement of individual participants and communities, respect for local socio-cultural values, and it also encourages the provision of relevant and timely feedback to communities. 8. The interest of participants, researchers, communities, and sponsors must be accommodated. This is to ensure that the research has lasting impact; transfers technology where appropriate; contributes to capacity building; and demonstrates respect for sociocultural and other differences. Risks, benefits, and the responsibilities of research must be shared during the development, planning, conduct, and the dissemination of results. Intellectual property, indigenous knowledge and the contributions of all parties must be taken into consideration, adequately protected, and compensated. 9. It is vital to conduct research in accordance with the principles of good clinical and laboratory practices. These are international standards for designing, conducting, and reporting clinical trials that involve human subjects. Compliance with these standards is additional assurance that the rights, safety, and well-being of participants are protected in a manner that is consistent with the highest ethical and scientific standards. Conclusion Research is the pivot for elucidating information otherwise not obtainable (Lefor, 2003). It is relevant because it helps to describe, explain, predict and control interventions and practices in science. Concurrent with the rapid growth of scientific research in many regions of the world, there are unending reports of lapses and challenges that are related to ethical, cultural, and social concerns as exemplified by the activities of Nazi physicians between 1935 and 1945 (Pace and Sullivan-Fowler, 1996). Studying and understanding these issues will promote the science and ethics of planning, implementing, and utilisation of scientific research. With these, the research enterprise will contribute to generalisable knowledge with which the bio-psychosocial challenges of man and his environment can be surmounted. Added to these, scientific investigations will minimise their potential adverse impacts on those who participate in them irrespective of the setting, race, or status if researchers give adequate attention to local and international ethical standards. The nuances of researchers as well as conflicts of interest are often explicated in their dual roles as service providers and researchers (Levine, 1986). The usual power imbalance between researchers and the resource limited members of the society that are targeted in research heightens the potential vulnerability of the latter and could compromise their autonomy in decision making. It is vital for researchers to adhere to ethical standards in their relationship with the less advantaged members of the society. This becomes imperative due to the growing appreciation of the rights of patients and the global quest for the protection of human subjects who are included in investigative procedures. Without these, the gains that are already recorded in the growth of science would be reversed. Research activities in whichever discipline and professional practice that do not adhere to ethical standards amount to mere exploitation of the less-advantaged fellow human beings as was the case in the days of the Tuskegee syphilis study. References Barry, M. (1988) "Ethical Considerations of Human Investigation in Developing Countries: the AIDS Dilemma", *New England Journal of Medicine,* 319:1083-6. Caballero, B. (2002) "Ethical Issues for Collaborative Research in Developing Countries", American Journal of Clinical Nutrition, Vol. 76, No. 4: 717-720. Emanuel, E.J., Wendler D., and Grady, C. (2001) "What Makes Clinical Research Ethical?", Journal of American Medical Association, 283:2701–11. Federal Ministry of Health (2007) *National Code for Health Research Ethics (NCHR)*. Federal Ministry of Health, Abuja, Nigeria (Downloaded on April 6, 08 via http://www.nhrec.net/nhrec/code.html). Jones, J. (1981) *Bad Blood*, New York: The Free Press. Katz, J. (1972) *Experimentation with Human Beings,* New York: Russell Sage Foundation. Katz, J. (1996) The Nuremberg Code and the Nuremberg Trial: A Reappraisal, Journal of American Medical Association, 276(20): 1662-1666. Lefor, A. (2003) "Scientific Misconduct and Unethical Human Experimentation: Historic Parallels and Moral Implications", *Nutrition,* 21(7-8): 878 -882. Lenhard, R.E., Lawrence, W, Makenna, R.J. (1995) *"General Approach to the Patient"* In: Murphy GP, Lawrence Jr. W, eds. *American Society Textbook of Clinical Oncology*, 2nd ed. American Cancer Society, 64-74. Levine, R. (1986) *Ethics and Regulations of Clinical Research,* New Haven, CT: Yale University Press. Pace, B.P, & Sullivan-Fowler, M. (1996) "JAMA 50 years ago: The Brutality of Nazi Physicians", Journal of American Medical Association, 276(20): 1692. Rothman, D. (1991) *Strangers at the Bedside*, New York: Basic Books. Seiber, J. (2001) *Laud Humphreys and the Tearoom Sex Study,* Downloaded via http://web*.missouri.edu.* # Consent Seeking And The Principles Of Distributive Justice In Field Laboratory Health Projects In Non-Literate Societies Adeyinka Falusi Introduction Research ethics deals with the application of moral rules and professional codes of conduct in the collection, collation, analysis, reporting, and dissemination of information on research subjects (whether they are individuals or groups) as regards the right to privacy, confidentiality, and informed consent. The literature is replete with reports on unethical practices in health research. Among the major ones are the: Tuskegee Syphilis experiments (1932); Nazi experiments (1930- 45); Leary and Richard Alpert Hallucinogenics (1960-63); Jewish Cancer Research Experiments (1963); Mississippi Appendectomies (1907-1941) and the Pfizer Trovan Drug Trial involving children in Kano, Nigeria in 2001 (Falusi, 2004). The abuses in these studies created public perception that researchers cannot be trusted with the safety of research participants. They also undermined the integrity of the scientific community. The following research ethics are now formulated to guide the conduct of research worldwide: Nuremberg Code (1964); Belmont Report (1978); Helsinki Declaration (1964); 45 CFR 46 - Federal Oversight FWA; and the WHO/TDR Operational Guidelines for Biomedical Ethics Committees (2001) which led to the derivation of the three key principles of autonomy (i.e. respect for persons), beneficence/non-maleficence, and distributive justice. All the foregoing now guide research in the clinical, social, engineering, veterinary, and physical sciences that are committed to the well-being of humankind. Respect for persons is about giving research subjects the freedom to decide whether or not to take part. Comprehending the consent process is key to participation. Special regulations are also put in place for vulnerable subgroups like pregnant women/foetuses/neonates, prisoners, children and others in the population who might be decisionally impaired including the poor, non-literates, employees, and students (Delvin, 2001). Beneficence must be maximised while maleficence is minimised. In other words, research should benefit individual participants, their class, community or society. Research should also enhance the capacity of the targeted communities. It must also be clearly stated whether the participants will have access to proven research benefits after the study. Overall, research is expected to be responsive to local needs. The third which is distributive justice is aimed at tackling the following questions: 1. "Is justice done? and if so, is it distributive? 2. Are the benefits of research likely to accrue to those bearing its burdens? 3. Is there fairness to individual participants, their class, and/or the community?" Informed Consent The consent process spells out the responsibilities of investigators, sponsors, and participants. Informed consent is about the decision to participate in research, taken by a competent individual who has received the necessary, and adequately understands the information; and who after considering the information arrives at a decision (voluntarily) without being subjected to coercion or undue influence or intimidation (CIOMS, 2002). Understanding and voluntary decision are essential components of the informed consent process. A written consent is normally required in internationally funded projects while a verbal or tape recorded consent is admissible in country studies. Studies on minors require parental or surrogate consent. There is minimal risk and no need for informed consent in studies on the review of medical record and decisionally impaired and/or unconscious patients. But the permission of those who keep records must be obtained and assurance must be given that their records will not be disclosed to third parties. The data that emanate should be properly stored and only shared with the members of the research team and other relevant authorities to the benefit of participants. Informed consent is about the protection of the well-being and safety of participants. It deals with the risks and benefits of the trial, their rights as participants, and their choice on whether or not to participate. However, the citizens of many communities in developing countries are very much unaware of the notion of informed consent. Informed consent process has often been evaded while a large pool of uninformed participants is enrolled for research in these countries. Violating informed consent process is complete disregard for the value of human life and the inherent rights of the participants in research. The governments of developing countries usually look the other way as the informed consent process is regularly evaded because research projects are perceived as the only way to obtain otherwise unaffordable benefits for their communities. Consent Seeking and Its Challenges in Non-Literate Societies The challenges in consent seeking in developing countries include poor the handling of: 1. the informed consent process; 2. confidentiality; 3. conflict of interest issues; 4. the standard of care; 5. reporting of data, and 6. the handling of misconduct and plagiarism offences. Moreover, the professional competence of researchers might not be adequate at the onset of projects. Finally, the selection of subjects and choice of sites could be flawed while the benefit to the research communities might not be clearly stated. Sometimes, the perception is that it is a waste of time because the researchers or their assistants in developing countries are under pressure to recruit as many study participants as possible within a short period of time and are not inclined to spend sufficient time on the consent process with participants and their community leaders. They also believe that the study populations do not know their rights and therefore need not be unduly worried. There is also the perception that researchers are doing the targeted individuals a favour especially if health care is a component in their project. Voluntary decision is a challenge in research settings in developing countries. Sometimes medical doctors and other researchers are regarded as little '*gods*' and there is lack of will to challenge or question their authority. Physicians have credibility and great influence over patients because of the belief that a doctor will always "*do good*" for his/her patient. Furthermore, the innocent participants are gullible and are inclined to comply with any terms for participation. The distinction between care and research might also not be clearly spelt out when the physician is also a researcher. Finally, the poverty along with undue pressure to bring participants into research are also important factors. Stages in Consent Seeking in Non-Literate Societies Consent seeking involves various gatekeepers in communities like chiefs, participants' husbands, parents, and in-laws whose consent counts prior to individual consent. Abuses occur in the process of reaching these key players in research. Literacy and Culture as a Challenge While it is imperative to present all the necessary information in order to ensure that a potential participant makes an informed decision, non-literate participants in developing countries may have difficulty comprehending and retaining lengthy and often complicated research protocols. The translation of scientific terms like genes, recombinant DNA *etc.* into several local languages are also challenging. Africa's customs relegate women to the background and they are usually not in a position to take unilateral decisions without the covering approval of their spouse and/or parents. Poverty wears a female face, hence the tripartite relationship of poverty, child labour, and daily struggle does not augur well for confidentiality or individual consent by women (World Bank, 2004). This notwithstanding, many studies are targeted at women and children. Besides, many Nigerians/Africans are usually skeptical or wary of written documents for a variety of reasons and would prefer to give verbal rather than written consent. Yet, internationally funded research projects insist on informed consent in writing by participants. Confidentiality as a Challenge Confidentiality is about full disclosure of the goals of research and the protection of data that are gathered. The researcher is expected to dialogue with participants and community. The participating individuals and communities should not be exposed to unnecessary risks. Nor should their access to other beneficial opportunities be jeopardised. Confidentiality is usually conveyed in writing. It is a categorical statement and indeed a legally binding one concerning the fact that the information that is obtained will not be disclosed to third parties *only* in exceptional circumstances. But can confidentiality be effective or sincere in communities where women are rated as second class citizens or in context in which they can only be approached through a third party (e.g., spouse or parents) as earlier discussed? Conflict of Interest Conflict of interest can be defined as situations where the primary professional judgment on patient care or scientific knowledge in research is unduly influenced by secondary interest of financial and/or other personal gains/benefits such as promotion or publications or academic recognition. Conflict of interest could occur in all research processes including consent seeking. Conflict of interest between sponsors and researchers on the one hand and between the researcher and the community on the other should be avoided. The effect of poverty in developing countries sometimes makes researchers and communities to *jump* at all manners of research without giving much thought to conflict of interest. Researchers' Responsibilities The professional competence of researchers must be adequately addressed. There must be honest in reporting data while misconduct and plagiarism should be discouraged through stiff and deterrent disciplinary measures whenever they occur. Researchers should target appropriate participants bearing in mind the inclusion and exclusion criteria in order to maximally benefit participants. The targeted individuals and communities should be given the opportunity to decline or withdraw from study. Moreover, researchers should report adverse events in their locality within 48 hours of occurrence to the Research Ethics Committee (REC) to their sponsors in order to facilitate appropriate steps that will minimise further risks to participants. But what is likely to happen in a system where communication is almost nonexistent like rural and inner city communities and/or where large numbers of non-literate individuals are targeted? This constitutes a great challenge. Access to Research Communities Entering "communities" for health research requires special skills if research is to be conducted in an ethically sound manner. The problems that researchers face differ from one community to another. There are different types of communities - some are easy to reach (*e.g.,* students) while others are hard to (*e.g.,* drug users). Factors like social organisation, political system, and worldview shape mode of access. There are other factors like belief-system, gender, family structure, and social networking. Overall, the extent to which the targeted individuals and communities comprehend perceived benefits and harm including the researcher's, and/or sponsor's reputation as well as institutional integrity play a role in access to community and procurement of consent. Other Challenges Who pays the piper? What motivates the sponsors of research? Who sets the priorities for research? These are reasonable questions to sort out in pursuance of research in poor and nonliterate societies. Africans communities are suspicious of documentation because of their low literacy level and the fear that the information that is gathered could be used for tax purposes in view of their previous experiences during colonial era. They therefore prefer verbal consent which is non-committal. Researchers in developing countries have to be mindful of these factors and assist the sponsors of research from the North to optimise best practices in spite of these challenges and fears. Harmonising ethics across disciplines and diverse populations of the world is not easy. As mentioned above, there are grey areas that ought to be addressed (Plattner, 2002). Way Forward It is unacceptable to embark on research without initially identifying efficacious interventions that are locally available to the control group. Consequently, the following are proposed: 1. Developing countries researchers must secure post-trial access to effective interventions for the benefits of participants in all clinical trials. 2. Negotiation on the introduction and sustenance of successful treatment regimen for the wider benefit of communities should be outlined prior to research and also discussed at the ethical review stage. 3. Researchers and sponsors should provide ample justification of their claims to RECs prior to the commencement of research. 4. It is vital to monitor research in order to ensure that ethics are not breached. This should be the responsibility of REC and sponsors most especially in developing countries that lack functional RECs (NEBRA, 2005). Developing countries should therefore establish National and the Institutional Research Ethics Boards/Committees (RECs) that are active and functional (Falusi *et. al.,* 2007). These Committees should be empowered to adopt basic ethical principles and universal minimum standards of care in research. 5. The governments of developing countries should train and empower their researchers in their respective institutions. The active participation of the Legislative and Executive arms of governments in the identification and selection of relevant projects in developing countries should be encouraged. 6. The complementary role of RECs in developing appropriate consent process for research in developing countries cannot be overemphasized (EDCTP, 2007). 7. Field and laboratory health projects in non-literate societies can only be successfully implemented if logistical issues in research are adequately addressed. References British Medical Journal (1996) "Nuremberg Doctor's Trial", 313 (7070), 1445-75; also http://www.cirp.org/library/ethics/Nuremberg/. British Sociological Association (2003) Statement of Ethical Practice, http://www.britsoc.org.uk/about/ethic.htm. Chima, S.C. (2006) "Regulation of Biomedical Research in Africa", *British Medical Journal*, April 8, 332 (7545): 848-851. Council for International Organisations of Medical Sciences International Ethical Guidelines for Biomedical Research involving Human Subjects (2002) Geneva, Switzerland, CIOMS. Delvin, E. (2001) "Human Research must Protect Participants", *Network,* Vol. 21, No. 2: 4-9. EDCTP Project Ibadan, Nigeria (2007) Strengthening the Capacity of Research Ethics Committees in Africa" Coordinated by the University of Ibadan, Proceedings in Press 2007. Falusi, A.G., Olopade, O.I, Olopade, C.O. (2007) "Establishment of a Standing Ethic/ Institutional Review Boards in Nigerian University: A Blueprint for Developing Countries", Journal of Empirical Research on Human Research Ethics, Vol. 1: 21- 30. Falusi, A.G. (2004) *Ethical Issues in the Academia*, Ibadan: University of Ibadan. Newton, L.H. (1990) "Ethical Imperialism and Informed Consent", IRB A Review of Human Subjects Research, May-June 12 (3): 10-11. National Commission for the Protection of Human Subjects of Biomedical and Behavioural Research (1979) Belmont Report: Ethical Principles and Guidelines for the Protection of Human Subjects of Research, Washington, DC: US DHEW. NEBRA 2005/2006 Research on 15 African Countries REC Survey, http://trree.org/site/nebra.phtml. Stephens J. "Panel Faults Pfizer in '96 Clinical Trial in Nigeria: Unapproved Drug Tested on Children", *Washington Post*, May 7, A1, A21, 2006. Plattner, S. (2003) "Human Subjects Protection and Anthropology" *Anthropological Quarterly*, Spring, 76(2): 287-97. "The Body Hunters: Exporting Human Experiments", *The Washington Post*, Dec 17 - 22, 2002. World Bank (2004) *Nigeria Strategic Country Gender Assessment Report*, Washington: World Bank. # Consent Seeking In Social And Behavioural Research In Non-Literate Communities ## Ayodele Samuel Jegede Introduction Consent seeking in social and behavioural health research is a difficult task in non-literate societies for three reasons. Firstly, unlike in biomedical research, studies in social and behavioural science do not demonstrate immediate material benefits in the form of therapeutic services or the provision of infrastructures for the targeted participants and communities. Yet, the participants in such studies would like to know direct or indirect benefits of such research to them. Secondly, it involves questioning participants on issues that invade their privacy which they would ordinarily not like to discuss. Lastly, the participants exist in communal contexts where the autonomy of the individual is understood in a wider context of layers of social relationships as indicated,- "we are persons through other persons" (Ayantayo, n.d). The communal system of living in non-literate societies protects the interest of people and raises the question concerning the autonomy of an individual in decision-making. This paper examines the ethical challenges in consent seeking in social and behavioural studies in largely non-literate communities. Ethical Challenges The ethical challenges in doing social and behavioural research in non-literate communities revolve around: 1. respect for persons; 2. sharing of benefits of research; 3. fairness in Sample Selection; 4. technical inaccuracies; 5. privacy of the individual; 6. community exploitation; 7. deception, and 8. competence of field assistants. Respect for Persons The respect for, and the protection of autonomy, rights and dignity of participants is a major ethical challenge in patriarchal societies with large numbers of non-literate persons. Patriarchy undermines voluntary decision-making in such societies in two ways. In the first place there is imbalance in the power relation between the male and female gender in largely non-literate patriarchal societies. Females cannot give informed consent on important issues without the consent of their husbands (in the case of married women) and fathers in the case of unmarried girls. Consequently, it is difficult to obtain consent from a woman whether married or single. Fathers and/or husbands could influence girls and/or women which in turn implies that the researcher are merely obtaining involuntary consent. Importance is attached to age and authority usually flows from the top (*i.e.,* older age groups) to the bottom (*i.e.,* lower ones) in patriarchal societies and this is obvious in non-literate settings. Consequently, respect is the basis of social relation in parts of Africa. Age grade is an important determinant social status and authority in these societies. Those who are born about the same time bound together, move up the social ladder together, and they also exercise considerable influence over those in the lower age grades. Important issues or decisions are delayed in order to obtain the consent of elders who are the custodians of wisdom or the sources of authority. Getting consent from a community member could therefore be difficult where the elderly members are present and/or not around to give their assent. Paradoxically, research that involves human subjects must not only respect but also protect the autonomy, rights, and the dignity of all participants. The participation of the targeted individuals must be voluntary and based on informed consent which is often required in writing. How this can be achieved in patriarchal societies where the female gender is not expected by tradition to make informed decision that is independent of their fathers (*viz.,* if unmarried) and husbands (if they are married) is a challenge. Also, how the decision-making role of elders can be addressed in this context because age is the basis of social relations and source of authority is another challenge to researchers. Generally, individual autonomy is at stake in this context and this could mar the research process if the autonomy of the individual most especially of the vulnerable subgroups in the population such as women is required. Sharing of Benefits The sharing of benefits is an important aspect of the research enterprise. Communities are interested in the outcomes of the research that is conducted in their milieus (Fernandez et. al., 2003b, 2005, 2007; Schulz *et. al.,* 2003; Fong *et. al.,* 2004; Moutel *et. al.,* 2005; Dinnett *et. al.,* 2006). Non-literate communities may not enjoy the benefits of research that is conducted in their settings due to lack of proper negotiation because of the wide socio-economic gap between the researcher and the targeted participants. Benefit sharing may not be a fair process in such communities where there is no level playing field. Fairness in Sample Selection Fairness in the selection of the participants in research could be difficult in non-literate communities. For instance, people might not know their age since record keeping is a major problem in non-literate communities. Although age could be estimated through important symbols or historical events in their communities, such estimates are not always accurate. Bias could be introduced if participants are not randomly selected. For instance, the over-representation of highly placed or older people in the sample could influence decisions on the underprivileged. Technical Inaccuracies Technical inaccuracies are major issues in social and behavioural research in non-literate communities. Research designs could exclude communities' contextual knowledge, and observations including the local knowledge and experiences that are reported by community members. This can lead to inadequate information about diet, lifestyle, and other important details especially in cross-cultural communities that have different subsistence patterns (Frohmberg, 1999). Privacy of the Individual The privacy of participants is another ethical challenge in consent seeking in social and behavioural research in non-literate communities. It is often difficult to manage the principle of confidentiality in non-literate communities because researchers are sometimes inclined to use interpreters or are forced to cope with next of kin and significant others who cannot be easily kept at a distance during interview sessions. The result is that researchers are forced to deal with third parties in the course of their interaction with respondents in non-literate settings. Community Exploitation The exploitation of communities and inducement of participants to participate in studies are important ethical challenges in consent seeking in social and behavioural research in non-literate communities. Socio-economic inequalities between researchers and participants play a coercive role in the recruitment of participants (Benatar, 1998; Lindegger and Richter, 2000). This often leads to difficulty in applying the widely recommended bioethics principles (Loue, Okello, and Kawama, 1996). For instance, the participants in poor-resource settings might not have adequate information on the subject matter of the research once they are given what amounts to generous incentives. Although incentives are allowed in research, they could be unethical if they influence judgment in a manner that undermines the autonomy and worth of participants. Resource-poor societies are confronted with the problem of choosing between informed knowledge of the subject matter of research and the incentives that are offered by researchers. The targeted individuals are mostly blinded by incentives and are inclined to overlook many things or even struggle to participate because of the incentives that are offered to them. Consequently, community exploitation is also a possible factor in consent seeking in social and behavioural research in non-literate communities due to the divergence between the socioeconomic statuses of researchers *vis-à-vis* the targeted individuals. Usually, researchers have economic advantage and the power of scientific knowledge over participants. Researchers could use these to their advantage by manipulating non-literate communities to open their gates to hazardous social and behavioural studies. Researchers may fail to compensate communities appropriately once they are able to gain the support of gatekeepers. The gatekeepers could in turn open the 'gate' of their communities on the basis of monetary reward that is not commensurate with the magnitude of research activities. Or they could sell out their communities through deals with researchers. The participants may be induced to give their consent to participate in a study through financial compensation that is more than what they could earn in their daily economic activities or in the form of material things that look precious to them. Deception Deception is another critical issue in consent seeking in social and behavioural research in nonliterate communities. Researchers might not provide complete information on the subject matter of their research if it will hinder them from getting the consent of participants (Varmus, 1997). In such circumstances, participants are deceived to give their consent to harmful studies. For instance, certain cultural practices may be difficult to study due to taboos surrounding them or their beliefs could deter them from responding to questions on such issues. Some researchers may willingly apply the 'cover' approach which is permitted in social and behavioural research where it is not necessary in order to get their work done quickly and easily at a little cost. Competence of Field Assistants The capacity of field assistants to work in an ethical manner is another challenge. The field assistants have the same ethical responsibilities as investigators. But do they in practice have adequate skill in research ethics in such settings? Although they are expected to be trained on how to adhere to ethical details in research, it is doubtful if they can satisfy this requirement as members of the same community where they are collecting data without using their personal influence to coerce participants to give their consent to participate in a study. The Way Forward Conducting social and behavioural research in non-literate communities requires proper skill and monitoring. Training in ethical reasoning is the first step in addressing this issue in order to ensure that things are done correctly. Knowledge and skill on ethical practice are currently low among social scientists in developing countries even though research ethics is taught as a topic or two in research methods classes. The following steps must be taken in order to tackle the foregoing lapses. First, the social science disciplines should incorporate ethics into their curricula. This should be taught as a required course at the undergraduate and postgraduate levels. Second, all social and behavioural researchers should be trained in research ethics. Evidence of this training should be a condition for research grant and approval for any protocol. Third, public educational programmes should be promoted in order to close the gap in knowledge between researchers and communities. Researchers should not only collect data and leave communities, they should share their experiences with them because this will build trust and also ensure support for future research (Richards *et. al.*, 2003; Partridge *et. al.*, 2003; 2005; Hoeyer *et. al.*, 2004; Dixon-Woods *et. al.*, 2006; Wendler *et. al.*, 2007; Shalowitz and Miller, 2008). Fourth, verbal consent should be permitted in non-literate communities. This can be recorded in video for record purposes. Asking participants to sign informed consent form in non-literate communities may be taxing while the use of thumb printing could be demeaning. An alternative is to accept verbal consent. Finally, research protocols should be translated into the local languages of the research communities and used in communication during data collection. This will make it possible for participants to have adequate understanding of what it takes to participate in research. Conclusion The paper has highlighted the reasons for increased knowledge in ethics in health research in developing countries. It has also identified and outlined the ethical challenges in consent seeking in studies in non-literate communities. An important consideration for social and behavioural research in non-literate communities is the understanding of the socio-economic and cultural contexts. Nonliterate communities are vulnerable. They face severe socio-economic problems and are at the risk of research atrocities. We can therefore not assume that researchers will always do the right thing while working in non-literate communities. References Benatar, S.R., (2004) "Towards Progress in Resolving Dilemmas in International Research Ethics, Journal of Law, Medicine and Ethics, 32(4): 574 -582. Dinnett, E.M., Mungall, M. M., Gordon, C., Ronald, E.S. Gaw, A. (2006) "Offering Results to Research Participants, *BMJ,* 332: 549-550. Dixon-Woods, M., Jackson, C., Windridge, K.C., Kenyon, S., (2006) Receiving a Summary of the Results of a Trial: Qualitative Study of Participants Views", *BMJ,* 332: 206-210. Fernandez, C.V., Kodish, E., Shurin, S., Weijer. C. (2003a) "Offering to Return Results to Research Participants: Attitudes and Needs of Principal Investigators in the Children's Oncology Group, *J Pediatr Hematol Oncol,* 25, 704-708. Fernandez, C.V., Kodish, E., Taweel, S., Shurin, S., Weijer, C (2003b) "Disclosure of the right of Research Participants to Receive Research Results: An Analysis of Consent Forms in the Children's Oncology Group", *Cancer* 97, 2904-2909. Fong, M., Braun, K.L., Chang, R.M., (2004) Native Hawaiian Preferences for Informed Consent and Disclosure of Results from Research Using Stored Biological Specimens", *Pac Health Dialog*, 11, 154-159. Hoeyer, K., Olofsson, B.O., Mjorndal, T., Lynoe, N. (2004) "Informed Consent and Biobanks: A Population-based Study of Attitudes towards Tissue Donation for Genetic Research", Scand J Public Health 32, 224-229. Lindegger, G. and Richter, R., (2000) "HIV Vaccine Trials: Critical Issues in Informed Consent", S Afr J Sci., 96, 313-317. Loue, S., Okello, D., and Kawama, M., (1996) "Research Bioethics in the Ugandan Context: A Program Summary", *J Law Med Ethics*, 24, 47-53. Moutel, G., Duchange, N., Raffi, F., Sharara, L.I., Theodorou, I., *et al.*, (2005) "Communication of Pharmacogenetic Research Results to HIV-infected Treated Patients: Standpoints of Professionals and Patients", *Eur J Hum Genet.* 13, 1055-1062. Partridge, A.H., Burstein, H.J., Gelman, R.S., Marcom, P.K., Winer, E.P., (2003) "Patients Participating in Clinical Trials Want to Know Study Results?" J *Natl Cancer Inst.* 95, 491-492. Partridge, A.H., Wong, J.S., Knudsen. K., Gelman, R., Sampson, E. (2005) "Offering Participants Results of a Clinical Trial: Sharing Results of a Negative Study", *Lancet* 365, 963-964. Richards, M.P, Ponder, M, Pharoah, P, Everest S, Mackay, J. (2003) "Issues of Consent and Feedback in a Genetic Epidemiological Study of Women with Breast Cancer", *J Med Ethics,* 29, 93-96. Schulz, C.J, Riddle, M.P, Valdimirsdottir, H.B, Abramson, D.H, Sklar, C.A. (2003) "Impact on Survivors of Retinoblastoma When Informed of Study Results on Risk of Second Cancers", Med Pediatr Oncol., 41, 36-43. Shalowitz, D.I, Miller, F.G. (2008) "Communicating the Results of Clinical Research to Participants: Attitudes, Practices, and Future Directions", PLoS Med, 5(5), e91. doi:10.1371/journal.pmed.0050091. Varmus, H, and Satcher, D. (1997) Ethical Complexities of Conducting Research in Developing Countries", *NEJM*, 337, 1003-5. Wendler, D, Pentz, R. (2007) "How Does the Collection of Genetic Test Results Affect Research Participants?", *Am J Med Genet.,* A 143, 1733-1738. ## Ethical Challenges And Code In Study Design In Social And Behavioural Research In Vaccine Testing In Non-Literate Communities Abraham Alabi Introduction Vaccine testing through clinical trials poses ethical challenges even in literate communities but the problem is compounded in the non-literate due to ignorance, cultural beliefs, and lack of proper understanding of the concept of vaccine. Clinical trials that lacked appropriate scientific basis and ethical justification were conducted predominantly on the disadvantaged, usually non-literate subgroups at different times in past century. For instance, the Nazi doctors conducted gruesome medical experiments in German concentration camps during the Second World War. Similarly, some 400 poor black men in the rural south of USA who were diagnosed with syphilis were left untreated as part of a study that was designed to observe the natural course of untreated syphilis in the Tuskegee syphilis study that came to light in the 1970s (Jones, 1981). Such trials which were deliberately designed to exploit the ignorance of participants were accompanied by serious injuries, permanent disability, and the death of the research subjects. The establishment of internationally recognised ethical codes and standards for conducting clinical trials on human subjects was as a result of public outcry and condemnation and as part of the concerted efforts of the scientific community to prevent future occurrence. A few examples of codes and regulatory frameworks that are conceived to prevent occurrence are the: Nuremberg Code (1949), International Ethical Guidelines for Biomedical Research Involving Human Subjects (CIOMS, 1993), World Medical Association Declaration of Helsinki (2000; 1964), and Belmont Report (1979). This paper will attempt to outline main ethical challenges in study design in vaccine testing in nonliterate communities and/or resource-limited settings in Africa. Study Design Non-literate communities are unique settings in which the concept of vaccine testing or trials could easily be misunderstood or misinterpreted at any stage of the process. Hence the study design must be simple with in-built mechanisms for monitoring, dissemination of outcomes, investigatorcommunity interaction, and conflict resolution. Other important factors that must be carefully considered in the design of a vaccine trial in non-literate communities are the objectives of the trial; the Phase (whether Phase I, II, or III); mode of delivery; cold-chain requirements; data analysis; cultural beliefs; leadership structures; confidentiality; and community mobilisation (*i.e.,* how to communicate effectively with all strata in a given community). It is important to pay attention to post-trial events such as plan for the dissemination of results and how the tested vaccine will be made available to the participating communities if successful. Ethical codes in vaccine testing consist of a set of clear guidelines for community-based vaccine trials in accordance with internationally acceptable standards. This is without prejudice to the type of community, (*i.e.,* literate or non-literate) because ethical codes should not be based on social or educational status. However, special efforts must be made to ensure that the ethical codes are simple and unambiguous when vaccine trial is conducted in non-literate communities. In addition, the codes should be translated into local languages and clearly explained to staff in a way that they understand the rules and procedures that guide the conduct of trials if they are to be directly involved (*i.e.,* as field workers or interpreters). Ethical codes in vaccine trials must provide guidance to all staff on the likely ethical issues that may arise in the course of trial. These will include respect for participants and the cultural values of the participating communities; informed consent; enrollment of volunteers; procurement of vaccine; storage and transportation; recommended dosage and the route of administration; health and safety (*i.e.,* the favourable risk/benefit ratio); sample and data collection procedures; analysis and dissemination of results; including independent ethical review of protocols. All professional staff such as doctors and nurses must comply with the ethical codes of their professional bodies throughout trials. Ethical Challenges in Vaccine Testing in Non-Literate Communities The guidelines for ethics in scientific research involving human subjects are informed by the principles of: a. respect for persons; b. beneficence/non-maleficence, and c. justice (Marshall, 2007). While these ethical guidelines are now widely publicised, their implementation and acceptance has remained largely voluntary (Bhutta, 2002). This is true in many developing countries where the regulatory bodies and institutions that are charged with the responsibility of ensuring compliance with international standards lack the capacity to do so. However, many of these countries are now making effort to have functional National Ethics Review Committees (NERCs) and Institutional Review Boards (IRBs) with the support of funding agencies. Carrying out vaccine trials in non-literate communities often involves an act of balancing universally recognised ethical standards for research with the local. Marshall (2007) concluded that the disconnection between ideal standards and their application in the real world of structural imperfections and social, political, and economic inequities contributes to the moral complexity that surrounds research design and implementation in resource-poor settings. It is desirable to adapt ethical requirements to the reality in non-literate communities without compromising internationally acceptable standards. The main ethical challenges in vaccine trials in non-literate communities are as follows: Informed Consent The concept of informed consent is crucial to the credibility of any vaccine trial. The participants in trials should voluntarily agree to participate after they are given all relevant information pertaining to the trial; (*i.e.,* they have well-informed knowledge upon which they can independently take a decision to participate without any fear of intimidation or denial of any potential benefits of the trial). But the challenges in non-literate communities include: - how to explain the concept of informed consent to non-literates to sufficiently understand and make informed decisions; - how independent is the decision to participate in a vaccine trial (*i.e.*, autonomy); - the motive for participation, and - whether the head of a household or community can give consent on behalf of members of his/her household or community. Therefore well-informed consent is a challenge. The question is: "how informed is informed consent among non-literate respondents?" In a study of informed consent in an influenza vaccine trial among children in The Gambia, Leach et. al., (1999) reported that, although 90 per cent of the 189 consenting parents knew that the aim of the vaccine was to prevent disease, only 10 per cent understood the placebo in the control design. Similarly, Pace *et. al.,* (2005) found that even though most respondents in their study of comprehension of consent in a randomised drug trial among HIV-positive individuals in Thailand said that they were well informed, only one third correctly reported that half of the participants would receive the experimental therapy. Finding words in local languages to explain scientific terms such as placebo, randomisation, and confidentiality without distorting their meanings is also a great challenge. Community Consultation and Mobilisation Recognised heads/leaders (*i.e.,* traditional rulers, village heads, chiefs, etc) wield enormous powers in non-literate communities and securing their support is essential to achieving a successful vaccine trial in their communities because they enjoy substantial respect and followership. The challenge is how best to approach these leaders to make them buy into the idea that participating in a vaccine trial is good for their communities. The support of such community leaders is also vital in resolving potential misconceptions or conflicts during trials. For instance, The Medical Research Council (MRC) has been operating in The Gambia for over sixty years with good and mutually beneficial relationship with Gambians and their Government. This cordial relationship has been very useful in resolving misconceptions about research activities. Consequently, community involvement should be an ongoing process in which the community is kept abreast of research activities and findings (Marshall and Rotimi, 2001). Conclusion Internationally recognised ethical codes and standards are well-established for scientific research involving human subjects. Social and behavioural research must always uphold mutual respect and trust between participants and investigators and also adhere to the principles of beneficence and non-maleficence (do no harm). Ethical code must strike a balance in the obligations to study participants, professionalism, funding agencies, and the society at large. The debate goes on whether ethical codes and standards should be universally sacrosanct and followed strictly by the letter irrespective of the location of a study. While strongly arguing against promoting double standards under any guise, it is advisable to adapt ethical codes and standards to the need and practical realities of the different communities across the globe. References Bhutta, Z. A. (2002) "Ethics in International Health Research: A Perspective from the Developing World", *Bulletin of the World Health Organization*, 80(2): 114-20. CIOMS (1993) International Ethical Guidelines for Biomedical Research Involving Human Subjects, Geneva: WHO. Jones, J. (1981) *Bad blood: The Tuskegee Syphilis Experiment: A Tragedy of Race and Medicine,* New York: The Free Press. Leach A. *et al.*, (1999) An Evaluation of the Informed Consent Procedure Used During a Trial of a Haemophilus influenzae Type B Conjugate Vaccine Undertaken in The Gambia, West Africa", Social Science & Medicine, 48(2): 139–148. Marshall, P.A. (2007) Ethical Challenges in Study Design and Informed Consent for Health Research in Resource-poor Settings, http://www.who.int/tdr/publications/publications/pdf/ethical_challenges.pdf (accessed on 04/04/08). Marshall, P. A. and Rotimi, C. (2001) "Ethical Challenges in Community Based Research", American Journal of Medical Sciences, 322(5): 259–263. Nuremberg Code, (1949) From Trials of War Criminals Before the Nuremberg Military Tribunals Under Control Council Law, Vol. 2, No. 10, *181-182.* Washington, D.C.: U.S. Government Printing Office. Pace, C. *et. al.*, for the ESPRIT Group (2005) "The Quality of Informed Consent for a Clinical Research Study in Thailand", *IRB: Ethics and Human Research*, 27(1): 9-17. The Belmont Report (1979) *http://www.impactcg.com/docs/BelmontReport.pdf* (accessed on 14/04/08). WMA (1998) "Declaration of Helsinki", In A. R. Jonsen, R.M. Veatch, L. Walters (eds.) Source Book in Bioethics, Washington DC: Georgetown University Press, 13-15. # Ethical Issues And Research Code In Social Science Methodology In Africa Olayiwola Erinosho Introduction Scientific inquiry is about observation, objectivity, rigorous interrogation, analysis, and interpretation of data on the basis of probability theory. Testable propositions may be confirmed or refuted on the basis of carefully assembled verifiable facts. Every outcome of scientific enquiry has a character of hypothesis. As such, today's outcomes may be refuted tomorrow if newly discovered facts indicate otherwise. The core principles underlying science methodology transcend all human societies regardless of their colour, creed, or spatial location. Pioneer social scientists also shared the epistemological standpoint of biological and physical scientists in the production of knowledge. Social scientists are therefore expected to be detached in the study of human behaviour (*i.e.*, value –free) as well as display an *open* rather a *closed mind* on outcomes. Outcomes may be modified or dismissed depending on new facts/data. The orientation of the founders of the social sciences was eclectic because they were inclined to utilise wide ranging strategies severally and collectively in data collection. They recognised a holistic approach to the production of grand scientific theories. Positivism was not strictly defined in terms of the quantitative method, or by simply quantifying data/information but in a broad inclusive way. They reasoned that grand theories could only enjoy scientific credence if all possible useful and relevant techniques are used in data collection in the study of social problems and society. The classical works of pioneer social scientists bear testimony to this orientation. Works by Smith's (1976), Comte's (1776), Durkheim (1951), Weber (1958), and Marx (1906) underscore an eclectic orientation in social research because both the quantitative and qualitative including the historical methods were used by these writers to gather data that are required to support their paradigms. The pioneer social anthropologists invented the participatory/observational method in order to understand/analyse human behaviour/communities. They lived, ate, drank, played, worked etc with groups/communities. They studied the local languages before they embarked on research. It is painstaking because researchers are required to spend several months or years observing and taking notes before analysing and interpreting what they observe. This enables them to understand the history, social life and structure of the groups/communities were (or are being still) studied. This paper will attempt to provide an overview of the ethical issues and research code including challenges/dilemmas in social science research projects in largely non-literate societies in Africa. Ethics and Code in Social Science Research Ethics and research code are extremely important in the work of social scientists because the rights of human beings that are targeted in their studies must be respected. It is desirable for them to: - obtain informed consent from participants prior to the studies that focus on them; - handle them with dignity during study; - assure confidentiality of the information, most which might be personal, that is obtained from them; - provide feedback to them on the completion of study, and - ameliorate their conditions if possible (Nuffield Council on Bioethics, 2002; Marshall, 2007). One of the practical ways of highlighting what is proper in the context of social research is to focus on methods of social investigation which include: - survey research (*viz.,* which may be retrospective, cross-sectional or longitudinal); - experimental; - quasi-experimental; - participatory/observational; - non-participatory/observational; - focus group discussion; - In-depth interviews; - case study, and - documents/records. Informed consent is required in order to access documents/records in retrospective surveys and in the procurement of information from respondents that are targeted in all manners of social research. Written permission is required while respondents and organisations are free to participate or opt out from studies. Permission provides the covering approval for data collection on a wide range of issues including those that are of personal and/or sensitive nature. Also, the respondents that are targeted must be given adequate information on the objectives of the study. The permission to ask any question or obtain any record including the opportunity to use the precious time of respondents is a *privilege* and not a *right*. As such, researchers are expected to seek their cooperation before embarking on their study. Entry into organisations and/or small communities can be facilitated if permission is sought and obtained from their heads/elders. The heads/elders of organisations are the gatekeepers of records/documents, their co-operation will facilitate data gathering. Researchers should give assurance that on keeping the information that is provided confidential. It is also necessary to enlighten respondents/communities on the risks and benefits of their studies. Finally, they should express their gratitude to them on the completion of interviews/studies. Researchers were inclined in the past to report the outcomes of their studies in journals/books which are usually not accessible to their respondents or the organisations that are targeted for study. But sharing outcomes through policy briefs and/or workshops with respondents/organisations that are targeted for study is vital for two reasons. Firstly, it gives them an insight into outcomes and also ample opportunity to make input into them (*i.e.,* the outcomes) even when researchers are unable to solve the problems of respondents and communities. Information sharing also reassures the targeted respondents/organisations/subgroups that they are not merely used and dumped by researchers. Finally, feedback clear the way for prospective researchers in same group/community/organisation in the future. It is vital to draw attention to ethical issues in participatory/observational studies of sensitive groups such as cults or secret societies etc. While such groups could grant researchers the permission to study their activities, they might not take kindly to the dissemination of what they do in secret to the public at large (Brink, 1993). This implies that those who work on sensitive issues ought to seek clarification before disseminating the outcomes of their studies. Research Code in Social Research Studies must be conducted in accordance with extant guidelines/rules in scientific work. Among the extant guidelines are to: - select adequate/representative sample; - maintain affective neutrality; - apply appropriate statistical techniques where required; - interpret outcomes dispassionately, and - draw reasonable conclusions based on facts. Researchers should recognise the limitations in the use of records and documents that are kept by those that do not have the researchers in mind. Secondly, records/documents are not necessarily sufficiently rich for the analyses that social researchers envisage. Thirdly, they might have been deliberately distorted by their recorders/keepers. Fourthly, records and documents provide an eye bird view of issues/problems (*e.g.,* hospital records or crime records) and are therefore not sufficiently comprehensive. These and other shortcomings should be recognised in retrospective surveys based on records and documents. Researchers ought to exercise caution in the interpretation of findings, bearing in mind that there are chance errors. Besides, they ought to be honest and transparent in their work as well as acknowledge the contributions of co-authors, field workers, and other collaborating institutions in the implementation of their studies. Ethical Challenges and Dilemmas in Non-literate Communities One of the major challenges facing researchers in non-literate communities is how to obtain informed consent in writing as demanded by international ethical review boards. Non-literate respondents are always unwilling to append their signature to, or thumb print consent form because of its legal implications. However, they are inclined to give oral consent. The key issue is whether oral consent is adequate for ethical clearance by boards that are not acquainted with the sociocultural context of research in Africa. A solution that is worth considering is to procure oral consent on tapes provided it is with the permission of respondents. Another challenge revolves around entry into communities. Communities are now becoming hostile to researchers and are also equally inclined to demand some sort of monetary gratifications before collaborating with them. The participants in focus group discussions would like to be reimbursed for money spent to travel to the venue of discussions and/or for abandoning their sources of livelihood in order to take part in discussions. Chiefs would like to be settled in cash or in kind up front before garnering the support of members of their communities. Some areas or subregions like the Niger Delta in Nigeria are proving dangerous for research work There is now a loud and demand from the public for the benefits of research in view of the failure to use the outcomes from past studies to improve lives. A certain degree of cynicism has crept in and this is accounting for blackmail and/or outright hostility toward social research and researchers. But researchers usually lack the funds for dissemination seminars/workshops at the end of their study. Research Code and Its Challenges in Non-Literate Communities There are misconceptions about social science methodology in Africa's institutions of higher learning resulting in a situation in which students tenaciously hold to the viewpoint that the quantitative is the most effective and important method. Teachers and students appear to be incapable of showing appreciation for developing and/or acquiring appropriate skill in qualitative including the historical methods that can yield the data that enrich quantitative studies. There is an erroneous but widely shared view that social science work cannot really be regarded as scientific or earn respect unless: - questionnaires are designed and administered; - data are processed using computers, and - mathematical models/equations and other sophisticated statistics are flaunted with commendable ease. This orientation presumably explains why the dominant social science methodology among scholars obfuscates the understanding/analysis of Africa's problems. Africa is still largely rural and noted for oral tradition and large numbers in the population are still non-literate. Surveys in which questionnaires are administered among largely non-literate respondents in Africa often fail to uncover critical aspects of behaviour patterns, resulting in superficial analysis, interpretation, and recommendations. Although researchers usually indicate that they intend to gather qualitative data through focus group discussions or in-depth interviews, they hardly make use of them in the final analysis. The importance of an eclectic orientation in social science methodology in the understanding of Africa's problems cannot be glossed over in view of the outcomes from recent HIV/AIDS studies. African countries are still carrying a heavy burden of the disease in view of the pervasiveness of high risk behaviours despite the efforts that have been made to understand the factors that account for its spread. Two studies, one from East Africa (Soma-Net, 2006) and the other from Malawi (Tawfik & Watkins, 2007) in which the researchers used the participatory/observational and community dialogue methods in their investigation of behaviour patterns that are conducive to the spread of HIV/AIDS. are however providing significant insights. These studies demonstrate the need to bring a fruitful approach to the study of social problems in Africa. The challenges in field research at the macro standpoint can be briefly examined in the context of the study of sensitive problems like secret societies or sexuality or reproductive health matters most especially among non-literate or Muslim subgroups and bland/ non-sensitive ones (*e.g.,* job satisfaction and motivation or use of health facilities etc). Researchers are likely to face more difficulties or taxing challenges in the studies on the sensitive than in those that are not. The design of instrument for field studies in multi-ethnic and largely non-literate societies could be challenging because they (*i.e.,* the instruments) are expected to be translated into local languages/dialects by experts who are also acquainted with commonly used words and/or inoffensive concepts (*e.g.*, studies on sensitive issues/subgroups). Back and forward translations could be problematic and is also are the recoding of responses by field workers. Field assistants must be well trained to administer the instrument in the most effective way. They must also possess the capacity to relate in an accustomed way to respondents/communities. For instance, accessing women who live in Purdah in Muslim communities in surveys is by no means an easy task because the permission of their husbands must be sought and obtained. The husbands of these women could also insist on being around while the interview is taking place. Getting such women to participate in focus group discussions away from their homes could also pose a problem to researchers. Another dilemma facing researchers is how to compensate participants during data collection without paying them. Respondents are nowadays unwilling to participate in studies unless they are compensated in one way or another partly because the: - societies have become materialistic; - respondents are wary of researchers who tend to breeze in and out and take their cooperation and support for granted, and - cynicism over the possible benefits of research to them/communities. Consequently, everyone is anxious to know what is in the research for them which they would like to collect "up front". Data like age is difficult to gather in non-literate populations. The National Population Commission in Nigeria has devised the means of estimating age during national censuses by using uses important historical events. Occupation is another variable that defies reliable classificatory scheme because it is difficult to distinguish trader from business man or woman. Another is income and researchers are forced to estimate or use proxies. Researchers are also likely to confront different challenges in urban vis-à-vis rural settings. While entry into rural areas could easily be facilitated by community leaders, this could prove to be difficult in large urban settings that incorporate heterogeneous ethnic groups. Researchers might have to enter urban communities through age grade associations, civil society organisations, faithbased organisations etc. or use the media to educate the public about the impending study in order to secure their support. Concluding Remarks This paper has addressed key ethical issues and challenges in social science methodology in the context of Africa. As can be seen from the discussion, African countries are unique in a number of ways. They are multi--religious, multi-cultural, multi-racial, and non-literate. Secondly, vast numbers of their citizens are still non-literate and poor. Thirdly, the gap between researchers and the populace is wide because the former who are literate and 'westernized" are inclined to carry patriarchal nuances into their relationship with those that are targeted in research who are largely non-literate and unacquainted with the logic and process in social research. The paper has highlighted the dimensions of ethics in research in such settings. References Brink, P.J. (1993) "Studying African Women's Secret Societies", In C.M. Renzetti & R.M. Lee eds. *Researching Sensitive Topics*, London: Sage Publications, 235-248 Comte, A. (1855) *The Positive Philosophy*, Free trans. and condensed by Harriet Martineau, 3 Vols. New York: Calvin Blanchard. Durkheim, E. (1951) *Suicide: A Study in Sociology*, trans. J.A. Spaulding and G. Simpson and ed. With introduction by G. Simpson, New York: The Free Press of Glencoe. Marshall, P. (2007) Ethical Challenges in Study Design and Informed Consent for Health Research in Resource-poor Settings, Geneva: World Health Organisation. Marx, K. (1906) *Capital: A Critique of Political Economy*, New York: The Modern Library. Nuffield Council on Bioethics (2002) The Ethics of Research Related to Health care in Developing Countries, London: Nuffield Council on Bioethics. Smith, A. (1776) *An Inquiry into the Nature and Causes of Wealth of Nations*, edited by E. Canaan with Preface by George Stigler, Chicago: University of Chicago Press. Soma-Net, (2006) Re-Thinking Research and Intervention Approaches that Aim at Preventing HIV Infection among the Youth, ed. Anne Pertet, Nairobi, Kenya: Soma-Net. Tawfik L. & Watkins, S.C. (2007) "Sex in Geneva, Sex in Lilongwe, and Sex in Balaka", Social Science and Medicine, 64, 1090-1101. Weber, M. (1958) *The Protestant Ethic and the Spirit of Capitalism*, New York: Charles Scribner's Sons. # 8 Ethical Issues In Qualitative Research In Public Health In Africa Paul Nchoji Nkwi Introduction Medical anthropology which seeks to study disease and other health problems as cultural phenomena also pays particular attention to ethical issues. Working with public health specialists often calls for special attention to issues that concern the privacy of patients, confidentiality, conflict of interest, informed consent, beneficence, maleficence, and all ethical issues that focus on cultural concerns. Anthropologists use predominantly qualitative research methods and these ethical issues are part of the process, a process which includes the collection and analysis of data. The generation or creation of knowledge is often and in most cases the object of research but the practical application of knowledge is often recommended because we seek to improve the quality of health when we deal with health issues. The models below attempt to show how all the ethical issues must be at the back of the mind of researchers as they conduct research. ## Sample Themes Of Behavioural Research On Hiv/Aids Stages Of Applied Research Source: Ndonko and Nkwi, 2004 In order to understand and appreciate qualitative methodology, we will provide answers to the following questions: What is qualitative research? Where do qualitative data come from? What do qualitative researchers in health do? Why use qualitative data? What is Qualitative Research? Qualitative research involves any research that uses data that do not indicate ordinal values. It deals with video, objects, texts, or narratives of a personal life. It could also consist of a list of bars or clubs that are frequented by prostitutes or all articles that mention HIV/AIDS in local newspapers over the last 20 years. The expression "qualitative research" could be confusing but Bernard (1996) notes that since research consists of data collection and analysis, it is not clear if qualitative research refers to the collection of qualitative data or qualitative data analysis. Where Do Qualitative Data Come From? Qualitative data come from two main sources: non-interviewed-based and interview-based sources. First, we need to distinguish data that already exist in those that are procured through interviews. The non-interview-based data include tangible things (artefacts and documents) and observations. Artefacts include all material objects (archaeological findings, goods and tools, etc). Documents include video (films *etc.*), audio, (music, oral speeches *etc.*), books, personal letters, newspaper articles, *etc.* All human historical records belong to this category Interview-based data sources can be broken into those that produce free-flowing texts, words and phrases. Interviews that produce free flowing texts can further be distinguished into unstructured (*e.g.,* informal ethnographic materials from participant observation) and the structured (*e.g.,* focus groups). Techniques that produce words and phrases are often referred to as "systematic". These include free-listing pile sorts, triad tests, paired comparisons, frame substitutions, successive freelisting, ethnographic decision models, face-to-face surveys and questionnaires. What Do Qualitative Researchers in Public Health Want to Do? The choice of methods depends on the (a) aims and goals of research; (b) theoretical and conceptual approaches in a research; and (c) feasibility and ethics of the sampling strategy (Miles and Haberman, 1994). In exploring a subject, a researcher hopes to discover themes and patterns and/or build models. An example is a study on the factors that determine high fertility or the prescribing behaviour of family planning products by providers. In the case of description, the researcher will describe a single case, list typical events as well as exceptional idiosyncrasies. The researcher will describe cases and note how individuals are similar and different from one another. Comparison can be made at the individual and group levels. Why Use Qualitative Data? There are pragmatic and epistemological reasons for using qualitative data. Researchers who study health and population issues might wish to: - discover or explore new phenomenon; - identify new concepts and themes; - describe and understand complex, dynamic, multidimensional phenomena, and - bring forth people's experiences. The Informant The informant is to the anthropologist just as the patient is to a medical doctor. Medical ethics imposes on the physician a behaviour pattern or guiding principles that are related to the physician's consultations. The basic values in medical ethics are beneficence, non-maleficience, autonomy, justice, dignity, trustworthiness and honesty. Informed consent is also important. Informants are the oral sources of information and the repositories of knowledge from which researchers retrieve information which they transcribe into books and monographs. They have special knowledge. They are articulate and full of insight in many areas that are of interest to social scientists. We return to key informants on many occasions in social research and build knowledge on issues that are of interest on such occasions. We document what they say including their names, dates, and settings of interviews. Sometimes we forget to quote them as we quote other authors. Interviewing Ethics Some basic ethical considerations must be respected in order not to cause any emotional or physical harm to informants in the data collection process. The researcher must decide at the initial stage of the interview what kind of data he/she wishes to collect. He/she must protect the identity of informants if the information that is being collected is sensitive. Protection means that the researchers must protect informants from emotional disturbances (Bernard, 1994). The possible harms to the informants are: - violation of informant's right to privacy by asking sensitive questions; - violation of informant's right to privacy by having access without his/her permission to records or files that contain personal and confidential information; - secretly observing the behaviour of informant; - disclosure of information from your informant to other persons, and - failure to observe or respect certain cultural values, traditions, and taboos. (This could occur when the researcher lives in the community). In order to avoid attitudes that could tarnish the image of a researcher in the community and/or jeopardise the future for others, researchers must: - obtain the consent of the informant before asking sensitive questions. (This should be obtained before the interview starts); - respect the informant's privacy; - ensure that the data are protected against third party, and - avoid misrepresentation of the information that is obtained from informants (*i.e.,* must be reported verbatim without identifying by name unless this is waived by informants). Cultural concerns are paramount in all of these. The cultural perceptions of diseases may not necessarily correspond to modern medical ethics. Many cultures have spiritual or cultural theories about the origins of disease which are not in consonance with the germ theory in western medicine. Often researchers have to reconcile the people's beliefs with the tenets of Western medicine but this is often very difficult. Indeed, value judgment must be avoided. That is, researchers should avoid classifying cultural practices as good or bad. Although this could lead us to assert the value of cultural relativity, we cannot judge other cultural practices through our prism. Consent must be obtained in the collection of qualitative data in which key informants are targeted. The informants should be briefed about the purpose of research and shown why their knowledge will contribute to this. Informants should know about the risks that they are taking. Informants can choose to make their own health decisions, and only delegate such decision-making authority to another party when culture does permit them to do so. The decision-making tree-model in terms of health reconstruction is generally made on the basis of experiences and cultural norms and values. The value of informed consent is closely related to the value of autonomy and truth telling. An example: in cultures where people's wives cannot be interviewed without their consent, researchers should not attempt to do so. Confidentiality This applies to information that is obtained by researchers from informants/patients. Revealing confidential information that is obtained from informants under oath is unethical. In order to assess the quality of life of people living with HIV/AIDS, we conducted a series of interviews in several treatment centres and found that almost 40 per cent came from other faraway treatment centres. Many of them came to these centres because they wanted anonymity. We had to assure them of total confidentiality in order to collect data from these patients. Revealing HIV/AIDS status without consent is unethical, especially if this information is obtained confidentially. Beneficence This is about the concept of doing *good* to community in general. Some interventions or the work that we do can bring about positive outcomes while also potentially doing harm. The problem of "double effect." is possible. Researchers in medical research use experimental drugs for treatment groups while the control groups do not receive treatment. If the experiment proves successful, it will benefit many. During the period of treatment, it is possible that people in the control group may die because of neglect Cultural Concerns Use of *emic* and *etic* approaches in the study of health problems in communities is critical in the understanding of how a culture views itself from the inside (*emic*) as well as the outsiders view of it (*etic*). Cultures have different perceptions of medical problems. Some cultures have spiritual theories about the origins of disease. Appreciating these theories and considering them from the standpoint of insiders is the beginning of reconciling these beliefs with Western notions of medicine. Value judgments must be avoided. Although this may lead to asserting the value of cultural relativity, we cannot label other cultural practices as bad. Some cultures believe that female genital mutilation (FGM) has the potential of increasing fertility. Understanding the "internal logic" of FGM will constitute the beginning of leading people to consider the risks that are involved. Studying One's Culture Many researchers study their cultures as health providers study their family members. Researchers and health providers who do so must be vigilant not to create conflict of interest or handle issues inappropriately. Studying one's culture usually has a number of advantages, - the mastery of the language(s), knowledge of the basic cultural tenets (values, norms, beliefs) etc. But the researchers can lose objectivity and take many things for granted. Conclusion The anthropology of health which studies diseases and medical problems as cultural phenomena focuses on the individual as the reification of cultural concepts, beliefs, and norms. The individual is not just a patient but a carrier of culture or gatekeeper. The key informant or the ordinary sick person who is seeking to reconstruct his/her health goes to a healer who heals, and to the diviner who diagnoses and also heals. Each culture has its own health system with its own cannons, tenets, and code of ethics. If research has need of information, one of the basic norms is to respect culture, values, and norms. The breaking of these rules can be counterproductive and may constitute a constraint to future researchers. References Bernard, H.R. (1994) Research Methods in Anthropology: Qualitative and Quantitative Approaches, AltaMira: Walnut Creek. Miles, A. and Huberman, S. (1994) *Qualitative Data Analysis*, Thousand Oak, CA: Sage Publications. Nkwi, P., Nyamongo, I. and Ryan, G (2001) *Research Guidelines for Socio-cultural Research*, Yaoundé: CASSRT Publication. Ndonko F. and Nkwi, P. (2004) *Applying Anthropology: The Study of HIV/AIDS In Cameroon*, Yaoundé, Cameroon: CASSRT Publications. ## 9 Hiv/Aids In Nigeria And Its Ethical Challenges Babatunde Osotimehin Introduction Readers might ask: Why the focus on HIV/AIDS? And what makes it so different from other diseases? The true story of the family of Mr. A, a big time cocoa farmer from one of the South Western states of Nigeria, will shed more light on the gravity of the epidemic. As Mr. A's business boomed, so did his family which comprised four wives and twenty-two children. In the late 90s, Mr. A, a trader operating in Northern Nigeria, took ill and was taken to his ancestral home to receive treatment. Mr. A's illness was protracted, and the family was forced to expend a large proportion of its earnings on its breadwinner. The lorries for his cocoa business were sold. Mr. A's health continued to deteriorate despite the huge amounts that the family spent to look after him. While Mr. A's health was failing, his second wife took ill. Local herbs and remedies were applied, but her condition worsened. It was detected that she had tuberculosis when the advice of orthodox medical practitioners was sought. Mrs. A was isolated. Her eating utensils (*i.e.,* cups, plates and spoons) were separated from all others in the household. Word spread around that a strange form of witchcraft had befallen the family of Mr. A. Soon after, a gaunt and very sickly Mr. A gave up the ghost. The family mourned the loss of their patriarch. Shortly after his death, Mr. A's first wife also took ill. She lost appetite, complained of nausea and diarrhoea and lost weight very rapidly. This time around the advice of a close family friend was sought. A formally trained nurse noticed a strange trend in the community. Able bodied men were being brought home "close to death'. They presented with symptoms similar to the new and dreaded disease called "AIDS". Following trainings at workshops, a next of kin volunteered to offer home-based care to those in critical condition as most health care workers were unwilling to touch these patients. On one of her home care visits, she was informed about the plight of Mrs. A. Based on her experience, she suspected HIV infection. She visited and found two of the wives in critical condition, one dying of tuberculosis and the other losing weight very rapidly. The nurse invited a doctor to their home and offered voluntary counselling and testing services to the wives. Three of the four wives tested HIV positive. Financial support was provided within the dwindling family resources to take care of the sick wives. However, both wives died within a year. Caring for sick mothers and a father placed a heavy toll on the children's education. Some of the children skipped school in order to take care of their sick mothers. Others took turns to oversee their mothers' petty trading business. As the family income dwindled, so did the prospects of a sound education. Several of their children who ought to sit the West African School Leaving Certificate examination could not do so. There was simply no money to pay their fees. Others were sent back home as they could no longer afford to pay school fees. The cocoa business gradually crumbled. A once rich family became impoverished by HIV/AIDS. Word got round that Mr. A's wives were HIV positive. Family and friends were unwilling to associate with the family. The petty trading business also received low patronage as a result of the stigma that is associated with HIV which the family members encountered. A few 'bold' close relatives offered what they could, but it was insufficient to go round everyone. The nurse who became a regular visitor to the family spoke with a few community leaders and development partners to see if some assistance could be offered. Mr. A was blessed with several sons and daughters. In an interview with a journalist one of the daughters, a sixteen year old, stated that though she wanted to further her education, she did not have any means to do so and did not know what steps to take. HIV infection had suddenly exposed the teenage girl to the harsh realities of life, thus increasing her vulnerability. If the desired help was not forthcoming, it was left to imagination what the girl could do in order to keep body and soul together and 'make ends meet'. Other children within the family also remained at crossroads. Poverty predisposes HIV and fuels its spread. Mr. A's family story depicts the challenges that HIV/AIDS presents in various spheres of life on a daily basis. Nigeria's Response to HIV/AIDS Nigeria's journey in addressing HIV/AIDS began when the first case was identified in 1986. There was, however, an initial denial about the infection for four years (*viz.,* 1986 and 1990). HIV infection spread unabated among the 'at risk populations or vulnerable groups ' including uniformed men, women, girls, long distance truck drivers, youths, and sex workers during this period. The denial of HIV/AIDS fuelled the spread of the epidemic. The stigma and discrimination faced by the few known HIV+ individuals also drove the infection underground. Slowly and steadily, the number of HIV+ cases grew (NACA, 2002; FGN, 2003; FMOH,2004). The first sero-prevalence survey was conducted in 1992 when the national prevalence was 1.8 per cent but this exploded to 5.8 per cent by 2001. However, the last two surveys indicate a decline to 5.0 per cent in 2003 and 4.4 per cent in 2005. We are in the middle of another survey and we expect that it will be less than 4.4 per cent. General awareness about the infection grew between 1991 and 1998 and Nigeria slowly began to acknowledge the seriousness of the epidemic. But has awareness been translated into action aimed at reducing the spread of the epidemic? No. It took the death of Fela Anikulapo-Kuti, one of Nigeria's greatest musicians as a result of HIV/AIDS to wake many Nigerians up to the reality of the disease. Fela died in denial of his HIV status. He kept a harem of 27 wives and countless other sex partners. He did not believe in condoms and thought AIDS was a Western invention to discourage sex in Africa, even though his elder brother was Nigeria's renowned Health Minister and notable health care advocate. It took the courage of Professor Olikoye Ransome-Kuti to announce to the whole world that Fela died of AIDS. Fela was the AIDS role model that Nigeria never had. Fela's death presented an opportunity to drive the HIV/AIDS message home. Unfortunately, that opportunity was not efficiently utilised to drive the AIDS message home. That didn't happen. Eventually, a health sector response to HIV/AIDS was initiated by Professor Olikoye Ransome- Kuti which was energised by the death of his brother. It became apparent over time that a strictly biomedical approach to HIV/AIDS would not work given the fact that a critical element in tackling this infection was and is still "Behaviour Change". The need to engage all sectors in the response to the epidemic became paramount, hence the adoption of a multi-sectoral response. While a multi-sectoral approach has yielded results, it still does not present the 'magic bullet' solution to the HIV/AIDS burden that Nigeria bears. We are hopeful but we are not yet there. Several scientific breakthroughs in the past two decades indicate that there is light at the end of the tunnel. Several hurdles lie in way in the attempt to nip the burden of HIV/AIDS in the bud. Questions abound and there are no easy answers but the author will to raise some of issues in the hope that this paper will stimulate discussions. Voluntary Versus Routine HIV Testing and Ethical Challenges Over the past decade, the case for voluntary testing has been promoted by human rights advocates who are of the opinion that an individual should voluntarily undergo HIV test. On presenting at the centre, the individual is counselled and offered the test. He/she could refuse to undergo the test after counselling. It is a purely voluntary issue. Though VCT has been promoted over the years and continues to be promoted by religious leaders, civil society advocates etc, a major drawback is that the 'average man on the street' has strong reservations about going for HIV test. It takes a lot of courage to go for a test! Yet, those living with HIV do not even know it because they have not gone for test. There is needless death with the advent of antiretroviral drugs (ARVs) for HIV/AIDS. Many HIV related deaths would have been prevented if the affected persons were aware of their condition and were immediately placed on ARV. Because people often delay, there is the likelihood that they may put their health and that of their loved ones at risk Routine testing on the contrary implies that HIV tests are done routinely every time persons present themselves at health facilities (*i.e.*, for blood donation, tooth infection, malaria, typhoid etc). If the person tests positive, the individual is promptly counselled and placed on treatment for opportunistic infections (O.Is) or ARVs as the case may be. Proponents of this approach which is now endorsed by the World Health Organisation (WHO) argue that routine testing presents the opportunity to screen a wider range of people for HIV and is beneficial because cases will be detected early. They also argue that given that HIV/AIDS is a public health issue, it is more important to protect the health of the 'general public' than to protect an individual's right. Efforts to protect an individual's right to privacy, (*i.e.,* through voluntary counselling etc) should not put the health of a population or community in jeopardy. Here lies the ethical dilemma, - do we promote the right of an individual or do we ignore it in order to protect the larger population from harm? Preventing Parent to Child Transmission In view of the scientific breakthroughs on HIV, it is now possible for People Living with HIV (PLWH) to marry and bear HIV-children. Several HIV+ women worldwide have through prevention of mother-to- child transmission programmes given birth to healthy children. But it is important that mothers are treated to enable them to take care of their children. Research indicates that breast milk provides one of the routes for HIV transmission. Consequently, HIV+ mothers are encouraged to avoid breastfeeding: rather, they are to provide infant formula for their newborns. Free infant formulae are provided to HIV+ mothers in some of the tertiary health care facilities under the Federal Government treatment programme in collaboration with its partners. Also, free maternal care and infant formula are available in our culture where breastfeeding is strongly promoted as the best means of nutrition for infants. However, a nursing mother who refuses to breast-feed is viewed with suspicion within the community and may be stigmatised for choosing not to breastfeed. How can HIV-positive nursing mothers in the rural areas preserve the health of their children without incurring the wrath of the custodians of culture/tradition who believe that the 'mother's milk is best? Should an HIV+ mother in a hard to reach rural community in Nigeria watch her newborn child starve because she cannot afford infant formula? Should she breastfeed her baby and unduly expose the infant to HIV? These are tough decisions for any mother to take and they present another dimension in the debate of what is ethical. The Male Circumcision Debate Several cultures in Nigeria and other African countries accept male circumcision as part of sociocultural and/or religious practices long before the outbreak of HIV/AIDS. Recent research findings on male circumcision that were conducted for HIV prevention among young men in the Kisumu District of Kenya indicate that it could protect them against HIV-1 infection. This was a randomised controlled trial of 2784 men aged 18-24 years aimed at determining the relative risk of HIV incidence in men that were randomly assigned to receive circumcision versus those who did not receive such treatment. The study found that male circumcision significantly reduces the risk of HIV infection among them (Lancet, 2007). It concluded that "where appropriate, voluntary, safe, and affordable circumcision services should be integrated into other HIV preventive interventions and also provided as expeditiously as possible". While this can be described as a 'breakthrough' in Kenya, such findings need to be cautiously disseminated within Nigeria where men have been circumcised from birth. These findings could also be the subject of several interpretations. The man on the street could interpret them to mean Because I am circumcised, I am protected against HIV infection'. It means I can engage in unprotected sex and may not necessarily embrace the ABC of prevention theory. This could also call into question a woman's ability to negotiate safe sex as some men might now insist that the research findings are now the gospel truth. Should these findings now take pre-eminence over the use of condoms? Is there sufficient evidence as of now to take the male circumcision trial findings hook, line and sinker? Are the risks to HIV infection lower in men who are circumcised in their youth when compared to men circumcised at birth? Ethical Challenges in New Prevention Technologies in Clinical Trials Research on HIV/AIDS that is initiated, designed, and/or funded by agencies that are in high income countries but conducted in those that are poor gives rise to important ethical challenges. Sub-Saharan Africa continues to bear a disproportionate burden of HIV infection, particularly in the marginalised communities. This implies greater imperative for the development of new strategies and technologies to prevent further spread of HIV and also minimise its impact. The conduct of the much needed research in these communities poses ethical dilemmas that are not easily resolvable. Although the clinical trials of HIV vaccines began ten years ago in the United States and Europe, an increasing number of them are now conducted or planned in other countries, including several that are considered "developing" countries which have a high HIV incidence. Safeguarding the rights and welfare of the individuals who are participating as research subjects in developing countries is a priority issue. Researchers are coming under criticism because communities and human rights advocates in the developing countries are concerned about the autonomy and privacy of individuals and respect for their personal, cultural, and social values. This is important in order to maximise the benefits for the targeted participants/communities and also advance the science of HIV prevention in Africa. Most HIV social and behavioural science investigations are on sensitive issues of prevention on sexual activities (particularly as relates to microbicides), drug use or intervention trials of biomedical technologies that could have unknown physical and psychological outcomes. The ethical requirement for such studies is informed consent from the targeted individuals and communities. But what constitutes "truly" informed consent is a subject of much discussion and disagreement in the scientific community. The issue is further exacerbated if the targeted participants have little of no formal education, speak different languages from the researchers or have cultural beliefs that do not encourage the questioning medical authority. The imbalance in the economies among nation-sates also widens this divide. Unlike in the highincome countries where their citizens participate in clinical trials for altruistic reasons, those in the low participate in trials because of some form of material 'benefits'. Such benefits include free condoms, free treatment for sexually transmitted infections, transport fare, meal allowance *etc.* These 'benefits' are the catch or inducements and the would-be participants would rather append their signatures and ignore the details that are contained in the informed consent form provided they are assured of the next meal! Should we then discontinue clinical trials in Nigeria/Africa? No. There will be no rapid scientific breakthroughs without these clinical trials. Better mechanisms should be put in place to safeguard and protect the rights of participants in clinical trials. Efforts to improve sensitivity in culturally and linguistically appropriate ways are essential in order to provide truly informed consent in HIV prevention studies. Hence, there is need for Community Advisory Boards (CABs), comprising members of the community who can critically review research protocols before they are approved for clinical trials. Trial participants should also be given the opportunity to 'opt out 'at any stage of trials. Way Forward The opportunity for this presentation before social scientists presents a chance to explore the different ways in which their disciplines can contribute to the understanding of the dynamics of the epidemic and proffer solutions to some of its driving factors. It is appropriate to suggest that HIV/AIDS and indeed the whole area of sexually transmitted diseases are more of social problems than biomedical ones. We are persuaded that behaviour change is a more effective weapon for fighting the spread of the infection but we sometimes lack the evidence for appropriate messages or interventions that will bring the desired change. Social scientists are challenged to give serious thoughts to the evidence that is required to guide interventions. New technologies also provide a great opportunity for social scientists. Potentially, there are many products which require acceptance before they are unleashed on the population. Thus, well defined population studies will be required to ensure that Nigerians/Africans are not turned into the guinea pigs of multinational pharmaceutical industries whose sole motive is at times to make ethically unacceptable profits. Finally it is important for us to appreciate that HIV has provided an opportunity to affect the health and the lives of Nigerians/Africans positively since it brings with it resources which are unprecedented in the annals of infectious disease control. We should seize the moment and make a big difference in our engagement with this development process. References Federal Government of Nigeria (2003) National Policy on HIV/AIDS, Abuja: Federal Government of Nigeria. Federal Ministry of Health (2001) A Technical Report on the 2001 National HIV/Syphilis Survey among Pregnant Women Attending Ante-natal Clinics in Nigeria, Abuja: Federal Ministry of Health. Federal Ministry of Health (2004) Technical Report 2003 National HIV Sero-Prevalence Sentinel Survey, Abuja: Federal Ministry of Health. Lancet, Vo. 369, February 24, 2007. National Action Committee on AIDS (2002) *HIV/AIDS Emergency Action Plan (HEAP)*, March Abuja: National Action Committee on AIDS. ## Ethical Issues In Usaid Applied Health Research In Nigeria Stalin Edegba Ewoigbokhan Introduction Ethics are norms for proper or acceptable conduct. They are also about what is morally right in society. Professions such as medicine and law have ethical codes, deviation from which is considered a misconduct or unethical practice. Unethical practices in health care research include: manipulation and/or changing research design or methodology to achieve predetermined expectations; altering results that contradict one's previous findings; research that exploits and/or deceives unsuspecting and less privileged subgroups in the population; and falsification of outcomes (Ryan, 2005; Committee on Science, Engineering and Public Policy, 2000). Shamoo and Resnick (2003) describe 29 activities which are deviations from ethical behaviour that are not defined as misconduct by government. Unethical activities can also be due to honest human errors on the part of researchers. More than 900 codes and declarations have been published around the world (OHRP/USDHHS, 2008). But none of these codes is complete or enjoys universal acceptability or applicability. However, each of the various declarations emerged at different times in history, each aimed at responding to a specific unethical incident. Codes and declarations have no legal status, and to a large extent, serve advisory functions (Nuffield Council on Bioethics, 2004). Although the Hippocratic Code is regarded as the ground norm for medical practice with its central commandment of *do no harm*, it makes no specific provisions for the protection of human subjects in research. The forerunner of the ethical codes that exist today is the Nuremberg Code (United States Government, 1949). The Code got its name from the German city of Nuremberg where Nazi doctors and scientists were tried in 1947 for carrying out unethical experiments on prisoners in concentration camps during the Second World War (1939-1945). The Nuremberg Code was the first to make specific declaration on the protection of human subjects in research, declaring among others that the voluntary consent of human subjects is absolutely necessary". Also, the World Medical Association (WMA) published the Helsinki Declaration in 1964 (*the Ethical Principles for Medical Research Involving Human Subjects)* which has been amended five times, the latest amendment at Edinburgh, Scotland in 2000 (World Medical Association, 2000). A series of scandalous experiments in the US such as the: Stanley Milgram's experiment, Willowbrook study, and Tuskegee Syphilis study prompted the enactment of the National Research Act (1974) and also gave rise to the National Commission for the Protection of Human Subjects in Biomedical and Behavioural Research that defined the guidelines in the Belmont Report (The National Commission for the Protection of Human Subjects in Behavioural Research, 1979). The Belmont Report established the requirements for Institutional Review Boards (IRBs). The US Department of Health and Human Services (DHSS) sets it out in the code that is known as the Basic Policy for the Protection of Humans Subjects (DHSS, 2005). The Boston University Medical Centre Institutional Review Board (BUMC-IRB) The Boston University Institutional Review Board (BUMC-IRB) was established in 1996 in compliance with federal regulations and state laws to protect the rights and welfare of human subjects that are participating in research. It is subject to regulation and inspection by all government regulatory agencies such as the Food and Drug Administration and the Office of Human Research Protection of the Department of Health and Human Services. The BU-IRB applies the principles in the Belmont Report (National Commission for the Protection of Human Subject of Biomedical and Behavioural Research, 1979). Among the functions of BUMC-IRB is the review and approval of protocols and the consent forms for research that is funded by BUMC. The IRB can approve, difer, or cancel a study if it is convinced that ethical requirements for the protection of the rights of subjects are breached. IRB Registration and Federal Wide Assurance (FWA) Number Boston University Ethics Committee requires all the institutions that are participating in studies that are funded by the US Government to have a Federal Wide Assurance (FWA) before research activities can begin (OHRP, 2005). An FWA is an institution's formal commitment to US federal authorities (*i.e.*, the Office of Human Research Protection or OHRP) to protect the rights of subjects. There are two steps for obtaining an approved assurance from OHRP. First, an application must be submitted for the registration of the institution, followed by the recognition/registration of the IRB of an institution. This is followed by the completion and submission of the assurance application. The five criteria for registering an Institutional Review Board/Institutional Ethics Committee are: - membership of at least five; - at least a member whose primary interest is in the scientific area and at least a member whose primary concern is in the non-scientific area; - at least a member who is not affiliated to the institution; - gender balance; - members are not drawn from a profession, and - at least a member who should be knowledgeable on ethical issues IRB provides guidance, review protocols and the consent forms of studies. IRBs have enormous powers but do not necessarily live up to their responsibilities in all cases. The Applied Research on Child Health Project The Applied Research on Child Health (ARCH) Project was an international research Initiative, based at the Centre for International Health and Development (CIHD) of the Boston University School of Public Health. The programme supported collaborative research by social and biomedical scientists, aimed at reducing childhood morbidity and mortality in developing countries. It also incorporated training and technical assistance. The ARCH Project in Nigeria, supported by the United States Agency for International Development (USAID), was designed to: - generate new knowledge that will contribute directly to the improvement of the health and survival of children; - build the capacity of individuals and institutions to undertake applied research, and - disseminate new findings to national and international implementing agencies that are operating in Nigeria. The goals were pursued through a series of activities and strategies in collaboration with federal and state health authorities, and with USAID partners and contractors working in Nigeria coordinating the project. A national advisory committee of senior scientists and health professionals based in Nigeria's universities and research institutes provided strategic advice and guidance to the Project. There were 13 research teams of more than 50 researchers in 8 institutions in 4 groups: - Universities: University of Ibadan, Ahmadu Bello University, University of Ilorin and the University of Nigeria - Research Institutes: Nigeria Institute of Medical Research and Nigerian Institute of Social and Economic Research - Non-governmental organisations: Centre for Economic Development and Conflict Management, Ile-Ife and Centre for Family Health, Ile-Ife, and - Government: the Federal Ministry of Health. Four teams conducted multi-site studies on congenital malaria, using basic clinical and laboratory procedures while nine teams used the social and behavioural research methods The topics of research were chosen after a priorities-setting seminar that was organised by the national advisory committee of the Project. The Committee identified six priority areas in child health research and publicly invited proposals in the following areas: - HIV/AIDS in young children; - nutrition and feeding in children; - fever and household decision-making; - patent medicine sellers and health; - quality of health care, and - the effectiveness of traditional medicine sellers. A technical team in Boston along with the advisory committee in Nigeria assessed the letters of intent and invited fifteen teams to submit full proposals. Eleven proposals that are listed below were funded. - Dynamics in Household Decision-making on Febrile Illnesses in Children in a Nigerian Rural Community. - Comparison of Household Decisions for the Treatment of Childhood Fevers in Rural and Urban Communities in Enugu State, South-eastern Nigeria. - Father's Involvement in Child Health Behaviour in Nigeria: Implications for Child Health Care Delivery. - Antenatal VCT among Women in Southwest Nigeria: A Case Study of Ijebu North LGA of Ogun State. - Social Outcomes of HIV/AIDS on Children in Selected States of Southwest Nigeria. - Feeding and Care of Low Birth Weight Babies in Rural Communities in Ekiti State. - Feeding and Care of Low Birth Weight Babies in Epe LGA of Lagos State. - PMS: How important are they in the management of sick children in Kaduna, Northern Nigeria? - The Role of PMS in Identifying and Treating Childhood Illnesses in Oyo State, Nigeria. - The Epidemiology of Congenital Malaria Ibadan (A Multi-Site Study in Ibadan, Ilorin , Enugu and Kaduna). - Introduction to the Study of the Burden of Diseases among Children in Nigeria. Ethical Issues in Nigeria's ARCH Studies The ARCH Project provided Nigerian scientists, most especially the junior ones the opportunity to collaborate with scholars and institutions at the international level at a time when research grants were scarce. The BUMC-IRB ensured adherence and did not hesitate to withdraw grant if ethics were breached. IRB (a) monitored adherence to protocols; (b) facilitated the procurement of Federal Wide Assurance Number (FWA) according to US Code of Federal Regulation (CFR 45 Part 46), and (c) ensured commitment to respect for human subjects (OHRP, 2005). The IRB regulations underscore: - Respect for persons: the autonomy of the individual. - Beneficence: ensuring that no harm is done to the individual and the maximisation of benefits and minimisation of risks. - Justice: equality of individuals and that the benefits and risks should be distributed fairly. The applications of these principles are: - Informed consent: subjects must be allowed free choice; consent must be voluntary and based on correct information and a clear understanding of the issues (45 CFR 46.111(a) (4), 21; CFR 56.111(a)(4). - Assessment of risks and benefits: There must be a systematic assessment of benefits and risks to participants (45 CFR 46.111(a)(1), 21 CFR 56.111(a)(1). - Selection process: This entails fairness and no bias in the selection process (45 CFR 46.111(a) (3), 21 CFR 56.111(a) (3). - It was only after the IRBs/IECs of the grantees' institutions were registered that application could be made for FWA number. Only one of the institutions (the University of Ibadan) had FWA number prior to grant. However, the Project assisted other participating institutions to apply for, and obtain FWA number before funds were released to teams. ## Deviation From Protocols The Approval For Two Studies On Hiv/Aids Was Delayed By Bu-Irb On Account Of Ethical Issues. This Led To Significant Revision Of The Study Design. Some Studies Were Also Suspended Because Teams Made Changes In Their Study Designs Without The Approval Of Irb. Informed Consent There Is Always Contention As To Who Gives Consent In An African Setting. For Example, A Community Leader Might Give Blanket Consent On Behalf Of Members Of His Community. The IRB requires an individual to sign the consent form. In some cases, there were threats to stop studies in places where the community leader's approval was not sought. The spouse or older members of the family or household also exercised great influence over approval. Thus, it took a husband to agree or disagree for the wife to give consent. Signing and/or thumb-printing consent form generated concern among respondents because they were worried about its legal implications and the following clause: by signing this document it means you have agreed to voluntarily participate in this study… This aroused suspicion. Many respondents were willing to answer questions but not inclined to sign the consent form. It took persistent persuasion bordering on coercion for them to sign up. The patent medicine sellers in two studies were uneasy and hesitated to sign the consent form. The process for seeking consent in this group began with advocacy and sensitisation meetings with the officials of their association. The requirement to sign the consent forms therefore introduced bias because only those who signed. Research assistants were presumably inclined to seek those who they knew would sign up. A 17 -year old married girl who was enrolled in one of the centres in the multi-centre study on congenital malaria and who gave consent was defined by IRB as a minor because she was under 18 years of age (a child is defined as any person that is below the age of 18 years). She needed the consent of an older member of her family and a child accent form was required. In the same study and at another site, it was required to determine the level of paracetamia in placenta, thus placentas were harvested for aspiration. But this was a cultural setting where the families of the delivered women go home with placenta. Some women and/or their families objected. Since the placentas were required in the study, investigators faced the added challenge of convincing the family of mothers to allow their placentas to be released to investigators. Some consented while others refused. Views defer on the necessity for informed consent. Pedroni and Pimples (2001) opined that although the historic basis for seeking informed consent stems from the atrocious experiments in Nazi concentration camps, it is unnecessary to extend consent to "risk free" research such as surveys and interviews. Others share this view and cannot see the risk in answering "a few questions". However, granting interviews and disclosing personal and private information to a complete stranger (researchers) carries certain amount of risk. Some questions could be embarrassing and cause discomfort among respondents. Informed consent has two perspectives: moral and socio-legal (Petroni and Pimples, 2001). Anonymity, Privacy, and Photographs Two research teams that studied feeding and care of low birth weight infants in South West Nigeria hit ethical brick walls for different reasons. They first ran into hitches when BUMC-IRB, during the review of their protocols, found listed in the budget, an item for the purchase of cameras and photographic films. A query asking what the cameras and photo films would be used for was posed. The investigators responded that they intended to take the photographs of the environment where low-birth weigh infants and their mothers lived. The IRB differed and reminded the investigators that this was a violation of the privacy of the participants. The grantee was requested to expunge the items from the budget before the IRB allowed the study to proceed. In an attempt to demonstrate the effects of their intervention and also enrich as well as provide contrast to the readability of their interim report, another team of investigators inserted the before and after photos of low birth weigh babies. Someone spotted the pictures before the report was forwarded to IRB. The pictures were removed because they violated the rules governing the anonymity of research subjects. Furthermore, there was no evidence that the research subjects granted consent for the pictures that were to be taken. A written consent is required for photographs that identify research subjects or patients (American College of Medical Genetics, 2000). The person whose photograph is to be taken should give consent and in the case of children, accent should be given by their parents and guardians. In addition to protecting the rights of individuals that are involved in research, Paulson (2006) expressed the need for more attention to the protection of the privacy of family and community members when genetic or other matters are part of study. Reporting Adverse Events (AE) Involving Research Subjects Adverse Event (AE) is defined as any untoward occurrence in research participants. The occurrence need not have clear causal relationship with an individual's participation in research. An AE can be any unfavourable and unintended sign, symptom, event, or occurrence that affects a participant's physical, mental, social, financial, legal, or psychological well-being. Adverse events also take the form of domestic violence, occasioning the forced withdrawal of a subject from a study. It is the requirement of the Office of Human Research Protection (OHRP) of the Food and Drug Administration (FDA) and the BUMC-IRB to continuously review research. Included in the review is the monitoring of adverse reactions and unexpected events (21 CFR 56.108 and 45 CFR 46.103). Additionally, adverse events can and should be reported at any time during any study. One of the infants in the feeding of low-birth weight infants died but not as a result of being enrolled in the study. This was reported to IRB as part of the review process. A Voluntary Counselling and Testing (VCT) component in the study was changed to "investigating the knowledge and perception of voluntary HIV and counselling among women attending antenatal care". The women in the study were to recruit their husbands. The IRB was concerned about confidentiality, anonymity, and the likely adverse events (*e.g.,* domestic violence or divorce) should one or both test positive. A study by Family Health International (2002) found that the women who disclosed their positive HIV status to their husbands after informed consent either were beaten or chased away by them. What are the guarantees that spouses or employers will not have access to the research records as affirmed in the consent form by the investigator? A woman who opted for HIV test as required of pregnant women who were attending antenatal care in furtherance of the prevention of mother-to-child transmission of HIV at one of the congenital malaria sites was thrown out of the matrimonial home by her husband when she tested positive. One of the issues raised by the IRB was that a research institution had no FWA number, making it a non-starter because it had no commitment to protecting the participants in the study. The other issues were confidentiality, privacy, and voluntariness. The study was to utilise FGDs. How do you secure confidentiality and anonymity in a group? Benefits of Participation in Research It was stated clearly in the consent form that the individuals would not benefit personally if they participated in the studies, but that the community stood to benefit from their outcomes. One investigator also indicated in the consent form that knowledge of HIV status is a benefit. But BUMC- IRB pointed out that knowledge of HIV status could only be beneficial if she/he was willing to undergo test. It was customary for community leaders to expect or demand beneficial interventions that were outside the scope and/or budget of the study. The direct benefit to the communities was the recruitment of research assistants from host communities. One of the teams that investigated the role of patent medicine vendors in health care organised feedback seminars for members of their Association. Consent is required in a case control studies in which participants are made to feel that they were receiving active beneficial ingredients but turns out to placebo (Hill et al., 2008; Wenger and Shapiro, 1997). Such studies are in consonance with the Tuskegee experiments. The benefits that the participants are expecting are really not there. Conclusion The USAID Child Health Research Project was an opportunity for Nigerian scientists to collaborate with international scholars and institutions. It also provided an opportunity for better understanding of ethical issues and the application of universally acceptable ethical standards. The ethical issues arising from the studies provide useful lessons that will guide future studies. Although all the grantee institutions registered IRBs, their institutions could not provide technical or ethical guidance to their research teams. Consequently, capacity building of IRB members on ethical issues in research is extremely important in Nigeria. References Department of Health and Human Services (2005) Title 45, Part 46, Protection of Human Subjects (http:wwww.hhs.gov.ohrp/humansujects/guidance/45cfr46.htm). Dhai, A (2005) *Module Five: Implementation of Ethics Review - Developing World Bioethics* ISSN 1471-8847(online) Vol.5, No.1, United Kingdom: Blackwell Publishing Ltd. Family Health International: Network (2002) *FHI Case Studies on Ethics and Informed Consent*, Vol. 21, No. 2. Hill, *et. al.,* (2008) "Informed Consent in Ghana: What do Participants Really Understand?", Journal of Medical Ethics, 34, 48-53. National Commission for the Protection of Human Subject of Biomedical and Behavioural Research (1979): Ethical Principles and Guidelines for Human Subjects of Biomedical and Behavioural Research. Nuffield Council on Bioethics (2004) The Ethics of Research in Developing Countries. A Followup Discussion Paper on the Workshop Held in Cape Town, South Africa12-14th February. Paulson, J.A. (2006) An Exploration of Ethical Issues in Research in Children's Health and Environment, A Mini-monograph; Environmental Heath Perspectives. Pedroni, J.A .and Pimple, K.D. (2001) A Brief Introduction to Informed Consent in Research with Human Subjects, Indiana: The Trustees of Indiana University. Shamoo, A. and Resnik, D. (2003) *Responsible Conduct of Research,* New York: Oxford University Press. United Sates Government (1949) "Nuremberg Code: Directives for Human Experimentation", Trials of War Criminal before the Nuremberg Military Tribunal under Control Council Law, Vol. 2, No. 10, 181-182, Washington D.C. U.S. Government Printing Office. Wenger, N. S. and Shapiro, M. F. (1997) "Consent and Discontent", Canadian Medical Association, (December) 15, 157(12). World Medical Association (1964) Ethical Principles for Medical Research Involving Human Subjects, The Declaration of Helsinki, Document 17.C. # Issues In Socio-Behavioural Research Projects In Public Health ## Abha Saxena Introduction It is increasingly recognised that in order to improve health, the bio-medical approach must be twinned with the socio-behavioural in order to formulate policies that will have a positive impact on health outcomes. WHO has established a Commission on Social Determinants of Health (CSDH) in recognition of the growing importance of the socio-behavioural in public health. The Commission recognises that the social determinants of health (SDH) must be addressed through effective policies based on sound global and local evidence. Though there are abundant global data on the social determinants of health, nonetheless, there is a growing need to generate data for local needs, mainly because data are context-specific, and not easily transferable from one country to another or even within a country from one region to another or one community to another. In recognition of this growing need, various technical departments of the WHO support countries in carrying out socio-behavioural research not only on health care delivery but also tropical diseases. There is also support for studies on reproductive and sexual health, chronic life-style related diseases, child and adolescent related diseases etc. The WHO Research Ethics Review Committee (WHO ERC) is increasingly asked to review research protocols that are either primarily on sociobehavioural or bio-medical projects. This paper will discuss some of the challenges and issues in socio-behavioural research, based on the experience of WHO ERC. This is not meant to be an exhaustive discussion in relation to sociobehavioural research, but on the common 'problems' that the WHO ERC faces. Insufficient Expertise in Ethics Committees Because of the growing demand for socio-behavioural research on health determinants, the ethics committees of many organisations and universities that traditionally review bio-medical research are now challenged to review social science projects or those that have social science components. Traditionally, the social sciences are described as 'soft sciences', because they do not use the rigorous quantitative approach that is used by bio-medical researchers that can be reliably reproduced. The social scientists conventionally use qualitative approaches and also combine quantitative approaches which few bio-medical researchers sometimes (incorrectly) consider 'fuzzy'. Therefore the ethics committees that often have a predominance of medical researchers or no social scientists on their panels, often, misunderstand these projects. It is important that such ethics committees should include social scientists on their panel or at least have them as advisers. Nine of the 26 members of the WHO ERC are social scientists, and the current Chair is a social scientist. This allows the WHO ERC to evaluate most of the social science projects adequately, without having to call in external experts. This was, however, not necessarily the case in the past. We had a paucity of social scientists and were blamed for being too rigid! The Research Protocol The social scientists claim that because they use sufficiently different methodologies as compared to bio-medical scientists, they cannot use the same format for writing their protocols. For example, items like the sample size and inclusion and exclusion criteria cannot be defined in the social sciences. What this really means is that they cannot be defined in precise quantitative terms; however they can be described qualitatively (*e.g.,* that a snowballing technique will be used or that 'enough persons will be selected till a point of saturation is reached' *etc.*). It is the opinion of the WHO ERC that all research protocols can be and should be described using a similar format. This allows for easy reading and review of protocols. Ethics Committees need to know the details about the way research will be conducted in order to identify the ethical issues in projects. One of the commonest problems that is seen at the WHO ERC is that enough methodological details are not provided in many social science projects. For example, many social science projects just mention that focus group discussions will be conducted in the research communities. The WHO ERC (as should other ERCs) requires information about how many FGDs, with whom, why, where, how etc. This type of information is required for all interventions. Data analysis - It may not be enough to say that qualitative approaches will be used to analyse the data, - the analytical tools and methods in the social sciences are sufficiently refined to be described - and should be described, as is done for bio-medical research. Adequate peer review - like any bio-medical research, any socio-behavioural research project must have been reviewed by at least two independent peer reviewers who provide comments on the technical and scientific aspects of projects. Risks to Participants While most socio-behavioural research projects do not have a risk of physical harm (though gender based violence is a definite but an under-estimated risk in many situations), they cannot all be considered as low-risk projects. The potential for harm may be much higher, partly because it may be hidden and unrecognised. It is the responsibility of the ethics committee to be cognizant of such potential risks. In the experience of the WHO ERC, some of the common causes for the potential for harm can occur through: 1. Psychological trauma - discussion of traumatic experiences or private experiences that the participants might not wish to discuss. 2. Breach of confidentiality and privacy. 3. Stigmatisation, either through breach of confidentiality or inadequate attention to gender issues. 4. Increasing vulnerability through inadequate attention to confidentiality and privacy issues. Socio-behavioural research is often of greater interest in groups of individuals who are already very vulnerable (which is usually the basic premise for studying these individuals) like displaced persons, the impoverished or illiterate population, deviant personalities, those indulging in illegal activities, *etc.* Often, the safeguards for protecting them and their rights are not sufficiently explained in the protocol, and this is of concern to Ethics Review Committees. Privacy and confidentiality issues are so important that they deserve a special section. The social science methods often include taping interviews, taking photographs, asking intimate questions, observing practices, and spending long periods of time with research participants thus becoming privy to some very personal and intimate knowledge about them. Often the participants forget that they are engaged in research and the boundaries between the professional and private may become blurred, increasing the risk of breaching confidentiality. These issues deserve more discussion in protocols in order to demonstrate that they have been considered by the investigators, and they are aware of the issues and are taken seriously. Data Ownership In the course of conducting social science projects, the investigators may become privy to local knowledge and customs that may have the potential for intellectual property rights (IPR) and be subject to IPR issues (for example collecting information on methods of traditional healing). Who will own the data and who will have IP rights should be a concern raised by the ethics committees. Care Provision in the Context of Socio-Behavioural Health Research This is a common issue. While social scientists may not have the professional duty to provide or even make arrangements for health care provision, where it is lacking, but by entering into a collaborative relationship (and sometimes an intimate collaborative relationship with the communities), they do incur a moral obligation to do so. It is not a requirement that they have to take responsibility for improving health care services or provide care and treatment for a disease that they are studying. However, by being in a dominant position, they can make a difference by: 1. providing information; 2. ensuring that research participants have access to counselling; 3. exploring various avenues, and 4. forming networks with civil society organisations and public health officials in order to provide care and treatment *etc.* Ethics committees (like the WHO ERC) can insist that these moral obligations are fulfilled. It is equally important that these arrangements are discussed with the research communities prior to initiation of research and also ensure that a clear understanding of roles and responsibilities by all concerned. Formative Research Increasingly, many bio-medical research projects carry out formative research prior to initiating large-scale clinical trials. Formative research often combine qualitative and quantitative methods, but is often not adequately described in protocols, except to do a lip-service. Very often, the protocols have single sentences mentioning that formative research will be carried out. At least the WHO ERC likes to see greater details on this aspect of the study. Dissemination of Research Results to Communities The WHO ERC is increasingly concerned that communities that take part in research study are not always informed about research outcomes. While it may be easier to communicate the outcomes of bio-medical research, one must be more careful in social science research lest the vulnerabilities of individuals are exposed or harm to some families might occur. It is therefore advisable to think carefully on how to disseminate the research results in a responsible and balanced manner. This is not an exhaustive list of ethical issues that the WHO ERC is concerned about but they are the most frequently encountered ones. I do not think that we are alone in being challenged by these issues. Other ethics committees that review socio-behavioural research projects probably also have similar concerns. Greater communication is required between social scientists and ethics committee members to resolve some of these issues. These problems do not occur due to lack of concern by social scientists but because of lack of the understanding of the requirements of the WHO ethics committee. ## Participants 1. ADDO, K.K. (Dr.) Noguchi Memorial Institute for Medical Research, University of Ghana, Legon, Ghana kaddo@noguchi.mimcom.net 2. ADEBAMOWO, Clement (Professor) College of Medicine, University of Ibadan, Ibadan, Nigeria cadebamo@yahoo.com 3. ADEJUMO, 'Bayo (Dr.) Department of Psychology, University of Ibadan, Ibadan, Nigeria bisiandbayo@yahoo.com 4. ADERINTO, Adeyinka Abideen (Dr.) Department of Sociology, University of Ibadan, Ibadan, Nigeria aderinto@yahoo.com 5. ADUAGBA, Usman Bolaji (Mr.) Department of Health Planning & Research, Federal Ministry of Health, Shehu Shagari Way, Abuja, Nigeria. bolajiadua@yahoo.com 6. AGOMOH, Uche (Ms.) Legal Practioner, JB Daudu & Co.,Abuja, Nigeria. uceeh@yahoo.com 7. AKPOVETA-NIEMOGHA, M.T. (Dr.) Nigerian Institute of Medical Research, 6 Edmund Crescent,Off Murtala Muhammed Way, PMB 2013,Yaba, Lagos, Nigeria niemoghamary@yahoo.co.uk 8. ALABI, Abraham (Dr.) Medical Research Laboratory, Banjul, Gambia aalabi@mrc.gm 9. ALI, Ahmed Gubio (Mr.) Department of Health Planning & Statistics,Federal Ministry of Health, Shehu Shagari Way, Abuja, Nigeria. Aligubio_ahmed@yahoo.co.uk 10. ALUBO, Ogoh (Professor) Department of Sociology, University of Jos, Jos, Nigeria. ogohalubo@yahoo.com 11. ARINZE-ONYIA, Susan (Dr.) Faculty of Science, Enugu State University of Science & Technology, Enugu, Nigeria samakarinze@yahoo.com 12. BABALOLA, Chinedum (Dr.) IMRAI, College of Medicine, University of Ibadan, Ibadan, Nigeria. peacebab2001@yahoo.com 13. DJOKAM, Tamo R.R. (Dr.) University of Yaoundé I, Cameroon rdjokam@yahoo.fr 14. EDICHA, Jibril Abdullahi (Mr.) Department of Geography, University of Abuja, Abuja, Nigeria. edijib@yahoo.com 15. EGUAEVON, Agatha N. T. (Dr.) Department of Sociology, Ambrose Alli University, Ekpoma, Nigeria. anteguavon@yahoo.com 16. EKWUNIFE, C.C. (Dr.) Nnamdi Azikiwe University, Awka, Nigeria drcyee@yahoo.com 17. ERINOSHO, Layi (Professor) Department of Sociology Olabisi Onabanjo University Ago-Iwoye, Ogun State, Nigeria laierinosho@yahoo.com or erinosho@skannet.com 18. EWOIGBOKHAN, Stalin (Mr.) COMPASS, 35 George Sowemimo Street, Abuja, Nigeria sewoigbokhan@gmail.com or sewoigbokhan@yahoo.co.uk 19. FADEYI, O. (Dr.) Department of Sociology, Lagos State University, Ojo, Lagos, Nigeria fadeyi2@yahoo.com 20. FAKEYE, Tolu (Dr.) Department of Planning, Research & Statistics, Federal Ministry of Health, Shehu Shagari Way, Abuja, Nigeria tolu_fakeye@yahoo.co.uk 21. IGUN, Uvie A. (Professor) Department of Sociology, Delta State University, Abraka, Delta State, Nigeria aruoturegr@yahoo.com 22. IVHARUE, John Ogie (Mr.) Department of Sociology, Post Graduate School, University of Abuja, Abuja, Nigeria. ivharuejohn@yahoo.com 23. JEGEDE, Ayodele Samuel (Dr.) Department of Sociology, University of Ibadan, Ibadan, Nigeria sayjegede@yahoo.com 24. JESANI, Amar (Dr.) Trustee Anusandhan Trust, Sai Ashray, Aaram Society Road, Vakola, Santacruz, East , Mumbai, 400055, India amar.jesani@gmail.com 25. MAFE, Margaret (Dr.) Department of Planning, Research & Statistics,Federal Ministry of Health, Shehu Shagari Way, Abuja, Nigeria margmafe@yahoo.co.uk 26. MAMMAN, Aisha Indo (Dr.) Department of Haematology, Ahmadu Bello University, Zaria, Nigeria aishamamman@yahoo.com 27. NKWI, Paul (Professor) Centre for Training and Research, BP 1862,Yaoundé, Cameroon. nchoji@yahoo.com 28. NNODU, O.E. (Dr.) Department of Haematology, College of Medicine, University of Abuja, Abuja, Nigeria obynnodu@yahoo.com 29. NWOKE, Bertram E. B. (Professor) Department of Parasitology, Imo State University, Owerri, Nigeria bebndie@yahoo.com 30. NYANDAITI, Yakub (Dr.) Department of Medicine, University of Maiduguri, Maiduguri, Nigeria ynyandaiti@yahoo.com 31. ODEKUNLE, Femi (Professor) Department of Sociology, University of Abuja, Abuja, Nigeria femiodekunle2005@yahoo.com 32. ODUNUGA, Segun (Professor) Faculty of Arts, Olabisi Onabanjo University, Ago-Iwoye, Ogun State, Nigeria segun.odunugua@yahoo.com 33. OGUNJUYIGBE, P.O. (Dr.) Department of Demography & Statistics, Obafemi Awolowo University, Ile-Ife, Nigeria pogunjuyigbe@yahoo.com 34. OKUMAGBA, Mamodesan T. (Dr.) Department of Preventive/Community Dentistry, Faculty of Dentistry, College of Health Sciences, Delta State University, Abraka, Delta State, Nigeria. okusdent@yahoo.com 35. OLURODE, Lai (Professor) Department of Sociology, University of Lagos, Yaba, Lagos, Nigeria olurode@yahoo.com 36. OWUMI, B.E. (Dr.) Department of Sociology, University of Ibadan, Ibadan, Nigeria bowumi@yahoo.com 37. PETU, Amos (Dr.) World Health Organization, UN House, Abuja, Nigeria. petua@ng.afro.who.int 38. SAXENA, Abha (Dr.) World Health Organization, Section on Review of Protocols, Geneva, Switzerland saxenaa@who.int 39. SCHMIDT, H (Dr.) Nuffield Bioethics Council, 28 Bedford Road, London, UK hschmidt@nuffieldbioethics.org 40. SOMMERFELD, Johannes (Dr.) Manager/Social Scientist, TDR/WHO, World Health Organization,Geneva, Switzerland sommerfeldj@who.int 41. TAIWO, Abigail O. (Dr.) Department of Psychology, University of Ibadan, Ibadan, Nigeria bolataiwo31@yahoo.com 42. TINUOLA, Femi (Dr.) Department of Sociology, Kogi State University, Anyigba, Kogi State, Nigeria. adufem2000@yahoo.com 43. UZUEGBUNAM, Anthonia (Dr.) School of General Studies, University of Nigeria, Nsukka, Nigeria. toniauzuegbuman@yahoo.com 44. YAKUBU, Aminu Adamu (Mr.) Department of Health Planning & Research Federal Ministry of Health, Shehu Shagari Way, Abuja, Nigeria. yaminads@yahoo.com ## Secretariat 45. AMASSEY, Grace (Mrs.) Social Science Academy of Nigeria, Flat 99, Crescent 12, Kado Housing Estate, Abuja, Nigeria graceamaugo@yahoo.com 46. AUDU, Hannah (Ms.) Social Science Academy of Nigeria, Flat 99, Crescent 12, Kado Housing Estate, Abuja, Nigeria hanniesj@yahoo.com

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## 2016 Uk Greenhouse Gas Emissions, Provisional Figures Statistical Release: National Statistics This document is available in large print, audio and braille on request. Please email enquiries@beis.gov.uk with the version you require. ## © Crown Copyright 2017 You may re-use this information (not including logos) free of charge in any format or medium, under the terms of the Open Government Licence. To view this licence, visit www.nationalarchives.gov.uk/doc/open-governmentlicence/version/3/ or write to the Information Policy Team, The National Archives, Kew, London TW9 4DU, or email: psi@nationalarchives.gsi.gov.uk. Any enquiries regarding this publication should be sent to us at ClimateChange.Statistics@beis.gov.uk. The responsible statistician for this publication is Amanda Penistone. Contact telephone: 0300 068 8090. This publication is available for download at https://www.gov.uk/government/collections/finaluk-greenhouse-gas-emissions-national-statistics. ## Contents Executive Summary ___________________________________________________ 3 Introduction __________________________________________________________ 5 2016 annual provisional emissions results __________________________________ 7 Energy Supply _____________________________________________________ 10 Residential ________________________________________________________ 12 Transport _________________________________________________________ 13 Business __________________________________________________________ 13 Industrial process ___________________________________________________ 14 Public sector _______________________________________________________ 14 Agriculture; waste management; and land use, land use change and forestry _____ 14 Carbon dioxide emissions by fuel type _____________________________________ 15 2016 temperature adjusted provisional emissions results by sector _______________ 17 Additional Information __________________________________________________ 19 Coverage of emissions reporting _______________________________________ 19 Basis of the provisional emissions estimates ______________________________ 19 Quarterly totals _____________________________________________________ 20 Temperature adjustment ______________________________________________ 20 Revisions to the quarterly provisional emissions estimates ___________________ 20 Future updates to emissions estimates __________________________________ 21 Further information __________________________________________________ 21 Background notes ___________________________________________________ 21 ## Executive Summary This publication provides the latest estimates of 1990-2016 UK greenhouse gas emissions which are presented in carbon dioxide equivalent units throughout this statistical release. ## Key Findings The provisional emissions figures rely on estimates of carbon dioxide emissions based on UK energy statistics. In 2016, UK net emissions of carbon dioxide were provisionally estimated to be 374.1 million tonnes (Mt), 7.4 per cent lower than the 2015 figure of 403.8 Mt. Carbon dioxide (CO2) is the main greenhouse gas, accounting for over 81 per cent of total UK greenhouse gas emissions. This decrease in emissions was mainly caused by:  Reductions in carbon dioxide emissions in the energy supply sector, down 18.7 per cent (25.4 MtCO2e) driven by a large decrease in power station emissions due to a change in the fuel mix for electricity generation, with less use of coal (as a result of reduced capacity and conversion of a unit at Drax to biomass) and increased use of gas.  A decrease of 10.3 per cent (7.1 MtCO2e) in the business sector, driven by a reduction in emissions from manufactured solid fuels, following the closure of SSI steelworks at Redcar in September 2015. Total carbon dioxide emissions on a temperature adjusted basis for 2016 were 378.2 Mt, 1.0 per cent higher than actual emissions. This reflects the fact that temperatures in 2016 were slightly higher than the long term average. The sectoral breakdowns for provisional emissions are based on the source of the emissions. Emissions related to electricity generation are therefore attributed to power stations, the source of these emissions, rather than homes and businesses where electricity is used. 2016 UK greenhouse gas emissions provisionally estimated to decrease from 2015 2016 temperature adjusted greenhouse gas emissions were higher than actual emissions Temperature adjusted emissions estimates remove the effect of external temperatures Figures are annual totals including the preceding 4 quarters. The energy supply sector experienced the largest reduction in CO2 emissions from 2015 to 2016 Energy supply 13% 46% Industrial process 10% 45% Business 1% 1% Transport 15% 4% Residential 5% Public 37% Higher temperature adjusted emissions reflects the fact that temperatures in 2016 were slightly warmer than the long term average Reduction in energy supply CO2 emissions driven by change in fuel mix for electricity generation in 2016, with less use of coal and more use of nuclear and renewables ## Introduction This publication provides provisional annual and quarterly estimates of UK greenhouse gas emissions by source sector for 2016. This publication also provides an estimate of temperature adjusted emissions, which give an idea of overall trends in emissions without fluctuations due to changes in external temperature. Data for 1990-2015 are consistent with the annual emissions presented in the National Statistics publication '2015 Final UK Greenhouse Gas Emissions statistics'. Data for 2016 emissions are provisional and are calculated based on UK energy statistics. The provisional estimates of carbon dioxide emissions are based on provisional inland energy consumption statistics, which are being published at the same time in DECC's quarterly Energy Trends publication. Estimates of non-CO2 gases are based on a simple approach which assumes that emissions of non-CO2 gases in 2016 will be the same as emissions in 2015, and that these emissions will be spread evenly over the year. Quarterly emissions estimates are presented as a moving annual total up to a particular quarter. For example when quarterly emissions are presented as up to quarter 4, 2016, this represent an annual total comprising the latest quarter (quarter 4 2016) and the preceding 3 quarters (quarters 1, 2 and 3 of 2016). Presenting the data in this way has some advantages over presenting data for single quarters, since seasonal fluctuations are smoothed out and long term trends highlighted. Data on emissions in individual quarters are available in the Excel spread sheet data tables published alongside this publication. There are uncertainties associated with all estimates of greenhouse gas emissions. Although for any given year considerable uncertainties may surround the emissions estimates for a pollutant, it is important to note that trends over time are likely to be much more reliable. It is also important to note that the provisional 2016 estimates are subject to a greater range of uncertainty than the final figures for earlier years. For more information on uncertainties see the annex published alongside the 2015 Final UK Greenhouse Gas Emissions statistics. For the purposes of reporting, greenhouse gas emissions are allocated into sectors as follows:  Energy supply  Business  Transport  Public  Residential  Agriculture  Industrial process  Land use, land use change and forestry (LULUCF)  Waste management These high-level sectors are made up of a number of more detailed sectors, which follow the definitions set out by the Intergovernmental Panel on Climate Change (IPCC), and which are used in international reporting tables which are submitted to the United Nations Framework Convention on Climate Change (UNFCCC) every year. The provisional estimates are not used for any formal reporting of how the UK is performing against its emissions reduction targets, as this requires final estimates based on the UK's greenhouse gas inventory. However, these statistics give policy makers and other users an initial steer as to the trend in emissions between 2015 and 2016, which helps them to form an initial assessment of the extent to which the UK is on track to meet targets. For information on UK emissions targets and progress towards them, see the 2015 Final UK Greenhouse Gas Emissions statistics. More information about the underlying methodology for the quarterly emissions statistics can be found in the accompanying methodology document. Note that all 2016 greenhouse gas emissions and energy statistics figures in this statistics release are provisional and subject to change. The annual provisional emissions estimates will be subject to revision when the final estimates are published in February 2018; however, they provide an early indication of emissions in the most recent full calendar year. The majority of provisional estimates in the past have been within 2 per cent of the final figures. ## 2016 Annual Provisional Emissions Results In 2016, an estimated 30 per cent of carbon dioxide emissions were from the energy supply sector, 32 per cent from transport, 16 per cent from business and 18 per cent from the residential sector. Between 2015 and 2016, provisional estimates indicate that carbon dioxide emissions decreased by 7.4 per cent (29.8 million tonnes (Mt)). Emissions in the energy supply sector decreased by 18.7 per cent (25.4 Mt), driven by a change in the fuel mix for electricity generation, with less use of coal (as a result of reduced capacity and conversion of a unit at Drax to biomass) and increased use of gas. Business sector emissions decreased by 10.0 per cent (7.1 Mt) due to a reduction in the use of manufactured solid fuels following the closure of SSI steelworks at Redcar in September 2015. Emissions increased by 4.5 per cent (2.8 Mt) in the residential sector due to an increase in the use of natural gas for space heating, and there was also a small increase of 0.9 per cent in emissions from the transport sector. Since 1990, UK carbon dioxide emissions have decreased by 37 per cent. This decrease has resulted mainly from changes in the mix of fuels being used for electricity generation, including the growth of renewables, together with greater efficiency resulting from improvements in technology and a decline in the relative importance of energy intensive industries. Overall energy consumption is provisionally estimated to have decreased by around 10 per cent since 1990 (although it increased up to 2001 and has decreased since then). If this figure is adjusted to allow for the effect of temperature, energy consumption has fallen by around 13 per cent between 1990 and 2016. UK, 1990-2016 MtCO2e 1990 1995 2000 2005 2010 2015 2016 (p) Energy supply 242.1 210.0 203.3 218.7 196.6 136.4 110.9 from power stations 202.9 162.7 158.0 172.7 156.9 102.9 77.9 other Energy supply 39.2 47.3 45.3 46.0 39.8 33.5 33.1 Business 111.6 108.7 108.8 96.9 78.4 68.6 61.5 Transport 119.2 119.4 124.5 128.8 119.0 118.8 119.8 Public 13.4 13.2 12.1 11.1 9.7 8.1 8.5 Residential 78.4 79.7 85.6 82.5 84.5 63.4 66.3 Agriculture 7.0 7.1 5.7 5.6 5.2 5.2 5.2 Industrial process 19.4 17.7 17.0 16.4 10.6 12.1 10.6 Waste management 1.3 0.9 0.5 0.4 0.3 0.3 0.3 LULUCF 3.2 0.6 -1.8 -5.2 -7.5 -8.9 -8.9 Total CO2 595.7 557.5 555.7 555.2 496.7 403.8 374.1 Other greenhouse gases 203.3 191.0 154.1 130.6 109.2 91.9 91.9 Total greenhouse gases 799.0 748.5 709.7 685.8 605.9 495.7 466.0 Source: Table 1, Provisional UK greenhouse gas emissions national statistics 1990-2016 Excel data tables Notes: 1. (p) 2016 estimates are provisional. 2. Provisional 2016 CO2 emissions for the agriculture, waste and LULUCF sectors are assumed to be the same as 2015 estimates as unlike other CO2 estimates these cannot be estimated from energy statistics. 3. The entire time series is revised each year to take account of methodological improvements in the UK emissions inventory. 4. Emissions are presented as carbon dioxide equivalent in line with international reporting and carbon trading. To convert carbon dioxide into carbon equivalents, divide figures by 44/12. 5. Figures shown do not include any adjustment for the effect of the EU Emissions Trading System (EU ETS), which was introduced in 2005. 6. Totals for CO2 emissions, energy supply and total greenhouse gases may not sum due to rounding. 7. Estimates of non-CO2 gases are based on a simple approach which assumes that emissions of non-CO2 gases in 2016 will be the same as emissions in 2015. Note: 1. Figures are annual totals including the preceding 4 quarters. 2. From year to Q1 2016 onwards, figures include provisional data. Both the non-adjusted and the temperature corrected series show a general decreasing trend since 2009. On a temperature adjusted basis, emissions remained relatively flat during the period between early 2010 and 2012, while non-adjusted emissions were much more variable during this period, showing that much of the fluctuation in the non-adjusted series can be attributed to changes in energy use due to varying external temperatures. In particular, Q4 2010 was 2.4 degrees (Celsius) lower than the long term average, while temperatures in Q4 2012 and Q1 2013 were 0.5 and 1.8 degrees (Celsius) lower than the long term average. During 2013, 2014 and 2015 both temperature adjusted and non-adjusted emissions have fallen. ## Energy Supply The energy supply sector was the largest contributor to the decrease in carbon dioxide emissions between 2015 and 2016. Carbon dioxide emissions from this sector were provisionally estimated to be 110.9 Mt in 2016, a decrease of 19 per cent (25.4 Mt) compared to 2015. Since 2015 emissions from power stations have decreased by 24 per cent, largely due to changes to the fuel mix used at power stations for electricity generation. In particular there was a 59 per cent decrease in coal use for generation (as a result of reduced capacity and conversion of a unit at Drax to biomass) and an increase in use of gas. In 2016, carbon dioxide emissions from power stations, at 77.9 Mt, accounted for a fifth of all carbon dioxide emissions. Looking at longer term trends, carbon dioxide emissions from the energy supply sector were estimated to be around 54 per cent lower in 2016 than they were in 1990. This decrease has resulted mainly from changes in the mix of fuels being used for electricity generation, including fuel switching from coal to gas and the growth of renewables, together with greater efficiency resulting from improvements in technology. There has been an overall decline in the use of coal at power stations over the period (particularly during the 1990s), accompanied by an overall increase in the use of gas, which has a lower carbon content. Coal use in generation is estimated to have reduced by 85 per cent between 1990 and 2016. Overall, emissions from electricity generation have decreased by 62 per cent since 1990, despite final consumption of electricity being provisionally estimated to be around 13 per cent higher in 2016 than in 1990 (although it peaked in 2005 and has decreased since then). ## Residential In 2016, the residential sector, with emissions of 66.3 Mt, accounted for 18 per cent of all carbon dioxide emissions. Between 2015 and 2016 there was a 4.5 per cent (2.8 Mt) increase in emissions from this sector. Whilst the average temperature for both years was similar the months of November and December were both over 3 degrees Celsius cooler on average when compared to the same months in 2015 which has contributed to an increase in the use of natural gas for space heating. The main source of emissions from this sector is the use of natural gas for heating and cooking. Since 2004 there has been a general downward trend in emissions, although 2010 and 2012 were exceptions to this, due to the particularly cold weather experienced in 2010 and warm weather in 2011. In 2016, emissions from this sector were 15 per cent lower than in 1990. It should be noted that emissions from this sector do not include those related to domestic electricity consumption, as these emissions are included in the energy supply sector. ## Transport In 2016, carbon dioxide emissions from the transport sector, at 119.8 Mt, accounted for 32 per cent of all carbon dioxide emissions. Between 2015 and 2016, transport emissions increased by 0.9 per cent (1.0 Mt). Provisional motor vehicle traffic estimates show that vehicle kilometres travelled increased in 20161 resulting in a higher use of fuel. Emissions from this sector are similar to 1990 levels. Road transport is the most significant source of emissions in this sector, in particular passenger cars. Emissions from passenger cars have decreased since the early 2000s due to lower petrol consumption outweighing an increase in diesel consumption2 and, more recently, improvements in fuel efficiency of both petrol and diesel cars3. However, this decrease has been partially offset by an increase in emissions from light goods vehicles. It should be noted that these estimates do not include emissions from international aviation and shipping; domestic aviation and shipping, however, are included. ## Business Carbon dioxide emissions from the business sector, at 61.5 Mt, accounted for around 16 per cent of all carbon dioxide emissions in 2016. This was 10.3 per cent (7.1 Mt) lower than in 2015, largely due to a reduction the use of manufactured solid fuels following the closure of SSI steelworks at Redcar in September 2015. There has been a 45 per cent decrease in business sector emissions since 1990. Most of this decrease came between 2001 and 2009, with a significant drop in 2009 likely driven by economic factors. The main driver of the overall decrease in emissions since 1990 is a reduction in emissions from industrial combustion (including iron and steel). ## Industrial Process In 2016, carbon dioxide emissions from the industrial process sector were estimated to be 10.6 Mt, a decrease of 13.0 per cent (1.5 Mt) compared with 2015. Between 1990 and 2016, emissions from this sector are estimated to have decreased by around 46 per cent driven by a reduction in emissions from cement production due to lower manufacturing output from this sector. ## Public Sector Carbon dioxide emissions from the public sector, at 8.5 Mt, were estimated to have increased by about 5.2 per cent (0.4 Mt) from 2015 emissions. This has been largely driven by an increase in the use of gas for space heating as a result of 2016 being a cooler year than 2015. Between 1990 and 2016, emissions from this sector are estimated to have decreased by around 37 per cent. ## Agriculture; Waste Management; And Land Use, Land Use Change And Forestry Updated emissions estimates for these sectors are not yet available for 2016, so for these statistics, emissions from these sectors are assumed to be the same as they were in 20154. ## Carbon Dioxide Emissions By Fuel Type The amount of carbon dioxide released by the consumption of one unit of energy depends on the type of fuel consumed. For example, since coal has a higher carbon content than gas, more carbon dioxide emissions result from burning one unit of coal than from one unit of gas. Emissions per unit of electricity supplied by major power producers from fossil fuels are estimated to have been around 440 tonnes of carbon dioxide per gigawatt hour (GWh) overall in 2016; within this, emissions from electricity generated from coal (880 tonnes of carbon dioxide per GWh electricity supplied) were over two times higher than for electricity supplied by gas (330 tonnes of carbon dioxide per GWh). For all sources of electricity (including nuclear, renewables and autogeneration), the average amount of carbon dioxide emitted in 2016 amounted to around 220 tonnes per GWh of electricity supplied. In 2016, carbon dioxide emissions from the use of fossil fuels, including fuel used for generating electricity, were estimated at 365.9 Mt. This was 8 per cent lower than the 2015 figure of 395.6 Mt. The biggest change in emissions was from the use of coal, down 39.3 Mt (54 per cent) from 72.7 Mt in 2015 to 33.4 Mt in 2016. This largely resulted from a change in the fuel mix for electricity generation, with less use of coal (as a result of reduced capacity and conversion of a unit at Drax to biomass) and increased use of gas. Over the period 1990 to 2016, carbon dioxide emissions from fossil fuels decreased by 36 per cent. Over the same period, overall primary consumption of fossil fuels has dropped by around 20 per cent. The relatively higher decrease in emissions can be attributed to an increase in the use of gas accompanied by a decrease in the use of coal and other solid fuels; carbon dioxide emissions from gas as a proportion of all carbon dioxide emissions from fossil fuels has increased from 24 per cent in 1990 to 48 per cent in 2016, whilst emissions from coal as a proportion of all fossil fuel carbon dioxide emissions has decreased from 37 per cent to 9 per cent over the same period. The proportion of carbon dioxide emissions from oil has remained relatively stable over the period at around a third of emissions. UK, 1990-2016 MtCO2e 1990 1995 2000 2005 2010 2015 2016 (p) Gas 145.9 188.5 241.5 235.4 228.4 171.8 181.4 Oil 191.6 179.6 168.1 170.2 150.7 143.8 144.6 Coal 219.2 152.0 117.0 124.9 100.9 72.7 33.4 Other solid fuels 14.1 13.3 11.5 10.1 8.9 7.3 6.5 Non-fuel 24.9 24.0 17.6 14.6 7.8 8.2 8.2 Total 595.7 557.5 555.7 555.2 496.7 403.8 374.1 Note: (p) 2016 estimates are provisional. ## 2016 Temperature Adjusted Provisional Emissions Results By Sector A temperature adjustment has been applied to the quarterly CO2 emissions, in order to estimate what the overall trend of emissions would have been without the impact of external temperatures. Table 3 compares temperature adjusted and unadjusted quarterly CO2 emissions by sector. MtCO2 Temperature Difference Difference Total CO2 adjusted CO2 emissions (%) (MtCO2) emissions Energy supply 110.9 112.2 1.2 1.1% Business 61.5 62.1 0.6 1.0% Transport 119.8 119.8 0.0 0.0% Public 8.5 8.7 0.2 2.0% Residential 66.3 68.4 2.1 3.2% Other 7.1 7.1 0.0 0.0% Total CO2 374.1 378.2 4.1 1.1% Source: Tables 3 & 4, Provisional UK greenhouse gas emissions national statistics 1990-2016 Excel data tables Note: 1. Figures for "Total CO2" and "Difference" may be different to the sum of those presented in the table due to rounding. The sectors most influenced by temperature are residential and energy supply. With respect to the residential sector in particular, if temperatures increase there is a decrease in demand for space heating, resulting in a decrease in emissions. The reverse is true if temperatures decrease. Figures 7 and 8 below show the trend for these two sectors. Temperature adjusted emissions from the energy supply sector show a similar trend to non-adjusted emissions. In the residential sector, the difference between actual and temperature adjusted emissions is much more noticeable than in other sectors, reflecting the fact that this is the sector in which energy consumption and emissions are most sensitive to external temperatures. On a temperature adjusted basis, residential emissions have remained relatively flat since 2009, while the trend for non-adjusted emissions is much more variable over the same time period. Temperature adjusted emissions in the residential sector have decreased by around 6 per cent compared to the year to Q1 2009, while non-adjusted emissions have decreased by around 18 per cent over the same period. ## Additional Information Coverage Of Emissions Reporting The basket of greenhouse gases covered by these statistics is based on that covered by the Kyoto Protocol, and consists of seven gases: carbon dioxide, methane, nitrous oxide, hydrofluorocarbons, perfluorocarbons, sulphur hexafluoride and nitrogen trifluoride. The last four gases are collectively referred to as fluorinated gases or F gases. In accordance with international reporting and carbon trading protocols, each of these gases is weighted by its global warming potential (GWP), so that total greenhouse gas emissions can be reported on a consistent basis. The GWP for each gas is defined as its warming influence relative to that of carbon dioxide. Greenhouse gas emissions are then presented in carbon dioxide equivalent units. Carbon dioxide (CO2) is reported in terms of net emissions, which means total emissions from burning fuel minus total removals of carbon dioxide from the atmosphere by carbon sinks. Carbon sinks are incorporated within the land use, land use change and forestry (LULUCF) sector, which covers afforestation, reforestation, deforestation and forest management. They are defined by the United Nations Framework Convention on Climate Change (UNFCCC) as "any process, activity or mechanism which removes a greenhouse gas, an aerosol or a precursor of a greenhouse gas from the atmosphere". Unless otherwise stated, any figures included in this release represent emissions from within the UK and excludes its Crown Dependencies (Jersey, Guernsey, and the Isle of Man) and overseas territories. Figures are expressed in millions of tonnes of carbon dioxide equivalent (MtCO2e). ## Basis Of The Provisional Emissions Estimates The estimates of carbon dioxide emissions have been produced based on provisional inland energy consumption statistics which are published in DECC's quarterly Energy Trends publication. Carbon dioxide accounts for the majority of UK greenhouse gas emissions (82 per cent in 2015). However, in order to give an indication of what the latest provisional carbon dioxide emissions estimates imply for the total, we need to also produce an estimate of emissions of the remaining non-CO2 gases. Estimates of non-CO2 gases are based on a simple approach which assumes that emissions of non-CO2 gases in 2016 will be the same as emissions in 2015, and that these emissions will be spread evenly over the year. ## Quarterly Totals In order to remove the seasonality in the data so that a trend in emissions over time can be observed, quarterly emissions are reported as annual totals, covering the stated quarter plus the preceding three quarters. When data becomes available for each new quarter, the estimates for the latest quarter are added to the total, while at the same time the estimates for the same quarter from the previous year are removed from the series. This procedure serves to smooth out short-term fluctuations and highlights long term trends, and can be used to show the underlying trend each quarter. Emissions estimates for each individual quarter are reported in the data tables accompanying this publication. ## Temperature Adjustment Carbon dioxide emissions are indirectly influenced by external temperatures. During the winter months, emissions are generally higher than in summer months, due to higher demand for fuel for space heating. During a particularly cold winter for example, it is likely that more fuel will be burnt for domestic or commercial use than during an average winter, and therefore emissions will be higher due to the additional fuel consumption. Temperature adjusted quarterly emissions estimates therefore remove the effect of external temperatures. In a particularly cold winter quarter, for example, this will result in temperature adjusted emissions being lower than actual emissions, reflecting the lower fuel consumption which would have occurred if temperatures had been at average levels (based on the 30 year period 1981-2010). The temperature adjustment to emissions has been applied for the months from September to April inclusive; in any given calendar year, it will therefore be applied in the period from January to April, and then again from September to December. Temperature adjustment is determined by the average number of heating degree days in each quarter. This information can be found in Energy Trends. Further details of how quarterly emissions have been estimated and of the methodology underlying the temperature adjusted estimates can be found alongside this statistical release in a separate methodology summary. ## Revisions To The Quarterly Provisional Emissions Estimates It should be noted that the quarterly emissions time series may be revised annually reflect any revisions made to either the underlying energy data or to the UK greenhouse gas inventory. Emissions from 2009-2015 are consistent with final UK greenhouse gas emissions statistics from 1990-2015. Emissions estimates for 2016 are provisional and are based on UK energy statistics. More information on the timing of revisions to the underlying data can be found in the methodology summary. ## Future Updates To Emissions Estimates Final estimates of UK greenhouse gas emissions for 2016 will be published as National Statistics on 6th February 2018. These estimates will be based on the UK's Greenhouse Gas Inventory for 2016. Provisional estimates help us to understand the latest trend in emissions, and will provide an early indication of this trend ahead of the final annual figures being available from our greenhouse gas emissions inventory. We recommend that users look at this trend rather than any absolute figures. It is important to note that these figures are based on provisional energy data and are subject to change. The sectoral breakdown is given mainly for information, and is included in the publication for completeness, but sectoral estimates are more uncertain than the total. ## Further Information Further information on UK greenhouse gas emissions statistics, including Excel tables with additional data on UK emissions, can be found on the Gov.uk website at: https://www.gov.uk/government/collections/uk-greenhouse-gas-emissions-statistics The latest UK energy statistics, including revisions to earlier years' data, can be found in the Energy Trends quarterly bulletin produced by BEIS. Any enquiries about the Energy Trends report should be sent to energyefficiency.stats@beis.gov.uk. ## Background Notes 1. A full set of data tables can be accessed via the Final UK greenhouse gas emissions national statistics pages of the Gov.uk website. 2. The background quality report provides a summary of quality issues relating to statistics on UK greenhouse gas (GHG) emissions. 3. The latest UK energy statistics, including revisions to earlier years' data, can be found in the 2016 Digest of UK Energy Statistics. 4. Detailed UK temperature data can be found on both the Met Office website and the Weather Statistics section of the Gov.uk website. 5. When emissions are measured on this basis, UK emissions account for less than 2 per cent of the global total, based on a range of estimates produced by the UN, the IEA, the World Resources Institute and the EIA, amongst others. Department for Business, Energy & Industrial Strategy 1 Victoria Street, London, SW1H 0ET www.gov.uk/beis

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# Monthly Report: Surveillance Project Sb4008 Ifng Tests For Bovine Tuberculosis (Tc0651 And Tc0751) Number 148 # Report Period 1St - 31St December 2018 ## Operational Notes On Terminology, Definitions, Re-Test And Re-Samples Test Outcomes: - "Samples" refers to an individual tube of blood taken from an individual animal which is subsequently submitted for testing. It is generally assumed that the number of samples and the number of animals are analogous as any duplicate sample blood tube from the same animal will not be tested. However, minor discrepancies may occur where the same animal is tested more than once due to a request for a resample or the animal is tested twice under different categories (for example, as a PAR-RAPID and then as part of a PAR-HERD-S). - "Submissions" refers to an individual batch or set of samples received for testing. Submissions may comprise 1 or more samples (for example, if an entire herd is being tested it is usually sent as 1 submission). It is generally assumed that the number of submissions and the number of herds are analogous. - Retests are samples where the first ELISA assay fails and the same sample is retested on a new ELISA plate. Each sample can be retested only once. A retest is not a reportable test outcome. - Resamples are where a sample has been retested and failed a second time, so that the lab requests a new sample. This is a reportable test outcome. - Rejects are samples that are not tested by the lab for one of the following reasons: blood collected into wrong type of vacutainer, samples that have not been maintained at the appropriate temperature range (22±5C), unlabelled samples, broken or cracked tubes, blood that is extensively clotted (small clots are OK), samples received after 4pm on the day after sample collection. Such samples are reported separately in the tables and in figure 5. - POS (pokeweed mitogen) is a sample positive control reagent which provides a measure of the quality/viability of the blood sample. A POS fail (< 0.45 optical density reading) may indicate compromised blood quality as a result of collection/transportation conditions or due the animal having an unusually low/suppressed cellular immune response. - NEG (no-antigen control) is a sample negative control which provides a measure of the background antigen-independent IFN- responses. A NEG fail (> 0.3 optical density reading) may indicate a laboratory procedures problem (normally resolved during re-test) or that an animal has unusually high background levels of IFN-g. ## Test Criteria | Submission Reason | Explanation | |-----------------------------------------------------|----------------------| | Possible Herd Slaughter | | | (PAR-HERD-S) | | | Parallel interferon-gamma blood testing of skin | | | test negative cattle to inform whole or partial | | | herd slaughters decisions | | | Parallel blood testing of skin test-negative cattle | | | in persistently infected herds that have failed to | | | resolve by repeated short-interval skin testing | | | and fulfill a minimum of biosecurity standards. | | | Persistent TB breakdowns | | | (OTF status withdrawn) | | | (PAR-P-CONF) N.B. | | | PAR-PERSIS from 1st April | | | 2017 | | | Parallel - Low Incidence | | | (PAR-LOW-IN) N.B. | | | PAR-NEW-IN from 1st April | | | 2017 | | | Parallel blood testing to maximise the | | | probability of removing all infected cattle in a | | | new herd breakdown as soon as possible after | | | confirmation of TB. | | | Rapid Testing of twice IR's | | | (PAR-RAPID) | | | Parallel blood testing of two-times IRs identified | | | under the severe interpretation of the skin test | | | used in Wales. | | | PAR-CUL-N | | | Parallel blood testing to maximise the | | | probability of removing all infected cattle in a | | | new breakdown as soon as possible after | | | confirmation of TB where herd is situated in | | | badger control areas of England that have | | | completed at least 2 effective culls. | | | PAR-CUL-P | | | Parallel blood testing to maximise the | | | probability of removing all infected cattle in a | | | persistent confirmed breakdown where herd is | | | situated within badger control areas of England | | | that have completed at least 2 effective culls | | | Parallel Other | | | (PAR-OTHER) | | | Other parallel blood testing not covered in any | | | of the other scenarios | | | NO (APHA discretion) | | | 'NSR' Herds (SER-NSR) | | | Modified serial blood testing of individual skin | | | test reactors and/or IRs in unconfirmed TB | | | breakdown herds to clarify their infection status | | | where there is evidence of non-specific | | | sensitisation to bovine tuberculin (the | | | "non-specific reactor" procedure) | | | Suspected Fraud | | | (SER-FRAUD) | | | Modified serial blood test of suspected | | | fraudulent reactors to the skin test (animals with | | | abnormal skin swellings), in confirmed or | | | unconfirmed TB incidents. | | | Serial Other | | | (SER-OTHER) | | | Serial test - other reasons | NO (APHA Discretion) | | SER-FLEXI | | | Extended blood test to provide flexible test | | | readout in a confirmed M. bovis-infected herd | | | where Johne's (M. a. paratuberculosis) infection | | | or vaccination is suspected to be interferring | | | with M. bovis infection detection | | | YES, if APHA are | | | contemplating a herd | | | slaughter | | | NO (APHA discretion) | | | YES in Area of Low | | | Incidence | | | YES (Wales only) | | | YES (in eligible badger | | | control areas of England) | | | NO (APHA discretion) | | | NO (APHA discretion) | | | NO (APHA discretion to | | | firm up or rule out any | | | suspicion of fraud and | | | support any | | | investigations) | | | NO (APHA discretion) | | | % | Total 2018 | % | |-------------------------|--------------------------|----------| | Num | | | | samples | | | | December | | | | 2018 | | | | Submissions | 228 | 2669 | | Samples | Total (%) | 21554 | | England | 15274 | 70.86 % | | Wales | 6280 | 29.14 % | | Scotland | 2241 | 0.88 % | | Parallel Tests | PAR-CUL-N | 2693 | | PAR-CUL-P | 424 | 1.97 % | | PAR-HERD-S | 1631 | 7.57 % | | PAR-NEW-IN | 11486 | 53.29 % | | PAR-OTHER | 1128 | 5.23 % | | PAR-PERSIS | 3814 | 17.70 % | | PAR-RAPID | 63 | 0.29 % | | Total(% of all samples) | 21239 | 98.54 % | | Serial/Extended Tests | SER-FLEXI | 315 | | SER-FRAUD | 0 | 0.00 % | | SER-NSR | 0 | 0.00 % | | SER-OTHER | 0 | 0.00 % | | Total(% of all samples) | 315 | 1.46 % | | Total | 21554 | 100.00 % | | Retests | Total (% of all samples) | 1642 | | England | 1192 | 5.53 % | | Wales | 450 | 2.09 % | | Scotland | 201 | 0.08 % | | Resamples | Total (% of all samples) | 1211 | | England | 918 | 4.26 % | | Wales | 293 | 1.36 % | | Scotland | 139 | 0.05 % | | Rejects | Total (% of all samples) | 131 | | England | 110 | 0.51 % | | Wales | 21 | 0.10 % | | Scotland | 0 | 0.00 % | PAR-HERD-S: potential herd slaughter, PAR-P-CONF (PAR-PERSIS from 1 April 2017): persistent TB breakdown OTFW, PAR-LOW-IN (PAR-NEW-IN from 1 April 2017): parallel low incidence, PAR-RAPID: rapid testing of twice IRs, PAR-CUL-N: new infection in cull area, PAR-CUL-P: persistent infection in cull area, PAR-OTHER: parallel other, SER-FLEXI: flexible extended test in confirmed herds with concurrent Johne's infection/vaccination, SER-NSR: serial non-specific reactor, SER-FRAUD: serial potential fraud, SER-OTHER: serial other | PAR-CUL-N | 2693 | 12.5 % | |-------------|--------|----------| | PAR-CUL-P | 424 | 2.0 % | | PAR-HERD-S | 1631 | 7.6 % | | PAR-NEW-IN | 11486 | 53.3 % | | PAR-OTHER | 1128 | 5.2 % | | PAR-PERSIS | 3814 | 17.7 % | | PAR-RAPID | 63 | 0.3 % | | SER-FLEXI | 315 | 1.5 % | | Total | 21554 | 100.00 % | Breakdown of Samples submitted by County | Country | County | |----------------|----------------| | Submission | | | Reasons* | | | No. | | | subs | | | Samples | Gamma Positive | | n | % of total | | England - HRA | Corn & Scilly | | PAR-NEW-IN | 1 | | PAR-PERSIS | 1 | | Devon | PAR-CUL-N | | PAR-CUL-P | 1 | | PAR-PERSIS | 3 | | Dorset | PAR-CUL-N | | Gloucs | PAR-CUL-N | | Heref | PAR-CUL-P | | PAR-OTHER | 1 | | PAR-PERSIS | 2 | | Shropshire | PAR-PERSIS | | Somerset | PAR-CUL-N | | England - Edge | Berks | | Bucks | PAR-NEW-IN | | Cheshire | PAR-NEW-IN | | Derbyshire | PAR-NEW-IN | | E Sussex | PAR-NEW-IN | | Hampshire | PAR-NEW-IN | | Leics & Rut | PAR-NEW-IN | | PAR-OTHER | 2 | | Northants | PAR-NEW-IN | | Oxon | PAR-NEW-IN | | Warks | PAR-NEW-IN | | England - LRA | Cambs | | Cumbria | PAR-NEW-IN | | Isle of wight | PAR-NEW-IN | | Lincs | PAR-NEW-IN | * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. PAR-HERD-S: potential herd slaughter, PAR-P-CONF (PAR-PERSIS from 1 April 2017): persistent TB breakdown OTFW, PAR-LOW-IN (PAR-NEW-IN from 1 April 2017): parallel low incidence, PAR-RAPID: rapid testing of twice IRs, PAR-CUL-N: new infection in cull area, PAR-CUL-P: persistent infection in cull area, PAR-OTHER: parallel other, SER-FLEXI: flexible extended test in confirmed herds with concurrent Johne's infection/vaccination, SER-NSR: serial non-specific reactor, SER-FRAUD: serial potential fraud, SER-OTHER: serial other ## Table 2A. Summary By County For December 2018 Cont. | Country | County | |-------------------------|----------------| | Submission | | | Reasons* | | | No. | | | subs | | | Samples | Gamma Positive | | n | % of total | | England | | | 122 | 15274 | | Wales - High TB | Carms | | PAR-OTHER | 5 | | PAR-PERSIS | 9 | | PAR-RAPID | 5 | | SER-FLEXI | 5 | | Ceredigion | PAR-PERSIS | | SER-FLEXI | 1 | | Gwent | PAR-PERSIS | | PAR-RAPID | 4 | | Pembs | PAR-HERD-S | | PAR-OTHER | 1 | | PAR-PERSIS | 4 | | PAR-RAPID | 10 | | SER-FLEXI | 3 | | Powys | PAR-HERD-S | | PAR-NEW-IN | 2 | | PAR-PERSIS | 2 | | S Wales | PAR-OTHER | | PAR-RAPID | 1 | | W Glamorgan | PAR-OTHER | | Wales - Intermediate TB | Carms | | PAR-OTHER | 1 | | PAR-RAPID | 1 | | Ceredigion | PAR-HERD-S | | SER-FLEXI | 2 | | NE Wales | PAR-NEW-IN | | PAR-PERSIS | 1 | * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. PAR-HERD-S: potential herd slaughter, PAR-P-CONF (PAR-PERSIS from 1 April 2017): persistent TB breakdown OTFW, PAR-LOW-IN (PAR-NEW-IN from 1 April 2017): parallel low incidence, PAR-RAPID: rapid testing of twice IRs, PAR-CUL-N: new infection in cull area, PAR-CUL-P: persistent infection in cull area, PAR-OTHER: parallel other, SER-FLEXI: flexible extended test in confirmed herds with concurrent Johne's infection/vaccination, SER-NSR: serial non-specific reactor, SER-FRAUD: serial potential fraud, SER-OTHER: serial other ## Table 2A. Summary By County For December 2018 Cont. | Country | County | |----------------|----------------| | Submission | | | Reasons* | | | No. | | | subs | | | Samples | Gamma Positive | | n | % of total | | PAR-RAPID | 1 | | SER-FLEXI | 2 | | Shropshire | PAR-NEW-IN | | W Glamorgan | PAR-OTHER | | Wales - Low TB | Gwynedd | | NE Wales | PAR-NEW-IN | | Wales | | | 106 | 6280 | | Grand Total | Sum: | *For test criteria please refer to Operational notes. * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. PAR-HERD-S: potential herd slaughter, PAR-P-CONF (PAR-PERSIS from 1 April 2017): persistent TB breakdown OTFW, PAR-LOW-IN (PAR-NEW-IN from 1 April 2017): parallel low incidence, PAR-RAPID: rapid testing of twice IRs, PAR-CUL-N: new infection in cull area, PAR-CUL-P: persistent infection in cull area, PAR-OTHER: parallel other, SER-FLEXI: flexible extended test in confirmed herds with concurrent Johne's infection/vaccination, SER-NSR: serial non-specific reactor, SER-FRAUD: serial potential fraud, SER-OTHER: serial other | Country | County | |---------------|----------------| | Submission | | | Reasons* | | | No. | | | subs | | | Samples | Gamma Positive | | n | % of total | | England - HRA | Avon | | PAR-PERSIS | 8 | | SER-FLEXI | 2 | | SER-FRAUD | 1 | | Corn & Scilly | PAR-CUL-N | | PAR-CUL-P | 1 | | PAR-NEW-IN | 2 | | PAR-OTHER | 3 | | PAR-PERSIS | 23 | | SER-FLEXI | 9 | | Devon | PAR-CUL-N | | PAR-CUL-P | 19 | | PAR-NEW-IN | 9 | | PAR-OTHER | 6 | | PAR-PERSIS | 38 | | SER-FLEXI | 14 | | Dorset | PAR-CUL-N | | PAR-CUL-P | 1 | | PAR-NEW-IN | 2 | | PAR-OTHER | 2 | | PAR-PERSIS | 18 | | SER-FLEXI | 1 | | Gloucs | PAR-CUL-N | | PAR-CUL-P | 9 | | PAR-NEW-IN | 2 | | PAR-OTHER | 2 | | PAR-PERSIS | 5 | | SER-FLEXI | 5 | * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. PAR-HERD-S: potential herd slaughter, PAR-P-CONF (PAR-PERSIS from 1 April 2017): persistent TB breakdown OTFW, PAR-LOW-IN (PAR-NEW-IN from 1 April 2017): parallel low incidence, PAR-RAPID: rapid testing of twice IRs, PAR-CUL-N: new infection in cull area, PAR-CUL-P: persistent infection in cull area, PAR-OTHER: parallel other, SER-FLEXI: flexible extended test in confirmed herds with concurrent Johne's infection/vaccination, SER-NSR: serial non-specific reactor, SER-FRAUD: serial potential fraud, SER-OTHER: serial other ## Table 2B. Summary By County For 2018 Cont. | Country | County | |----------------|----------------| | Submission | | | Reasons* | | | No. | | | subs | | | Samples | Gamma Positive | | n | % of total | | Heref | PAR-CUL-N | | PAR-CUL-P | 4 | | PAR-NEW-IN | 3 | | PAR-OTHER | 1 | | PAR-PERSIS | 6 | | SER-FLEXI | 2 | | SER-FRAUD | 2 | | Shropshire | PAR-NEW-IN | | PAR-OTHER | 8 | | PAR-PERSIS | 16 | | Somerset | PAR-CUL-N | | PAR-CUL-P | 4 | | PAR-NEW-IN | 1 | | PAR-OTHER | 6 | | PAR-PERSIS | 21 | | Staffs | PAR-PERSIS | | SER-FLEXI | 4 | | Wiltshire | PAR-NEW-IN | | PAR-OTHER | 5 | | PAR-PERSIS | 12 | | SER-FLEXI | 6 | | SER-FRAUD | 2 | | W Midlands | PAR-PERSIS | | SER-FRAUD | 3 | | England - Edge | Berks | | PAR-PERSIS | 6 | | Bucks | PAR-NEW-IN | | Cheshire | PAR-NEW-IN | * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. ## Par-Herd-S: Potential Herd Slaughter, Par-P-Conf (Par-Persis From 1 April 2017): Persistent Tb Breakdown Otfw, Par-Low-In (Par-New-In From 1 April 2017): Parallel Low Incidence, Par-Rapid: Rapid Testing Of Twice Irs, Par-Cul-N: New Infection In Cull Area, Par-Cul-P: Persistent Infection In Cull Area, Par-Other: Parallel Other, Ser-Flexi: Flexible Extended Test In Confirmed Herds With Concurrent Johne'S Infection/Vaccination, Ser-Nsr: Serial Non-Specific Reactor, Ser-Fraud: Serial Potential Fraud, Ser-Other: Serial Other Table 2B. Summary By County For 2018 Cont. | Country | County | |---------------|----------------| | Submission | | | Reasons* | | | No. | | | subs | | | Samples | Gamma Positive | | n | % of total | | PAR-PERSIS | 10 | | Derbyshire | PAR-NEW-IN | | E Sussex | PAR-NEW-IN | | PAR-PERSIS | 2 | | Hampshire | PAR-NEW-IN | | PAR-OTHER | 1 | | PAR-PERSIS | 1 | | SER-NSR | 3 | | Leics & Rut | PAR-NEW-IN | | PAR-OTHER | 4 | | SER-NSR | 1 | | Northants | PAR-NEW-IN | | Notts | PAR-NEW-IN | | PAR-OTHER | 1 | | Oxon | PAR-NEW-IN | | PAR-PERSIS | 14 | | Warks | PAR-NEW-IN | | PAR-PERSIS | 2 | | England - LRA | Beds | | Cambs | PAR-NEW-IN | | Cumbria | PAR-NEW-IN | | PAR-OTHER | 3 | | PAR-PERSIS | 1 | | Essex | PAR-NEW-IN | | Herts | PAR-NEW-IN | | Humberside | PAR-NEW-IN | | Isle of wight | PAR-NEW-IN | | Kent | PAR-NEW-IN | * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. PAR-HERD-S: potential herd slaughter, PAR-P-CONF (PAR-PERSIS from 1 April 2017): persistent TB breakdown OTFW, PAR-LOW-IN (PAR-NEW-IN from 1 April 2017): parallel low incidence, PAR-RAPID: rapid testing of twice IRs, PAR-CUL-N: new infection in cull area, PAR-CUL-P: persistent infection in cull area, PAR-OTHER: parallel other, SER-FLEXI: flexible extended test in confirmed herds with concurrent Johne's infection/vaccination, SER-NSR: serial non-specific reactor, SER-FRAUD: serial potential fraud, SER-OTHER: serial other ## Table 2B. Summary By County For 2018 Cont. | Country | County | |-----------------|----------------| | Submission | | | Reasons* | | | No. | | | subs | | | Samples | Gamma Positive | | n | % of total | | Lincs | PAR-NEW-IN | | Merseyside | PAR-NEW-IN | | Norfolk | PAR-NEW-IN | | N Yorks | PAR-NEW-IN | | S Yorks | PAR-NEW-IN | | W Sussex | PAR-NEW-IN | | PAR-PERSIS | 2 | | England | | | 1469 | 193638 | | Wales - High TB | Carms | | PAR-OTHER | 12 | | PAR-PERSIS | 61 | | PAR-RAPID | 97 | | SER-FLEXI | 17 | | Ceredigion | PAR-HERD-S | | PAR-OTHER | 1 | | PAR-PERSIS | 18 | | PAR-RAPID | 32 | | SER-FLEXI | 11 | | Gwent | PAR-HERD-S | | PAR-NEW-IN | 2 | | PAR-OTHER | 2 | | PAR-PERSIS | 40 | | PAR-RAPID | 41 | | SER-FLEXI | 6 | | Pembrokshire | PAR-OTHER | | Pembs | PAR-HERD-S | | PAR-OTHER | 6 | | PAR-PERSIS | 91 | * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. PAR-HERD-S: potential herd slaughter, PAR-P-CONF (PAR-PERSIS from 1 April 2017): persistent TB breakdown OTFW, PAR-LOW-IN (PAR-NEW-IN from 1 April 2017): parallel low incidence, PAR-RAPID: rapid testing of twice IRs, PAR-CUL-N: new infection in cull area, PAR-CUL-P: persistent infection in cull area, PAR-OTHER: parallel other, SER-FLEXI: flexible extended test in confirmed herds with concurrent Johne's infection/vaccination, SER-NSR: serial non-specific reactor, SER-FRAUD: serial potential fraud, SER-OTHER: serial other ## Table 2B. Summary By County For 2018 Cont. | Country | County | |-------------------------|----------------| | Submission | | | Reasons* | | | No. | | | subs | | | Samples | Gamma Positive | | n | % of total | | PAR-RAPID | 143 | | SER-FLEXI | 32 | | SER-FRAUD | 2 | | Powys | PAR-HERD-S | | PAR-NEW-IN | 24 | | PAR-OTHER | 5 | | PAR-PERSIS | 50 | | PAR-RAPID | 35 | | SER-FLEXI | 6 | | S Wales | PAR-OTHER | | PAR-PERSIS | 3 | | PAR-RAPID | 4 | | W Glamorgan | PAR-OTHER | | PAR-RAPID | 2 | | Wales - Intermediate TB | Carms | | PAR-OTHER | 2 | | PAR-PERSIS | 2 | | PAR-RAPID | 5 | | Ceredigion | PAR-HERD-S | | PAR-NEW-IN | 1 | | PAR-PERSIS | 3 | | PAR-RAPID | 21 | | SER-FLEXI | 7 | | Mid glamorgan | PAR-PERSIS | | NE Wales | PAR-HERD-S | | PAR-NEW-IN | 133 | | PAR-PERSIS | 4 | | PAR-RAPID | 11 | * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. ## Par-Herd-S: Potential Herd Slaughter, Par-P-Conf (Par-Persis From 1 April 2017): Persistent Tb Breakdown Otfw, Par-Low-In (Par-New-In From 1 April 2017): Parallel Low Incidence, Par-Rapid: Rapid Testing Of Twice Irs, Par-Cul-N: New Infection In Cull Area, Par-Cul-P: Persistent Infection In Cull Area, Par-Other: Parallel Other, Ser-Flexi: Flexible Extended Test In Confirmed Herds With Concurrent Johne'S Infection/Vaccination, Ser-Nsr: Serial Non-Specific Reactor, Ser-Fraud: Serial Potential Fraud, Ser-Other: Serial Other Table 2B. Summary By County For 2018 Cont. | Country | County | |---------------------|----------------| | Submission | | | Reasons* | | | No. | | | subs | | | Samples | Gamma Positive | | n | % of total | | SER-FLEXI | 11 | | Powys | PAR-HERD-S | | PAR-NEW-IN | 8 | | PAR-RAPID | 3 | | Shropshire | PAR-NEW-IN | | W Glamorgan | PAR-OTHER | | SER-FLEXI | 2 | | Wales - Low TB | Gwynedd | | PAR-RAPID | 1 | | NE Wales | PAR-NEW-IN | | PAR-OTHER | 1 | | PAR-PERSIS | 1 | | PAR-RAPID | 3 | | SER-FLEXI | 2 | | Wales | | | 1169 | 57607 | | Scotland - Scotland | Aberdeenshire | | Argyll & Bute | PAR-NEW-IN | | SER-FLEXI | 1 | | Ayrshire | PAR-NEW-IN | | PAR-OTHER | 1 | | Perthshire | PAR-NEW-IN | | West lothian | PAR-NEW-IN | | Wigtown | PAR-NEW-IN | | Scotland | | | 31 | 2241 | | Grand Total | Sum: | *For test criteria please refer to Operational notes. * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. PAR-HERD-S: potential herd slaughter, PAR-P-CONF (PAR-PERSIS from 1 April 2017): persistent TB breakdown OTFW, PAR-LOW-IN (PAR-NEW-IN from 1 April 2017): parallel low incidence, PAR-RAPID: rapid testing of twice IRs, PAR-CUL-N: new infection in cull area, PAR-CUL-P: persistent infection in cull area, PAR-OTHER: parallel other, SER-FLEXI: flexible extended test in confirmed herds with concurrent Johne's infection/vaccination, SER-NSR: serial non-specific reactor, SER-FRAUD: serial potential fraud, SER-OTHER: serial other ## Table 3A. Summary Of Ifn Gamma Results By Country And Protocol December 2018 | Country | Protocol | |-----------------|--------------| | No | | | submissions | Samples | | n | % of total n | | England | Parallel | | Serial/Extended | 0 | | Total | 122 | | Scotland | Parallel | | Serial/Extended | 0 | | Total | 0 | | Wales | Parallel | | Serial/Extended | 13 | | Total | 106 | | GB | Parallel | | Serial/Extended | 13 | | Total | 228 | | 122.00 | | | 106.00 | | * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. ## Table 3B. Summary Of Ifn Gamma Results By Country And Protocol (Total 2018) | Country | Protocol | |-----------------|--------------| | No | | | submissions | Samples | | n | % of total n | | England | Parallel | | Serial/Extended | 55 | | Total | 1469 193638 | | Scotland | Parallel | | Serial/Extended | 1 | | Total | 31 | | Wales | Parallel | | Serial/Extended | 96 | | Total | 1169 | | GB | Parallel | | Serial/Extended | 152 | | Total | 2669 253486 | ####### ####### 31.00 * Sufficient plasma supernatant is collected and stored following the overnight culture stage of the assay such that if the sample fails any of the QC criteria, it is possible for the laboratory to 're-test' the original sample. Depending on the outcome of a retest, a resample (if QC criteria fail to be met), a positive or a negative result will be reported. Therefore, the total number of samples = the sum of positive, negative, resample and reject samples only. Submission Reason No submissions Samples Gamma Positive Gamma Negatives Retest Resample Reject n % of total n % n % n % n % n % GB Extended Flexible IFN-GAMMA test 13 315 1.5% 48 15.2% 256 81.3% 13 4.1 % 9 2.9 % 2 0.6 % Parallel - Herd or Group Slaughter 21 1631 7.6% 114 7.0% 1437 88.1% 111 6.8 % 72 4.4 % 8 0.5 % Parallel New Infection 98 11486 53.3% 535 4.7% 10118 88.1% 955 8.3 % 727 6.3 % 106 0.9 % Parallel - new infection cull area 28 2693 12.5% 144 5.3% 2431 90.3% 157 5.8 % 116 4.3 % 2 0.1 % Parallel - Other 15 1128 5.2% 95 8.4% 953 84.5% 106 9.4 % 79 7.0 % 1 0.1 % Parallel Persistent Infection 28 3814 17.7% 260 6.8% 3379 88.6% 245 6.4 % 163 4.3 % 12 0.3 % Parallel - persistent infection cull area 3 424 2.0% 31 7.3% 350 82.5% 51 12.0 % 43 10.1 % 0 Parallel - Rapid Testing Two-times IRs 22 63 0.3% 14 22.2% 47 74.6% 4 6.3 % 2 3.2 % 0 Total 228 21554 100.0% 1241 5.8% 18971 88.0% 1642 7.6 % 1211 5.6 % 131 0.6 % England - HRA Parallel New Infection 1 183 0.8% 6 3.3% 154 84.2% 28 15.3 % 23 12.6 % 0 Parallel - new infection cull area 28 2693 12.5% 144 5.3% 2431 90.3% 157 5.8 % 116 4.3 % 2 0.1 % Parallel - Other 1 5 0.0% 0 0.0 % 5 100.0% 0 0 0 Parallel Persistent Infection 9 1793 8.3% 138 7.7% 1580 88.1% 101 5.6 % 71 4.0 % 4 0.2 % Parallel - persistent infection cull area 3 424 2.0% 31 7.3% 350 82.5% 51 12.0 % 43 10.1 % 0 England - HRA 42 5098 23.7% 319 6.3% 4520 88.7% 337 6.6 % 253 5.0 % 6 0.1 % England - Edge Parallel New Infection 72 9398 43.6% 474 5.0% 8233 87.6% 765 8.1 % 589 6.3 % 102 1.1 % Parallel - Other 2 24 0.1% 3 12.5% 19 79.2% 1 4.2 % 1 4.2 % 1 4.2 % England - Edge 74 9422 43.7% 477 5.1% 8252 87.6% 766 8.1 % 590 6.3 % 103 1.1 % England - LRA Parallel New Infection 6 754 3.5% 28 3.7% 650 86.2% 89 11.8 % 75 9.9 % 1 0.1 % England - LRA 6 754 3.5% 28 3.7% 650 86.2% 89 11.8 % 75 9.9 % 1 0.1 % Wales - High TB Extended Flexible IFN-GAMMA test 9 267 1.2% 41 15.4% 220 82.4% 8 3.0 % 4 1.5 % 2 0.7 % Parallel - Herd or Group Slaughter 17 1247 5.8% 80 6.4% 1109 88.9% 77 6.2 % 51 4.1 % 7 0.6 % Parallel New Infection 2 91 0.4% 2 2.2% 87 95.6% 3 3.3 % 2 2.2 % 0 Parallel - Other 9 486 2.3% 25 5.1% 418 86.0% 60 12.3 % 43 8.8 % 0 Parallel Persistent Infection 18 1913 8.9% 119 6.2% 1700 88.9% 130 6.8 % 86 4.5 % 8 0.4 % Parallel - Rapid Testing Two-times IRs 20 61 0.3% 13 21.3% 46 75.4% 4 6.6 % 2 3.3 % 0 Wales - High TB 75 4065 18.9% 280 6.9% 3580 88.1% 282 6.9 % 188 4.6 % 17 0.4 % Wales - Intermediate TB Extended Flexible IFN-GAMMA test 4 48 0.2% 7 14.6% 36 75.0% 5 10.4 % 5 10.4 % 0 Parallel - Herd or Group Slaughter 4 384 1.8% 34 8.9% 328 85.4% 34 8.9 % 21 5.5 % 1 0.3 % Parallel New Infection 7 297 1.4% 8 2.7% 273 91.9% 20 6.7 % 14 4.7 % 2 0.7 % Parallel - Other 3 613 2.8% 67 10.9% 511 83.4% 45 7.3 % 35 5.7 % 0 Parallel Persistent Infection 1 108 0.5% 3 2.8% 99 91.7% 14 13.0 % 6 5.6 % 0 Parallel - Rapid Testing Two-times IRs 2 2 0.0% 1 50.0% 1 50.0% 0 0 0 Wales - Intermediate TB 21 1452 6.7% 120 8.3% 1248 86.0% 118 8.1 % 81 5.6 % 3 0.2 % Wales - Low TB Parallel New Infection 10 763 3.5% 17 2.2% 721 94.5% 50 6.6 % 24 3.1 % 1 0.1 % Wales - Low TB 10 763 3.5% 17 2.2% 721 94.5% 50 6.6 % 24 3.1 % 1 0.1 % ## Table 4B. Summary Of Ifn Gamma Results By Submission Reason (Total 2018) Submission Reason No submissions Samples Gamma Positive Gamma Negatives Retest Resample Reject n % of total n % n % n % n % n % GB Extended Flexible IFN-GAMMA test 138 9178 3.6% 735 8.0% 7840 85.4% 778 8.5 % 515 5.6 % 88 1.0 % Parallel - Herd or Group Slaughter 127 8132 3.2% 405 5.0% 6830 84.0% 731 9.0 % 516 6.3 % 381 4.7 % Parallel New Infection 1142 131838 52.0% 5144 3.9% 118042 89.5% 11297 8.6 % 7823 5.9 % 829 0.6 % Parallel - new infection cull area 266 31400 12.4% 1754 5.6% 27793 88.5% 2542 8.1 % 1665 5.3 % 188 0.6 % Parallel - Other 82 5134 2.0% 422 8.2% 4311 84.0% 395 7.7 % 273 5.3 % 128 2.5 % Parallel Persistent Infection 464 59225 23.4% 3417 5.8% 51980 87.8% 4503 7.6 % 3199 5.4 % 629 1.1 % Parallel - persistent infection cull area 38 6710 2.6% 383 5.7% 5891 87.8% 501 7.5 % 336 5.0 % 100 1.5 % Parallel - Rapid Testing Two-times IRs 398 1570 0.6% 352 22.4% 1112 70.8% 102 6.5 % 75 4.8 % 31 2.0 % Serial - Anomalous Reaction 10 270 0.1% 58 21.5% 204 75.6% 13 4.8 % 8 3.0 % 0 Serial - Suspected NSR Herd 4 29 0.0% 0 0.0 % 29 100.0% 0 0 0 Total 2669 253486 100.0% 12670 5.0% 224032 88.4% 20862 8.2 % 14410 5.7 % 2374 0.9 % England - HRA Extended Flexible IFN-GAMMA test 43 6550 2.6% 517 7.9% 5699 87.0% 522 8.0 % 321 4.9 % 13 0.2 % Parallel New Infection 23 2925 1.2% 164 5.6% 2560 87.5% 276 9.4 % 189 6.5 % 12 0.4 % Parallel - new infection cull area 266 31400 12.4% 1754 5.6% 27793 88.5% 2542 8.1 % 1665 5.3 % 188 0.6 % Parallel - Other 34 3158 1.2% 206 6.5% 2696 85.4% 210 6.6 % 130 4.1 % 126 4.0 % Parallel Persistent Infection 151 31312 12.4% 1871 6.0% 27880 89.0% 2167 6.9 % 1496 4.8 % 65 0.2 % Parallel - persistent infection cull area 38 6710 2.6% 383 5.7% 5891 87.8% 501 7.5 % 336 5.0 % 100 1.5 % Serial - Anomalous Reaction 8 170 0.1% 3 1.8% 159 93.5% 12 7.1 % 8 4.7 % 0 England - Edge Parallel New Infection 759 93689 37.0% 3948 4.2% 83824 89.5% 8093 8.6 % 5582 6.0 % 335 0.4 % Parallel - Other 6 53 0.0% 4 7.5% 46 86.8% 3 5.7 % 2 3.8 % 1 1.9 % Parallel Persistent Infection 35 4577 1.8% 253 5.5% 3903 85.3% 389 8.5 % 319 7.0 % 102 2.2 % Serial - Suspected NSR Herd 4 29 0.0% 0 0.0 % 29 100.0% 0 0 0 England - LRA Parallel New Infection 96 12162 4.8% 470 3.9% 10701 88.0% 1142 9.4 % 787 6.5 % 204 1.7 % Parallel - Other 3 276 0.1% 30 10.9% 205 74.3% 50 18.1 % 41 14.9 % 0 Parallel Persistent Infection 3 627 0.2% 17 2.7% 581 92.7% 33 5.3 % 29 4.6 % 0 England 1469 193638 76.4% 9620 5.0% 171967 88.8% 15940 8.2 % 10905 5.6 % 1146 0.6 % ## Table 4B. Summaryof Ifn Gamma Results By Submission Reason (Total 2018) Cont. Wales - High TB Extended Flexible IFN-GAMMA test 72 2155 0.9% 186 8.6% 1733 80.4% 219 10.2 % 161 7.5 % 75 3.5 % Parallel - Herd or Group Slaughter 112 6729 2.7% 345 5.1% 5692 84.6% 460 6.8 % 314 4.7 % 378 5.6 % Parallel New Infection 26 960 0.4% 23 2.4% 897 93.4% 55 5.7 % 38 4.0 % 2 0.2 % Parallel - Other 30 787 0.3% 54 6.9% 680 86.4% 72 9.1 % 53 6.7 % 0 Parallel Persistent Infection 263 21940 8.7% 1198 5.5% 19002 86.6% 1810 8.2 % 1278 5.8 % 462 2.1 % Parallel - Rapid Testing Two-times IRs 354 1398 0.6% 315 22.5% 985 70.5% 93 6.7 % 68 4.9 % 30 2.1 % Serial - Anomalous Reaction 2 100 0.0% 55 55.0% 45 45.0% 1 1.0 % 0 0 Wales - Intermediate TB Extended Flexible IFN-GAMMA test 20 417 0.2% 31 7.4% 355 85.1% 34 8.2 % 31 7.4 % 0 Parallel - Herd or Group Slaughter 15 1403 0.6% 60 4.3% 1138 81.1% 271 19.3 % 202 14.4 % 3 0.2 % Parallel New Infection 143 12764 5.0% 238 1.9% 11753 92.1% 985 7.7 % 711 5.6 % 62 0.5 % Parallel - Other 7 812 0.3% 88 10.8% 676 83.3% 59 7.3 % 47 5.8 % 1 0.1 % Parallel Persistent Infection 11 764 0.3% 78 10.2% 612 80.1% 101 13.2 % 74 9.7 % 0 Parallel - Rapid Testing Two-times IRs 40 157 0.1% 35 22.3% 114 72.6% 9 5.7 % 7 4.5 % 1 0.6 % Wales - Low TB Extended Flexible IFN-GAMMA test 2 46 0.0% 0 0.0 % 45 97.8% 2 4.3 % 1 2.2 % 0 Parallel New Infection 66 7153 2.8% 160 2.2% 6401 89.5% 547 7.6 % 378 5.3 % 214 3.0 % Parallel - Other 1 2 0.0% 1 50.0% 1 50.0% 0 0 0 Parallel Persistent Infection 1 5 0.0% 0 0.0 % 2 40.0% 3 60.0 % 3 60.0 % 0 Parallel - Rapid Testing Two-times IRs 4 15 0.0% 2 13.3% 13 86.7% 0 0 0 Wales 1169 57607 22.7% 2869 5.0% 50144 87.0% 4721 8.2 % 3366 5.8 % 1228 2.1 % Scotland - Scotland Extended Flexible IFN-GAMMA test 1 10 0.0% 1 10.0% 8 80.0% 1 10.0 % 1 10.0 % 0 Parallel New Infection 29 2185 0.9% 141 6.5% 1906 87.2% 199 9.1 % 138 6.3 % 0 Parallel - Other 1 46 0.0% 39 84.8% 7 15.2% 1 2.2 % 0 0 Scotland 31 2241 0.9% 181 8.1% 1921 85.7% 201 9.0 % 139 6.2 % 0 | Year | Month | |--------------|---------| | Herds | | | sampled | | | Samples | | | tested | | | IFNg+ | | | samples | | | Wrong | | | Eartags | | | VL No | | | Cult | | | Herds | | | with | | | positives | | | No PM | | | No | | | Cult | | | No PM | | | Cult | | | Pend | | | No PM | | | Cult | | | Neg | | | No PM | | | Cult | | | Mb | | | VL | | | Cult | | | Neg | | | VL | | | Cult | | | Pend | | | VL | | | Cult | | | Mb | | | VL | | | Cult | | | Other | | | NVL | | | No | | | Cult | | | NVL | | | Cult | | | Pend | | | NVL | | | Cult | | | Neg | | | NVL | | | Cult | | | Mb | | | NVL | | | Cult | | | Other | | | No | | | PM | | | Cult | | | Other | | | 2018 | January | | February | 206 | | March | 189 | | April | 195 | | May | 250 | | June | 187 | | July | 207 | | August | 228 | | September | 216 | | October | 274 | | November | 282 | | December | 228 | | Totals (last | | | 12 months) | | | 2669 | 253486 | Country Herds sampled Samples tested IFNg+ samples VL No Cult Herds with positives No PM No Cult No PM Cult Pend No PM Cult Neg No PM Cult Mb VL Cult Neg VL Cult Pend VL Cult Mb VL Cult Other NVL No Cult NVL Cult Pend NVL Cult Neg NVL Cult Mb NVL Cult Other No PM Cult Other England 1469 193638 1013 9620 710 0 0 0 0 780 16 12 33 1 7939 25 43 1 2 Scotland 31 2241 20 181 30 0 0 0 0 22 4 0 0 8 50 0 37 0 27 Wales 1169 57607 594 2869 229 0 0 0 0 140 7 2 18 3 1831 207 380 3 14 Totals 2669 253486 1627 12670 969 0 0 0 0 942 27 14 51 12 9820 232 460 4 43 *Includes all animals with IFNg test negative, resample and reject outcomes County %Resampled %Retested | Berks | 2.33 % | 4.24 % | |---------------|----------|----------| | Bucks | 5.96 % | 6.97 % | | Cambs | 5.34 % | 9.16 % | | Carms | 4.60 % | 7.41 % | | Ceredigion | 5.15 % | 6.19 % | | Cheshire | 5.57 % | 8.13 % | | Corn & Scilly | 6.29 % | 8.31 % | | Cumbria | 10.02 % | 11.89 % | | Derbyshire | 8.99 % | 9.09 % | | Devon | 5.28 % | 7.26 % | | Dorset | 4.07 % | 6.47 % | | E Sussex | 2.39 % | 2.39 % | | Gloucs | 3.30 % | 4.51 % | | Gwent | 8.33 % | 10.19 % | | Gwynedd | 2.54 % | 6.76 % | | Hampshire | 4.53 % | 11.08 % | | Heref | 8.05 % | 9.17 % | | Isle of wight | 13.44 % | 13.98 % | | Leics & Rut | 2.91 % | 3.74 % | | Lincs | | | | NE Wales | 4.59 % | 7.54 % | | Northants | 14.63 % | 14.63 % | | Oxon | 8.62 % | 12.27 % | | Pembs | 4.84 % | 6.89 % | |-------------|----------|----------| | Powys | 3.17 % | 3.49 % | | Shropshire | 4.32 % | 5.76 % | | Somerset | 1.84 % | 1.84 % | | S Wales | 3.37 % | 4.49 % | | Warks | 5.23 % | 6.54 % | | W Glamorgan | 6.79 % | 10.80 % | Country No. animals No of IFHg+ animals % Positive animals No. samples No of IFHg+ samples England 15080 824 5.5% 15274 824 5.4% Wales 6199 417 6.7% 6280 417 6.6% GB 21279 1241 5.8% 21554 1241 5.8% Country No. animals No of IFHg+ animals % Positive animals No. samples No of IFHg+ samples England 7195 444 6.2% 7199 444 6.2% Wales 1765 165 9.3% 1793 165 9.2% Scotland 486 59 12.1% 486 59 12.1% GB 9446 668 7.1% 9478 668 7.0% Country No. animals No of IFHg+ animals % Positive animals No. samples No of IFHg+ samples England 165901 9620 5.8% 193638 9620 5.0% Wales 50414 2858 5.7% 57607 2869 5.0% Scotland 2080 181 8.7% 2241 181 8.1% GB 218375 12659 5.8% 253486 12670 5.0% Country No. animals No of IFHg+ animals % Positive animals No. samples No of IFHg+ samples England 77307 5094 6.6% 98529 5094 5.2% Wales 32133 2314 7.2% 35660 2314 6.5% Scotland 2979 228 7.7% 3267 228 7.0% GB 112416 7636 6.8% 137456 7636 5.6% % Positive samples % Positive samples % Positive samples % Positive samples * Test type Num Submissions Num Samples Num Positives Northern Somerset & South Glou PRV-SE 1 1 0 Oxfordshire PRV-SE 1 2 1 50.00 % Somerset excl North PRV-SE 1 30 8 26.67 % Total 3 33 9 27.27 % Isle of Man SER-IOM 2 2 0 * Test type Num Submissions Berkshire PRV-SP 1 2 0 Buckinghamshire PRV-SE 1 1 0 Cheshire PRV-SP 3 3 1 33.33 % Cornwall and Isles of Scilly PRV-SE 1 3 0 PRV-SP 1 1 0 Devon PRV-SE 1 2 1 50.00 % PRV-SP 1 2 0 Dorset PRV-SE 4 25 6 24.00 % PRV-SP 1 1 0 East Sussex PRV-SE 1 1 0 PRV-SP 1 1 0 Hampshire PRV-SE 2 6 1 16.67 % PRV-SP 1 3 0 Northern Somerset & South Glou PRV-SE 3 47 8 17.02 % Oxfordshire PRV-SE 2 40 5 12.50 % Somerset excl North PRV-SE 4 76 11 14.47 % PRV-SP 1 1 0 Suffolk PRV-SP 2 11 0 West Sussex PRV-SP 1 1 0 Total 32 227 33 14.54 % Isle of Man SER-IOM 18 51 1 1.96 % *SER-IOM: Serial High Specificity test - Isle of Man; PRV-SE: Private High Sensitivity test - England; PRV-SP: Private High Specificity test - England Private % Positive % Positive Num Samples Num Positives Private | | Test | County | Num Submissions | Num Samples Tested | Num Positive Samples % Positive | |---------------|-----------------|----------|-------------------|----------------------|-----------------------------------| | TC0077 | Carmarthenshire | 1 | 10 | 1 | 10.0 % | | Staffordshire | 1 | 382 | 91 | 23.8 % | | | TC0077 | Sum: | 392 | 92 | 23.5 % | | ## Table 8B Number Of Cattle Antibody Tests 2018 | | Test | County | Num Submissions | Num Samples Tested | Num Positive Samples % Positive | |------------------|-----------------|----------|-------------------|----------------------|-----------------------------------| | TC0077 | Argyll and Bute | 1 | 3 | 3 | 100.0 % | | Carmarthenshire | 4 | 192 | 6 | 3.1 % | | | Ceredigion | 1 | 85 | 4 | 4.7 % | | | North East Wales | 2 | 66 | 4 | 6.1 % | | | Pembrokeshire | 3 | 201 | 10 | 5.0 % | | | Powys | 2 | 361 | 4 | 1.1 % | | | South Wales | 5 | 199 | 17 | 8.5 % | | | Staffordshire | 1 | 382 | 91 | 23.8 % | | | TC0077 | Sum: | 1,489 | 139 | 9.3 % | |

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## Dwp Request For Information From Hmrc Details Of Claimant About Whom Information Is Requested Details Of Third Party About Whom Information Is Requested (Please note that the exchange of information is not mandatory. Only information that is proportionate to the nature of your enquiry will be provided.) request: (State details of the investigation or enquiry to which the request relates. These details must show how the individual or company are linked to the enquiry and state what they are suspected of doing.)

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## Manual To The Building Regulations A code of practice for use in England ## Acknowledgements MHCLG would like to thank industry stakeholders who have participated in the production of this manual. Particular thanks are owed to the Building Regulations Advisory Committee and Working Group, the Construction Products Association, the Federation of Master Builders, the Royal Institution of Chartered Surveyors, the National House Building Council, the Property Care Association and the Royal Institute of British Architects. ## Picture Credits Front cover: *Sunny Uplands of Suburbia* by Moose Allain © www.worldofmoose.com Page 4: © LABC Page 11: © LABC Page 16: © AHMM Page 17: © Gas Safe Register Page 18: © NAPIT Page 36: © Gas Safe Register Page 48: © Aaron Hargreaves/Foster + Partners Page 49: © Feilden Clegg Bradley Studios Page 57: © AHMM Back cover: *Great Wall* by Moose Allain © www.worldofmoose.com Other illustrations © MHCLG ## © Crown Copyright, July 2020 Copyright In The Typographical Arrangement Rests With The Crown You may re-use this information (not including logos) free of charge in any format or medium, under the terms of the Open Government Licence. To view this licence visit http://www.nationalarchives.gov.uk/doc/opengovernment-licence/version/3/ This publication is available on our website at www.gov.uk/mhclg If you have any enquiries regarding this publication, complete the form at http://forms.communities.gov.uk/ or write to us at: Technical Policy Division (Building Regulations) Ministry of Housing, Communities and Local Government Fry Building 2 Marsham Street London SW1P 4DF Telephone: 030 3444 0000 For all our latest news and updates follow us on Twitter: https://twitter.com/mhclg July 2020 ## Contents This manual contains the following sections: Page 5 Introduction ## Volume 1: Overview Page 9 Chapter 1 The regulatory framework Page 11 Chapter 2 The building control process Page 13 Chapter 3 Do I need to notify someone? Page 15 Chapter 4 Is a building control body involved? Page 17 Chapter 5 Competent person schemes Page 19 Chapter 6 Local authority building control and approved inspectors Page 21 Chapter 7 Meeting the technical requirements Page 25 Chapter 8 Before the work is finished ## Volume 2: Further Guidance Page 27 Chapter A Do the Building Regulations apply? Page 33 Chapter B Should a building control body be involved? Page 35 Chapter C Competent person schemes and third-party testing Page 37 Chapter D Local authority building control Page 41 Chapter E Approved inspectors Page 49 Chapter F Meeting the technical requirements Page 55 Appendix I Key terms Page 59 Appendix II References ## Introduction This is a short manual on the Building Regulations, providing guidance on the Building Regulations system in England. Volume 1 of this manual gives a very high-level outline of how the Building Regulations system currently works. Volume 2 goes into more detail. The manual is only a summary. You should always rely on what is said in the legislation, rather than the guidance in this manual. You should think about what help you need with your project. There are professionals who can give you advice on your project. This can help you make sure that you comply with the Building Regulations. When you do one of the following, Building Regulations are likely to apply: a. put up a new building b. change or make bigger a building that is already built c. change the use of a building that is already built or d. alter the building services if they are either what is legally called: i. a 'controlled service' or ii. a 'controlled fitting' (these terms are explained in Appendix I). The Building Regulations may apply in and around buildings. These requirements are intended to protect people's safety, health and welfare. They also set standards for accessibility, water use, energy use and security. The approved documents give further guidance for many common building situations. They contain statutory guidance on how to meet the requirements of the Building Regulations. Dame Judith Hackitt led the Independent Review of Building Regulations and Fire Safety following the Grenfell Tower tragedy. Dame Judith's expert group called for this manual to be revised and made available. The Building Act 1984 set up a simple way of regulating building in England (and, at the time, in Wales). This new system was explained by a manual, the Manual to the Building Regulations. The old manual is now out of date. This current manual replaces previous manuals in England. In the coming months, the government intends to introduce legislation to deliver a new Building Safety Regulator. The new regulator will be responsible for implementing and enforcing a more stringent regulatory regime for higher-risk residential buildings (HRRBs) (a term defined by the Independent Review). The new regulator will also provide wider and stronger oversight of safety and performance across all buildings. The Fire Safety Bill, recently introduced by the government, and associated regulatory changes will enable delivery of the recommendations from the Independent Review. The Bill places beyond doubt that external wall systems, including cladding, and the fire doors to individual flats in multi-occupied residential blocks fall within the scope of the Regulatory Reform (Fire Safety) Order 2005. These changes will affirm fire and rescue services' ability to enforce locally against building owners or managers who have not remediated unsafe aluminium composite material (ACM) cladding from multi-occupied residential buildings. This manual is split into two parts: a. Volume 1 is an overview of the Building Regulations system. It is written to give a simple overview of how the system works. b. Volume 2 gives more detailed guidance. It is written for people working in the construction industry. You will need to know when Building Regulations apply. Before you start to plan a project, you should seek professional advice. This manual is not intended to provide legal, construction, design or planning advice. It is the duty of anyone responsible for building work to understand and meet their legal obligations. There will be changes to the legislation and guidance summarised in this manual. You should check whether you are reading the most up-to-date version. The key terms are highlighted in blue and listed in Appendix I. A list of references is given in Appendix II. ## Manual To The Building Regulations Volume 1: Overview Chapter 1 The Regulatory Framework The Building Regulations The Building Act 1984 (the Building Act) is the most wide-reaching law controlling building in England. It sets the enforcement powers. The Building Regulations 2010 (the Building Regulations) go into more detail about building work. Most building work carried out in England must comply with the Building Regulations. The legal term 'building work' generally includes building new buildings, making buildings bigger, altering buildings and changing what they are used for. It also covers installing a 'controlled service' or a 'controlled fitting'. A replacement window is an example of a controlled fitting. A boiler is an example of a controlled service. 'Renovation of thermal elements' is also building work. This includes roofs or external walls. Those responsible for carrying out building work have a duty to meet the requirements of the Building Regulations. Generally, the Building Regulations set out the required standards for the building work. For example, a home must be insulated, but the Building Regulations do not tell you how you should do it. The approved documents give help for some common problems. There are 15 technical requirements in Schedule 1 to the Building Regulations. Each technical requirement corresponds to a letter - for example, Part B is fire safety. These set out some of the legal requirements of the Building Regulations - these are rules that must be followed. They are often referred to as technical requirements. In addition to these, there are some other requirements in the Building Regulations. Some of these are about keeping energy use low. The people planning the work can decide how best to meet the rules, and there is guidance to help them (see the next section on approved documents). Everyone involved in carrying out building work must obey the rules. That includes: the building owner, agents, designers, builders and installers. The Building Regulations also allow inspections and enforcement to take place. Building control bodies or building inspectors will need to be satisfied too. Building control bodies is the term used for the organisations which check or inspect building work. ## Approved Documents The Building Act allows the government to publish approved documents. The government may also approve other guidance. The approved documents give more detailed advice on how to meet the legal requirements of the Building Regulations for some common situations. The approved documents should be useful for most domestic projects. The approved documents may not be relevant for all situations. Limitations on using the approved documents are discussed in Chapter 7 of this volume and Chapter F in Volume 2. You do not have to follow the guidance in approved documents, but if you don't you need to be sure that your building work meets the legal rules. Following the approved documents does not always guarantee that you are complying with the Building Regulations. A list of the approved documents is set out in Table 1.1. When working on a building that is already there, you should agree with the building control body the approach to standards. | Dwellings | Other buildings | |---------------------------------------------------------------------------|------------------------------------------| | New | Existing | | 1 | | | New | Existing | | 1 | | | A: | | | Structure | | | B: | | | Fire safety, Volume 1: Dwellings | | | B: | | | Fire safety, Volume 2: Buildings other than dwellings | | | C: | | | Site preparation and resistance to contaminants and moisture | | | D: | | | Toxic substances | | | E: | | | Resistance to the passage of sound | | | F: | | | Ventilation | | | G: | | | Sanitation, hot water safety and water efficiency | | | H: | | | Drainage and waste disposal | | | J: | | | Combustion appliances and fuel storage systems | | | K: | | | Protection from falling, collision and impact | | | L: | | | Conservation | | | L: | | | Conservation | | | L: | | | Conservation | | | L: | | | Conservation | | | of fuel and power | of fuel and power | | L1A | | | New dwellings | | | L1B | | | Existing dwellings | | | L2A | | | New buildings other | | | L2B | | | Existing buildings | | | than dwellings | other than dwellings | | M: | | | Access to and use of buildings | | | M: | | | Access to and use of buildings | | | Volume 1: Dwellings | Volume 2: Buildings other than dwellings | | P: | | | Electrical safety - dwellings | | | 2 | | | P: | | | No approved document | | | Q: | | | Security - dwellings | | | Q: | | | No requirement | | | Q: | | | No requirement | | | R: | | | Physical infrastructure for high-speed electronic communications networks | | NOTES: 1. The requirements that apply to material changes of use are covered in Table A2 in Volume 2. 2. Approved Document P provides guidance for other buildings if the supply is shared with a dwelling. ## Following Other Guidance It is important to agree with the building control body that the standards you are using are right for your project. If you are undertaking a project that needs to be checked by others, you should make sure you are designing to the right standards. Any work that the Building Regulations apply to must meet all requirements in Schedule 1 which are relevant to the project. For example, new electrical wiring must comply with Part P (electrical safety), Part L (energy efficiency) and Part M (access to and use of buildings). It also must comply with the fire safety requirements of Part B. The materials and workmanship must meet Regulation 7 of the Building Regulations. A list of other laws that often govern buildings or building work is given at the end of this document (in Appendix II). The legal requirements of the Building Regulations must always be met when they apply to your project. Although the local authority has some powers to relax Building Regulations you should take your own legal advice if you don't think you can comply with every part of the Building Regulations. This applies to all those responsible for building work. This includes: the building owner, agents, designers, builders and installers. Meeting the requirements of the Building Regulations can be complex. For example, it is a good idea that those designing or carrying out work are skilled in designing and constructing buildings. It may be necessary to seek advice. The more complex your project, the more expert help you are likely to need. ## Volume 1 Chapter 2 The Building Control Process The building control process involves building inspectors approving some aspects of the building work. Three laws control this process in England. These are the Building Act 1984 (Building Act), the Building Regulations 2010 (Building Regulations) and the Building (Approved Inspectors etc.) Regulations 2010 (Approved Inspectors Regulations). There are several paths through the building control process. a. The work may be checked by a building control body, either: i. local authority building control or ii. a licensed approved inspector. b. Some types of work may be done by a 'competent person'. This is a term for an installer who works under a scheme that has been approved by the government. The flowchart in Figure 2.1 provides a simplified overview of the building control process for those involved in building work. Start No Do Building Regulations apply to the work? Yes No Has the work commenced? The work may be checked by the local authority or an approved inspector or carried out by a competent person Yes Apply to the local authority No Is all the building work covered by a competent person scheme or a third-party scheme for certification? No need to submit a notice to the local authority. The competent person or the scheme operator will notify the local authority of the work and provide them and the building occupier with a certificate of completion within 30 days of completion of the work The work may be checked by the local authority or an approved inspector. Work covered by a competent person scheme or a third-party scheme for certification can take place at the same time Local authority route Approved inspector route Local authority building control under the Building Regulations 2010 Does the work involve any of the following: 1. Erecting or working on a building where the Regulatory Reform (Fire Safety) Order 2005 applies or will apply after the work is complete? 2. Erecting a building that fronts a private street? 3. Erecting a building over a sewer? Yes No No The applicant must deposit a full plans application The applicant may deposit a building notice application - additional plans and details may be requested by the local authority The local authority must provide a substantive assessment of the plans and details and must approve or reject plans within five weeks or two months (with agreement). The local authority must consult with the fire authority and, where appropriate, the sewerage undertaker and consider their views Work may start after the local authority has had at least two clear working days' notice. If the full plans application or submitted details under a building notice have not been assessed and approved, the work will be deemed 'at risk' The local authority will provide an inspection framework and must be notified at these certain stages in order for inspection to take place. Where the local authority is satisfied that work complies with the Building Regulations, it will issue a completion certificate NOTES: 1. The approved inspector must issue a final certificate within four weeks of occupation for buildings other than dwellings or eight weeks for dwellings. Regulation 17(7) of the Approved Inspectors Regulations allows a local authority to extend these time periods either before or after expiry. Refer to Volume 2, Chapter E for details of approved inspectors' initial notices. More information on the building control process can be found in Volume 2, Chapter A. No notification required Yes Approved inspectors under the Building (Approved Inspectors etc.) Regulations 2010 In conjunction with the approved inspector an initial notice must be given to the local authority Is initial notice accepted by the local authority? Provide additional information, amend notice or submit application to local authority Yes Request plan assessment and plans certificate, if desired. Where applicable, plans certificate is issued to both client and local authority Agree site inspection plan with approved inspector The approved inspector must consult the fire authority and, where appropriate, the sewerage undertaker, taking due regard of their views. The plans certificate or final certificate cannot be issued until 15 working days have elapsed Where the approved inspector is satisfied that work complies with the Building Regulations, it will issue a final certificate to both the applicant and the local authority within eight weeks of completion1 ## Volume 1 Chapter 3 Do I Need To Notify Someone? If you are going to carry out building work that is controlled under the Building Regulations then you need to notify or get approval from a building control body before you start the work. This does not apply to work which is carried out under a competent person scheme. Building Regulations approval is different to planning permission and listed building consent. You could need all three. To find out if your project will need planning consents, contact your local planning authority. If you are carrying out work under planning 'permitted development' rights, you are likely to need to go through the building control process. Even if your building project follows your planning permission, you must still meet the requirements of the Building Regulations. You must check if the work you are about to carry out is controlled under the Building Regulations before you start work. You can ask a building control body whether the Building Regulations apply to your project. A building control body can be either your local authority building control service or an approved inspector. Regulation 3 of the Building Regulations sets out the meaning of the term building work. Building work is controlled by the Building Regulations. In summary, when you do one of the following, Building Regulations are likely to apply: a. put up a new building b. change or make bigger a building that is already built c. change the use of a building that is already built or d. alter the building services if they are either what is legally called: i. a 'controlled service' or ii. a 'controlled fitting' (these terms are explained in Appendix I). You may also need Building Regulations approval for many other things, such as: a. replacing consumer units or installing new electric circuits b. installing new plumbing and waste connections c. changing existing electric circuits near a bath or shower d. putting in a ventilation or air-conditioning system e. replacing windows and doors f. replacing roof coverings on pitched and flat roofs g. putting in or replacing a heating system h. adding extra radiators i. removing a chimney breast j. removing a wall (load bearing and sometimes non-load bearing) k. creating a through lounge. Local authority building control or an approved inspector can advise on whether the Building Regulations apply. Some work does not have to be checked by a building control body but must still comply with the Building Regulations. An example is putting in new loft insulation (unconnected to a material change of use or other building work). In all cases, seek advice from a building control body to see if the Building Regulations apply. Combustion installations, such as gas boilers, must be installed to comply with the Gas Safety (Installation and Use) Regulations 1998 (subsequently referred to as the Gas Safety Regulations) and the Building Regulations. Gas installations, such as a gas cooker, must also comply with the Gas Safety Regulations and the Building Regulations. The Gas Safety Regulations require that people who work on gas systems must be registered as competent. This means that they must be on the Gas Safe Register. This is a list of competent persons who may install, service or repair gas appliances or fittings. You can check the list at the following website: https://www.gassaferegister.co.uk/ The Gas Safety Regulations cover the installation, maintenance and use of gas fittings, appliances and flues. ## Summary You might need approval, or be required to follow certain rules, for works not listed here. Check with your local authority building control service or an approved inspector to decide whether you need approval. You do not need Building Regulations approval for the following: a. Work that is not covered by the Building Regulations. b. Work carried out by someone who is registered with a competent person scheme where the type of work is within the scope of the scheme. c. You do not need advance approval for emergency repairs to your boiler or heating system, but you must comply with the Gas Safety Regulations. ## What Happens To Those Who Don'T Comply With The Building Regulations? Where building work is carried out without asking for Building Regulations approval, the owner or the person doing the work may be taken to court. Local authorities can take action when building work does not comply with the Building Regulations or when buildings are unsafe. The local authority can take action against the building owner or those doing the building work. You may be made to pay for faulty work to be fixed. The courts can impose unlimited fines. Without approval the building owner will not have certificates of compliance, which they may need when selling or insuring their home. See Volume 2, Chapter A, for more details on when the Building Regulations apply. You can also check with your local authority building control service or an approved inspector. ## Volume 1 Chapter 4 Is A Building Control Body Involved? When Building Regulations apply to the work you want to do, then you need either to: a. involve a building control body - either local authority building control or an approved inspector - or b. use an installer registered under a competent person scheme to do the work. If you need to involve a building control body, you will need to notify them of your building work. You will then need to seek their approval and explain how your work will meet the requirements of the Building Regulations. They will provide advice and carry out some checks. For some types of work you can use a competent person scheme. Examples include mechanical ventilation systems, electrical work and home window replacement. This means that you do not have to get the building control body to check the work done under the competent person scheme. Installers registered with a competent person scheme must follow certain rules to make sure they comply with the Building Regulations. They must issue a certificate to show that they have complied. You can use both a building control body and a competent person scheme on the same project. ## Volume 1 Using A Building Control Body If the work has started or been completed and you have not notified a building control body then you cannot use an approved inspector. You can only use your local authority building control service to approve your work. Local authority building control are not obliged to approve work that has already been carried out. It is a good idea to seek approval before starting your work. This may avoid you being asked to change or demolish your work later. Where building work does not comply with the Building Regulations, the person who did the work may be taken to court. To make it easier for people who wish to have work approved which has already been started or finished, there is a process called 'regularisation'. The local authority will try to determine whether the works meet the Building Regulations. The reason for doing this is to get a 'certificate of regularisation' for your works. This may mean that you have to open up works. You could be asked to take down or rebuild work. You should discuss your project with your local authority building control service before making a 'regularisation application'. You will be charged for this service. For further information on the process, see Volume 2, Chapter B, paragraphs B13 to B17. You can learn more about when to use a building control body in Volume 2, Chapter B. ## Chapter 5 Competent Person Schemes Competent person schemes let tradespeople show that they can do certain works. Examples include home window replacements or gas boiler installations. You do not need to apply for Building Regulations approval for work completed by an installer who is working under a competent person scheme. ## Volume 1 Volume 1 Only installers who are registered with a competent person scheme can self-certify that their work complies with the Building Regulations. Where necessary, they will tell your local authority about the work for you. You will receive a certificate from them within 30 days of completion of the work. This will confirm that the work complies with the Building Regulations. This certificate will also show up in property searches if you sell your home. If you don't receive a certificate within 30 days of completion, the competent person scheme operator that your installer is registered with should be able to help. You can learn more about competent person schemes in Volume 2, Chapter C. ## Chapter 6 Local Authority Building Control And Approved Inspectors There are two types of building control body. These are: a. local authority building control b. approved inspectors. It is up to you which you use if your work has not started. If it has started, you must use local authority building control. ## Local Authority Building Control If you apply for approval for your project from your local authority, then the process will broadly follow this route: Local authority route Local authority building control under the Building Regulations 2010 Does the work involve any of the following: 1. Erecting or working on a building where the Regulatory Reform (Fire Safety) Order 2005 applies or will apply after the work is complete? 2. Erecting a building that fronts a private street? 3. Erecting a building over a sewer? Yes No The applicant must deposit a full plans application The applicant may deposit a building notice application - additional plans and details may be requested by the local authority The local authority must provide a substantive assessment of the plans and details and must approve or reject plans within five weeks or two months (with agreement). The local authority must consult with the fire authority and, where appropriate, the sewerage undertaker and consider their views Work may start after the local authority has had at least two clear working days' notice. If the full plans application or submitted details under a building notice have not been assessed and approved, the work will be deemed 'at risk' The local authority will provide an inspection framework and must be notified at these certain stages in order for inspection to take place. Where the local authority is satisfied that work complies with the Building Regulations, it will issue a completion certificate ## Volume 1 Volume 1 Approved Inspectors You can apply for approval for your project through a licensed approved inspector. Approved inspectors are independent of your local authority. An approved inspector will inform your local authority of the work by giving an initial notice. The Building (Approved Inspectors etc.) Regulations 2010 (Approved Inspectors Regulations) are the main law governing approved inspectors. If you use an approved inspector then the process will broadly follow this route: Approved inspector route Approved inspectors under the Building (Approved Inspectors etc.) Regulations 2010 In conjunction with the approved inspector an initial notice must be given to the local authority Is initial notice accepted by the local authority? No Provide additional information, amend notice or submit application to local authority Yes Request plan assessment and plans certificate, if desired. Where applicable, plans certificate is issued to both client and local authority When the person carrying out the building work engages an approved inspector, together the person and the approved inspector must give the local authority both of the following: a. an initial notice Agree site inspection plan with approved inspector b. an insurance declaration demonstrating that the approved inspector has the appropriate professional and public liability insurance. The content of an initial notice is outlined in Form 1 in Schedule 1 to the Approved Inspectors Regulations. The initial notice must contain all of the following information: a. a description of the work b. in the case of a new building or extension: The approved inspector must consult the fire authority and, where appropriate, the sewerage undertaker, taking due regard of their views. The plans certificate or final certificate cannot be issued until 15 working days have elapsed i. a site plan to a scale of not less than 1:1250 showing the boundaries and location of the site Where the approved inspector is satisfied that work complies with the Building Regulations, it will issue a final certificate to both the applicant and the local authority within eight weeks of completion1 ii. a statement that if work involves building over or near any drain, sewer or disposal main shown on any map of sewers kept by the sewerage undertaker, the approved inspector will consult the sewerage undertaker. ## Notes: 1. The Approved Inspector Must Issue A Final Certificate Within Four Weeks Of Occupation For Buildings Other Than Dwellings Or eight weeks for dwellings. Regulation 17(7) of the Approved Inspectors Regulations allows a local authority to extend these time periods either before or after expiry. You can learn more about these two types of building control body and their role in checking that building work complies with the Building Regulations later in this manual. Chapter D in Volume 2 covers local authority building control and Chapter E looks at approved inspectors. ## Volume 1 Chapter 7 Meeting The Technical Requirements Complying With The Building Regulations The key legal requirements which your building work must meet in order to comply with the Building Regulations are frequently referred to as the 'technical requirements'. The technical requirements are set out in Schedule 1 to the Building Regulations and the areas addressed in the requirements are summarised in Table 7.1 below. | Lettered parts from Schedule 1 | Building Regulations specific to each part | |---------------------------------------------------|----------------------------------------------------| | A: | | | Structure | | | B: | | | Fire safety | Regulations 7, 38 | | C: | | | Site preparation and resistance to contaminants | | | and moisture | | | D: | | | Toxic substances | | | E: | | | Resistance to the passage of sound | Regulation 41 | | F: | | | Ventilation | Regulations 39, 42, 44 | | G: | | | Sanitation, hot water safety and water efficiency | Regulations 36, 37 | | H: | | | Drainage and waste disposal | | | J: | | | Combustion appliances and fuel storage systems | | | K: | | | Protection from falling, collision and impact | | | L: | | | Conservation of fuel and power | Regulations 23, 24, 25, 25a, 26, 26a, 27, 27a, 28, | | 35, 40, 43, 44 | | | M: | | | Access to and use of buildings | | | P: | | | Electrical safety (dwellings) | | | Q: | | | Security (dwellings) | | | R: | | | Physical infrastructure for high speed electronic | | | communications networks (dwellings) | | NOTE: The Building Regulations, including Regulation 7, also apply. In addition to complying with the technical requirements in Schedule 1 to the Building Regulations, work controlled by the Building Regulations must be carried out with adequate and proper materials and in a workmanlike manner, as required by Regulation 7 of the Building Regulations. Further details are given in Chapter F in Volume 2. The visual quality of building work is only controlled by the Building Regulations if it affects technical compliance with the Building Regulations. This means that the quality of pointing of brickwork is only important if it affects, for example, the structural stability of the wall or another requirement regarding work controlled by the Building Regulations. Building Regulations ban the use of combustible materials in the external walls of certain tall residential buildings. For further information, see Approved Document B, Volume 1: Dwellings. ## How To Use The Technical Guidance While the legal requirements are contained in the Building Regulations (summarised above), the approved documents contain guidance on how you may be able to meet those legal requirements. The approved documents provide guidance for common building situations. They may not provide appropriate guidance if the case is unusual in terms of its design, setting, use, scale or technology. Non-standard conditions may include any of the following: a. difficult ground conditions b. buildings with unusual occupancies or high levels of complexity c. very large or very tall buildings d. large timber buildings e. some buildings that incorporate modern construction methods. The full list of the approved documents and what they cover is given in Table 1.1 in Chapter 1. The approved documents will be relevant in many common building situations. Anyone using the approved documents should have sufficient knowledge and skills to understand the guidance and correctly apply it to the building work. This is important because simply following the guidance does not guarantee that your building work will comply with the legal requirements of the Building Regulations. Each approved document contains legal requirements (which you must follow) and guidance (which you may or may not choose to follow). The text in a box with a green background at the beginning of each section of an approved document is taken from the Building Regulations. This text sets out the legal requirements. The explanation which follows the legal requirements is guidance (Figure 7.1). The guidance then explains one or more ways to demonstrate how building work should comply with the legal requirements in common circumstances. The terms in green lettering in an approved document are key terms, listed and explained in the appendix to that approved document. Guidance in the approved documents addresses most, but not all, situations that homeowners will face. Situations may arise that are not covered. You or your advisers will need to carefully consider whether following the guidance will mean that the requirements of the Building Regulations will be met. ## K4 Requirement K4: Protection Against Impact With Glazing This approved document deals with the following requirement from Part K of Schedule 1 to the Building Regulations 2010. ## ➊ Performance In the Secretary of State's view, you can meet requirement K4 if you adopt, in critical locations, one of the following approaches. ## ➋ a. Measures to limit the risk of cutting and piercing injuries by the use of glazing that is reasonably safe, such that, if breakage did occur, any particles would be relatively harmless. b. Use of glazing sufficiently robust to ensure that the risk of breakage is low. c. Steps are taken to limit the risk of contact with the glazing. Key ➊The law: extract from Schedule 1 to the Building Regulations 2010. ➋Statutory guidance. Where the approved documents do not provide appropriate guidance, there may be other ways to demonstrate compliance. It may be possible to achieve compliance by following the advice in one or more of the sources set out below: a. guidance from recognised standards bodies b. industry recognised codes c. manufacturers' technical literature. Where you wish to follow an alternative approach to the guidance in the approved documents, you should discuss and agree it with a building control body before starting building work. British and European standards and other technical guidance also deal with matters that are not covered by the Building Regulations. Nothing in the Building Regulations or an approved document prevents you from adopting higher standards. Building work must meet the relevant technical requirements in the Building Regulations. Regulation 7 of the Building Regulations requires building work to be carried out 'with adequate and proper materials' and 'in a workmanlike manner'. Regulation 7 also controls the combustibility of external walls of certain tall buildings. For further information, see Approved Document B, Volume 1: Dwellings. ## Responsibility For Compliance Receiving a completion certificate or final certificate is not a complete guarantee of compliance with the Building Regulations. The legal meaning of the certificate is that it is 'evidence but not conclusive evidence' of compliance. The building control officer or approved inspector will not have checked every piece of building material and how it has been fitted or every aspect of submitted documents. It is the responsibility of those carrying out building work to comply with the Building Regulations. The building control body will inspect the work on site at appropriate stages, but you cannot rely on this as the only method of ensuring that the work complies with the Building Regulations. The responsibility for ensuring compliance rests with the people carrying out the work. For example, a building has just received the final certificate or completion certificate, but the roof is leaking. The fact that the roof leaks is the builder's or building designer's problem and not the building control body's problem. However, the building control body may point out problems either with the design or construction at any stage up to granting the final certificate or completion certificate. ## Planning Building Work By carefully planning building work in advance, you can avoid many potential problems. Homeowners in particular may wish to engage building design professionals to help guide them through the complexities of construction projects. Design professionals can produce coordinated drawings and other design information to reduce risks once you start to build. The people who design buildings should be suitably competent and skilled in order to satisfy the requirements of Schedule 1 to the Building Regulations. If you carry out your building work without first ensuring that it will comply with Building Regulations, you may later be required to undo or redo it, and this may be expensive. You can learn more about the approved documents and Regulation 7 of the Building Regulations in Volume 2, Chapter F. ## Constructing And Altering Buildings The people who construct and alter buildings should be suitably competent and skilled in order to satisfy the requirements of the Building Regulations. ## Volume 1 Chapter 8 Before The Work Is Finished Completion Certificates Typically, the building owner will have received a completion certificate (from local authority building control) or a final certificate (from an approved inspector) before the building is occupied. These certificates are issued when the work is complete. In some circumstances a building may be occupied before the building owner has received the completion certificate or the final certificate. If this happens, the building owner will not be sure that the work meets all of the requirements of the Building Regulations and this may stop you from re-mortgaging your home or someone from buying your home. ## Other Legislation The Regulatory Reform (Fire Safety) Order 2005 generally applies to most buildings other than houses or individual flats. This requirement comes from Regulation 38 of the Building Regulations. The Regulatory Reform (Fire Safety) Order creates the duty of the 'responsible person'. This person should take reasonable steps to reduce the risk from fire and make sure people can safely escape if there is a fire. The person carrying out the building work must provide fire safety information to the responsible person before the completion of the work. The responsible person should use this information when they carry out their fire risk assessment. Once a building is finished and occupied, other laws and regulations will apply. The Housing Act 2004 is relevant to residential properties. The Health and Safety at Work etc. Act 1974 covers buildings in which people are working. There are many other regulations which apply to buildings in use, some of which are listed in Appendix II. ## Alterations When buildings are extended or altered or their use is changed, Building Regulations are likely to apply again. This will be the case if the work is defined as building work or if the change of use comes under the scope of the Building Regulations. ## Manual To The Building Regulations Volume 2: Further Guidance Chapter A Do The Building Regulations Apply? General Considerations A1 This second volume of the *Manual to the Building Regulations* looks in more detail at how the system works. It is intended to be used by people working professionally in the design and construction of buildings. A2 Building control bodies can provide advice on when the Building Regulations apply. A3 Those carrying out building work (e.g. agents, designers, builders, installers and the building owner) are responsible for ensuring that the work complies with all applicable requirements of the Building Regulations. A4 If building work does not comply with the Building Regulations, the local authority may serve an enforcement notice on the building owner. A5 This manual can only provide a summary of the applicable legislation and, in addition, the legislation will be amended from time to time. You should always rely on the text of the legislation in preference to relying on the summary in this manual. ## Exempt Premises A6 The Building Regulations do not apply to some types of buildings or building work, and these are summarised in paragraphs A7 to A13 below. In the remainder of this chapter, where we refer to buildings, we are generally referring to buildings which are not exempt from the Building Regulations. ## Crown Buildings A7 The procedural aspects of the Building Regulations do not apply to Crown buildings, such as central government offices and courts of law. These have their own systems of control. ## Statutory Undertakers And Airport Operators A8 Statutory undertakers are bodies that have been given statutory powers in relation to functions that are of a public character. Generally, they are utilities, telecoms companies or companies such as Network Rail, but you should check. Gas and electricity suppliers are not regarded as statutory undertakers under Section 4 of the Building Act. A9 A building that belongs to a statutory undertaker, the Civil Aviation Authority or an airport operator is exempt from the Building Regulations if both of the following apply: a. The company uses the building for the purposes of its undertaking. b. Any building owned by a statutory undertaker is not used as either of the following: i. a house or hotel ii. an office or showroom, unless it is part of a railway station or airport. A10 The Metropolitan Police Authority is exempt from the procedural elements of the Building Regulations. Local authorities do not have powers of enforcement over the Metropolitan Police Authority. However, building work undertaken by the Metropolitan Police Authority is still subject to the same standards (referred to as 'substantive requirements' in the Building Act). ## Exempt Buildings A11 Regulation 9 of the Building Regulations exempts some small buildings, extensions, and buildings used for specific purposes from the Building Regulations. Exempt buildings are defined in Schedule 2 to the Building Regulations and summarised in Table A1. The buildings must continue to meet the definitions in Schedule 2 after the works are complete. ## Table A1 Buildings Exempt From The Building Regulations | Class 1 | Buildings controlled under legislation for explosives, nuclear facilities or ancient | |------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------| | monuments | | | Class 2 | Certain buildings not visited by people, such as plant rooms | | Class 3 | Certain greenhouses, agricultural buildings and buildings for animals | | Class 4 | Temporary buildings not intended to remain in situ for more than 28 days | | Class 5 | Buildings used for site accommodation | | Class 6 | Certain small detached buildings, generally without sleeping accommodation | | Class 7 | Includes certain conservatories, porches and open-sided carports (see paragraphs | | A12 and A13). Any glazing in a Class 7 building must comply with the safety | | | requirements of Schedule 1 to the Building Regulations, which are set out in | | | Approved Document K (see K4 and K5) | | NOTE: If any water or electricity in an exempt greenhouse or building exempted under Class 6 or 7 is supplied from or shared with a dwelling, the work must comply with the requirements of Schedule 1 for water supply and electricity. See Regulation 9 of the Building Regulations and Approved Documents G (G1 and G3) and P (P1). Certain works may be carried out under a competent person scheme, and these works will not require Building Regulations approval. ## Conservatories, Porches And Open-Sided Carports A12 The exemption in Class 7 (see paragraph A11) applies to conservatories, porches and open-sided carports only where the building control body is satisfied that all of the following conditions are met: a. The work is an extension to an existing building. b. The extension is at ground level. c. The extension has a maximum floor area of 30m². d. Any glazing complies with requirements K4, K5.1, K5.2, K5.3 and K5.4 of Schedule 1 to the Building Regulations. e. Thermal separation is maintained between the building and the extension. f. The building's heating system does not extend into the extension. The requirements listed in a to d above come from Schedule 2 to the Building Regulations. The conditions set out in e and f come from the approved documents. Work to an existing conservatory or porch remains exempt to the same extent as building a new conservatory or porch, provided that the resulting conservatory or porch continues to meet the exemption criteria. A13 If the extension is not an exempt conservatory or porch (or other extension exempt under Class 7), then a building control process is required. ## Building Work - General A14 Where a building is not exempt, the Building Regulations apply to the types of building work defined in Regulation 3 of the Building Regulations. This can include any of the following work: a. Erecting or extending a building (Regulation 3(1)(a)). b. Providing, extending or otherwise materially altering a controlled service or fitting (paragraphs A15 to A18) (Regulation 3(1)(b)). c. Work required due to a material change of use (paragraph A20) (Regulation 3(1)(d)). d. Installing cavity wall insulation (Regulation 3(1)(e)). e. Underpinning a building (Regulation 3(1)(f)). f. Changes to a building's energy status (Regulation 22). g. Renovation or replacement of part of the thermal envelope (Regulation 23). h. Making certain changes to buildings over 1,000m² in area (Regulation 28). ## Controlled Services And Fittings A15 Where a building is not exempt, the Building Regulations apply to providing or extending a controlled service or fitting. A16 A controlled service or fitting is a service or fitting to which the requirements of the following parts of Schedule 1 to the Building Regulations apply: a. Part G Sanitation, hot water safety and water efficiency - this includes hot water systems, WCs and washing facilities. b. Part H Drainage and waste disposal - this includes drainage systems and septic tanks. c. Part J Combustion appliances and fuel storage systems - this includes boilers, fireplaces, flues, air supply to combustion appliances and fuel tanks. d. Part L Conservation of fuel and power - this includes heating and air conditioning systems, mechanical ventilation systems, external windows and doors and solar panels. e. Part P Electrical safety - dwellings - this covers the fixed electrical system in dwellings or common parts of blocks of flats. A17 The relevant approved document (see Chapter 7) gives details of the requirements and performance standards of Parts G, H, J, L and P . A18 Some requirements for controlled services or fittings only apply when dwellings are initially erected, and the fitting or service may not continue to be controlled after the dwelling has been completed. As long as any subsequent changes to the controlled service or fitting do not make it less compliant with Building Regulations than it was before the building work took place, the change does not have to comply with the Building Regulations. ## Material Alteration A19 The Building Regulations always apply to the material alteration of a building. An alteration is a material alteration under Regulation 3 if the proposals would at any stage make a building or a controlled service or fitting less satisfactory or no longer compliant in terms of structural safety, fire safety or disabled access. Building control bodies commonly ask for building control approval for structural works, such as chimney breast removal or structural alterations. ## Material Change Of Use A20 The Building Regulations apply to building work when any of the following changes are proposed (this list is a summary of Regulation 5): a. Changing a building's use to that of a dwelling. b. Creating a flat. c. Changing the use to become a hotel or boarding house. d. Changing the use to become a residential institution. e. Changing the use to become a public building. f. Changing the use so that the building would no longer be classed as exempt under Classes 1 to 6 of Schedule 2. g. Changing the number of dwellings in a building that contains at least one dwelling. h. Adding a room for residential purposes. i. Changing the number of rooms for residential purposes in a building with at least one such room. j. Changing the use to that of a shop. k. Changing the building to become a relevant building as set out under Regulation 7(4) when it was previously not a relevant building. In relation to change of use (k) above, Regulation 7 applies to buildings with a storey at least 18m above ground level and containing a dwelling or institution, and in some cases rooms for residential use. Under Regulation 6, where a material change of use is proposed, work must be carried out so that the building complies with the requirements indicated in Table A2. If only part of a building is affected by a material change of use, then under Regulation 6 in most cases the Building Regulations apply only to the part that is subject to the change of use. However, the change of use may adversely affect other parts of a building, for example in relation to fire safety. ## Table A2 Requirements That Apply To Material Changes Of Use Material change of use under: 5(a) 5(b) 5(c) 5(d) 5(e) 5(f) 5(g) 5(h) 5(i) 5(j) 5(k) All cases Requirement (from Schedule 1 to the Building Regulations 2010) A1–A3     B1  B2  B3  B4(1) 1 B4(2)  B5  Reg. 6(3)  C1(2)     2    C2 3 C2(c)  E1–E3       E4 4 F1  G1  G2   G3(1)–(3)  G3(4)   G4  G5  G6  H1  H6  J1–J4  K1–K6 L1  M1     P1 5     Q1    R1 ## Notes: 1. B4(1) Applies To Buildings Over 15M High. It Applies To The Whole Building Even If The Change Of Use only applies to a part. 2. Where new residential accommodation is created. 3. Applies to the whole building not just the parts converted to residential use. 4. If the public building after the change contains a school. 5. P1 applies in all cases if the electricity supply is shared with a dwelling. 6. Regulations 7(1) and 7(2) always apply to the above requirements. ## Volume 2 Repairs (Other Than Renovation Of Thermal Elements And Controlled Fittings) A21 The Building Regulations apply to repair or replacement work if the work is to renovate a thermal element (see paragraphs A22 and A23 below), replace a controlled fitting (see paragraphs A24 and A25), underpin a building or if the work is classed as building work under Regulation 3. Otherwise, unless at any stage the work makes: a. any building that does not comply with Building Regulations less compliant or b. any building that does comply with Building Regulations non-compliant (as set out in Regulation 3(2)) then the Building Regulations do not apply to the repair or replacement work. ## Renovation Of Thermal Elements And Controlled Fittings A22 Examples of thermal elements include roofs, external walls and ground floors. Examples of controlled fittings include windows and doors. A23 Major renovation and renovation of a thermal element are defined in Approved Document L1B, 5.6A and L2B, 3.1. Under Regulation 23, if more than 50 per cent of a thermal element is renovated or replaced, the whole thermal element must comply with the current energy conservation requirements of requirement L1(a)(i) of Schedule 1 if technically and economically feasible. If a building undergoes major renovation, the same requirements from Schedule 1 apply. Renovation of a thermal element covers replacing a roofing membrane or adding a new layer (such as insulation). In case of repairs to thermal elements, such as a flat roof, which involve work to less than 50 per cent of the element's surface area, no thermal upgrade is required. A24 If a controlled fitting, such as a window or door is replaced, and not just repaired, the replacement should comply with all relevant aspects of the current Building Regulations. For example, for an external door, relevant aspects of the Building Regulations include Part K (Protection from falling, collision and impact) and Part L (Conservation of fuel and power) and Regulation 7. A25 Guidance on complying with Regulation 23 is given in Approved Documents L1B and L2B. This includes consideration of listed buildings, buildings in conservation areas and scheduled ancient monuments. ## Responsibility For Compliance A26 Ensuring that building work complies with all applicable requirements of the Building Regulations is the responsibility of those carrying out the work, for example, agents, designers, builders, installers and the building owner. Details of local authority enforcement powers are given in Chapter B. ## Chapter B Should A Building Control Body Be Involved? Notification Of Work B1 When Building Regulations apply to the work you are proposing, then you either need to: a. involve a building control body (local authority building control or an approved inspector) or b. use an installer registered under a competent person scheme to do the work. You can use both a building control body and a competent person scheme on the same project. B2 Except for the work described in paragraph B3, you must notify a building control body of all of the following: a. Building work as defined under Regulation 3 of the Building Regulations. b. Any change in a building's energy status. c. Replacement or renovation of thermal elements. d. Material changes of use. The building control body will then consider whether the work complies with the Building Regulations, although it remains the responsibility of those carrying out the building work to ensure that it does. B3 Regulation 12(6)(a) states that a building control body does not need to be notified if one of the following conditions applies: a. The work is listed in Schedule 4 to the Building Regulations. b. The work will be self-certified by a registered competent person. c. The work will be certified by a registered third party. B4 The person carrying out the building work can choose which type of building control body to notify. This same building control body will then inspect the work. The two types of building control body are: a. local authority building control b. approved inspectors. B5 Some work does not have to be checked by a building control body but must still comply with the Building Regulations. An example is installing loft insulation unconnected to a material change of use or other building work. In all cases, seek advice from a building control body to see if Building Regulations apply. B6 If building work does not comply with the Building Regulations, the local authority building control body can take enforcement action. ## Enforcement Action B7 The Building Regulations can be contravened by not following the correct procedures or not meeting the required technical performance requirements. B8 Local authorities may take enforcement action if notifiable building work (as set out in paragraph B2 above) is carried out without having previously notified the local authority by submitting a Building Regulations application or an initial notice. B9 Local authorities may also take enforcement action if building work does not comply with Building Regulations. B10 Under Section 95 of the Building Act, local authorities have the right of entry into buildings in relation to enforcing the Building Act. B11 Under Sections 35, 35A and 36 of the Building Act the local authority has the power to take enforcement action. Local authorities can take action against the building owner and those carrying out the works and this can include requiring that the works are pulled down or removed. B12 If the building owner or those carrying out the works contravene the Building Regulations, the local authority may prosecute them in the magistrates' court, where an unlimited fine may be imposed (Sections 35 and 35A of the Building Act). ## Regularisation Certificates B13 Where unauthorised building work has been carried out on or after 11 November 1985, it may be possible to obtain a regularisation certificate from the local authority. If issued, the regularisation certificate shows that the works complied with the Building Regulations that were in place when the unauthorised work was carried out. B14 Regulation 18 lists the information to include in an application for a regularisation certificate. This includes both of the following: a. A description, preferably including drawings, of the unauthorised work. b. Plans showing any additional work needed to ensure compliance with the Building Regulations which were in force when the work was originally carried out. B15 The local authority may require the building owner to take reasonable steps so that it can decide what work, if any, is needed to comply with the Building Regulations. Such steps may include laying open work or carrying out tests. B16 When the local authority has sufficient information, it will tell the building owner what work, if any, is needed to comply with the Building Regulations. B17 If the specified work has been completed to its satisfaction, the local authority can issue a regularisation certificate to the building owner. However, the local authority has no obligation to issue a regularisation certificate. ## Chapter C Competent Person Schemes And Third-Party Testing Competent Person Schemes C1 For some types of building work, such as replacing certain windows or reroofing, people working under a relevant approved competent person scheme can self-certify that their work complies with the Building Regulations. C2 Competent person schemes are set up under Regulation 20 and listed in Schedule 3 to the Building Regulations. An up-to-date list of current schemes is also given at: https://www.gov.uk/guidance/competent-person-scheme-current-schemes-and-howschemes-are-authorised#current-schemes C3 If building work is carried out under a competent person scheme, there is no need to submit a building notice or an initial notice or to deposit full plans for that work. C4 The competent person will notify the local authority of the work and issue a completion certificate, either directly or through the scheme operator. The certificate must be given to both the building occupier and the local authority within 30 working days of completion of the work. C5 If you don't receive a certificate within 30 days of completion, contact the competent person scheme operator that your installer is registered with and they may be able to help you resolve the matter. C6 Even if work is carried out under a competent person scheme, if the work contravenes the Building Regulations, local authority building control still have enforcement powers. ## Third-Party Testing For Airtightness C7 Third-party certification schemes are available for testing airtightness, enabling approved airtightness testers to certify that the work meets the required performance standard. These are established under Regulation 43 of the Building Regulations. An up-to-date list of testing organisations can be found at: https://www.gov.uk/guidance/competent-person-scheme-current-schemes-and-howschemes-are-authorised#types-of-building-work ## Volume 2 Third-Party Testing Of Domestic Electrical Work C8 Under a third-party certification scheme for electrical installations in dwellings, a person who is registered with the scheme can inspect and test the domestic electrical work of others and certify that it complies with the Building Regulations. This is expanded upon in more detail in Approved Document P . C9 Third-party certification schemes for electrical installations in dwellings are listed in Schedule 3A to the Building Regulations. An up-to-date list is also given at: https://www.gov.uk/guidance/third-party-certification-schemes-for-domesticelectrical-work C10 If electrical work is approved under a third-party certification scheme, there is no need to submit a building notice or an initial notice or to deposit full plans for that work. C11 The operator of the third-party certification scheme will notify the local authority of work that complies with the Building Regulations. ## Chapter D Local Authority Building Control D1 Local authorities provide a building control service for all categories of work and all types of building. Local authorities may also be responsible for other statutory requirements, including town planning, listed building consent and licensing, that may affect the design of the building. D2 If you are planning to carry out building work that needs to be checked by a building control body you can choose either of the following routes: a. depositing full plans (described in Regulation 14) or b. submitting a building notice, which contains less information than full plans (see Regulation 13). D3 To start work without either depositing full plans or submitting a building notice is likely to contravene Regulation 12, unless the exceptional circumstances set out in Regulation 12(8) are applicable. If Regulation 12 is contravened, the local authority can prosecute. In either of the cases detailed above, the applicant may be required to pay a penalty. D4 It is necessary to deposit full plans instead of a building notice if any of the following work is proposed: a. Building work in relation to a building to which the Regulatory Reform (Fire Safety) Order 2005 applies or will apply after building work is complete. Examples of such buildings include hotels, boarding houses, offices, shops and factories. b. Building work that includes erecting a building that fronts a private street. c. Building work that involves building over or otherwise interfering with an existing shared drain, sewer or disposal main shown on a map of sewers. ## Deposit Of Plans D5 When full plans are deposited, the applicant must pay the plan charge to the local authority. D6 The local authority must pass or reject the full plans within five weeks, or within two months if the applicant has agreed to an extension of time in writing (see Section 16 of the Building Act). D7 The local authority may reject the plans for either of the following reasons: a. The plans show that work will contravene the Building Regulations. b. The plans are defective (for example incomplete) - they fail to show that work will comply with the Building Regulations. The local authority must give the reason in the notice of rejection. ## Building In Accordance With Deposited Plans D8 Building work does not need to conform exactly to the plans but must comply with the requirements of the Building Regulations. D9 If building work deviates from what the deposited and passed (or not rejected) plans show, the local authority may require this work to be taken down or altered. It is therefore advisable to consult the local authority before deviating from approved plans. ## Building Notices D10 A building notice may be used where the Regulatory Reform (Fire Safety) Order 2005 does not apply. Where the building work is simple and drawings are not required, this may be appropriate. D11 The building notice enables work to be started without having to provide the local authority with plans. The local authority must be informed before the work is started. D12 When a building notice is deposited, the building notice fee must be paid to the local authority. The building notice fee is similar to the combined plan and inspection fees of the full plans option. D13 The building notice will typically be submitted on a form produced by the local authority and should include the information specified in Regulation 13. In the case of a new building or extension, the information should include a site plan. D14 Once the building notice has been deposited, the local authority may ask in writing for further information. NOTE: Once the building notice has been submitted, building work may start on the third day after the local authority has been informed. If building work has not started within three years of a building notice being deposited, under Regulation 13(5) the building notice is no longer valid. D15 The local authority is not required to pass or reject a building notice. If you use a building notice instead of the full plans route, then both of the following apply: a. You will not have the protection of having full plans passed by the local authority. If the local authority has passed your plans, then you know that they are happy for you to build from them. b. You cannot ask the Secretary of State for a determination if the person carrying out the building work disagrees with the requirements of the local authority. D16 If building work contravenes the Building Regulations, the local authority can require the work to be altered or removed. ## Consulting The Fire Authority D17 Details of the consultation procedures that should be followed at the design and construction stages of a building project are given in the Joint Regulators Group's forthcoming Technical Guide: Building Regulations and Fire Safety Procedural Guidance (2020). ## Consulting The Sewerage Undertaker D18 When full plans have been deposited with the local authority and the work affects a drain, sewer or disposal main (as described in paragraph D4(c)), under Regulation 15 the local authority must consult the sewerage undertaker. The local authority must consider the views of the sewerage undertaker before passing the plans or issuing a completion certificate. The local authority must be satisfied that work will not be detrimental to either the building in question or the continued maintenance of any drain, sewer or disposal main. ## Conditional Passing Of Plans D19 A local authority may pass plans subject to either or both of the following conditions, under Section 16(2) of the Building Act: a. The local authority may pass the plans subject to required additions or amendments being made. b. The local authority may request further plans to be submitted. NOTE: The local authority is not obliged to use these procedures. The written agreement of the applicant is required. ## Starting Work D20 When a building notice has been served, building work may begin at any time provided the local authority is given two clear working days' notice of the intention to start work, as required by Regulation 16(1). D21 When full plans have been deposited and the notice described above has been given, work may begin. ## Giving Notices At Relevant Stages D22 You are required under the Building Regulations to give the local authority notice of when the work has reached relevant stages. The local authority will set out the notification procedure. The work should be programmed to allow the local authority time to inspect at the required stages. D23 If the local authority is not informed of a relevant stage of work for inspection it may, by giving notice in writing, require the work to be opened up for inspection so that it can be ascertained whether or not the work complies with the Building Regulations. ## Contravention Of The Requirements D24 During the building work, or within a year of its completion, if the local authority considers that the work contravenes any requirement of the Building Regulations, it may serve a notice under Section 36 of the Building Act requiring the work to be taken down or altered within 28 days. D25 Where the person who carried out the work disagrees with the local authority, they may notify the local authority that they want to obtain an independent expert report under Section 37 of the Building Act. In this case, the deadline for the work to be taken down is extended to 70 days. D26 Where the local authority has considered an expert report, it may withdraw the Section 36 notice. If the local authority does not withdraw the notice, the person who carried out the work may appeal to the magistrates' court under Section 40 of the Building Act. ## Completion Certificates D27 Once the work has finished, and if they are satisfied that the work complies with the relevant provisions of the Building Regulations, the local authority must issue a completion certificate. D28 The relevant provisions of the Building Regulations are Regulations 25A, 26, 29, 36, 38 and Schedule 1. The first four of these regulations deal with environmental performance and Regulation 38 concerns fire safety information. D29 The local authority is authorised to accept testing carried out in accordance with Regulations 41 to 44 as demonstrating that the requirements in the Building Regulations have been satisfied. ## Duration Of Approval D30 If building work does not commence within three years of the date when the local authority passed the plans, the local authority may serve a notice under Section 32 of the Building Act to rescind the approval. It is important to note that this is different to the requirements for starting work under planning legislation. ## Determinations And Appeals D31 The local authority has the power (under Regulation 11 of the Building Regulations) to relax requirements of the Building Regulations other than those relating to: a. Regulation 23(1)(a) b. Regulation 25A c. Regulation 25B d. Regulation 26 and e. paragraph R1 of Schedule 1 to the Building Regulations. Those responsible for the building work may submit a formal application to the local authority for relaxation of the Building Regulations. D32 If, after a request, the local authority refuses to ignore or relax the requirements, the person carrying out the building work can appeal to the Secretary of State. Details of appeals can be found at: www.gov.uk/guidance/building-regulations-appeals--6 D33 If the local authority and the person carrying out the building work disagree about whether work shown on full plans complies with the Building Regulations, a determination can be requested from the Secretary of State before work starts. There is no statutory timetable for this process. Details of determinations can be found at: www.gov.uk/guidance/building-regulations-determinations ## Chapter E Approved Inspectors E1 This chapter refers to the Building (Approved Inspectors etc.) Regulations 2010, subsequently referred to as the Approved Inspectors Regulations. E2 Approved inspectors are companies or individuals, licensed through CICAIR Ltd under the Building Act to provide a building control service for all categories of work and for any building type. With the exception of minor works, approved inspectors must be financially and professionally independent of the work they inspect. Minor works are defined in Regulation 9(5) of the Approved Inspectors Regulations. E3 Approved inspectors are independently monitored and regulated by CICAIR Ltd to carry out building control work in England (and Wales). CICAIR Ltd is a wholly owned subsidiary of the Construction Industry Council (CIC) and the approval process it operates provides a route to registration as an approved inspector. For more information, visit the CICAIR website: https://www.cicair.org.uk/ E4 Approved inspectors are required to have insurance from a government approved scheme. E5 The person carrying out the building work enters into a formal contract with the approved inspector and may negotiate the fees involved. ## The Initial Notice E6 When the person carrying out the building work engages an approved inspector, that person and the approved inspector must together give the local authority an initial notice. E7 The contents of an initial notice are outlined in Form 1 in Schedule 1 to the Approved Inspectors Regulations. The initial notice must contain all of the following: a. A description of the work. b. In the case of a new building or extension, both of the following: i. A site plan to a scale of not less than 1:1250 showing the boundaries and location of the site. ii. A statement that if work involves building over or near any drain, sewer or disposal main shown on any map of sewers kept by the sewerage undertaker, the approved inspector will consult the sewerage undertaker. E8 The initial notice must show how any new drainage will be connected. a. If drainage will be connected to an existing sewer, it is often sufficient to indicate on the site plan the points at which the drainage will be connected. b. If drainage will not be connected to an existing sewer, the initial notice must describe how drainage discharges will be dealt with. For example, this could include details of the location of any septic tank and associated secondary treatment system, or any wastewater treatment system or cesspool. ## Acceptance Or Rejection Of Initial Notice E9 After receiving an initial notice, the local authority has five working days in which to consider its validity. E10 If the local authority considers that the initial notice contains insufficient information, it may reject it. The local authority may only reject an initial notice on the grounds prescribed in Schedule 2 to the Approved Inspectors Regulations. E11 If the local authority does not reject the initial notice within five working days of receipt, it is presumed to have accepted the initial notice unconditionally. E12 Once the initial notice has been accepted or is deemed to have been accepted (five days after receipt), the approved inspector will certify that they are satisfied that the works have been completed. NOTE: Those responsible for carrying out the building work (which includes clients, designers, builders and installers) must ensure that the work complies with the Building Regulations. ## Independence Of Approved Inspectors E13 Approved inspectors must have no professional or financial interest in the work that they supervise, and should be independent of the designer, builder or building owner, unless the work comprises any of the following: a. The material alteration or extension of a one or two storey house, provided that the house has no more than three storeys when work is complete (ignoring any basement storeys). b. The provision, extension or material alteration of a controlled service or fitting in any building. c. The underpinning of any building. ## Consulting The Fire Authority E14 If work is proposed to a building to which the Regulatory Reform (Fire Safety) Order 2005 applies or will apply once building work is complete, the approved inspector must consult the fire authority at each of the following stages: a. Before or as soon as practicable after giving an initial notice (or amendment notice where there is a need to subsequently change the initial notice), the approved inspector must supply the fire authority with sufficient information to show that the work described in the initial notice will comply with Part B (Fire safety) of Schedule 1 to the Building Regulations. b. Before giving a plans certificate (whether combined with an initial notice or not), the approved inspector must give the fire authority a copy of the relevant plans. c. Before giving a final certificate. E15 Before giving a plans certificate or final certificate to the local authority, the approved inspector must allow the fire authority up to 15 working days to comment. The approved inspector must consider the views of the fire authority. ## Consulting The Sewerage Undertaker E16 If an initial notice or amendment notice involves proposals to erect or extend or carry out underpinning works to a building within 3 metres of the centreline of a drain, sewer or disposal main to which paragraph H4 of Schedule 1 to the Building Regulations applies, the approved inspector must consult the sewerage undertaker. E17 Before giving a plans certificate or final certificate to the local authority, the approved inspector must allow the sewerage authority up to 15 working days to comment. The approved inspector must consider the views of the sewerage authority. ## Plans Certificate E18 A plans certificate can be used to demonstrate that detailed plans of the work or a part of it comply with the Building Regulations. A plans certificate can provide protection if the initial notice is cancelled or ceases to be valid and no new initial notice is given or accepted. E19 Plans certificates are described in Regulations 14 and 15 of the Approved Inspectors Regulations and Section 50 of the Building Act. The person proposing the building work can ask the approved inspector to supply a plans certificate. If the approved inspector is satisfied with the plans, they must give a plans certificate to both of the following parties: a. the person proposing the building work and b. the local authority. The approved inspector can give the plans certificate with the initial notice or later. ## Final Certificate E20 When the building work is complete and the approved inspector is satisfied that the work meets all the relevant requirements of the Building Regulations, the approved inspector must give the local authority a final certificate as described in Section 51 of the Building Act and Form 5 of Schedule 1 to the Approved Inspectors Regulations. A final certificate provides evidence, but not conclusive evidence, of compliance with the Building Regulations. E21 A final certificate need not relate to all the work specified in an initial notice. For example, for a single initial notice that covers a new housing estate, separate final or plans certificates might be given for individual houses or groups of houses. E22 The local authority may reject the final certificate only on the grounds given in Schedule 4 to the Approved Inspectors Regulations. The local authority has 10 working days within which to reject the final certificate, otherwise it is deemed to have been accepted. If a final certificate is rejected, the initial notice ceases to be valid four weeks later. ## Events Causing The Initial Notice To Become Invalid E23 There are limitations on the validity of the initial notice, where the initial notice has been given to erect, extend or materially alter a building. This applies when any part of the building or extension is subsequently occupied and no final certificate has been given. In such situations the initial notice is no longer valid after a 'relevant change of use', as described in Regulation 12(6) of the Approved Inspectors Regulations. E24 For most buildings, the initial notice will lapse eight weeks from the date when the building is occupied. For buildings comprising only flats and common parts, the initial notice will lapse four weeks after the building is occupied. NOTE: A local authority can, however, extend the period of the initial notice. The local authority may wish to extend the period if it is reasonably confident that a final certificate will be given soon. E25 In case of a material change of use covered by an initial notice (paragraph E23), if the change of use takes place and no final certificate is given, the initial notice for the work will no longer have effect eight weeks after the change of use. E26 Once the initial notice no longer has effect, both of the following situations apply: a. The approved inspector will be unable to give a final certificate. b. The local authority has the power, under Section 36 of the Building Act, to take enforcement action against non-compliant work. This has the same consequences as an approved inspector withdrawing (as described below). ## Withdrawal Of Approved Inspector E27 An approved inspector who cannot continue to supervise work for which they have given an initial notice must cancel the initial notice and inform both of the following parties: a. The person doing the building work. b. The local authority. E28 If the person responsible for the work (building owner or client) becomes aware that the approved inspector is unable to continue supervising the work, the owner or client must cancel the initial notice (see Section 52 of the Building Act and Regulation 18 of the Approved Inspectors Regulations). E29 The person responsible for the work (building owner or client) may give a new initial notice jointly with a new approved inspector provided the original approved inspector agrees to cancel the earlier notice as soon as the new notice is accepted (see Schedule 2 to the Approved Inspectors Regulations, paragraph 12). ## Change Of Person Intending To Carry Out Work E30 If a different person from that named in the original initial notice intends to carry out the work, the procedure is as follows. The approved inspector and the person who originally intended to carry out the work may jointly give written notice to the local authority to state that a new person or organisation intends to carry out the work (Section 51C of the Building Act). The initial notice is then treated as having been given by the new person intending to carry out the work and the approved inspector. E31 In a situation where the approved inspector considers that the building work does not comply with the Building Regulations and there is a refusal to bring it into compliance, the approved inspector will cancel the initial notice. If no other approved inspector takes on the work, the building control function will automatically be taken on by the local authority. From this point, the local authority will have enforcement powers. ## Local Authority'S Powers In Relation To Partially Completed Work E32 If an initial notice is no longer valid, the local authority becomes responsible for enforcing the Building Regulations in relation to any completed work for which a final certificate has not been given (Regulation 19 of the Approved Inspectors Regulations). The local authority must be provided with both of the following: a. Plans of the building work carried out, if requested by the local authority. b. Plans referred to in a plans certificate where granted by the approved inspector. E33 For any partially completed work, the local authority may require the person carrying out building work to cut into, lay open or pull down work so that the local authority may determine whether any work (not covered by a final certificate) contravenes the Building Regulations. However, the local authority cannot take action against that person in relation to any work carried out as described in a plans certificate. E34 If it is intended to continue with partially completed work, the local authority must be given sufficient plans to show that the work can be completed without contravening the Building Regulations. NOTE: Where an approved inspector is used, the local authority cannot give a notice under Section 36 of the Building Act to remove or alter any offending work so long as the initial notice remains valid. Work covered by an approved inspector's final certificate that the local authority has accepted cannot be subject to local authority action under Section 36 of the Building Act. ## Contravention Of Building Regulations E35 An approved inspector cannot enforce the Building Regulations. If work appears not to comply with the Building Regulations, an approved inspector may, however, give the person carrying out the building work a written notice. E36 If the work that appears not to comply with the Building Regulations is not remedied within three months, the approved inspector must cancel the initial notice. The approved inspector must give the person carrying out the building work and the local authority a cancellation notice in the set form. This notice must describe how the work appears not to comply with the Building Regulations (see Section 52 of the Building Act and Regulation 18 of the Approved Inspectors Regulations). ## Volume 2 Limitations On The Enforcement Powers Of Local Authorities E37 If the initial notice ceases to be in force (as described in Section 47(1) of the Building Act) and the conditions in Section 53(2) of the Building Act are satisfied, the local authority may not: a. give a notice under Section 36(1) of the Building Act (removal or alteration of work which contravenes Building Regulations) or b. institute proceedings under Section 35 of the Building Act for a contravention of Building Regulations. For details of this situation, refer to Regulation 15 of the Approved Inspectors Regulations. ## Dealing With Variations To The Work E38 To vary the work detailed in an initial notice (e.g. to build six units instead of five on a site), the person carrying out the building work and the approved inspector should give the local authority an amendment notice. (See Sections 51A and 51B of the Building Act and Form 2 of Schedule 1 to the Approved Inspectors Regulations). ## Contents Of An Amendment Notice E39 The amendment notice must be as described in Form 2 in Schedule 1 to the Approved Inspectors Regulations. The amendment notice must contain the information required for an initial notice (set out above in paragraph E7) plus either of the following: a. A statement that all plans submitted with the original notice remain unchanged. b. Copies of all the amended plans with a statement that any plans not included remain unchanged. ## Acceptance And Rejection Of Amendment Notice E40 The local authority has five working days in which to consider the amendment notice. The local authority may only reject the amendment notice on grounds set out in Schedule 2 to the Approved Inspectors Regulations. The procedure is identical to that for accepting or rejecting an initial notice. ## Duration Of Validity Of Initial Notices And Plans Certificates E41 If work has not started within three years of the date on which an initial notice was accepted or deemed to have been accepted, a local authority may cancel an initial notice under Section 52(5) of the Building Act. If work has not started within three years of accepting a plans certificate, the local authority may rescind its acceptance, under Section 50(8) of the Building Act. ## Determinations And Appeals E42 An approved inspector cannot relax Building Regulations. However, the building owner or client can apply to the local authority to relax Building Regulations, even when an approved inspector is used. E43 Before work begins, if the approved inspector and the person carrying out the building work disagree about whether the work shown on the plans complies with the Building Regulations, the building owner or client can request a determination from the Secretary of State. E44 Once work has started, the only recourse against the decision of the building control body is an appeal to the Secretary of State. E45 Details of appeals and determinations can be found at: Appeals: www.gov.uk/guidance/building-regulations-appeals--6 Determinations: www.gov.uk/guidance/building-regulations-determinations ## Local Authorities Acting As Approved Inspectors E46 Local authorities can operate as approved inspectors beyond the boundaries of their local authority area. ## Chapter F Meeting The Technical Requirements The Approved Documents F1 The approved documents set out what, in ordinary circumstances, may be accepted as one way to comply with the Building Regulations. However, Section 7 of the Building Act indicates that following the guidance in approved documents may be relied upon as tending to negative liability, while failing to follow the guidance may be relied upon as tending to establish liability. Therefore, following the approved documents alone does not guarantee compliance. F2 It remains the responsibility of those designing or undertaking building work to assess, on a case-by-case basis, whether specific circumstances require additional or alternative measures to achieve compliance with the regulatory requirements. F3 Following industry guidance referenced in the approved documents may, depending on the circumstances, have the same legal effect as following the approved document itself. Using other guidance, including a different version of a referenced guidance document, would not give the same legal presumption. Figure F1 shows how the approved documents and other sources of guidance fit into the overall regulatory system. F4 Approved documents vary in length and complexity and in how the guidance applies to different types of buildings. Table 1.1 in Chapter 1 of this manual lists the approved documents for different types of new or existing dwellings and other buildings. F5 In some mixed-use developments, parts of a building are used as dwellings while other parts have non-domestic uses. If the requirements of the approved documents for dwellings and other buildings differ, the more onerous requirements apply in any shared parts of the building. This is discussed in detail with regard to fire safety in Approved Document B and ventilation in Approved Document F. F6 When an approved document refers to a named standard, the relevant version of the standard is listed at the end of the approved document. Until the approved document is amended, these references are part of the guidance approved under Section 6 of the Building Act. If work complies with the guidance referred to in the approved document, that makes it likely that the work conforms with the relevant requirements of the Building Regulations. Following other guidance would not provide that legal protection. F7 If an approved document refers to an older version of a standard that the issuing standards body has now revised or updated, the new version may be used as a source of guidance, provided it continues to address the relevant requirements of the Building Regulations. ## Designing And Constructing Buildings F8 Any building work that is subject to the requirements imposed by Schedule 1 to the Building Regulations must be carried out in accordance with Regulation 7. Building work is defined in Regulation 3. F9 Building work under Regulation 7 shall be carried out: a. with adequate and proper materials which i. are appropriate for the circumstances in which they are used ii. are adequately mixed or prepared and iii. are applied, used or fixed so as adequately to perform the functions for which they are designed, and b. in a workmanlike manner. F10 Regulation 7 places requirements on materials and workmanship to deliver the performance required under the Building Regulations. Those responsible for building work must be able to demonstrate that both materials and workmanship comply with the Building Regulations, as part of the overall scheme. F11 Regulation 7 applies to all building work to which the Building Regulations apply. However, in accordance with Regulation 8, the standards of materials and workmanship need be no higher than are necessary to satisfy the following conditions: a. For Parts A–D, F–K and P (except for paragraphs G2, H2 and J7) of Schedule 1: to secure reasonable standards of health or safety for people in or about the building. b. For Part E of Schedule 1: to secure reasonable resistance to the passage of sound for the welfare and convenience of people in or about the building. c. For Part L of Schedule 1: to conserve fuel and power. d. For Part M of Schedule 1: to provide access to buildings and their facilities for people. ## Demonstrating Compliance F12 Whether materials and associated workmanship meet the requirements of the Building Regulations could be established in a number of different ways. It may be necessary to use more than one of these methods to provide appropriate evidence of compliance. The properties of the materials and workmanship being demonstrated as fit could be established by the methods listed below. a. A CE marking, provided it is relevant and the product is used appropriately. Accompanying performance information may not cover all of the required properties of the product. b. Following relevant guidance of the approved documents or standards referenced by the approved documents. c. Compliance with a relevant British or European standard or standards. d. Compliance with a relevant ISO or other national technical standards. e. Use of a competent person scheme to carry out work or to certify materials and workmanship within the scope of the scheme. f. Use of an independent certification scheme accredited by a certification body belonging to the European co-operation for Accreditation (EA). In the UK, the United Kingdom Accreditation Service (UKAS) is the national accreditation body. g. Past experience from safe and successful longstanding relevant practice in the existing building stock. Existing practice should be reviewed to ensure that it is safe, appropriate and relevant to the proposed conditions. h. Tests are often used to show that materials and workmanship are appropriate. In many circumstances, testing is one way of showing compliance, but in the following three instances the Building Regulations require those undertaking building work to have tests carried out to demonstrate compliance. i. Sound insulation as described in Regulation 41. ii. Air flow rate of mechanical ventilation as described in Regulation 42. iii. Pressure testing as described in Regulation 43. i. Where there is no relevant harmonised European standard, calculations against appropriate standards could demonstrate the compliance of materials and workmanship. ## Other Design Standards F13 Where design standards other than those referred to in the approved documents are used, it is important that the acceptability of these standards is discussed with the building control body in advance. It should be noted that building control bodies may not be familiar with all standards, and mixing standards produced by different bodies may be unacceptable. ## Ce Markings Under The Construction Products Regulations F14 The future status of CE markings may be reviewed as part of the UK exiting the European Union. F15 At present, CE markings are used to demonstrate that either: a. a product complies with a harmonised European standard or standards (British versions of standards are numbered starting BS EN and contain an Annex ZA) or b. a product has undergone a European Technical Assessment. F16 CE marking includes the reference of the product standard and the levels or classes of performance being declared against some or all of the characteristics covered by the standard. The CE marking should be on the product, its label, the packaging or accompanying documents. The CE symbol by itself does not necessarily indicate that the material is suitable for the building work. F17 In addition to CE marking, the product will have a declaration of performance containing more detailed information on the product. This may be a paper or electronic document, or it may be on a website. It is essential to check that the declared performance is suitable for the building work. F18 In the absence of indications to the contrary, the building control body may assume that the information given in the CE marking and declaration of performance is accurate and reliable, and that the product meets the declared performance. F19 If the declared performance of a product is suitable for its intended use and the product is installed correctly, the building control body should not unreasonably prohibit or impede the use of the product. ## Optional Requirements F20 Local planning authorities may impose planning requirements that may exceed the minimum standards required by the Building Regulations. These may include the following cases: a. accessible housing (Requirements M4(2) and M4(3) of Schedule 1 to the Building Regulations) b. water efficiency (Regulation 36). F21 Such planning requirements will appear as conditions in the relevant planning consent. Enforcement of such options is part of the planning process. However, it is important that the building control body is made aware of such planning conditions. ## Historic Buildings F22 The Building Regulations should be complied with in a manner that respects historic buildings and environments. Local authority building control officers and conservation officers may be able to advise on how to comply appropriately with Building Regulations. F23 Approved Documents B, C, E, F, G, H, J, L and M provide detailed guidance on meeting the Building Regulations in historic buildings. F24 Additional guidance is available in Historic England's Energy Efficiency and Historic Buildings: Application of Part L of the Building Regulations to historic and traditionally constructed buildings. This can be downloaded from the following website: https://historicengland.org.uk/images-books/publications/energy-efficiency-historicbuildings-ptl/ ## Design And Construction Tolerances F25 Dimensions given in the approved documents make no mention of any allowance for construction tolerances. To ensure that design standards are met, appropriate allowance for tolerance should be considered in the design process. A critical dimension may depend on multiple construction tolerances. Industry standards may provide guidance on achievable tolerances. ## Ban On Combustible Materials F26 The use of combustible materials in the external walls and specified attachments of certain buildings with a storey at 18m or more above ground level is prohibited by the Building Regulations. See Regulation 7(2) of the Building Regulations and Approved Document B: Volume 2, part B4 for details. NOTE: The requirement B4(1) applies to buildings of any height. The external walls of the building shall adequately resist the spread of fire over the walls and from one building to another, having regard to the height, use and position of the building. ## Volume 2 Volume 2 Properties Of Certain Materials F27 Some materials, in the absence of special care, may be considered unsuitable because of their rapid deterioration in relation to the expected life of the building. F28 A short-lived material which is readily accessible for inspection, maintenance and replacement may meet the requirements of the Building Regulations if the consequences of failure are not likely to be serious to the health or safety of people in and around the building. F29 If a short-lived material is not readily accessible for inspection, maintenance and replacement, and the consequences of failure are likely to be serious for health or safety, it is unlikely that the material will meet the requirements of the Building Regulations. F30 A local authority may impose conditions on the proposed use of short-lived or otherwise unsuitable materials under Section 20 of the Building Act. F31 If a material is at risk of spontaneous failure, such as toughened glass, and the consequences of failure are likely to present a safety risk, it is unlikely that the material will meet the requirements of the Building Regulations. ## Sampling By Building Control Bodies F32 A local authority may take samples to establish whether materials that are used in building work comply with the Building Regulations under Regulation 46. F33 An approved inspector may sample materials under Regulation 8 of the Approved Inspectors Regulations. ## Record Keeping F34 Those carrying out building work will want to keep accurate records on the source of materials to help demonstrate that materials comply with Regulation 7 or other requirements in the Building Regulations. ## Enduring Powers Under The Building Act F35 Once building work is complete the Building Regulations no longer control the materials or workmanship used. Outside the building control process, the Building Act gives local authorities powers in relation to unsafe buildings and structures. Any changes to a building may trigger a new building control process, as detailed earlier in this manual. ## Appendix I Key Terms Terms relating to the structure of legislation: Regulation *followed by a number* refers to a regulation in the Building Regulations 2010. Schedule refers to a schedule contained in the Building Regulations 2010, for example Schedule 1 to the Building Regulations. Section refers to a section of the Building Act 1984. ## Other Terms: Amendment notice refers to a change of the scope of an initial notice. For further information see Chapter E. Approved document refers to a document approved by government that provides practical guidance on how the Building Regulations can be satisfied in some common situations. Approved documents are given legal status by the Building Act 1984. Approved inspectors are companies or individuals authorised under the Building Act 1984 to carry out building control work in England and Wales. They must be registered with the Construction Industry Council Approved Inspectors Register (CICAIR), which provides a list of approved inspectors. https://www.cicair.org.uk/approved-inspectors-register/ Approved Inspectors Regulations refers to the Building (Approved Inspectors etc.) Regulations 2010. Building is generally any permanent or temporary building. A reference to a building includes a reference to part of a building. Buildings include dwellings (houses, flats) and public buildings. Building Act refers to the Building Act 1984. Building control body is a local authority building control department or an approved inspector. Building notice is a route to Building Regulations approval using local authority building control. Refer to Chapter D for details. Building Regulations refers to the Building Regulations 2010. Building work includes erecting or extending a building, providing or extending a controlled service or fitting in or in connection with a building, and the material alteration of a building or a controlled service or fitting. CE marking under the Construction Products Regulation (305/2011/EU-CPR). The Construction Products Regulation requires that construction products on the EU market covered by a harmonised European product standard normally have a CE marking. Refer to Chapter F for details. Competent person schemes allow tradespeople to demonstrate their ability to carry out certain work to required standards instead of the work going through a building control body approval process. Refer to Chapter 5 and Chapter C. Completion certificates are issued by the local authority to confirm that it has taken reasonable steps to ensure that there is evidence, but not necessarily conclusive evidence, that the work complies with the relevant requirements of the Building Regulations. Controlled services or fittings include a service or fitting subject to Schedule 1 (to the Building Regulations) requirements in respect of sanitation, hot water safety, water efficiency, drainage and waste disposal, combustion appliances and fuel storage, conservation of fuel or power, and electrical safety. Final certificate refers to the certificate issued by the approved inspector to the person carrying out the work and the local authority and confirms that the work in the initial notice is complete and that the approved inspector is satisfied that it complies with the relevant requirements of the Building Regulations. Full plans refers to the route to Building Regulations approval using local authority building control. Refer to Chapter D for details. Initial notice refers to the notice served on the local authority jointly by the client and the approved inspector when an approved inspector is selected as the building control body. Listed building consent operates in addition to normal planning controls under the Planning (Listed Buildings and Conservation Areas) Act 1990. Listed building consent is likely to be required for any alteration to a listed building. Local authority building control is the building control department of the local authority. Major renovation is defined in Approved Document L1B, 5.6A and L2B, 3.1. Material alteration is defined under Regulation 3 of the Building Regulations. An alteration is a material alteration if the proposed building work would make a building less safe structurally, more at risk from fire or less accessible for disabled people. Materials include: manufactured products, such as components, fittings, items of equipment and systems; naturally occurring materials, such as stone, timber and thatch; and backfilling for excavations in connection with building work. Planning permission is approval to carry out building work from a town and country planning point of view. It is typically required to construct or extend a building or change the use of a building. The local planning authority decides whether a project will need planning permission. Plans certificates can be used to demonstrate that detailed plans of the work or a part of it comply with the Building Regulations. They are described in Regulations 14 and 15 of the Approved Inspectors Regulations and Section 50 of the Building Act. Regularisation certificates can be issued by local authorities retrospectively to indicate that work started after 11 November 1985 which has been completed complies with the Building Regulations which applied at the time the works were done. Renovation (in relation to a thermal element) is defined in Approved Document L1B, 5.6A and L2B, 3.1. Responsible person is the person defined in article 3 of the Regulatory Reform (Fire Safety) Order 2005 and having the duties for compliance with the Order as prescribed in article 5. Thermal element is a material that contributes to the thermal performance of a building's thermal envelope, such as any element of a wall, floor or roof but not a door or window. Thermal element is defined in Regulation 2(3) of the Building Regulations. UKAS is the United Kingdom Accreditation Service (www.ukas.com). ## Appendix Ii References Publications Joint Regulators Group (2020) Technical Guide: Building Regulations and Fire Safety Procedural Guidance. Historic England (2017) Energy Efficiency and Historic Buildings: Application of Part L of the Building Regulations to historic and traditionally constructed buildings. Available at: https://historicengland.org.uk/images-books/publications/energy-efficiency-historicbuildings-ptl/ ## Websites Gas Safe Register Www.Gassaferegister.Co.Uk Competent person schemes www.gov.uk/guidance/competent-person-scheme-current-schemes-and-how-schemes-areauthorised#current-schemes Testing organisations for building work www.gov.uk/guidance/competent-person-scheme-current-schemes-and-how-schemes-areauthorised#types-of-building-work ## Third-Party Certification Schemes For Electrical Installations In Dwellings Www.Gov.Uk/Guidance/Third-Party-Certification-Schemes-For-Domestic-Electrical-Work Building Regulations appeals and determinations www.gov.uk/guidance/building-regulations-appeals--6 www.gov.uk/guidance/building-regulations-determinations ## Cicair: Construction Industry Council Approved Inspectors Register Www.Cicair.Org.Uk/ Legislation (available via www.legislation.gov.uk) The following list includes selected legislation that is often relevant to the design, construction and use of buildings. This list is not comprehensive. Building Act 1984 (c. 55) The Building (Approved Inspectors etc.) Regulations 2010 (No. 2215) The Building Regulations 2010 (No. 2214) The Confined Spaces Regulations 1997 (No. 1713) The Construction (Design and Management) Regulations 2015 (No. 51) The Contaminated Land (England) Regulations 2006 (No. 1380) The Control of Substances Hazardous to Health Regulations 2002 (No. 2677) Criminal Procedure and Investigations Act 1996 (c. 25) Environmental Protection Act 1990 (c. 43) Equality Act 2010 (c. 15) The Equality Act 2010 (Disability) Regulations 2010 (No. 2128) The Fire Precautions (Workplace) Regulations 1997 (No. 1840) The Food Safety and Hygiene (England) Regulations 2013 (No. 2996) The Gas Safety (Installation and Use) Regulations 1998 (No. 2451) Health and Safety at Work etc. Act 1974 (c. 37) The Health and Safety (Consultation with Employees) Regulations 1996 (No. 1513) The Health and Safety (Display Screen Equipment) Regulations 1992 (No. 2792) Highways Act 1980 (c. 66) Housing Act 2004 (c. 34) The Lifting Operations and Lifting Equipment Regulations 1998 (No. 2307) The Management of Health and Safety at Work Regulations 1999 (No. 3242) The Manual Handling Operations Regulations 1992 (No. 2793) The Notification of Conventional Tower Cranes Regulations 2010 (No. 333) Party Wall etc. Act 1996 (c. 40) The Personal Protective Equipment at Work Regulations 1992 (No. 2966) Planning (Listed Buildings and Conservation Areas) Act 1990 (c. 9) Police and Criminal Evidence Act 1984 (c. 60) The Private Water Supplies (England) Regulations 2016 (No. 618) The Provision and Use of Work Equipment Regulations 1998 (No. 2306) Public Health Act 1936 (c. 49) The Regulatory Reform (Fire Safety) Order 2005 (No. 1541) Sustainable and Secure Buildings Act 2004 (c. 22) Town and Country Planning Act 1990 (c. 8) (and other planning legislation) The Town and Country Planning (Use Classes) Order 1987 (No. 764) The Volatile Organic Compounds in Paints, Varnishes and Vehicle Refinishing Products Regulations 2012 (No. 1715) Water Industry Act 1991 (c. 56) Water Resources Act 1991 (c. 57) The Water Supply (Water Fittings) Regulations 1999 (No. 1148) The Water Supply (Water Quality) Regulations 2016 (No. 614) The Work at Height Regulations 2005 (No. 735) The Workplace (Health, Safety and Welfare) Regulations 1992 (No. 3004) ## List Of Approved Documents The following documents have been published to give guidance on how to meet the Building Regulations. Approved documents are available at: www.gov.uk/government/collections/approved-documents ## Approved Document 7 Materials And Workmanship Approved Document A Structure Approved Document B Fire Safety Approved Document C Site Preparation And Resistance To Contaminants And Moisture Approved Document D Toxic Substances Approved Document E Resistance To The Passage Of Sound Approved Document F Ventilation Approved Document G Sanitation, Hot Water Safety And Water Efficiency Approved Document H Drainage And Waste Disposal Approved Document J Combustion Appliances And Fuel Storage Systems Approved Document K Protection From Falling, Collision And Impact Approved Document L Conservation Of Fuel And Power Approved Document M Access To And Use Of Buildings Approved Document P Electrical Safety - Dwellings Approved Document Q Security - Dwellings Approved Document R Physical Infrastructure For High Speed Electronic Communications Networks # Manual To The Building Regulations A code of practice for use in England

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## £20,000 have been considered by the Chief Executive in his capacity as Accounting Officer; and the requests for consultancy below £20,000 have been considered by the Director of Corporate Operations. ## | Summary of application | Decision | |------------------------------------------|----------------------------------------| | date | | | Ref: No. & | | | Directorate | | | Approved | | | 05/04/2015 | | | 26C(3) RME Embedded policy support for | | | the Retail Market Review, | | | (extension to ref: 26C(2)), | | | £20,000 | | | Approved | | | 07/04/2015 | | | 18C(4) RME Assessment of aspirations for | | | track access on the East Coast | | | Main Line, (extension to ref: | | | 18C(3)), £14,850 | | | Approved | | | 09/04/2015 | | | 56C RME | Evidence of revenue | | generation and abstraction | | | from historical open-access | | | entry and expansion, £150,000 | | | 21/04/2015 | | | 57C Legal | Senior Salary Review, £10,000 Approved | | | | ##

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## Audit Committee Monday, 18 June 2018 PRESENT: Councillor M Markham (Chair); Councillor Oldham (Deputy Chair); Councillors J Hill and Stone Mr Ian Orrell (Observer) ## 1. Apologies Apologies were received from Councillors Marriott and Golby. ## 2. Minutes The Minutes of the meeting held on 15th January 2018 were confirmed and signed by the Chair as a true record. ## 3. Deputations / Public Addresses There were none. ## 4. Declarations Of Interest There were none. ## 5. Matters Of Urgency Which By Reason Of Special Circumstances The Chair Is Of The Opinion Should Be Considered There were none. ## 6. Governance Action Plan Councillor Markham introduced Mr Ian Orrell to the Committee and reported that following his appointment as Independent Chair of Audit Committee, he would be attending the meeting as an observer prior to commencing the Chair at future Audit Committees. The Governance and Risk Manager elaborated on a report that outlined the progress made to date on implementing the Council's Governance Action Plan (GAP) and reported that there were 6 items on the plan that remained 'open', 3 of which required the delivery of training. It was explained that there would be further work monitoring Cabinet decisions, which would be reported to the Audit Committee and work was being undertaken to establish a due diligence and compliance manual. She commented that there had been extensive work carried out with regards to Risk Management and noted that one specific area that would need further work was that of Councillors. In response to questions asked, the Governance & Risk Manager explained that further work needed to be carried out with regards to due diligence and compilation of a manual. The Chief Finance Officer commented that a loan checklist was being implemented and that there was a need to refresh and examine policies and delegations, explaining that this should not become an overly bureaucratic process. He reported that work was being carried out with the Chief Executive and Cabinet to ensure that projects could still be delivered without lengthy bureaucracy stalling decisions and a commitment to refine the process was being discussed with auditors to ensure that there was an awareness of parameters. In response to further questions asked, the Governance & Risk Manager reported that improvements to governance had been made and risks had been reduced and noted the importance of ensuring that processes put in place were fit for purpose. The Senior Internal Controls Officer referred to appendix 3 and reported that there was a need to focus on areas that generate income and that work had already commenced on the reviewing the use of interims and agency staff which would followed by a review of the Management of the Establishment List/Structure Charts. It was further explained that the review of service areas could identify positive practices which could be shared with other areas. In response to further questions, the Chief Finance Officer explained that with regards to temporary accommodation and housing, the Council delivered a number of elements but that they were not obliged to scrutinise the accounts of Northampton Partnership Homes (NPH) and the External Auditor confirmed that NPH had their own auditors in place. 2.1 That the Governance Action Plan Committee be reviewed. 2.2 That the required work identified in light of the Governance Action Plan implementation, be agreed. 2.3 That update reports on the implementation of the Governance Action Plan from the Borough Secretary be received at every future meeting until it determines otherwise. ## 7. Position Statement On Vacant Posts And Interim/Agency Staff The Chief Finance Officer submitted a report and elaborated thereon and noted that whilst there had been attempts to try and reduce the number of agency staff but noted that since the Unitary proposal had been tabled, there was the prospect that the number may increase. In response to questions asked, the Chief Finance Officer explained that there was no intention of increasing vulnerability of staff and noted that the majority of savings identified, would be at the upper tiers of staff structures and noted that a mixed economy would be needed and the retention of knowledge encouraged. Members of the Committee discussed their concerns about the probable increase in the number of interims due to the uncertainty of Unitary proposals and the potential difficulties in recruiting people to a position when it would be for a limited time until the formation of Unitary Councils. 2.1 That the finance report be noted. 2.2 That efforts to reduce the number of agency and interim staff at present be noted and that as NBC head toward a Unitary environment, that it be recognised that there may be a need to increase the use of agency and interim staff. ## 8. Statement Of Accounts 2016/17 Progress Report The Chief Finance Officer elaborated on a report which informed the Committee about the work undertaken by the Finance team in conjunction with the external auditors KPMG, since the last Audit Committee on the 18th January 2018 towards enabling them to issue their audit opinion on the 2016/17 Statement of Accounts. He explained that the accounts for 2016/17 had not been closed and the report outlined where and why this had not happened. It was noted that lessons had been leaned and process put in place to reduce the chances of being in a similar position in the future. That the progress towards enabling KPMG to issue their external audit opinion of the 2016/17 accounts be noted. ## 9. Treasury Management Amendment The Chief Finance Officer elaborated on a report that presented the Committee with a proposed amendment to the NBC Treasury Management Policy. It was noted that the amendment would allow cash held in specific reserves as part of the resource available to the Council to deliver value for money and increase 'income' from the Treasury service. The Chief Finance Officer explained that there was a need for a further report to be brought before the Audit Committee to report on the due diligence and commented that if the Committee required, the Council could facilitate a briefing session by CCLA to provide members with additional information. That an amendment to the recommendation contained within the report be agreed as follows: 2.1 To consider the contents of this Treasury Management Policy Report 2.2 That Audit Committee supports the principle of improving income through the use of Treasury Management Policies. 2.3 That the Audit Committee instructs officers to refresh the proposal and bring a further report to Audit Committee in July 2018, with specific reference to due diligence and next steps. ## 10. Internal Audit Report (Lgss) The Audit Committee received a report that summarised the findings of LGSS Internal Audit assurance work relating to LGSS functions. There were a number of issues highlighted in the Business Rates Review Action Plan and reference was made to the Business Rates Collection. It was noted that the 2018-19 reviews had been agreed and would include:  Housing Benefits  IT Audit System Review of Agresso  Accounts Receivable  Quarterly Balance Sheet review - This would be a new review which would include elements of coverage that would normally be considered in reviews of Bank Accounts Reconciliations and General Ledger. In response to questions asked, the Chief Finance Officer explained that the intelligent client function had been crossed back to NBC and therefore improvements would be seen and additional focus placed on contracts. That the report be noted. ## 11. Internal Audit Annual Report (Pwc) The Internal Auditor elaborated on a report which highlighted the work that they had carried out for the year end 31 March 2018. It was reported that there were significant weaknesses or non-compliance in the framework of governance, risk management and control which put the achievement of organisations objectives at risk. Major improvements were required to improve the adequacy or effectiveness of governance and risk management and it was explained some elements of the Risk Management had been completed and noted that the Governance Action Plan was in place and was being embedded. It was explained that the Internal Auditors had reported that contract management was rated as high risk, as there were no contracts in place for all but one of the 12 suppliers with whom the Council had expenditure of over £75,000 in the period under review and that the contract register had a number of errors. In response to questions asked, it was confirmed that there was limited contract management in place and it was noted that whilst this was not good practise, improvements were being made. That the report be noted. ## 12. External Audit Update The External Auditor (KPMG) submitted a report and noted that progress had been made since the last communication in September 2017 on key issues which were outstanding. It was noted that due to the number of areas of concern and errors found, they had not been able to obtain sufficient assurance that the financial statements would present a true and fair view prior to the statutory deadline. It was reported that information that had been given to them had been not only inaccurate but wrong and of very poor quality; 9 months later it was not considered to have progressed efficiently enough to sign off. It was noted that there were several areas of concern which included: a. Valuation of Council dwellings b. Having requested in December 2017 that the Council provide a reconciliation between the draft version of the valuers report and the fixed asset register, no reconciliation was provided, despite numerous requests. c. Lack of clarity on the application of uplift based on original valuations d. Incorrect social housing adjustment factors. With regards to additional costs relating to additional work and ongoing delays, the Committee noted that in September 2017 the audit was likely to be £71,250. That figure had now reached over £150,000. The Chair expressed her disappointment that the information requested by KPMG had not been supplied in a timely manner and the subsequent impact that this would have had on the overall costs of the Audit. Frustration was expressed that LGSS finance had been employed to oversee the finances of the Council and that they had not been held responsible for the financial issues and costs that the Council had incurred, which could be partly attributed to their failings. The Chief Finance Officer explained that there was a relationship between LGSS and the Council and that as an authority, the Council were not in the position to extract themselves and as progress with Unitary was made it would be very unwise to try and engage with another party. Mr Ian Orrell commented that NBC were not unique in having an interdependency with LGSS and noted that there was a need for sound and robust contract management to be in place to address such issues. That the report be noted The meeting concluded at 7.42pm

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Department Family Entity Date Paid Expense Type Expense Area Slt Status Supplier Transaction Reference Amount THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 28/02/2014 BIOCHEMISTRY TRUSTWIDE LABORATORY REAGENTS Fully Settled ABBOTT LABORATORIES LTD 711223 50,765.24 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 05/02/2014 GRAPHIC DESIGN COMPUTER MAINTENANCE Fully Settled ACCENTURE 726021 69,365.61 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 28/02/2014 MYHT FINANCE TEAM COMPUTER SOFTWARE/LICENSE Fully Settled ADVANCED BUSINESS SOLUTIONS 732952 51,540.68 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 05/02/2014 BALANCE SHEET STOCKS FINISHED GOODS Fully Settled ALLIANCE HEALTHCARE (DISTRIBUTION) LTD 729333 46,508.31 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 19/02/2014 BALANCE SHEET STOCKS FINISHED GOODS Fully Settled ALLIANCE HEALTHCARE (DISTRIBUTION) LTD 732019 47,665.18 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 19/02/2014 BALANCE SHEET STOCKS FINISHED GOODS Fully Settled ALLIANCE HEALTHCARE (DISTRIBUTION) LTD 737451 44,965.32 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 26/02/2014 BALANCE SHEET SOFTWARE ADDITIONS PURCHASED Fully Settled ASCRIBE GROUP LTD 731572 37,500.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 10/02/2014 PACEMAKERS PACEMAKERS Fully Settled BOSTON SCIENTIFIC LTD 726132 30,984.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 05/02/2014 PACEMAKERS PACEMAKERS Fully Settled BOSTON SCIENTIFIC LTD 726133 30,816.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 05/02/2014 CARDIO RESP INVESTIGATIONS PACEMAKERS Fully Settled BOSTON SCIENTIFIC LTD 726134 25,080.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 28/02/2014 KINGSDALE UNIT WAKEFIELD COMMERCIAL SECTOR Fully Settled BUPA CARE HOMES 735582 66,080.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 03/02/2014 INFORMATION TECHNOLOGY CONTR OTHER EXTERNAL Fully Settled CALDERDALE AND HUDDERSFIELD FOUNDATION TRUST 29739 48,336.83 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 12/02/2014 TRUST MEDICAL PHYSICS MED & SURG EQUIP REPAIR Fully Settled CAREFUSION UK 306 LTD 728235 39,717.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 26/02/2014 PFI ACCOUNTING UNITARY PAYMENT Part Settled CONSORT HEALTHCARE (MID YORKSHIRE) LTD 735738 3,305,055.01 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 19/02/2014 STAFF ACCOMODATION DDH GAS Fully Settled CORONA ENERGY RETAIL 4 LTD 730490 47,750.98 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 26/02/2014 PGH UTILITIES & RATES GAS Fully Settled CORONA ENERGY RETAIL 4 LTD 737592 92,841.31 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 26/02/2014 DDH UTILITIES & RATES GAS Fully Settled CORONA ENERGY RETAIL 4 LTD 738464 60,139.03 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 17/02/2014 PGI UTILITIES & RATES ELECTRICITY Fully Settled EDF ENERGY LTD 735168 28.64 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 17/02/2014 PGI UTILITIES & RATES ELECTRICITY Fully Settled EDF ENERGY LTD 735168 38,062.74 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 17/02/2014 DDH UTILITIES & RATES ELECTRICITY Fully Settled EDF ENERGY LTD 735169 45.78 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 17/02/2014 DDH UTILITIES & RATES ELECTRICITY Fully Settled EDF ENERGY LTD 735169 69,861.95 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 17/02/2014 PGH UTILITIES & RATES ELECTRICITY Fully Settled EDF ENERGY LTD 735170 54.41 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 17/02/2014 PGH UTILITIES & RATES ELECTRICITY Fully Settled EDF ENERGY LTD 735170 82,768.99 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 17/02/2014 PGH UTILITIES & RATES ELECTRICITY Fully Settled EDF ENERGY LTD 735477 53.64 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 17/02/2014 PGH UTILITIES & RATES ELECTRICITY Fully Settled EDF ENERGY LTD 735477 81,936.54 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 05/02/2014 EDMS PROJECT EXTERNAL DATA CONTRACTS Fully Settled EDM GROUP LTD 726427 91,925.25 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 05/02/2014 BALANCE SHEET STOCKS FINISHED GOODS Fully Settled ELI LILLY & CO LTD 728503 38,400.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 19/02/2014 BALANCE SHEET STOCKS FINISHED GOODS Fully Settled ELI LILLY & CO LTD 734397 46,080.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 05/02/2014 MYHT FINANCE TEAM EXTERNAL CONSULTANCY FEES Fully Settled ERNST & YOUNG LLP 732592 246,000.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 19/02/2014 BALANCE SHEET NONRES BLDG ADDS PURCHASED Fully Settled GROVE BUILDING SOLUTIONS LTD 730593 77,931.56 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 05/02/2014 ORTHOTIC DEPARTMENT - PONTE. PATIENTS APPLIANCES : PURCHASE Fully Settled HUGH STEEPER LTD 726819 4,617.02 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 05/02/2014 ORTHOTIC DEPARTMENT - PONTE. PATIENTS APPLIANCES : PURCHASE Fully Settled HUGH STEEPER LTD 726819 67,730.22 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 28/02/2014 MRI SERVICE LABORATORY EXTERNAL TESTS Fully Settled INHEALTH LTD 737606 69,730.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 26/02/2014 BALANCE SHEET STOCKS FINISHED GOODS Fully Settled JANSSEN CILAG LTD 734661 25,489.80 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 24/02/2014 INFORMATION TECHNOLOGY FM COMPUTER CONTRACTS Fully Settled KCOM 736743 375,109.10 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 05/02/2014 GENERAL SURGERY - TRUSTWIDE SENIOR LECTURER Fully Settled LEEDS TEACHING HOSPITALS NHS TRUST 29614 55,000.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 05/02/2014 CLINICAL HAEMATOLOGY TRUSTWIDE CONSULTANT Fully Settled LEEDS TEACHING HOSPITALS NHS TRUST 29615 552.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 05/02/2014 ONCOLOGY TRUSTWIDE CONSULTANT Fully Settled LEEDS TEACHING HOSPITALS NHS TRUST 29615 35,068.59 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 05/02/2014 WOMEN'S MEDICAL STAFFING TW CONSULTANT Fully Settled LEEDS TEACHING HOSPITALS NHS TRUST 29615 2,408.67 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 19/02/2014 PATHOLOGY MANAGEMENT TRUSTWIDE LABORATORY EXTERNAL TESTS Fully Settled LEEDS TEACHING HOSPITALS NHS TRUST 29759 47,111.36 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 28/02/2014 CLINICAL HAEMATOLOGY TRUSTWIDE CONSULTANT Fully Settled LEEDS TEACHING HOSPITALS NHS TRUST 29850 552.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 28/02/2014 ONCOLOGY TRUSTWIDE CONSULTANT Fully Settled LEEDS TEACHING HOSPITALS NHS TRUST 29850 35,068.59 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 28/02/2014 WOMEN'S MEDICAL STAFFING TW CONSULTANT Fully Settled LEEDS TEACHING HOSPITALS NHS TRUST 29850 2,408.67 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 19/02/2014 BALANCE SHEET STOCKS FINISHED GOODS Fully Settled LLOYDS PHARMACY LTD 726834 134,002.40 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 19/02/2014 BALANCE SHEET STOCKS FINISHED GOODS Fully Settled LLOYDS PHARMACY LTD 726836 89,284.63 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 19/02/2014 BALANCE SHEET STOCKS FINISHED GOODS Fully Settled MOVIANTO UK LTD - INVOICES START 955 731848 40,680.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 12/02/2014 BLOOD SERVICE TRUSTWIDE BLOOD PRODUCTS Fully Settled NHS BLOOD AND TRANSPLANT 29700 108,090.71 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 12/02/2014 BLOOD SERVICE TRUSTWIDE BLOOD PRODUCTS Fully Settled NHS BLOOD AND TRANSPLANT 29703 37,842.07 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 03/02/2014 NHSP HOLDING ACCOUNT NHSP AGENCY CONTROL Fully Settled NHS PROFESSIONALS LTD 725002 2,226.18 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 03/02/2014 NHSP HOLDING ACCOUNT NHSP AGENCY CONTROL Fully Settled NHS PROFESSIONALS LTD 725002 29,687.85 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 03/02/2014 NHSP HOLDING ACCOUNT NHSP AGENCY CONTROL Fully Settled NHS PROFESSIONALS LTD 725002 14,540.34 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 05/02/2014 NHSP HOLDING ACCOUNT NHSP BANK CONTROL Fully Settled NHS PROFESSIONALS LTD 726887 1,778.61 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 05/02/2014 NHSP HOLDING ACCOUNT NHSP BANK CONTROL Fully Settled NHS PROFESSIONALS LTD 726887 9,269.81 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 05/02/2014 NHSP HOLDING ACCOUNT NHSP BANK CONTROL Fully Settled NHS PROFESSIONALS LTD 726887 96,993.49 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 05/02/2014 NHSP HOLDING ACCOUNT NHSP BANK CONTROL Fully Settled NHS PROFESSIONALS LTD 729125 56,254.66 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 05/02/2014 NHSP HOLDING ACCOUNT NHSP BANK CONTROL Fully Settled NHS PROFESSIONALS LTD 729125 5,403.02 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 05/02/2014 NHSP HOLDING ACCOUNT NHSP BANK CONTROL Fully Settled NHS PROFESSIONALS LTD 729125 338.84 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 10/02/2014 NHSP HOLDING ACCOUNT NHSP AGENCY CONTROL Fully Settled NHS PROFESSIONALS LTD 729126 6,863.46 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 10/02/2014 NHSP HOLDING ACCOUNT NHSP AGENCY CONTROL Fully Settled NHS PROFESSIONALS LTD 729126 7,550.49 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 10/02/2014 NHSP HOLDING ACCOUNT NHSP AGENCY CONTROL Fully Settled NHS PROFESSIONALS LTD 729126 9,762.22 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 12/02/2014 NHSP HOLDING ACCOUNT NHSP BANK CONTROL Fully Settled NHS PROFESSIONALS LTD 730329 87,636.66 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 12/02/2014 NHSP HOLDING ACCOUNT NHSP BANK CONTROL Fully Settled NHS PROFESSIONALS LTD 730329 7,723.56 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 12/02/2014 NHSP HOLDING ACCOUNT NHSP BANK CONTROL Fully Settled NHS PROFESSIONALS LTD 730329 331.48 | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 19/02/2014 NHSP HOLDING ACCOUNT | NHSP BANK CONTROL | Fully Settled | NHS PROFESSIONALS LTD | 732002 | 87,326.22 | |-----------------------------------------|-----------------------------------------|-----------------------------------------|-------------------------------|-----------------|----------------------------------------------|----------|-------------| | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 19/02/2014 NHSP HOLDING ACCOUNT | NHSP BANK CONTROL | Fully Settled | NHS PROFESSIONALS LTD | 732002 | 11,062.43 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 19/02/2014 NHSP HOLDING ACCOUNT | NHSP BANK CONTROL | Fully Settled | NHS PROFESSIONALS LTD | 732002 | 423.55 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 24/02/2014 NHSP HOLDING ACCOUNT | NHSP AGENCY CONTROL | Fully Settled | NHS PROFESSIONALS LTD | 732003 | 14,912.99 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 24/02/2014 NHSP HOLDING ACCOUNT | NHSP AGENCY CONTROL | Fully Settled | NHS PROFESSIONALS LTD | 732003 | 21,395.35 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 26/02/2014 NHSP HOLDING ACCOUNT | NHSP BANK CONTROL | Fully Settled | NHS PROFESSIONALS LTD | 734501 | 88,193.30 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 26/02/2014 NHSP HOLDING ACCOUNT | NHSP BANK CONTROL | Fully Settled | NHS PROFESSIONALS LTD | 734501 | 13,791.95 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 26/02/2014 NHSP HOLDING ACCOUNT | NHSP BANK CONTROL | Fully Settled | NHS PROFESSIONALS LTD | 734501 | 331.46 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 19/02/2014 ESTATES - HEALTH CENTRES | CONTR ESTATE MANAGEMENT | Fully Settled | NHS PROPERTY SERVICES LTD | 29914 | 175,007.50 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 05/02/2014 BALANCE SHEET | NONNHS TRADE CR < 1 YR | Fully Settled | NHS SUPPLY CHAIN | 29646 | 108,327.06 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 05/02/2014 BALANCE SHEET | NONNHS TRADE CR < 1 YR | Fully Settled | NHS SUPPLY CHAIN | 29647 | 71,195.74 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 12/02/2014 BALANCE SHEET | NONNHS TRADE CR < 1 YR | Fully Settled | NHS SUPPLY CHAIN | 29708 | 68,597.43 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 12/02/2014 BALANCE SHEET | NONNHS TRADE CR < 1 YR | Fully Settled | NHS SUPPLY CHAIN | 29709 | 174,989.65 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 19/02/2014 BALANCE SHEET | NONNHS TRADE CR < 1 YR | Fully Settled | NHS SUPPLY CHAIN | 29780 | 98,639.15 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 19/02/2014 BALANCE SHEET | NONNHS TRADE CR < 1 YR | Fully Settled | NHS SUPPLY CHAIN | 29781 | 61,254.58 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 28/02/2014 BALANCE SHEET | NONNHS TRADE CR < 1 YR | Fully Settled | NHS SUPPLY CHAIN | 29837 | 127,612.23 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 28/02/2014 BALANCE SHEET | NONNHS TRADE CR < 1 YR | Fully Settled | NHS SUPPLY CHAIN | 29838 | 52,540.60 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 19/02/2014 BALANCE SHEET | STOCKS FINISHED GOODS | Fully Settled | NOVARTIS PHARMACEUTICALS UK LTD | 730952 | 81,700.32 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 12/02/2014 BALANCE SHEET | STOCKS FINISHED GOODS | Fully Settled | NOVARTIS PHARMACEUTICALS UK LTD | 731497 | 44,396.94 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 28/02/2014 BALANCE SHEET | STOCKS FINISHED GOODS | Fully Settled | NOVARTIS PHARMACEUTICALS UK LTD | 735205 | 91,595.52 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 26/02/2014 SLEEP SERVICE | GENERAL MATERIALS | Fully Settled | PHILIPS RESPIRONICS | 733005 | 28,091.02 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 26/02/2014 A&E PGH & PGI | GENERAL PRACTITIONERS | Fully Settled | PRIMECARE | 735571 | 39,055.95 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 05/02/2014 BALANCE SHEET | STOCKS FINISHED GOODS | Fully Settled | ROCHE PRODUCTS LTD | 728492 | 112,245.12 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 12/02/2014 BALANCE SHEET | STOCKS FINISHED GOODS | Fully Settled | ROCHE PRODUCTS LTD | 730254 | 117,351.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 12/02/2014 BALANCE SHEET | IT ADDITIONS | Fully Settled | SCC SPECIALIST COMPUTER CENTRES | 728205 | 179,793.60 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 19/02/2014 HISTOPATHOLOGY & CYTOLOGY TW | LABORATORY REAGENTS | Fully Settled | SOURCE BIOSCIENCE UK LTD | 730056 | 546.35 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 19/02/2014 HISTOPATHOLOGY & CYTOLOGY TW | LABORATORY REAGENTS | Fully Settled | SOURCE BIOSCIENCE UK LTD | 730056 | 32,781.12 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 28/02/2014 BALANCE SHEET | PREPAYMENT < 1 YEAR | Fully Settled | SOUTH WEST YORKSHIRE PARTNERSHIP NHS FT | 28798 | 66,428.03 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 03/02/2014 PLASTIC SURGERY PGH | COMMERCIAL SECTOR | Fully Settled | SPIRE METHLEY PARK HOSPITAL | 716189 | 26,622.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 28/02/2014 LAUNDRY DDH | EXT CONTR LAUNDRY | Fully Settled | SYNERGY HEALTH (UK) LTD INV START 2000 LINEN | 733357 | 28,932.02 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 19/02/2014 BALANCE SHEET | MEDICAL EQUIP ADDITIONS PURCH | Fully Settled | TOSHIBA MEDICAL SYSTEMS LTD | 731037 | 60,853.03 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 19/02/2014 BALANCE SHEET | MEDICAL EQUIP ADDITIONS PURCH | Fully Settled | TOSHIBA MEDICAL SYSTEMS LTD | 731038 | 61,932.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 19/02/2014 BALANCE SHEET | MEDICAL EQUIP ADDITIONS PURCH | Fully Settled | TOSHIBA MEDICAL SYSTEMS LTD | 731039 | 66,010.97 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 19/02/2014 BALANCE SHEET | MEDICAL EQUIP ADDITIONS PURCH | Fully Settled | TOSHIBA MEDICAL SYSTEMS LTD | 731040 | 60,853.03 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 26/02/2014 BALANCE SHEET | MEDICAL EQUIP ADDITIONS PURCH | Fully Settled | TOSHIBA MEDICAL SYSTEMS LTD | 732227 | 61,932.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 26/02/2014 BALANCE SHEET | MEDICAL EQUIP ADDITIONS PURCH | Fully Settled | TOSHIBA MEDICAL SYSTEMS LTD | 732229 | 61,932.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 12/02/2014 PALLIATIVE CARE TRUSTWIDE | OTHER TRAINING INCOME | Fully Settled | WAKEFIELD HOSPICE | 729168 | 84,350.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 26/02/2014 PGH UTILITIES & RATES | WATER | Fully Settled | YORKSHIRE WATER SERVICES LTD | 737363 | 25,712.42 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 26/02/2014 PGH UTILITIES & RATES | WATER | Fully Settled | YORKSHIRE WATER SERVICES LTD | 737363 | 450.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 23/09/2013 BALANCE SHEET | PAYROLL DED'NS N/S <1YR | Fully Settled | EDENRED | 27913 | 43,858.13 |

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## Tackling Worklessness Targeting Jobs And Training Through The Procurement Process Why Use Procurement? "With an annual expenditure of over £150 billion, public procurement has an important role to play in . . . tackling social issues" (Buy and Make a Difference. Office of Government Commerce. 2008) ## H Local authorities should aim to maximise the extent to whic their procurement generate jobs and training opportunities. However, this tends to compete with potentially conflicting objectives like cost reductions, quality and timely delivery. These have traditionally taken precedence, partly because of an unduly conservative interpretation of European procurement rules and case law. But it also reflects a local authority culture derived from a more restrictive era, as defined by the Local Government Act 1988. Overcoming resistance to linking local employment and training benefits with procurement is the main barrier. This 'How to Guide' provides economic development and employability practitioners with information to enable them to champion this activity. The UK government and the European Commission are encouraging public agencies to use procurement to achieve social policy goals. This is reflected in the publication of UK Guidance. _ Social Issues in Purchasing http://www.ogc.gov.uk/delivering policy_aims_through_public_procurement_social_issues.asp Promoting Skills Through Public Procurement, 2009, OGC and Department for Innovation, Universities and Skills http://www.ogc.gov.uk/key_policy_principles_and_ supporting_guidance_promoting_skills_through_public_ procurement_.asp ## Collaborative Procurement Http://Www.Ogc.Gov.Uk/Delivering_Value_For_Money.Asp Nevertheless, there is a need to proceed with care to accommodate the EU and UK legal and policy frameworks. The aim is to get the best fit with the purchaser's other objectives, and to introduce the requirements into different forms of contract. Training and employment outcomes have most frequently been included in construction-related contracts. This is because it can represent significant investment in areas with high levels of social exclusion. Without intervention, the structure of the industry can work against local employment. The same method would also be valid for other locallydelivered services. In construction a range of procurement strategies may result in different forms of contracts. This may include: - one-off contracts - framework contracts –where a panel of companies is selected and each may get some work - Private Finance Initiative (PFI) contracts that may last for 25 years - development agreements linked to land sales. Employment and training requirements have been used in all types of contract - but each may call for a different approach and raise specific issues. ## Case Study - Glasgow Housing Association Glasgow Housing Association (GHA) was formed from the largest housing stock transfer in Britain. It is spending about £200 million a year on achieving the 'decent homes standard' through framework contracts. From its inception, GHA has had a strong Neighborhood Renewal strategy. This has provided the policy basis for including targeted recruitment and training as a core requirement of contractors: - Reference to the requirements was included in the contract notice. - Questions on relevant experience were included in the pre-qualification questionnaires (PQQs). . - Requirements were included in the invitation to tender - A training method statement was scored as part of each tender evaluation. From January 2006 to September 2009, GHA's contractors have recruited more than 630 new entrant trainees - mostly apprentices - and provided nearly 29,000 weeks employment. This represents 11 per cent of the total person-weeks used compared with a 10 per cent overall target. It is being achieved at no cost to the housing investment budget. ## Eu And Uk Legal Frameworks European Union Treaties and European Commission Procurement Directives are incorporated into UK Public Contract Regulations and require all public bodies and Housing Associations to give equal access to contract opportunities for bidders from across Europe.1 Where the anticipated cost is above approximately £3.5m for works and £140,000 for goods and services, the EU sets out procedures for the advertising of opportunities, the selection of bidders and the award of the contract. A useful 'laypersons' guide to the requirements can be found in the CAN DO Toolkit (Resource 2) - www.whq.org.uk/i2i (go to i2i resources). include social services provisions. European case law on the extent to which a public body can include employment and training requirements in their procurement mostly relates to situations where these were seen as 'added value' - that is, secondary considerations– rather than part of the subject of the contracts - core requirements. As local authorities have broad powers to promote community wellbeing under the Local Government Act 2000, they can include training and job outcomes as core requirements - for example, buying 'highways maintenance and skills development'. By referring to these requirements, an authority can take bidders' offers on these into account in the award of the contract. Secondary considerations can be included as contract conditions, but must not be used in the tender evaluation and award. Under European case law, the inclusion of employment and training requirements could disadvantage non-local bidders. This is because they may have no local workforce or knowledge of local labour markets. It is important to avoid 'local referencing', that is only specifying targets that can be met from anywhere in Europe - for example, recruiting trainees - and instead specifying a source of beneficiaries - for example, a college, job centre or agency - that will ensure equal access to bidders from anywhere in Europe. Providing information to bidders on the resources and services of the named source is important in creating a level playing field at the tender stage. Relevant policy allows local authorities to include employment and training benefits as core requirements of the contract. This may be found in the council's corporate plan, procurement strategy, community strategy, sustainable development policy - that may refer to 'sharing the benefits with all' - or the local area agreement (LAA). As opportunities arise to modify these policies, more explicit wording should be included. Local authorities in England also need to have a 'best value' rationale for including work and skills requirements in their procurement. They need to comply with Section 17 - noncommercial considerations - of the Local Government Act 1988, as amended by Statutory Instrument 909/2001. The amendments were made differently in Wales and Scotland. 'Best value' is defined as 'continuous improvement in the way functions are exercised' - Local Government Act 1999 Section 3[1]. So the rationale could be the achievement of a range of local authority policy objectives - see above - or specifically the expansion of skills in the labour market. ## Ii.1.5) Short Description Of The Contract Or Purchase(S) The project involves the construction of a new primary school. Under this project the contractor is required to participate actively in the economic and social regeneration of the locality of and surrounding the place of delivery for the project. Accordingly contract performance conditions may relate in particular to social and environmental considerations. ## Best Value And Affordability Local authorities have a duty to achieve 'best value' from their procurement and other public bodies have a duty to achieve 'value for money' (vfm). Both best value and vfm are judged against the core requirements of the contract. If work and skills requirements are included then they should be part of the best value and or vfm consideration. Achieving the purchaser's policy objectives is sufficient value: the work and skills requirements do not need to show a financial benefit to the authority. However, a procurement team will assume that including such requirements will add cost to a contract. Demonstrating how these costs can be minimised is critical in obtaining their cooperation. This can be achieved by setting requirements that match the 'supply-side resources' available in the target area - for example, via colleges and training providers, Jobcentre Plus, European funding programmes and industry training bodies. Purchasers will need assurance that these resources will be available, and bidders will need information that will help them in pricing the tender. Some purchasers may be willing to accept some additional cost as part of the tender, but will be looking to see how this can be minimised. ## Summary Of Targeted Recruitment & Training Resources | Cost Item | |--------------------| | Management | | and | | administration | | Training costs | | Additional site | | costs | | Mentoring and | | support activities | ## Total Cost Sources of Funding and other Resources Industry training funds Existing company staff/overheads Corporate social responsibility resources Trainee productivity Services from other external agencies Total of additional resources ## Net Cost ## Measuring And Monitoring Targets Procurement supports the promotion of employment and training. Some additional benefits - in terms of a multiplier effect on the local economy - will be obtained by targeting the opportunities at local people. Greater benefit can be derived if the beneficiaries are people who face significant barriers to work. It is important to pursue this 'social inclusion' rationale, especially in times of higher unemployment. Economic development officers should identify appropriate employment and training targets on a contract-by-contract basis. They should take into account: - local data on unemployment and inactivity - adopted policies and the priorities of the LAA - the resources available for training and job-matching - the type of opportunities that can obtained from the contract. Avoid the temptation to set too many requirements. It is better to focus resources and effort. ## Illustration 3: Extract From The Bid Stage Draft Protocol On Prosperity And Employability - Leicester Local Education Partnership - Delivering Building Schools For The Future Collective Partnership Targets Each construction and life-cycle maintenance project shall make a contribution to the achievement of the following: - 10% of the person-weeks required to deliver the works to be provided by employed-status new entrant trainees recruited from an agency agreed by the Council; - every vacancy on site, including those with subcontractors, is to be notified to agencies named by the Council at least 2 working days before being filled from other sources; - the equivalent of 1.5% of the person-weeks required to deliver the works are to be made available as unwaged work experience opportunities. In occupations where high labour turnover is the norm, it may be better to use person-weeks of employment as the measure. The person-weeks may be achieved by employing a few people for a longer period, or a larger number of people for a shorter period. The person-week targets may be mixed with job numbers for example, six new entrant trainees to obtain a total of 312 person-weeks employment. It is essential to define in plain English what the terms mean because they are not standardised or obvious. Under EU procurement frameworks, any contract requirements should be measurable so that the purchaser and or procurer can verify their delivery. In relation to employment and training outcomes, useful measures may be: - the number of vacancies notified to named agencies and the number of people recruited from these agencies - the number of people enrolled on industry-recognised training courses and the numbers of qualifications obtained - the number of new entrant trainees - that is from sociallyexcluded groups recruited from named agencies. The 'named agency' is a way of securing benefits for a target population. These will be maximised where the agency undertakes outreach and pre-recruitment work with this community and provides mentoring and personal support during the transition into work. Remember, it is easier to monitor absolute targets - for example, 1,000 trainee person-weeks - than formulaic targets - for example, 10 per cent of all person-weeks. ## Illustration 4: Definition From Brent Council`S South Kilburn Partnership Specification A 'new trainee' is a person that is leaving an educational establishment (e.g. school, college or university) or a training provider, or a non-employed person that is seeking employment that includes on-site training and assessment or offsite training or a mix of these, or a person that was recruited as a new entrant trainee and is seeking a new position through the named Agency in order to complete their training. These may be apprentices or other trainees. An 'apprentice' is a person registered as an apprentice with an industry recognised body and can be counted as a 'new trainee' for up to 104 weeks. Other 'new trainees' can be counted for up to 52 weeks. ## Taking A Strategic Approach Using procurement to achieve employment and training outcomes requires a long-term strategy. It is not a quick fix. Sometimes there is a significant delay between the start of the procurement process and the availability of opportunities. The ideal is to build the case for including social requirements into procurement. This can be achieved by identifying the policy basis, identifying the training and job-matching resources, and the staff to help purchasers and suppliers define, deliver and monitor the work and skills requirements. Lead member and director-level support may then be needed to get commitment from the authority's procurement staff. However, where the procurement could provide opportunities for many years ahead it may be necessary to get the requirements into the procurement process and then put together the required resources and information. The earlier employment and training requirements are introduced the better. This requires good contacts with the procurement officers and allows: - affordability issues to be discussed - the rules on advertising and bidder selection to be followed - the appropriate tender requirements to be drafted. However, even when the requirements are in the contract, it will be essential to work with the supplier to help with delivery. The effort they put in will invariably reflect the effort the client and the supply-side organisations put in. ## Illustration 5: Extract From West Northamptonshire Development Corporation Board Report 2008 Construction Futures will help West Northamptonshire Development Corporation (WNDC) and its partners achieve what has been a long standing objective for many public bodies, but one that is rarely achieved - significant social and economic added-value for local communities (in terms of skill levels, employment and household income) through construction training and procurement programmes linked to development activity. ## Top Tips - Institutional resistance to including employment and training outcomes in local procurement is the main obstacle to overcome. - Develop a long-term strategic approach, but be prepared to intervene - Intervene as early as possible in each procurement process: this requires good contacts with procurement teams. - Be explicit about the intention to use procurement to achieve employment and training requirements in relevant policies. - Include work and skills requirements in the subject of the contract, rather than as secondary requirements, or as 'added value.' - Target work and skills opportunities at people with significant barriers to work. - Maximise local recruitment by naming a source from which beneficiaries must be recruited - rather than simply specifying 'local' beneficiaries. - Ensure the named sources undertake pre-employment support with the target communities in order to provide candidates that are job-ready. - Define the targets and measures. Terms like 'trainee', 'unemployed', 'job-seeker', 'person-week' and 'apprentice' do not have universally shared meanings. - Provide information on the resources and services of the named source - this is important in creating a level playing field at the tendering stage. - Consider what can be measured and verified when setting targets - it is easier to monitor absolute targets, than formula-based targets. This guide provides information in general terms only. Readers should seek legal advice on particular cases. IDeA Layden House 76-86 Turnmill Street London EC1M 5LG telephone 020 7296 6880 facsimile 020 7296 6666 email ihelp@idea.gov.uk www.idea.gov.uk ©IDeA - March 2010 Printed on 100 per cent recycled paper using vegetable based ink. For a copy in Braille, Welsh, larger print or audio, please contact iHelp on 020 7296 6880. We consider requests on an individual basis.

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## Joint Forest Sector Questionnaire: Provisional 2016 Data Publication Date: 18 May 2017 Coverage: United Kingdom Geographical Breakdown: None The Joint Forest Sector Questionnaire (JFSQ) collects data on removals, production and trade of wood and wood products. Statistics are collected annually and the collection is co-ordinated by a number of international organisations: Eurostat, UNECE, FAO and ITTO. Notes: 1. In the JQ1 and JQ1 OB tables, "removals" data is as delivered to processors and others. 2. The product codes tables are provided as guidance by international organisations, the exact list of commodity codes used by the Forestry Commission for specific JQ categories can differ. List of Tables JQ1 OB: Removals over bark JQ1: Removals and production JQ2: Trade JQ3: Trade in secondary processed wood and paper products Glulam and X-lam ECE-EU: Trade in roundwood and sawnwood by species EU1: Trade with countries outside the EU EU2: Removals by type of ownership Conversion factors Product codes for the JQ2 and EU1 tables Product codes for the JQ3 table UK data that is submitted to international organisations via the JFSQ is published twice a year, in May (provisional data) and September (final data) at: www.forestry.gov.uk/forestry/infd-7aqhzh Next update: 28 September 2017: final results for 2016 17 May 2018: provisional results for 2017 Issued by: IFOS - Statistics, Forest Research, 231 Corstorphine Road, Edinburgh, EH12 7AT Enquiries: Jackie Watson 0300 067 5238 statistics@forestry.gsi.gov.uk Statistician: Sheila Ward 0300 067 5236 www.forestry.gov.uk/statistics Date: 18 May 2017 Name of Official responsible for reply: Sheila Ward Official Address (in full): IFOS-Statistics, Forest Research, 231 Corstorphine Road, Edinburgh EH12 7AT, UK ## Eu Jq1 Ob Telephone:+ 44 300 067 5236 Fax: E-mail: sheila.ward@forestry.gsi.gov.uk ## Removals Product Product 2015 2016 Unit Code Quantity Quantity ROUNDWOOD REMOVALS OVERBARK 3 11,827 11,821 1 ROUNDWOOD 1000 m 3 11,299 11,292 1.C Coniferous 1000 m 3 527 529 1.NC Non-Coniferous 1000 m 3 2,160 2,105 1.1 WOOD FUEL, INCLUDING WOOD FOR CHARCOAL 1000 m 3 1,760 1,705 1.1.C Coniferous 1000 m 3 400 400 1.1.NC Non-Coniferous 1000 m 3 9,667 9,716 1.2 INDUSTRIAL ROUNDWOOD (WOOD IN THE ROUGH) 1000 m 3 9,540 9,587 1.2.C Coniferous 1000 m 3 127 129 1.2.NC Non-Coniferous 1000 m 3 7,075 7,255 1.2.1 SAWLOGS AND VENEER LOGS 1000 m 3 7,003 7,182 1.2.1.C Coniferous 1000 m 3 72 73 1.2.1.NC Non-Coniferous 1000 m 3 2,028 1,902 1.2.2 PULPWOOD (ROUND & SPLIT) 1000 m 3 2,028 1,901 1.2.2.C Coniferous 1000 m 3 0 1 1.2.2.NC Non-Coniferous 1000 m 3 564 559 1.2.3 OTHER INDUSTRIAL ROUNDWOOD 1000 m 3 509 504 1.2.3.C Coniferous 1000 m 3 55 55 1.2.3.NC Non-Coniferous 1000 m Sheila Ward ## Jq1 Forest Sector Questionnaire Removals And Production Product Product 2015 2016 Code Quantity Quantity ROUNDWOOD REMOVALS (under bark) 1 ROUNDWOOD 1000 m 1.C Coniferous 1000 m 1.NC Non-Coniferous 1000 m 1.1 WOOD FUEL, INCLUDING WOOD FOR CHARCOAL 1000 m 1.1.C Coniferous 1000 m 1.1.NC Non-Coniferous 1000 m 1.2 INDUSTRIAL ROUNDWOOD (WOOD IN THE ROUGH) 1000 m 1.2.C Coniferous 1000 m 1.2.NC Non-Coniferous 1000 m 1.2.1 SAWLOGS AND VENEER LOGS 1000 m 1.2.1.C Coniferous 1000 m 1.2.1.NC Non-Coniferous 1000 m 1.2.2 PULPWOOD (ROUND & SPLIT) 1000 m 1.2.2.C Coniferous 1000 m 1.2.2.NC Non-Coniferous 1000 m 1.2.3 OTHER INDUSTRIAL ROUNDWOOD 1000 m 1.2.3.C Coniferous 1000 m 1.2.3.NC Non-Coniferous 1000 m PRODUCTION 2 WOOD CHARCOAL 1000 mt 5 5 3 CO-PRODUCTS / CHIPS, PARTICLES, RESIDUES 1000 m 3.1 Chips and particles 1000 m 3.2 Residues including wood for agglomerates 1000 m 4 WOOD PELLETS AND OTHER AGGLOMERATES 1000 mt 343 357 4.1 Wood pellets 1000 mt 343 357 4.2 Other agglomerates 1000 mt 0 0 5 SAWNWOOD 1000 m 5.C Coniferous 1000 m 5.NC Non-Coniferous 1000 m 5.NC.T of which:Tropical 1000 m 6 WOOD-BASED PANELS 1000 m 6.1 VENEER SHEETS 1000 m 6.1.C Coniferous 1000 m 6.1.NC Non-Coniferous 1000 m 6.1.NC.T of which:Tropical 1000 m 6.2 PLYWOOD 1000 m 6.2.C Coniferous 1000 m 6.2.NC Non-Coniferous 1000 m 6.2.NC.T of which:Tropical 1000 m 6.3 PARTICLE BOARD, OSB and OTHERS 1000 m 6.3.1 of which:OSB 1000 m 6.4 FIBREBOARD 1000 m 6.4.1 HARDBOARD 1000 m 6.4.2 MDF (MEDIUM DENSITY) 1000 m 6.4.3 OTHER FIBREBOARD 1000 m 7 WOOD PULP 1000 mt + + + + + + 7.1 MECHANICAL 1000 mt + + + + + + 7.2 SEMI-CHEMICAL 1000 mt 0 0 7.3 CHEMICAL 1000 mt 0 0 7.3.1 SULPHATE UNBLEACHED 1000 mt 0 0 7.3.2 SULPHATE BLEACHED 1000 mt 0 0 7.3.3 SULPHITE UNBLEACHED 1000 mt 0 0 7.3.4 SULPHITE BLEACHED 1000 mt 0 0 7.4 DISSOLVING GRADES 1000 mt 0 0 8 OTHER PULP 1000 mt 2,880 2,572 8.1 PULP FROM FIBRES OTHER THAN WOOD 1000 mt 7 7 8.2 RECOVERED FIBRE PULP 1000 mt 2,873 2,565 9 RECOVERED PAPER 1000 mt 7,912 7,825 10 PAPER AND PAPERBOARD 1000 mt 3,970 3,675 10.1 GRAPHIC PAPERS 1000 mt 1,053 897 10.1.1 NEWSPRINT 1000 mt 10.1.2 UNCOATED MECHANICAL 1000 mt 10.1.3 UNCOATED WOODFREE 1000 mt 10.1.4 COATED PAPERS 1000 mt 10.2 SANITARY AND HOUSEHOLD PAPERS 1000 mt 772 728 10.3 PACKAGING MATERIALS 1000 mt 1,894 1,800 10.3.1 CASE MATERIALS 1000 mt 10.3.2 CARTONBOARD 1000 mt 10.3.3 WRAPPING PAPERS 1000 mt 10.3.4 OTHER PAPERS MAINLY FOR PACKAGING 1000 mt 10.4 OTHER PAPER AND PAPERBOARD N.E.S. 1000 mt 251 250 + + + denotes data not available. Country: UK Date: 18 May 2017 Name of Official responsible for reply: Official Address (in full): Forestry Commission, IFOS-Statistics, Forest Research, 231 Corstorphine Road, Edinburgh EH12 7AT, UK Telephone: + 44 300 067 5236 Fax: E-mail: sheila.w ard@forestry.gsi.gov.uk Unit 3 10,550 10,545 3 10,089 10,082 3 461 463 3 1,921 1,872 3 1,571 1,522 3 350 350 3 8,629 8,673 3 8,517 8,560 3 111 113 3 6,315 6,477 3 6,252 6,412 3 63 64 3 1,811 1,698 3 1,811 1,698 3 0 0 3 503 498 3 454 450 3 48 48 3 3,112 3,458 3 2,334 2,593 3 778 864 3 3,493 3,603 3 3,449 3,557 3 44 46 3 3 3,080 3,033 3 0 0 3 0 0 3 0 0 3 0 0 3 0 0 3 0 0 3 0 0 3 0 0 3 2,324 2,349 3 3 756 684 3 0 0 3 756 684 3 0 0 UK Country: Date: 18 May 2017 Name of Official responsible for reply: Sheila Ward ## Jq2 FOREST SECTOR QUESTIONNAIRE Official Address (in full): IFOS-Statistics, Forest Research, 231 Corstorphine Road, Edinburgh EH12 7AT, UK Trade Telephone: + 44 300 067 5236 Fax: E-mail: sheila.w ard@forestry.gsi.gov.uk 1000 UK £ (Sterling) | I M P O R T | E X P O R T | |------------------------------------------|---------------| | Product | | | | | | Unit of | | | 2016 | 2015 | | code | Product | | quantity | | | | | | | | | Quantity | Value | | 1 | | | ROUNDWOOD | | | 1000 m | | | 3 | | | 534 | 47,069 | | 1.1 | | | WOOD FUEL, INCLUDING WOOD FOR CHARCOAL | | | 1000 m | | | 3 | | | 61 | 8,299 | | 1.2 | | | INDUSTRIAL ROUNDWOOD (WOOD IN THE ROUGH) | | | 1000 m | | | 3 | | | 473 | 38,770 | | 1.2.C | | | Coniferous | | | 1000 m | | | 3 | | | 414 | 30,618 | | 1.2.NC | | | Non-Coniferous | | | 1000 m | | | 3 | | | 59 | 8,152 | | 1.2.NC.T | | | of which: Tropical | | | 1000 m | | | 3 | | | 6 | 2,248 | | 2 | | | WOOD CHARCOAL | | | 1000 mt | 107 | | 3 | | | CO-PRODUCTS / CHIPS, PARTICLES, RESIDUES | | | 1000 m | | | 3 | | | 212 | 10,692 | | 3.1 | | | Chips and particles | | | 1000 m | | | 3 | | | 212 | 10,692 | | 3.2 | | | Residues including wood for agglomerates | | | 1000 m | | | 3 | | | 0 | 0 | | 4 | | | WOOD PELLETS AND OTHER AGGLOMERATES | | | 1000 mt | 6,573 | | 4.1 | | | Wood pellets | | | 1000 mt | 6,573 | | 4.2 | | | Other agglomerates | | | 1000 mt | 0 | | 5 | | | SAWNWOOD | | | 1000 m | | | 3 | | | 6,323 | 1,310,761 | | 5.C | | | Coniferous | | | 1000 m | | | 3 | | | 5,888 | 1,057,830 | | 5.NC | | | Non-Coniferous | | | 1000 m | | | 3 | | | 435 | 252,931 | | 5.NC.T | | | of which: Tropical | | | 1000 m | | | 3 | | | 96 | 60,798 | | 6 | | | WOOD-BASED PANELS | | | 1000 m | | | 3 | | | 3,215 | 958,025 | | 6.1 | | | VENEER SHEETS | | | 1000 m | | | 3 | | | 15 | 29,762 | | 6.1.C | | | Coniferous | | | 1000 m | | | 3 | | | 3 | 1,981 | | 6.1.NC | | | Non-Coniferous | | | 1000 m | | | 3 | | | 12 | 27,781 | | 6.1.NC.T | | | of which: Tropical | | | 1000 m | | | 3 | | | 3 | 5,877 | | 6.2 | | | PLYWOOD | | | 1000 m | | | 3 | | | 1,466 | 459,952 | | 6.2.C | | | Coniferous | | | 1000 m | | | 3 | | | 475 | 115,363 | | 6.2.NC | | | Non-Coniferous | | | 1000 m | | | 3 | | | 991 | 344,589 | | 6.2.NC.T | | | of which: Tropical | | | 1000 m | | | 3 | | | 109 | 49,678 | | 6.3 | | | PARTICLE BOARD, OSB and OTHERS | | | 1000 m | | | 3 | | | 970 | 192,294 | | 6.3.1 | | | of which: OSB | | | 1000 m | | | 3 | | | 305 | 51,468 | | 6.4 | | | FIBREBOARD | | | 1000 m | | | 3 | | | 764 | 276,016 | | 6.4.1 | | | HARDBOARD | | | 1000 m | | | 3 | | | 154 | 88,208 | | 6.4.2 | | | MDF (MEDIUM DENSITY) | | | 1000 m | | | 3 | | | 560 | 174,711 | | 6.4.3 | | | OTHER FIBREBOARD | | | 1000 m | | | 3 | | | 50 | 13,098 | | 7 | | | WOOD PULP | | | 1000 mt | 1,192 | | 7.1 | | | MECHANICAL | | | 1000 mt | 1 | | 7.2 | | | SEMI-CHEMICAL | | | 1000 mt | 160 | | 7.3 | | | CHEMICAL | | | 1000 mt | 992 | | 7.3.1 | | | SULPHATE UNBLEACHED | | | 1000 mt | 18 | | 7.3.2 | | | SULPHATE BLEACHED | | | 1000 mt | 971 | | 7.3.3 | | | SULPHITE UNBLEACHED | | | 1000 mt | 0 | | 7.3.4 | | | SULPHITE BLEACHED | | | 1000 mt | 3 | | 7.4 | | | DISSOLVING GRADES | | | 1000 mt | 39 | | 8 | | | OTHER PULP | | | 1000 mt | 32 | | 8.1 | | | PULP FROM FIBRES OTHER THAN WOOD | | | 1000 mt | 30 | | 8.2 | | | RECOVERED FIBRE PULP | | | 1000 mt | 2 | | 9 | | | RECOVERED PAPER | | | 1000 mt | 305 | | 10 | | | PAPER AND PAPERBOARD | | | 1000 mt | 6,032 | | 10.1 | | | GRAPHIC PAPERS | | | 1000 mt | 3,394 | | 10.1.1 | | | NEWSPRINT | | | 1000 mt | 592 | | 10.1.2 | | | UNCOATED MECHANICAL | | | 1000 mt | 453 | | 10.1.3 | | | UNCOATED WOODFREE | | | 1000 mt | 924 | | 10.1.4 | | | COATED PAPERS | | | 1000 mt | 1,425 | | 10.2 | | | SANITARY AND HOUSEHOLD PAPERS | | | 1000 mt | 318 | | 10.3 | | | PACKAGING MATERIALS | | | 1000 mt | 2,175 | | 10.3.1 | | | CASE MATERIALS | | | 1000 mt | 1,075 | | 10.3.2 | | | CARTONBOARD | | | 1000 mt | 746 | | 10.3.3 | | | WRAPPING PAPERS | | | 1000 mt | 277 | | 10.3.4 | | | OTHER PAPERS MAINLY FOR PACKAGING | | | 1000 mt | 77 | | 10.4 | | | OTHER PAPER AND PAPERBOARD N.E.S. | | | 1000 mt | 145 | Official Address (in full): 231 Corstorphine Road, Edinburgh EH12 7AT, UK IFOS-Statistics, Forest Research, JQ3 Telephone/Fax: + 44 300 067 5236 E-mail: sheila.w ard@forestry.gsi.gov.uk ## Secondary Processed Wood And Paper Products Trade 1000 UK £ (Sterling) I M P O R T V A L U E E X P O R T V A L U E Product Product code 2015 2016 2015 2016 11 Secondary wood products 11.1 Further processed sawnwood 159,305 166,177 18,345 18,570 11.1.C Coniferous 41,884 39,855 11,065 9,432 11.1.NC Non-coniferous 117,420 126,322 7,280 9,138 11.1.NC.T of which: Tropical 58,710 63,161 3,640 4,569 11.2 Wooden wrapping and packing equipment 182,844 157,483 42,417 44,625 11.3 Wood products for domestic/decorative use (excl. furniture) 167,680 165,582 26,373 27,363 11.4 Other manufactured wood products 243,889 249,941 39,906 37,838 11.5 Builder's joinery and carpentry of wood 678,885 706,245 52,383 49,393 11.6 Wooden furniture 3,007,411 3,053,239 351,858 351,092 11.7 Prefabricated buildings 179,824 190,272 92,805 89,391 11.7.1 of which: made of wood 65,950 59,472 5,386 4,293 12 Secondary paper products 12.1 Composite paper and paperboard 46,224 40,149 11,962 11,286 12.2 Special coated paper 282,065 292,061 229,667 251,922 12.3 Carbon paper and copying paper, ready for use 14,722 16,254 4,034 3,728 12.4 Household and sanitary paper, ready for use 328,975 305,152 187,587 176,553 12.5 Packaging cartons, boxes, etc. 732,766 714,384 274,531 292,610 12.6 Other articles of paper or paperboard 703,235 701,795 572,205 518,577 12.6.1 of which: printing & writing paper, ready for use 18,920 23,048 4,010 4,171 12.6.2 of which: articles, moulded or pressed from pulp 19,527 24,489 8,326 8,870 12.6.3 of which: filter paper & paperboard, ready for use 20,790 21,508 107,381 88,647 Flow Product Year Total Export Total Import Extra-EU Export Extra-EU Import Production 1000 mt 1000 mt 1000 NAC 1000 mt 1000 NAC 1000 mt 1000 NAC 1000 mt 1000 NAC 2015 Glulam +++ 2 2,725 28 33,181 0 483 8 13,808 2016 +++ 3 3,047 26 28,385 0 545 19 15,975 2015 X-lam +++ +++ +++ +++ +++ +++ +++ +++ +++ 2016 +++ +++ +++ +++ +++ +++ +++ +++ +++ Definitions: Glulam: Builders' carpentry also includes glue-laminated timber (glulam), which is a structural timber product obtained by gluing together a number of wood laminations having their grain essentially parallel. Laminations of curved members are arranged so that the plane of each lamination is at 90 degrees to the plane of the applied load; thus, laminations of a straight gluman beam are laid flat. [from HS 4418, Builders' joinery and carpentry of wood, including cellular wood panels, assembled flooring panels, shingles and shakes] X-lam: Panels consisting of laths of roughly sawn wood, assembled with glue in order to facilitate transport or later working. [from HS4421, Other articles of wood] + + + denotes data not available. Country: Date: Sheila Ward ## Ece/Eu Species Trade Forest Sector Questionnaire Trade In Roundwood And Sawnwood By Species 1000 UK £ (Sterling) Product Classification Classification Unit of Code HS2007 CN2007 Product Quantity Quantity Value Quantity Value Quantity Value Quantity Value 3 414 30,618 461 30,456 271 18,213 244 13,922 1.2.C 44.03.20 Industrial Roundwood (wood in the rough), Coniferous 1000 m 3 70 9,555 61 9,743 163 7,146 134 7,186 ex 44.03.20 Fir/Spruce (Abies spp., Picea spp.) 1000 m 3 55 6,931 44 6,956 157 6,824 134 7,186 44.03.20.11 sawlogs and veneer logs (Abies alba, Picea abies) 1000 m 3 16 2,625 17 2,787 6 322 0 0 44.03.20.19 pulpwood and other industrial roundwood (Abies alba, Picea abies) 1000 m 3 93 7,906 44 5,709 39 3,426 3 275 ex 44.03.20 Pine (Pinus spp.) 1000 m 3 25 2,585 3 505 1 43 3 106 44.03.20.31 sawlogs and veneer logs (Pinus sylvestris) 1000 m 3 68 5,321 40 5,204 38 3,383 1 168 44.03.20.39 pulpwood and other industrial roundwood (Pinus sylvestris) 1000 m 3 251 13,157 355 15,005 70 7,640 106 6,461 ex 44.03.20 Other / Non-specified 1000 m 3 246 12,471 355 14,903 41 2,154 50 2,407 44.03.20.91 sawlogs and veneer logs 1000 m 3 5 686 0 102 30 5,486 56 4,055 44.03.20.99 pulpwood and other industrial roundwood 1000 m 3 59 8,152 73 12,124 0 1,958 0 3,107 1.2.NC 44.03.40/90 Industrial Roundwood (wood in the rough), Non-Coniferous 1000 m 3 4 726 11 1,842 0 118 0 110 44.03.91 of which: Oak (Quercus spp.) 1000 m 3 1 226 3 555 0 0 0 32 44.03.91.10 sawlogs and veneer logs 1000 m 3 2 499 8 1,287 0 118 0 78 44.03.91.90 pulpwood and other industrial roundwood 1000 m 3 3 413 0 104 0 39 0 58 44.03.92 of which: Beech (Fagus spp.) 1000 m 3 0 83 0 0 0 0 0 48 44.03.92.10 sawlogs and veneer logs 1000 m 3 3 330 0 104 0 39 0 10 44.03.92.90 pulpwood and other industrial roundwood 1000 m 3 5 298 25 982 0 34 0 83 ex 44.03.99 of which: Birch (Betula spp.) 1000 m 3 3 186 25 897 0 31 0 79 44.03.99.51 sawlogs and veneer logs 1000 m 3 2 112 0 85 0 3 0 4 44.03.99.59 pulpwood and other industrial roundwood 1000 m 3 0 33 0 16 0 209 0 164 44.03.99.10 of which: Poplar (Populus spp.) 1000 m 3 3 402 9 950 0 0 0 2 44.03.99.30 of which: Eucalyptus (Eucalyptus spp.) 1000 m 3 5,888 1,057,830 6,191 1,125,585 167 31,291 165 34,043 5.C 44.07.10 Sawnwood, Coniferous 1000 m 3 2,906 501,472 2,967 529,690 27 5,298 24 4,916 ex 44.07.10 of which: Fir/Spruce (Abies spp., Picea spp.) 1000 m 3 1,632 304,920 1,746 327,195 1 234 1 422 ex 44.07.10 of which: Pine (Pinus spp.) 1000 m 3 435 252,931 426 288,325 21 12,964 25 14,460 5.NC 44.07.20/90 Sawnwood, Non-coniferous 1000 m 3 175 125,371 161 137,361 5 3,132 8 4,036 44.07.91 of which: Oak (Quercus spp.) 1000 m 3 26 9,541 19 7,974 0 45 0 164 44.07.92 of which: Beech (Fagus spp.) 1000 m 3 4 2,704 4 2,989 0 76 0 142 44.07.93 of which: Maple (Acer spp.) 1000 m 3 1 896 1 768 0 36 0 37 44.07.94 of which: Cherry (Prunus spp.) 1000 m 3 13 8,718 15 10,350 1 385 1 899 44.07.95 of which: Ash (Fraxinus spp.) 1000 m 3 23 9,466 23 12,728 1 305 1 327 ex 44.07.99 of which: Poplar (Populus spp.) 1000 m 3 + + + + + + + + + + + + + + + + + + + + + + + + ex 44.07.99 of which: Birch (Betula spp.) 1000 m Light blue cells are requested only for EU members using the Combined Nomenclature to fill in - other countries are welcome to do so if their trade classification nomenclature permits "ex" codes indicate that only part of that trade classication code is used + + + denotes data not available. UK 18 May 2017 Name of Official responsible for reply: Official Address (in full): IFOS-Statistics, Forest Research, 231 Corstorphine Road, Edinburgh EH12 7AT, UK + 44 300 067 5236 Telephone: Fax: E-mail: sheila.ward@forestry.gsi.gov.uk | | | I M P O R T | E X P O R T | |------|------|---------------|---------------| | 2015 | 2016 | 2015 | 2016 | UK Country: Date: 18 May 2017 Name of Official responsible for reply: Sheila Ward ## Eu1 FOREST SECTOR QUESTIONNAIRE Official Address (in full): IFOS-Statistics, Forest Research, 231 Corstorphine Road, Edinburgh EH12 7AT, UK Trade with countries outside EU Telephone: + 44 300 067 5236 Fax: E-mail: sheila.ward@forestry.gsi.gov.uk 1000 UK £ (Sterling) | I M P O R T | E X P O R T | |------------------------------------------|---------------| | Product | | | | | | Unit of | | | 2015 | 2015 | | code | Product | | quantity | | | | | | | | | Quantity | Value | | 1 | | | ROUNDWOOD | | | 1000 m | | | 3 | | | 10 | 3,949 | | 1.1 | | | WOOD FUEL, INCLUDING WOOD FOR CHARCOAL | | | 1000 m | | | 3 | | | 3 | 730 | | 1.2 | | | INDUSTRIAL ROUNDWOOD (WOOD IN THE ROUGH) | | | 1000 m | | | 3 | | | 7 | 3,218 | | 1.2.C | | | Coniferous | | | 1000 m | | | 3 | | | 1 | 337 | | 1.2.NC | | | Non-Coniferous | | | 1000 m | | | 3 | | | 6 | 2,882 | | 1.2.NC.T | | | of which: Tropical | | | 1000 m | | | 3 | | | 2 | 775 | | 2 | | | WOOD CHARCOAL | | | 1000 mt | 62 | | 3 | | | CO-PRODUCTS / CHIPS, PARTICLES, RESIDUES | | | 1000 m | | | 3 | | | 0 | 234 | | 3.1 | | | Chips and particles | | | 1000 m | | | 3 | | | 0 | 234 | | 3.2 | | | Residues including wood for agglomerates | | | 1000 m | | | 3 | | | 0 | 0 | | 4 | | | WOOD PELLETS AND OTHER AGGLOMERATES | | | 1000 mt | 4,788 | | 4.1 | | | Wood pellets | | | 1000 mt | 4,788 | | 4.2 | | | Other agglomerates | | | 1000 mt | 0 | | 5 | | | SAWNWOOD | | | 1000 m | | | 3 | | | 676 | 226,971 | | 5.C | | | Coniferous | | | 1000 m | | | 3 | | | 472 | 91,568 | | 5.NC | | | Non-Coniferous | | | 1000 m | | | 3 | | | 204 | 135,403 | | 5.NC.T | | | of which: Tropical | | | 1000 m | | | 3 | | | 76 | 45,104 | | 6 | | | WOOD-BASED PANELS | | | 1000 m | | | 3 | | | 1,255 | 369,436 | | 6.1 | | | VENEER SHEETS | | | 1000 m | | | 3 | | | 5 | 7,617 | | 6.1.C | | | Coniferous | | | 1000 m | | | 3 | | | 2 | 1,128 | | 6.1.NC | | | Non-Coniferous | | | 1000 m | | | 3 | | | 3 | 6,489 | | 6.1.NC.T | | | of which: Tropical | | | 1000 m | | | 3 | | | 0 | 898 | | 6.2 | | | PLYWOOD | | | 1000 m | | | 3 | | | 1,202 | 341,056 | | 6.2.C | | | Coniferous | | | 1000 m | | | 3 | | | 394 | 93,863 | | 6.2.NC | | | Non-Coniferous | | | 1000 m | | | 3 | | | 808 | 247,193 | | 6.2.NC.T | | | of which: Tropical | | | 1000 m | | | 3 | | | 81 | 30,226 | | 6.3 | | | PARTICLE BOARD, OSB and OTHERS | | | 1000 m | | | 3 | | | 3 | 1,974 | | 6.3.1 | | | of which: OSB | | | 1000 m | | | 3 | | | 1 | 448 | | 6.4 | | | FIBREBOARD | | | 1000 m | | | 3 | | | 45 | 18,790 | | 6.4.1 | | | HARDBOARD | | | 1000 m | | | 3 | | | 9 | 5,358 | | 6.4.2 | | | MDF (MEDIUM DENSITY) | | | 1000 m | | | 3 | | | 12 | 5,254 | | 6.4.3 | | | OTHER FIBREBOARD | | | 1000 m | | | 3 | | | 25 | 8,177 | | 7 | | | WOOD PULP | | | 1000 mt | 462 | | 7.1 | | | MECHANICAL | | | 1000 mt | 0 | | 7.2 | | | SEMI-CHEMICAL | | | 1000 mt | 1 | | 7.3 | | | CHEMICAL | | | 1000 mt | 424 | | 7.3.1 | | | SULPHATE UNBLEACHED | | | 1000 mt | 4 | | 7.3.2 | | | SULPHATE BLEACHED | | | 1000 mt | 419 | | 7.3.3 | | | SULPHITE UNBLEACHED | | | 1000 mt | 0 | | 7.3.4 | | | SULPHITE BLEACHED | | | 1000 mt | 0 | | 7.4 | | | DISSOLVING GRADES | | | 1000 mt | 38 | | 8 | | | OTHER PULP | | | 1000 mt | 22 | | 8.1 | | | PULP FROM FIBRES OTHER THAN WOOD | | | 1000 mt | 21 | | 8.2 | | | RECOVERED FIBRE PULP | | | 1000 mt | 1 | | 9 | | | RECOVERED PAPER | | | 1000 mt | 3 | | 10 | | | PAPER AND PAPERBOARD | | | 1000 mt | 1,052 | | 10.1 | | | GRAPHIC PAPERS | | | 1000 mt | 572 | | 10.1.1 | | | NEWSPRINT | | | 1000 mt | 298 | | 10.1.2 | | | UNCOATED MECHANICAL | | | 1000 mt | 53 | | 10.1.3 | | | UNCOATED WOODFREE | | | 1000 mt | 167 | | 10.1.4 | | | COATED PAPERS | | | 1000 mt | 53 | | 10.2 | | | SANITARY AND HOUSEHOLD PAPERS | | | 1000 mt | 145 | | 10.3 | | | PACKAGING MATERIALS | | | 1000 mt | 328 | | 10.3.1 | | | CASE MATERIALS | | | 1000 mt | 132 | | 10.3.2 | | | CARTONBOARD | | | 1000 mt | 137 | | 10.3.3 | | | WRAPPING PAPERS | | | 1000 mt | 56 | | 10.3.4 | | | OTHER PAPERS MAINLY FOR PACKAGING | | | 1000 mt | 2 | | 10.4 | | | OTHER PAPER AND PAPERBOARD N.E.S. | | | 1000 mt | 8 | Country: UK Date: 18 May 2017 Name of Official responsible for reply: Sheila Ward Official Address (in full): IFOS-Statistics, Forest Research, 231 Corstorphine Road, Edinburgh EH12 7AT, UK Phone/Fax: + 44 300 067 5236 E-mail: sheila.ward@forestry.gsi.gov.uk ## Eu2 Forest Sector Questionnaire Removals by type of ownership Product Unit 2015 2016 Ownership code Quantity Quantity ROUNDWOOD REMOVALS (under bark) 3 10,550 10,545 1 ROUNDWOOD 1000 m 3 10,089 10,082 1.C Coniferous 1000 m 3 461 463 1.NC Non-coniferous 1000 m 3 4,703 5,004 State forests 1000 m 3 4,639 4,944 Coniferous 1000 m 3 64 59 Non-coniferous 1000 m 3 + + + + + + Other publicly owned forests 1000 m 3 + + + + + + Coniferous 1000 m 3 + + + + + + Non-coniferous 1000 m 3 5,848 5,541 Private forest 1000 m 3 5,450 5,138 Coniferous 1000 m 3 397 403 Non-coniferous 1000 m ## Note: - Ownership categories correspond to those of the TBFRA. State forests: Forests owned by national, state and regional governments, or government-owned corporations; Crown forests. Other publicly owned forests: Forests belonging to cities, municipalities, villages and communes. Private forests: Forests owned by individuals, co-operatives, enterprises and industries and other private institutions. - The unit should be solid cubic metres, under bark. + + + denotes data not available. ## The Following Factors Have Been Used To Convert Between Cubic Metres (M3) And Metric Tonnes: Product m3 / tonne Fuelwood, including wood for charcoal 1.38 Wood chips, sawdust, etc 1.48 Industrial roundwood (wood in the rough) - softwood 1.43 Industrial roundwood (wood in the rough) - hardwood 1.25 Sawnwood - softwood 1.82 Sawnwood - hardwood 1.43 Veneer sheets 1.33 Plywood, particleboard 1.54 Hardboard 1.053 MDF (medium density fibreboard) 1.667 Insulating board - density 0.35-0.5 g/cm3 1.667 Insulating board - other 4 Codes for the JQ2 and EU1, EU and EFTA countries ## Joint Forest Sector Questionnaire C l a s s i f i c a t i o n s Product Product Code CN 2011 HS2007 CN 2012 CN 2013 HS2012 1 ROUNDWOOD 44.01.10 44.03.20/40/90 1.1 WOOD FUEL, INCLUDING WOOD FOR CHARCOAL 44.01.10 1.2 INDUSTRIAL ROUNDWOOD (WOOD IN THE ROUGH) 44.03.20/40/90 1.2.C Coniferous 44.03.20 1.2.NC Non-Coniferous (Eurostat to attribute all of 440399.95 to 1.2.NC) 44.03.40/90 1.2.NC.T of which:Tropical ex440399.95 44.03.41/49 44.03.40 ex440399 2 WOOD CHARCOAL 44.02.90 440120 440139.10 440120 ex440130 44.01.20 ex44.01.39 44.01.20 ex44.01.30 3 CO-PRODUCTS / CHIPS, PARTICLES, RESIDUES 440120 440139.30 440139.80 3.1 Chips and particles 440121/22 440121/22 44.01.21/22 3.2 Residues including wood for agglomerates 440139.30 440139.80 440139.10 ex440130 ex44.01.39 ex44.01.39 4 WOOD PELLETS AND OTHER AGGLOMERATES 440131.00 440139.20 440131.00 ex440139.90 440130.20 ex440130.80 44.01.31 ex44.01.39 4.1 Wood pellets 440131.00 440130.20 44.01.31 44.01.30 4.2 Other agglomerates 440139.20 ex440139.90 ex440130.80 ex44.01.39 5 SAWNWOOD 44.07 5.C Coniferous 44.07.10 5.NC Non-Coniferous 44.07.20/90 5.NC.T of which:Tropical 440799.96 44.07.20 ex44.07.99 6 WOOD-BASED PANELS 44.08 44.10 44.11 44.12.30/90 6.1 VENEER SHEETS 44.08 6.1.C Coniferous 44.08.10 6.1.NC Non-Coniferous (Eurostat to attribute all of 440890 to 6.1.NC) 44.08.30/90 6.1.NC.T of which:Tropical ex440890 44.08.30 ex44.08.90 6.2 PLYWOOD 44.12.30/90 44.12.39 ex44.12.90 6.2.C Coniferous 441239.00; 441294.90; 441299.85 44.12.31/32 ex44.12.90 6.2.NC Non-Coniferous 441231.10 and 441231.90; 441232.10; 441232.90; 441294.10; 441299.30; 441299.40; 441299.50 44.12.31 ex44.12.32 ex44.12.90 6.2.NC.T of which:Tropical 441231.10 and 441231.90; 441232.90; 441299.50 6.3 PARTICLE BOARD, OSB and OTHERS 44.10 6.3.1 of which: OSB 44.10.12 6.4 FIBREBOARD 44.11 6.4.1 HARDBOARD 44.11.92 6.4.2 MDF (Medium Density) 44.11.10 6.4.3 OTHER FIBREBOARD 44.11.93/94 7 WOOD PULP 47.01 47.02 47.03 47.04 47.05 7.1 MECHANICAL 47.01 7.2 SEMI-CHEMICAL 47.05 7.3 CHEMICAL 47.03 47.04 7.3.1 SULPHATE UNBLEACHED 47.03.10 7.3.2 SULPHATE BLEACHED 47.03.20 7.3.3 SULPHITE UNBLEACHED 47.04.10 7.3.4 SULPHITE BLEACHED 47.04.20 7.4 DISSOLVING GRADES 47.02 8 OTHER PULP 47.06 8.1 PULP FROM FIBRES OTHER THAN WOOD 47.06.10/30/90 8.2 RECOVERED FIBRE PULP 47.06.20 9 RECOVERED PAPER 47.07 10 PAPER AND PAPERBOARD 48.01/02/03/04/05/06/08/09/10 48.11.50 48.12/13 10.1 GRAPHIC PAPERS 48.01 48.02.10/20/50/60 48.09 48.10.10/20 10.1.1 NEWSPRINT 48.01 10.1.2 UNCOATED MECHANICAL 48.02.60 10.1.3 UNCOATED WOODFREE 48.02.10/20/50 10.1.4 COATED PAPERS 48.09 48.10.10/20 10.2 SANITARY AND HOUSEHOLD PAPERS 48.03 10.3 PACKAGING MATERIALS 48.04.10/20/30/42/49/50 48.05.10/20/30/90 48.06.10/20/40 48.08 48.10.30/90 48.11.50 10.3.1 CASE MATERIALS 48.04.10 48.05.10/20/91 10.3.2 CARTONBOARD 48.04.42/49/50 48.05.92 48.10.32/39/92 48.11.50 10.3.3 WRAPPING PAPERS 48.04.20/30 48.05.30 48.06.10/20/40 48.08 48.10.31/99 10.3.4 OTHER PAPERS MAINLY FOR PACKAGING 48.05.93 10.4 OTHER PAPER AND PAPERBOARD N.E.S 480441.98 48.02.40 48.04.41 48.05.40/50 48.06.30 48.12/13 HS: The Harmonised Commodity Description and Coding Systems, a multipurpose international product nomenclature developed by the World Customs Organization (WCO), comprises up to six digits and is updated every 4 - 6 years. CN: The Combined Nomenclature of the EU is identical to the HS on the first six digits and comprises two extra digits, making it more detailed than the HS. It is updated and published every year. How to interpret the notation: The dots are used for readability and have no meaning. A code ending in " 0" means that all subcodes are to be included, e.g. 47.03.10 includes subcodes 47.03.11 and 47.03.19. If only 4 digits are indicated, all subcodes are included, e.g. 47.06 includes 47.06.10, 47.06.20, 47.06.30, and 47.06.90. Code numbers separated by " /" mean that all the following codes ending in the digits indicated (and their subcodes) are to be included. The term " ex" means that only part of the data available under a code is usable because the code encompasses a wider product range. For instance, " ex44.07.99" under " Sawnwood - of which tropical" means that only part of the data under HS-code 44.07.99 is usable, because insufficient detail is available. However, the table shows that CN code 440799.96 is sufficiently detailed to identify " Sawnwood - of which tropical" . In case even the CN is not detailed enough, bold print is used in the CN column. Many tropical timber products contain " ex" codes in the above list, since the HS explicitly recognises less than 100 tropical timber species. Species not explicitly recognised as tropical are grouped in " other" categories with non-tropical, non-coniferous timbers that are likewise not explicitly recognised by the HS (e.g. 44.07.99). Estimates of tropical timber trade totals therefore require that these " other" categories be analysed to ascertain how much of the total was sourced from tropical countries. This can only be done at country level; Eurostat produces ## Codes For The Jq3, Eu And Efta Countries JOINT FOREST SECTOR QUESTIONNAIRE Trade in Secondary Processed Wood and Paper Products CROSS REFERENCE between the HS (bold print) and the CN (normal print) C l a s s i f i c a t i o n s Code HS2007 CN 2012 HS2012 CN 2011 11 Secondary wood products 11.1 Further processed sawnwood 44.09.10 44.09.29 11.1.C Coniferous 44.09.10 11.1.NC Non-coniferous (Eurostat to attribute all of 440929 to 11.1.NC) 44.09.29 11.1.NC.T of which: Tropical ex440929 ex44.09.29 11.2 Wooden wrapping and packing equipment 44.15 44.16 11.3 Wood products for domestic/decorative use (excl. furniture) 44.14 44.19 44.20 11.4 Other manufactured wood products 44.17 44.21 11.5 Builder's joinery and carpentry of wood 44.18 94.01.60 ex 94.01.90 94.03.30/40/50/60 ex94.03.90 11.6 Wooden furniture 940190.30 (parts, of seats, of wood) 940390.30 (furniture, parts, of wood) 11.7 Prefabricated buildings 94.06 11.7.1 of which made of wood 940600.20 ex94.06 12 Secondary paper products 12.1 Composite paper and paperboard 48.07 12.2 Special coated paper 48.11.10/40/60/90 12.3 Carbon paper and copying paper, ready for use 48.16 12.4 Household and sanitary paper, ready for use 48.18 12.5 Packaging cartons, boxes, etc. 48.19 12.6 Other articles of paper or paperboard 48.14/15/17/20/21/22/23 12.6.1 of which printing & writing paper, ready for use 482390.40 ex48.23.90 12.6.2 of which articles, moulded or pressed from pulp 48.23.70 12.6.3 of which filter paper & paperboard, ready for use 48.23.20 HS: The Harmonised Commodity Description and Coding Systems, a multipurpose international product nomenclature developed by the World Customs Organization (WCO), comprises up to six digits and is updated every 4 - 6 years. CN: The Combined Nomenclature of the EU is identical to the HS on the first six digits and comprises two extra digits, making it more detailed than the HS. It is updated and published every How to interpret the notation: The dots are used for readability and have no meaning. A code ending in "0" means that all subcodes are to be included, e.g. 49.00 includes all codes from 49.01 to 49.11. If only 4 digits are indicated, all subcodes are included, e.g. 48.18 includes 48.18.10, 48.18.20, 48.18.30, 48.18.40, 48.18.50 and 48.18.90. Code numbers separated by "/" mean that all the follow ing codes ending in the digits indicated (and their subcodes) are to be included. The term "ex" means that only part of the data available under a code is usable because the code encompasses a wider product range. For instance, "ex94.06" under "Prefabricated buildings - of w hich made of w ood" means that only part of the data under HS-code 94.06 is usable, since mobile homes and prefabricated buildings of wood, iron or steel are all lumped together under that code. How ever, the table show s that the CN classification covers sufficient detail to identify "Prefabricated buildings of wood". In case even the CN is not detailed enough, bold print is used in the CN column. Many tropical timber products contain "ex" codes in the above list, since the HS explicitly recognises less than 100 tropical timber species. Species not explicitly recognised as tropical are grouped in "other" categories with non-tropical, non-coniferous timbers that are likewise not explicitly recognised by the HS. Estimates of tropical timber trade totals therefore require that these "other" categories be analysed to ascertain how much of the total was sourced from tropical countries. This can only be done at country level; Eurostat produces foreign trade data for all countries.

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Choose two modules from: RIMB 016 Design and management of records systems Aim To enable students to support the design, development and maintenance of records and record keeping systems based on the principles of information storage, retrieval and access Content Includes: characteristics of records and the implications for record keeping systems; systems analysis and design; application of principles of classification and indexing; design of corporate file structures; thesaurus implementation and use; corporate file structures; record creation formats; creating systems documentation; information security systems; operating existing systems and selecting and implementing new systems, legacy issues. RIMB 018 User services and user relations Aim To provide students with the skills needed to understand and accommodate the requirements of their clients in the record keeping context. Content Includes: Understanding user needs; approaches to quality in records management; developing and operating service level agreements; writing and implementing records management policies and procedures; developing user training programmes; marketing the records management service; strategies for ensuring user compliance. ARIM 010 Business archives* Aim To provide an in-depth view of practice in the business and corporate archives environment, and the nature of business archives and methods of exploitation. Content Includes: business and corporate archives in a range of contexts and settings; development of the modern corporation and associated records; compliance and accountability and business records; main types of business records; managing and promoting business archives. or ARIM 006* *Where appropriate (and after consultation with their mentor or line manager) students may select either of two ARIM modules from the parallel programme D/CPS: Archives and Records Management. These modules are available only by distance learning; there is no contact teaching associated with them. Choose two modules from: RIMB 019 Archives and permanent preservation Aims to develop an understanding of how to manage records selected for long term preservation, and of the relationship between current, semi-current and archival records. Content Includes: Conversion and migration strategies; conservation management; preservation issues, including permanent preservation of records media; acquisition policies and their Implementation; transfer to archives procedures, including physical transfer; archival description and descriptive standards; distributed custody options; access policies; user services in archives; national archival policies and networks; role of TNA. RIMB 017 Work-based, student-designed project Aims to allow the student to design and carry out an independent project within and relevant to the workplace Content Students will be expected to assess the feasibility of a project, to identify appropriate methodologies required to carry it out and to implement the project. Assessment will be on the basis of the project report (or other output as agreed) and on an assessment by the student of the success of the project RIMB 003 Principles and tools for information storage, retrieval and access Aims to introduce students to the theory and practice of logical storage and retrieval of information in a records context. Content Includes: cataloguing and metadata models; thesaurus construction; classification approaches; indexing systems; indexing languages and controlled vocabularies; search strategies and information retrieval (including natural language, free-text, Boolean and probability-based models); physical storage issues. ARIM 006 Archives as an information resource* Aims to introduce the student to the basic principles and practice of using archives for information and research, with guidance on locating and using external resources relating to archives. Content This module includes: principles and ethics governing the use of archives; how researchers use archives; elements of a successful research strategy; identifying the information potential of records; description of appropriate archival and other research resources; developing a work-place guide; use of archives in education; locating and using external sources about archives or ARIM 010* NOTE: all modules subject to availability. Semester choices may vary from that shown. Content is indicative I'm interested: what should I do now? Contact the Programme Administrator Sue Mulcahy for an application form or download one from the website. The application form will ask for details of your current and past experience and for names of two referees. Applications are considered after the closing date for applications. Priority is given to employees within central and local government and then within the public sector more widely. There is a maximum number of entrants (20) per year. DEADLINE FOR APPLICATIONS: 2 JULY 2010 Telephone 0151 794 2413 Web: http://www.liv.ac.uk/lucas/courses.htm E-mail sueb@liverpool.ac.uk Write to LUCAS, 9 Abercromby Square, Liverpool L69 7WZ Participating in this programme will enable you to gain or develop knowledge and skills in records and information management through a university-accredited award in the subject. The programme has been developed in consultation with The National Archives. ## Diploma/Certificate In Professional Studies: Records And Information Management Prospectus Records And Information Management Education For The Public Sector What does the programme aim to achieve? The programme aims to:  facilitate best practice in records and information management in government  develop the professionalism and expertise of government records staff equip government records staff with the range of skills needed for effective record- keeping  explain the broad national and international context for UK government records and information management  raise awareness across government of current developments in records management and government information policy  enable you to manage your own continuing professional development The University of Liverpool and records management education The University of Liverpool has delivered records and information management education by distance learning since 1999. Geared specifically towards the public sector, the Diploma/Certificate in Professional Studies: Records and Information Management programme has been developed in consultation with The National Archives (TNA). TNA actively supports the *D/CPS: RIM* as a career development tool within central government and the wider public sector. Is the programme suitable for me? The programme is suitable for anyone working within central government or the wider public sector, in a records and information management role, who wishes to:  gain an introduction to one or more records or information management topics or enhance and deepen existing skills or knowledge in the area  acquire a university accredited qualification Successful students receiving their awards at the 2008 IRMG conference from former TNA Chief Executive Natalie Ceeney. Don't worry if you have been out of formal education for some time: your current role, past experience, commitment and workplace support all play a major part in your ability to complete the programme successfully. A Study Skills Day gives guidance on learning and studying at a distance. ## Programme Structure Diploma/Certificate in Professional Studies: Records and Information Management The D/CPS: RIM is an undergraduate-level qualification (equivalent to the third year of an undergraduate honours degree) with a modular structure. For a Certificate you will need to complete four compulsory 15-credit modules, and for the Diploma a further four modules making a credit total of 120. Modules for students starting the programme in 2010/11 are described on the next two pages. It's also possible to take an individual module if you're uncertain about whether you want the whole award, gaining credits on successful completion. How does it work? Delivery of the modules is based on University semesters (September-January and February-July). At the beginning of each semester there will be a short (2-3 day) course, held usually in Liverpool, which introduces students to that semester's modules. For the remainder of the semester you will be studying on a distance learning basis in your own home or workplace, taking 10 weeks to complete each module. How long does it take? You can complete the Certificate in one year and the Diploma in two years. This is the recommended timescale. However you can spend up to two years studying for the Certificate, and four years for the Diploma if you wish. How long will I need to study for each module? As a rough guide, a student starting from scratch in terms of experience and knowledge should spend around 150 'learning hours' on each module over 10 weeks. This includes the introductory course and the preparation of an assignment. This time is likely to reduce where you have pre-existing experience and skills in the field. How is each module assessed? As the start of each module you will be given an assignment to be completed at the end of the 10-week period. The assignment tests your understanding of the module topic and demonstrates that you have achieved the stated learning objectives. Your mark for the assignment is the mark you receive for the whole module. Assignment questions are based on situations, procedures or issues that arise in the workplace. They usually take the form of reports or other documents which are routinely used in a working environment rather than the more academic essay-type assessment. ## Programme Components And Fees Study Skills Training Day, Liverpool, 20 September 2010 (To Be Confirmed) Study Skills Training Is Compulsory For Students Undertaking The D/Cps. It Forms The First Day Of The Introductory Course (20 September) Which Takes Place In Liverpool. The Aims Of The Day Are To  An Orientation Day at TNA introduces students to initiatives taking place at national level. They will also gain a better understanding of how their own department's work ties in with the work of TNA. The National Archives at Kew prepare students for studying at a distance  introduce the theory and practice of learning  provide an opportunity to develop study skills to support studying at a distance e.g. finding and using information, preparing for assessment, time management  identify the roles and responsibilities of learners, tutors and support staff. Semester 2 contact days, Liverpool, February 2010 (date to be confirmed) FEES How much does it cost? Fees for the D/CPS:RIM are calculated on a modular basis. The 2010/11 fee for each 15-credit module is £497 ** **Certificate** in Professional Studies = **£1,988** i.e. four 15-credit modules @ £497 Diploma in Professional Studies = **£3,976** i.e. Certificate + a further four 15-credit modules @ £497 Contact courses and the Orientation Day are included in the module fees. Students will be expected to meet their own accommodation and travel expenses as necessary. The day provides the opportunity to meet tutors and administrators, and, most importantly, the students who will form your cohort as you progress through the programme. Semester 1 contact days, Liverpool, 21-22 September 2010 (to be confirmed) An introduction to Modules RIMB001 and 002 and an opportunity to discuss some of the issues involved. The National Archives Orientation Day, Kew, 9 November 2010 ** All module fees are liable to an annual increase in line with University tuition fee increases. ## Certificate Modules (Year 1) Semester 2 Semester 1 Business Continuity Planning And Business Resumption. Rimb01 Introduction To Records And Information Management Rimb 14 Compliance And The Regulatory Environment Aim To Demonstrate The Importance Of Compliance Within The Organisational Context And To Understand The Organisational Regulatory Environment And The Relevant Implementation Of Records And Information-Related Legislation Aim This module forms an introduction to the programme and provides an overview of the purpose and nature of records and information and their management, and the sectoral, national and international context of government records and information management. Content Includes: concepts and definitions of records and information management and related disciplines; an overview of the nature of records and information management programmes and their staff, and the particular challenges presented by the electronic environment; an examination of the justification for records and information management; an introduction to legal issues associated with records and information management; an introduction to working with users, and an overview of current professional issues. ## Rimb02 Principles And Tools For Managing Records Aim To Equip Students With Generic Tools For Managing Records In An Organisational Context. Content Includes: FOI and Data protection: access v privacy issues; the role of the record manager in ensuring organisational compliance; legal issues within the life-cycle framework; legal admissibility and the electronic environment; standards, guidance and best practice. RIMB 15 Principles and practice of appraisal Aim To enable students to understand appraisal theories and methodologies and how these may be applied within the RM programme. Content Includes : Approaches to appraisal (including TNA appraisal policy); legal and regulatory issues and risk assessment; connections with functional analysis; assigning value to record series; vital records identification; retention scheduling methodologies; documenting appraisal Note: all Certificate modules are compulsory. Content description is indicative Content Includes: Business process analysis; functional analysis; conducting records audits; mapping information flows; conducting a user needs analysis; systems design methodologies; organisational structures and cultures and their implications for records management; risk analysis and risk management in a records management context and

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## Heritage Statement Sandyford Brook Restoration Project Historic environment input to planning application to replace the modern wooden footbridge and create a pitched stone surface for a length of steep incline footpath at the Sandyford Brook near Curbar Gap Mitigation Proposal Bearing in mind the conditions of the consent for the proposed works from Historic England, within Appendix 1, it is proposed that: (i) All those involved in the implementation of the works will be informed that areas of the land on which they will be working is designated as a scheduled monument under the Ancient Monuments and Archaeological Areas Act 1979 (as amended) and that specific consent conditions have been detailed by Historic England. (ii) The boundary of the scheduled monument directly affected by the works and the scheduled monument in the vicinity of the area of works will be delineated on the ground just outside the actual SM areas, to ensure that all personnel are aware of their extreme sensitivities. (iii) Any undesignated features within 30m of the zone of intervention will also be delineated to ensure that they are not damaged in any way. (iv) Equipment and machinery will not be used or operated in the scheduled areas in conditions or in a manner likely to result in damage to the monument or ground disturbance other than that which is expressly authorised in this consent. (v) Equipment and machinery will not be used across known undesignated archaeological sites; a map will be provided to all operatives that shows the exclusion zones that will be marked on the ground for the duration of the works, as well as the archaeological sites further afield. (vi) Operatives will be inducted as to the types of archaeological discoveries that may be made during the works. There will be a clear written procedure in place to ensure that (vii) below is fulfilled. (vii) Any discoveries of archaeological interest made during the consented works will be reported immediately to the Historic England Inspector of Ancient Monuments and the appropriate Peak District National Park Authority and National Trust archaeological curators. (viii) There shall be an archaeologist on site during the works to ensure that any archaeological features exposed during the groundworks, are fully recorded and interpreted in accordance with the Chartered Institute for Archaeologists 'Standards and guidance for archaeological watching briefs' (CIfA, 2014). 1 Historic environment legislation, policy and guidance Scheduled monument legislation Refer to the SMs - the proposed works will have a direct impact on one of the scheduled monuments (NHLE 1004599 - an extensive archaeological landscape) and could possibly affect another (NHLE 1017109 - a cairnfield and field system). Guidance Historic England has issued a range of Good Practice Advice in 2015 and various Advice Notes in 2015 and 2016. Standards and guidance are also provided by the Chartered Institute for Archaeologists. 2 Archaeological heritage statement 2.1 Introduction The Eastern Moors Partnership took on the lease for land management of the Big Moor and Curbar area in 2011 and noted this area as a key footpath for access from the largest public carpark at Curbar Gap. The track has been existing for a number of years although the condition has particularly begun to deteriorate over the last halfdecade. There are a number of known archaeological sites within 100m of the area of intervention, both within and outside the boundaries of the SMs, as visible within Plan A in section 2.3. That the only visible features that could be directly affected by the proposed works are comparatively short sections of the braided track/hollow ways that the footpath crosses, and the wooden footbridge - the latter being a 1980s insert that is now ready for replacement. It is our opinion that the settings of the two scheduled monuments and other archaeological features in the area will not be significantly affected by the proposals, and Historic England also considers the effect of the proposed works upon Scheduled Monument 1004599 to be beneficial for the preservation of the monument and unlikely to damage archaeological remains (see Appendix 1). 2.2 Specific location The severely eroded footpath from OS grid ref SK 26622 74979 to SK 2679 75116, 150m in length and now >3m in width, is part of the route from Curbar Gap to White Edge. 2.3 Heritage assets close to the proposed area of works - sources of info It is recognised that the proposed area of works lies within a very rich historic environment, with a vast designated archaeological landscape immediately to the north, north-west and north-east, and a smaller scheduled area to the east-southeast. The data presented is based on archaeological desk-based assessments derived from the National Trust's Sites and Monument Records (SMR) database, the County HER, Historic England's National Heritage List of England and an ArcHeritage survey commissioned in 2011. All sites in the area have been considered during this desk-based assessment seen in map view below. In addition, specific heritage assets within 100m of the proposed area of works have been listed in detail. They include 2 scheduled monuments, 16 individual sites, a number of banks and hollow ways, a small area of ridge and furrow, and field walls associated with agricultural improvement. 2.4 Historic environment features This district of the National Park is part of an extensive prehistoric and historic landscape that has survived across similar areas of unenclosed farmland in the Peak District. It is visually obvious that this landscape has been occupied and traversed for millennia. Elements of the range of features in this wider landscape are reflected in the immediate area of proposed works. Within 100m of the zone of intervention there are features associated with 2nd World War training activities, infrastructure relating to post-medieval farming, medieval and later transport routes, and prehistoric farming and settlement. 2.4.2 Archaeological and historical background: Eastern Moors The archaeology of the Eastern Moors before c2,300BC While Palaeolithic artefacts have been found in the Peak District, none are known from the Eastern Moors estate. However, Mesolithic flint scatters dating to the period 10–6,000BC, have been found around the edges of the area, as a result of major moorland fires and as chance finds. Palaeo-environmental studies indicate that during the Mesolithic period this was largely an area of deciduous woodland, although the edges may have been open, while blanket peat was forming over parts of the open tops. Hunter-gatherers clearly used the resources of this landscape. The Neolithic first farmers have also left no upstanding evidence of their communities across the estate, although flint and stone artefacts have been found around the edges and on Big Moor and Ramsley Moor. Evidence of prehistoric land-use since c2,300BC It has to be presumed that some of the archaeological evidence associated with the first two millennia BCE had its origins in the preceding millennium. However, most of the prehistoric sites on the Eastern Moors estate have been dated to the Bronze Age and early Iron Age (2,300–500BC). Vast tracts of the landscape bear witness to small, dispersed settlements and farming, with the remains of round houses, cairnfields and field systems, as well as burial cairns or barrows and embanked stone circles. This density is reflected in the considerable number Scheduled Monuments across the estate and their large extent, particularly that of Big Moor (NHLE1004599). The results of the excavations at Gardom's Edge provide a significant glimpse of this period of land use. Good agricultural land for crops or grazing would have been re-used for generations, the sandy soils on the gritstone being particularly suitable for prehistoric farming. Whether the field systems can be associated with permanent or shifting settlement is not known. Less fertile ground would clearly have been more short-term in its agricultural use, presumably reflecting a need to take in more land due to population pressures. These areas must have been far less sustainable. However, there have been few archaeological excavations in the area and therefore few opportunities to clarify details, although the work at Eyam Moor did extend the period range of one such site back into the Neolithic. Towards the other end of the prehistoric period, during the later Iron Age, it seems that there was a change in land use across the Eastern Moors. Environmental evidence for this period indicates that woodland cover receded and today's open heather moorland began to predominate. This may have been due to climate change and a decrease in population. In addition, it could reflect changing agricultural practices: a result of unrestricted grazing when farmsteads were abandoned. Bronze Age burial mounds (dating to c2,300–1500BC) are a significant element in the landscape, confirming ancestral rights to lands as well as acting as foci for ritual and social gatherings. They are usually located at the edge of fields or in visually striking positions, such as that on the ridge above Curbar Gap. Romano-British and medieval times There is very little evidence of settlement across the Peak District during the Romano-British period and none on the Eastern Moors estate. Presumably the area was unsuitable for agriculture. Most of the Eastern Moors had become the open moorland of today which, in the medieval period, is characterised as one of commons and wastes, used for grazing stock and the extraction of natural resources, including peat, stone and possibly coal. The topography of the edges was also used for lead smelting - the ore being brought to the bole furnaces. At Curbar Edge, however, there is slight evidence of medieval ridge and furrow agriculture surviving in one of the rectilinear fields that were enclosed in the postmedieval period. Perhaps this area was one where settlement and agriculture continued sporadically throughout the historic period. Instead of the farmsteads with their field systems which typified the area during the 2nd and part of the 1st millennia BC, the landscape is criss-crossed by pack horse and foot transport routes across the moors. Braided tracks and hollow ways now define these paths on steep inclines and lesser slopes, although whether all such routes were used during this period is not known. Four of the routes cross the Big Moor or pass along White Edge to meet at Curbar Gap. The north-easterly track from Curbar Gap crosses the moor and then follows the Barbrook; its route is marked by guide stoops of medieval or post-medieval date. A few medieval waymarker and boundary crosses also survive, and certain slab (clapper) bridges probably originated in this period. Some of these are Scheduled Monuments. The post-medieval period - after 1500AD Most of the wastes and commons of Eastern Moors remained unenclosed, although there are a few areas of agricultural enclosure that were created in the 18th and 19th centuries, such as the rectilinear fields close to Curbar Gap. In the main, however, the land either continued to be grazed, as is evidenced by the sheepfolds and isolated enclosures, or large swathes of ground were enclosed at the behest of the Duke of Rutland so that the estate could be used for grouse shooting. It is post-medieval quarrying, mining and lead smelting that has had the greatest visual impact on the Eastern Moors. There is plenty of evidence of stone extraction, millstone quarrying, coal and ganister mining. Lead smelting ore hearths survive, the complexes using water to power the furnace bellows, date to the 16th–18th centuries. The trackways and subsequent turnpike, metalled roads facilitated transportation of the products of extraction and smelting, resulting in the abandonment of some hollow ways across the moors. Then, in the late-1800s, the railway tunnel between Totley and Grindleford was constructed, enabling transport to Sheffield and Manchester. Associated features on this northern part of the moors included the sighting towers and air shafts, of which little survives upstanding. By contrast, there is much evidence of First and Second World War use of Eastern Moors as infantry training grounds. Bullet holes and mortar scars on boulders and rock outcrops, as well as gun emplacements, practice trenches and foxholes, are commonplace; there is also an extensive rifle range close to the north. 2.4.3 Archaeological and historical background: Big Moor and Curbar Gap The following extract from the ArcHeritage Historic Landscape Survey Report of 2011 (sections 6.3.4 and 6.3.7) provides an overview of this area: "This very large parcel contains a large number and variety of archaeological features representing a palimpsest of considerable time depth. There are several dense complexes of Bronze Age to Iron Age field systems with scattered settlement sites and funerary and ritual monuments. Most of these have scheduled monument status. Medieval features are represented by a large concentration of hollow ways in a variety of routes, including at least one medieval stone cross, which may be a boundary marker as well as a direction stone. The routes represented by the hollow ways continued to be used throughout the post-medieval period, and there are also several post-medieval direction stones on the moor. Several paved paths ('causeys') are also present on the moor, usually associated with hollow way routes. Quarrying occurs widely across the moor, mainly in relatively small quarrying episodes, though with some larger quarries on the edges and ridge tops. Modern features include military training trenches and bullet and mortar scars from target practice. These appear to date mainly to World War II. There are also features associated with the early 20th century reservoirs towards the northern end of the moor. Areas of palaeo-environmental potential have been defined on Big Moor, including Lucas Moss at the top of White Edge, and Stoke Flat, which appears to have relatively recent drainage, as well as areas of smaller peat bog on the higher ground in the centre of the moor and in the vicinity of streams." The eastern group of early 19th century enclosed fields at Curbar Gap includes an area of faint ridge and furrow cultivation of uncertain date. 2.4.4 Specific archaeological features in the vicinity of the proposed footpath works A very small part of the Big Moor scheduled monument (NHLE1004599) is directly affected by the proposed works. The braided trackway that is to be repaired (NT204917) is one of two known features within the scheduled monument that will be impacted by the footpath improvements. The modern timber bridge (NT204916) that is to be replaced also lies within the scheduled area. The methodology to minimise the impacts is given below. The Eastern Moors Partnership will commission an archaeological contractor to undertake a watching brief during disturbance to the current ground surface, which will take place as a single exercise. Beyond the zone of intervention there are various other sites, all of which will be protected, also as outlined below. Known archaeological features around the zone of intervention The following are National Trust SMR site numbers, with a concordance to the Derbyshire Council HER site numbers NW of the footpath outside the scheduled monument - features associated with preand post-improvement fields NT204551 two stone gateposts - part of drystone field wall NT204552 (MDR19328) demolished 19th century outfarm building NT204553 possible hollow way/trackway within improved field, though an alternative interpretation for this feature is that it could be the eroded remains of ridge and furrow, as it is on the same alignment as NT204552 in the same field NT204647 stone gatepost - part of drystone field wall NT205768 ridge and furrow on pre-improvement N-S alignment overlain by rectilinear fields bounded by drystone walls MDR 7605 (HER4508) post-medieval rectilinear earthwork enclosures, sub-divided internally by field banks - that marked on Plan B below is presumably in addition to those recorded on Ordnance Survey maps. SW of footpath outside the scheduled monument - post-medieval features, presumably associated with constructing the field walls and/or repairing the footpath/trackway NT204920 a small stone quarry pit NT204921 a small stone quarry pit NT204922 an area of flat stones, reflecting footpath improvement or drainage works S of footpath outside the scheduled monument - features associated with a postmedieval sheepfold NT204911 (part of HER4507) stone and earth bank aligned NE-SW presumably associated with the sheepfold NT204912 NT204912 (part of HER4507) post-medieval sheepfold NT204913 (part of HER4507) stone gatepost set into S end of bank NT204914 NT204914 (part of HER4507) stone and earth bank aligned N-S presumably associated with the sheepfold NT204912 NT204915 (part of HER4507) a length of curvilinear bank from SW to NE E of footpath within the scheduled monument - features related to World War II training exercises NT203949 short section of hollow way NT203623 World War II slit trench NT203624 World War II slit trench NT203625 WW2 bullet scars on natural boulder NT203626 WW2 bullet scars on natural boulder NT203627 World War II slit trench NT203628 World War II slit trench NT203629 World War II 'fox hole' trench NE of footpath within the scheduled monument - features NT202933 small trench of unknown function NT202934 WW2 bullet scars on natural outcrop NT202935 short stretch of worn slabs with robber trench to west NT202936 small stone cairn with possible guidestone (HER15848) in centre NT202938 (HER1377) large ring cairn on outcrop immediately N of NT202934 which is half destroyed by the pack horse routes that cross this area All of these site types are characteristic of this part of the Peak District and as such are of local and/or regional archaeological significance. 3 Archaeological significances Statement of significance The development site falls within Scheduled Monument 1004599 and is an area recognised to be of national significance for its well preserved prehistoric field and settlement remains. Historic England has granted Scheduled Monument consent for the work (see Appendix 1) as they consider the effect of the works upon the monument to be beneficial for its long-term preservation and unlikely to damage the archaeological remains. 4 The proposed works The pitched stone path will be constructed using local/same geology stone as the adjacent stone walls and will appear similar to other examples of this form of path in the vicinity. The footbridge will take the form of a clapper-style bridge using more appropriate and hardwearing materials than the existing, again providing a more congruous appearance with stone to match the surroundings. Existing and initial replacement bridge concept design 5 Archaeological implications and actions A short 100-150m length of the proposed path lies within the scheduled area of SM 1004599 and access will be required to prepare the actual path route, as well as to offload the stone for the pitching and construct it, although the majority of the work shall be undertaken within the path area itself. The scheduled monument SM1017109 is located 150m from the works area. Scheduled monument consent has been granted for the proposed works with certain conditions, included Appendix 1. 5.1 *The braided trackway* The only known archaeological feature that will be directly affected by the proposed works is the braided track (*NT204917*). The current footpath uses part of the route of the braided track which, by its very nature, is made up of a series of ways. These are more or being negatively affected by the increasingly damaging erosion of the path. The current state of affairs is a continuation of that which led to the creation of the numerous braids to the trackway in the first place. However, it is understood that today's level of use is such that without the construction of a dedicated route with a hard surface the area will become impassable because it is so steep and of poor quality eroded surface. The proposed works are intended to ensure that the width and depth of the erosion scar does not increase and affect even more of this archaeological feature. It is expected that the preservation of most of the existing braided trackway will be secured for the future by the construction of this 1000mm wide pitched stone path and re-establishment of topsoil and vegetation adjacent. The eroded path lies parallel to the recently rebuilt/repaired stone wall that forms part of the rectilinear field boundaries immediately to the north-west. Arguably, the pitched stone of the proposed path surface will mirror these existing stone features. It is therefore suggested that the visual impact on the setting of this element of the landscape will hardly be affected. There is a requirement for vehicle movements to access the sites to bring materials and tools. These movements shall be kept to a minimum and will not go over the Scheduled Monument or any of the other archaeological features. The use of lowimpact vehicles and single person hand or powered wheelbarrows will be preferred where possible and bog mats are proposed for any heavier loads. The vehicle route will be monitored and a staggered approach be used to allow the surface to recovery as the vehicle movements are also intended to be spread over a number of months. 5.2 The other known archaeological features adjacent to the zone of intervention There are various other known archaeological features adjacent to the line of the proposed pitched stone path. There is no reason to think that these will be impacted by the proposed works. To ensure that this is indeed the case the boundaries of the archaeological features within 30m of the works area will be marked with narrow-diameter rods / electric fencing canes and exclusion tape. 5.3 The timber footbridge Although this footbridge (*NT204916*) is included in the Sites and Monument Record managed by the National Trust, it is not regarded as being of specific historic significance. It was comparatively recently that this timber bridge was constructed (the 1980s). It is thought that the stream may originally have been forded at various places along the full width of the braided trackway. A stone crossing may eventually have been constructed if the ford became so eroded that crossing on foot became dangerous. Alternatively, a broad clapper bridge may have been needed if wheeled traffic started to use the trackway. However, no evidence of such a feature survives. It is therefore suggested that a replacement stone clapper-style footbridge will be a pragmatic solution to the need to replace the current crossing and will also be in keeping with the landscape. 6 Detailed mitigation proposals A construction method statement which details the extent of the works has been prepared and will be issued to all site staff involved as well as being reviewed at site preparation meetings. This includes the below working methodology with further information of direct mitigation as follows: Any members of staff believe they may have identified any archaeological interest or unknown potential for, shall make the lead site manager aware and works in that area shall cease. Clarification shall then be sought from archaeological specialists before work can commence subject to the outcome of further investigation as required. 7 Bibliography Article in serial: Barnatt, J. 1986. 'Bronze Age remains on the East Moors of the Peak District', Derbyshire Archaeological Journal. Volume 106, pp 18-100. p 43; Fig. 15 Scheduling record: English Heritage. 1999. Cairnfield and field system 450m SW of Swine Sty. 31257. Cat. No.: 457 Unpublished document: Wyatt, S (PDNPA). 2010. Scheduled Monument Monitoring Form: Cairnfield and field system N of Eaglestone Flat, 450m SW of Swine Sty. Unpublished document: Barnatt, J (PDNPA). Descriptive text on monuments in the Peak District. Bibliographic reference: Walsh, T.. 1976. Walsh 1976. P47, fig 16. Article in serial: Barnatt, J (PPJPB). 1995. 'Neolithic and Bronze Age radiocarbon dates from the Peak District: a review', Derbyshire Archaeological Journal. Vol 115, pp 5-19. p.11-12 Verbal communication: Myers, A. 1983. Personal Observation. Unpublished document: Ainsworth, S & Barnatt, J. 1998. An Archaeological Survey of the Scheduled Landscape on Big Moor and Ramsley Moor. Unpublished document: Peak District National Park Authority (PDNPA). Parish file. Sketch plan: Butcher, 1-24 Ms Rosalind Buck Direct Dial: 01604 735460 National Trust Hardwick Consultancy Office Our ref: S00175480 The croft, Doe Lea Chesterfield Derbyshire S44 5QJ 25 October 2017 Dear Ms Buck Ancient Monuments and Archaeological Areas Act 1979 (as amended); Section 2 control of works Application for Scheduled Monument Consent PREHISTORIC BIG MOOR & RAMSLEY AREA, DERBYSHIRE Scheduled Monument No: SM DR 136, HA 1004599 Our ref: S00175480 Application on behalf of The National Trust (Eastern Moors Partnership) 1. I am directed by the Secretary of State for Digital, Culture, Media & Sport to advise you of the decision regarding your application for Scheduled Monument Consent received 1 September 2017 in respect of proposed works at the above scheduled monument concerning the installation of stone pitching to restore a section of footpath and the replacement of the existing wooden bridge over Sandyford Brook with a stone clapper bridge of a single span and no central pier. The works were detailed in the following documentation submitted by you: Scheduled Monument Consent Application Form Eastern Moors Partnership. 2017. Design and Access Statement: Sandyford Brook Restoration (draft) Location plan 1 - showing full extent of Scheduled Monument 1004599 Location plan 2 - showing extent of the Sandyford Brook application site overlain by the National Trust's HBSMR data. 2. In accordance with paragraph 3(2) of Schedule 1 to the 1979 Act, the Secretary of State is obliged to afford you, and any other person to whom it appears to the Secretary of State expedient to afford it, an opportunity of appearing before and being heard by a person appointed for that purpose. This opportunity was offered to you by Historic England and you have declined it. 3. The Secretary of State is also required by the Act to consult with the Historic Buildings and Monuments Commission for England (Historic England) before deciding whether or not to grant Scheduled Monument Consent. Historic England considers the effect of the proposed works upon the monument to be beneficial for the preservation of the monument and unlikely to damage archaeological remains; there is no requirement for archaeological recording. I can confirm that the Secretary of State is agreeable for the works to proceed providing the conditions set out below are adhered to, and that accordingly Scheduled Monument Consent is hereby granted under section 2 of the 1979 Act for the works described in paragraph 1 above, subject to the following conditions: (i) The works to which this consent relates shall be carried out to the satisfaction of the Secretary of State, who will be advised by Historic England. At least 2 weeks' notice (or such shorter period as may be mutually agreed) in writing of the commencement of work shall be given to tim.allen@historicengland.org.uk in order that an Historic England representative can inspect and advise on the works and their effect in compliance with this consent. (ii) All those involved in the implementation of the works granted by this consent must be informed by the National Trust that the land is designated as a scheduled monument under the Ancient Monuments and Archaeological Areas Act 1979 (as amended); the extent of the scheduled monument as set out in both the scheduled monument description and map; and that the implications of this designation include the requirement to obtain Scheduled Monument Consent for any works to a scheduled monument from the Secretary of State prior to them being undertaken. (iii) Equipment and machinery shall not be used or operated in the scheduled area in conditions or in a manner likely to result in damage to the monument or ground disturbance other than that which is expressly authorised in this consent. (iv) Any discoveries of archaeological interest made during the consented works shall be reported immediately to the Historic England Inspector of Ancient Monuments and the appropriate Peak District National Park Authority and National Trust archaeological curators. 4. By virtue of section 4 of the 1979 Act, if no works to which this consent relates are executed or started within the period of five years beginning with the date on which this consent was granted (being the date of this letter), this consent shall cease to have effect at the end of that period (unless a shorter time period is set by a specific condition above). 5. This letter does not convey any approval or consent required under any enactment, bye law, order or regulation other than section 2 of the Ancient Monuments and Archaeological Areas Act 1979. 6. Your attention is drawn to the provisions of section 55 of the 1979 Act under which any person who is aggrieved by the decision given in this letter may challenge its validity by an application made to the High Court within six weeks from the date when the decision is given. The grounds upon which an application may be made to the Court are (1) that the decision is not within the powers of the Act (that is, the Secretary of State has exceeded the relevant powers) or (2) that any of the relevant requirements have not been complied with and the applicant's interests have been substantially prejudiced by the failure to comply. The "relevant requirements" are defined in section 55 of the 1979 Act: they are the requirements of that Act and the Tribunals and Inquiries Act 1971 and the requirements of any regulations or rules made under those Acts. Yours sincerely Tim Allen Inspector of Ancient Monuments E-mail: tim.allen@HistoricEngland.org.uk For and on behalf of the Secretary of State for Digital, Culture, Media and Sport cc Natalie Ward, Senior Conservation Archaeologist, Peak District National Park Authority

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| SUPPLIER NAME | PORTFOLIO | COST CENTRE | EXPENDITURE CLASS | POST. DATE | AMOUNT | REF. | |------------------------------------------|--------------------------------|--------------------------------|--------------------------------|--------------|-----------|--------| | AA SHOPFITTING & BUILDING SERVICES LTD | Finance, Efficiency & Assets | The Pavillion - Land And Build | Pla: Redecoration - External | 11/11/2014 | 3,500.00 | 122851 | | AA SHOPFITTING & BUILDING SERVICES LTD | Health Improvement & Leisure | The Pavilion | Hired Services | 11/11/2014 | 720.00 | 122851 | | AA SHOPFITTING & BUILDING SERVICES LTD | Health Improvement & Leisure | The Pavilion | Hired Services | 11/11/2014 | 285.00 | 122572 | | A B WALLACE TROPHIES LIMITED | Health Improvement & Leisure | Local Sports Alliance | Materials - Purchase | 26/11/2014 | 266.67 | 123487 | | ACTIVE ARTS GROUP | Health Improvement & Leisure | Leisure Dev. - Arts & Heritage | Project/Initiatives Fees | 26/11/2014 | 1,250.00 | 123609 | | AC TRAINING SERVICES | N'Hood & Env. Health Services | Vehicle Maintenance | Seminars & Short Training | 12/11/2014 | 2,741.55 | 122634 | | ADVANCED BUSINESS SOLUTIONS | Finance, Efficiency & Assets | Financial Services | Software Maintenance | 25/11/2014 | 14,315.20 | 123469 | | ALLPAY LIMITED DIRECT DEBIT ACCOUNT | Finance, Efficiency & Assets | Banking Charges | Transaction Costs - All Pay | 06/11/2014 | 1,503.72 | 122570 | | ALL SAINTS CHURCH | N'Hood & Env. Health Services | Car Parks | Rent Payments | 13/11/2014 | 1,500.00 | 122878 | | ANCHORPRINT GROUP LIMITED | Health Improvement & Leisure | Corporate Health Improvement | Project/Initiatives Fees | 26/11/2014 | 294.59 | 123543 | | ANCHORPRINT GROUP LIMITED | Leader | Performance Management | Outside Printing | 12/11/2014 | 700.00 | 122961 | | ARCO LTD | N'Hood & Env. Health Services | Non-Kerbside Recycling Prom. | Site Works | 05/11/2014 | 888.75 | 122624 | | ARTYLOON | Other | General Fund Balance Sheet | Creditors - Dep-Citizen Of Yr | 12/11/2014 | 366.00 | 122264 | | AUTOMATIC DOORS LTD | Finance, Efficiency & Assets | Council Offices & Land | Cyc: Auto Doors & Barrier Serv | 19/11/2014 | 325.00 | 122864 | | BLABY AUDIO VISUAL LIMITED | Finance, Efficiency & Assets | Council Offices & Land | Rea: Electrical | 14/11/2014 | 373.77 | 122818 | | BRAUNSTONE TOWN COUNCIL | Other | General Fund Balance Sheet | Commuted Sums - Open Spaces | 06/11/2014 | 1,000.00 | 122529 | | BRITISH TELECOM PLC | Partnerships & Corp. Services | Ict Services | Telecoms - Calls | 27/11/2014 | 2,103.79 | 123451 | | BRITISH TELECOM PLC | Partnerships & Corp. Services | Ict Services | Telecoms - Internal | 27/11/2014 | 5,930.50 | 123451 | | BROOK STREET UK LIMITED | N'Hood & Env. Health Services | Building Control Division | Temporary/Casual Staff | 20/11/2014 | 319.77 | 122665 | | BROOK STREET UK LIMITED | N'Hood & Env. Health Services | Building Control Division | Temporary/Casual Staff | 20/11/2014 | 339.15 | 123009 | | BROOK STREET UK LIMITED | N'Hood & Env. Health Services | Building Control Division | Temporary/Casual Staff | 20/11/2014 | 314.92 | 123207 | | BROOK STREET UK LIMITED | N'Hood & Env. Health Services | Building Control Division | Temporary/Casual Staff | 25/11/2014 | 339.15 | 123524 | | BROOK STREET UK LIMITED | Partnerships & Corp. Services | Local Land Charges | Gross Pay | 06/11/2014 | 239.82 | 122660 | | BROOK STREET UK LIMITED | Partnerships & Corp. Services | Local Land Charges | Gross Pay | 19/11/2014 | 217.20 | 122985 | | BROOK STREET UK LIMITED | Partnerships & Corp. Services | Local Land Charges | Gross Pay | 25/11/2014 | 248.87 | 123483 | | BROXAP LIMITED | Other | General Fund Balance Sheet | In Year Capital Additions | 20/11/2014 | -414.00 | 123178 | | BROXAP LIMITED | Other | General Fund Balance Sheet | In Year Capital Additions | 20/11/2014 | 414.00 | 123196 | | CAPACITYGRID | Finance, Efficiency & Assets | I&E Account - General Fund | Provision Amounts | 20/11/2014 | 11,303.62 | 121611 | | CAPACITYGRID | Finance, Efficiency & Assets | I&E Account - General Fund | Provision Amounts | 20/11/2014 | 3,498.73 | 121919 | | CAPACITYGRID | Finance, Efficiency & Assets | I&E Account - General Fund | Provision Amounts | 20/11/2014 | -318.07 | 122559 | | CAPITA BUSINESS SERVICESLTD | Finance, Efficiency & Assets | Banking Charges | Transaction Costs - Cards | 20/11/2014 | 1,506.73 | 123203 | | CHARLES HOLLAND | Other | General Fund Balance Sheet | In Year Capital Additions | 06/11/2014 | 1,820.00 | 122621 | | CHARLES HOLLAND | Other | General Fund Balance Sheet | In Year Capital Additions | 06/11/2014 | 2,565.00 | 122622 | | CILEX LAW SCHOOL | Leader | Staff Training And Development | Training Costs | 27/11/2014 | 1,104.17 | 122816 | | CLOCKWISE | Other | General Fund Balance Sheet | Deductions - Clockwise | 27/11/2014 | 530.00 | 123538 | | SUPPLIER NAME | PORTFOLIO | COST CENTRE | EXPENDITURE CLASS | POST. DATE | AMOUNT | REF. | |----------------------------------------------------------------------|--------------------------------|--------------------------------|--------------------------------|--------------|----------|--------| | CONNEXION 2 | Other | General Fund Balance Sheet | Control A/C - Solo Protect | 06/11/2014 | 701.80 | 122308 | | CORNFLOWERS CATERING | Community Services | Police & Crime Comm. Funding | Project/Initiatives Fees | 13/11/2014 | 210.00 | 122549 | | CVN PROPERT REPAIR SERVICES | Other | General Fund Balance Sheet | In Year Capital Additions | 05/11/2014 | 4,928.00 | 122649 | | DAISY COMMUNICATIONS LIMITED | Partnerships & Corp. Services | Ict Services | Telecoms - Calls | 13/11/2014 | 1,097.28 | 122848 | | DAVID KIRTON DESIGNS | Other | General Fund Balance Sheet | In Year Capital Additions | 13/11/2014 | 258.85 | 122651 | | DAVID KIRTON DESIGNS | Other | General Fund Balance Sheet | In Year Capital Additions | 19/11/2014 | 380.50 | 123263 | | DAVID KIRTON DESIGNS | Other | General Fund Balance Sheet | In Year Capital Additions | 19/11/2014 | 228.60 | 123322 | | DENNIS EAGLE LTD | N'Hood & Env. Health Services | Vehicle Maintenance | Normal Repairs | 13/11/2014 | 437.57 | 122493 | | DENNIS EAGLE LTD | N'Hood & Env. Health Services | Vehicle Maintenance | Normal Repairs | 25/11/2014 | 234.50 | 123489 | | D H PEPPER & SON | N'Hood & Env. Health Services | Refuse Coll & Domestic Recyc | Composting Fees | 12/11/2014 | 5,330.59 | 122635 | | DISCLOSURE & BARRING SERVICE | Other | General Fund Balance Sheet | Misc - Criminal Records Bureau | 06/11/2014 | 279.00 | 122664 | | DOG SQUAD | N'Hood & Env. Health Services | Control Of Dogs | Small Misc Contracts | 19/11/2014 | 936.00 | 122846 | | D P CONSTRUCTION | Other | General Fund Balance Sheet | In Year Capital Additions | 19/11/2014 | 5,883.30 | 123261 | | EARTH ANCHORS LTD | N'Hood & Env. Health Services | Grounds Maintenance Service | Countryside Areas Maintenance | 06/11/2014 | 915.50 | 122637 | | EDDISONS COMMERCIAL PROPERTY MANAGEMENT Finance, Efficiency & Assets | Council Offices & Land | Recharged Insurances | 27/11/2014 | 406.25 | 123520 | | | EDDISONS - STANDING ORDER ACCOUNT | Finance, Efficiency & Assets | Council Offices & Land | Rent Payments | 27/11/2014 | 4,187.50 | 123519 | | ELECTORAL REFORM SERVICES | Leader | Register Of Electors | Hired Services | 13/11/2014 | 2,719.02 | 122966 | | ENDERBY PARISH COUNCIL | Finance, Efficiency & Assets | Open Spaces Management | Parish Councils | 13/11/2014 | 712.28 | 123000 | | ESPO | Finance, Efficiency & Assets | Council Offices & Land | Gas | 20/11/2014 | 1,247.33 | 123188 | | ESPO | Finance, Efficiency & Assets | Littlethorpe Depot | Gas | 20/11/2014 | 287.84 | 123187 | | ESPO | Finance, Efficiency & Assets | The Pavillion - Land And Build | Gas | 20/11/2014 | 404.11 | 123186 | | FAROL LIMITED | N'Hood & Env. Health Services | Grounds Maintenance Service | Mobile Equipment | 12/11/2014 | 1,455.00 | 122509 | | FAROL LIMITED | N'Hood & Env. Health Services | Highway Cyclic Main Ptnership | Running Costs | 25/11/2014 | 543.42 | 123229 | | FAROL LIMITED | N'Hood & Env. Health Services | Highway Cyclic Main Ptnership | Running Costs | 25/11/2014 | 223.01 | 123225 | | FAROL LIMITED | N'Hood & Env. Health Services | Vehicle Maintenance | Normal Repairs | 25/11/2014 | 400.00 | 123470 | | F G MOSS & SON | Other | General Fund Balance Sheet | In Year Capital Additions | 12/11/2014 | 955.00 | 122870 | | F G MOSS & SON | Other | General Fund Balance Sheet | In Year Capital Additions | 26/11/2014 | 3,087.86 | 123558 | | FIRMSTEP | Other | General Fund Balance Sheet | In Year Capital Additions | 11/11/2014 | 3,488.00 | 122806 | | FORD & SLATER | N'Hood & Env. Health Services | Grounds Maintenance Service | Accidental Damage Repair Costs | 13/11/2014 | 250.00 | 122822 | | FORD & SLATER | N'Hood & Env. Health Services | Refuse Coll & Domestic Recyc | Insurance Excess | 06/11/2014 | 250.00 | 122540 | | FORD & SLATER | N'Hood & Env. Health Services | Vehicle Maintenance | Normal Repairs | 06/11/2014 | 1,625.75 | 122641 | | FORD & SLATER | N'Hood & Env. Health Services | Vehicle Maintenance | Normal Repairs | 25/11/2014 | 270.00 | 122506 | | FRANK MAWBY & COMPANY | Other | General Fund Balance Sheet | In Year Capital Additions | 06/11/2014 | 1,119.00 | 122646 | | FRASER BROWN SOLICITORS | N'Hood & Env. Health Services | Environmental Health | Seminars & Short Training | 11/11/2014 | 540.00 | 122361 | | GAP PROPERTY SERVICES LEICESTER LIMITED | Finance, Efficiency & Assets | Littlethorpe Depot | Rea: Building | 27/11/2014 | 1,025.00 | 119061 | | GAP PROPERTY SERVICES LEICESTER LIMITED | Other | General Fund Balance Sheet | In Year Capital Additions | 05/11/2014 | 3,915.00 | 122648 | | SUPPLIER NAME | PORTFOLIO | COST CENTRE | EXPENDITURE CLASS | POST. DATE | AMOUNT | REF. | |---------------------------------------|--------------------------------|--------------------------------|------------------------------|--------------|------------|--------| | GEESINK NORBA | N'Hood & Env. Health Services | Fleet Management | Road Fund Licence | 25/11/2014 | 650.00 | 123275 | | GHM PLANNING LTD | Planning, Econ. Dev. & Housing | Planning Delivery | Gross Pay | 05/11/2014 | 5,290.00 | 122552 | | GLEN PARVA PARISH COUNCIL | Other | General Fund Balance Sheet | Debtors Suspense | 13/11/2014 | 360.00 | 122855 | | GREENERGY FUELS LIMITED | Other | General Fund Balance Sheet | Fuel | 05/11/2014 | 18,104.61 | 122538 | | GREENERGY FUELS LIMITED | Other | General Fund Balance Sheet | Fuel | 19/11/2014 | 18,475.20 | 123221 | | HAYMARKET PUBLISHING SERVICES LIMITED | Planning, Econ. Dev. & Housing | Planning Delivery | Books, Newspapers And Pubs | 05/11/2014 | 642.00 | 122633 | | HAYMARKET PUBLISHING SERVICES LIMITED | Planning, Econ. Dev. & Housing | Planning Delivery | Books, Newspapers And Pubs | 13/11/2014 | 745.00 | 122566 | | HAYS SPECIALIST RECRUITMENT | Partnerships & Corp. Services | Lpc - Commissioning | Lpc Expenditure | 06/11/2014 | 282.54 | 122656 | | HAYS SPECIALIST RECRUITMENT | Partnerships & Corp. Services | Lpc - Commissioning | Lpc Expenditure | 06/11/2014 | 524.40 | 122657 | | HAYS SPECIALIST RECRUITMENT | Partnerships & Corp. Services | Lpc - Commissioning | Lpc Expenditure | 06/11/2014 | 396.90 | 122659 | | HAYS SPECIALIST RECRUITMENT | Partnerships & Corp. Services | Lpc - Commissioning | Lpc Expenditure | 14/11/2014 | 524.40 | 122972 | | HAYS SPECIALIST RECRUITMENT | Partnerships & Corp. Services | Lpc - Commissioning | Lpc Expenditure | 14/11/2014 | 661.50 | 122981 | | HAYS SPECIALIST RECRUITMENT | Partnerships & Corp. Services | Lpc - Commissioning | Lpc Expenditure | 21/11/2014 | 289.97 | 122973 | | HAYS SPECIALIST RECRUITMENT | Partnerships & Corp. Services | Lpc - Commissioning | Lpc Expenditure | 25/11/2014 | 282.54 | 123506 | | HEALTH MANAGEMENT LIMITED | Leader | Human Res. Train & Development | Occupational Health | 19/11/2014 | 767.60 | 123212 | | HFX LIMITED | Finance, Efficiency & Assets | Council Offices & Land | Rea: Electrical | 25/11/2014 | 750.00 | 123488 | | HFX LIMITED | Leader | Human Res. Train & Development | Software Maintenance | 25/11/2014 | 420.00 | 122561 | | HINCKLEY & BOSWORTH COUNCIL | Leader | Human Res. Train & Development | Software Maintenance | 20/11/2014 | 277.96 | 118683 | | HINCKLEY & BOSWORTH COUNCIL | Partnerships & Corp. Services | Community Development | Other Partnership Support | 20/11/2014 | 613.44 | 118683 | | HINCKLEY & BOSWORTH COUNCIL | Partnerships & Corp. Services | External Legal Fees | Legal Fees | 19/11/2014 | 998.44 | 123201 | | HINCKLEY & BOSWORTH COUNCIL | Partnerships & Corp. Services | Ict Services | Hbbc: Ict Services Provision | 20/11/2014 | 108,842.55 | 118683 | | HINCKLEY & BOSWORTH COUNCIL | Partnerships & Corp. Services | Ict Services | Hbbc: Ict Services Provision | 20/11/2014 | 27,208.24 | 120185 | | HINCKLEY & BOSWORTH COUNCIL | Partnerships & Corp. Services | Ict Services | Infrastructure - Servers | 20/11/2014 | 5,000.00 | 118719 | | HMCTS | Finance, Efficiency & Assets | C.Tax Billing, Coll & Recovery | Court Fees | 06/11/2014 | 5,004.00 | 122652 | | HMCTS | Finance, Efficiency & Assets | C.Tax Billing, Coll & Recovery | Court Fees | 13/11/2014 | -4,791.00 | 122857 | | HOLLANDS BUSINESS SOLUTIONS LIMITED | Health Improvement & Leisure | The Pavilion | Publicity & Promotion | 20/11/2014 | 990.00 | 123231 | | ICON ELECTRICAL SERVICES | Other | General Fund Balance Sheet | In Year Capital Additions | 06/11/2014 | 900.00 | 122617 | | IDOX SOFTWARE LIMITED | Health Improvement & Leisure | Corporate Health Improvement | Software Maintenance | 27/11/2014 | 4,650.00 | 123241 | | IDOX SOFTWARE LIMITED | Planning, Econ. Dev. & Housing | Planning Delivery | Design Support | 12/11/2014 | 2,677.50 | 122813 | | INDEPENDENT TECHNICIANS LTD | Other | General Fund Balance Sheet | In Year Capital Additions | 11/11/2014 | 2,250.00 | 122852 | | INDUSTRIA PERSONNEL SERVICE LTD | N'Hood & Env. Health Services | Refuse Coll & Domestic Recyc | Temporary/Casual Staff | 24/11/2014 | 317.46 | 123492 | | JAMES HERBERT | Health Improvement & Leisure | Local Sports Alliance | Grants - Sportivate | 13/11/2014 | 210.00 | 122575 | | JAM PERSONNEL MIDLANDS LIMITED | N'Hood & Env. Health Services | Cleansing Services | Temporary/Casual Staff | 12/11/2014 | 783.20 | 122821 | | JAM PERSONNEL MIDLANDS LIMITED | N'Hood & Env. Health Services | Cleansing Services | Temporary/Casual Staff | 19/11/2014 | 646.80 | 123232 | | JAM PERSONNEL MIDLANDS LIMITED | N'Hood & Env. Health Services | Cleansing Services | Temporary/Casual Staff | 19/11/2014 | 646.80 | 123280 | | JAM PERSONNEL MIDLANDS LIMITED | N'Hood & Env. Health Services | Refuse Coll & Domestic Recyc | Temporary/Casual Staff | 12/11/2014 | 2,315.83 | 122817 | | SUPPLIER NAME | PORTFOLIO | COST CENTRE | EXPENDITURE CLASS | POST. DATE | AMOUNT | REF. | |------------------------------------------|--------------------------------|--------------------------------|--------------------------------|--------------|------------|--------| | JAM PERSONNEL MIDLANDS LIMITED | N'Hood & Env. Health Services | Refuse Coll & Domestic Recyc | Temporary/Casual Staff | 13/11/2014 | 1,893.97 | 122502 | | JAM PERSONNEL MIDLANDS LIMITED | N'Hood & Env. Health Services | Refuse Coll & Domestic Recyc | Temporary/Casual Staff | 13/11/2014 | 407.25 | 122502 | | JAM PERSONNEL MIDLANDS LIMITED | N'Hood & Env. Health Services | Refuse Coll & Domestic Recyc | Temporary/Casual Staff | 19/11/2014 | 2,730.86 | 123252 | | JAM PERSONNEL MIDLANDS LIMITED | N'Hood & Env. Health Services | Refuse Coll & Domestic Recyc | Temporary/Casual Staff | 19/11/2014 | 2,353.09 | 123281 | | JOBSITE UK WORLDWIDE LIMITED | Leader | Recruitment Costs | Staff Advertising | 06/11/2014 | 350.00 | 122623 | | JOHNSTON SWEEPERS LTD | N'Hood & Env. Health Services | Vehicle Maintenance | Normal Repairs | 14/11/2014 | 947.11 | 122868 | | KAFEVEND GROUP LIMITED | Finance, Efficiency & Assets | Council Offices & Land | Refreshments | 27/11/2014 | 435.47 | 123209 | | KALU TRAINING & CONSULTANCY LIMITED | Finance, Efficiency & Assets | Financial Services | Research & Development | 13/11/2014 | 850.00 | 122967 | | KALU TRAINING & CONSULTANCY LIMITED | Finance, Efficiency & Assets | Financial Services | Research & Development | 13/11/2014 | 1,275.00 | 122968 | | KINGS ARMOURED SECURITY SERVICES LIMITED | N'Hood & Env. Health Services | Car Parks | Security Services | 26/11/2014 | 248.38 | 122666 | | KINGS ARMOURED SECURITY SERVICES LIMITED | Partnerships & Corp. Services | Customer Services | Security Services | 26/11/2014 | 503.08 | 123551 | | LAFARGE AGGREGATES LIMITED | N'Hood & Env. Health Services | Refuse Coll & Domestic Recyc | Commercial Waste Fees | 05/11/2014 | -564.51 | 122550 | | LASER FRIEND | Partnerships & Corp. Services | Ict Services | Desktop - Printers | 19/11/2014 | 597.00 | 123199 | | LEAWOOD BUILDERS | Other | General Fund Balance Sheet | In Year Capital Additions | 05/11/2014 | 5,492.00 | 122650 | | LEAWOOD BUILDERS | Other | General Fund Balance Sheet | In Year Capital Additions | 19/11/2014 | 4,572.00 | 123323 | | LEICESTER CITY COUNCIL | Community Services | Housing Support - Bradgate Mhu | Other Local Authorities | 20/11/2014 | 10,000.00 | 123271 | | LEICESTER CITY COUNCIL | Community Services | Housing Support - Bradgate Mhu | Other Local Authorities | 20/11/2014 | 5,241.50 | 123272 | | LEICESTER CITY COUNCIL | Partnerships & Corp. Services | External Legal Fees | Legal Fees | 25/11/2014 | 525.00 | 123005 | | LEICESTERSHIRE CAB | Community Services | Grant Aid & Access Act. - Cab | Grants - Cab | 27/11/2014 | 29,350.00 | 123541 | | LEICESTERSHIRE COUNTY COUNCIL | Finance, Efficiency & Assets | Council Offices & Land | Tree Maintenance | 06/11/2014 | 1,190.10 | 122522 | | LEICESTERSHIRE COUNTY COUNCIL | Finance, Efficiency & Assets | Open Spaces Management | Open Space Development | 06/11/2014 | 1,460.07 | 122522 | | LEICESTERSHIRE COUNTY COUNCIL | Health Improvement & Leisure | Local Sports Alliance | Project/Initiatives Fees | 27/11/2014 | 2,500.00 | 122524 | | LEICESTERSHIRE COUNTY COUNCIL | N'Hood & Env. Health Services | Car Parks | R & M - Grounds | 12/11/2014 | 6,313.71 | 122833 | | LEICESTERSHIRE COUNTY COUNCIL | N'Hood & Env. Health Services | Grounds Maintenance Service | Tree Maintenance | 06/11/2014 | 1,764.70 | 122522 | | LEICESTERSHIRE COUNTY COUNCIL | N'Hood & Env. Health Services | Grounds Maintenance Service | Tree Maintenance | 06/11/2014 | 245.11 | 122522 | | LEICESTERSHIRE COUNTY COUNCIL | N'Hood & Env. Health Services | Highway Cyclic Main Ptnership | Sub-Contractors | 20/11/2014 | 3,200.00 | 122970 | | LEICESTERSHIRE COUNTY COUNCIL | N'Hood & Env. Health Services | Refuse Coll & Domestic Recyc | Commercial Waste Fees | 14/11/2014 | 4,596.33 | 123010 | | LEICESTERSHIRE COUNTY COUNCIL | Other | General Fund Balance Sheet | Creditors -County-Superann Ees | 27/11/2014 | 132,782.25 | 123608 | | LEICESTERSHIRE COUNTY COUNCIL | Other | General Fund Balance Sheet | Creditors-County-Superann Memb | 27/11/2014 | 1,210.82 | 123608 | | LEICESTERSHIRE COUNTY COUNCIL | Other | General Fund Balance Sheet | In Year Capital Additions | 14/11/2014 | 1,262.75 | 121989 | | LEICESTERSHIRE COUNTY COUNCIL | Other | General Fund Balance Sheet | In Year Capital Additions | 19/11/2014 | 3,219.50 | 123264 | | LEICESTERSHIRE COUNTY COUNCIL | Other | General Fund Balance Sheet | In Year Capital Additions | 19/11/2014 | 1,801.39 | 123265 | | LEICESTERSHIRE COUNTY COUNCIL | Other | General Fund Balance Sheet | In Year Capital Additions | 19/11/2014 | 2,160.00 | 123266 | | LEICESTERSHIRE COUNTY COUNCIL | Other | General Fund Balance Sheet | In Year Capital Additions | 25/11/2014 | 2,780.00 | 123540 | | LEICESTERSHIRE COUNTY COUNCIL | Other | General Fund Balance Sheet | In Year Capital Additions | 26/11/2014 | 530.00 | 123559 | | LEICESTERSHIRE COUNTY COUNCIL | Other | General Fund Balance Sheet | In Year Capital Additions | 26/11/2014 | 3,425.00 | 123560 | | SUPPLIER NAME | PORTFOLIO | COST CENTRE | EXPENDITURE CLASS | POST. DATE | AMOUNT | REF. | |--------------------------------------------|--------------------------------|--------------------------------|--------------------------------|--------------|-----------|--------| | LEICESTERSHIRE COUNTY COUNCIL | Partnerships & Corp. Services | Local Land Charges | Lcc Fees | 19/11/2014 | 2,576.00 | 123269 | | LEICESTERSHIRE COUNTY COUNCIL | Partnerships & Corp. Services | Local Land Charges | Lcc Fees | 19/11/2014 | 1,617.00 | 123270 | | LEICESTERSHIRE COUNTY COUNCIL | Partnerships & Corp. Services | Lpc - Commissioning | Lpc Expenditure | 25/11/2014 | 240.38 | 123502 | | LEICESTERSHIRE COUNTY COUNCIL | Planning, Econ. Dev. & Housing | Planning Delivery | Consultant'S Fees | 05/11/2014 | 9,000.00 | 122520 | | LEICESTERSHIRE COUNTY COUNCIL | Planning, Econ. Dev. & Housing | Planning Delivery | Consultant'S Fees | 13/11/2014 | 3,390.00 | 122208 | | LEICESTERSHIRE COUNTY COUNCIL | Planning, Econ. Dev. & Housing | Planning Delivery | Consultant'S Fees | 26/11/2014 | 1,767.50 | 123461 | | LOCAL GOVERNMENT IMPROVEMENT & DEVELOPMENT | Partnerships & Corp. Services | Members Expenses/Allowances | Seminars & Short Training | 24/11/2014 | 3,000.00 | 122636 | | LOCAL WORLD LIMITED | Partnerships & Corp. Services | Democratic Serv & Governance | Advertising - Notices | 27/11/2014 | 480.25 | 123526 | | LOCAL WORLD LIMITED | Partnerships & Corp. Services | Democratic Serv & Governance | Advertising - Notices | 27/11/2014 | 540.00 | 123618 | | LOCAL WORLD LIMITED | Planning, Econ. Dev. & Housing | Planning Delivery | Advertising - Notices | 06/11/2014 | 480.25 | 122262 | | LOCAL WORLD LIMITED | Planning, Econ. Dev. & Housing | Planning Delivery | Advertising - Notices | 06/11/2014 | 288.15 | 122619 | | LOCAL WORLD LIMITED | Planning, Econ. Dev. & Housing | Planning Delivery | Advertising - Notices | 12/11/2014 | 384.20 | 122861 | | LODGE TYRES CO LTD | N'Hood & Env. Health Services | Refuse Coll & Domestic Recyc | Accidental Damage Repair Costs | 03/11/2014 | 1,370.96 | 122564 | | MANTA SHOPFITTERS LTD | Other | General Fund Balance Sheet | In Year Capital Additions | 05/11/2014 | 25,371.50 | 120894 | | MARRONS SOLICITORS | Planning, Econ. Dev. & Housing | Planning Delivery | Legal Fees | 11/11/2014 | 1,102.50 | 122680 | | MAYBO TRAINING | Leader | Staff Training And Development | Hired Services | 12/11/2014 | 874.00 | 122829 | | MAYBO TRAINING | Leader | Staff Training And Development | Hired Services | 20/11/2014 | 874.00 | 123194 | | MAYBO TRAINING | Leader | Staff Training And Development | Hired Services | 26/11/2014 | 874.00 | 123490 | | M F HIRE LIMITED | Health Improvement & Leisure | Leisure Development - Sports | Hired Services | 12/11/2014 | 656.94 | 122811 | | MHS ALARM SERVICES LIMITED | Finance, Efficiency & Assets | Council Offices & Land | Cyc: Fire Estinqiusher Service | 13/11/2014 | 227.50 | 121247 | | MIB DATA SOLUTIONS LIMITED | Planning, Econ. Dev. & Housing | Economic Development | Project/Initiatives Fees | 24/11/2014 | 370.50 | 123475 | | MIDLAND OIL COMPANY LTD | N'Hood & Env. Health Services | Vehicle Maintenance | Normal Repairs | 06/11/2014 | 1,780.00 | 122682 | | MIDLAND TRAINING | Finance, Efficiency & Assets | Financial Services | Seminars & Short Training | 06/11/2014 | 457.00 | 122512 | | MOLE GROUNDWORKS | Finance, Efficiency & Assets | Garages & Plots (Ex Hra) | Building Works | 24/11/2014 | 740.00 | 123477 | | MOLE GROUNDWORKS | Finance, Efficiency & Assets | Open Spaces Management | Open Space Development | 19/11/2014 | 630.00 | 123239 | | MOLE GROUNDWORKS | Finance, Efficiency & Assets | Open Spaces Management | Open Space Development | 19/11/2014 | 2,900.00 | 123213 | | NARBOROUGH PARISH COUNCIL | Other | General Fund Balance Sheet | In Year Capital Additions | 20/11/2014 | 756.00 | 123190 | | NEW AUTO LIMITED T/AS MOGO UK | N'Hood & Env. Health Services | Licencing - Hack Carr/Pvt Hire | Stationery | 26/11/2014 | 244.00 | 123251 | | NEWLINE MIDLANDS LIMITED | N'Hood & Env. Health Services | Refuse Coll & Domestic Recyc | Engineering Inspections | 11/11/2014 | 235.13 | 122632 | | NORTHGATE INFORMATION SOLUTIONS | Community Services | Benefits Section | Seminars & Short Training | 12/11/2014 | 250.00 | 122661 | | NORTHGATE INFORMATION SOLUTIONS | Community Services | Benefits Section | Sundry It Purchases | 25/11/2014 | 8,685.00 | 123515 | | NORTHGATE INFORMATION SOLUTIONS | Finance, Efficiency & Assets | C.Tax Billing, Coll & Recovery | Seminars & Short Training | 12/11/2014 | 250.00 | 122661 | | NORTHGATE VEHICLE HIRE | N'Hood & Env. Health Services | Cleansing Services | Vehicle Hire - External | 12/11/2014 | 330.00 | 122645 | | NORTHGATE VEHICLE HIRE | N'Hood & Env. Health Services | Cleansing Services | Vehicle Hire - External | 25/11/2014 | 216.29 | 123486 | | OFFICE FURNITURE TEAM GB LIMITED | Finance, Efficiency & Assets | Council Offices & Land | Office Furniture | 19/11/2014 | 223.50 | 123208 | | OFFICE OF THE POLICE & CRIME COMMISSIONER | Community Services | Crime & Disorder | Hired Services | 19/11/2014 | 500.00 | 123262 | | SUPPLIER NAME | PORTFOLIO | COST CENTRE | EXPENDITURE CLASS | POST. DATE | AMOUNT | REF. | |-------------------------------------|--------------------------------|--------------------------------|--------------------------------|--------------|----------|--------| | OTECH LIMITED | Community Services | Benefits Section | Software Maintenance | 20/11/2014 | 645.00 | 123192 | | PICK EVERARD | Other | General Fund Balance Sheet | In Year Capital Additions | 12/11/2014 | 2,779.00 | 122837 | | PICK EVERARD | Other | General Fund Balance Sheet | In Year Capital Additions | 12/11/2014 | 2,779.00 | 122838 | | PICK EVERARD | Other | General Fund Balance Sheet | In Year Capital Additions | 12/11/2014 | 2,779.00 | 122839 | | P&MM LIMITED | Leader | Human Resources Emp Provisions | Provision Amounts | 27/11/2014 | 1,212.45 | 123505 | | P&MM LIMITED - DIRECT DEBIT ONLY | Other | General Fund Balance Sheet | Deductions - Childcare Voucher | 20/11/2014 | 2,780.00 | 123189 | | POLYCOPY | Partnerships & Corp. Services | Reprographics | Print Mats (Int. Print Room) | 05/11/2014 | 360.00 | 122494 | | POLYCOPY | Partnerships & Corp. Services | Reprographics | Print Mats (Int. Print Room) | 19/11/2014 | 720.00 | 123257 | | POLYCOPY | Partnerships & Corp. Services | Reprographics | Print Mats (Int. Print Room) | 19/11/2014 | 720.00 | 123258 | | POXON RADIATORS | N'Hood & Env. Health Services | Vehicle Maintenance | Normal Repairs | 25/11/2014 | 415.00 | 123227 | | PRATT & CHESTERTON ELECTRICAL | Finance, Efficiency & Assets | The Pavillion - Land And Build | Pla: Electrical | 27/11/2014 | 1,314.00 | 123473 | | PRATT & CHESTERTON ELECTRICAL | Finance, Efficiency & Assets | The Pavillion - Land And Build | Rea: Electrical | 27/11/2014 | 400.00 | 123473 | | PRATT & CHESTERTON ELECTRICAL | Health Improvement & Leisure | The Pavilion | Equipment R & M | 27/11/2014 | 1,879.00 | 123473 | | PREMIER SECURITY SERVICES | Finance, Efficiency & Assets | Blaby Joint Service Shop | Security Services | 13/11/2014 | 552.08 | 122513 | | PREMIER SECURITY SERVICES | Finance, Efficiency & Assets | Council Offices & Land | Security Services | 13/11/2014 | 552.08 | 122518 | | PREMIER SECURITY SERVICES | Finance, Efficiency & Assets | Littlethorpe Depot | Security Services | 13/11/2014 | 552.08 | 122517 | | PREMIER SECURITY SERVICES | N'Hood & Env. Health Services | Grounds Maintenance Service | Security Services | 13/11/2014 | 912.51 | 122514 | | PREMIER TAXIS | Partnerships & Corp. Services | Lpc - Commissioning | Lpc Expenditure | 06/11/2014 | 826.00 | 122658 | | PREMIER WASTE & RECYCLING | N'Hood & Env. Health Services | Con Of Other Pub. Health Risks | Works In Default | 13/11/2014 | 400.00 | 120842 | | PREMIER WASTE & RECYCLING | N'Hood & Env. Health Services | Con Of Other Pub. Health Risks | Works In Default | 26/11/2014 | 2,282.00 | 123554 | | PRICE MARRINER & ASSOCIATES LIMITED | N'Hood & Env. Health Services | Environmental Health | Gross Pay | 26/11/2014 | 986.25 | 123556 | | PRICE MARRINER & ASSOCIATES LIMITED | N'Hood & Env. Health Services | Environmental Health | Gross Pay | 26/11/2014 | 432.00 | 123562 | | R E BRADSHAW | Other | General Fund Balance Sheet | In Year Capital Additions | 26/11/2014 | 4,745.00 | 123557 | | REED BUSINESS INFORMATION | Planning, Econ. Dev. & Housing | Economic Development | Publicity & Promotion | 19/11/2014 | 775.00 | 123214 | | REED BUSINESS INFORMATION LIMITED | Planning, Econ. Dev. & Housing | Economic Development | Publicity & Promotion | 06/11/2014 | 775.00 | 122526 | | RENEWABLE ENERGY ASSOCIATION | N'Hood & Env. Health Services | Non-Kerbside Recycling Prom. | E'Es Subscriptions | 19/11/2014 | 480.00 | 123211 | | RIGBY TAYLOR LTD | N'Hood & Env. Health Services | Grounds Maintenance Service | Other Equipment | 12/11/2014 | 360.00 | 122320 | | RIGHT TRACK CONSULTANCY LTD | Leader | Staff Training And Development | Hired Services | 06/11/2014 | 4,387.50 | 122565 | | ROL SOLUTIONS LIMITED | Partnerships & Corp. Services | Customer Services | Research & Development | 20/11/2014 | 825.00 | 123191 | | ROUTESAFE SYSTEMS | N'Hood & Env. Health Services | Envirocrime | Publicity & Promotion | 19/11/2014 | 926.00 | 119041 | | ROYAL MAIL | Leader | Register Of Electors | Postages | 27/11/2014 | 595.00 | 123532 | | ROYAL TOWN PLANNING INSTITUTE | Planning, Econ. Dev. & Housing | Planning Delivery | E'Es Subscriptions | 14/11/2014 | 290.00 | 122993 | | ROYAL TOWN PLANNING INSTITUTE | Planning, Econ. Dev. & Housing | Planning Delivery | E'Es Subscriptions | 14/11/2014 | 290.00 | 122994 | | ROYAL TOWN PLANNING INSTITUTE | Planning, Econ. Dev. & Housing | Planning Delivery | E'Es Subscriptions | 19/11/2014 | 290.00 | 122987 | | ROYAL TOWN PLANNING INSTITUTE | Planning, Econ. Dev. & Housing | Planning Delivery | E'Es Subscriptions | 19/11/2014 | 290.00 | 122988 | | ROYAL TOWN PLANNING INSTITUTE | Planning, Econ. Dev. & Housing | Planning Delivery | E'Es Subscriptions | 19/11/2014 | 290.00 | 122990 | | SUPPLIER NAME | PORTFOLIO | COST CENTRE | EXPENDITURE CLASS | POST. DATE | AMOUNT | REF. | |---------------------------------------------|--------------------------------|--------------------------------|--------------------------------|--------------|-----------|--------| | ROYAL TOWN PLANNING INSTITUTE | Planning, Econ. Dev. & Housing | Planning Delivery | E'Es Subscriptions | 20/11/2014 | 290.00 | 122989 | | RURAL COMMUNITY COUNCIL (LEICS & RUTLAND) | Partnerships & Corp. Services | Community Development | Other Partnership Support | 26/11/2014 | 875.00 | 123612 | | SABELL & CO BIRMINGHAM LIMITED | Finance, Efficiency & Assets | Central Stationery | Stationery | 20/11/2014 | 860.00 | 123253 | | SAPCOTE PARISH COUNCIL | Health Improvement & Leisure | Community Improvements | Project/Initiatives Fees | 27/11/2014 | 750.00 | 123525 | | SBX | Health Improvement & Leisure | Local Sports Alliance | Hired Services | 12/11/2014 | 250.00 | 122860 | | SBX | Health Improvement & Leisure | Local Sports Alliance | Hired Services | 25/11/2014 | 300.00 | 123529 | | SCALLIWAGS MOBILE CRECHE | Partnerships & Corp. Services | Lpc - Commissioning | Lpc Expenditure | 25/11/2014 | 432.00 | 123497 | | SCALLIWAGS MOBILE CRECHE | Partnerships & Corp. Services | Lpc - Commissioning | Lpc Expenditure | 25/11/2014 | 360.00 | 123498 | | SCALLIWAGS MOBILE CRECHE | Partnerships & Corp. Services | Lpc - Commissioning | Lpc Expenditure | 25/11/2014 | 360.00 | 123500 | | SCARAB SWEEPERS LIMITED | N'Hood & Env. Health Services | Cleansing Services | Accidental Damage Repair Costs | 12/11/2014 | 316.55 | 122956 | | SEVERN TRENT WATER | Finance, Efficiency & Assets | Council Offices & Land | Water Charges | 20/11/2014 | 1,814.41 | 122849 | | SEVERN TRENT WATER | Finance, Efficiency & Assets | Littlethorpe Depot | Water Charges | 25/11/2014 | 2,133.84 | 123462 | | SEVERN TRENT WATER | Finance, Efficiency & Assets | The Pavillion - Land And Build | Water Charges | 14/11/2014 | 1,908.91 | 122983 | | SOCITM LIMITED | Partnerships & Corp. Services | Ict Services | Subscriptions | 12/11/2014 | 890.00 | 122971 | | SOUTHERN ELECTRIC | Finance, Efficiency & Assets | Blaby Joint Service Shop | Electricity | 25/11/2014 | 628.37 | 123464 | | SOUTHERN ELECTRIC | Finance, Efficiency & Assets | Littlethorpe Depot | Electricity | 25/11/2014 | 2,335.54 | 123466 | | SOUTHERN ELECTRIC | Finance, Efficiency & Assets | Littlethorpe Depot | Electricity | 25/11/2014 | -1,191.22 | 123468 | | SOUTHERN ELECTRIC | Finance, Efficiency & Assets | The Pavillion - Land And Build | Electricity | 26/11/2014 | 1,330.01 | 123467 | | SOUTH LEICESTERSHIRE COLLEGE | Partnerships & Corp. Services | Lpc - Commissioning | Lpc Expenditure | 05/11/2014 | 1,733.00 | 122618 | | SOUTH LEICESTERSHIRE COLLEGE | Partnerships & Corp. Services | Lpc - Commissioning | Lpc Expenditure | 25/11/2014 | 1,733.33 | 123496 | | SPI GLOBAL PLAY LIMITED | Other | General Fund Balance Sheet | In Year Capital Additions | 24/11/2014 | 1,379.00 | 123478 | | SQUAIR CARE LTD | N'Hood & Env. Health Services | Vehicle Maintenance | Normal Repairs | 26/11/2014 | 225.00 | 123602 | | STEVE BURROWS TRAINING | Partnerships & Corp. Services | Lpc - Commissioning | Pay P Expenditure | 26/11/2014 | 360.00 | 123614 | | STEWART MORRIS PARTNERSHIP | Other | General Fund Balance Sheet | In Year Capital Additions | 26/11/2014 | 267.47 | 123610 | | STONBURY LIMITED | Other | General Fund Balance Sheet | In Year Capital Additions | 05/11/2014 | 44,121.08 | 122551 | | STREETVIBE YOUNG PEOPLES SERVICE | Partnerships & Corp. Services | Lpc - Commissioning | Grants - Other Small Grants | 05/11/2014 | 7,500.00 | 122511 | | TEMPLINE | Finance, Efficiency & Assets | Council Offices & Land | Temporary/Casual Staff | 13/11/2014 | 270.47 | 122546 | | TEMPLINE | Finance, Efficiency & Assets | Littlethorpe Depot | Cleaning | 13/11/2014 | 239.40 | 121973 | | TEMPLINE | Finance, Efficiency & Assets | Littlethorpe Depot | Cleaning | 25/11/2014 | 308.43 | 123516 | | TERRATRUCK DISTRIBUTION SERVICES LTD | N'Hood & Env. Health Services | Grounds Maintenance Service | Mobile Equipment | 19/11/2014 | 1,603.50 | 123210 | | THE ASSOCIATION OF ELECTORAL ADMINISTRATORS | Leader | Register Of Electors | Seminars & Short Training | 05/11/2014 | 1,430.00 | 122539 | | THE PRUDENTIAL ASSURANCE COMPANY LIMITED | Other | General Fund Balance Sheet | Deductions - Avc | 27/11/2014 | 3,299.28 | 123539 | | THE SPORTSWEB.COM | Health Improvement & Leisure | The Pavilion | Gross Pay | 26/11/2014 | 310.80 | 123533 | | THE SPORTSWEB.COM | Health Improvement & Leisure | The Pavilion | Gross Pay | 26/11/2014 | 543.90 | 123534 | | THE SPORTSWEB.COM | Health Improvement & Leisure | The Pavilion | Gross Pay | 26/11/2014 | 424.11 | 123536 | | THE SPORTSWEB.COM | Health Improvement & Leisure | The Pavilion | Gross Pay | 26/11/2014 | 647.50 | 123537 | | SUPPLIER NAME | PORTFOLIO | COST CENTRE | EXPENDITURE CLASS | POST. DATE | AMOUNT | REF. | |------------------------------|--------------------------------|--------------------------------|--------------------------------|--------------|----------|--------| | UNIVERSITY OF DERBY | Leader | Staff Training And Development | Training Costs | 27/11/2014 | 1,520.00 | 122269 | | UR PROMOTIONS LIMITED | Partnerships & Corp. Services | Lpc - Commissioning | Lpc Expenditure | 14/11/2014 | 290.00 | 122978 | | VENN GROUP LTD | Finance, Efficiency & Assets | C.Tax Billing, Coll & Recovery | Temporary/Casual Staff | 26/11/2014 | 919.45 | 122211 | | VENN GROUP LTD | Finance, Efficiency & Assets | C.Tax Billing, Coll & Recovery | Temporary/Casual Staff | 26/11/2014 | 919.45 | 122531 | | VENN GROUP LTD | Finance, Efficiency & Assets | C.Tax Billing, Coll & Recovery | Temporary/Casual Staff | 26/11/2014 | 869.75 | 122843 | | VENN GROUP LTD | Finance, Efficiency & Assets | C.Tax Billing, Coll & Recovery | Temporary/Casual Staff | 26/11/2014 | 888.39 | 123177 | | VENN GROUP LTD | Finance, Efficiency & Assets | C.Tax Billing, Coll & Recovery | Temporary/Casual Staff | 26/11/2014 | 882.18 | 123472 | | VMI BLACKBURN LIMITED | Health Improvement & Leisure | The Pavilion | Water&Vending Hire & Purchases | 20/11/2014 | 255.96 | 122556 | | WHISTL NORTH LIMITED | Other | General Fund Balance Sheet | Misc - Postage Meter - Tnt | 12/11/2014 | 627.53 | 122826 | | WHISTL NORTH LIMITED | Other | General Fund Balance Sheet | Misc - Postage Meter - Tnt | 19/11/2014 | 265.04 | 123246 | | WHISTL NORTH LIMITED | Other | General Fund Balance Sheet | Misc - Postage Meter - Tnt | 19/11/2014 | 962.29 | 123247 | | WHISTL NORTH LIMITED | Other | General Fund Balance Sheet | Misc - Postage Meter - Tnt | 25/11/2014 | 705.21 | 123549 | | WHISTL NORTH LIMITED | Other | General Fund Balance Sheet | Misc - Postage Meter - Tnt | 25/11/2014 | 312.48 | 123550 | | WILLIAM FREER LTD | Finance, Efficiency & Assets | Council Offices & Land | Cyc: Gas Boiler Servicing | 06/11/2014 | 360.00 | 122505 | | W T CLARKE & SON | N'Hood & Env. Health Services | Refuse Coll & Domestic Recyc | Composting Fees | 12/11/2014 | 5,047.17 | 121266 | | W T CLARKE & SON | N'Hood & Env. Health Services | Refuse Coll & Domestic Recyc | Composting Fees | 12/11/2014 | 4,298.96 | 122567 | | WYBONE LIMITED | N'Hood & Env. Health Services | Grounds Maintenance Service | Countryside Areas Maintenance | 26/11/2014 | 650.00 | 123592 | | YOUNG LEICESTERSHIRE LIMITED | Partnerships & Corp. Services | Lpc - Commissioning | Pay P Expenditure | 14/11/2014 | 7,850.00 | 122999 | | YOUNG LEICESTERSHIRE LIMITED | Partnerships & Corp. Services | Lpc - Commissioning | Pay P Expenditure | 26/11/2014 | 947.85 | 123613 | | TOTAL: | 784,273.16 | | | | | |

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# And Of The Council Of 29 April 2004 Laying Down Specific Hygiene Rules For On The Hygiene Of Foodstuffs THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION, Having regard to the Treaty establishing the European Community, and in particular Article 152(4)(b) thereof, Having regard to the proposal from the Commission *, Having regard to the Opinion of the European Economic and Social Committee †, Having consulted the Committee of the Regions, Acting in accordance with the procedure laid down in Article 251 of the Treaty ‡, Whereas: (1) By Regulation (EC) No /2004 *, the European Parliament and the Council laid down general rules for food business operators on the hygiene of foodstuffs. (2) Certain foodstuffs may present specific hazards to human health, requiring the setting of specific hygiene rules. This is particularly the case for food of animal origin, in which microbiological and chemical hazards have frequently been reported. (3) In the context of the common agricultural policy, many Directives have been adopted to establish specific health rules for the production and placing on the market of the products listed in Annex I to the Treaty. These health rules have reduced trade barriers for the products concerned, contributing to the creation of the internal market while ensuring a high level of protection of public health. (4) With regard to public health, these rules contain common principles, in particular in relation to the manufacturers' and competent authorities' responsibilities, structural, operational and hygiene requirements for establishments, procedures for the approval of establishments, requirements for storage and transport and health marks. (5) These principles constitute a common basis for the hygienic production of food of animal origin, permitting the simplification of the existing Directives. (6) It is desirable to achieve further simplification by applying the same rules wherever appropriate to all products of animal origin. (7) The requirement in Regulation (EC) No /2004 ∗ whereby food business operators carrying out any stage of production, processing and distribution of food after primary production and associated operations must put in place, implement and maintain procedures based on hazard analysis and critical control point (HACCP) principles also permits simplification. (8) Taken together, these elements justify a recasting of the specific hygiene rules contained in existing Directives. (9) The principal objectives of the recasting are to secure a high level of consumer protection with regard to food safety, in particular by making food business operators throughout the Community subject to the same rules, and to ensure the proper functioning of the internal market in products of animal origin, thus contributing to the achievement of the objectives of the common agricultural policy. (10) It is necessary to maintain and, where required to ensure consumer protection, to tighten detailed hygiene rules for products of animal origin. (11) Community rules should not apply either to primary production for private domestic use or to the domestic preparation, handling or storage of food for private domestic consumption. Moreover, where small quantities of primary products or of certain types of meat are supplied directly by the food business operator producing them to the final consumer or to a local retail establishment, it is appropriate to protect public health through national law, in particular because of the close relationship between the producer and the consumer. ∗ Official Publications Office is to insert official number of Regulation on the hygiene of foodstuffs (as in recital 1). (12) The requirements of Regulation (EC) No /2004 ∗ are generally sufficient to ensure food safety in establishments carrying out retail activities involving the direct sale or supply of food of animal origin to the final consumer. This Regulation should generally apply to wholesale activities (that is, when a retail establishment carries out operations with a view to supplying food of animal origin to another establishment). Nevertheless, with the exception of the specific temperature requirements laid down in this Regulation, the requirements of Regulation (EC) No /2004 * should suffice for wholesale activities consisting only of storage or transport. (13) Member States should have some discretion to extend or to limit the application of the requirements of this Regulation to retail under national law. However, they may limit their application only if they consider that the requirements of Regulation (EC) No /2004 * are sufficient to achieve food hygiene objectives and when the supply of food of animal origin from a retail establishment to another establishment is a marginal, localised and restricted activity. Such supply should therefore be only a small part of the establishment's business; the establishments supplied should be situated in its immediate vicinity; and the supply should concern only certain types of products or establishments. (14) In accordance with Article 10 of the Treaty, Member States are to take all appropriate measures to ensure that food business operators comply with the obligations laid down in this Regulation. (15) The traceability of food is an essential element in ensuring food safety. In addition to complying with the general rules of Regulation (EC) No 178/2002 *, food business operators responsible for establishments that are subject to approval in accordance with this Regulation should ensure that all products of animal origin that they place on the market bear either a health mark or an identification mark. (16) Food imported into the Community is to comply with the general requirements laid down in Regulation (EC) No 178/2002 or to satisfy rules that are equivalent to Community rules. This Regulation defines specific hygiene requirements for food of animal origin imported into the Community. (17) The adoption of this Regulation should not reduce the level of protection provided by the additional guarantees agreed for Finland and Sweden on their accession to the Community and confirmed by Decisions 94/968/EC *, 95/50/EC †, 95/160/EC ‡, 95/161/EC §, 95/168/EC **, 95/409/EC ††, 95/410/EC ‡‡ and 95/411/EC §§. It should establish a procedure for the granting, for a transitional period, of guarantees to any Member State that has an approved national control programme which, for the food of animal origin concerned, is equivalent to those approved for Finland and Sweden. Regulation (EC) No 2160/2003 of the European Parliament and of the Council of 17 November 2003 on the control of salmonella and other specified food-borne zoonotic agents *** provides for a similar procedure in respect of live animals and hatching eggs. (18) It is appropriate for the structural and hygiene requirements laid down in this Regulation to apply to all types of establishments, including small businesses and mobile slaughterhouses. (19) Flexibility is appropriate to enable the continued use of traditional methods at any of the stages of production, processing or distribution of food and in relation to structural requirements for establishments. Flexibility is particularly important for regions that are subject to special geographical constraints, including the outermost regions referred to in Article 299(2) of the Treaty. However, flexibility should not compromise food hygiene objectives. Moreover, since all food produced in accordance with the hygiene rules will normally be in free circulation throughout the Community, the procedure allowing Member States to exercise flexibility should be fully transparent. It should provide, where necessary to resolve disagreements, for discussion within the Standing Committee on the Food Chain and Animal Health established by Regulation (EC) No 178/2002 and for the Commission to coordinate the process and take appropriate measures. (20) The definition of mechanically separated meat (MSM) should be a generic one covering all methods of mechanical separation. Rapid technological developments in this area mean that a flexible definition is appropriate. The technical requirements for MSM should differ, however, depending on a risk assessment of the product resulting from different methods. (21) There are interactions between food business operators, including the animal feed sector, and connections between animal health, animal welfare and public health considerations at all stages of production, processing and distribution. This requires adequate communication between the different stakeholders along the food chain from primary production to retail. (22) In order to ensure proper inspection of hunted wild game placed on the Community market, bodies of hunted animals and their viscera should be presented for official post-mortem inspection at a game-handling establishment. However, to preserve certain hunting traditions without prejudicing food safety, it is appropriate to provide for training for hunters who place wild game on the market for human consumption. This should enable hunters to undertake an initial examination of wild game on the spot. In these circumstances, it is not necessary to require trained hunters to deliver all viscera to the game-handling establishment for post-mortem examination, if they carry out this initial examination and identify no anomalies or hazards. However, Member States should be allowed to establish stricter rules within their territories to take account of specific risks. (23) This Regulation should establish criteria for raw milk pending the adoption of new requirements for its placing on the market. These criteria should be trigger values, implying that, in the event of any overshooting, food business operators are to take corrective action and to notify the competent authority. The criteria should not be maximum figures beyond which raw milk cannot be placed on the market. This implies that, in certain circumstances, raw milk not fully meeting the criteria can safely be used for human consumption, if appropriate measures are taken. As regards raw milk and raw cream intended for direct human consumption, it is appropriate to enable each Member State to maintain or establish appropriate health measures to ensure the achievement of the objectives of this Regulation on its territory. (24) It is appropriate for the criterion for raw milk used to manufacture dairy products to be three times as high as the criterion for raw milk collected from the farm. The criterion for milk used to manufacture processed dairy products is an absolute value, whereas for raw milk collected from the farm it is an average. Compliance with the temperature requirements laid down in this Regulation will not halt all bacterial growth during transport and storage. (25) The present recasting means that the existing hygiene rules can be repealed. Directive 2004/.../EC of the European Parliament and of the Council of ..... repealing certain Directives on food hygiene and health conditions for the production and placing on the market of certain products of animal origin intended for human consumption * achieves this. (26) In addition, the rules of this Regulation on eggs replace those of Council Decision 94/371/EC of 20 June 1994 laying down specific public health conditions for the putting on the market of certain types of eggs †, which the repeal of Annex II to Council Directive 92/118/EEC ‡ renders void. (27) Scientific advice should underpin Community legislation on food hygiene. To this end, the European Food Safety Authority should be consulted whenever necessary. (28) To take account of technical and scientific progress, close and effective cooperation should be ensured between the Commission and the Member States within the Standing Committee on the Food Chain and Animal Health. (29) The requirements of this Regulation should not apply until all parts of the new legislation on food hygiene have entered into force. It is also appropriate to provide for at least 18 months to elapse between entry into force and the application of the new rules, to allow the industries affected time to adapt. (30) The measures necessary for the implementation of this Regulation should be adopted in accordance with Council Decision 1999/468/EC of 28 June 1999 laying down the procedures for the exercise of implementing powers conferred on the Commission *, HAVE ADOPTED THIS REGULATION: ## Chapter I General Provisions Article 1 Scope 1. This Regulation lays down specific rules on the hygiene of food of animal origin for food business operators. These rules supplement those laid down by Regulation (EC) No /2004 *. They shall apply to unprocessed and processed products of animal origin. 2. Unless expressly indicated to the contrary, this Regulation shall not apply to food containing both products of plant origin and processed products of animal origin. However, processed products of animal origin used to prepare such food shall be obtained and handled in accordance with the requirements of this Regulation. 3. This Regulation shall not apply in relation to: (a) primary production for private domestic use; (b) the domestic preparation, handling or storage of food for private domestic consumption; (c) the direct supply, by the producer, of small quantities of primary products to the final consumer or to local retail establishments directly supplying the final consumer; (d) the direct supply, by the producer, of small quantities of meat from poultry and lagomorphs slaughtered on the farm to the final consumer or to local retail establishments directly supplying such meat to the final consumer as fresh meat; (e) hunters who supply small quantities of wild game or wild game meat directly to the final consumer or to local retail establishments directly supplying the final consumer. 4. Member States shall establish, under national law, rules governing the activities and persons referred to in paragraph 3(c), (d) and (e). Such national rules shall ensure the achievement of the objectives of this Regulation. 5. 5. (a) Unless expressly indicated to the contrary, this Regulation shall not apply to retail. (b) However, this Regulation shall apply to retail when operations are carried out with a view to the supply of food of animal origin to another establishment, unless: (i) the operations consist only of storage or transport, in which case the specific temperature requirements laid down in Annex III shall nevertheless apply; or (ii) the supply of food of animal origin from the retail establishment is to other retail establishments only and, in accordance with national law, is a marginal, localised and restricted activity. (c) Member States may adopt national measures to apply the requirements of this Regulation to retail establishments situated on their territory to which it would not apply pursuant to subparagraphs (a) or (b). 6. This Regulation shall apply without prejudice to: (a) relevant animal and public health rules, including more stringent rules laid down for the prevention, control and eradication of certain transmissible spongiform encephalopathies; (b) animal welfare requirements; and (c) requirements concerning the identification of animals and the traceability of products of animal origin. ## Article 2 Definitions The following definitions shall apply for the purposes of this Regulation: 1) the definitions laid down in Regulation (EC) No 178/2002; 2) the definitions laid down in Regulation (EC) No /2004 *; 3) the definitions laid down in Annex I; and 4) any technical definitions contained in Annexes II and III. ## Food Business Operators' Obligations Article 3 General Obligations 1. Food business operators shall comply with the relevant provisions of Annexes II and III. 2. Food business operators shall not use any substance other than potable water - or, when Regulation (EC) No /2004 * or this Regulation permits its use, clean water - to remove surface contamination from products of animal origin, unless use of the substance has been approved in accordance with the procedure referred to in Article 12(2). Food business operators shall also comply with any conditions for use that may be adopted under the same procedure. The use of an approved substance shall not affect the food business operator's duty to comply with the requirements of this Regulation. ## Article 4 Registration And Approval Of Establishments 1. Food business operators shall place products of animal origin manufactured in the Community on the market only if they have been prepared and handled exclusively in establishments: (a) that meet the relevant requirements of Regulation (EC) No /2004 *, those of Annexes II and III of this Regulation and other relevant requirements of food law; and (b) that the competent authority has registered or, where required in accordance with paragraph 2, approved. 2. Without prejudice to Article 6(3) of Regulation (EC) No /2004 *, establishments handling those products of animal origin for which Annex III to this Regulation lays down requirements shall not operate unless the competent authority has approved them in accordance with paragraph 3 of this Article, with the exception of establishments carrying out only: (a) primary production; (b) transport operations; (c) the storage of products not requiring temperature-controlled storage conditions; or (d) retail operations other than those to which this Regulation applies pursuant to Article 1(5)(b). 3. An establishment subject to approval in accordance with paragraph 2 shall not operate unless the competent authority has, in accordance with Regulation (EC) No /2004 of the European Parliament and of the Council of .......... laying down specific rules for the organisation of official controls on products of animal origin intended for human consumption *: (a) granted the establishment approval to operate following an on-site visit; or (b) provided the establishment with conditional approval. 4. Food business operators shall cooperate with the competent authorities in accordance with Regulation (EC) No /2004 *. In particular, food business operators shall ensure that an establishment ceases to operate if the competent authority withdraws its approval or, in the case of conditional approval, fails to prolong it or to grant full approval. 5. This Article shall not prevent an establishment from placing food on the market between the date of application of this Regulation and the first subsequent inspection by the competent authority, if the establishment: (a) is subject to approval in accordance with paragraph 2 and placed products of animal origin on the market in accordance with Community legislation immediately prior to the application of this Regulation; or (b) is of a type in respect of which there was no requirement for approval before the application of this Regulation. ## Article 5 Health And Identification Marking 1. Food business operators shall not place on the market a product of animal origin handled in an establishment subject to approval in accordance with Article 4(2) unless it has either: (a) a health mark applied in accordance with Regulation (EC) No /2004 *; or (b) when that Regulation does not provide for the application of a health mark, an identification mark applied in accordance with Annex II, Section I, of this Regulation. 2. Food business operators may apply an identification mark to a product of animal origin only if the product has been manufactured in accordance with this Regulation in establishments meeting the requirements of Article 4. 3. Food business operators may not remove a health mark applied in accordance with Regulation (EC) No /2004 * from meat unless they cut or process it or work upon it in another manner. ## Article 6 Products Of Animal Origin From Outside The Community 1. Food business operators importing products of animal origin from third countries shall ensure that importation takes place only if: (a) the third country of dispatch appears on a list, drawn up in accordance with Article 11 of Regulation (EC) No [*]/2004, of third countries from which imports of that product are permitted; (b) (i) the establishment from which that product was dispatched, and in which it was obtained or prepared, appears on a list, drawn up in accordance with Article 12 of Regulation (EC) No [*]/2004, of establishments from which imports of that product are permitted, when applicable, (ii) in the case of fresh meat, minced meat, meat preparations, meat products and MSM, the product was manufactured from meat obtained in slaughterhouses and cutting plants appearing on lists drawn up and updated in accordance with Article 12 of Regulation (EC) No [*]/2004 or in approved Community establishments, and (iii) in the case of live bivalve molluscs, echinoderms, tunicates and marine gastropods, the production area appears on a list drawn up in accordance with Article 13 of that Regulation, when applicable; (c) the product satisfies: (i) the requirements of this Regulation, including the requirements of Article 5 on health and identification marking; (ii) the requirements of Regulation (EC) No [*]/2004; and (iii) any import conditions laid down in accordance with Community legislation governing import controls for products of animal origin, and (d) the requirements of Article 14 of Regulation (EC) No [**]/2004 concerning certificates and documents are satisfied, when applicable. 2. By way of derogation from paragraph 1, the importation of fishery products may also take place in accordance with the special provisions laid down in Article 15 of Regulation (EC) No [**]/2004. 3. Food business operators importing products of animal origin shall ensure that: (a) products are made available for control upon importation in accordance with Directive 97/78/EC *; (b) importation complies with the requirements of Directive 2002/99/EC *; and (c) operations under their control that take place after importation are carried out in accordance with the requirements of Annex III. 4. Food business operators importing food containing both products of plant origin and processed products of animal origin shall ensure that the processed products of animal origin contained in such food satisfy the requirements of paragraphs 1 to 3. They must be able to demonstrate that they have done so (for example, through appropriate documentation or certification, which need not be in the format specified in paragraph 1(d)). ## Chapter Iii Trade Article 7 Documents 1. When required in accordance with Annex II or III, food business operators shall ensure that certificates or other documents accompany consignments of products of animal origin. 2. In accordance with the procedure referred to in Article 12(2): (a) model documents may be established; and (b) provision may be made for the use of electronic documents. ## Article 8 Special Guarantees 1. Food business operators intending to place the following food of animal origin on the market in Sweden or Finland shall comply with the rules set out in paragraph 2 in respect of salmonella: (a) meat from bovine and porcine animals, including minced meat but excluding meat preparations and MSM; (b) meat from poultry of the following species: domestic fowl, turkeys, guinea-fowl, ducks and geese, including minced meat but excluding meat preparations and MSM; and (c) eggs. 2.(a) In the case of meat from bovine and porcine animals and meat from poultry, samples of consignments shall have been taken in the dispatching establishment and been subjected to a microbiological test with negative results in accordance with Community legislation. (b) In the case of eggs, packing centres shall provide a guarantee that consignments originate from flocks that have been subjected to a microbiological test with negative results in accordance with Community legislation. (c) In the case of meat from bovine and porcine animals, the test provided for in subparagraph (a) need not be carried out for consignments intended for an establishment for the purposes of pasteurisation, sterilisation or treatment having a similar effect. In the case of eggs, the test provided for in subparagraph (b) need not be carried out for consignments intended for the manufacture of processed products by a process that guarantees the elimination of salmonella. (d) The tests provided for in subparagraphs (a) and (b) need not be carried out for foodstuffs originating in an establishment that is subject to a control programme recognised, in respect of the food of animal origin concerned and in accordance with the procedure referred to in Article 12(2), as equivalent to that approved for Sweden and Finland. (e) In the case of meat from bovine and porcine animals and meat from poultry, a trade document or certificate conforming to a model laid down by Community legislation shall accompany the food and state that: (i) the checks referred to in subparagraph (a) have been carried out with negative results; or (ii) the meat is intended for one of the purposes referred to in subparagraph (c); or (iii) the meat comes from an establishment covered by subparagraph (d). (f) In the case of eggs, a certificate stating that the tests referred to in subparagraph (b) have been carried out with negative results, or that the eggs are destined to be used in the manner referred to in subparagraph (c), must accompany consignments. 3. In accordance with the procedure referred to in Article 12(2): (a) the requirements of paragraphs 1 and 2 may be updated to take account in particular of changes to Member States' control programmes or the adoption of microbiological criteria in accordance with Regulation (EC) No /2004 *; and (b) the rules laid down in paragraph 2 in respect of any of the foodstuffs referred to in paragraph 1 may be extended, in whole or in part, to any Member State, or any region of a Member State, that has a control programme recognised as equivalent to that approved for Sweden and Finland in respect of the food of animal origin concerned. 4. For the purposes of this Article, "control programme" means a control programme approved in accordance with Regulation (EC) No 2160/2004 . ## Chapter Iv Final Provisions Article 9 Implementing Measures And Transitional Measures Implementing measures and transitional arrangements may be laid down in accordance with the procedure referred to in Article 12(2). ## Article 10 Amendment And Adaptation Of Annexes Ii And Iii 1. Annexes II and III may be adapted or updated in accordance with the procedure referred to in Article 12(2), taking into account: (a) the development of guides to good practice; (b) the experience gained from the implementation of HACCP-based systems pursuant to Article 5 of Regulation (EC) No /2004*; (c) the technological developments and their practical consequences and consumer expectations with regard to food composition; (d) scientific advice, particularly new risk assessments; (e) microbiological and temperature criteria for foodstuffs; (f) changes in patterns of consumption. 2. Exemptions from Annex II and III may be granted in accordance with the procedure referred to in Article 12(2), provided that they do not affect the achievement of the objectives of this Regulation. 3. Member States may, without compromising achievement of the objectives of this Regulation, adopt, in accordance with paragraphs 4 to 8, national measures adapting the requirements laid down in Annex III. 4. (a) The national measures referred to in paragraph 3 shall have the aim of: (i) enabling the continued use of traditional methods at any of the stages of production, processing or distribution of food; or (ii) accommodating the needs of food businesses situated in regions that are subject to special geographic constraints. (b) In other cases, they shall apply only to the construction, layout and equipment of establishments. 5. Any Member State wishing to adopt national measures as referred to in paragraph 3 shall notify the Commission and other Member States. Each notification shall: (a) provide a detailed description of the requirements that that Member State considers need to be adapted and the nature of the adaptation sought; (b) describe the foodstuffs and establishments concerned; (c) explain the reasons for the adaptation, including, where relevant, by providing a summary of the hazard analysis carried out and any measures to be taken to ensure that the adaptation will not compromise the objectives of this Regulation; and (d) give any other relevant information. 6. The other Member States shall have three months from the receipt of a notification referred to in paragraph 5 to send written comments to the Commission. In the case of adaptations arising from paragraph 4(b), this period shall, at the request of any Member State, be extended to four months. The Commission may, and when it receives written comments from one or more Member States shall, consult Member States within the committee referred to in Article 12(1). The Commission may decide, in accordance with the procedure referred to in Article 12(2), whether the envisaged measures may be implemented, subject, if necessary, to appropriate amendments. Where appropriate, the Commission may propose general measures in accordance with paragraph 1 or 2 of this Article. 7. A Member State may adopt national measures adapting the requirements of Annex III only: (a) in compliance with a decision adopted in accordance with paragraph 6; (b) if, one month after the expiry of the period referred to in paragraph 6, the Commission has not informed Member States that it has received written comments or that it intends to propose the adoption of a decision in accordance with paragraph 6; or (c) in accordance with paragraph 8. 8. A Member State may, of its own initiative and subject to the general provisions of the Treaty, maintain or establish national rules: (a) prohibiting or restricting the placing on the market within its territory of raw milk or raw cream intended for direct human consumption; or (b) permitting the use, with the authorisation of the competent authority, of raw milk not meeting the criteria laid down in Annex III, Section IX, as regards plate count and somatic cell count of the manufacture of cheeses with an ageing or ripening period of at least 60 days, and dairy products obtained in connection with the manufacture of such cheeses, provided that this does not prejudice the achievement of the objectives of this Regulation. ## Article 11 Specific Decisions Without prejudice to the generality of Article 9 and Article 10(1), implementing measures may be laid down, or amendments to Annex II or III adopted, in accordance with the procedure referred to in Article 12(2): 1) to lay down rules for the transport of meat while it is warm; 2) to specify, in respect of MSM, which calcium content is not significantly higher than that of minced meat; 3) to lay down other treatments that may be applied in a processing establishment to live bivalve molluscs from class B or C production areas that have not been submitted to purification or relaying; 4) to specify recognised testing methods for marine biotoxins; 5) to lay down additional health standards for live bivalve molluscs in cooperation with the relevant Community Reference Laboratory, including: (a) limit values and analysis methods for other marine biotoxins; (b) virus testing procedures and virological standards; and (c) sampling plans and the methods and analytical tolerances to be applied to check compliance with the health standards; 6) to lay down health standards or checks, where there is scientific evidence indicating that they are necessary to protect public health; 7) to extend Annex III, Section VII, Chapter IX, to live bivalve molluscs other than pectinidae; 8) to specify criteria for determining when epidemiological data indicate that a fishing ground does not present a health hazard with regard to the presence of parasites and, consequently, for determining when the competent authority may authorise food business operators not to freeze fishery products in accordance with Annex III, Section VIII, Chapter III, Part D; 9) to lay down freshness criteria and limits with regard to histamine and total volatile nitrogen for fisheries products; 10) to permit the use for the manufacture of certain dairy products of raw milk not meeting the criteria laid down in Annex III, Section IX, as regards its plate count and somatic cell count; 11) without prejudice to Directive 96/23/EC *, to fix a maximum permitted value for the combined total of residues of antibiotic substances in raw milk; and 12) to approve equivalent processes for the production of gelatine or collagen. ## Article 12 Committee Procedure 1. The Commission shall be assisted by the Standing Committee on the Food Chain and Animal Health. 2. Where reference is made to this paragraph, Articles 5 and 7 of Decision 1999/468/EC shall apply, having regard to the provisions of Article 8 thereof. The period provided for in Article 5(6) of Decision 1999/468/EC shall be set at three months. 3. The Committee shall adopt its rules of procedure. ## Article 13 Consultation Of The European Food Safety Authority The Commission shall consult the European Food Safety Authority on any matter falling within the scope of this Regulation that could have a significant impact on public health and, in particular, before proposing to extend Annex III, Section III, to other animal species. ## Article 14 Report To The European Parliament And To The Council 1. The Commission shall, not later than ... *, submit a report to the European Parliament and the Council reviewing the experience gained from the implementation of this Regulation. 2. The Commission shall, if appropriate, accompany the report with relevant proposals. ## Article 15 This Regulation shall enter into force twenty days after the date of its publication in the Official Journal of the European Union. It shall apply 18 months after the date on which all of the following acts have entered into force: (a) Regulation (EC) No…/2004 **; (b) Regulation (EC) No…/2004 *; and (c) Directive 2004/…/EC **. However, it shall apply no earlier than 1 January 2006. This Regulation shall be binding in its entirety and directly applicable in all Member States. Done at Strsbourg, 29.4.2004. For the European Parliament For the Council The President The President P. COX M. McDOWELL ## Definitions For the purpose of this Regulation: ## 1. Meat 1.1. "Meat" means edible parts of the animals referred to in points 1.2 to 1.8, including blood. 1.2. "Domestic ungulates" means domestic bovine (including Bubalus and Bison species), porcine, ovine and caprine animals, and domestic solipeds. 1.3. "Poultry" means farmed birds, including birds that are not considered as domestic but which are farmed as domestic animals, with the exception of ratites. 1.4. "Lagomorphs" means rabbits, hares and rodents. 1.5. "Wild game" means: - wild ungulates and lagomorphs, as well as other land mammals that are hunted for human consumption and are considered to be wild game under the applicable law in the Member State concerned, including mammals living in enclosed territory under conditions of freedom similar to those of wild game; and - wild birds that are hunted for human consumption. 1.6. "Farmed game" means farmed ratites and farmed land mammals other than those referred to in point 1.2. 1.7. "Small wild game" means wild game birds and lagomorphs living freely in the wild. 1.8. "Large wild game" means wild land mammals living freely in the wild that do not fall within the definition of small wild game. 1.9. "Carcase" means the body of an animal after slaughter and dressing. 1.10. "Fresh meat" means meat that has not undergone any preserving process other than chilling, freezing or quick-freezing, including meat that is vacuum-wrapped or wrapped in a controlled atmosphere. 1.11. "Offal" means fresh meat other than that of the carcase, including viscera and blood. 1.12. "Viscera" means the organs of the thoracic, abdominal and pelvic cavities, as well as the trachea and oesophagus and, in birds, the crop. 1.13. "Minced meat" means boned meat that has been minced into fragments and contains less than 1% salt. 1.14. "Mechanically separated meat" or "MSM" means the product obtained by removing meat from flesh-bearing bones after boning or from poultry carcases, using mechanical means resulting in the loss or modification of the muscle fibre structure. 1.15. "Meat preparations" means fresh meat, including meat that has been reduced to fragments, which has had foodstuffs, seasonings or additives added to it or which has undergone processes insufficient to modify the internal muscle fibre structure of the meat and thus to eliminate the characteristics of fresh meat. 1.16. "Slaughterhouse" means an establishment used for slaughtering and dressing animals, the meat of which is intended for human consumption. 1.17. "Cutting plant" means an establishment used for boning and/or cutting up meat. 1.18. "Game-handling establishment" means any establishment in which game and game meat obtained after hunting are prepared for placing on the market. ## 2. Live Bivalve Molluscs 2.1. "Bivalve molluscs" means filter-feeding lamellibranch molluscs. 2.2. "Marine biotoxins" means poisonous substances accumulated by bivalve molluscs, in particular as a result of feeding on plankton containing toxins. 2.3. "Conditioning" means the storage of live bivalve molluscs coming from class A production areas, purification centres or dispatch centres in tanks or any other installation containing clean seawater, or in natural sites, to remove sand, mud or slime, to preserve or to improve organoleptic qualities and to ensure that they are in a good state of vitality before wrapping or packaging. 2.4. "Gatherer" means any natural or legal person who collects live bivalve molluscs by any means from a harvesting area for the purpose of handling and placing on the market. 2.5. "Production area" means any sea, estuarine or lagoon area, containing either natural beds of bivalve molluscs or sites used for the cultivation of bivalve molluscs, and from which live bivalve molluscs are taken. 2.6. "Relaying area" means any sea, estuarine or lagoon area with boundaries clearly marked and indicated by buoys, posts or any other fixed means, and used exclusively for the natural purification of live bivalve molluscs. 2.7. "Dispatch centre" means any on-shore or off-shore establishment for the reception, conditioning, washing, cleaning, grading, wrapping and packaging of live bivalve molluscs fit for human consumption. 2.8. "Purification centre" means an establishment with tanks fed by clean seawater in which live bivalve molluscs are placed for the time necessary to reduce contamination to make them fit for human consumption. 2.9. "Relaying" means the transfer of live bivalve molluscs to sea, lagoon or estuarine areas for the time necessary to reduce contamination to make them fit for human consumption. This does not include the specific operation of transferring bivalve molluscs to areas more suitable for further growth or fattening. ## 3. Fishery Products 3.1. "Fishery products" means all seawater or freshwater animals (except for live bivalve molluscs, live echinoderms, live tunicates and live marine gastropods, and all mammals, reptiles and frogs) whether wild or farmed and including all edible forms, parts and products of such animals. 3.2. "Factory vessel" means any vessel on board which fishery products undergo one or more of the following operations followed by wrapping or packaging and, if necessary, chilling or freezing: filleting, slicing, skinning, shelling, shucking, mincing or processing. 3.3. "Freezer vessel" means any vessel on board which freezing of fishery products is carried out, where appropriate after preparatory work such as bleeding, heading, gutting and removal of fins and, where necessary, followed by wrapping or packaging. 3.4. "Mechanically separated fishery product" means any product obtained by removing flesh from fishery products using mechanical means resulting in the loss or modification of the flesh structure. 3.5. "Fresh fishery products" means unprocessed fishery products, whether whole or prepared, including products packaged under vacuum or in a modified atmosphere, that have not undergone any treatment to ensure preservation other than chilling. 3.6. "Prepared fishery products" means unprocessed fishery products that have undergone an operation affecting their anatomical wholeness, such as gutting, heading, slicing, filleting, and chopping. ## 4. Milk 4.1. "Raw milk" means milk produced by the secretion of the mammary gland of farmed animals that has not been heated to more than 40ºC or undergone any treatment that has an equivalent effect. 4.2. "Milk production holding" means an establishment where one or more farmed animals are kept to produce milk with a view to placing it on the market as food. ## 5. Eggs 5.1. "Eggs" means eggs in shell - other than broken, incubated or cooked eggs - that are produced by farmed birds and are fit for direct human consumption or for the preparation of egg products. 5.2. "Liquid egg" means unprocessed egg contents after removal of the shell. 5.3. "Cracked eggs" means eggs with damaged shell and intact membranes. 5.4. "Packing centre" means an establishment where eggs are graded by quality and weight. ## 6. Frogs' Legs And Snails 6.1. "Frogs' legs" means the posterior part of the body divided by a transverse cut behind the front limbs, eviscerated and skinned, of the species RNA (family Ranidae). 6.2. "Snails" means terrestrial gastropods of the species Helix pomatia Linné, Helix aspersa Muller, Helix lucorum and species of the family Achatinidae. ## 7. Processed Products 7.1. "Meat products" means processed products resulting from the processing of meat or from the further processing of such processed products, so that the cut surface shows that the product no longer has the characteristics of fresh meat. 7.2. "Dairy products" means processed products resulting from the processing of raw milk or from the further processing of such processed products. 7.3. "Egg products" means processed products resulting from the processing of eggs, or of various components or mixtures of eggs, or from the further processing of such processed products. 7.4. "Processed fishery products" means processed products resulting from the processing of fishery products or from the further processing of such processed products. 7.5. "Rendered animal fat" means fat derived from rendering meat, including bones, and intended for human consumption. 7.6. "Greaves" means the protein-containing residue of rendering, after partial separation of fat and water. 7.7. "Gelatine" means natural, soluble protein, gelling or non-gelling, obtained by the partial hydrolysis of collagen produced from bones, hides and skins, tendons and sinews of animals. 7.8. "Collagen" means the protein-based product derived from animal bones, hides, skins and tendons manufactured in accordance with the relevant requirements of this Regulation. 7.9. "Treated stomachs, bladders and intestines" means stomachs, bladders and intestines that have been submitted to a treatment such as salting, heating or drying after they have been obtained and after cleaning. ## 8. Other Definitions 8.1. "Products of animal origin" means: - food of animal origin, including honey and blood; - live bivalve molluscs, live echinoderms, live tunicates and live marine gastropods intended for human consumption; and - other animals destined to be prepared with a view to being supplied live to the final consumer. 8.2. "Wholesale market" means a food business that includes several separate units which share common installations and sections where foodstuffs are sold to food business operators. _____________ ## Section I: Identification Marking When required in accordance with Article 5 or 6, and subject to the provisions of Annex III, food business operators must ensure that products of animal origin have an identification mark applied in compliance with the following provisions. ## A. Application Of The Identification Mark 1. The identification mark must be applied before the product leaves the establishment. 2. However, a new mark need not be applied to a product unless its packaging and/or wrapping is removed or it is further processed in another establishment, in which case the new mark must indicate the approval number of the establishment where these operations take place. 3. An identification mark is not necessary for eggs in respect of which Regulation (EC) No 1907/90 * lays down requirements concerning labelling or marking. 4. Food business operators must, in accordance with Article 18 of Regulation (EC) No 178/2002, have in place systems and procedures to identify food business operators from whom they have received, and to whom they have delivered, products of animal origin. ## B. Form Of The Identification Mark 5. The mark must be legible and indelible, and the characters easily decipherable. It must be clearly displayed for the competent authorities. 6. The mark must indicate the name of the country in which the establishment is located, which may be written out in full or shown as a two-letter code in accordance with the relevant ISO standard. In the case of Member States, however, these codes are AT, BE, DE, DK, ES, FI, FR, GR, IE, IT, LU, NL, PT, SE and UK. Food business operators may continue to use stocks and equipment that they ordered before the entry into force of this Regulation until they are exhausted or require replacement. 7. The mark must indicate the approval number of the establishment. If an establishment manufactures both food to which this Regulation applies and food to which it does not, the food business operator may apply the same identification mark to both types of food. 8. When applied in an establishment located within the Community, the mark must be oval in shape and include the abbreviation CE, EC, EF, EG, EK or EY. ## C. Method Of Marking 9. The mark may, depending on the presentation of different products of animal origin, be applied directly to the product, the wrapping or the packaging, or be printed on a label affixed to the product, the wrapping or the packaging. The mark may also be an irremovable tag made of a resistant material. 10. In the case of packaging containing cut meat or offal, the mark must be applied to a label fixed to the packaging, or printed on the packaging, in such a way that it is destroyed when the packaging is opened. This is not necessary, however, if the process of opening destroys the packaging. When wrapping provides the same protection as packaging, the label may be affixed to the wrapping. 11. For products of animal origin that are placed in transport containers or large packages and are intended for further handling, processing, wrapping or packaging in another establishment, the mark may be applied to the external surface of the container or packaging. 12. In the case of liquid, granulate and powdered products of animal origin carried in bulk, and fishery products carried in bulk, an identification mark is not necessary if accompanying documentation contains the information specified in paragraphs 6, 7 and, where appropriate, 8. 13. When products of animal origin are placed in a package destined for direct supply to the final consumer, it is sufficient to apply the mark to the exterior of that package only. 14. When the mark is applied directly to products of animal origin, the colours used must be authorised in accordance with Community rules on the use of colouring substances in foodstuffs. ## Section Ii: Objectives Of Haccp-Based Procedures 1. Food business operators operating slaughterhouses must ensure that the procedures that they have put in place in accordance with the general requirements of Article 5 of Regulation (EC) No …/2004 ∗ meet the requirements that the hazard analysis shows to be necessary and the specific requirements listed in paragraph 2. 2. The procedures must guarantee that each animal or, where appropriate, each lot of animals accepted onto the slaughterhouse premises: (a) is properly identified; (b) is accompanied by the relevant information from the holding of provenance referred to in Section III; (c) does not come from a holding or an area subject to a movement prohibition or other restriction for reasons of animal or public health, except when the competent authority so permits; (d) is clean; ∗ Official Publications Office is to insert the official number of Regulation on the hygiene of foodstuffs. (e) is healthy, as far as the food business operator can judge; and (f) is in a satisfactory state as regards welfare on arrival at the slaughterhouse. 3. In the event of failure to comply with any of the requirements listed under paragraph 2, the food business operator must notify the official veterinarian and take appropriate measures. ## Section Iii: Food Chain Information Food business operators operating slaughterhouses must, as appropriate, request, receive, check and act upon food chain information as set out in this Section in respect of all animals, other than wild game, sent or intended to be sent to the slaughterhouse. 1. Slaughterhouse operators must not accept animals onto the slaughterhouse premises unless they have requested and been provided with relevant food safety information contained in the records kept at the holding of provenance in accordance with Regulation (EC) No …/2004 ∗. 2. Slaughterhouse operators must be provided with the information no less than 24 hours before the arrival of animals at the slaughterhouse, except in the circumstances mentioned in point 7. 3. The relevant food safety information referred to in point 1 is to cover, in particular: (a) the status of the holding of provenance or the regional animal health status; (b) the animals' health status; ∗ Official Oublications Office is to insert the official number of Regulation on the hygiene of foodstuffs. (c) veterinary medicinal products or other treatments administered to the animals within a relevant period and with a withdrawal period greater than zero, together with their dates of administration and withdrawal periods; (d) the occurrence of diseases that may affect the safety of meat; (e) the results, if they are relevant to the protection of public health, of any analysis carried out on samples taken from the animals or other samples taken to diagnose diseases that may affect the safety of meat, including samples taken in the framework of the monitoring and control of zoonoses and residues; (f) relevant reports about previous ante- and post-mortem inspections of animals from the same holding of provenance including, in particular, reports from the official veterinarian; (g) production data, when this might indicate the presence of disease; and (h) the name and address of the private veterinarian normally attending the holding of provenance. 4. (a) However, it is not necessary for the slaughterhouse operator to be provided with: (i) the information referred to in point 3(a), (b), (f) and (h), if the operator is already aware of this information (for example, through a standing arrangement or a quality assurance scheme); or (ii) the information referred to in point 3(a), (b), (f) and (g), if the producer declares that there is no relevant information to report. (b) The information need not be provided as a verbatim extract from the records of the holding of provenance. It may be provided through electronic data exchange or in the form of a standardised declaration signed by the producer. 5. Food business operators deciding to accept animals onto the slaughterhouse premises after evaluating the relevant food chain information must make it available to the official veterinarian without delay and, except in the circumstances mentioned in point 7, no less than 24 hours before the arrival of the animal or lot. The food business operator must notify the official veterinarian of any information that gives rise to health concerns before ante-mortem inspection of the animal concerned. 6. If any animal arrives at the slaughterhouse without food chain information, the operator must immediately notify the official veterinarian. Slaughter of the animal may not take place until the official veterinarian so permits. 7. If the competent authority so permits, food chain information may accompany the animals to which it relates to the slaughterhouse, rather than arriving at least 24 hours in advance, in the case of: (a) porcine animals, poultry or farmed game that have undergone ante-mortem inspection at the holding of provenance, if a certificate that the veterinarian has signed stating that he or she examined the animals at the holding and found them to be healthy accompanies them; (b) domestic solipeds; (c) animals that have undergone emergency slaughter, if a declaration, that the veterinarian has signed recording the favourable outcome of the ante-mortem inspection accompanies them; and (d) animals that are not delivered directly from the holding of provenance to the slaughterhouse. Slaughterhouse operators must evaluate the relevant information. If they accept the animals for slaughter, they must give the documents mentioned in subparagraphs (a) and (c) to the official veterinarian. Slaughter or dressing of the animals may not take place until the official veterinarian so permits. 8. Food business operators must check passports accompanying domestic solipeds to ensure that the animal is intended for slaughter for human consumption. If they accept the animal for slaughter, they must give the passport to the official veterinarian." __________________ ## Section I: Meat Of Domestic Ungulates Chapter I: Transport Of Live Animals To The Slaughterhouse Food business operators transporting live animals to slaughterhouses must ensure compliance with the following requirements. 1. During collection and transport, animals must be handled carefully without causing unnecessary distress. 2. Animals showing symptoms of disease or originating in herds known to be contaminated with agents of public health importance may only be transported to the slaughterhouse when the competent authority so permits. ## Chapter Ii: Requirements For Slaughterhouses Food business operators must ensure that the construction, layout and equipment of slaughterhouses in which domestic ungulates are slaughtered meet the following requirements. 1. (a) Slaughterhouses must have adequate and hygienic lairage facilities or, climate permitting, waiting pens that are easy to clean and disinfect. These facilities must be equipped for watering the animals and, if necessary, feeding them. The drainage of the wastewater must not compromise food safety. (b) They must also have separate lockable facilities or, climate permitting, pens for sick or suspect animals with separate draining and sited in such a way as to avoid contamination of other animals, unless the competent authority considers that such facilities are unnecessary. (c) The size of the lairage facilities must ensure that the welfare of the animals is respected. Their layout must facilitate ante-mortem inspections, including the identification of the animals or groups of animals. 2. To avoid contaminating meat, they must: (a) have a sufficient number of rooms, appropriate to the operations being carried out; (b) have a separate room for the emptying and cleaning of stomachs and intestines, unless the competent authority authorises the separation in time of these operations within a specific slaughterhouse on a case-by-case basis; (c) ensure separation in space or time of the following operations: (i) stunning and bleeding; (ii) in the case of porcine animals, scalding, depilation, scraping and singeing; (iii) evisceration and further dressing; (iv) handling clean guts and tripe; (v) preparation and cleaning of other offal, particularly the handling of skinned heads if it does not take place at the slaughter line; (vi) packaging offal; and (vii) dispatching meat; (d) have installations that prevent contact between the meat and the floors, walls and fixtures; and (e) have slaughter lines (where operated) that are designed to allow constant progress of the slaughter process and to avoid cross-contamination between the different parts of the slaughter line. Where more than one slaughter line is operated in the same premises, there must be adequate separation of the lines to prevent cross-contamination. 3. They must have facilities for disinfecting tools with hot water supplied at not less than 82ºC, or an alternative system having an equivalent effect. 4. The equipment for washing hands used by the staff engaged in handling exposed meat must have taps designed to prevent the spread of contamination. 5. There must be lockable facilities for the refrigerated storage of detained meat and separate lockable facilities for the storage of meat declared unfit for human consumption. 6. There must be a separate place with appropriate facilities for the cleaning, washing and disinfection of means of transport for livestock. However, slaughterhouses need not have these places and facilities if the competent authority so permits and official authorised places and facilities exist nearby. 7. They must have lockable facilities reserved for the slaughter of sick and suspect animals. This is not essential if this slaughter takes place in other establishments authorised by the competent authority for this purpose, or at the end of the normal slaughter period. 8. If manure or digestive tract content is stored in the slaughterhouse, there must be a special area or place for that purpose. 9. They must have an adequately equipped lockable facility or, where needed, room for the exclusive use of the veterinary service. ## Chapter Iii: Requirements For Cutting Plants Food business operators must ensure that cutting plants handling meat of domestic ungulates: 1) are constructed so as to avoid contamination of meat, in particular by: (a) allowing constant progress of the operations; or (b) ensuring separation between the different production batches; 2) have rooms for the separate storage of packaged and exposed meat, unless stored at different times or in such a way that the packaging material and the manner of storage cannot be a source of contamination for the meat; 3) have cutting rooms equipped to ensure compliance with the requirements laid down in Chapter V; 4) have equipment for washing hands with taps designed to prevent the spread of contamination, for use by staff engaged in handling exposed meat; and 5) have facilities for disinfecting tools with hot water supplied at not less than 82ºC, or an alternative system having an equivalent effect. ## Chapter Iv: Slaughter Hygiene Food business operators operating slaughterhouses in which domestic ungulates are slaughtered must ensure compliance with the following requirements. 1. After arrival in the slaughterhouse, the slaughter of the animals must not be unduly delayed. However, where required for welfare reasons, animals must be given a resting period before slaughter. 2. (a) Meat from animals other than those referred to in subparagraphs (b) and (c) must not be used for human consumption if they die otherwise than by being slaughtered in the slaughterhouse. (b) Only live animals intended for slaughter may be brought into the slaughter premises, with the exception of: (i) animals that have undergone emergency slaughter outside the slaughterhouse in accordance with Chapter VI; (ii) animals slaughtered at the place of production in accordance with Section III; and (iii) wild game, in compliance with Section IV, Chapter II. (c) Meat from animals that undergo slaughter following an accident in a slaughterhouse may be used for human consumption if, on inspection, no serious lesions other than those due to the accident are found. 3. The animals or, where appropriate, each batch of animals sent for slaughter must be identified so that their origin can be traced. 4. Animals must be clean. 5. Slaughterhouse operators must follow the instructions of the veterinarian appointed by the competent authority in accordance with Regulation (EC) No…/2004 ∗ to ensure that ante-mortem inspection of every animal to be slaughtered is carried out under suitable conditions. ∗ Official Publications Office is to insert the official number of Regulation on the organisation of official controls. 6. Animals brought into the slaughter hall must be slaughtered without undue delay. 7. Stunning, bleeding, skinning, evisceration and other dressing must be carried out without undue delay and in a manner that avoids contaminating the meat. In particular: (a) the trachea and oesophagus must remain intact during bleeding, except in the case of slaughter according to a religious custom; (b) during the removal of hides and fleece: (i) contact between the outside of the skin and the carcase must be prevented; and (ii) operators and equipment coming into contact with the outer surface of hides and fleece must not touch the meat; (c) measures must be taken to prevent the spillage of digestive tract content during and after evisceration and to ensure that evisceration is completed as soon as possible after stunning; and (d) removal of the udder must not result in contamination of the carcase with milk or colostrum. 8. Complete skinning of the carcase and other parts of the body intended for human consumption must be carried out, except for porcine animals and the heads and feet of ovine and caprine animals and calves. Heads and feet must be handled so as to avoid contamination of other meat. 9. When not skinned, porcine animals must have their bristles removed immediately. The risk of contamination of the meat with scalding water must be minimised. Only approved additives may be used for this operation. Porcine animals must be thoroughly rinsed afterwards with potable water. 10. The carcases must not contain visible faecal contamination. Any visible contamination must be removed without delay by trimming or alternative means having an equivalent effect. 11. Carcases and offal must not come into contact with floors, walls or work stands. 12. Slaughterhouse operators must follow the instructions of the competent authority to ensure that post-mortem inspection of all slaughtered animals is carried out under suitable conditions in accordance with Regulation (EC) No…/2004 ∗. 13. Until post-mortem inspection is completed, parts of a slaughtered animal subject to such inspection must: (a) remain identifiable as belonging to a given carcase; and ∗ Official Publications Office is to insert the official number of Regulation on the organisation of official controls. (b) come into contact with no other carcase, offal or viscera, including those that have already undergone post-mortem inspection. However, provided that it shows no pathological lesion, the penis may be discarded immediately. 14. Both kidneys must be removed from their fatty covering. In the case of bovine and porcine animals, and solipeds, the peri-renal capsule must also be removed. 15. If the blood or other offal of several animals is collected in the same container before completion of post-mortem inspection, the entire contents must be declared unfit for human consumption if the carcase of one or more of the animals concerned has been declared unfit for human consumption. 16. After post-mortem inspection: (a) the tonsils of bovine animals and solipeds must be removed hygienically; (b) parts unfit for human consumption must be removed as soon as possible from the clean sector of the establishment; (c) meat detained or declared unfit for human consumption and inedible by-products must not come into contact with meat declared fit for human consumption; and (d) viscera or parts of viscera remaining in the carcase, except for the kidneys, must be removed entirely and as soon as possible, unless the competent authority authorises otherwise. 17. After completion of slaughter and post-mortem inspection, the meat must be stored in accordance with the requirements laid down in Chapter VII. 18. When destined for further handling: (a) stomachs must be scalded or cleaned; (b) intestines must be emptied and cleaned; and (c) heads and feet must be skinned or scalded and depilated. 19. Where establishments are approved for the slaughter of different animal species or for the handling of carcases of farmed game and wild game, precautions must be taken to prevent cross-contamination by separation either in time or in space of operations carried out on the different species. Separate facilities for the reception and storage of unskinned carcases of farmed game slaughtered at the farm and for wild game must be available. 20. If the slaughterhouse does not have lockable facilities reserved for the slaughter of sick or suspect animals, the facilities used to slaughter such animals must be cleaned, washed and disinfected under official supervision before the slaughter of other animals is resumed. ## Chapter V: Hygiene During Cutting And Boning Food business operators must ensure that cutting and boning of meat of domestic ungulates takes place in accordance with the following requirements. 1. Carcases of domestic ungulates may be cut into half-carcases or quarters, and half carcases into no more than three wholesale cuts, in slaughterhouses. Further cutting and boning must be carried out in a cutting plant. 2. The work on meat must be organised in such a way as to prevent or minimise contamination. To this end, food business operators must ensure in particular that: (a) meat intended for cutting is brought into the workrooms progressively as needed; (b) during cutting, boning, trimming, slicing, dicing, wrapping and packaging, the meat is maintained at not more than 3ºC for offal and 7ºC for other meat, by means of an ambient temperature of not more than 12ºC or an alternative system having an equivalent effect; and (c) where the premises are approved for the cutting of meat of different animal species, precautions are taken to avoid cross-contamination, where necessary by separation of the operations on the different species in either space or time. 3. However, meat may be boned and cut before it reaches the temperature referred to in point 2(b) in accordance with Chapter VII, point 3. 4. Meat may also be boned and cut prior to reaching the temperature referred to in point 2(b) when the cutting room is on the same site as the slaughter premises. In this case, the meat must be transferred to the cutting room either directly from the slaughter premises or after a waiting period in a chilling or refrigerating room. As soon as it is cut and, where appropriate, packaged, the meat must be chilled to the temperature referred to in point 2(b). ## Chapter Vi: Emergency Slaughter Outside The Slaughterhouse Food business operators must ensure that meat from domestic ungulates that have undergone emergency slaughter outside the slaughterhouse may be used for human consumption only if it complies with all the following requirements. 1. An otherwise healthy animal must have suffered an accident that prevented its transport to the slaughterhouse for welfare reasons. 2. A veterinarian must carry out an ante-mortem inspection of the animal. 3. The slaughtered and bled animal must be transported to the slaughterhouse hygienically and without undue delay. Removal of the stomach and intestines, but no other dressing, may take place on the spot, under the supervision of the veterinarian. Any viscera removed must accompany the slaughtered animal to the slaughterhouse and be identified as belonging to that animal. 4. If more than two hours elapse between slaughter and arrival at the slaughterhouse, the animal must be refrigerated. Where climatic conditions so permit, active chilling is not necessary. 5. A declaration by the food business operator who reared the animal, stating the identity of the animal and indicating any veterinary products or other treatments administered to the animal, dates of administration and withdrawal periods, must accompany the slaughtered animal to the slaughterhouse. 6. A declaration issued by the veterinarian recording the favourable outcome of the ante-mortem inspection, the date and time of, and reason for, emergency slaughter, and the nature of any treatment administered by the veterinarian to the animal, must accompany the slaughtered animal to the slaughterhouse. 7. The slaughtered animal must be fit for human consumption following post-mortem inspection carried out in the slaughterhouse in accordance with Regulation (EC) No…/2004 ∗, including any additional tests required in the case of emergency slaughter. 8. Food business operators must follow any instructions that the official veterinarian may give after post-mortem inspection concerning the use of the meat. 9. Food business operators may not place meat from animals having undergone emergency slaughter on the market unless it bears a special health mark which cannot be confused either with the health mark provided for in Regulation (EC) No…/2004 * or with the identification mark provided for in Annex II, Section I to this Regulation. Such meat may be placed on the market only in the Member State where slaughter takes place and in accordance with national law. ∗ Official Publications Office is to insert the official number of Regulation on the organisation of official controls. Food business operators must ensure that the storage and transport of meat of domestic ungulates takes place in accordance with the following requirements. 1. (a) Unless other specific provisions provide otherwise, post-mortem inspection must be followed immediately by chilling in the slaughterhouse to ensure a temperature throughout the meat of not more than 3ºC for offal and 7ºC for other meat along a chilling curve that ensures a continuous decrease of the temperature. However, meat may be cut and boned during chilling in accordance with Chapter V, point 4. (b) During the chilling operations, there must be adequate ventilation to prevent condensation on the surface of the meat. 2. Meat must attain the temperature specified in point 1 and remain at that temperature during storage. 3. Meat must attain the temperature specified in point 1 before transport, and remain at that temperature during transport. However, transport may also take place if the competent authority so authorises to enable the production of specific products, provided that: (a) such transport takes place in accordance with the requirements that the competent authority specifies in respect of transport from one given establishment to another; and (b) the meat leaves the slaughterhouse, or a cutting room on the same site as the slaughter premises, immediately and transport takes no more than two hours. 4. Meat intended for freezing must be frozen without undue delay, taking into account where necessary a stabilisation period before freezing. 5. Exposed meat must be stored and transported separately from packaged meat, unless stored or transported at different times or in such a way that the packaging material and the manner of storage or transport cannot be a source of contamination for the meat. ## Section Ii: Meat From Poultry And Lagomorphs Chapter I: Transport Of Live Animals To The Slaughterhouse Food business operators transporting live animals to slaughterhouses must ensure compliance with the following requirements. 1. During collection and transport, animals must be handled carefully without causing unnecessary distress. 2. Animals showing symptoms of disease or originating in flocks known to be contaminated with agents of public-health importance may only be transported to the slaughterhouse when permitted by the competent authority. 3. Crates for delivering animals to the slaughterhouse and modules, where used, must be made of non-corrodible material and be easy to clean and disinfect. Immediately after emptying and, if necessary, before re-use, all equipment used for collecting and delivering live animals must be cleaned, washed and disinfected. ## Chapter Ii: Requirements For Slaughterhouses Food business operators must ensure that the construction, layout and equipment of slaughterhouses in which poultry or lagomorphs are slaughtered meet the following requirements. 1. They must have a room or covered space for the reception of the animals and for their inspection before slaughter. 2. To avoid contaminating meat, they must: (a) have a sufficient number of rooms, appropriate to the operations being carried out; (b) have a separate room for evisceration and further dressing, including the addition of seasonings to whole poultry carcases, unless the competent authority authorises separation in time of these operations within a specific slaughterhouse on a case-by-case basis; (c) ensure separation in space or time of the following operations: (i) stunning and bleeding; (ii) plucking or skinning, and any scalding; and (iii) dispatching meat; (d) have installations that prevent contact between the meat and the floors, walls and fixtures; and (e) have slaughter lines (where operated) that are designed to allow a constant progress of the slaughter process and to avoid cross-contamination between the different parts of the slaughter line. Where more than one slaughter line is operated in the same premises, there must be adequate separation of the lines to prevent cross-contamination. 3. They must have facilities for disinfecting tools with hot water supplied at not less than 82ºC, or an alternative system having an equivalent effect. 4. The equipment for washing hands used by the staff engaged in handling exposed meat must have taps designed to prevent the spread of contamination. 5. There must be lockable facilities for the refrigerated storage of detained meat and separate lockable facilities for the storage of meat declared unfit for human consumption. 6. There must be a separate place with appropriate facilities for the cleaning, washing and disinfection of: (a) transport equipment such as crates; and (b) means of transport. These places and facilities are not compulsory for (b) if officially authorised places and facilities exist nearby. 7. They must have an adequately equipped lockable facility or, where needed, room for the exclusive use of the veterinary service. ## Chapter Iii: Requirements For Cutting Plants 1. Food business operators must ensure that cutting plants handling meat from poultry or lagomorphs: (a) are constructed so as to avoid contamination of meat, in particular by: (i) allowing constant progress of the operations; or (ii) ensuring separation between the different production batches; (b) have rooms for the separate storage of packaged and exposed meat, unless stored at different times or in such a way that the packaging material and the manner of storage cannot be a source of contamination for the meat; (c) have cutting rooms equipped to ensure compliance with the requirements laid down in Chapter V; (d) have equipment for washing hands used by staff handling exposed meat with taps designed to prevent the spread of contamination; and (e) have facilities for disinfecting tools with hot water supplied at not less than 82ºC, or an alternative system having an equivalent effect. 2. If the following operations are undertaken in a cutting plant: (a) the evisceration of geese and ducks reared for the production of "foie gras", which have been stunned, bled and plucked on the fattening farm; or (b) the evisceration of delayed eviscerated poultry, food business operators must ensure that separate rooms are available for that purpose. ## Chapter Iv: Slaughter Hygiene Food business operators operating slaughterhouses in which poultry or lagomorphs are slaughtered must ensure compliance with the following requirements. 1. (a) Meat from animals other than those referred to in (b) must not be used for human consumption if they die otherwise than by being slaughtered in the slaughterhouse. (b) Only live animals intended for slaughter may be brought into the slaughter premises, with the exception of: (i) delayed eviscerated poultry, geese and ducks reared for the production of "foie gras" and birds that are not considered as domestic but which are farmed as domestic animals, if slaughtered at the farm in accordance with Chapter VI; (ii) farmed game slaughtered at the place of production in accordance with Section III; and (iii) small wild game in accordance with Section IV, Chapter III. 2. Slaughterhouse operators must follow the instructions of the competent authority to ensure that ante-mortem inspection is carried out under suitable conditions. 3. Where establishments are approved for the slaughter of different animal species or for the handling of farmed ratites and small wild game, precautions must be taken to prevent cross contamination by separation either in time or in space of the operations carried out on the different species. Separate facilities for the reception and storage of carcases of farmed ratites slaughtered at the farm and for small wild game must be available. 4. Animals brought into the slaughter room must be slaughtered without undue delay. 5. Stunning, bleeding, skinning or plucking, evisceration and other dressing must be carried out without undue delay in such a way that contamination of the meat is avoided. In particular, measures must be taken to prevent the spillage of digestive tract contents during evisceration. 6. Slaughterhouse operators must follow the instructions of the competent authority to ensure that the post-mortem inspection is carried out under suitable conditions, and in particular that slaughtered animals can be inspected properly. 7. After post-mortem inspection: (a) parts unfit for human consumption must be removed as soon as possible from the clean sector of the establishment; (b) meat detained or declared unfit for human consumption and inedible by-products must not come into contact with meat declared fit for human consumption; and (c) viscera or parts of viscera remaining in the carcase, except for the kidneys, must be removed entirely, if possible, and as soon as possible, unless otherwise authorised by the competent authority. 8. After inspection and evisceration, slaughtered animals must be cleaned and chilled to not more than 4ºC as soon as possible, unless the meat is cut while warm. 9. When carcases are subjected to an immersion chilling process, account must be taken of the following. (a) Every precaution must be taken to avoid contamination of carcases, taking into account parameters such as carcase weight, water temperature, volume and direction of water flow and chilling time. (b) Equipment must be entirely emptied, cleaned and disinfected whenever this is necessary and at least once a day. 10. Sick or suspect animals, and animals slaughtered in application of disease eradication or control programmes, must not be slaughtered in the establishment except when permitted by the competent authority. In that event, slaughter must be performed under official supervision and steps taken to prevent contamination; the premises must be cleaned and disinfected before being used again. ## Chapter V: Hygiene During And After Cutting And Boning Food business operators must ensure that cutting and boning of meat of poultry and lagomorphs takes place in accordance with the following requirements. 1. The work on meat must be organised in such a way as to prevent or minimise contamination. To this end, food business operators must ensure in particular that: (a) meat intended for cutting is brought into the workrooms progressively as needed; (b) during cutting, boning, trimming, slicing, dicing, wrapping and packaging, the temperature of the meat is maintained at not more than 4ºC by means of an ambient temperature of 12ºC or an alternative system having an equivalent effect; and (c) where the premises are approved for the cutting of meat of different animal species, precautions are taken to avoid cross-contamination, where necessary by separation of the operations on the different species in either space or time. 2. However, meat may be boned and cut prior to reaching the temperature referred to in point 1(b) when the cutting room is on the same site as the slaughter premises, provided that it is transferred to the cutting room either: (a) directly from the slaughter premises; or (b) after a waiting period in a chilling or refrigerating room. 3. As soon as it is cut and, where appropriate, packaged, the meat must be chilled to the temperature referred to in point 1(b). 4. Exposed meat must be stored and transported separately from packaged meat, unless stored or transported at different times or in such a way that the packaging material and the manner of storage or transport cannot be a source of contamination for the meat. ## Chapter Vi: Slaughter On The Farm Food business operators may slaughter poultry referred to in Chapter IV, point 1(b)(i), on the farm only with the authorisation of the competent authority and in compliance with the following requirements. 1. The farm must undergo regular veterinary inspection. 2. The food business operator must inform the competent authority in advance of the date and time of slaughter. 3. The holding must have facilities for concentrating the birds to allow an ante-mortem inspection of the group to be made. 4. The holding must have premises suitable for the hygienic slaughter and further handling of the birds. 5. Animal welfare requirements must be complied with. 6. The slaughtered birds must be accompanied to the slaughterhouse by a declaration by the food business operator who reared the animal indicating any veterinary products or other treatments administered to the animal, dates of administration and withdrawal periods, and the date and time of slaughter. 7. The slaughtered animal must be accompanied to the slaughterhouse by a certificate issued by the official veterinarian or approved veterinarian in accordance with Regulation (EC) No …/2004 ∗. 8. In the case of poultry reared for the production of "foie gras", the uneviscerated birds must be transported immediately and, if necessary, refrigerated to a slaughterhouse or cutting plant. They must be eviscerated within 24 hours of slaughter under the supervision of the competent authority. 9. Delayed eviscerated poultry obtained at the farm of production may be kept for up to 15 days at a temperature of not more than 4ºC. It must then be eviscerated in a slaughterhouse or in a cutting plant located in the same Member State as the farm of production. ∗ Official Publications Office is to insert the official number of Regulation on the organisation of official controls. 1. The provisions of Section I apply to the production and placing on the market of meat from even-toed farmed game mammals (Crevice and Suede), unless the competent authority considers them inappropriate. 2. The provisions of Section II apply to the production and placing on the market of meat from ratites. However, those of Section I apply where the competent authority considers them appropriate. Appropriate facilities must be provided, adapted to the size of the animals. 3. Notwithstanding points 1 and 2, food business operators may slaughter farmed ratites and farmed ungulates referred to in point 1 at the place of origin with the authorisation of the competent authority if: (a) the animals cannot be transported, to avoid any risk for the handler or to protect the welfare of the animals; (b) the herd undergoes regular veterinary inspection; (c) the owner of the animals submits a request; (d) the competent authority is informed in advance of the date and time of slaughter of the animals; (e) the holding has procedures for concentrating the animals to allow an ante-mortem inspection of the group to be made; (f) the holding has facilities suitable for the slaughter, bleeding and, where ratites are to be plucked, plucking of the animals; (g) animal welfare requirements are complied with; (h) slaughtered and bled animals are transported to the slaughterhouse hygienically and without undue delay. If transport takes more than two hours, the animals are, if necessary, refrigerated. Evisceration may take place on the spot, under the supervision of the veterinarian; (i) a declaration by the food business operator who reared the animals, stating their identity and indicating any veterinary products or other treatments administered, dates of administration and withdrawal periods, accompanies the slaughtered animals to the slaughterhouse; and (j) during transport to the approved establishment, a certificate issued and signed by the official veterinarian or approved veterinarian, attesting to a favourable result of the ante-mortem inspection, correct slaughter and bleeding and the date and time of slaughter, accompanies the slaughtered animals. 4. Food business operators may also slaughter bison on the farm in accordance with paragraph 3 in exceptional circumstances. ## Chapter I: Training Of Hunters In Health And Hygiene 1. Persons who hunt wild game with a view to placing it on the market for human consumption must have sufficient knowledge of the pathology of wild game, and of the production and handling of wild game and wild game meat after hunting, to undertake an initial examination of wild game on the spot. 2. It is however enough if at least one person of a hunting team has the knowledge referred to in paragraph 1. References in this Section to a "trained person" are references to that person. 3. The trained person could also be the gamekeeper or the game manager if he or she is part of the hunting team or located in the immediate vicinity of where hunting is taking place. In the latter case, the hunter must present the wild game to the gamekeeper or game manager and inform them of any abnormal behaviour observed before killing. 4. Training must be provided to the satisfaction of the competent authority to enable hunters to become trained persons. It should cover at least the following subjects: (a) the normal anatomy, physiology and behaviour of wild game; (b) abnormal behaviour and pathological changes in wild game due to diseases, environmental contamination or other factors which may affect human health after consumption; (c) the hygiene rules and proper techniques for the handling, transportation, evisceration etc. of wild game animals after killing; and (d) legislation and administrative provisions on the animal and public health and hygiene conditions governing the placing on the market of wild game. 5. The competent authority should encourage hunters' organisations to provide such training. ## Chapter Ii: Handling Of Large Wild Game 1. After killing, large wild game must have their stomachs and intestines removed as soon as possible and, if necessary, be bled. 2. The trained person must carry out an examination of the body, and of any viscera removed, to identify any characteristics that may indicate that the meat presents a health risk. The examination must take place as soon as possible after killing. 3. Meat of large wild game may be placed on the market only if the body is transported to a game-handling establishment as soon as possible after the examination referred to in point 2. The viscera must accompany the body as specified in point 4. The viscera must be identifiable as belonging to a given animal. 4. (a) If no abnormal characteristics are found during the examination referred to in paragraph 2, no abnormal behaviour was observed before killing, and there is no suspicion of environmental contamination, the trained person must attach to the animal body a numbered declaration stating this. This declaration must also indicate the date, time and place of killing. In this case, the head and the viscera need not accompany the body, except in the case of species susceptible to Trichinosis (porcine animals, solipeds and others), whose head (except for tusks) and diaphragm must accompany the body. However, hunters must comply with any additional requirements imposed in the Member State where hunting takes place, in particular to permit the monitoring of certain residues and substances in accordance with Directive 96/23/EC; (b) In other circumstances, the head (except for tusks, antlers and horns) and all the viscera except for the stomach and intestines must accompany the body. The trained person who carried out the examination must inform the competent authority of the abnormal characteristics, abnormal behaviour or suspicion of environmental contamination that prevented him or her from making a declaration in accordance with (a); (c) If no trained person is available to carry out the examination referred to in paragraph 2 in a particular case, the head (except for tusks, antlers and horns) and all the viscera except for the stomach and the intestines must accompany the body. 5. Chilling must begin within a reasonable period of time after killing and achieve a temperature throughout the meat of not more than 7°C. Where climatic conditions so permit, active chilling is not necessary. 6. During transport to the game-handling establishment, heaping must be avoided. 7. Large wild game delivered to a game-handling establishment must be presented to the competent authority for inspection. 8. In addition, unskinned large wild game may be skinned and placed on the market only if: (a) before skinning, it is stored and handled separately from other food and not frozen; and (b) after skinning, it undergoes a final inspection in accordance with Regulation (EC) No …/2004 ∗. 9. The rules laid down in Section I, Chapter V, apply to the cutting and boning of large wild game. ## Chapter Iii: Handling Of Small Wild Game 1. The trained person must carry out an examination to identify any characteristics that may indicate that the meat presents a health risk. The examination must take place as soon as possible after killing. ∗ Official Publications Office is to insert the official number of Regulation on the organisation of official controls. 2. If abnormal characteristics are found during the examination, abnormal behaviour was observed before killing, or environmental contamination is suspected, the trained person must inform the competent authority. 3. Meat of small wild game may be placed on the market only if the body is transported to a game-handling establishment as soon as possible after the examination referred to in point 1. 4. Chilling must begin within a reasonable period of time of killing and achieve a temperature throughout the meat of not more than 4°C. Where climatic conditions so permit, active chilling is not necessary. 5. Evisceration must be carried out, or completed, without undue delay upon arrival at the game-handling establishment, unless the competent authority permits otherwise. 6. Small wild game delivered to a game-handling establishment must be presented to the competent authority for inspection. 7. The rules laid down in Section II, Chapter V, apply to the cutting and boning of small wild game. ## Section V: Minced Meat, Meat Preparations And Mechanically Separated Meat (Msm) Chapter I: Requirements For Production Establishments Food business operators operating establishments producing minced meat, meat preparations or MSM must ensure that they: 1) are constructed so as to avoid contamination of meat and products, in particular by: (a) allowing constant progress of the operations; or (b) ensuring separation between the different production batches; 2) have rooms for the separate storage of packaged and exposed meat and products, unless stored at different times or in such a way that the packaging material and the manner of storage cannot be a source of contamination for the meat or products; 3) have rooms equipped to ensure compliance with the temperature requirements laid down in Chapter III; 4) have equipment for washing hands used by staff handling exposed meat and products with taps designed to prevent the spread of contamination; and 5) have facilities for disinfecting tools with hot water supplied at not less than 82ºC, or an alternative system having an equivalent effect. Food business operators producing minced meat, meat preparations or MSM must ensure that the raw materials used satisfy the following requirements. 1. The raw material used to prepare minced meat must meet the following requirements. (a) It must comply with the requirements for fresh meat; (b) It must derive from skeletal muscle, including adherent fatty tissues; (c) It must not derive from: (i) scrap cuttings and scrap trimmings (other than whole muscle cuttings); (ii) MSM; (iii) meat containing bone fragments or skin; or (iv) meat of the head with the exception of the masseters, the non-muscular part of the linea alba, the region of the carpus and the tarsus, bone scrapings and the muscles of the diaphragm (unless the serosa has been removed). 2. The following raw material may be used to prepare meat preparations: (a) fresh meat; (b) meat meeting the requirements of point 1; and (c) if the meat preparation is clearly not intended to be consumed without first undergoing heat treatment: (i) meat derived from the mincing or fragmentation of meat meeting the requirements of point 1 other than point 1(c)(i); and (ii) MSM meeting the requirements of Chapter III, point 3(d). 3. The raw material used to produce MSM must meet the following requirements. (a) It must comply with the requirements for fresh meat; (b) The following material must not be used to produce MSM: (i) for poultry, the feet, neckskin and head; and (ii) for other animals, the bones of the head, feet, tails, femur, tibia, fibula, humerus, radius and ulna. Food business operators producing minced meat, meat preparations or MSM must ensure compliance with the following requirements. 1. The work on meat must be organised in such a way as to prevent or minimise contamination. To this end, food business operators must ensure in particular that the meat used is: (a) at a temperature of not more than 4ºC for poultry, 3ºC for offal and 7ºC for other meat; and (b) brought into the preparation room progressively as needed. 2. The following requirements apply to the production of minced meat and meat preparations. (a) Unless the competent authority authorises boning immediately before mincing, frozen or deep-frozen meat used for the preparation of minced meat or meat preparations must be boned before freezing. It may be stored only for a limited period. (b) When prepared from chilled meat, minced meat must be prepared: (i) in the case of poultry, within no more than 3 days of their slaughter; (ii) in the case of animal other than poultry, within no more than 6 days of their slaughter; or (iii) within no more than 15 days from the slaughter of the animals in the case of boned, vacuum-packed beef and veal. (c) Immediately after production, minced meat and meat preparations must be wrapped or packaged and be: (i) chilled to an internal temperature of not more than 2ºC for minced meat and 4°C for meat preparations; or (ii) frozen to an internal temperature of not more than -18°C. These temperature conditions must be maintained during storage and transport. 3. The following requirements apply to the production and use of MSM produced using techniques that do not alter the structure of the bones used in the production of MSM and the calcium content of which is not significantly higher than that of minced meat. (a) Raw material for deboning from an on-site slaughterhouse must be no more than 7 days old; otherwise, raw material for deboning must be no more than 5 days old. However, poultry carcases must be no more than 3 days old. (b) Mechanical separation must take place immediately after deboning. (c) If not used immediately after being obtained, MSM must be wrapped or packaged and then chilled to a temperature of not more than 2°C or frozen to an internal temperature of not more than -18°C. These temperature requirements must be maintained during storage and transport. (d) If the food business operator has carried out analyses demonstrating that MSM complies with the microbiological criteria for minced meat adopted in accordance with Regulation (EC) No…/2004 ∗ it may be used in meat preparations that are clearly not intended to be consumed without first undergoing heat treatment and in meat products. (e) MSM not shown to comply with the criteria referred to in (d) may be used only to manufacture heat-treated meat products in establishments approved in accordance with this Regulation. 4. The following requirements apply to the production and use of MSM produced using techniques other than those mentioned in point 3. (a) Raw material for deboning from an on-site slaughterhouse must be no more than 7 days old; otherwise, raw material for deboning must be no more than 5 days old. However, poultry carcases must be no more than 3 days old. (b) If mechanical separation does not take place immediately after deboning the flesh-bearing bones must be stored and transported at a temperature of not more than 2°C or, if frozen, at a temperature of not more than -18°C. (c) Flesh-bearing bones obtained from frozen carcases must not be refrozen. (d) If not used within one hour of being obtained, MSM must be chilled immediately to a temperature of not more than 2°C. (e) If, after chilling, MSM is not processed within 24 hours, it must be frozen within 12 hours of production and reach an internal temperature of not more than -18°C within six hours. (f) Frozen MSM must be wrapped or packaged before storage or transport, must not be stored for more than three months and must be maintained at a temperature of not more than –18ºC during storage and transport. (g) MSM may be used only to manufacture heat-treated meat products in establishments approved in accordance with this Regulation. 5. Minced meat, meat preparations and MSM must not be re-frozen after thawing. ## Chapter Iv: Labelling 1. In addition to the requirements of Directive 2000/13/EC *, food business operators must ensure compliance with the requirement of point 2 if, and to the extent that, national rules in the Member State in the territory of which the product is placed on the market so require. 2. Packages intended for supply to the final consumer containing minced meat from poultry or solipeds or meat preparations containing MSM must bear a notice indicating that such products should be cooked before consumption. ## Section Vi: Meat Products 1. Food business operators must ensure that the following items are not used in the preparation of meat products: (a) genital organs of either female or male animals, except testicles; (b) urinary organs, except the kidneys and the bladder; (c) the cartilage of the larynx, the trachea and the extra-lobular bronchi; (d) eyes and eyelids; (e) the external auditory meatus; (f) horn tissue; and (g) in poultry, the head - except the comb and the ears, the wattles and caruncles - the oesophagus, the crop, the intestines and the genital organs. 2. All meat, including minced meat and meat preparations, used to produce meat product must meet the requirements for fresh meat. However, minced meat and meat preparations used to produce meat products need not satisfy other specific requirements of Section V. ## Section Vii: Live Bivalve Molluscs 1. This Section applies to live bivalve molluscs. With the exception of the provisions on purification, it also applies to live echinoderms, tunicates and marine gastropods. 2. Chapters I to VIII apply to animals harvested from production areas that the competent authority has classified in accordance with Regulation (EC) No …/2004 ∗. Chapter IX applies to pectinidae harvested outside those areas. 3. Chapters V, VI, VIII and IX, and paragraph 3 of Chapter VII, apply to retail. 4. The requirements of this Section supplement those laid down in Regulation (EC) No …/2004 ∗∗. (a) In the case of operations that take place before live bivalve molluscs arrive at a dispatch or purification centre, they supplement the requirements of Annex I to that Regulation. (b) In the case of other operations, they supplement the requirements of Annex II to that Regulation. ∗ Official Publications Office is to insert the official number of Regulation on the organisation of official controls. ∗∗ Official Publications Office is to insert the official number of Regulation on the hygiene of foodstuffs. 1. Live bivalve molluscs may not be placed on the market for retail sale otherwise than via a dispatch centre, where an identification mark must be applied in accordance with Chapter VII. 2. Food business operators may accept batches of live bivalve molluscs only if the documentary requirements set out in paragraphs 3 to 7 have been complied with. 3. Whenever a food business operator moves a batch of live bivalve molluscs between establishments, up to and including the arrival of the batch at a dispatch centre or processing establishment, a registration document must accompany the batch. 4. The registration document must be in at least one official language of the Member State in which the receiving establishment is located and contain at least the information specified below. (a) In the case of a batch of live bivalve molluscs sent from a production area, the registration document must contain at least the following information: (i) the gatherer's identity and address; (ii) the date of harvesting; (iii) the location of the production area described in as precise detail as is practicable or by a code number; (iv) the health status of the production area; (v) the shellfish species and quantity; and (vi) the destination of the batch. (b) In the case of a batch of live bivalve molluscs sent from a relaying area, the registration document must contain at least the information referred to in (a) and the following information: (i) the location of the relaying area; and (ii) the duration of relaying. (c) In the case of a batch of live bivalve molluscs sent from a purification centre, the registration document must contain at least the information referred to in (a) and the following information: (i) the address of the purification centre; (ii) the duration of purification; and (iii) the dates on which the batch entered and left the purification centre. 5. Food business operators sending batches of live bivalve molluscs must complete the relevant sections of the registration document so that they are easy to read and cannot be altered. Food business operators receiving batches must date-stamp the document on receipt of the batch or record the date of receipt in another manner. 6. Food business operators must keep a copy of the registration document relating to each batch sent and received for at least twelve months after its dispatch or receipt (or such longer period as the competent authority may specify). 7. However, if: (a) the staff gathering live bivalve molluscs also operate the dispatch centre, purification centre, relaying area or processing establishment receiving the live bivalve molluscs; and (b) a single competent authority supervises all the establishments concerned, registration documents are not necessary if that competent authority so permits. ## A. Requirements For Production Areas 1. Gatherers may only harvest live bivalve molluscs from production areas with fixed locations and boundaries that the competent authority has classified - where appropriate, in cooperation with food business operators - as being of class A, B or C in accordance with Regulation (EC) No …/2004 ∗. 2. Food business operators may place live bivalve molluscs collected from class A production areas on the market for direct human consumption only if they meet the requirements of Chapter V. 3. Food business operators may place live bivalve molluscs collected from class B production areas on the market for human consumption only after treatment in a purification centre or after relaying. 4. Food business operators may place live bivalve molluscs collected from class C production areas on the market for human consumption only after relaying over a long period in accordance with Part C of this Chapter. ∗ Official Publications Office is to insert the official number of Regulation on the organisation of official controls. 5. After purification or relaying, live bivalve molluscs from class B or C production areas must meet all of the requirements of Chapter V. However, live bivalve molluscs from such areas that have not been submitted for purification or relaying may be sent to a processing establishment, where they must undergo treatment to eliminate pathogenic microorganisms (where appropriate, after removal of sand, mud or slime in the same or another establishment). The permitted treatment methods are: (a) sterilisation in hermetically sealed containers; and (b) heat treatments involving: (i) immersion in boiling water for the period required to raise the internal temperature of the mollusc flesh to not less than 90°C and maintenance of this minimum temperature for a period of not less than 90 seconds; (ii) cooking for three to five minutes in an enclosed space where the temperature is between 120 and 160°C and the pressure is between 2 and 5 kg/cm2, followed by shelling and freezing of the flesh to a core temperature of -20°C; and (iii) steaming under pressure in an enclosed space satisfying the requirements relating to cooking time and the internal temperature of the mollusc flesh mentioned under (i). A validated methodology must be used. Procedures based on the HACCP principles must be in place to verify the uniform distribution of heat. 6. Food business operators must not produce live bivalve molluscs in, or harvest them from, areas that the competent authority has not classified, or which are unsuitable for health reasons. Food business operators must take account of any relevant information concerning areas' suitability for production and harvesting, including information obtained from own-checks and the competent authority. They must use this information, particularly information on environmental and weather conditions, to determine the appropriate treatment to apply to harvested batches. ## B. Requirements For Harvesting And Handling Following Harvesting Food business operators harvesting live bivalve molluscs, or handling them immediately after harvesting, must ensure compliance with the following requirements. 1. Harvesting techniques and further handling must not cause additional contamination or excessive damage to the shells or tissues of the live bivalve molluscs or result in changes significantly affecting their suitability for treatment by purification, processing or relaying. Food business operators must in particular: (a) adequately protect live bivalve molluscs from crushing, abrasion or vibration; (b) not expose live bivalve molluscs to extreme temperatures; (c) not re-immerse live bivalve molluscs in water that could cause additional contamination; and (d) if carrying out conditioning in natural sites, use only areas that the competent authority has classified as being of class A. 2. Means of transport must permit adequate drainage, be equipped to ensure the best survival conditions possible and provide efficient protection against contamination. ## C. Requirements For Relaying Live Bivalve Molluscs Food business operators relaying live bivalve molluscs must ensure compliance with the following requirements. 1. Food business operators may use only those areas that the competent authority has approved for relaying live bivalve molluscs. Buoys, poles or other fixed means must clearly identify the boundaries of the sites. There must be a minimum distance between relaying areas, and also between relaying areas and production areas, so as to minimise any risk of the spread of contamination. 2. Conditions for relaying must ensure optimal conditions for purification. In particular, food business operators must: (a) use techniques for handling live bivalve molluscs intended for relaying that permit the resumption of filter-feeding activity after immersion in natural waters; (b) not relay live bivalve molluscs at a density that prevents purification; (c) immerse live bivalve molluscs in seawater at the relaying area for an appropriate period, fixed depending on the water temperature, which period must be of at least two months' duration unless the competent authority agrees to a shorter period on the basis of the food business operator's risk analysis; and (d) ensure sufficient separation of sites within a relaying area to prevent mixing of batches; the "all in, all out" system must be used, so that a new batch cannot be brought in before the whole of the previous batch has been removed. 3. Food business operators managing relaying areas must keep permanent records of the source of live bivalve molluscs, relaying periods, relaying areas used and the subsequent destination of the batch after relaying, for inspection by the competent authority. ## Chapter Iii: Structural Requirements For Dispatch And Purification Centres 1. The location of premises on land must not be subject to flooding by ordinary high tides or run-off from surrounding areas. 2. Tanks and water storage containers must meet the following requirements: (a) Internal surfaces must be smooth, durable, impermeable and easy to clean. (b) They must be constructed so as to allow complete draining of water. (c) Any water intake must be situated in a position that avoids contamination of the water supply. 3. In addition, in purification centres, purification tanks must be suitable for the volume and type of products to be purified. ## A. Requirements For Purification Centres Food business operators purifying live bivalve molluscs must ensure compliance with the following requirements. 1. Before purification commences, live bivalve molluscs must be washed free of mud and accumulated debris using clean water. 2. Operation of the purification system must allow live bivalve molluscs rapidly to resume and to maintain filter-feeding activity, to eliminate sewage contamination, not to become re-contaminated and to be able to remain alive in a suitable condition after purification for wrapping, storage and transport before being placed on the market. 3. The quantity of live bivalve molluscs to be purified must not exceed the capacity of the purification centre. The live bivalve molluscs must be continuously purified for a period sufficient to achieve compliance with allow the health standards of Chapter V and microbiological criteria adopted in accordance with Regulation (EC) No …/2004 ∗. 4. Should a purification tank contain several batches of live bivalve molluscs, they must be of the same species and the length of the treatment must be based on the time required by the batch needing the longest period of purification. foodstuffs. 5. Containers used to hold live bivalve molluscs in purification systems must have a construction that allows clean seawater to flow through. The depth of layers of live bivalve molluscs must not impede the opening of shells during purification. 6. No crustaceans, fish or other marine species may be kept in a purification tank in which live bivalve molluscs are undergoing purification. 7. Every package containing purified live bivalve molluscs sent to a dispatch centre must be provided with a label certifying that all molluscs have been purified. ## B. Requirements For Dispatch Centres Food business operators operating dispatch centres must ensure compliance with the following requirements. 1. Handling of live bivalve molluscs, particularly conditioning, calibration, wrapping and packing, must not cause contamination of the product or affect the viability of the molluscs. 2. Before dispatch, the shells of live bivalve molluscs must be washed thoroughly with clean water. 3. Live bivalve molluscs must come from: (a) a class A production area; (b) a relaying area; (c) a purification centre; or (d) another dispatch centre. 4. The requirements laid down in points 1 and 2 also apply to dispatch centres situated on board vessels. Molluscs handled in such centres must come from a class A production area or a relaying area. ## Chapter V: Health Standards For Live Bivalve Molluscs In addition to ensuring compliance with microbiological criteria adopted in accordance with Regulation (EC) No …/2004 ∗, food business operators must ensure that live bivalve molluscs placed on the market for human consumption meet the standards laid down in this Chapter. 1. They must have organoleptic characteristics associated with freshness and viability, including shells free of dirt, an adequate response to percussion and normal amounts of intravalvular liquid. 2. They must not contain marine biotoxins in total quantities (measured in the whole body or any part edible separately) that exceed the following limits: (a) for Paralytic Shellfish Poison (PSP), 800 micrograms per kilogram; (b) for Amnesic Shellfish Poison (ASP), 20 milligrams of domoic acid per kilogram; (c) for okadaic acid, dinophysistoxins and pectenotoxins together, 160 micrograms of okadaic acid equivalents per kilogram; (d) for yessotoxins, 1 milligram of yessotoxin equivalent per kilogram; and (e) for azaspiracids, 160 micrograms of azaspiracid equivalents per kilogram. ## Chapter Vi: Wrapping And Packaging Of Live Bivalve Molluscs 1. Oysters must be wrapped or packaged with the concave shell downwards. 2. Individual consumer-size packages of live bivalve molluscs must be closed and remain closed after leaving the dispatch centre and until presented for sale to the final consumer. ## Chapter Vii: Identification Marking And Labelling 1. The label, including the identification mark, must be waterproof. 2. In addition to the general requirements for identification marks contained in Annex II, Section I, the following information must be present on the label: (a) the species of bivalve mollusc (common name and scientific name); and (b) the date of packaging, comprising at least the day and the month. By way of derogation from Directive 2000/13/EC, the date of minimum durability may be replaced by the entry "these animals must be alive when sold". 3. The retailer must keep the label attached to the packaging of live bivalve molluscs that are not in individual consumer-size packages for at least 60 days after splitting up the contents. ## Chapter Viii: Other Requirements 1. Food business operators storing and transporting live bivalve molluscs must ensure that they are kept at a temperature that does not adversely affect food safety or their viability. 2. Live bivalve molluscs must not be re-immersed in, or sprayed with, water after they have been packaged for retail sale and left the dispatch centre. ## Chapter Ix: Specific Requirements For Pectinidae Harvested Outside Classified Production Areas Food business operators harvesting pectinidae outside classified production areas or handling such pectinidae must comply with the following requirements. 1. Pectinidae may not be placed on the market unless they are harvested and handled in accordance with Chapter II, Part B, and meet the standards laid down in Chapter V, as proved by a system of own-checks. 2. In addition, where data from official monitoring programmes enable the competent authority to classify fishing grounds - where appropriate, in cooperation with food business operators – the provisions of Chapter II, Part A, apply by analogy to pectinidae. 3. Pectinidae may not be placed on the market for human consumption otherwise than via a fish auction, a dispatch centre or a processing establishment. When they handle pectinidae, food business operators operating such establishments must inform the competent authority and, as regards dispatch centres, comply with the relevant requirements of Chapters III and IV. 4. Food business operators handling pectinidae must comply: (a) with the documentary requirements of Chapter I, points 3 to 7, where applicable. In this case, the registration document must clearly indicate the location of the area where the pectinidae were harvested; or (b) as regards packaged pectinidae, and wrapped pectinidae if the wrapping provides protection equivalent to that of packaging, with the requirements of Chapter VII concerning identification marking and labelling. ## Section Viii: Fishery Products 1. This Section does not apply to bivalve molluscs, echinoderms, tunicates and marine gastropods when placed on the market live. With the exception of Chapters I and II, it applies to such animals when not placed on the market live, in which case they must have been obtained in accordance with Section VII. 2. Chapter III, Parts A, C and D, Chapter IV and Chapter V apply to retail. 3. The requirements of this Section supplement those laid down in Regulation (EC) No …/2004 ∗. (a) In the case of establishments, including vessels, engaged in primary production and associated operations they supplement the requirements of Annex I to that Regulation. (b) In the case of other establishments, including vessels, they supplement the requirements of Annex II to that Regulation. 4. In relation to fishery products: (a) primary production covers the farming, fishing and collection of live fishery products with a view to their being placed on the market; and (b) associated operations cover any of the following operations, if carried out on board fishing vessels: slaughter, bleeding, heading, gutting, removing fins, refrigeration and wrapping; they also include: (1) the transport and storage of fishery products the nature of which has not been substantially altered, including live fishery products, within fish farms on land and, (2) the transport of fishery products the nature of which has not been substantially altered, including live fishery products, from the place of production to the first establishment of destination. Food business operators must ensure that: 1. vessels used to harvest fishery products from their natural environment, or to handle or process them after harvesting, comply with the structural and equipment requirements laid down in Part I; and 2. operations carried out on board vessels take place in accordance with the rules laid down in Part II. ## I. Structural And Equipment Requirements A. Requirements for all vessels 1. Vessels must be designed and constructed so as not to cause contamination of the products with bilge-water, sewage, smoke, fuel, oil, grease or other objectionable substances. 2. Surfaces with which fishery products come into contact must be of suitable corrosion-resistant material that is smooth and easy to clean. Surface coatings must be durable and non-toxic. 3. Equipment and material used for working on fishery products must be made of corrosion-resistant material that is easy to clean and disinfect. 4. When vessels have a water intake for water used with fishery products, it must be situated in a position that avoids contamination of the water supply. B. Requirements for vessels designed and equipped to preserve fresh fishery products for more than twenty-four hours 1. Vessels designed and equipped to preserve fishery products for more than twenty-four hours must be equipped with holds, tanks or containers for the storage of fishery products at the temperatures laid down in Chapter VII. 2. Holds must be separated from the engine compartments and from the crew quarters by partitions which are sufficient to prevent any contamination of the stored fishery products. Holds and containers used for the storage of fishery products must ensure their preservation under satisfactory conditions of hygiene and, where necessary, ensure that melt water does not remain in contact with the products. 3. In vessels equipped for chilling fishery products in cooled clean seawater, tanks must incorporate devices for achieving a uniform temperature throughout the tanks. Such devices must achieve a chilling rate that ensures that the mix of fish and clean seawater reaches not more than 3ºC 6 hours after loading and not more than 0 °C after 16 hours and allow the monitoring and, where necessary, recording of temperatures. ## C. Requirements For Freezer Vessels Freezer vessels must: 1. have freezing equipment with sufficient capacity to lower the temperature rapidly so as to achieve a core temperature of not more than -18ºC; 2. have refrigeration equipment with sufficient capacity to maintain fishery products in the storage holds at not more than -18ºC. Storage holds must be equipped with a temperature-recording device in a place where it can be easily read. The temperature sensor of the reader must be situated in the area where the temperature in the hold is the highest; and 3. meet the requirements for vessels designed and equipped to preserve fishery products for more than 24 hours laid down in Part B, paragraph 2. D. Requirements for factory vessels 1. Factory vessels must have at least: (a) a receiving area reserved for taking fishery products on board, designed to allow each successive catch to be separated. This area must be easy to clean and designed so as to protect the products from the sun or the elements and from any source of contamination; (b) a hygienic system for conveying fishery products from the receiving area to the work area; (c) work areas that are large enough for the hygienic preparation and processing of fishery products, easy to clean and disinfect and designed and arranged in such a way as to prevent any contamination of the products; (d) storage areas for the finished products that are large enough and designed so that they are easy to clean. If a waste-processing unit operates on board, a separate hold must be designated for the storage of such waste; (e) a place for storing packaging materials that is separate from the product preparation and processing areas; (f) special equipment for disposing waste or fishery products that are unfit for human consumption directly into the sea or, where circumstances so require, into a watertight tank reserved for that purpose. If waste is stored and processed on board with a view to its sanitation, separate areas must be allocated for that purpose; (g) a water intake situated in a position that avoids contamination of the water supply; and (h) hand-washing equipment for use by the staff engaged in handling exposed fishery products with taps designed to prevent the spread of contamination. 2. However, factory vessels on board which crustaceans and molluscs are cooked, chilled and wrapped, need not meet the requirements of paragraph 1 if no other form of handling or processing takes place on board such vessels. 3. Factory vessels that freeze fishery products must have equipment meeting the requirements for freezer vessels laid down in Part C, points 1 and 2. ## Ii. Hygiene Requirements 1. When in use, the parts of vessels or containers set aside for the storage of fishery products must be kept clean and maintained in good repair and condition. In particular, they must not be contaminated by fuel or bilge water. 2. As soon as possible after they are taken on board, fishery products must be protected from contamination and from the effects of the sun or any other source of heat. When they are washed, the water used must be either potable water or, where appropriate, clean water. 3. Fishery products must be handled and stored so as to prevent bruising. Handlers may use spiked instruments to move large fish or fish which might injure them, provided that the flesh of the products suffers no damage. 4. Fishery products other than those kept alive must undergo chilling as soon as possible after loading. However, when chilling is not possible, fishery products must be landed as soon as possible. 5. Ice used to chill fishery products must be made from potable water or clean water. 6. Where fish are headed and/or gutted on board, such operations must be carried out hygienically as soon as possible after capture, and the products must be washed immediately and thoroughly with potable water or clean water. In that event, the viscera and parts that may constitute a danger to public health must be removed as soon as possible and kept apart from products intended for human consumption. Livers and roes intended for human consumption must be preserved under ice, at a temperature approaching that of melting ice, or be frozen. 7. Where freezing in brine of whole fish intended for canning is practised, a temperature of not more than -9 °C must be achieved for the product. The brine must not be a source of contamination for the fish. 1. Food business operators responsible for the unloading and landing of fishery products must: (a) ensure that unloading and landing equipment that comes into contact with fishery products is constructed of material that is easy to clean and disinfect and maintained in a good state of repair and cleanliness; and (b) avoid contamination of fishery products during unloading and landing, in particular by: (i) carrying out unloading and landing operations rapidly; (ii) placing fishery products without delay in a protected environment at the temperature specified in Chapter VII; and (iii) not using equipment and practices that cause unnecessary damage to the edible parts of the fishery products. 2. Food business operators responsible for auction and wholesale markets or parts thereof where fishery products are displayed for sale must ensure compliance with the following requirements. (a) (i) There must be lockable facilities for the refrigerated storage of detained fishery products and separate lockable facilities for the storage of fishery products declared unfit for human consumption. (ii) If the competent authority so requires, there must be an adequately equipped lockable facility or, where needed, room for the exclusive use of the competent authority. (b) At the time of display or storage of fishery products: (i) the premises must not be used for other purposes; (ii) vehicles emitting exhaust fumes likely to impair the quality of fishery products must not have access to the premises; (iii) persons having access to the premises must not introduce other animals; and (iv) the premises must be well lit to facilitate official controls. 3. When chilling was not possible on board the vessel, fresh fishery products, other than those kept alive, must undergo chilling as soon as possible after landing and be stored at a temperature approaching that of melting ice. 4. Food business operators must cooperate with relevant competent authorities so as to permit them to carry out official controls in accordance with Regulation (EC) No…/2004 ∗, in particular as regards any notification procedures for the landing of fishery products that the competent authority of the Member State the flag of which the vessel is flying or the competent authority of the Member State where the fishery products are landed might consider necessary. ∗ Official Publications Office is to insert the official number of Regulation on the organisation of official controls. ## Handling Fishery Products Food business operators must ensure compliance with the following requirements, where relevant, in establishments handling fishery products. ## A. Requirements For Fresh Fishery Products 1. Where chilled, unpackaged products are not distributed, dispatched, prepared or processed immediately after reaching an establishment on land, they must be stored under ice in appropriate facilities. Re-icing must be carried out as often as necessary. Packaged fresh fishery products must be chilled to a temperature approaching that of melting ice. 2. Operations such as heading and gutting must be carried out hygienically. Where gutting is possible from a technical and commercial viewpoint, it must be carried out as quickly as possible after the products have been caught or landed. The products must be washed thoroughly with potable water or, on board vessels, clean water immediately after these operations. 3. Operations such as filleting and cutting must be carried out so as to avoid contamination or spoilage of fillets and slices. Fillets and slices must not remain on the worktables beyond the time necessary for their preparation. Fillets and slices must be wrapped and, where necessary, packaged and must be chilled as quickly as possible after their preparation. 4. Containers used for the dispatch or storage of unpackaged prepared fresh fishery products stored under ice must ensure that melt water does not remain in contact with the products. 5. Whole and gutted fresh fishery products may be transported and stored in cooled water on board vessels. They may also continue to be transported in cooled water after landing, and be transported from aquaculture establishments, until they arrive at the first establishment on land carrying out any activity other than transport or sorting. ## B. Requirements For Frozen Products Establishments on land that freeze fishery products must have equipment that satisfies the requirements laid down for freezer vessels in Chapter I, Part I.C, points 1 and 2. ## C. Requirements For Mechanically Separated Fishery Products Food business operators manufacturing mechanically separated fishery products must ensure compliance with the following requirements. 1. The raw materials used must satisfy the following requirements. (a) Only whole fish and bones after filleting may be used to produce mechanically separated fishery products; (b) All raw materials must be free from guts. 2. The manufacturing process must satisfy the following requirements: (a) Mechanical separation must take place without undue delay after filleting; (b) If whole fish are used, they must be gutted and washed beforehand; (c) After production, mechanically separated fishery products must be frozen as quickly as possible or incorporated in a product intended for freezing or a stabilising treatment. ## D. Requirements Concerning Parasites 1. The following fishery products must be frozen at a temperature of not more than -20 °C in all parts of the product for not less than 24 hours; this treatment must be applied to the raw product or the finished product: (a) fishery products to be consumed raw or almost raw; (b) fishery products from the following species, if they are to undergo a cold smoking process in which the internal temperature of the fishery product is not more than 60 °C: (i) herring; (ii) mackerel; (iii) sprat; (iv) (wild) Atlantic and Pacific salmon; and (c) marinated and/or salted fishery products, if the processing is insufficient to destroy nematode larvae. 2. Food business operators need not carry out the treatment required under paragraph 1 if: (a) epidemiological data are available indicating that the fishing grounds of origin do not present a health hazard with regard to the presence of parasites; and (b) the competent authority so authorises. 3. A document from the manufacturer, stating the type of process they have undergone, must accompany fishery products referred to in paragraph 1 when placed on the market, except when supplied to the final consumer. ## Chapter Iv: Requirements For Processed Fishery Products Food business operators cooking crustaceans and molluscs must ensure compliance with the following requirements. 1. Rapid cooling must follow cooking. Water used for this purpose must be potable water or, on board vessels, clean water. If no other method of preservation is used, cooling must continue until a temperature approaching that of melting ice is reached. 2. Shelling or shucking must be carried out hygienically, avoiding contamination of the product. Where such operations are done by hand, workers must pay particular attention to washing their hands. 3. After shelling or shucking, cooked products must be frozen immediately, or be chilled as soon as possible to the temperature laid down in Chapter VII. ## Chapter V: Health Standards For Fishery Products In addition to ensuring compliance with microbiological criteria adopted in accordance with Regulation (EC) No …/2004 ∗, food business operators must ensure, depending on the nature of the product or the species, that fishery products placed on the market for human consumption meet the standards laid down in this Chapter. ## A. Organoleptic Properties Of Fishery Products Food business operators must carry out an organoleptic examination of fishery products. In particular, this examination must ensure that fishery products comply with any freshness criteria. ## B. Histamine Food business operators must ensure that the limits with regard to histamine are not exceeded. ∗ Official Publications Office is to insert the official number of Regulation on the hygiene of foodstuffs. ## C. Total Volatile Nitrogen Unprocessed fishery products must not be placed on the market if chemical tests reveal that the limits with regard to TVB-N or TMA-N have been exceeded. ## D. Parasites Food business operators must ensure that fishery products have been subjected to a visual examination for the purpose of detecting visible parasites before being placed on the market. They must not place fishery products that are obviously contaminated with parasites on the market for human consumption. ## E. Toxins Harmful To Human Health 1. Fishery products derived from poisonous fish of the following families must not be placed on the market: Tetraodontidae, Molidae, Diodontidae and Canthigasteridae. 2. Fishery products containing biotoxins such as ciguatoxin or muscle-paralysing toxins must not be placed on the market. However, fishery products derived from bivalve molluscs, echinoderms, tunicates and marine gastropods may be placed on the market if they have been produced in accordance with Section VII and comply with the standards laid down in Chapter V, point 2, of that Section. ## Chapter Vi: Wrapping And Packaging Of Fishery Products 1. Receptacles in which fresh fishery products are kept under ice must be water-resistant and ensure that melt water does not remain in contact with the products. 2. Frozen blocks prepared on board vessels must be adequately wrapped before landing. 3. When fishery products are wrapped on board fishing vessels, food business operators must ensure that wrapping material: (a) is not a source of contamination; (b) is stored in such a manner that it is not exposed to a risk of contamination; (c) intended for re-use is easy to clean and, where necessary, to disinfect. ## Chapter Vii: Storage Of Fishery Products Food business operators storing fishery products must ensure compliance with the following requirements. 1. Fresh fishery products, thawed unprocessed fishery products, and cooked and chilled products from crustaceans and molluscs, must be maintained at a temperature approaching that of melting ice. 2. Frozen fishery products must be kept at a temperature of not more than -18ºC in all parts of the product; however, whole frozen fish in brine intended for the manufacture of canned food may be kept at a temperature of not more than -9ºC. 3. Fishery products kept alive must be kept at a temperature and in a manner that does not adversely affect food safety or their viability. ## Chapter Viii: Transport Of Fishery Products Food business operators transporting fishery products must ensure compliance with the following requirements. 1. During transport, fishery products must be maintained at the required temperature. In particular: (a) fresh fishery products, thawed unprocessed fishery products, and cooked and chilled products from crustaceans and molluscs, must be maintained at a temperature approaching that of melting ice; (b) frozen fishery products, with the exception of frozen fish in brine intended for the manufacture of canned food, must be maintained during transport at an even temperature of not more than -18ºC in all parts of the product, possibly with short upward fluctuations of not more than 3°C. 2. Food business operators need not comply with point 1(b) when frozen fishery products are transported from a cold store to an approved establishment to be thawed on arrival for the purposes of preparation and/or processing, if the journey is short and the competent authority so permits. 3. If fishery products are kept under ice, melt water must not remain in contact with the products. 4. Fishery products to be placed on the market live must be transported in such a way as not adversely to affect food safety or their viability. ## Section Ix: Raw Milk And Dairy Products Chapter I: Raw Milk - Primary Production Food business operators producing or, as appropriate, collecting raw milk must ensure compliance with the requirements laid down in this Chapter. ## I. Health Requirements For Raw Milk Production 1. Raw milk must come from animals: (a) that do not show any symptoms of infectious diseases communicable to humans through milk; (b) that are in a good general state of health, present no sign of disease that might result in the contamination of milk and, in particular, are not suffering from any infection of the genital tract with discharge, enteritis with diarrhoea and fever, or a recognisable inflammation of the udder; (c) that do not have any udder wound likely to affect the milk; (d) to which no unauthorised substances or products have been administered and that have not undergone illegal treatment within the meaning of Directive 96/23/EC; and (e) in respect of which, where authorised products or substances have been administered, the withdrawal periods prescribed for these products or substances have been observed. 2. (a) In particular, as regards brucellosis, raw milk must come from: (i) cows or buffaloes belonging to a herd which, within the meaning of Directive 64/432/EEC *, is free or officially free of brucellosis; (ii) sheep or goats belonging to a holding officially free or free of brucellosis within the meaning of Directive 91/68/EEC †; or (iii) females of other species belonging, for species susceptible to brucellosis, to herds regularly checked for that disease under a control plan that the competent authority has approved. (b) As regards tuberculosis, raw milk must come from: (i) cows or buffaloes belonging to a herd which, within the meaning of Directive 64/432/EEC, is officially free of tuberculosis; or (ii) females of other species belonging, for species susceptible to tuberculosis, to herds regularly checked for this disease under a control plan that the competent authority has approved. (c) If goats are kept together with cows, such goats must be inspected and tested for tuberculosis. 3. However, raw milk from animals that do not meet the requirements of point 2 may be used with the authorisation of the competent authority: (a) in the case of cows or buffaloes that do not show a positive reaction to tests for tuberculosis or brucellosis, nor any symptoms of these diseases, after having undergone a heat treatment such as to show a negative reaction to the phosphatase test; (b) in the case of sheep or goats that do not show a positive reaction to tests for brucellosis, or which have been vaccinated against brucellosis as part of an approved eradication programme, and which do not show any symptom of that disease, either: (i) for the manufacture of cheese with a maturation period of at least two months; or (ii) after having undergone heat treatment such as to show a negative reaction to the phosphatase test; and (c) in the case of females of other species that do not show a positive reaction to tests for tuberculosis or brucellosis, nor any symptoms of these diseases, but belong to a herd where brucellosis or tuberculosis has been detected after the checks referred to in point 2(a)(iii) or 2(b)(ii), if treated to ensure its safety. 4. Raw milk from any animal not complying with the requirements of points 1 to 3 – in particular, any animal showing individually a positive reaction to the prophylactic tests vis-à-vis tuberculosis or brucellosis as laid down in Directive 64/432/EEC and Directive 91/68/EEC - must not be used for human consumption. 5. The isolation of animals that are infected, or suspected of being infected, with any of the diseases referred to in point 1 or 2 must be effective to avoid any adverse effect on other animals' milk. ## Ii. Hygiene On Milk Production Holdings A. Requirements for premises and equipment 1. Milking equipment, and premises where milk is stored, handled or cooled must be located and constructed so as to limit the risk of contamination of milk. 2. Premises for the storage of milk must be protected against vermin, have adequate separation from premises where animals are housed and, where necessary to meet the requirements laid down in Part B, have suitable refrigeration equipment. 3. Surfaces of equipment that are intended to come into contact with milk (utensils, containers, tanks, etc. intended for milking, collection or transport) must be easy to clean and, where necessary, disinfect and be maintained in a sound condition. This requires the use of smooth, washable and non-toxic materials. 4. After use, such surfaces must be cleaned and, where necessary, disinfected. After each journey, or after each series of journeys when the period of time between unloading and the following loading is very short, but in all cases at least once a day, containers and tanks used for the transport of raw milk must be cleaned and disinfected in an appropriate manner before re-use. B. Hygiene during milking, collection and transport 1. Milking must be carried out hygienically, ensuring in particular: (a) that, before milking starts, the teats, udder and adjacent parts are clean; (b) that milk from each animal is checked for organoleptic or physico-chemical abnormalities by the milker or a method achieving similar results and that milk presenting such abnormalities is not used for human consumption; (c) that milk from animals showing clinical signs of udder disease is not used for human consumption otherwise than in accordance with the instructions of a veterinarian; (d) the identification of animals undergoing medical treatment likely to transfer residues to the milk, and that milk obtained from such animals before the end of the prescribed withdrawal period is not used for human consumption; and (e) that teat dips or sprays are used only if the competent authority has approved them and in a manner that does not produce unacceptable residue levels in the milk. 2. Immediately after milking, milk must be held in a clean place designed and equipped to avoid contamination. It must be cooled immediately to not more than 8 °C in the case of daily collection, or not more than 6 °C if collection is not daily. 3. During transport the cold chain must be maintained and, on arrival at the establishment of destination, the temperature of the milk must not be more than 10ºC. 4. Food business operators need not comply with the temperature requirements laid down in points 2 and 3 if the milk meets the criteria provided for in Part III and either: (a) the milk is processed within 2 hours of milking; or (b) a higher temperature is necessary for technological reasons related to the manufacture of certain dairy products and the competent authority so authorises. C. Staff hygiene 1. Persons performing milking and/or handling raw milk must wear suitable clean clothes. 2. Persons performing milking must maintain a high degree of personal cleanliness. Suitable facilities must be available near the place of milking to enable persons performing milking and handling raw milk to wash their hands and arms. ## Iii. Criteria For Raw Milk 1. The following criteria for raw milk apply pending the establishment of standards in the context of more specific legislation on the quality of milk and dairy products. 2. A representative number of samples of raw milk collected from milk production holdings taken by random sampling must be checked for compliance with points 3 and 4. The checks may be carried out by, or on behalf of: (a) the food business operator producing the milk; (b) the food business operator collecting or processing the milk; (c) a group of food business operators; or (d) in the context of a national or regional control scheme. 3. (a) Food business operators must initiate procedures to ensure that raw milk meets the following criteria: (i) for raw cows' milk: | Plate count at 30 °C (per ml) | |----------------------------------| | (*) | | | | ≤ 400 000 | | (**) | | | | Somatic cell count (per ml) | (ii) for raw milk from other species: Plate count at 30 °C (per ml) ≤ 1 500 000 **(*)** (b) However, if raw milk from species other than cows is intended for the manufacture of products made with raw milk by a process that does not involve any heat treatment, food business operators must take steps to ensure that the raw milk used meets the following criterion. | Plate count at 30 °C (per ml) | |----------------------------------| | (*) | | | | | (*) Rolling geometric average over a two-month period, with at least two samples per month. (**) Rolling geometric average over a three-month period, with at least one sample per month, unless the competent authority specifies another methodology to take account of seasonal variations in production levels. 4. Without prejudice to Directive 96/23/EC, food business operators must initiate procedures to ensure that raw milk is not placed on the market if either: (a) it contains antibiotic residues in a quantity that, in respect of any one of the substances referred to in Annexes I and III to Regulation (EEC) No 2377/90 *, exceeds the levels authorised under that Regulation; or (b) the combined total of residues of antibiotic substances exceeds any maximum permitted value. 5. When raw milk fails to comply with point 3 or 4, the food business operator must inform the competent authority and take measures to correct the situation. ## Chapter Ii: Requirements Concerning Dairy Products I. Temperature Requirements 1. Food business operators must ensure that, upon acceptance at a processing establishment, milk is quickly cooled to not more than 6 °C and kept at that temperature until processed. 2. However, food business operators may keep milk at a higher temperature if: (a) processing begins immediately after milking, or within 4 hours of acceptance at the processing establishment; or (b) the competent authority authorises a higher temperature for technological reasons concerning the manufacture of certain dairy products. ## Ii. Requirements For Heat Treatment 1. When raw milk or dairy products undergo heat treatment, food business operators must ensure that this satisfies the requirements of Regulation (EC) No …/2004 ∗, Annex II, Chapter XI. 2. When considering whether to subject raw milk to heat treatment, food business operators must: (a) have regard to the procedures developed in accordance with the HACCP principles pursuant to Regulation (EC) No ..../2004 ∗; and (b) comply with any requirements that the competent authority may impose in this regard when approving establishments or carrying out checks in accordance with Regulation (EC) No …/2004 ∗∗. ∗ Official Publications Office is to insert official number of Regulation on the hygiene of foodstuffs. ∗∗ Official Publications Office is to insert official number of Regulation on the organisation of official controls. ## Iii. Criteria For Raw Cows' Milk 1. Food business operators manufacturing dairy products must initiate procedures to ensure that, immediately before processing: (a) raw cows' milk used to prepare dairy products has a plate count at 30ºC of less than 300 000 per ml; and (b) processed cows' milk used to prepare dairy products has a plate count at 30ºC of less than 100 000 per ml. 2. When milk fails to meet the criteria laid down in paragraph 1, the food business operator must inform the competent authority and take measures to correct the situation. ## Chapter Iii: Wrapping And Packaging Sealing of consumer packages must be carried out immediately after filling in the establishment where the last heat treatment of liquid dairy products takes place, by means of sealing devices that prevent contamination. The sealing system must be designed in such a way that, after opening, the evidence of its opening remains clear and easy to check. ## Chapter Iv: Labelling 1. In addition to the requirements of Directive 2000/13/EC, except in the cases envisaged in Article 13(4) and (5) of that Directive, labelling must clearly show: (a) in the case of raw milk intended for direct human consumption, the words "raw milk"; (b) in the case of products made with raw milk, the manufacturing process for which does not include any heat treatment or any physical or chemical treatment, the words "made with raw milk". 2. The requirements of paragraph 1 apply to products destined for retail trade. The term "labelling" includes any packaging, document, notice, label, ring or collar accompanying or referring to such products. ## Chapter V: Identification Marking By way of derogation from the requirements of Annex II, Section I: 1. rather than indicating the approval number of the establishment, the identification mark may include a reference to where on the wrapping or packaging the approval number of the establishment is indicated; 2. in the case of the reusable bottles, the identification mark may indicate only the initials of the consigning country and the approval number of the establishment. ## Chapter I: Eggs 1. At the producer's premises, and until sale to the consumer, eggs must be kept clean, dry, free of extraneous odour, effectively protected from shocks and out of direct sunshine. 2. Eggs must be stored and transported at a temperature, preferably constant, that is best suited to assure optimal conservation of their hygiene properties. 3. Eggs must be delivered to the consumer within a maximum time limit of 21 days of laying. ## Chapter Ii: Egg Products I. Requirements For Establishments Food business operators must ensure that establishments for the manufacture of egg products are constructed, laid out and equipped so as to ensure separation of the following operations: 1) washing, drying and disinfecting dirty eggs, where carried out; 2) breaking eggs, collecting their contents and removing parts of shells and membranes; and 3) operations other than those referred to in points 1 and 2. ## Ii. Raw Materials For The Manufacture Of Egg Products Food business operators must ensure that raw materials used to manufacture egg products comply with the following requirements. 1. The shells of eggs used in the manufacture of egg products must be fully developed and contain no breaks. However, cracked eggs may be used for the manufacture of egg products if the establishment of production or a packing centre delivers them directly to a processing establishment, where they must be broken as soon as possible. 2. Liquid egg obtained in an establishment approved for that purpose may be used as raw material. Liquid egg must be obtained in accordance with the requirements of points 1, 2, 3, 4 and 7 of Part III. ## Iii. Special Hygiene Requirements For The Manufacture Of Egg Products Food business operators must ensure that all operations are carried out in such a way as to avoid any contamination during production, handling and storage of egg products, in particular by ensuring compliance with the following requirements. 1. Eggs must not be broken unless they are clean and dry. 2. Eggs must be broken in a manner that minimises contamination, in particular by ensuring adequate separation from other operations. Cracked eggs must be processed as soon as possible. 3. Eggs other than those of hens, turkeys or guinea fowl must be handled and processed separately. All equipment must be cleaned and disinfected before processing of hens', turkeys' and guinea fowls' eggs is resumed. 4. Egg contents may not be obtained by the centrifuging or crushing of eggs, nor may centrifuging be used to obtain the remains of egg whites from empty shells for human consumption. 5. After breaking, each particle of the egg product must undergo processing as quickly as possible to eliminate microbiological hazards or to reduce them to an acceptable level. A batch that has been insufficiently processed may immediately undergo processing again in the same establishment, if this processing renders it fit for human consumption. When a batch is found to be unfit for human consumption, it must be denatured so as to ensure that it is not used for human consumption. 6. Processing is not required for egg white intended for the manufacture of dried or crystallised albumin destined subsequently to undergo heat treatment. 7. If processing is not carried out immediately after breaking, liquid egg must be stored either frozen or at a temperature of not more than 4 °C. The storage period before processing at 4 °C must not exceed 48 hours. However, these requirements do not apply to products to be de-sugared, if de-sugaring process is performed as soon as possible. 8. Products that have not been stabilised so as to be kept at room temperature must be cooled to not more than 4 °C. Products for freezing must be frozen immediately after processing. ## Iv. Analytical Specifications 1. The concentration of 3-OH-butyric acid must not exceed 10 mg/kg in the dry matter of the unmodified egg product. 2. The lactic acid content of raw material used to manufacture egg products must not exceed 1 g/kg of dry matter. However, for fermented products, this value must be the one recorded before the fermentation process. 3. The quantity of eggshell remains, egg membranes and any other particles in the processed egg product must not exceed 100 mg/kg of egg product. ## V. Labelling And Identification Marking 1. In addition to the general requirements for identification marking laid down in Annex II, Section I, consignments of egg products, destined not for retail but for use as an ingredient in the manufacture of another product, must have a label giving the temperature at which the egg products must be maintained and the period during which conservation may thus be assured. 2. In the case of liquid eggs, the label referred to in paragraph 1 must also bear the words: "non-pasteurised egg products - to be treated at place of destination" and indicate the date and hour of breaking. ## Section Xi: Frogs' Legs And Snails Food business operators preparing frogs' legs or snails for human consumption must ensure compliance with the following requirements. 1. Frogs and snails must be killed in an establishment constructed, laid out and equipped for that purpose. 2. Establishment in which frogs' legs are prepared must have a room reserved for the storage and washing of live frogs, and for their slaughter and bleeding. This room must be physically separate from the preparation room. 3. Frogs and snails that die otherwise than by being killed in the establishment must not be prepared for human consumption. 4. Frogs and snails must be subjected to an organoleptic examination carried out by sampling. If that examination indicates that they might present a hazard, they must not be used for human consumption. 5. Immediately following preparation, frogs' legs must be washed fully with running potable water and immediately chilled to a temperature approaching that of melting ice, frozen or processed. 6. After killing, snails' hepato-pancreas must, if it might present a hazard, be removed and not be used for human consumption. ## Section Xii: Rendered Animal Fats And Greaves Chapter I: Requirements Applicable To Establishments Collecting Or Processing Raw Materials Food business operators must ensure that establishments collecting or processing raw materials for the production of rendered animal fats and greaves comply with the following requirements. 1. Centres for the collection of raw materials and further transport to processing establishments must be equipped with facilities for the storage of raw materials at a temperature of not more than 7°C. 2. Each processing establishment must have: (a) refrigeration facilities; (b) a dispatch room, unless the establishment dispatches rendered animal fat only in tankers; and (c) if appropriate, suitable equipment for the preparation of products consisting of rendered animal fats mixed with other foodstuffs and/or seasonings. 3. However, the refrigeration facilities required under points 1 and 2(a) are not necessary if the arrangements for the supply of raw materials ensure that they are never stored or transported without active refrigeration otherwise than as provided for in Chapter II, point 1(d). ## Chapter Ii: Hygiene Requirements For The Preparation Of Rendered Animal Fat And Greaves Food business operators preparing rendered animal fats and greaves must ensure compliance with the following requirements. 1. Raw materials must: (a) derive from animals which have been slaughtered in a slaughterhouse, and which have been found fit for human consumption following ante-mortem and post-mortem inspection; (b) consist of adipose tissues or bones, which are reasonably free from blood and impurities; (c) come from establishments registered or approved under Regulation (EC) No …/2003 ∗ or under this Regulation; and (d) be transported, and stored until rendering, in hygienic conditions and at an internal temperature of not more than 7 °C. However, raw materials may be stored and transported without active refrigeration if rendered within 12 hours after the day on which they were obtained. 2. During rendering the use of solvents is prohibited. 3. When the fat for refining meets the standards laid down in point 4, rendered animal fat prepared in accordance with points 1 and 2 may be refined in the same establishment or in another establishment with a view to improving its physico-chemical quality. ∗ Official Publications Office is to insert official number of Regulation on the hygiene of foodstuffs. 4. Rendered animal fat, depending on type, must meet the following standards: | | | | | Ruminants | Porcine animals | Other animal fat | |----------------------|----------------------------|----------------------------|------------|----------------|--------------------|---------------------| | | Edible tallow | Tallow for | Edible fat | Lard and other | Edible | For | | refining | fat for refining | refining | | | | | | | Premier | | | | | | | Other | | Lard | | | | | | (2) | | | | | | | | | Other | | | | | | | jus | | | | | | | | (1) | | | | | | | | | | | | | | | | FFA (m/m% oleic | 0.75 | 1.25 | 3.0 | 0.75 | 1.25 | 2.0 | | acid) maximum | | | | | | | | Peroxide maximum | 4 meq/kg 4 meq/kg 6 meq/kg | 4 meq/kg 4 meq/kg 6 meq/kg | 4 meq/kg | 10 meq/kg | | | | Total insoluble | Maximum 0.15% | Maximum 0.5% | | | | | | impurities | | | | | | | | Odour, taste, colour | Normal | | | | | | (1) Rendered animal fat obtained by low-temperature rendering of fresh fat from the heart, caul, kidneys and mesentery of bovine animals, and fat from cutting rooms. (2) Rendered animal fat obtained from the adipose tissues of porcine animals. 5. Greaves intended for human consumption must be stored in accordance with the following temperature requirements. (a) When greaves are rendered at a temperature of not more than 70°C, they must be stored: (i) at a temperature of not more than 7°C for a period not exceeding 24 hours; or (ii) at a temperature of not more than –18°C. (b) When greaves are rendered at a temperature of more than 70°C and have a moisture content of 10% (m/m) or more, they must be stored: (i) at a temperature of not more than 7°C for a period not exceeding 48 hours or a time/temperature ratio giving an equivalent guarantee; or (ii) at a temperature of not more than -18°C. (c) When greaves are rendered at a temperature of more than 70°C and have a moisture content of less than 10% (m/m), there are no specific requirements. ## Section Xiii: Treated Stomachs, Bladders And Intestines Food business operators treating stomachs, bladders and intestines must ensure compliance with the following requirements. 1. Animal intestines, bladders and stomachs may be placed on the market only if: (a) they derive from animals which have been slaughtered in a slaughterhouse, and which have been found fit for human consumption following ante-mortem and post-mortem inspection; (b) they are salted, heated or dried; and (c) after the treatment referred to in (b), effective measures are taken to prevent re-contamination. 2. Treated stomachs, bladders and intestines that cannot be kept at ambient temperature must be stored chilled using facilities intended for that purpose until their dispatch. In particular, products that are not salted or dried must be kept at a temperature of not more than 3°C. ## Section Xiv: Gelatine 1. Food business operators manufacturing gelatine must ensure compliance with the requirements of this Section. 2. For the purpose of this Section, "tanning" means the hardening of hides, using vegetable tanning agents, chromium salts or other substances such as aluminium salts, ferric salts, silicic salts, aldehydes and quinones, or other synthetic hardening agents. ## Chapter I: Requirements For Raw Materials 1. For the production of gelatine intended for use in food, the following raw materials may be used: (a) bones; (b) hides and skins of farmed ruminant animals; (c) pig skins; (d) poultry skin; (e) tendons and sinews; (f) wild game hides and skins; and (g) fish skin and bones. 2. The use of hides and skins is prohibited if they have undergone any tanning process, regardless of whether this process was completed. 3. Raw materials listed in point 1(a) to (e) must derive from animals which have been slaughtered in a slaughterhouse and whose carcases have been found fit for human consumption following ante-mortem and post-mortem inspection or, in the case of hides and skins from wild game, found fit for human consumption. 4. Raw materials must come from establishments registered or approved under Regulation (EC) No …/2004 * or under this Regulation. 5. Collection centres and tanneries may also supply raw material for the production of gelatine intended for human consumption if the competent authority specifically authorises them for this purpose and they fulfil the following requirements. (a) They must have storage rooms with hard floors and smooth walls that are easy to clean and disinfect and, where appropriate, provided with refrigeration facilities. (b) The storage rooms must be kept in a satisfactory state of cleanliness and repair, so that they do not constitute a source of contamination for the raw materials. (c) If raw material not in conformity with this Chapter is stored and/or processed in these premises, it must be segregated from raw material in conformity with this Chapter throughout the period of receipt, storage, processing and dispatch. ## Chapter Ii: Transport And Storage Of Raw Materials 1. In place of the identification mark provided for in Annex II, Section I, a document indicating the establishment of origin and containing the information set out in the Appendix to this Annex must accompany raw materials during transport, when delivered to a collection centre or tannery and when delivered to the gelatine-processing establishment. 2. Raw materials must be transported and stored chilled or frozen unless they are processed within 24 hours after their departure. However, degreased and dried bones or ossein, salted, dried and limed hides, and hides and skins treated with alkali or acid may be transported and stored at ambient temperature. 1. The production process for gelatine must ensure that: (a) all ruminant bone material derived from animals born, reared or slaughtered in countries or regions classified as having a low incidence of BSE in accordance with Community legislation is subjected to a process which ensures that all bone material is finely crushed and degreased with hot water and treated with dilute hydrochloric acid (at minimum concentration of 4% and pH < 1.5) over a period of at least two days, followed by an alkaline treatment of saturated lime solution (pH > 12.5) for a period of at least 20 days with a sterilisation step of 138-140 °C during four seconds or by any approved equivalent process; and (b) other raw material is subjected to a treatment with acid or alkali, followed by one or more rinses. The pH must be adjusted subsequently. Gelatine must be extracted by heating one or several times in succession, followed by purification by means of filtration and sterilisation. 2. If a food business operator manufacturing gelatine complies with the requirements applying to gelatine intended for human consumption in respect of all the gelatine that it produces, it may produce and store gelatine not intended for human consumption in the same establishment. Food business operators must ensure that gelatine complies with the residue limits set out in the following table. | Residue | Limit | |---------------------------------|----------| | As | 1 ppm | | Pb | 5 ppm | | Cd | 0.5 ppm | | Hg | 0.15 ppm | | Cr | 10 ppm | | Cu | 30 ppm | | Zn | 50 ppm | | SO | | | 2 | | | ( Reith Williams) | 50 ppm | | H | | | 2 | | | O | | | 2 | | | (European Pharmacopoeia 1986 (V | | | 2 | | | O | | | 2 | | | )) | 10 ppm | ## Section Xv: Collagen 1. Food business operators manufacturing collagen must ensure compliance with the requirements of this Section. 2. For the purpose of this Section, "tanning" means the hardening of hides, using vegetable tanning agents, chromium salts or other substances such as aluminium salts, ferric salts, silicic salts, aldehydes and quinones, or other synthetic hardening agents. 1. For the production of collagen intended for use in food, the following raw materials may be used: (a) hides and skins of farmed ruminant animals; (b) pig skins and bones; (c) poultry skin and bones; (d) tendons; (e) wild game hides and skins; and (f) fish skin and bones. 2. The use of hides and skins is prohibited if they have undergone any tanning process, regardless of whether this process was completed. 3. Raw materials listed in point 1(a) to (d) must derive from animals which have been slaughtered in a slaughterhouse and whose carcases have been found fit for human consumption following ante-and post-mortem inspection or, in the case of hides and skins from wild game, found fit for human consumption. 4. Raw materials must come from establishments registered or approved under Regulation (EC) No …/2004 * or under this Regulation. 5. Collection centres and tanneries may also supply raw material for the production of collagen intended for human consumption if the competent authority specifically authorises them for this purpose and they fulfil the following requirements. (a) They must have storage rooms with hard floors and smooth walls that are easy to clean and disinfect and, where appropriate, provided with refrigeration facilities. (b) The storage rooms must be kept in a satisfactory state of cleanliness and repair, so that they do not constitute a source of contamination for the raw materials. (c) If raw material not in conformity with this Chapter is stored and/or processed in these premises, it must be segregated from raw material in conformity with this Chapter throughout the period of receipt, storage, processing and dispatch. ## Chapter Ii: Transport And Storage Of Raw Materials 1. In place of the identification mark provided for in Annex II, Section I, a document indicating the establishment of origin and containing the information set out in the Appendix to this Annex must accompany raw materials during transport, when delivered to a collection centre or tannery and when delivered to the collagen-processing establishment. 2. Raw materials must be transported and stored chilled or frozen unless they are processed within 24 hours after their departure. However, degreased and dried bones or ossein, salted, dried and limed hides, and hides and skins treated with alkali or acid may be transported and stored at ambient temperature. ## Chapter Iii: Requirements For The Manufacture Of Collagen 1. Collagen must be produced by a process that ensures that the raw material is subjected to a treatment involving washing, pH adjustment using acid or alkali followed by one or more rinses, filtration and extrusion or by an approved equivalent process. 2. After having been subjected to the process referred to in paragraph 1 above, collagen may undergo a drying process. 3. If a food business operator manufacturing collagen complies with the requirements applying to collagen intended for human consumption in respect of all the collagen that it produces, it may produce and store collagen not intended for human consumption in the same establishment. ## Chapter Iv: Requirements For Finished Products Food business operators must ensure that collagen complies with the residue limits set out in the following table. | Residue | Limit | |---------------------------------|----------| | As | 1 ppm | | Pb | 5 ppm | | Cd | 0,5 ppm | | Hg | 0,15 ppm | | Cr | 10 ppm | | Cu | 30 ppm | | Zn | 50 ppm | | SO | | | 2 | | | ( Reith Williams) | 50 ppm | | H | | | 2 | | | O | | | 2 | | | (European Pharmacopoeia 1986 (V | | | 2 | | | O | | | 2 | | | )) | 10 ppm | ## Chapter V: Labelling Wrapping and packaging containing collagen must bear the words "collagen fit for human consumption" and indicate the date of preparation. ## __________________ ## I. Identification Of Raw Material Type of products: ................................................................................................................................ Date of manufacture: ........................................................................................................................... Type of packaging: .............................................................................................................................. Number of packages: .......................................................................................................................... Guaranteed storage period: .................................................................................................................. Net weight (kg): .................................................................................................................................. ## Ii. Origin Of Raw Material Address(es) and registration number(s) of the approved production establishment(s): .................. ........................................................................................................................................................... ## Iii. Destination Of Raw Material The raw material will be sent: by the following means of transport: ............................................................................................... Name and address of consignor: ...................................................................................................... Name and address of consignee: ......................................................................................................

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## On**London** 2010 Author: John Hollis GLA Intelligence Unit City Hall Queen's Walk More London SE1 2AA London intelligence@london.gov.uk 020 7983 4658 Follow us on Twitter at: http://www. twitter.com/GLAIntelligence This report is available on the London Datastore at: http://data.london.gov.uk/datastore/applications/ focus-london-population-and-migration Contains Ordnance Survey data © Crown copyright and database rights 2010. ISSN 1479-7879 ## Populationand**Migration** Introduction London is the United Kingdom's only city region. Its population of 7.75 million is 12.5 per cent of the UK population living on just 0.6 per cent of the land area. The average population density is over 4,900 persons per square kilometre, this is ten times that of the second most densely populated region, the North West. London is second to the South East in terms of the size of its population, which is larger than that of Scotland and Northern Ireland combined (Table 1). Between 2001 and 2009 London's population grew by over 430 thousand, more than any other region, accounting for over 16 per cent of the UK increase. Only the East and East Midlands regions grew more rapidly than London's 5.9 per cent over the eight years (Table 2). ## Populationand**Migration** Table 1: Mid-Year Population Estimates, Table 2: Increase In Mid-Year Population 2009 | | | | Estimates, 2001-2009 | |------------------------|-----------|--------|-------------------------------| | Number | % | Number | % | | South East | 8,435,700 | 13.7 | | | London | 431,200 | 5.9 | | | London | 7,753,600 | 12.5 | | | South East | 412,300 | 5.1 | | | North West | 6,897,900 | 11.2 | East | | East | 5,766,600 | 9.3 | South West | | West Midlands | 5,431,100 | 8.8 | Yorkshire & the Humber | | Yorkshire & the Humber | 5,258,100 | 8.5 | East Midlands | | South West | 5,231,200 | 8.5 | West Midlands | | Scotland | 5,194,000 | 8.4 | Scotland | | East Midlands | 4,451,200 | 7.2 | North West | | Wales | 2,999,300 | 4.9 | Northern Ireland | | North East | 2,584,300 | 4.2 | Wales | | Northern Ireland | 1,788,900 | 2.9 | North East | Source: Office for National Statistics, mid-year estimates. ## Executive Summary > The mid-2009 estimate of London's population showed that there were 7,753,600 residents accounting for 12.5% of total UK population. > Between 2001 and 2009 London's population increased by 431,200 people accounting for over 16% of the UK increase. > Natural change accounted for 510,000 new Londoners over the 2001-2009 period. > Between 2001-2009 London attracted 1,380,000 migrants from Overseas and 1,460,000 from the rest of the UK. Of those leaving London 2,100,000 went to the rest of the UK and only 820,000 went Overseas. > The net inflow from Overseas was 560,000 thousand and the net loss to the rest of the UK was 640,000. > In 2008-09 natural change led to 78,000 more Londoners compared to only 8,000 due to migration. > In 2008 55% of births in London were to women born outside the UK. > Four of the top five inter-regional flows in the UK are to or from ## Populationand**Migration** London. > In 2001-02 of all inter-regional flows London only had a net inflow from the North East. In 2008-09 London had net gains from all regions except for East, South East and South West. > The only age group with a net inflow to London from the rest of the UK is the 20-29 age group. > Since 2001 London has seen its share of total immigration to the UK fall from around 37 to 28 per cent. > The number of immigrants coming to the UK from the Twelve EU Accession countries and obtaining a National Insurance Number increased from 11,300 in 2002/03 to 74,400 in 2008/09. In the same time span the number of asylum seekers fell from 37,700 to 8,900. > Between 2011 and 2031 London's population is projected to increase by 13% and reach 8,828,800 people. 4 ## Population Age Structure Since 2001 the growth in London's population has been concentrated in two age ranges; 0-6 and 37-52 (Chart 1). There has been a significant rise in the annual number of births since 2001 that accounts for the increase amongst the very young. The increase in the older range is mainly an artefact of the ageing of the large number of residents aged 29-44 in 2001, many of whom had been part of the large British birth cohorts of the 1960s. There has been a noticeable decline in the number of children aged seven to 16, also reflecting past trends in births and the tendency for families with younger children to move away from London. The young age structure of London with a very noticeable peak of population around the late 20s and early 30s is in marked contrast to the age structure of the UK as a whole. There are relatively few people in the UK at age 32 - reflecting the lowest recent birth numbers recorded in 1977 - yet this is one of the largest cohorts resident in London (Chart 2, p.6). Beyond age 45 London has relatively fewer residents at all ages, particularly so from the late 50s. The average age of a Londoner is 37 compared with 40 for the UK as a whole. There is an even larger difference comparing median ages (that is the age where half the population is older and half younger) with London at 34 and the UK at 39. Half of Londoners are 34 or younger while the equivalent age for the United Kingdom is 39. London's age structure is a legacy of the migration changes that have occurred over the last few decades with young migrants arriving in the capital while more mature workers with families and persons around retirement age leave. The age structure also influences the annual numbers of events and the statistical measures of fertility and mortality. This is discussed in later sections. The mid-2009 populations of the London boroughs are shown with broad age groupings in the Annex (Table 16, p.25). Newham had proportionally nearly twice the child population of Westminster while Havering had more than twice the retirement age population of Tower Hamlets. The main working ages as a whole were distributed more evenly ranging from Havering with just over 60 per cent to Westminster with over 74 per cent. However the age structures within this broad grouping also showed distinct borough characteristics with a younger profile in inner London boroughs. ## Components Of Change Natural change accounted for an increase of 510,000 in London's population over the 2001-2009 period. When separating out the main components of London's recent population increase, in purely numerical terms, it is natural change (births less deaths) that has had the major influence (Chart 3, p.7). Not only has natural change accounted for a 510 thousand increase over the eight years, it has increased its contribution year-on-year from 47 thousand in 2001-02 to 78 thousand in 2008-09. This change is a combination of a 23 thousand (22 per cent) increase in births and a reduction of eight thousand deaths. In recent years London has contributed a substantial share of natural change in the UK. In 2008-09 this was 36 per cent, compared with its 12.5 per cent share of the UK population. London's share has declined in recent years as the numbers of births have increased in all parts of the UK. In the last eight years London's overall net migration has been a loss of over 80 thousand, but this single statistic not only obscures the huge volumes of inflows and outflows but also the balance between migrants within the UK and those to and from Overseas. In this period the average annual inflow to London has been 356 thousand, with 366 thousand persons leaving. This means that on average 4.7 per cent of London's residents lived elsewhere a year earlier. Between 2001 and 2009 London attracted 1.38 million migrants from Overseas and 1.46 million from the rest of the UK. Of those leaving London 2.10 million went to the rest of the UK and only 820 thousand went Overseas. The net inflow from Overseas was 560 thousand and the net loss to the rest of the UK was 640 thousand. In the last two years the inflow from Overseas has fallen to the lowest levels in the decade while the, more volatile, outflow has increased. In 2008-09 the net international inflow was less than half of its level in 2001-02. The net loss from London to the rest of the UK was also at a recent low level in 2008-09 as a result of a sharp drop in the outflow from London and the inflow reaching record levels. The annual net loss is at less than a third of its level in 2002-04 and is less than half of the level in 2007-08. The recent changes in migration flows are discussed in more detail on page 10. All boroughs had more births than deaths in 2008- 09 and in the majority natural change had an higher absolute impact on overall population change than net migration (Table 3, p.8). The eight exceptions include only two - Kensington & Chelsea and Newham - where a net migration loss exceeded the natural increase. As would be expected from the migration flows for London, the majority of boroughs - 18 - gain population from international flows and lose through internal flows. However eight boroughs gain from both internal and international flows while three - Kensington & Chelsea, Lambeth and Southwark - have been estimated to have lost to both. Overall only two boroughs are estimated to have lost population in 2008-09 - Kensington & Chelsea and Newham. Since 2001 the populations of all boroughs have been estimated to have increased except for Brent and Newham. In 2008-09 natural change had an overall higher impact on London's population than migration. | | Natural Change | Migration | |------------------------|------------------|-------------| | Internal (UK) | International | Total | | Total | Population | | | Population | | | | In | Out | Net | | mid-2008 | mid-2009 | | | Births Deaths | Net | | | Change | | | | City of London | | | | 11.3 | 0.1 | 0.0 | | Barking and Dagenham | | | | 171.5 | 3.7 | 1.4 | | Barnet | | | | 338.1 | 5.2 | 2.4 | | Bexley | | | | 225.0 | 2.9 | 2.0 | | Brent | | | | 254.5 | 5.0 | 1.6 | | Bromley | | | | 308.0 | 4.0 | 2.6 | | Camden | | | | 226.5 | 3.1 | 1.1 | | Croydon | | | | 341.2 | 5.2 | 2.5 | | Ealing | | | | 312.1 | 5.5 | 1.9 | | Enfield | | | | 289.0 | 4.9 | 2.1 | | Greenwich | | | | 223.7 | 4.4 | 1.7 | | Hackney | | | | 212.8 | 4.4 | 1.1 | | Hammersmith and Fulham | | | | 168.6 | 2.7 | 0.9 | | Haringey | | | | 225.3 | 4.2 | 1.1 | | Harrow | | | | 225.4 | 3.3 | 1.4 | | Havering | | | | 232.3 | 2.7 | 2.2 | | Hillingdon | | | | 258.1 | 4.1 | 1.9 | | Hounslow | | | | 230.2 | 4.2 | 1.4 | | Islington | | | | 188.5 | 2.9 | 1.1 | | Kensington and Chelsea | | | | 171.1 | 2.2 | 0.8 | | Kingston upon Thames | | | | 164.6 | 2.3 | 1.0 | | Lambeth | | | | 281.4 | 4.8 | 1.6 | | Lewisham | | | | 262.0 | 4.8 | 1.7 | | Merton | | | | 202.8 | 3.4 | 1.2 | | Newham | | | | 242.4 | 5.9 | 1.4 | | Redbridge | | | | 263.8 | 4.1 | 1.8 | | Richmond upon Thames | | | | 187.2 | 2.8 | 1.1 | | Southwark | | | | 283.0 | 5.0 | 1.5 | | Sutton | | | | 189.5 | 2.7 | 1.4 | | Tower Hamlets | | | | 226.8 | 4.2 | 1.1 | | Waltham Forest | | | | 221.4 | 4.5 | 1.5 | | Wandsworth | | | | 283.7 | 5.3 | 1.6 | | Westminster | | | | 246.6 | 2.9 | 1.1 | | London | | | | 7,668.3 | 127.7 | 49.3 | ## Fertility And Mortality As discussed above natural change is the biggest driver of London's total population change, and it plays a significant part in UK population growth. Looking first at fertility, in 2008-09 London contributed 16.2 per cent of all UK births, however its recent fertility profile is little different to that of the UK (Table 4). The simplest reference measure for fertility is the crude birth rate - births per thousand resident population. By this measure fertility in London was much higher than in the UK (16.7 compared with 12.9 in 2008). A more subtle measure is the general fertility rate (GFR) - births per thousand resident women aged 15-44. Even here London is ahead of the UK at 69 compared to 63. However, it is age–specific fertility rates (ASFR) and the total fertility rate (TFR - the estimated lifetime births per woman based on current age-specific rates) that reveal the underlying differences between London and the UK. London exhibits age-specific fertility rates a little lower than the UK at ages below 35 but much higher rates for older women, however the total fertility rates of the two areas are extremely close (1.95 for London and 1.96 for the UK). ## Table 4: Fertility Measures, United Kingdom And London, 1991 And 2008 | | | 1991 | 2008 | |----------------------|--------|--------|--------| | UK | London | UK | London | | <20 | 33 | 29 | 26 | | 20-24 | 89 | 69 | 74 | | 25-29 | 120 | 97 | 108 | | 30-34 | 87 | 96 | 113 | | 35-39 | 32 | 47 | 58 | | 40+ | 5 | 10 | 12 | | 64 | 64 | 63 | 69 | | Fertility Rate | | | | | 1 | | | | | Total Fertility Rate | | | | | 2 | | | | | 1.82 | 1.72 | 1.96 | 1.95 | | Crude Birth Rate | | | | | 3 | | | | | 13.8 | 15.5 | 12.9 | 16.7 | | Total Births (000s) | 792.3 | 105.8 | 794.4 | 1 Births per thousand resident women aged 15-44. 2 Estimated lifetime births per woman based on current age-specific rates. 3 Births per thousand resident population. The total number of births in London reflects not just the high proportion of women aged 15-44, but also the Age-specific fertility rates in London are lower than the UK at ages below 35 but much greater for women above that age. distribution of those women in the ages of the highest fertility, the late 20s and early 30s. It is interesting to compare fertility measures for 1991 with 2008 as there were almost the same numbers of births, just over 790 thousand, in the UK in each year. However in London births rose from 106 thousand to 128 thousand. Both the crude birth rates and general fertility rates are higher in London, but in London the rates have risen while in the UK they have fallen. The age-specific fertility rates show a consistent change with the highest rates being at 30-34, rather than 25-29, increases at the older age groups and declines amongst the younger. At the ages where fertility declined, the UK rates fell more rapidly than London, while at ages where fertility has increased the UK rates rose faster than London. In London the greatest contribution to fertility is now being made by women aged over 30, but in the UK as a whole the greatest contribution is still being made by those below 30. The summation of these measures is the TFR. In London it has increased from 1.72 to 1.95, while in the UK the rise has been less rapid from 1.82 to 1.96. These apparent paradoxes in the fertility measures reflect the separate changes in the age structures of London and the UK - London has become more extreme with the proportion of women aged 15-44, and especially 25-34, increasing compared with relative declines in the UK. A major contributor to the increased numbers of young women in London is international migration. This is reflected in the birth statistics for 2008 (Chart 4, p.10) when nearly 55 per cent of births in London were to women born outside the UK. On this measure London was the highest region and the only one to have more than the England & Wales average of 24 per cent. Of all local authorities only Slough has a higher level than London - 56 per cent - but 15 individual London boroughs had higher proportions than Slough, led by Newham and Brent at over 70 per cent. London had 41 per cent of all births to women born outside the UK that occurred in England & Wales. This compared to just 11 per cent of births to UK-born women. In London most of the 'non-UK' births were to women from Africa (21 thousand) and Asia (20 thousand). ## Chart 4: Live Births By Birthplace Of Mother, London, 2008, Thousands Note: The 'European Union - new countries' constitutes the twelve countries which have joined the European Union since 2004. The 'European Union - old 15' comprises of fifteen member states which joined before 2004. Source: Office for National Statistics 01 1-4 5-15 16-24 25-34 35-44 45-54 55-64 65-74 75-84 85+ SMR2 Males UK 5.2 0.2 0.2 0.6 1.0 1.8 3.2 8.8 22.7 62.2 162.6 100 - London 4.7 0.2 0.1 0.5 0.6 1.4 3.5 9.3 22.5 57.0 144.5 93 - Females UK 4.2 0.2 0.1 0.2 0.5 1.1 2.1 5.7 14.6 45.0 146.6 100 - London 3.8 0.3 0.1 0.2 0.3 0.9 2.1 5.1 13.6 40.6 133.6 91 - All UK 4.7 0.2 0.2 0.4 0.8 1.5 2.6 7.2 18.4 52.3 151.6 100 9.4 London 4.3 0.2 0.1 0.4 0.5 1.1 2.8 7.1 17.7 47.5 137.3 92 6.6 1 Deaths of infants under one year of age per 1,000 live births. 2 Standardised mortality rate (SMR) is the ratio of observed deaths to those expected by applying a standard death rate to the area's population. 3 Crude death rate. While in London the young age structure leads to a relatively high number of births the reverse is true for deaths (Table 5). London's crude death rate in 2008 was only 6.6 (per thousand resident population) compared with 9.4 for the United Kingdom. The most straightforward way of measuring relative mortality between areas is the standardised mortality ratio (SMR) which compares actual recorded deaths in an area to the number that would have occurred if the standard (in this case, UK) age-specific mortality rates applied in each locality. For London the SMR is 92, implying that age-specific mortality rates are on average 8 per cent lower than for the UK as a whole. In 2008 London only had higher mortality rates for males at ages 45-64 and for females at 1-4 and 45-54. Over age 65, where mortality rates are highest, London has significantly better survivorship. CDR3 UK=100 ## Migration The importance of migration in shaping London's population should not be underestimated even if the combined net impact of UK and international migration has, in recent years, generally been negative. London is the hub for migration flows into and within the UK. This section will show the importance of London as the main focus of international migration to the UK as well as a magnet for students and young workers from the rest of the UK. London then becomes the main source of family and retirement migrants to the rest of the UK. ## Internal Migration This section considers migration within the UK at country and English regional level. The main source of data on long term trends of inter-regional migration is people re-registering with general practitioners (GPs). To partly overcome problems of late re-registration of young adults, ONS has recently added an analysis of moving students to enhance internal migration in the annual mid-year estimate change analysis - see p.6. However, here the GP reregistrations are considered independently based on the annualised tabulations available each quarter. 1. London to South East: 84k 2. South East to London: 57k 3. London to East: 54k 4. South East to South West: 39k 5. East to London: 32k 6. South West to South East: 32k 7. East to South East: 27k 8. South East to East: 24k 9. London to South West: 19k 10. North West to Yorks & Humber: 19k The 2001 Census showed that over two-thirds of moves in the UK were of less than 10 kilometres therefore it is not surprising that inter-regional moves between the UK's only city-region and its two neighbours, the East and South East, should be four of the top five inter-regional flows (Figure 1). In excess of two million Londoners live in boroughs that have boundaries with each of these regions; therefore many short distance radial moves away from the centre of London will have destinations in the adjacent regions (Chart 5). Inter-regional migration is largely concentrated in the greater South East with the nine largest flows having at least one of London, the East or South East as an origin or destination and all six flows between the three regions being in the top ten. and English Regions, selected years, thousands of people | | | | | | | 2001-02 | 2006-07 | Year to Dec. 2009 | |--------------------------|-------|-------|-------|-------|-------|-----------|-----------|---------------------| | In | Out | Net | In | Out | Net | In | Out | Net | | United Kingdom | 156.0 | 254.2 | -98.2 | 167.0 | 248.4 | -81.4 | 178.1 | 216.2 | | England | 142.4 | 238.6 | -96.2 | 154.5 | 234.5 | -80.0 | 164.7 | 203.9 | | North East | 4.7 | 4.5 | 0.2 | 4.8 | 3.9 | 0.9 | 5.3 | 3.5 | | North West | 12.3 | 13.0 | -0.7 | 12.2 | 11.9 | 0.3 | 13.7 | 11.3 | | Yorkshire and The Humber | 9.9 | 10.6 | -0.7 | 10.8 | 9.8 | 1.0 | 12.5 | 8.9 | | East Midlands | 10.1 | 14.7 | -4.6 | 11.4 | 12.4 | -1.0 | 12.2 | 11.8 | | West Midlands | 11.4 | 12.8 | -1.4 | 12.3 | 12.1 | 0.2 | 14.3 | 11.7 | | East | 28.4 | 65.1 | -36.7 | 30.8 | 64.9 | -34.1 | 31.9 | 53.7 | | South East | 50.6 | 93.9 | -43.3 | 55.9 | 97.1 | -41.2 | 57.4 | 82.6 | | South West | 15.0 | 24.1 | -9.1 | 16.3 | 22.4 | -6.1 | 17.9 | 19.4 | | Wales | 4.9 | 5.8 | -0.9 | 5.0 | 5.3 | -0.3 | 5.5 | 4.7 | | Scotland | 7.3 | 7.8 | -0.5 | 6.2 | 6.9 | -0.7 | 6.6 | 6.3 | | Northern Ireland | 1.4 | 2.0 | -0.6 | 1.3 | 1.8 | -0.5 | 1.3 | 1.3 | Source: Office for National Statistics Source: National Health Service Central Register The changing migration flows to and from London since 2001-02 are illustrated in Table 6 (p.12). Nearly all of the highest flows to London have occurred in the latest period, while, with the exception of the South East, all of the greatest outflows occurred at the earliest period. In 2001-02 London only had a net inflow from the North East but in the year to December 2009 London had net gains from all regions except the East, South East and South West. However, the small gains are swamped by the losses to the South East (25 thousand) and East (22 thousand). Overall London's net loss was 38 thousand. The net loss from London has not traditionally been this low (Chart 6, p.12) Current levels are the lowest for twenty years and the net loss was as high as 116 thousand as recently as 2004. The most significant changes have taken place over between June 2007 and December 2009. The outflow from London has fallen by over 13 per cent while the inflow increased by 7 per cent to reach new record levels since GP registrations were used to estimated internal migration in the 1980s (Table 7). The recent changes have their roots in the period of economic uncertainty. In the UK as a whole, inter-regional moves declined by 6 per cent between the years ending June 2007 and December 2009. Most people leaving London for other parts of the UK are Source: National Health Service Central Register | | selected flows between June 2007 | |------------|--------------------------------------------| | | and December 2009, percentages | | To: | | | East | London | | From: | | | East | 3.6 | | London | -17.3 | | South East | -7.3 | | Rest of UK | -3.3 | | Total | -9.7 | Source: Office for National Statistics moving into owner occupation. The increased difficulty in obtaining a mortgage has limited the ability of many families to leave London. At the same time there has been an increase in participation in higher education and the London job market for young workers has not been as affected as much as other parts of the country, hence the only inter-regional flows that have increased over the last two years have been those with destinations in London. Most of the people moving to London are young and will look for accommodation in the expanding private renting sector. Source: National Health Service Central Register Source: National Health Service Central Register The only age group with a net inflow to London from the rest of the UK is the 20-29 age group. The impacts of the recent changes in migration are illustrated by the net flows between London and the East, the South East and the Rest of UK since 2001 (Chart 7, p.13). The net losses from London to the East and the South East both peaked in 2004 and were both flat between 2005 and the end of 2008. After which they fell dramatically to around half of the 2004 values by mid- 2009. On the other hand London's relationship with the Rest of the UK has completely turned around. From losses of 30 thousand in 2004 there has been a decline in almost every subsequent quarter leading to a net inflow to London in the year ending September 2008 and a net flow to London of 11 thousand in the year to September 2009. children as well as all ages between 15 and 39. The largest net losses are seen at 0-4, 15-19 and 30-44. Comparing the latest flows by age, with those in the year to September 2007 (Chart 9, p.14) shows that the increased inflows are, proportionally, fairly evenly spread at all ages below 55, with reductions in the relatively small flows at higher ages. Although overall there was a reduction in the outflow there were some increases in the late teens and early twenties, possibly as a result of more Londoners going to university outside London. The greatest proportional reductions in the outflow are at ages around and above retirement. Although the retirement moves away from London are relatively small, 23 thousand persons aged over 55 compared to 31 thousand at ages The inflow to London is dominated by people aged 20-29, the only ages at which there is also a net inflow (Chart 8, p.14). Few school-age children and people over 50 move to London. The age-profile of the outflow is less extreme having a significant number of pre-school ## Table 8: Internal Migration, The Three Largest Inter-Regional Flows From Each Region Of Origin, Year To December 2009, Thousands | | | | Largest | 2nd Largest | 3rd Largest | Average | |-----------------------------------------------------------|-------------|-----------|-------------|----------------|----------------|------------| | Region of | Flow | Region of | Flow | Region of | Flow | Top 3 Flow | | Region of Origin | Destination | (000s) | Destination | (000s) | Destination | (000s) | | London | | | | | | | | S East | 83.6 | East | 53.7 | S West | 19.4 | 52.2 | | South East | | | | | | | | London | 56.9 | S West | 39.1 | East | 24.1 | 40.0 | | East | | | | | | | | London | 31.9 | S East | 26.7 | E Mids | 15.6 | 24.7 | | South West | | | | | | | | S East | 31.8 | London | 17.9 | W Mids | 11.4 | 20.4 | | East Midlands | | | | | | | | Yorks & H | 15.7 | W Mids | 14.0 | S East | 13.5 | 14.4 | | West Midlands | | | | | | | | E Mids | 15.5 | S West | 14.4 | London | 14.3 | 14.7 | | Yorkshire & the Humber | | | | | | | | N West | 18.0 | E Mids | 17.2 | London | 12.5 | 15.9 | | North West | | | | | | | | Yorks & H | 18.6 | London | 13.7 | W Mids | 11.4 | 14.6 | | North East | | | | | | | | Yorks & H | 9.1 | N West | 5.8 | London | 5.3 | 6.7 | | Wales | | | | | | | | S West | 9.4 | N West | 8.3 | W Mids | 7.2 | 8.3 | | Scotland | | | | | | | | London | 6.6 | N West | 5.9 | S East | 5.6 | 6.0 | | Northern Ireland | | | | | | | | N West | 2.2 | Scotland | 2.1 | London | 1.3 | 1.9 | | Grey background flows are between non-contiguous regions. | | | | | | | 25-29, this group includes people who realise some of the capital locked up in their London properties to part-fund their retirement. The length and depth of the economic downturn may mean that for some of these people the move away from London will never happen. This would have knock-on effects on the NHS and London borough social services in future years, when there is already expected to be a significant growth in London's elderly population. Migration changes at the pre-school ages (0-4) have recently contributed to exacerbating the impact of the rise in births since 2001 on the education services of London boroughs. The absolute decline in the outflow, even with a rising population of under-5s, coupled with the increase in the inflow has reduced the expected net outflow from London of children aged 0 to 4. Therefore reception class places have been oversubscribed in several boroughs and most boroughs are catering for more children than were expected. The ONS mid-year estimates show that between 2005 and 2009 the number of 4-year olds in London rose by nearly 15 thousand, while the number of births in London which gave rise to these cohorts had increased by just over 10 thousand. with the flows from London to the South East, East and South West. It then picks out the three main destinations of flows from those three regions. This brings in two additional regions, the East Midlands and the West Midlands. The East Midlands brings in Yorkshire and the Humber, which then adds the North West to the cascade. This successive process fails to show any strong links with the North East nor with Wales, Scotland and Northern Ireland. At successive stages of the cascade the average of the three largest flows also declines, from over 50 thousand from London to two thousand from, small and geographically isolated, Northern Ireland. The populations of the North East, Wales and Northern Ireland are significantly lower than those of Scotland and the other regions, therefore outflows from these areas are expected to be lower. Flows between non-contiguous regions are indicated by a grey background. London is one of the three most popular destinations for seven of the nine regions with which it does not share a boundary, the exceptions being the East Midlands and Wales. The only other non-contiguous flows illustrated are those from London to the South West and from Scotland to the South East. London is a favoured destination for nine of the eleven other regions/countries. The next most favoured destinations, with five, are the South East and the North West, which has land boundaries with Wales, Scotland and three English regions as well as being the closest part of England to Northern Ireland. ## International Migration Since 2001, the share of immigrants coming to the UK and choosing London fell from 37 per cent to 28 per cent. There are several definitions of international migration. Long-term migrants intend to stay in the UK (or leave the UK) for at least a year. People meeting this standard United Nations definition are included in the ONS estimates of the resident population. People, who intend to stay (or leave) the UK for less than a year are described as short-term migrants. These moves are not included in resident population estimates. ONS has experimentally estimated short-term migrant flows for England and Wales on the basis of stays of 1-12 months and 3-12 months, with some analysis of purpose of stay. ONS has also issued local authority level estimates relating to 2006-07 for consultation purposes. Estimates of international migration are drawn from a number of sources, the principal of which is the International Passenger Survey (IPS), which has recently been improved to concentrate more on migrants, as opposed to tourism, and now, with the inclusion of the Republic of Ireland, includes moves with all countries outside the UK. At the regional level IPS immigrant estimates are distributed using data from the Labour Force Survey (LFS). IPS emigrant estimates are distributed by a modelling process. Other sources are UK Borders Agency administrative data on asylum seekers and estimates of switchers, that is persons whose actual length of stay (either in or outside the UK) is different from their original intentions. These three sources together are combined to create the ONS estimates of Long-term International Migration (LTIM). There are also administrative data sets that are useful as indicators of international migration. Of these, National Insurance and National Health Service data are considered below. The latest estimates of Long-term International Migration relating to London are shown in Chart 3 (p.7). These are from the recently revised mid-year estimates series. ONS data in the LTIM series are available in both calendar year and mid-year to mid-year formats, but have not yet been revised to match the flows used in the mid-year estimates. The main difference is in the distribution of emigrants, but Charts 10 (p.16) and 11 adequately illustrate the main trends of change through the decade. Since 2001 London has seen its share of total immigration to the UK fall from around 37 per cent to 28 per cent. The data on emigration are more difficult to ## Table 9: National Insurance Registrations by Citizens of the Twelve EU Accession Countries, UK and London, 2002/03 to 2008/09, thousands | | London | UK | London as % of UK | |---------|----------|-------|---------------------| | 2002/03 | 11.3 | 17.7 | 64.2 | | 2003/04 | 18.8 | 28.7 | 65.5 | | 2004/05 | 38 | 116.8 | 32.5 | | 2005/06 | 63.7 | 276.7 | 23 | | 2006/07 | 68.9 | 317.5 | 21.7 | | 2007/08 | 87.7 | 332.4 | 26.4 | | 2008/09 | 74.4 | 257 | 28.9 | Source: Department for Work and Pensions collect and estimate, therefore there are less clear trends, but London's share of emigration has also fallen, though not as fast, from around 31 per cent to 26 per cent. In 2006 and 2006-07 London's share of emigration was estimated to have exceeded its share of immigration, which meant that London's share of the net inflow to the UK plummeted from 42 per cent in 2005-06 to 28 per cent in 2006. More recently London's share of the UK net flow has been around 31 per cent, but of a significantly reduced total. There are a number of indicators based on administrative sources that give additional evidence about international flows into the UK. However none such exist for emigration. Charts 12 and 13 (both p.19) Table 10: Asylum Seekers (from the mid-year estimate change analyses), England and London, 2001-02 to 2008-09, thousands | | London | England | London as % of England | |---------|----------|-----------|--------------------------| | 2001-02 | 43.4 | 85.1 | 51 | | 2002-03 | X | 37.7 | 76.4 | | 2003-04 | X | 18.6 | 39.8 | | 2004-05 | X | 12.4 | 28.2 | | 2005-06 | X | 9.1 | 21.7 | | 2006-07 | X | 8.1 | 20.1 | | 2007-08 | X | 8.1 | 21.7 | | 2008-09 | X | 8.9 | 24.9 | Source: Office for National Statistics compare inflows based on the mid-year estimates, National Insurance Numbers (NINos) issued to foreign nationals, and new registrations from overseas to the National Health Service, referred to as Flag 4s. ONS is currently using the NINos and Flag 4s in its modelling of the distribution of international inflows to local authorities within regions - but not at regional level. Hence there is independence between the three sources, but it must be borne in mind that there are inconsistencies in the definitions that are being used. NINos are frequently issued several years after the person's arrival in the UK. The NHS requires three months residence before registration. Neither source distinguishes between potential long-term (more than a year) and short-term UK residence intentions, which is a key definitional issue for the ONS LTIM estimates used in the mid-year estimates. In terms of numbers of arrivals the NINos show the huge rise in labour migration to London after the eight Eastern European countries (the A8) were admitted to the EU in May 2004. Up to mid-2009 new NINos in London had plateaued, but nationally new registrations have fallen from the 2007-08 peak, partly as a consequence of the reduced demand for labour in the recession. The Flag 4s have continued to rise in London and are broadly at the same level as the Mid-year Estimates/Long-term International Migration. Nationally Flag 4s have fallen from a peak in 2007-08. In terms of the proportion of the inflows to England that are accounted for by London, until 2006-07 all three data sources show a declining share coming to London. Flag 4s are very similar to the Mid-year Estimates/Long-term International Migration but London is having a considerably higher share of NINo registrations. This could be a function of short-term labour migration and/or registration at a first address before moving out of London. The proportions of both NINos and Flag 4s in London have increased in the latest periods. This may also be due to recession effects with reduced demand for labour being seen more outside London. The impact of all twelve EU accession countries, including Cyprus and Malta in 2004 and Bulgaria and Romania in 2007, on NINo registrations is shown in Table 9. Numbers rose much more rapidly outside London after 2004 and the proportion coming to London fell from 65 per cent to 22 per cent in 2006/07. With total numbers stabilising in 2007/08 and then falling, the proportion coming to London in 2008/09 has increased to 29 per cent. ONS has recently issued provisional national estimates based on the IPS showing that in the year to the end Source: Office for National Statistics, Department for Work and Pensions and National Health Service Source: Office for National Statistics, Department for Work and Pensions and National Health Service of September 2009 there was the first recorded net emigration of A8 citizens since the time of accession. This was largely as the result of a decline of long-term immigrants from 100 thousand in the year to September 2008 to just 45 thousand. Asylum seeker applications have fallen considerably since the late 1990s. Table 10 (p.18) shows the estimated numbers coming to London as shown in the ONS mid-year estimate change analyses. The total flow has declined as has London's share of the England total. The only other data on asylum that identifies London relates to those receiving some kind of support. In March 2010 the Home Office registered 2,775 asylum seekers receiving subsistence support in London and 1,225 receiving accommodation, out of UK totals of 4,015 and 22,735 respectively. The only available short-term migration (STM) estimates for London were published by ONS as 'consultation' statistics in 2009. They relate to inflows in 2006-07 of between 1 and 12 months stay and indicate that London had 60 thousand STM workers, 35 per cent of the England total, and 420 thousand other STMs, 37 per cent of England. Nationally, the majority of the arrivals were having either extended visits with family and friends (40 per cent) or were on holiday (16 per cent). Only 13 per cent came to work. ## Table 11: Population Turnover, 2008-09, Thousands, Rates | Turnover (000s) | Turnover | |--------------------------|---------------| | Rate per | | | Internal | | | 1000 | | | (UK) | International | | North East | 89.3 | | North West | 227.5 | | Yorkshire and the Humber | 210.8 | | East Midlands | 221.6 | | West Midlands | 211.4 | | East | 275.2 | | London | 442.4 | | South East | 435.4 | | South West | 253.3 | | Wales | 111.5 | ## Turnover And Churn The turnover of population in an area due to migration flows of people into and out of the area can have a significant impact on public services, for example the numbers of children joining In 2008-2009 more than new schools 700,000 people moved into or out of London. during the school year, the numbers of households reregistering with local authorities for council tax and the numbers of people changing general practitioners (Table 11). Using the internal and international flows from the mid-year estimate change analysis for 2008-09 it is possible to compare turnover rates at the regional level. It is estimated that over 700 thousand people moved across the London boundary, although this total would double-count any people who moved both into and away from London in the same year. The rate of 93 per thousand resident population compares with 68 in the next highest region - the South East and 44 - the lowest - in the North West. These figures also mean that 47 in every thousand residents in London lived outside London a year earlier. Turnover rates for lower tier local authorities are relatively higher (Table 12, p.21) since the calculations also incorporate moves between authorities in the same region. The highest local authority turnover rates in 2008-09 were recorded in Cambridge (335) and Oxford (310) with a number of other areas outside London with Inflow Rate per Outflow Rate per 1000 1000 large student populations also having high turnover. London boroughs had rates between 82 (Havering) and 273 (Islington). Most inner boroughs had rates in excess of 200 while the only other authority outside London above 200 was Manchester. The highest inflow rate in London was 140 per thousand in Islington and the highest outflow was 138 for Hammersmith & Fulham. Both these rates were only exceeded by Cambridge and Oxford. Moves within each area are called internal churn. Internal churn plus turnover gives overall churn which is a measure of all people who have either moved in or out or within the area. The internal churn is based on statistics from the 2001 Census to account | Turnover (000s) | Turnover | Inflow | Outflow | Internal | Churn | |------------------------|---------------|------------|------------|------------|---------| | Rate | Rate | Rate | Churn Rate | Rate | | | (per 1000) | (per 1000) | (per 1000) | (per 1000) | (per 1000) | | | Internal (UK) | International | Total | | | | | City of London | 1.7 | 1.3 | 3.0 | 264 | 138 | | Barking and Dagenham | 21.8 | 3.7 | 25.6 | 147 | 79 | | Barnet | 40.8 | 10.1 | 51.0 | 150 | 78 | | Bexley | 19.7 | 1.6 | 21.3 | 95 | 47 | | Brent | 39.1 | 10.5 | 49.6 | 194 | 92 | | Bromley | 28.5 | 2.7 | 31.2 | 101 | 52 | | Camden | 43.6 | 17.0 | 60.6 | 265 | 138 | | Croydon | 37.8 | 7.4 | 45.2 | 132 | 65 | | Ealing | 44.7 | 14.8 | 59.5 | 189 | 96 | | Enfield | 34.8 | 4.2 | 39.0 | 135 | 66 | | Greenwich | 32.4 | 7.6 | 40.1 | 178 | 89 | | Hackney | 36.8 | 6.5 | 43.3 | 202 | 101 | | Hammersmith and Fulham | 34.5 | 11.3 | 45.8 | 271 | 133 | | 321 | | | | | | | Haringey | 40.6 | 7.3 | 47.9 | 212 | 100 | | Harrow | 28.5 | 5.4 | 33.9 | 150 | 77 | | Havering | 18.0 | 1.2 | 19.2 | 82 | 44 | | Hillingdon | 30.8 | 5.3 | 36.2 | 139 | 74 | | Hounslow | 33.2 | 10.7 | 43.9 | 189 | 97 | | Islington | 42.0 | 9.8 | 51.8 | 273 | 140 | | Kensington and Chelsea | 23.4 | 13.9 | 37.2 | 218 | 102 | | Kingston upon Thames | 24.5 | 4.9 | 29.4 | 177 | 91 | | Lambeth | 57.8 | 12.4 | 70.2 | 249 | 122 | | Lewisham | 41.2 | 6.4 | 47.6 | 181 | 89 | | Merton | 30.1 | 8.7 | 38.8 | 190 | 98 | | Newham | 40.0 | 8.7 | 48.7 | 201 | 89 | | Redbridge | 33.6 | 6.0 | 39.6 | 149 | 77 | | Richmond upon Thames | 25.8 | 5.2 | 31.0 | 165 | 82 | | Southwark | 49.6 | 10.7 | 60.3 | 212 | 104 | | 45 | 257 | | | | | | Sutton | 19.3 | 2.2 | 21.5 | 113 | 60 | | Tower Hamlets | 39.6 | 13.5 | 53.1 | 230 | 125 | | Waltham Forest | 30.4 | 8.3 | 38.7 | 174 | 87 | | Wandsworth | 59.3 | 14.4 | 73.8 | 259 | 128 | | Westminster | 40.8 | 19.1 | 59.9 | 241 | 123 | Source: Office for National Statistics, mid-year estimates for the 350 thousand persons who moved in 2000-01 without changing their borough of residence. Internal churn rates varied from 36 per thousand in Havering and Redbridge to 61 per thousand in Wandsworth. The overall churn rates varied in 2008-09 from 119 per thousand in Havering to 321 in Hammersmith & Fulham. The sum of internal churn and the inflow rate is the proportion of the population of a borough that lived elsewhere a year ago, for London the median value of the boroughs is 140 per thousand, but this rises to almost 190 in Wandsworth. ## Demographic Projections Source: Greater London Authority, 2009 Round of Demographic Projections As part of the preparation for the draft replacement London Plan the GLA prepared demographic projections for London boroughs. These included population by age, gender and ethnicity, households by age, gender and marital status of the household representative (as well as by five types of household), and economically active residents by age and gender. These have been converted to ward level population projections by age and gender. GLA projections differ from ONS subnational population projections and the associated CLG household projections, as the GLA uses actual and planned housing development as the lead indicator of population change since 2001. ONS relies on using recent trends in the ## Table 13: Summary Of Demographic Projections For The London Plan, 2006 To 2031, Thousands | | 2006 | 2011 | 2016 | 2021 | 2026 | 2031 | |------------------------|---------|---------|---------|---------|---------|---------| | Married Couples | 1,037.2 | 964.2 | 909.3 | 869.5 | 840.1 | 833.9 | | Cohabiting Couples | 333.1 | 400.3 | 455.8 | 503.3 | 547.4 | 584.3 | | Lone Parents | 317.7 | 347.8 | 375.4 | 395.5 | 410.7 | 425.1 | | Other (2+ Adults) | 340.0 | 357.7 | 378.7 | 399.8 | 420.9 | 440.8 | | One-person | 1,146.5 | 1,252.7 | 1,370.5 | 1,488.4 | 1,604.3 | 1,706.2 | | Total Households | 3,174.5 | 3,322.8 | 3,489.6 | 3,656.5 | 3,823.4 | 3,990.3 | | Household Population | 7,434.1 | 7,713.7 | 7,983.1 | 8,242.7 | 8,493.6 | 8,729.7 | | Average Household Size | 2.34 | 2.32 | 2.29 | 2.25 | 2.22 | 2.19 | | Communal Population | 92.8 | 93.1 | 93.3 | 94.1 | 96.1 | 99.1 | | Total Population | 7,526.9 | 7,806.8 | 8,076.4 | 8,336.9 | 8,589.7 | 8,828.8 | | Economically Active | 3,902.0 | 4,071.2 | 4,231.2 | 4,372.6 | 4,493.0 | 4,593.0 | estimated local migration levels constrained to national assumptions about international flows. Table 13 shows the main results of the GLA projection, which between 2011 and 2031 is based on the London Plan borough housing targets amounting to an average of 33,400 new homes per year. Table 14 (p.23) shows the main results for the boroughs. Between 2011 and 2031 London's population is projected to increase by 1.02 million persons, equivalent to 13 per cent. Households are expected to increase by 667 thousand, or 20 per cent. The difference in the rates of change is a reflection of the 6 per cent decline in average household size from 2.32 to 2.19. The structure of household change is dominated by the 450 thousand increase in one-person households that accounts for 68 per cent of the total household growth. The resident labour force has been projected using borough level age-specific economic activity rates which are based on the 2001 Census and improved according to ONS national projections until 2020. The rates are then held constant. Between ## Table 14: Summary Of Demographic Projections For The London Plan, London Boroughs, 2011 and 2031, thousands | 2011 | 2031 | |------------------------|----------------| | Econonomically | Econonomically | | Population | Households | | City of London | 9.7 | | Barking and Dagenham | 177.8 | | Barnet | 330.6 | | Bexley | 217.4 | | Brent | 279.6 | | Bromley | 302.4 | | Camden | 210.9 | | Croydon | 342.9 | | Ealing | 319.5 | | Enfield | 294.2 | | Greenwich | 238.1 | | Hackney | 231.5 | | Hammersmith and Fulham | 180.6 | | Haringey | 237.2 | | Harrow | 220.7 | | Havering | 231.6 | | Hillingdon | 261.8 | | Hounslow | 237.2 | | 128.4 | | | Islington | 208.8 | | Kensington and Chelsea | 169.9 | | Kingston upon Thames | 155.3 | | Lambeth | 300.2 | | Lewisham | 272.7 | | Merton | 198.7 | | Newham | 267.9 | | Redbridge | 258.8 | | Richmond upon Thames | 186.4 | | Southwark | 285.5 | | Sutton | 185.9 | | Tower Hamlets | 248.7 | | Waltham Forest | 229.4 | | Wandsworth | 297.5 | | Westminster | 217.2 | | London | 7,806.8 | Source: Greater London Authority 2009, Round of Demographic Projections 2011 and 2031 there is a 520 thousand increase in the resident labour force aged 16-74, equivalent to 13 per cent. The female contribution to the labour force rises by over 310 thousand and is 60 per cent of the total growth. Between 2011 and 2031 the growth in population is seen at most age groups (Chart 14, p.22). The only exception is the under-5s, which reflects the downward revision in national fertility assumptions. The changes demonstrate both a distinct ageing pattern, particularly with an increase of over 400 thousand persons between 45 and 64 as well as a significant increase in the child population, with 115 thousand more children of school age (4-15). The elderly population is projected to grow particularly fast. The over 65s are projected to increase by 34 per cent, or nearly 300 thousand, to reach 1.17 million by 2031. The over 90s are expected to almost double to 96 thousand. Table 15 compares the London Plan projection for London with the latest ONS and CLG projections of population and households. The London Plan projections followed the trend in the original series of ONS mid-year estimates that were superseded in May 2010; therefore the results for 2011 are quite close to the ONS/CLG 2006-based projections. The upward revisions to the mid-year estimates informed the ONS 2008-based projections so the starting population and the migration trajectory were both higher. Overall the change in the London Plan projection is a little less than the ONS/ CLG 2006-based figures but somewhat lower than the ONS 2008-based projections, which have not yet been converted to households by CLG. Although the London Plan projections followed ONS mid-year estimate trends for London this was not done for each borough, hence the borough projections for 2011 are in several instances quite different to the ONS mid-year estimates for 2009 shown in Table 16 (p.25). ## Table 15: Comparison Of Population And Household Projections For London, 2011 And 2031, Thousands | 2011 | 2031 | |----------------------------------------------|------------| | Percentage Change | | | Population | Households | | Greater London Authority, London Plan | 7,807 | | Office for National Statistics/ | | | Communities and Local Government, 2006-based | | | 7,817 | 3,337 | | Office for National Statistics, 2008-based | 7,868 | Sources: Greater London Authority, 2009 Round of Demographic Projections. Percentage of Total 16- 16- Retirement Retirement Retirement Retirement Total 0-15 Age1 Age+ 0-15 Age1 Age+ City of London 11.5 0.8 9.3 1.4 7.0 80.9 12.2 Barking and Dagenham 175.6 43.4 108.6 23.6 24.7 61.8 13.4 Barnet 343.1 69.5 217.5 56.1 20.3 63.4 16.4 Bexley 225.9 45.3 137.8 42.8 20.1 61.0 18.9 Brent 255.5 51.5 166.0 38.0 20.2 65.0 14.9 Bromley 310.2 60.7 188.8 60.7 19.6 60.9 19.6 Camden 231.2 35.5 170.5 25.3 15.4 73.7 10.9 Croydon 342.8 71.1 218.6 53.1 20.7 63.8 15.5 Ealing 316.6 60.5 214.3 41.9 19.1 67.7 13.2 Enfield 291.2 63.1 182.7 45.5 21.7 62.7 15.6 Greenwich 226.1 48.0 147.8 30.4 21.2 65.4 13.4 Hackney 216.0 46.8 147.4 21.8 21.7 68.2 10.1 Hammersmith and Fulham 169.7 28.6 120.5 20.7 16.9 71.0 12.2 Haringey 225.5 44.3 155.7 25.5 19.6 69.0 11.3 Harrow 228.1 43.8 146.6 37.7 19.2 64.3 16.5 Havering 234.1 44.3 141.4 48.5 18.9 60.4 20.7 Hillingdon 262.5 53.4 168.5 40.6 20.3 64.2 15.5 Hounslow 234.2 45.3 159.6 29.4 19.3 68.1 12.6 Islington 191.8 30.4 141.3 20.1 15.8 73.7 10.5 Kensington and Chelsea 169.9 27.4 113.8 28.7 16.1 67.0 16.9 Kingston upon Thames 166.7 29.8 113.1 23.8 17.9 67.8 14.3 Lambeth 283.3 49.0 207.0 27.3 17.3 73.1 9.6 Lewisham 264.5 52.6 182.2 29.7 19.9 68.9 11.2 Merton 206.4 37.9 140.2 28.4 18.4 67.9 13.8 Newham 241.2 59.9 157.7 23.6 24.8 65.4 9.8 Redbridge 267.7 57.6 170.9 39.2 21.5 63.8 14.6 Richmond upon Thames 189.0 37.0 122.8 29.1 19.6 65.0 15.4 Southwark 285.6 50.0 205.9 29.7 17.5 72.1 10.4 Sutton 192.2 38.3 122.2 31.7 19.9 63.6 16.5 Tower Hamlets 234.8 45.8 170.0 19.1 19.5 72.4 8.1 Waltham Forest 224.3 48.9 147.2 28.2 21.8 65.6 12.6 Wandsworth 286.6 46.8 208.3 31.5 16.3 72.7 11.0 Westminster 249.4 31.7 185.7 32.0 12.7 74.5 12.8 London 7,753.6 1,498.7 5,189.8 1,065.0 19.3 66.9 13.7 1Retirement Age is taken as 60 for females and 65 for males. Source: Office for National Statistics, mid-year estimates ## Notes Mid-year estimates (Tables 1, 2, 3, 16, and Chart 3) The estimated resident population of an area includes all people who usually live there, whatever their nationality. People arriving into an area from outside the UK are only included in the population estimates if their total stay in the UK is 12 months or more. Visitors and shortterm migrants (those who enter the UK for less than 12 months) are not included. Similarly, people who leave the UK are only excluded from the population estimates if they remain outside the UK for 12 months or more. This is consistent with the United Nations recommended definition of an international long-term migrant. Members of UK and non-UK armed forces stationed in the UK are included in the population and UK forces stationed outside the UK are excluded. Students are taken to be resident at their term time address. 'Other changes' includes changes in population due to changes in the number of armed forces (both non-UK and UK) and their dependants resident in the UK. In calculating the international migration component of the population estimates, ONS uses the United Nations recommended definition of an international longterm migrant (someone who changes their country of residence for at least 12 months). This component does not include short-term migrants and visitors. The other component of population change is 'Natural Change' - the number of births less the number of deaths. Total Fertility Rate (Table 4) Age-specific birth rates for the United Kingdom have been calculated from all births registered in the UK, i.e. including births to mothers usually resident outside the UK apart from those to the non-residents of Northern Ireland, which are excluded. Data relate to year of occurrence in England and Wales, and year of registration in Scotland and Northern Ireland. The total fertility rate (TFR) is the average number of live children that a woman would bear if the female population experienced the Age Specific Fertility Rate (ASFRs) of the calendar year in question throughout their childbearing life-span. Standardised mortality ratio (Table 5) The standardised mortality ratio (SMR) compares overall mortality in a region with that for the UK. The ratio expresses the actual number of deaths in a region as a percentage of the hypothetical number that would have occurred if the region's population had experienced the sex/age-specific rates of the UK that year. Inter-regional migration (Figure 1, Table 6, 7, 8, Chart 3, 5, 6, 7, 8, and 9) Estimates for internal population movements are based on the movement of NHS doctors' patients between former Health Authorities (HAs) in England and Wales and Area Health Boards (AHBs) in Scotland and Northern Ireland. The figures provide a detailed indicator of population movement within the UK. However, they should not be regarded as a perfect measure of migration as there is variation in the delay between a person moving and registering with a new doctor. Additionally, some moves may not result in a re- registration, i.e. individuals may migrate again before registering with a doctor. Conversely, there may be others who move and re-register several times in a year. Not everyone registers with a doctor so their movement will not be recorded. International migration (Chart 3, 10, 11, 12, 13) The richest source of information on international migrants comes from the International Passenger Survey (IPS), which is a sample survey of passengers arriving at, and departing from, the main United Kingdom air and sea ports and Channel Tunnel. This survey provides migration estimates based on respondents' intended length of stay in the UK or abroad and excludes most persons seeking asylum and some dependents of such asylum seekers. More can be found about the IPS from the following link: www.statistics.gov.uk/ssd/surveys/ international_passenger_survey.asp . Population Turnover Rate (Table 11, 12) To help users who wish to compare different areas the migration estimates are converted into rates using the average population estimates of 2001 and mid-year 2007. An inflow rate of 141 therefore means that for every 1,000 people estimated to be living in the area at the end of the year, 141 people lived outside the area, one year previously. The rates include international migrants (people moving to or from the UK).

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TERMS OF REFERENCE FOR THE FSA BUSINESS COMMITTEE (Reviewed by the Board August 2020) Purpose: The Business Committee is a committee to which the FSA Board has delegated functions as detailed below. It exists to provide appropriate high-level oversight of financial and operational matters at Board level and support the translation of policy into effective results. Transparency: It meets in the open so that it is clear to interested parties and the public on what basis it has taken its decisions and what evidence it has taken into account in reaching them. There are some issues that need to be discussed in private, because they relate to issues that are commercial in confidence, are the subject of live negotiations in which the public interest could be adversely affected, or relate to individuals. Membership: All members of the Board are members of the Business Committee. The Chief Executive and members of the Executive Team are also members of the Business Committee up to a number equivalent to the Non-Executive members of the Board excluding the Chair. The Chief Executive will be responsible for determining which members of the Executive are members of the Business Committee. Chair: The Chair of the FSA. Quorum: Four Non Executive Board Members, of whom one to be one of the Members from Northern Ireland or Wales plus the Chair of the meeting, plus three Executive Team members including the Chief Executive or their nominated deputy. Reporting: The Business Committee will publish its minutes. The Terms of Reference for the Business Committee will be reviewed annually by the Board together along with the Terms of Reference and Standing Orders for the Board. Meetings: The Business Committee shall meet at least 4 times a year. Responsibilities: The Business Committee will on behalf of the Board: 1. Scrutinise the financial and other performance information relating to the FSA and advise the Chief Executive in the discharge of the Accounting Officer responsibilities. 2. Identify and monitor operational and delivery risks. 3. Approve the annual business plan and maintain oversight of major financial decisions in line with that plan. 4. In private, consider confidential matters relating to the position to be adopted on behalf of the UK in international discussions concerning food and animal feed law. 5. Consider such other matters as may from time to time be delegated to the Business Committee by the main Board. The Chair may decide that specific issues must be remitted to the Board for decision.

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## Audit Committee Report Report Title Bdo Internal Audit Update Agenda Status: Public Audit Committee Meeting Date: 24 August 2020 Policy Document: No Services: Chief Finance Officer Accountable Cabinet Member: Cllr Brandon Eldred ## 1. Purpose 1.1 To update the Audit Committee on the Internal Audit activities of BDO. ## 2. Recommendations 2.1 It is recommended that the Audit Committee note: a) the Internal Audit Annual Report for 2019-20 b) the Internal Audit Follow Up Report as at August 2020 c) the Progress Report as at August 2020. ## 3. Issues Of Note 3.1 Report Background BDO provide the Internal Audit Function for Northampton Borough Council, including the designated role of 'Head of Internal Audit. The attached reports from BDO outline the work they have undertaken and their view of the current position in respect of these audits and their associated observations and management actions. The revised Internal Audit Plan for 2020-21 is provided in as separate report by the Chief Finance Officer. 3.2 Issues Specific issues in respect of individual audits and response times are contained within the BDO reports attached as appendices. ## 4. Implications (Including Financial Implications) 4.1 Policy 4.1.1 There are no policy implications associated with this report. ## 4.2 Resources And Risk 4.2.1 There are no resource or risks implications associated with this report. ## 4.3 Legal 4.3.1 There are no legal implications associated with this report. ## 4.4 Equality 4.4.1 There are no specific equality impacts relating to this report. ## 4.5 Consultees (Internal And External) 4.5.1 The reports have been shared with the Corporate Management Board and the Governance and Risk Manager. ## 4.6 Other Implications 4.6.1 None ## 5. Background Papers 5.1 Appendices: 5.1.1 Northampton Borough Council Annual Report 5.1.2 Northampton Borough Council Internal Audit Follow Up Report 5.1.3 Northampton Borough Council Progress Report Gurpreet Dulay - NBC BDO Internal Audit Manager Stuart McGregor - Chief Finance Officer

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## - Level 1 3 - Creating A Presentation ## Creating A Presentation INFOCUS PowerPoint can be so much fun to use that it would be easy to jump in and start playing around without planning your presentation first. Unfortunately, if you try this approach, you could spend much more time fiddling with your presentation than is necessary. The first stage in creating a presentation is to consider the design of the presentation. You then need to consider the content − what are the key ideas that you want to get across? Once you have a design and the content sorted out, you can use PowerPoint to put these two together quickly and easily to create a presentation with a professional and consistent appearance. ## In This Booklet We Will Show You How To:  gain an understanding of some factors that affect the design of a presentation  gain an understanding of presentation methods and hardware  gain an understanding of design principles  create a blank presentation  create a presentation based on a template  create a presentation based on a theme  type text in the *Outline* pane  save a presentation  insert new slides and text  preview a slide show. ## Planning A Presentation have to present it and the delivery method. By understanding these factors, you can begin to consider presentation design as well as content. The first stage in creating a presentation is the *planning* phase. At this stage you need to consider the purpose of your presentation, your intended audience, the format of the presentation, the time you ## Planning For Effective Presentations Planning a presentation is important if you want to ensure that you communicate your intended message effectively. Consider each of the following factors when planning your presentation, as they will help you to determine your overall presentation design and layout. For example, the colours you use in your presentation may be determined by the audience. A younger audience may prefer brighter colours, whereas a presentation to the Board might require that you use conservative or company colours. Purpose Write a short statement that outlines the purpose of the presentation. Is it, for example, to persuade others to make a decision? Or, perhaps you are informing others of new or updated practices. The purpose of the presentation will help to determine the content to include, and also help to set the tone of the presentation (such as formal or informal). | Theme | | Make sure you choose a presentation design that compliments your | |---------------------------------------------------------------------------|-----|-----------------------------------------------------------------------| | topic. For example, a template with a crayon design might be great for | | | | communicating the new plans for a children's classroom or childcare | | | | centre, but would be totally inappropriate for an Accountant's annual | | | | report - unless it was intended to add an air of humour! | | | | | | | | | | | | | | | | Audience | | Who is your audience? Who will be viewing the presentation? Are they | | knowledgeable about the subject or complete novices? What is their | | | | age, background, location and position in the company? The design and | | | | language you use, and the level of animation applied, will depend on | | | | who you are trying to communicate with. | | | | Key Ideas | | What is the most important idea that you are trying to communicate? | | What other ideas do you want to focus on during the presentation? | | | | These ideas must take centre stage in your presentation, and they | | | | must clearly leap out of the presentation as being important. | | | | Action | | | | Required | | | | What action do you want to take place as a result of your presentation? | | | | Do you want people to support your proposal? Do you want feedback | | | | on the information you have provided? Maybe you need to include a | | | | slide that provides a plan of action or contact details. | | | | Timeframe | | How much time do you have to present the information? Make sure you | | don't have too many slides to cover in the available time. It is highly | | | | unlikely that you will have too few, but if you do you can simply make | | | | more time available for questions or discussion. | | | | Time of Day | | If you are presenting in the early afternoon or evening, you may want | | to add a bit more pizzazz to retain audience interest than if you are | | | | presenting early in the morning. | | | | Presentation | | | | Method | | | | This is another important consideration, as it will affect the | | | | presentation design also. For example, if you are printing the slides to | | | | use on an overhead transparency projector, you will need to ensure | | | | you have little to no colour (or backgrounds). If the presentation is to | | | | be uploaded to the internet for others to view, will it be a self-running | | | | presentation or will you enable user control over the presentation, for | | | | example? | | | ## Presentation Methods And Hardware Presentations can be made in a variety of ways and with a range of equipment. The means of presenting a show will depend on the size and location of your intended audience, whether or not you need to make the presentation available on an ongoing basis such as a lecture, whether the presentation is interactive, and the equipment available to you. This table discusses the options. ## Equipment Used For Presentations Laptop Computer Laptop computers are ideal for transporting a presentation. They can be used for small audiences, as with the desktop computer, but most often are taken to the audience with the presentation ready to run. The laptop is then hooked up to projection equipment and the show will run from the laptop. The advantage of this setup is that the presentation can be created and tested on the computer that will be used to present it, leaving less room for error. Video Projectors Video projectors are connected to a computer and are used to project the computer image onto a projection surface. This is the most commonly used means of projection. Desktop Computer A desktop computer can be used to present information to a small audience or can be used as a kiosk for situations like trade shows and the like. It is ideal for interactive shows where you require the audience to navigate themselves. If you plan to distribute a show, such as product information, or a lecture including video and notes, you can design your presentation to suit a particular computer monitor. Overhead Projectors and Data Shows An overhead projector can be used to project overheads created in PowerPoint, or together with a data show and a computer, can be used to project the slides directly from PowerPoint. A data show is a tablet that sits over the top of an overhead projector and displays a see-through image of what appears on the computer screen. These have been made largely redundant by the reduction in price of video projectors. Internet and Network Access Presentations can be made available over the internet or local network, and even scheduled for special broadcast times. Internet and network access means that people in a wide range of locations and in different time zones can watch the same presentation. Access can be restricted to a specific audience, and only one copy of the presentation is required. | Slide Projector | PowerPoint can be used to create 35mm slides and this was common practice | |-----------------------------------------------------------------------------------|------------------------------------------------------------------------------| | before the availability of modern projection technology. The drawback of using | | | slides and a slide projector is that you cannot easily change the content of the | | | slides. In addition, navigation through a presentation will always be linear - | | | you cannot easily jump from one slide to another out of sequence. | | | | | | Digital Pointer | A digital pointer is a pointing device used by the presenter during a live | | presentation to emphasise particular points. Early pointers provided a simple | | | laser light that appeared as a single red dot on the screen, while the latest | | | ones actually enable you to change slides and underline points without having | | | to touch your computer. These act as a wireless mouse as well as a pointer. | | | | | | Projection | | | Surfaces | | | | | | The surface onto which you project your presentation is just as important as | | | the rest of your presentation. If the audience can't read it, all of your work is | | | wasted. There is a wide range of projection screens available, but even a flat | | | white wall is sufficient. Matt surfaces are far better than gloss ones because a | | | shiny surface can cause very distracting reflections. Remember to test your | | | presentation before you begin - the colour choices must work with the | | | equipment provided. | | ## Designing A Presentation The *design* and *layout* of your presentation will affect whether you get your message across as intended. Although PowerPoint provides many 'whizz-bang' features, these should be used sparingly and only to reinforce your message. Poorly-designed presentations may distract the audience and reduce understanding. Keep the following in mind when designing presentations. ## Comprehension To ensure easy comprehension by the audience, keep text to a minimum. It is important to be concise when writing for presentations. Use the following guidelines when creating slides.  Use a slide to introduce one main idea or key topic.  Limit each slide to between three and five bullet points to support the main idea.  Try and keep each bullet point to a single line of text. ## Readability Font choice and size will impact on readability. The following guidelines will help you to design readable slides.  Use a *sans-serif* font. A sans-serif font doesn't have 'tails' at the top or bottom of each letter. Arial is an example of a sans-serif font, while Times New Roman is a serif font. **Note:** Verdana is the coporate font that should be used on all work related presentations.  Make sure the font is large enough. Slide text should be visible from the back of the room. Generally, headings are around 36-45 points, while the main body of text and bullet points is around 22 points.  Make good use of white space on each slide. The more white space that appears on a slide, the easier it will be for the audience to read what does appear. Try to keep a minimum of 20 per cent of white space on all slides.  Keep the number of colours you use to a minimum. Generally two to three colours per slide is ample. Make sure the colours complement each other and do not interfere with your message. ## Consistency To ensure a professional design across your slide presentation, it is important to ensure a consistent look and feel across each slide. People like to see repeating elements on each slide. Here are a few ways you can ensure consistency and also save time when creating presentations.  Use a design template. Design templates already contain the fonts, colours and other visual elements, so all you have to do is to type in your text. Each slide will have the same look as the others in the presentation.  Use the same background design on all slides. PowerPoint has many background designs for you to choose from, which can be easily applied to all slides. **Note:** there are WSCC corporate templates on the intranet  Use the same fonts, font sizes and other formatting attributes throughout your presentation. For example, if you have used yellow bullets on one slide, make sure you use yellow bullets on all slides. ## Creating A Blank Presentation If you plan to create a presentation with your own design, the *Blank Presentation* template would be a good place to start. This default template is perfect when you require little in the way of design and Before starting this exercise make sure that PowerPoint is open... 1 Click on the *File* tab, then click on New to display Available Templates and Themes Here you can create a blank presentation or you can create a presentation based on a design template or theme… 2 Ensure that Blank Presentation is selected, then click on **[Create]** A new blank presentation will open. All blank presentations will have the default Office theme applied to them - notice that "Office Theme" appears on the Status bar at the bottom of the PowerPoint window. You will now close the presentation… 3 Click on the *File* tab, then click on *Close* to close the presentation | To | create | a | blank | |-----------------|--------------------|--------------------|---------| | 1. Click on the | File | tab, then click on | | | New | | | | | 2. Ensure that | Blank Presentation | is | | | selected | | | | | 3. Click on | [Create] | | | colour. This template is also appropriate for very simple slides that could be used as overhead transparencies since the default font colour is black. Handy to Know…  Press + to create a blank presentation.  Once you've created a presentation based on a template, you cannot apply a different template to that presentation. But you can change the look and feel of your presentation by applying a different *Theme* (on the *Design* tab) to the presentation. ## Creating A Presentation Based On A Template PowerPoint 2010 comes complete with a range of *sample templates* that you can use. Each template already contains a particular design and layout, so you can choose the template that will most closely Before starting this exercise ensure PowerPoint is open... 1 Click on the *File* tab, then click on New to display Available Templates and Themes 2 Click on *Sample Templates* to display the range of installed templates 3 Click on *Training*, then click on [Create] to open a new presentation based on this template 4 Click on the *File* tab, then click on *Close* to close the presentation Now we'll look at the online templates... 5 Repeat step 1, then click on Presentations under Office.com Templates , then click on *Training* to display a range of templates in this category 6 Click on Sales training presentation, then click on [Download] You will receive a message that the file is downloading, and after a moment, a new presentation based on this template will open 7 Click on the *File* tab, then click on *Close* to close the presentation To *create* a presentation based on a *template*: 1. Click on the *File* tab, then click on New 2. Click on *Sample Templates*, then click on a category, or click on a category under Office.com Templates 3. Click on a template, then click on [Create] represent the tone of your presentation. Then all you really need to do is to type the text. Sample templates can also be downloaded freely from Microsoft's website.  To use prescribed company templates or to access templates from the relevant *Templates* folder on your computer network (if applicable), click on the *File* tab, click on New, then click on *My Templates* to display the New Presentation dialog box. Click on a template, then click on **[OK]**. ## Creating A Presentation Based On A Theme A *theme* is a set of colours, *fonts* and effects that you can apply to your presentation for a professional-looking finish. Each theme consists of a range of complimentary colours, styles (fonts) and exercise ensure that Click on the *File* tab, then click on New to display Backstage view 2 Click on *Themes*, then scroll down to view the range of available themes 3 Click on *Slipstream*, then click on **[OK]** to create a new presentation based on the *Slipstream* theme To *create* a presentation based on a theme: 1. Click on the *File* tab, then click on 2. Click on *Themes* 3. Click on a theme to select it 4. Click on **[OK]** effects, such as animations, so once you've applied a theme, all you really need to do is to type the text. Applying a theme ensures a consistent design across your presentation.  You can apply a different theme to an existing themed presentation. To do this, click on the *Design* tab, then select a theme from the *Themes* gallery.  All new presentations will be based on the default *Office Theme* (blank presentation) unless you select another theme. ## Typing Text Into The Outline Pane Text serves as the framework for your presentation. It is the key to the concepts that you are trying to communicate. You can type text directly onto a slide or you can type it directly into the *Outline* pane. Continue using the previous file with this exercise... Click on the *Outline* tab, then click to the right of the slide icon Type **Transport** then press A second slide will be inserted, but we want to add a sub-heading to the first slide… 3 Press to remove slide 2, then type **A New Direction** | Let's insert another slide… | | |-------------------------------|-----------| | 4 | | | Click on the | Home | | the top half of | New Slide | | Slides | group to insert slide | |-----------------------------------------|--------------------------| | 2 | | | | | | PowerPoint assumes that we want a | | | bulleted list and therefore inserts the | | | slide layout: Title and Content… | | 5 Type **Personal**, press then press to start a bulleted list 6 Type the text as shown, pressing at the end of a line to create the next bullet point Now to insert another slide using a different method… 7 Press to move to the next line, then press + to remove the indent A new slide will be inserted… 8 Using the above steps, create the remaining two slides as shown | To | type text | into the | Outline | |--------------------------------------|-------------|--------------|-----------| | 1. Click in the | Outline | pane | | | 2. Click on the top half of | New Slide | | | | to create a new slide, then type the | | | | | title text | | | | 3. Press then , then type the | content text, pressing | |---------------------------| | of each bullet | By typing text directly into the Outline pane, you are able to focus purely on the content, such as ensuring the sequence and structure of each slide is correct.  Many people prefer to structure their slide show in the *Outline* pane because it is fast and enables you to see each slide's relationship with the others. If you prefer, you can type text directly onto the slides in the *Slide* window. ## Saving A Presentation When you *save* a presentation all changes made to the presentation will be stored in a file. You can then open the file at any time and continue working. It cannot be stressed enough just how important it is to your presentation - in this leave it as that and select a location to save it in… | To | save | a presentation: | |-----------------------------------|-----------|---------------------| | 1. Click on the | File | tab, then click on | | Save As | | | | 2. Type the file name in | File name | | | 3. Navigate to the desired folder | | | | 4. Click on | [Save] | | save your work regularly. Once you have saved the presentation the first time, you should then save your work every few minutes where possible.  Once you've saved your presentation the first time, you can save regularly by clicking on *Save* in the Quick Access | Toolbar | or by pressing | + | . | |-----------|--------------------|-------|------|  To change the file name or location of the presentation, open the *Save As* dialog box. ## Inserting Slides And Text While you really should have decided on the content of the presentation well before starting to build it in PowerPoint, the reality is that you'll probably need to change the content at some stage. This ## Try This Yourself: For Your Reference… To *insert* a new slide using the Outline pane: can mean editing or inserting more text, as well as inserting slides in between others slides. You can insert text and slides easily in the *Outline* pane.  If you click on the top half of New Slide in the *Slides* group, a new slide will be inserted into the presentation with the last selected slide layout. ## Previewing A Slide Show Normal view will give you some idea about how your presentation will appear to the audience when presented. But the best way to test the presentation is to preview it as a slide show in *Slide Show* view. It's a File Same Continue using the previous file with this exercise, or open the file P803 Creating A Presentation_2.pptx... 1 Click on the *Slide Show* tab, then click on From Beginning in the Start Slide Show group The slide show begins from slide 1… 2 Press or click with the left mouse button to step through the slide show until you return to *Normal* view 3 In the *Outline* pane, click in the heading text on slide 3 - People Transport to display this slide in the *Slide* window Let's start the slide show from this page… 4 Click on *From Current Slide* in the *Start Slide Show* group 5 Press or click with the left mouse button to step through the slide show until you return to the *Normal* view, or press to exit the slide show earlier 6 Click on the *File* tab, then click on *Close* to close the presentation, and save the changes if required To *preview* a slide show from the *beginning*: 1. Click on *From Beginning* in the Start Slide Show group on the *Slide Show* tab To *preview* a slide show from the current slide: 1. Click on From Current Slide in the Start Slide Show group on the Slide Show tab good idea to test your presentation regularly, especially when you've inserted slides, animations and transitions, for example, to make sure you've got it right.  You can preview a slide show from the beginning by pressing .  You can also preview a slide show in Reading view, which allows you to view the slide show but with the Taskbar is displayed, giving you access to other windows and tasks during the slide show if required. ## Concluding Remarks Congratulations! You have now completed the **Creating a presentation** booklet. This booklet was designed to get you to the point where you can competently perform a variety of operations as outlined in the task list on page 2. We have tried to build up your skills and knowledge by having you work through specific tasks. The step by step approach will serve as a reference for you when you need to repeat a task. ## Where To From Here… The following is a little advice about what to do next:  Spend some time playing with what you have learnt. You should reinforce the skills that you have acquired and use some of the application's commands. This will test just how much of the concepts and features have stuck! Don't try a big task just yet if you can avoid it - small is a good way to start.  Some aspects of the course may now be a little vague. Go over some of the points that you may be unclear about. Use the examples and exercises in these notes and have another go - these step-by-step notes were designed to help you in the classroom and in the work place! Here are a few techniques and strategies that we've found handy for learning more about technology:  visit CLD's e-learning zone on the Intranet  read computer magazines - there are often useful articles about specific techniques  if you have the skills and facilities, browse the Internet, specifically the technical pages of the application that you have just learnt  take an interest in what your work colleagues have done and how they did it - we don't suggest that you plagiarise but you can certainly learn from the techniques of others  if your software came with a manual (which is rare nowadays) spend a bit of time each day reading a few pages. Then try the techniques out straight away - over a period of time you'll learn a lot this way  and of course, there are also more courses and booklets for you to work through  finally, don't forget to contact CLD's IT Training Helpdesk on **01243-752100**

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Department Family Entity Date Paid Expense Type Expense Area Supplier Transaction THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 07/10/2015 BALANCE SHEET STOCKS FINISHED GOODS AAH PHARMACEUTICALS LTD 899232 £43,053.60 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 28/10/2015 BALANCE SHEET STOCKS FINISHED GOODS AAH PHARMACEUTICALS LTD 902800 £66,740.40 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 28/10/2015 BIOCHEMISTRY TRUSTWIDE LABORATORY REAGENTS ABBOTT LABORATORIES LTD 848133 £25,304.92 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 28/10/2015 BIOCHEMISTRY TRUSTWIDE POSTAGE & CARRIAGE ABBOTT LABORATORIES LTD 848133 £71.70 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 28/10/2015 BIOCHEMISTRY TRUSTWIDE LABORATORY REAGENTS ABBOTT LABORATORIES LTD 856758 £41,226.34 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 30/10/2015 BIOCHEMISTRY TRUSTWIDE LABORATORY EQUIPMENT ABBOTT LABORATORIES LTD 907944 £31,627.46 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 30/10/2015 BALANCE SHEET STOCKS FINISHED GOODS ALLOGA UK LIMITED 903467 £30,840.48 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 12/10/2015 BALANCE SHEET MEDICAL EQUIP ADDITIONS PURCH ARMSTRONG MEDICAL LTD 893263 £72,165.60 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 19/10/2015 BALANCE SHEET STOCKS FINISHED GOODS BAYER PLC 905350 £78,660.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 07/10/2015 INFORMATION TECHNOLOGY CONTR OTHER EXTERNAL CALDERDALE AND HUDDERSFIELD FOUNDATION TRUST 36078 £43,394.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 28/10/2015 BALANCE SHEET AUC PFI BLDG LEASE ADDS PURCH CONSORT HEALTHCARE (MID YORKSHIRE) LTD 905825 £1,039,311.65 THE MID YORKSHIRE HOSPITALS NHS TRUST 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21/10/2015 PGH UTILITIES & RATES ELECTRICITY EDF ENERGY LTD 906895 £86,608.17 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 26/10/2015 STAFF ACCOMODATION DDH ELECTRICITY EDF ENERGY LTD 908253 £69,029.17 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 30/10/2015 EDMS PROJECT EXTERNAL DATA CONTRACTS EDM GROUP LTD 906769 £24,160.87 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 28/10/2015 BALANCE SHEET STOCKS FINISHED GOODS ELI LILLY & CO LTD 898041 £57,600.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 12/10/2015 CORPORATE CENTRAL COSTS MISCELLANEOUS EXPENDITURE ERNST & YOUNG LLP 868718 £119,700.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 12/10/2015 CORPORATE CENTRAL COSTS MISCELLANEOUS EXPENDITURE ERNST & YOUNG LLP 896744 £100,200.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 05/10/2015 CORPORATE 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EQUIPMENT LTD 903032 £46,895.40 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 30/10/2015 DDH UTILITIES & RATES RATES KIRKLEES COUNCIL 906118 £50,072.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 30/10/2015 GRAPHIC DESIGN CONTR PHOTOCOPIER RENTAL KONICA MINOLTA BUSINESS SOLUTIONS EAST LTD 905426 (£39,559.26) THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 30/10/2015 GRAPHIC DESIGN CONTR PHOTOCOPIER RENTAL KONICA MINOLTA BUSINESS SOLUTIONS EAST LTD 905818 £67,689.74 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 30/10/2015 GRAPHIC DESIGN CONTR PHOTOCOPIER RENTAL KONICA MINOLTA BUSINESS SOLUTIONS EAST LTD 905820 £39,559.26 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 05/10/2015 NUCLEAR MEDICINE RECHARGES LABORATORY EXTERNAL TESTS LEEDS TEACHING HOSPITALS NHS TRUST 35811 £25,160.81 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 05/10/2015 PATHOLOGY MANAGEMENT TRUSTWIDE LABORATORY EXTERNAL TESTS LEEDS TEACHING HOSPITALS NHS TRUST 35814 £47,062.15 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 30/10/2015 CLINICAL HAEMATOLOGY TRUSTWIDE CONSULTANT LEEDS TEACHING HOSPITALS NHS TRUST 35899 £439.25 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 30/10/2015 ONCOLOGY TRUSTWIDE CONSULTANT LEEDS TEACHING HOSPITALS NHS TRUST 35899 £38,367.26 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 30/10/2015 PAEDIATRICS PGH CONSULTANT LEEDS TEACHING HOSPITALS NHS TRUST 35899 £1,976.50 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 05/10/2015 BALANCE SHEET STOCKS FINISHED GOODS LLOYDS PHARMACY LTD 889703 £170,232.91 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 14/10/2015 BALANCE SHEET STOCKS FINISHED GOODS LLOYDS PHARMACY LTD 889705 £319,445.48 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 30/10/2015 RADIOLOGY MEDICAL STAFFING OTHER PUBLIC SECTOR MEDICA REPORTING LTD (MEDICA GROUP) 907754 £29,557.50 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 21/10/2015 BALANCE SHEET STOCKS FINISHED GOODS MERZ PHARMA UK LTD 903439 £46,500.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 28/10/2015 BALANCE SHEET STOCKS FINISHED GOODS MOVIANTO UK LTD 906667 £66,444.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 14/10/2015 BLOOD SERVICE TRUSTWIDE BLOOD PRODUCTS NHS BLOOD AND TRANSPLANT 36191 £119,007.75 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 14/10/2015 BLOOD SERVICE TRUSTWIDE BLOOD PRODUCTS NHS BLOOD AND TRANSPLANT 36192 (£27,471.65) THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 14/10/2015 BLOOD SERVICE TRUSTWIDE BLOOD PRODUCTS NHS BLOOD AND TRANSPLANT 36195 £40,115.25 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 22/10/2015 MYHT LOSSES AND COMPS CNST CONTRIBUTIONS NHS LITIGATION AUTHORITY 36511 £1,575,634.60 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 22/10/2015 MYHT LOSSES AND COMPS INSURANCE COSTS NHS LITIGATION AUTHORITY 36512 £38,232.00 THE MID YORKSHIRE HOSPITALS NHS TRUST THE MID YORKSHIRE HOSPITALS NHS TRUST 05/10/2015 NHSP HOLDING ACCOUNT NHSP FIXED FEE CONTROL NHS PROFESSIONALS LTD 884921 £26,400.00 Reference Amount | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 12/10/2015 NHSP HOLDING ACCOUNT | NHSP AGENCY CONTROL | NHS PROFESSIONALS LTD | 900824 | £129,458.28 | |-----------------------------------------|-----------------------------------------|-------------------------------------------|-------------------------------|---------------------------------|----------|---------------| | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 12/10/2015 NHSP HOLDING ACCOUNT | NHSP AGENCY CONTROL | NHS PROFESSIONALS LTD | 900824 | £37,306.18 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 07/10/2015 NHSP HOLDING ACCOUNT | NHSP BANK CONTROL | NHS PROFESSIONALS LTD | 900825 | £91,901.12 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 07/10/2015 NHSP HOLDING ACCOUNT | NHSP BANK CONTROL | NHS PROFESSIONALS LTD | 900825 | £9,189.27 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 21/10/2015 NHSP HOLDING ACCOUNT | NHSP AGENCY CONTROL | NHS PROFESSIONALS LTD | 902753 | £130,849.80 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 21/10/2015 NHSP HOLDING ACCOUNT | NHSP AGENCY CONTROL | NHS PROFESSIONALS LTD | 902753 | £139,896.74 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 16/10/2015 NHSP HOLDING ACCOUNT | NHSP BANK CONTROL | NHS PROFESSIONALS LTD | 903346 | £78,349.55 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 16/10/2015 NHSP HOLDING ACCOUNT | NHSP BANK CONTROL | NHS PROFESSIONALS LTD | 903346 | £8,801.36 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 26/10/2015 NHSP HOLDING ACCOUNT | NHSP AGENCY CONTROL | NHS PROFESSIONALS LTD | 903979 | £106,513.56 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 26/10/2015 NHSP HOLDING ACCOUNT | NHSP AGENCY CONTROL | NHS PROFESSIONALS LTD | 903979 | £50,982.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 26/10/2015 NHSP HOLDING ACCOUNT | NHSP BANK CONTROL | NHS PROFESSIONALS LTD | 903980 | £81,479.70 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 26/10/2015 NHSP HOLDING ACCOUNT | NHSP BANK CONTROL | NHS PROFESSIONALS LTD | 903980 | £6,832.25 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 30/10/2015 NHSP HOLDING ACCOUNT | NHSP BANK CONTROL | NHS PROFESSIONALS LTD | 906039 | £80,546.48 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 30/10/2015 NHSP HOLDING ACCOUNT | NHSP BANK CONTROL | NHS PROFESSIONALS LTD | 906039 | £8,792.77 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 26/10/2015 FACILITIES - HEALTH CENTRES | CONTR ESTATE MANAGEMENT | NHS PROPERTY SERVICES LTD | 35473 | £46,346.28 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 26/10/2015 FACILITIES - HEALTH CENTRES | CONTR ESTATE MANAGEMENT | NHS PROPERTY SERVICES LTD | 35474 | £46,346.28 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 26/10/2015 FACILITIES - HEALTH CENTRES | CONTR ESTATE MANAGEMENT | NHS PROPERTY SERVICES LTD | 35885 | £185,385.11 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 26/10/2015 FACILITIES - HEALTH CENTRES | CONTR ESTATE MANAGEMENT | NHS PROPERTY SERVICES LTD | 35886 | £185,385.11 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 26/10/2015 FACILITIES - HEALTH CENTRES | CONTR ESTATE MANAGEMENT | NHS PROPERTY SERVICES LTD | 35887 | (£46,346.28) | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 26/10/2015 FACILITIES - HEALTH CENTRES | CONTR ESTATE MANAGEMENT | NHS PROPERTY SERVICES LTD | 35888 | (£46,346.28) | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 28/10/2015 RADIOLOGY MANAGEMENT TRUSTWIDE | X-RAY EQUIP MAINT/REPAIR | NHS SUPPLY CHAIN | 36300 | £61,874.25 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 28/10/2015 RADIOLOGY MANAGEMENT TRUSTWIDE | X-RAY EQUIP MAINT/REPAIR | NHS SUPPLY CHAIN | 36300 | £1,262.76 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 07/10/2015 BALANCE SHEET | NONNHS TRADE CR < 1 YR | NHS SUPPLY CHAIN | 36354 | £50,714.97 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 07/10/2015 BALANCE SHEET | NONNHS TRADE CR < 1 YR | NHS SUPPLY CHAIN | 36355 | £92,211.30 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 14/10/2015 BALANCE SHEET | NONNHS TRADE CR < 1 YR | NHS SUPPLY CHAIN | 36464 | £50,679.49 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 14/10/2015 BALANCE SHEET | NONNHS TRADE CR < 1 YR | NHS SUPPLY CHAIN | 36465 | £128,845.81 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 21/10/2015 BALANCE SHEET | NONNHS TRADE CR < 1 YR | NHS SUPPLY CHAIN | 36548 | £47,323.55 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 21/10/2015 BALANCE SHEET | NONNHS TRADE CR < 1 YR | NHS SUPPLY CHAIN | 36549 | £109,876.50 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 28/10/2015 BALANCE SHEET | NONNHS TRADE CR < 1 YR | NHS SUPPLY CHAIN | 36625 | £44,523.05 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 28/10/2015 BALANCE SHEET | NONNHS TRADE CR < 1 YR | NHS SUPPLY CHAIN | 36626 | £110,611.65 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 30/10/2015 ULTRASOUND | AGENCY PROF & TECH | NORTHERN MEDICAL ULTRASOUND | 906221 | £30,624.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 07/10/2015 BALANCE SHEET | STOCKS FINISHED GOODS | NOVARTIS PHARMACEUTICALS UK LTD | 899610 | £91,311.84 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 30/10/2015 BALANCE SHEET | STOCKS FINISHED GOODS | NOVARTIS PHARMACEUTICALS UK LTD | 905905 | £80,412.53 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 30/10/2015 BALANCE SHEET | MEDICAL EQUIP ADDITIONS PURCH | ORTHOSONICS LTD | 907425 | £58,609.88 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 30/10/2015 A&E PGH & PGI | GENERAL PRACTITIONERS | PRIMECARE | 906211 | £34,110.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 21/10/2015 BALANCE SHEET | STOCKS FINISHED GOODS | QUALASEPT | 903402 | £43,217.40 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 28/10/2015 BALANCE SHEET | STOCKS FINISHED GOODS | ROCHE PRODUCTS LTD | 898705 | £95,715.12 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 28/10/2015 BALANCE SHEET | STOCKS FINISHED GOODS | ROCHE PRODUCTS LTD | 903387 | £32,047.80 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 28/10/2015 BALANCE SHEET | STOCKS FINISHED GOODS | ROCHE PRODUCTS LTD | 905898 | £82,268.16 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 21/10/2015 LAUNDRY DDH | EXT CONTR LAUNDRY | SYNERGY HEALTH (UK) LTD | 904239 | £33,061.19 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 07/10/2015 PGH UTILITIES & RATES | RATES | WAKEFIELD COUNCIL | 906099 | £241,570.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 07/10/2015 PGI UTILITIES & RATES | RATES | WAKEFIELD COUNCIL | 906100 | £51,765.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 14/10/2015 ENDOSCOPY UNIT DDH | MED & SURG MAINT CONTRACT | WASSENBURG LTD | 901680 | £69,493.20 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 14/10/2015 ENDOSCOPY UNIT PGH & PGI | MED & SURG MAINT CONTRACT | WASSENBURG LTD | 901680 | £117,999.60 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 16/10/2015 DDH UTILITIES & RATES | WATER | YORKSHIRE WATER SERVICES LTD | 906896 | £45,160.16 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 26/10/2015 PGH UTILITIES & RATES | WATER | YORKSHIRE WATER SERVICES LTD | 908789 | £450.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 26/10/2015 PGH UTILITIES & RATES | WATER | YORKSHIRE WATER SERVICES LTD | 908789 | £31,083.39 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 30/10/2015 ORTHOPAEDICS TRUSTWIDE | KNEES - PRIMARY | ZIMMER LTD | 904737 | £62,280.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 26/08/2015 BALANCE SHEET | PAYROLL DED'NS N/S <1YR | EDENRED | 44953 | £41,118.83 |

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| Department Family | Entity | Date Paid | Expense Type | Expense Area | Supplier | Transaction Reference | |---------------------------------------|---------------------------------------|------------------------------------|----------------------------|----------------------------------------------|------------|-------------------------| | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 28/06/2016 BALANCE SHEET | STOCKS FINISHED GOODS | AAH PHARMACEUTICALS LTD | 971709 | £27,054.07 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 01/06/2016 MRI SERVICE | INDEPENDENT SECTOR | ALLIANCE MEDICAL LTD | 958143 | £23,400.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 01/06/2016 MRI SERVICE | INDEPENDENT SECTOR | ALLIANCE MEDICAL LTD | 968076 | (£23,400.00) | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 22/06/2016 BALANCE SHEET | STOCKS FINISHED GOODS | AMGEN LIMITED | 977678 | £25,272.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 13/06/2016 INFORMATION TECHNOLOGY | COMPUTER MAINTENANCE | AXIOM TDM LIMITED | 972962 | £70,500.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 15/06/2016 BALANCE SHEET | STOCKS FINISHED GOODS | BAYER PLC | 966293 | £78,660.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 22/06/2016 INFORMATION TECHNOLOGY | CONTR OTHER EXTERNAL | CALDERDALE AND HUDDERSFIELD FOUNDATION TRUST | 38747 | £39,602.23 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 22/06/2016 MYHT FINANCE TEAM | AUDIT FEES: INTERNAL | CALDERDALE AND HUDDERSFIELD FOUNDATION TRUST | 39027 | £34,500.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 20/06/2016 INFORMATION TECHNOLOGY | COMPUTER HARDWARE PURCH | CDW LTD | 970364 | £46,569.60 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 28/06/2016 BALANCE SHEET | NONRES BLDG ADDS PURCHASED | CONSORT HEALTHCARE (MID YORKSHIRE) LTD | 975422 | £297,381.37 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 28/06/2016 PFI ACCOUNTING | UNITARY PAYMENT | CONSORT HEALTHCARE (MID YORKSHIRE) LTD | 978321 | £3,512,518.75 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 28/06/2016 BALANCE SHEET | STOCKS FINISHED GOODS | CSL BEHRING UK LTD | 967606 | £27,900.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 01/06/2016 BUSINESS INTELLIGENCE | COMPUTER SOFTWARE/LICENSE | DR FOSTER LTD | 965163 | £95,600.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 28/06/2016 PGI UTILITIES & RATES | ELECTRICITY | EDF ENERGY LTD | 975057 | £7.62 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 28/06/2016 PGI UTILITIES & RATES | ELECTRICITY | EDF ENERGY LTD | 975057 | £39,923.64 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 01/06/2016 INFORMATION TECHNOLOGY | COMPUTER MAINTENANCE | ELITEMICRO LTD | 965181 | £27,756.58 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 01/06/2016 AGENCY HOLDING CODE | AGENCY OTHER MEDICAL | HCL DOCTORS | 968163 | £12,317.50 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 01/06/2016 AGENCY HOLDING CODE | AGENCY OTHER MEDICAL | HCL DOCTORS | 968163 | £68,124.05 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 01/06/2016 AGENCY HOLDING CODE | AGENCY OTHER MEDICAL | HCL DOCTORS | 969623 | £13,132.60 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 01/06/2016 AGENCY HOLDING CODE | AGENCY OTHER MEDICAL | HCL DOCTORS | 969623 | £51,154.07 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 06/06/2016 AGENCY HOLDING CODE | AGENCY OTHER MEDICAL | HCL DOCTORS | 971873 | £11,649.70 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 06/06/2016 AGENCY HOLDING CODE | AGENCY OTHER MEDICAL | HCL DOCTORS | 971873 | £38,671.62 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 13/06/2016 AGENCY HOLDING CODE | AGENCY OTHER MEDICAL | HCL DOCTORS | 973279 | £7,118.50 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 13/06/2016 AGENCY HOLDING CODE | AGENCY OTHER MEDICAL | HCL DOCTORS | 973279 | £31,539.59 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 22/06/2016 AGENCY HOLDING CODE | AGENCY OTHER MEDICAL | HCL DOCTORS | 975848 | £15,446.85 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 22/06/2016 AGENCY HOLDING CODE | AGENCY OTHER MEDICAL | HCL DOCTORS | 975848 | £84,266.53 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 22/06/2016 BALANCE SHEET | STOCKS FINISHED GOODS | HEALTHCARE AT HOME LTD | 971211 | £81,360.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 01/06/2016 INFORMATION TECHNOLOGY | COMPUTER MAINTENANCE | HEALTHCARE SOFTWARE SYSTEMS | 970749 | £55,100.11 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 28/06/2016 BALANCE SHEET | STOCKS FINISHED GOODS | JANSSEN CILAG LTD | 968284 | £49,169.04 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 15/06/2016 BALANCE SHEET | AUC ADDITIONS | KIER CONSTRUCTION LTD | 970972 | £43,580.92 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 01/06/2016 DDH UTILITIES & RATES | RATES | KIRKLEES COUNCIL | 970652 | £68,586.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 28/06/2016 DDH UTILITIES & RATES | RATES | KIRKLEES COUNCIL | 976781 | £68,586.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 01/06/2016 BALANCE SHEET | STOCKS FINISHED GOODS | LLOYDS PHARMACY LTD | 956740 | £228,843.30 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 01/06/2016 BALANCE SHEET | STOCKS FINISHED GOODS | LLOYDS PHARMACY LTD | 956741 | £226,088.69 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 01/06/2016 BALANCE SHEET | STOCKS FINISHED GOODS | LLOYDS PHARMACY LTD | 965888 | £163,306.95 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 01/06/2016 BALANCE SHEET | STOCKS FINISHED GOODS | LLOYDS PHARMACY LTD | 965892 | £254,504.70 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 01/06/2016 PACEMAKERS | PACEMAKERS | MEDTRONIC LTD | 963905 | £49,046.40 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 28/06/2016 GENERAL OFFICE PGH | POSTAGE & CARRIAGE | NEOPOST LTD | 979421 | £39,000.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 08/06/2016 BLOOD SERVICE TRUSTWIDE | BLOOD PRODUCTS | NHS BLOOD AND TRANSPLANT | 38851 | £42,702.83 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 08/06/2016 BLOOD SERVICE TRUSTWIDE | BLOOD PRODUCTS | NHS BLOOD AND TRANSPLANT | 38853 | £112,598.33 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 28/06/2016 BALANCE SHEET | OTH PROVN UTILISATION >1YR | NHS BUSINESS SERVICES AUTHORITY | 38551 | £108,339.56 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 15/06/2016 MYHT LOSSES AND COMPS | CNST CONTRIBUTIONS | NHS LITIGATION AUTHORITY | 39163 | £1,733,198.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 15/06/2016 MYHT LOSSES AND COMPS | INSURANCE COSTS | NHS LITIGATION AUTHORITY | 39164 | £39,459.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 01/06/2016 NHSP HOLDING ACCOUNT | NHSP AGENCY CONTROL | NHS PROFESSIONALS LTD | 968505 | £217,061.67 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 01/06/2016 NHSP HOLDING ACCOUNT | NHSP BANK CONTROL | NHS PROFESSIONALS LTD | 968506 | £81,710.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 01/06/2016 NHSP HOLDING ACCOUNT | NHSP BANK CONTROL | NHS PROFESSIONALS LTD | 968506 | £6,523.90 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 08/06/2016 NHSP HOLDING ACCOUNT | NHSP BANK CONTROL | NHS PROFESSIONALS LTD | 970370 | £80,563.73 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 08/06/2016 NHSP HOLDING ACCOUNT | NHSP BANK CONTROL | NHS PROFESSIONALS LTD | 970370 | £7,677.89 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 08/06/2016 NHSP HOLDING ACCOUNT | NHSP AGENCY CONTROL | NHS PROFESSIONALS LTD | 970371 | £144,910.56 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 15/06/2016 NHSP HOLDING ACCOUNT | NHSP AGENCY CONTROL | NHS PROFESSIONALS LTD | 971928 | £95,115.75 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 15/06/2016 NHSP HOLDING ACCOUNT | NHSP BANK CONTROL | NHS PROFESSIONALS LTD | 971930 | £87,366.38 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 15/06/2016 NHSP HOLDING ACCOUNT | NHSP BANK CONTROL | NHS PROFESSIONALS LTD | 971930 | £7,126.21 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 22/06/2016 NHSP HOLDING ACCOUNT | NHSP BANK CONTROL | NHS PROFESSIONALS LTD | 973814 | £84,071.48 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 22/06/2016 NHSP HOLDING ACCOUNT | NHSP BANK CONTROL | NHS PROFESSIONALS LTD | 973814 | £5,907.85 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 28/06/2016 NHSP HOLDING ACCOUNT | NHSP AGENCY CONTROL | NHS PROFESSIONALS LTD | 973816 | £221,658.10 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 22/06/2016 NHSP HOLDING ACCOUNT | NHSP FIXED FEE CONTROL | NHS PROFESSIONALS LTD | 974045 | £62,400.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 01/06/2016 TRUST MEDICAL PHYSICS | X-RAY EQUIP MAINT/REPAIR | NHS SUPPLY CHAIN | 38066 | £33,401.40 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 01/06/2016 TRUST MEDICAL PHYSICS | X-RAY EQUIP MAINT/REPAIR | NHS SUPPLY CHAIN | 38066 | £681.60 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 08/06/2016 TRUST MEDICAL PHYSICS | X-RAY EQUIP MAINT/REPAIR | NHS SUPPLY CHAIN | 38577 | £209,564.75 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 08/06/2016 TRUST MEDICAL PHYSICS | X-RAY EQUIP MAINT/REPAIR | NHS SUPPLY CHAIN | 38577 | £4,276.88 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 01/06/2016 TRUST MEDICAL PHYSICS | X-RAY EQUIP MAINT/REPAIR | NHS SUPPLY CHAIN | 38613 | £38,959.35 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 01/06/2016 TRUST MEDICAL PHYSICS | X-RAY EQUIP MAINT/REPAIR | NHS SUPPLY CHAIN | 38613 | £795.21 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 01/06/2016 TRUST MEDICAL PHYSICS | X-RAY EQUIP MAINT/REPAIR | NHS SUPPLY CHAIN | 38709 | £58,272.30 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 01/06/2016 TRUST MEDICAL PHYSICS | X-RAY EQUIP MAINT/REPAIR | NHS SUPPLY CHAIN | 38709 | £1,189.14 | |-----------------------------------------|-----------------------------------------|-------------------------------------------|-------------------------------|----------------------------------------|---------|-------------| | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 01/06/2016 BALANCE SHEET | MEDICAL EQUIP ADDITIONS PURCH | NHS SUPPLY CHAIN | 38773 | £295,376.93 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 15/06/2016 BALANCE SHEET | NONNHS TRADE CR < 1 YR | NHS SUPPLY CHAIN | 38937 | £64,328.27 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 15/06/2016 BALANCE SHEET | NONNHS TRADE CR < 1 YR | NHS SUPPLY CHAIN | 38938 | £119,111.37 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 28/06/2016 BALANCE SHEET | NONNHS TRADE CR < 1 YR | NHS SUPPLY CHAIN | 39021 | £54,960.33 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 28/06/2016 BALANCE SHEET | NONNHS TRADE CR < 1 YR | NHS SUPPLY CHAIN | 39022 | £155,288.44 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 01/06/2016 A&E PGH & PGI | GENERAL PRACTITIONERS | NORTHERN HEALTH LTD | 964005 | £46,500.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 15/06/2016 A&E PGH & PGI | GENERAL PRACTITIONERS | NORTHERN HEALTH LTD | 969587 | £46,500.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 08/06/2016 BALANCE SHEET | STOCKS FINISHED GOODS | NOVARTIS PHARMACEUTICALS UK LTD | 968278 | £82,393.92 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 06/06/2016 BALANCE SHEET | STOCKS FINISHED GOODS | PHARMAXO PHARMACY LIMITED | 967658 | £31,500.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 01/06/2016 AGENCY HOLDING CODE | AGENCY OTHER MEDICAL | QX LIMITED | 971820 | £81,829.67 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 10/06/2016 AGENCY HOLDING CODE | AGENCY OTHER MEDICAL | QX LIMITED | 974291 | £146,054.40 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 15/06/2016 AGENCY HOLDING CODE | AGENCY OTHER MEDICAL | QX LIMITED | 976137 | £101,319.48 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 22/06/2016 AGENCY HOLDING CODE | AGENCY OTHER MEDICAL | QX LIMITED | 978322 | £124,681.56 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 29/06/2016 AGENCY HOLDING CODE | AGENCY OTHER MEDICAL | QX LIMITED | 980423 | £105,170.29 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 28/06/2016 BALANCE SHEET | STOCKS FINISHED GOODS | ROCHE PRODUCTS LTD | 969074 | £25,750.75 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 01/06/2016 LAUNDRY DDH | EXT CONTR LAUNDRY | SYNERGY HEALTH (UK) LTD | 964970 | £29,217.10 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 06/06/2016 CLINICAL HAEMATOLOGY TRUSTWIDE | CONSULTANT | THE LEEDS TEACHING HOSPITALS NHS TRUST | 38139 | £439.25 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 06/06/2016 ONCOLOGY TRUSTWIDE | CONSULTANT | THE LEEDS TEACHING HOSPITALS NHS TRUST | 38139 | £38,367.26 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 06/06/2016 WOMEN'S MEDICAL STAFFING TW | CONSULTANT | THE LEEDS TEACHING HOSPITALS NHS TRUST | 38139 | £1,976.50 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 20/06/2016 CLINICAL HAEMATOLOGY TRUSTWIDE | CONSULTANT | THE LEEDS TEACHING HOSPITALS NHS TRUST | 38674 | £452.87 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 20/06/2016 ONCOLOGY TRUSTWIDE | CONSULTANT | THE LEEDS TEACHING HOSPITALS NHS TRUST | 38674 | £34,828.12 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 20/06/2016 PAEDIATRICS PGH | CONSULTANT | THE LEEDS TEACHING HOSPITALS NHS TRUST | 38674 | £2,226.38 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 06/06/2016 RADIOLOGY MEDICAL STAFFING | SENIOR LECTURER | THE LEEDS TEACHING HOSPITALS NHS TRUST | 38804 | £45,000.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 28/06/2016 CLINICAL HAEMATOLOGY TRUSTWIDE | CONSULTANT | THE LEEDS TEACHING HOSPITALS NHS TRUST | 38807 | £452.83 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 28/06/2016 ONCOLOGY TRUSTWIDE | CONSULTANT | THE LEEDS TEACHING HOSPITALS NHS TRUST | 38807 | £34,828.08 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 28/06/2016 PAEDIATRICS PGH | CONSULTANT | THE LEEDS TEACHING HOSPITALS NHS TRUST | 38807 | £2,226.42 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 06/06/2016 NUCLEAR MEDICINE RECHARGES | LABORATORY EXTERNAL TESTS | THE LEEDS TEACHING HOSPITALS NHS TRUST | 38894 | £29,698.29 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 28/06/2016 RADIOLOGY MEDICAL STAFFING | SENIOR LECTURER | THE LEEDS TEACHING HOSPITALS NHS TRUST | 39087 | £25,644.46 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 28/06/2016 BALANCE SHEET | PAYROLL DED'NS N/S <1YR | UNISON | 39191 | £69,613.34 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 16/06/2016 PGH UTILITIES & RATES | BUSINESS RATES | WAKEFIELD COUNCIL | 976797 | £250,985.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 16/06/2016 PGI UTILITIES & RATES | BUSINESS RATES | WAKEFIELD COUNCIL | 976798 | £52,185.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 22/06/2016 PGH UTILITIES & RATES | WATER | YORKSHIRE WATER SERVICES LTD | 975973 | £37,047.12 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 22/06/2016 PGH UTILITIES & RATES | WATER | YORKSHIRE WATER SERVICES LTD | 975973 | £450.00 | | THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 28/06/2016 BALANCE SHEET | PAYROLL DED'NS N/S < 1YR | EDEN RED | 51381 | £41,694.39 |

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## A1 - Blagab I Minus E Computation (Lam03000) Total Step 1 - BLAGAB income Property business *(LAM3090)* Loan relationship and derivative income (LAM03070) 47,701 527,136 574,837 Net chargeable gains *(LAM03200*) (G) 230,333 Step 2 - BLAGAB chargeable gains less losses Sundry receipts *(LAM03100)* Minimum profits charge (A2) *(LAM03500*) 455 9,500 9,955 Step 3 - Sundry receipts and minimum profits charge 821,247 (2,501) Sum of steps 1 - 3 Non-trading deficit *(LAM03070)* 'I' 818,746 Step 4 - Sum of steps 1 - 3, deduct any BLAGAB nontrading deficit. Result is 'I' (A3) (288,650) Less BLAGAB management expenses (LAM04000) Step 5 - Adjusted BLAGAB management expenses 'E' Step 6 - subtract 'E' from 'I' I minus E profit / (excess BLAGAB expenses) Less non-BLAGAB allowable losses under s95 FA 2012 *(LAM03400)* (A8) (6,122) 536,218 530,096 ## A2 - Minimum Profits Charge (Lam03510) | | |--------------------------------------| | Total | | 530,096 | | (9,500) | | 118,577 | | I minus E profit | | (A1) | | | | Ignore minimum profits charge | | Add BLAGAB non-taxable distributions | | | | | | | | | | 639,173 | | Adjusted I- E profit / | | excess BLAGAB | | expenses | | | | | | BLAGAB trade profit | | (A4) | | | | Less BLAGAB trade loss b/f | | | | 650,273 | | (1,600) | | | | Adjusted BLAGAB | | trade profit | | | | | | | | 648,673 | | | | (A1) | | | | 9,500 | | 1 | | | | | | Minimum profits charge | | | | Compare the | | adjusted BLAGAB | | trade profit with | | adjusted I- E profit | ## A3 - Blagab Management Expenses (Lam04000) Total Ordinary BLAGAB management expenses 109,620 Step 1 - Company's ordinary BLAGAB management expenses of the AP Step 2 less six-sevenths of the acquisition expenses of the period (42,500) 67,120 Spreading of acquisition expenses Capital allowances on management assets Transitional relief for old annuity contracts 169,150 22,500 8,350 200,000 Step 3 - deemed BLAGAB management expenses - FA2012/S78(3) Sum of steps 1 to 3 Deduct relief previously given for expenses repaid in the AP Adjust for BLAGAB trade loss relieved 267,120 (3,600) 0 263,520 Step 4 - total of steps 1-3, adjust for expenses reversed in the AP and BLAGAB trade loss utilised Step 5 - add management expenses brought forward to the sum of step 4 12,500 12,630 (A1) 25,130 288,650 Management expenses brought forward Minimum profits charge of previous AP Adjusted BLAGAB management expenses 1 The Minimum Profits Charge is carried forward to the next accounting period as an excess management expense ## A4 - Blagab Trade (Lam07000) | | | |-------------------------------------------|---------| | | | | Total | | | Profit before tax | | | | | | | 677,211 | | Accounting profit | | | before tax | | | | | | | | | | | | Adjustments to | | | accounting profit | | | 9,430 | | | (27,350) | | | 11,620 | | | (1,350) | | | (19,288) | | | nil | | | Disallowed expenses | | | Capital allowances - management assets | | | Pre 2013 Deferred Acquisition Costs (DAC) | | | Pre 2013 Deferred income | | | Transitional receipt/(expense) | | | Policyholder tax adjustment (A7) | | | | | | | | | | | | LAM07150 | | | | | | LAM07150 | | | | | | | | | LAM07040 | | | LAM07040 | | | LAM07130 | | | LAM07210 | | | | | | (26,938) | | | BLAGAB trade profit | | | BLAGAB trade | | | profit for tax | | | | | | BLAGAB trade loss brought forward | | | | | | (1,600) | | | | | | (A2) (A7) | | | | | | LAM07310 | | | | | | 648,673 | | | | | | Less BLAGAB | | | trade loss | | | brought forward | | | | | ## A5 - Non-Blagab Trade (Lam07000) | | | |-------------------------------------------|---------| | | | | Total | | | Loss before tax | | | | | | | (6,253) | | Accounting | | | profit/loss before | | | tax | | | | | | | | | | | | Adjustments to | | | accounting profit | | | 3,650 | | | (2,460) | | | 10,340 | | | (7,630) | | | 4,350 | | | Disallowed expenses | | | Capital allowances - management assets | | | Pre 2013 Deferred Acquisition Costs (DAC) | | | Pre 2013 Deferred income | | | Transitional receipt/(expense) | | | | | | | | | | | | | | | | | | | | | | | | 8,250 | | | | | | | | | Non-BLAGAB trade profit/loss before | | | foreign tax | | | Foreign tax deducted | | | | | | 1,997 | | | | | | (7,602) | | | | | | | | | | | | Non-BLAGAB trade loss | | | | | | (5,605) | | | | | | | | | Non-BLAGAB loss | | | for tax | | | | | | Less offset against other profits | | | (A8) | | | | | | (5,605) | | | | | | | | | | Nil | | (5,840) | | | Non-BLAGAB | | | trade losses | | | Current period loss carried forward | | | Non-BLAGAB trade loss brought forward | | | | | | | | ## A6 - Long-Term Business Fixed Capital And Other Non-Trade (Lam11000) LTBFC contains structural assets and those grandfathered from pre 1 January 2013 shareholders' funds. Tax rules applicable to investment companies apply. Total 21,540 7,660 655 (655) (5,880) (1,250) 22,070 Loan relationships and derivative income Non-trading gain on intangible assets Chargeable gains Capital losses not arising from BLAGAB Management expenses Non-trading loan relationship deficit brought forward CTA2009/S457(1) Profit / (loss) (A8) ## A7 - Policyholders' Share Of I Minus E Profit (Lam06000) Policyholders' share calculation Adjusted amount of BLAGAB trade profit Shareholders' share of BLAGAB nontaxable distributions Total 530,096 (530,096) nil 648,673 (118,577) 530,096 118,577 118,577 I minus E profit (A1) Reduced by adjusted BLAGAB trade profit(below) Policyholders' share (A8) BLAGAB trade profit reduced by brought forward losses (A4) Reduced by shareholders share of BLAGAB non-taxable distributions Adjusted BLAGAB trade profit BLAGAB non-taxable distributions (A2) Shareholders' share of BLAGAB non-taxable distributions (LAM05050) ## A8 - Tax Calculation | | LTBFC | | Total per return | | | | BLAGAB | |------------------------|-----------|-----------|----------------------|--------|---------|----------------|-------------------| | I - E | | | | | | | | | | | | | | | | | | | | | | | | | | | (A1) | | | | | | | | | | | | | | | | | | (A6) | | | | | | | | | | | | | | | | | | 527,136 | | | | | | | | | | | | | | | | | | 21,540 | | | | | | | | | | | | | | | | | | 548.676 | | | | | | | | | | | | | | | | | | Non-trade loan | | | | | | | | | relationship | | | | | | | | | income | | | | | | | | | | | | | | | | | | Property business | | | | | | | | | (A1) | | | | | | | | | | 47,701 | | | | 47,701 | | | | | | | | | | | | | (A1) | | | | | | | | | | 9,955 | | | | 9,955 | Sundry and | | | minimum profits | | | | | | | | | | | | | | | | | | Profits before gains | | | | | | | | | (A1) | | | | | | | | | | 584,792 | | | | | | | | (A6) | | | | | | | | | 21,540 | | 606,332 | | | | | | | | | | | | | | | | (G) | | | | | | | | | | 236,455 | | 0 | | 236,455 | Net chargeable | | | gains | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | (A6) | | | | | | | | | 7,660 | | 7,660 | Non-trading gain on | | | | | | intangible fixed | | | | | | | | | assets | | | | | | | | | | | | | | | | | | Non trading deficit | | | | | | | | | on loan relationship | | | | | | | | | | | | (2,501) | | | | | | (A1) | | | | | | | | | | (2,501) | | | | | | | | | | | | | | | | | (A3) | | | | | | | | | | (288,650) | | | | | | | | (A6) | | | | | | | | | (5,880) | | (294,530) | Management | | | | | | expenses | | | | | | | | | | | | | | | | | | | | | | | | | | | (A6) | | | | | | | | | (1,250) | | (1,250) | Non-trading loan | | | | | | relationship deficits | | | | | | | | | brought forward | | | | | | | | | CTA09/S457(1) | | | | | | | | | | | | _______ | | ______ | ______ | | | | | | | | | | | | (A1) | | | | | | | | | 530,096 | | | | | | | | | (A6) | | | | | | | | | 22,070 | | 552,166 | Net profits before | | | | | | reliefs | | | | | | | | | | | | | | | | | | | | 530,096 | | 22,070 | | 552,166 | | | Shareholders' | | | | | | | | | profits before reliefs | | | | | | | | | | | | | | | | | | (A5) | | | | | | | | | | | | | | | | | | Less trading losses | | | | | | | | | CTA10/S37 (non- | | | | | | | | | BLAGAB) | | | | | | | | | | | | | | | | | | Group relief | | | | | | | | | | | | | | | | | | (5,605) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | (120,650 | | | | | | | | | | | | | | | | | | (5,605) | | | | | | | | | 2 | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | (120,650) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | ______ | | | | | | | | | _ | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 403,841 | | 22,070 | |-----------------------|-----|------------|---------|-----------| | (A9) | | | | | | 425,911 | | | | | | Shareholders' | | | | | | share of profits | | | | | | | | | | | | | | | | | | (A7) | | | | | | nil | | | | | | (A9) | | | | | | nil | | | | | | Policyholders' | | | | | | share of profits | | | | | | | | | _______ | | | Total taxable profits | | | | | | 403,841 | | 22,070 | | 425,911 | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | ## A9 - Tax Liability | | | Tax | | Profit | | Rate | |------------------------------------|------------|-----------|---------|-----------|--------|--------------------| | Corporation tax | | | | | | | | | | | | | | | | | | | | | | | | On policyholders' share of profits | | | | | | | | | | | | | | | | | | | | | | | | 2016 | | | | | | | | | | | | | | | | | | | | | 20.00% | | | 2017 | | | | | | | | | | | | | | | | | | | | | 20.00% | | | | | | | | | | | | | | | | | | | Tax on policyholders' profit | | | | | | | | | | | | | | | | | nil | | | | | | | (A8) | | | | | | | | nil | | | | | | | | | | | | | | | | | | | | | | | | On shareholders' profits | | | | | | | | | | | | | | | | | | | | | | | | 2016 | | | | | | | | | | | | | | | | | 21,016.20 | | 105,081 | 20.00% | | | | 2017 | | | | | | | | | | | | | | | | | 60,957.70 | | 320,830 | 19.00% | | | | | | | | | | | | Tax on shareholders' profits | | | | | | | | | | | | | | | | | 82,063.90 | | | | | | | (A8) | | | | | | | | 425,911 | | | | | | | | | | | | | | | | | | | | | | | | Tax before DTR | | 82,063.90 | | | | | | | | | | | | | | DTR relief | | | | | | | | (B) | | | | | | | | (1,112) | | | | | | | | | | | | | | | | | (3,556.10) | | | | | Income Tax set off | | | | | | | | | | Corporation tax liability | | | | | | | | 77,395.8 | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | ## B1 - Double Tax Relief - Summary (Lam09000) | Category | Relevant | Foreign | Creditable | Actual | Tax deductible | |-------------|-------------|------------|---------------|-----------|-------------------| | income | tax | tax before | | | | | Excess | | | | | | | foreign | creditable | | | | | | limitations | tax | tax | | | | | BLAGAB (B2) | 81,420 | 1,112 | 1,112 | 0 | | | (A9) | | | | | | | 1,112 | 0 | | | | | | Non-BLAGAB | 302,897 | 7,602 | 6,700 | 902 | | | (A9) | | | | | | | 0 | | | | | | | | | | | | | | 7,602 | | | | | | | (B3) | | | | | | | Total | 384,317 | 8,714 | 7,812 | 0 | 1,112 | | (A5) | | | | | | | 7,602 | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | ## B2 - Foreign Income - Blagab Source Relevant Foreign Rate Foreign Appropriate Income Relevant Income Actual income tax % tax to Excess foreign fraction of above fraction restricted Maximum creditable creditable 20.25% tax relevant expenses of profits to profits tax tax expenses TIOPA TIOPA (TRE x RI/TI) 2010 s100 2010 s101 Overseas 19,230 260 1.38 260 0 17,250 1,980 15,631 1,980 400 260 shares Overseas 62,190 852 1.37 852 0 55,772 6,418 50,551 6,418 1,296 852 debentures Total 81,420 1,112 ## B3 - Foreign Income - Non Blagab A B C D E F G H I J K L Source Relevant Foreig Rate Foreig Appropriate Income Relevant Income Actual income n tax n tax Excess foreign fraction of above fraction of restricted to Maximum creditable creditable tax to tax relevant expenses profits profits TIOPA tax 20.25% expenses (TRE TIOPA 2010 2010 s101 x RI/TI) s100 Overseas 100 15 15% 15 0 67.37 32.63 (1) 0 0 0 shares Overseas 18,997 4,749 25% 3,847 902 12,798 6,199 (352) 0 0 0 preference shares Overseas 283,800 2,838 1% 2,838 0 191,196 92,604 (5251) 0 0 0 debentures Total 302,897 0 ## G - Capital Gains And Losses (Lam03200) (below) (A1) Capital gains BLAGAB chargeable gains TCGA/S212 Total before losses offset BLAGAB losses Net capital gains Capital losses BLAGAB losses arising TCGA/S212 losses arising Total 89,556 221,621 *(LAM03300)* 311,117 (68,540) 236,455 22,875 45,665 68,540 ##

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